Career Banding

1. Career Banding Competency Assessment Training

2. Activity to Date • OSP developed state specifications and competency profiles for each banded title using statewide focus group. • Employees attended information session on career banding. • DHHS modified the competency profiles. • OSP developed the crosswalk for titles. • Management was notified of CB titles. • 585 positions had new Fiscal titles implemented as of 02/01/09. • 93 positions had new Engineer/Architect titles implemented as of 01/01/09.

3. Objectives • Introduction of new competency profiles for engineering and fiscal classifications • Understand how to assess an employee • Understand the difference between competency assessment and performance management • Understand how pay is administered in career banding • Timeframes

4. Financial Banded Class Titles used by DHHS • Accounting • Auditing • Budgeting • Business Management • Business Systems • Financial Analysis • Fiscal Executive

5. Engineering Banded Class Titles used by DHHS • Architect • Engineering/Architectural Technician • Engineer • Engineering/Architectural Supervisor • Engineering/Architectural Manager • Engineering/Architectural Director

6. Competency Profiles • Competency Profile developed for each banded class • Modified to fit DHHS • Describes roles • Describes competencies needed in the job • Includes the minimum Training & Education required for the banded class

7. What are Competencies? Competencies are the observable and measurable: • skills • knowledge • abilities • key behaviors that are necessary to perform the job.

8. Position Competency Level • Contributing Level: Role is seen as less complex or requiring lower level competencies to perform day-to-day activities (in relationship to others in the same band); • Journey Level: Role is seen as moderately complex and requires a fully applied body of knowledge to perform day-to-day activities (in relationship to others in the same band). • Advanced Level: Role is seen as most complex and broad in scope; it requires the utilization of the highest level of KSA’s in the day-to-day activities (in relationship to others in the same band).

9. Employee Competency Level Contributing: Demonstration of KSA’s and behaviors that are minimally required for the band; the needs of the position/organization impact the role/level. Journey: Demonstration of fully applied KSA’s and behaviors that are required for an employee in the band; the needs of the position/organization impact the role. Advanced: Demonstration of the highest or broadest scope of KSA’s and required in the band; the needs of the position/organization impact the role.

10. Competency Levels: Business Officer Contributing Journey Advanced Employees at this level are business officer professionals who apply a comprehensive knowledge of accounting, budget and business practices for a multifaceted organization with unique and specialized activities and services. Employees also oversee activities that impact and interface with other functional areas. Employees at this level are business officer professionals who apply well-defined accounting, budget and business practices to address the business needs of an organization with consistent funding sources for several functional activities or services. Employees at this level are business officer professionals who apply a broad knowledge of accounting, budget and business practices for an organization with dynamic funding sources and a variety of functional activities, programs, and/or services.

11. Competency Levels: Accounting Technician Contributing Journey Advanced Positions at this level independently perform a full range of technical accounting work which may include responsibility for maintaining accounting records of considerable complexity, or supervising a separate financial function of considerable complexity. Positions independently analyze work for accuracy and problem-solve issues. They test new processes and coordinate and implement system changes. They interpret policies, rules, and regulations and may reverse and/or correct errors. Positions at this level supervise technical and support staff. Positions at this level perform entry level technical accounting duties involving the maintenance and reporting of routine financial accounting data followingstandardized methods and procedures. Work involves double entry accounting work, including posting to account ledgers; reconciling accounts; verifying entries; maintaining and controlling general ledger accounts, reports, registers, and statements; and using spreadsheets and formulas. Most work is subject to review by a higher-level supervisor. Positions at this level perform technical accounting duties involving the maintenance and reporting of financial accounting data. Work involves double entry accounting, (post to account ledgers; reconcile accounts; verify entries; maintain/control general ledger accounts, reports, registers, and statements); and working with financial accounts of moderate variety and complexity. Positions provide account guidance to others and ensure integrity of functions. They interpret policies, rules and regulations and they may reverse and/or correct errors. Work requires considerable knowledge of work unit practices and procedures. Positions at this level may supervise support staff.

12. Competency Levels: Engineer Contributing Journey Advanced Engineering work of a high-degree of complexity. May supervise or serve as a technical expert in the area of assignment. Independently plan and manage large, complex projects and programs. Assures standards for quality and quantity are met. Review/approve work, budget, schedules. Represents the agency as an expert. • Engineering work of limited to moderate complexity. Review, evaluate, prepare plans, specifications, calculations, and other engineering documents. Analyze or design less complex projects; conduct inspections, audits, investigations. Provide consultation, technical assistance. • Engineering work of moderate to high-degree of complexity. Analyze, design, design review & approval, determination of environmental and safety impacts. Project management oversight. Assignments lack precedent; more technically complex. Independently perform duties including consultation, technical assistance, and negotiation.

13. Competency Levels: Engineering Technician Contributing Journey Advanced Performs complex technical duties in one or more major areas of a program supporting engineers and other professionals. Implements activities either independently or through the coordination of work efforts of other employees. Reviews completed tasks and overall accomplishments for accuracy. Requires advanced knowledge of compliance and/or regulatory standards. May serve as a supervisor/technical resource to lower level staff. Work is subject to review by higher-level professional staff. • Performs entry-level technical duties in one or more major areas of a program supporting engineers and other professionals. May require general knowledge of compliance and/or regulatory standards. Assignments at this level are routine in nature and follow established guidelines and procedures. Work is subject to review by higher-level technical and professional staff. • Performs moderately complex technical duties in one or more major areas of a program supporting engineers and other professionals. May require a working knowledge of compliance and/or regulatory standards. Assignments at this level may vary from established guidelines and procedures. Work is subject to review by higher-level technical and professional staff..

14. Now What? “Classifying and leveling the job is one thing, but how do I determine the level of my employees?”

15. Competency Assessment • Process used to determine an employee’s competency level in career banding • Compares the work demonstrated by the employee to the banded class profile • Competency level rating (C, J, A) is provided for each competency in the profile • An overall level of C, J or A is then determined based on the summary of all the individual competency ratings

16. Business Officer Business Administration Financial Management Human Resources Management Info Analysis & Decision Making Decision Making Communication Engineer Professional Knowledge Program/Project Management Engineering Review, Decision Making & Analysis Communication Engineering Design & Analysis Leadership Competencies

17. Competency Assessment Steps • Gather all necessary documents • Job description • PM form • Documentation • Reports • Feedback from others • Complete a competency assessment for each employee in the new banded title using the CA form • Cut and paste job description summary • Write 2-3 sentences for each competency

18. Competency Assessment Steps (cont’d) • Determine the level of each competency by comparing your sentences to the profile. • Determine an overall rating based on the summary of individual competencies. • Communicate ratings to the employee through discussion. • Record the ratings on the Aggregate Leveling Form for your work unit.

19. Competency Demonstrated Knowledge, Skills and Abilities Supporting Level Assignment Initial Level Contributing  Journey X Advanced  Contributing  Journey X Advanced  Contributing X Journey  Advanced  Contributing  Journey  Advanced X Assess Individual Competencies: Business Officer Independently manages a variety of business functions for division. Responsible for personnel, payroll, purchasing, inventory control and IT work. Ensures the application of sound business practices and interprets relevant policies and procedures. Business Administration Has thorough knowledge and understanding of DHHS accounting and budgeting practices in order to develop budget and capital expense proposals. Accountable for financial transactions in large, dynamic division. Serves as a resource. Financial Management Able to convey and prepare written budget reports containing factual information, general guidelines and standard procedures. Responds to routine and non-routine inquiries. Communication Analyzes budget and independently makes decisions about budget issues. Delegated authority to approve or deny requests for funding. Information Analysis and Decision Making

20. Competency Demonstrated Knowledge, Skills and Abilities Supporting Level Assignment Initial Level Contributing  Journey X Advanced  Contributing  Journey X Advanced  Contributing X Journey  Advanced  Contributing  Journey  Advanced  Assess Individual Competencies: Engineering Technician Independently prepares and updates engineering drawings of current building(s) and proposed renovations and upgrades. Attended classes in CAD 123 and is using this software to accomplish drawings. Assisted Facility Maintenance Manager in determining locations of water lines and updated drawings accordingly. Technical Knowledge Has thorough knowledge and understanding of NCBC and DHSR Licensure regulations. Accompanies DHSR engineers (and/or Building Inspector) during all inspections. Notes all problems; addresses with manager. Inspections Able to convey and prepare written reports containing factual information, general guidelines and standard procedures. Responds to routine and non-routine inquiries. Communication N/A Leadership

21. Exercise • Use the sample competency assessment form John Cash or Eli Browne • Compare competency statements provided to profile • Award rating for individual competencies • Comments or Questions?

22. Determine Overall Level • Consider individual competency levels and determine overall competency level. • Generally, the overall competency level is the same level as the level of the majority of individual competencies. Example: 1 – C, 2 – J, 1 - A Overall rating: Journey • Determine the overall rating for Cash/Browne.

23. Overall Level Note: The employee can not be assessed at a higher level overall than the level of the position. However, individual competencies can be assessed at any level.

24. Supervisor Tips • Collect data throughout the year • Ensure that job descriptions are current • Encourage employee to provide work examples related to competencies • Use work examples not personal characteristics when completing the assessment • Do not consider pay when initially assessing employees – that is done after the assessment is complete

25. Focus on the work being performed!Competency: Analytical Thinking Not: “John is a smart person and a critical thinker. He comes to work everyday and is never late.” But: “John collects and analyzes budget data for the ABC project funded by the research grant. He summarizes the data through creation of tables and graphs in Excel/Access. He provides these to the project leader for incorporation into the project report.”

26. Writing Competency Assessments Exercise • Read the training scenarios for Connie Contracts or Steve Builder • Write up a sample summary for one competency as a small group • Share with large group • Choose another competency and write up a sample summary on your own

27. Resources for Managers • Supervisor’s Guide for Competency Assessment • Discussion Planner • Competency Assessment Forms (blank and by banded title) • FAQ’s • Aggregate leveling form (blank) • Employee Fact Sheet for Competency Assessment • Web resources http://www.dhhs.state.nc.us/humanresources/banding/

28. Competency Assessment Assesses level of work being demonstrated by the employee Uses the banded class profile as a foundation Completed at rollover Completed thereafter when changes occur (should be completed at least every 3 years) Uses CB dispute policy As competencies are developed, pay can be awarded Includes career development discussion Performance Management Evaluates employee performance based on goals of work unit Documents results Uses the vision, mission and goals of the work unit as foundation Completed annually Uses PM Grievance policy Pay may be awarded if funded by legislature Includes Performance Improvement Plan if needed Differences between CA and PM

29. Making It Easier for You • New shorter PM form/process • Dimensions are no longer on PM • KRRs are replaced by goals and results • PM Training at a later date • PM is an annual process – can be combined with competency assessment cycle

30. Salary Administration &Pay Guidelinesfor Banded Positions

31. OSP Policy states … • Contributing: Salaries for employees with contributing competencies should be below the journey market rate guidelines, as established by OSP, but not below the minimum of the class pay range. • Journey: Salaries for employees with journey competencies should be within the journey market rate guidelines, unless business needs (budget) prevent this. • Advanced: Salaries for employees with advanced competencies should be above the journey market rate guidelines, unless business needs (budget) prevent this. Salaries must not exceed maximum of the class pay range.

32. DHHS Pay Guidelines Fully demonstrates C level competencies Fully demonstrates J level competencies Fully demonstrates A level competencies CRR ARR min max JMR New hires or employees who do not possess or demonstrate all of the C level competencies New hires or employees who demonstrate some of the C level competencies and some of the J level competencies New hires or employees who demonstrate some of the J level competencies and some of the A level competencies Employees who demonstrate all of the A level competencies and may be demonstrating some higher level banded class competencies

33. Pay Factors • Financial ResourcesThe amount of funding that a manager has available when making pay decisions. • Appropriate Market RateThe market rate applicable to the competencies demonstrated by the employee. • Internal Pay AlignmentThe consistent alignment of salaries for employees who demonstrate similar required competencies in the same banded class within a work unit or organization. • Required CompetenciesThe competencies and associated levels that are required based on organizational business need and demonstrated on the job.This pay factor considers: • Minimum qualifications for class • Knowledge, skills, abilities and behaviors • Related education and experience • Duties and responsibilities • Training, certification, and licenses

34. Compensation Managers must consider the 4 pay factors when any of the following occur: • New Hire/Transfer • Permanent Status • Promotion • Reassignment • Career Progression Adjustment Career Banding offers more flexibility and fewer restrictions.

35. Competency Pay Factor - Example #1 Contributing Journey Advanced X Competency #1 X Competency #2 X Competency #3 X x Competency #4 X Overall Competency Max Min Contributing Reference Rate Journey Market Rate Advanced Reference Rate

36. Competency Pay Factor - Example #2 Contributing Advanced Journey X Competency #1 Competency #2 X X Competency #3 Competency #4 X Overall Competency X Max Min Contributing Reference Rate Journey Market Rate Advanced Reference Rate

37. Competency Pay Factor - Example #3 Contributing Advanced Journey X Competency #1 Competency #2 X X Competency #3 Competency #4 X Overall Competency X Max Min Contributing Reference Rate Journey Market Rate Advanced Reference Rate

38. Sample: Aggregate Leveling Form

39. Aggregate Leveling Form Exercise • Exercise: Short, Baird, Dunham (Eng) • Exercise: Business, Controller, Dataset (Fiscal) • Determine the overall level for each employee considering the competency levels provided. • Determine the appropriate salary for each employee. • Discuss in your group.

40. DHHS Pay Band Placement Guidelines Engineer Fully demonstrates C level competencies Fully demonstrates J level competencies Fully demonstrates A level competencies CRR ARR min max JMR $41,532 $52,102 $85,657 $108,999 $62,523 New hires or employees who do not possess or demonstrate all of the C level competencies New hires or employees who demonstrate some of the C level competencies and some of the J level competencies New hires or employees who demonstrate some of the J level competencies and some of the A level competencies Employees who demonstrate all of the A level competencies and perform some higher level banded class competencies Using the market rate and overall competency level for these three employees, determine where in the band you would set salary. Vickie Short Dennis Baird John Dunham

41. Aggregate Leveling Form Exercise Engineer

42. DHHS Pay Band Placement Guidelines Business Officer Fully demonstrates C level competencies Fully demonstrates J level competencies Fully demonstrates A level competencies CRR ARR min max JMR $37,300 $48,650 $79,874 $99,409 $60,000 New hires or employees who do not possess or demonstrate all of the C level competencies New hires or employees who demonstrate some of the C level competencies and some of the J level competencies New hires or employees who demonstrate some of the J level competencies and some of the A level competencies Employees who demonstrate all of the A level competencies and perform some higher level banded class competencies On the Aggregate Leveling Form, identify the overall competency level for these three employees. Then determine where in the band they should be paid. Discuss in your group. Bobby Business Carol Controller Freddy Fiscal

43. Aggregate Leveling Form Exercise: Fiscal

44. Internal Pay Alignment • Monitored by the division or facility • Group employees for comparison • Band • Level • Number of competencies rated at C, J, or A • Performance rating

45. Salary Decision Worksheet • Used to document pay decisions • New Hire • Promotion • Demotion • Grade-Band Transfer • Probationary to Permanent • Reassignment • Horizontal Transfer • Competency Increase • Retention • Labor Market • Competency Level Change • Completed by the manager and sent to HR

47. Salary Decision Worksheet Exercise • Review Connie Contract salary decision worksheet. • Complete a salary decision worksheet for Molly Miller to give her a career progression adjustment (Labor Market) to bring closer to the appropriate journey market rate of $37,200. Her current salary is $35,000. She has all Journey-level competencies. • Work in small groups • Report back to the full group.

48. Dispute Review Process • For career status career banded employees only • Dispute process for career banding pay decisions only • Definition of a pay decision is promotion, reassignment, and career progression adjustment • Not disputable if no funding • Limited funding plan (priority list).

49. Timeframes • Competency Assessments due to local HR Office by April 30, 2009 • Completed, signed off by management and discussed with employee

50. Web Resources • DHHS Human Resources http://www.dhhs.state.nc.us/humanresources/banding • OSP Career Banding http://www.osp.state.nc.us/CareerBanding/career-banding.htm • Competency Profiles http://www.osp.state.nc.us/CareerBanding/specs%20profiles%20crosswalks/Profiles/profiles.htm