2024 Edition

Human Resources Management Introduction

Purpose

The agency's human resources practices attract and retain a competent and qualified workforce that is capable of supporting the agency's mission and strategic goals.

Introduction

Recruiting, developing, and retaining a competent, qualified, and committed workforce is essential to any high functioning public agency. Effective human resources practices ensure that the agency's workforce supports its mission and strategic goals, promote high levels of personnel satisfaction and retention, and establish a supportive culture and climate that maximize performance in order to achieve desired outcomes.

Interpretation

 The term “personnel” covers full-time and part-time employees. Standards that apply to direct service volunteers and independent contractors specifically note their inclusion. COA does not include non-direct service, occassional, or casual volunteers in evaluating an agency’s human resources practices, but agencies should consider the benefits and risks associated with their role. 

Note: Please see the PA-HR Reference List for the research that informed the development of these standards.


Note: For information about changes made in the 2020 Edition, please see the PA-HR Crosswalk. 

2024 Edition

Human Resources Management (PA-HR) 1: Human Resources Planning

The agency assesses as part of annual planning the composition of its workforce compared with current and future workforce needs and develops an assessment-based workforce development plan to meet current and future workforce needs that:
  1. is aligned with its strategic plan;
  2. establishes recommendations  for recruitment, employment, advancement, training, and leadership development; and
  3. identifies associated costs and relevant stakeholders.
Related Standards:

Examples: Workforce composition assessments can take into account things such as: number of employees;

  1. upcoming retirement eligibility;
  2. personnel qualifications;
  3. personnel competencies; and
  4. demographics of personnel compared to the service population.


To address employment or leadership selection patterns that do not reflect the community served, agencies may establish a plan that includes:

  1. targeted recruitment goals and strategies;
  2. reviewing policies and criteria to identify factors that may pose systemic obstacles to employment or advancement; and
  3. equitable leadership and personnel development programs.

 

Note: Please see the Workforce Assessment and Planning Tip Sheet for additional guidance on this standard.

1
Full Implementation, Outstanding Performance
A rating of (1) indicates that the agency's practices fully meet the standard and reflect a high level of capacity.  
  • All elements or requirements outlined in the standard are evident in practice, with rare or no exceptions: exceptions do not impact service quality or agency performance. 
2
Substantial Implementation, Good Performance
A rating of (2) indicates that an agency's infrastructure and practices are basically sound but there is room for improvement.
  • The majority of the standards requirements have been met and the basic framework required by the standard has been implemented. 
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality or agency performance.
3

Partial Implementation, Concerning Performance
A rating of (3) indicates that the agency's observed infrastructure and/or practices require significant improvement.  

  • The agency has not implemented the basic framework of the standard but instead has in place only part of this framework.  
  • Omissions or exceptions to the practices outlined in the standard occur regularly, or practices are implemented in a cursory or haphazard manner.  
  • Service quality or agency functioning may be compromised.  
  • Capacity is at a basic level.
4
Unsatisfactory Implementation or Performance
A rating of (4) indicates that implementation of the standard is minimal or there is no evidence of implementation at all.  
  • The agency’s observed administration and management infrastructure and practices are weak or non-existent; or show signs of neglect, stagnation, or deterioration.
2024 Edition

Human Resources Management (PA-HR) 2: Recruitment and Selection

The organization hires appropriately qualified people to meet the demand for services and support achievement of the agency’s mission.

Related Standards:

Note: Please see the Personnel Records Checklist for additional guidance on this standard.

1
Full Implementation, Outstanding Performance
A rating of (1) indicates that the agency's practices fully meet the standard and reflect a high level of capacity.  
  • All elements or requirements outlined in the standard are evident in practice, with rare or no exceptions: exceptions do not impact service quality or agency performance. 
2
Substantial Implementation, Good Performance
A rating of (2) indicates that an agency's infrastructure and practices are basically sound but there is room for improvement.
  • The majority of the standards requirements have been met and the basic framework required by the standard has been implemented. 
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality or agency performance.
3

Partial Implementation, Concerning Performance
A rating of (3) indicates that the agency's observed infrastructure and/or practices require significant improvement.  

  • The agency has not implemented the basic framework of the standard but instead has in place only part of this framework.  
  • Omissions or exceptions to the practices outlined in the standard occur regularly, or practices are implemented in a cursory or haphazard manner.  
  • Service quality or agency functioning may be compromised.  
  • Capacity is at a basic level.
4
Unsatisfactory Implementation or Performance
A rating of (4) indicates that implementation of the standard is minimal or there is no evidence of implementation at all.  
  • The agency’s observed administration and management infrastructure and practices are weak or non-existent; or show signs of neglect, stagnation, or deterioration.
 
Fundamental Practice

PA-HR 2.01

Job descriptions:
  1. state the required credentials, core competencies, essential functions, and responsibilities for each position or group of like positions; and
  2. are reviewed and updated regularly to evaluate their continued relevancy against the needs of the agency’s programs and consumers.
NA The agency is not responsible for developing job descriptions.

Examples: Core competencies may include leadership competencies and associated behaviors as well as the competencies needed to implement and sustain agency-wide initiatives (e.g. evidence-based practices, practice models, policies, etc.). 

Examples: Credentials can include, for example:
  1. education;
  2. training;
  3. relevant experience; and
  4. any available state registration, licensing, or certification for the respective disciplines.
 

PA-HR 2.02

Recruitment and selection procedures include:

  1. utilizing selection criteria that are competency based, aligned with job descriptions, and reflect the agency’s mission, practice model, and desired outcomes;
  2. notifying personnel of available positions; 
  3. verifying past employment and credentials; 
  4. utilizing pre-screening tools to assess suitability to the position; 
  5. providing applicants with a written job description;
  6. giving final candidates the opportunity to speak with currently-employed personnel;   
  7. retaining hiring records in accordance with legal requirements; 
  8. using standard interview questions that comply with employment and labor laws; and
  9. using diverse interview panels.
Related Standards:

Interpretation: In regards to element (a), when implementing agency-wide initiatives, selection criteria should be updated to reflect the skills and abilities that will be needed to effectively implement new practices or policies with fidelity, including those characteristics that are difficult to train for such as empathy, good judgment, personal ethics, willingness to learn, and knowledge of the field. 


Interpretation: In regards to element (h), personnel who interview prospective employees must receive training on both permissible and impermissible categories of interview questions persuant to applicable employment and labor laws.

Examples: The retention of hiring records, which can include postings or other advertisements, applications, and interview notes, shows consistency in recruitment and hiring decisions, and protects the agency in the event of a complaint.


Examples: Diverse panels with representatives from different backgrounds, departments, and seniority levels offer new perspectives, encourage agencies to think broadly and inclusively, and minimize bias.

 

PA-HR 2.03

Personnel that will be responsible for training, coaching, and mentoring new hires have access to interview data, such as the results of pre-screening tools, to tailor these efforts to the existing competencies and personnel development needs of new personnel. 
 
Fundamental Practice

PA-HR 2.04

The agency has a mechanism for tracking completion of mandated reviews of state criminal history records and civil child abuse and neglect registries for new employees, consultants, volunteers, and student interns who will:
  1. work in residential programs;
  2. provide direct services to, or be alone with, children, the elderly, or other persons determined by the agency to be vulnerable or at-risk; or
  3. work with sensitive or confidential information such as personnel files and case records.
Related Standards:
Interpretation: The agency should consult with legal counsel about any concerns regarding the appropriate use of background information.

Interpretation: The agency is not required to conduct background checks for licensed staff if the agency has verified that background checks are conducted as part of the licensing process and satisfy the agency's internal background check policy and procedures. The agency should assess whether there is any risk associated with not conducting background checks on personnel not expressly addressed in the standard, including periodic re-investigations of current personnel, and consult with legal counsel, as needed.
2024 Edition

Human Resources Management (PA-HR) 3: Satisfaction and Retention

Human resources practices are equitable and consistenty applied and promote a high level of personnel satisfaction and retention.

Examples: Factors that may contribute to personnel satisfaction and retention include:
  1. role clarity; 
  2. leadership that rewards and recognizes employee contributions; 
  3. satisfaction with salary and benefits; 
  4. reasonable workload;
  5. quality supervision and strong supervisory relationships; 
  6. autonomy; 
  7. opportunities for advancement and career development; 
  8. work/life balance (e.g. flexible work options, personal and family support, etc.); and
  9. leadership that provides feedback to personnel about their suggestions and recommendations.

Note: Please see the Personnel Records Checklist for additional guidance on this standard.

1
Full Implementation, Outstanding Performance
A rating of (1) indicates that the agency's practices fully meet the standard and reflect a high level of capacity.  
  • All elements or requirements outlined in the standard are evident in practice, with rare or no exceptions: exceptions do not impact service quality or agency performance. 
2
Substantial Implementation, Good Performance
A rating of (2) indicates that an agency's infrastructure and practices are basically sound but there is room for improvement.
  • The majority of the standards requirements have been met and the basic framework required by the standard has been implemented. 
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality or agency performance.
3

Partial Implementation, Concerning Performance
A rating of (3) indicates that the agency's observed infrastructure and/or practices require significant improvement.  

  • The agency has not implemented the basic framework of the standard but instead has in place only part of this framework.  
  • Omissions or exceptions to the practices outlined in the standard occur regularly, or practices are implemented in a cursory or haphazard manner.  
  • Service quality or agency functioning may be compromised.  
  • Capacity is at a basic level.
4
Unsatisfactory Implementation or Performance
A rating of (4) indicates that implementation of the standard is minimal or there is no evidence of implementation at all.  
  • The agency’s observed administration and management infrastructure and practices are weak or non-existent; or show signs of neglect, stagnation, or deterioration.
 
Fundamental Practice

PA-HR 3.01

The agency integrates work-related stress awareness and prevention efforts into its human resources practices. 

Examples: Awareness and prevention efforts can include, but are not limited to:
  1. supervision and training; 
  2. access to employment assistance programs; 
  3. vacation and flex time policies; and
  4. peer support opportunities.
 

PA-HR 3.02

The agency annually measures personnel satisfaction and retention and takes action to address identified satisfaction and retention concerns.
Related Standards:

Interpretation: The aggregation of data reduces the risk of disclosing personal identifiable information in most instances; however, risk of disclosure still exists particularly when data is being disaggregated and unique or easily observable characteristics might allow someone to be identified in the data set. As such, data collection and reporting procedures should include mechanisms for avoiding such disclosure such as data suppression, rounding, reporting in ranges rather than exact counts, combining sub-groups into larger groups, etc.

Examples: Disaggregated data can be useful in addressing identified satisfaction, retention, turnover, hiring, and promotion concerns. Common characteristics used to disaggregate data include:

  1. race and ethnicity/country of origin;
  2. generation status;
  3. immigration/refugee status;
  4. age group;
  5. sexual orientation; and
  6. gender/gender identity.
 

PA-HR 3.03

All personnel confirm receipt of a personnel policies and procedures manual that articulates current:

  1. conditions of employment; 
  2. benefits; 
  3. rights and responsibilities of employees; and 
  4. other important employment-related information. 
Related Standards:

Examples: Policies and procedures that are commonly addressed in a personnel policies and procedures manual include:

  1. the agency's equity statement;
  2. conditions and procedures for layoffs; 
  3. emergency and safety procedures; 
  4. equal employment policies;
  5. harrassment and discrimination;
  6. conflict of interest policies including nepotism and favoritism protections; 
  7. grievance process procedures; 
  8. insurance protections including unemployment, disability, medical care, and malpractice liability; 
  9. policies and procedures governing access to free legal counsel;
  10. performance review system; 
  11. whistle-blower protections;
  12. promotions; 
  13. professional development; 
  14. standards of conduct; 
  15. time-off policies; 
  16. wage policy; 
  17. working conditions;
  18. technology/network security and usage policies; and
  19. the use of social media, electronic communications, and mobile devices.
 

PA-HR 3.04

The agency reviews and updates the personnel policies and procedures manual every two years with an equity, diversity, and inclusion lens to ensure the manual remains up-to-date and promotes equity throughout the agency.

 

PA-HR 3.05

The agency follows personnel grievance procedures that include:
  1. the right to file a grievance without interference or retaliation;
  2. a description of how grievances are filed, to whom, and who will make a final determination; 
  3. timely written notification of the resolution and an explanation of any further appeal, rights, or recourse;
  4. processes for review including a third-party review of the final determination;
  5. documenting responses and actions taken; and
  6. maintaining a copy of the notification of resolution in the personnel record.
Interpretation: Regarding element (d), the third-party review refers to at least one level of review that does not involve the person about whom the complaint has been made or the person who reached the decision under review.
 

PA-HR 3.06

The agency provides all departing personnel with an opportunity to participate in an exit interview and documents their feedback or exit interview declination in the personnel record.

Examples: This interview can provide an opportunity to share feedback on the agency's strengths and weaknesses, including any administrative challenges related to their transition.
2024 Edition

Human Resources Management (PA-HR) 4: Performance Review

Performance review is an ongoing process that:
  1. establishes and refines goals for job performance and professional development; 
  2. assesses progress towards meeting goals for job performance and professional development;
  3. recognizes accomplishments; 
  4. provides constructive feedback; and
  5. facilitates open, two-way communication as a means to encourage performance improvement.

Note: Please see the Personnel Records Checklist for additional guidance on this standard.

1
Full Implementation, Outstanding Performance
A rating of (1) indicates that the agency's practices fully meet the standard and reflect a high level of capacity.  
  • All elements or requirements outlined in the standard are evident in practice, with rare or no exceptions: exceptions do not impact service quality or agency performance. 
2
Substantial Implementation, Good Performance
A rating of (2) indicates that an agency's infrastructure and practices are basically sound but there is room for improvement.
  • The majority of the standards requirements have been met and the basic framework required by the standard has been implemented. 
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality or agency performance.
3

Partial Implementation, Concerning Performance
A rating of (3) indicates that the agency's observed infrastructure and/or practices require significant improvement.  

  • The agency has not implemented the basic framework of the standard but instead has in place only part of this framework.  
  • Omissions or exceptions to the practices outlined in the standard occur regularly, or practices are implemented in a cursory or haphazard manner.  
  • Service quality or agency functioning may be compromised.  
  • Capacity is at a basic level.
4
Unsatisfactory Implementation or Performance
A rating of (4) indicates that implementation of the standard is minimal or there is no evidence of implementation at all.  
  • The agency’s observed administration and management infrastructure and practices are weak or non-existent; or show signs of neglect, stagnation, or deterioration.
 
Fundamental Practice

PA-HR 4.01

The agency provides every full-time and part-time employee with an annual, written performance review that involves the employee and the supervisor.
Interpretation: Performance reviews should be conducted in-person where possible. Ongoing, regular professional or case supervision, group supervision, etc., does not meet the intent of the standard. 

Examples: The agency can promote active participation by personnel in the performance review process by: 
  1. designating time to discuss the written review; 
  2. soliciting the individual's input on his or her accomplishments, challenges, and objectives for future performance and professional development; and
  3. providing opportunities for personnel to evaluate their supervisor's performance.
 

PA-HR 4.02

Performance reviews emphasize self-development and professional growth and include:
  1. objectives established in the most recent review; 
  2. accomplishments and challenges since the last review period;
  3. objectives for future performance; and
  4. individualized professional development plans that may contribute to improved job performance or advancement within the agency.
Related Standards:
 

PA-HR 4.03

Personnel have the opportunity to sign, obtain a copy of, and provide comments on written performance reviews.
2024 Edition

Human Resources Management (PA-HR) 5: Personnel Records

The organization maintains a personnel record for each employee.
Related Standards:

Note: See PA-RPM 5 for more information on appropriately limiting access to personnel records to protect confidentiality.


Note: Please see the Personnel Records Checklist for additional guidance on this standard.

1
Full Implementation, Outstanding Performance
A rating of (1) indicates that the agency's practices fully meet the standard and reflect a high level of capacity.  
  • All elements or requirements outlined in the standard are evident in practice, with rare or no exceptions: exceptions do not impact service quality or agency performance. 
2
Substantial Implementation, Good Performance
A rating of (2) indicates that an agency's infrastructure and practices are basically sound but there is room for improvement.
  • The majority of the standards requirements have been met and the basic framework required by the standard has been implemented. 
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality or agency performance.
3

Partial Implementation, Concerning Performance
A rating of (3) indicates that the agency's observed infrastructure and/or practices require significant improvement.  

  • The agency has not implemented the basic framework of the standard but instead has in place only part of this framework.  
  • Omissions or exceptions to the practices outlined in the standard occur regularly, or practices are implemented in a cursory or haphazard manner.  
  • Service quality or agency functioning may be compromised.  
  • Capacity is at a basic level.
4
Unsatisfactory Implementation or Performance
A rating of (4) indicates that implementation of the standard is minimal or there is no evidence of implementation at all.  
  • The agency’s observed administration and management infrastructure and practices are weak or non-existent; or show signs of neglect, stagnation, or deterioration.
 
Fundamental Practice

PA-HR 5.01

Personnel records are updated regularly and contain:

  1. identifying information and emergency contacts;
  2. application for employment including resume;
  3. hiring documents including job postings, interview notes, past employment verifications, and documentation of completed background checks when available;
  4. job description signed by the employee;
  5. compensation documentation, as appropriate;
  6. pre-service and in-service training records when training hours are documented in the personnel file; 
  7. health information or reports for annual physical examinations, appropriate to the job position or when required by law; and
  8. performance reviews and all documentation relating to performance, including disciplinary actions and termination summaries if applicable.
Related Standards:
Interpretation: An agency may maintain records in separate files according to its own record keeping system and as required by law or regulation. For example, EAP records, health benefits enrollment forms, grievances/complaints and response documents, and EEOC-related records must be kept separately from other personnel records.
 

PA-HR 5.02

Personnel may review, add, and correct information contained in their records, in accordance with applicable law. 
2024 Edition

Human Resources Management (PA-HR) 6: Volunteers

The agency recruits and retains a competent and qualified volunteer pool.
NA The agency does not use direct service volunteers, student professionals, or interns. 

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VIEW THE STANDARDS

1
Full Implementation, Outstanding Performance
A rating of (1) indicates that the agency's practices fully meet the standard and reflect a high level of capacity.  
  • All elements or requirements outlined in the standard are evident in practice, with rare or no exceptions: exceptions do not impact service quality or agency performance. 
2
Substantial Implementation, Good Performance
A rating of (2) indicates that an agency's infrastructure and practices are basically sound but there is room for improvement.
  • The majority of the standards requirements have been met and the basic framework required by the standard has been implemented. 
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality or agency performance.
3

Partial Implementation, Concerning Performance
A rating of (3) indicates that the agency's observed infrastructure and/or practices require significant improvement.  

  • The agency has not implemented the basic framework of the standard but instead has in place only part of this framework.  
  • Omissions or exceptions to the practices outlined in the standard occur regularly, or practices are implemented in a cursory or haphazard manner.  
  • Service quality or agency functioning may be compromised.  
  • Capacity is at a basic level.
4
Unsatisfactory Implementation or Performance
A rating of (4) indicates that implementation of the standard is minimal or there is no evidence of implementation at all.  
  • The agency’s observed administration and management infrastructure and practices are weak or non-existent; or show signs of neglect, stagnation, or deterioration.
 

PA-HR 6.01

A written assignment is developed, and periodically reviewed, for each volunteer, student professional, or intern position that includes:
  1. duties; 
  2. time commitment; 
  3. responsibilities and prohibited activities; 
  4. required skill sets, credentials, or trainings; and
  5. lines of supervision and the process for providing ongoing feedback.

Examples: Agencies can support appropriate assignments for prospective volunteers by using an interview and assignment process that:
  1. identifies the individual's skills, interests, abilities, relevant experience, and availability; and
  2. matches those with an available volunteer opportunity at the organization.
 

PA-HR 6.02

Direct service volunteers, student professionals, and interns are:
  1. directly supervised by licensed or otherwise accountable professionals;  
  2. appropriately trained to fulfill their role; and 
  3. participate in regular discussions and receive feedback regarding their performance.

Examples: When determining methods and timelines for providing regular feedback, the agency may consider the qualifications and experiences of the volunteer, educational requirements for students, and the complexity and intensity of the assignment.
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