Objective

To assess the extent of implementation of the four recommendations included in our initial audit report, Human Resource Practices (Report 2018-S-57).

About the Program

A part of the State University of New York (SUNY) system since 1950, Upstate Medical University’s (Upstate) mission is to improve the health of the communities it serves through teaching, research, and patient care. Upstate, the only academic medical center in Central New York, comprises four colleges, a research enterprise, one hospital with two locations (Upstate University Hospital and Upstate University Hospital at Community Campus), and over 80 outpatient clinics and other centers. Based on information provided by Upstate, it serves approximately 1.8 million people and is Central New York’s largest employer, with a workforce of more than 10,000 supporting its operations. According to Upstate officials, each year, Upstate’s Human Resource Department (HR) receives over 30,000 employment applications and processes approximately 1,600 new hires, 1,000 separations, and 1,700 job changes.

Our initial audit report, issued on September 25, 2019, sought to determine if Upstate developed and consistently applied policies and procedures related to select human resource functions. Our audit covered the period from January 1, 2015 through June 24, 2019. Overall, we found insufficient HR monitoring and oversight, as well as inadequate or poorly enforced policies and procedures, contributed to questionable and/or weak practices that rendered Upstate vulnerable to misuse of funds and safety and security risks.

Key Finding

Upstate officials made significant progress in addressing the problems identified in the initial audit, having implemented all four recommendations.