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Audit: KCSO merit system largely compliant but hampered by paper processes and record-sharing gaps
Summary
Internal Audit found the Knox County Sheriff's Office merit system generally follows rules and maintains hiring files, but identified two formal findings — rule alignment and physical security — and recommended updating rules, formalizing FMLA record sharing, and increasing digitalization.
At the June 22 meeting, Harrison Lewis of Knox County Internal Audit presented the department’s review of the Knox County Sheriff’s Office (KCSO) employee merit system for the period June 30, 2024 through July 1, 2025. The audit examined hiring processes, applicant screening, and personnel record retention and concluded the merit office is generally operating in accordance with merit rules and regulations, while identifying specific areas needing alignment and stronger controls.
The audit tested a statistical sample of 49 newly hired employees (from 171 hires) and reviewed separate samples of unsuccessful applicants and terminated employees. Files were "generally complete, organized, and readily accessible," Lewis said, and documentation supported hiring decisions in the tested files. Timeliness of hiring in the sample ranged from 16 to 128 days with an average of 53 days.
Findings: Lewis described two formal findings. First, the merit office cannot independently demonstrate compliance with rule 6.1.2 (which requires psychological and physical exams within 30 days of a conditional offer) because dates of conditional offers are set and recorded by KCSO HR and not consistently recorded in merit office files. Second, rule 14.1 requires the merit office to retain FMLA documentation, but those records are maintained by KCSO HR and are not routinely transmitted to the merit office; auditors recommended establishing a formal process for sharing and retention. Auditors characterized these as misalignments between written rules and operational reality rather than staff misconduct.
Security and operations: The audit also found opportunities to strengthen physical security of sensitive personnel and medical files: gaps in surveillance coverage and monitoring at entry points and heavy reliance on paper records increase the risk of unauthorized access. Lewis recommended that the merit board work with PBA (the county building/administration entity) to evaluate access-control and surveillance enhancements and that the merit office pursue additional digital workflows to reduce paper handling.
Opportunities for improvement included publishing a periodically updated list of exempt positions to reduce ambiguity and exploring expanded electronic workflows to increase efficiency and record-management reliability.
Reactions: A commissioner observing the report noted historical resistance to digitization in the merit process and said the audit validated long-standing concerns that the office remains "stuck in time" with paper routing and manual handoffs. Management agreed with the recommendations and plans to meet with the merit board to discuss next steps.
Provenance: Topic introduced SEG 551; last related comment SEG 917.
