Management and Supervision for Local Government Supervisors, Directors and Administrators

1. Management and Supervision for Local Government Supervisors, Directors and Administrators Keita Cannon, SPHR, CPM Local Government Program Team Leader North Carolina Office of State Personnel http://www.osp.state.nc.us/ExternalHome/

2. Topics for Discussion • Statutory and Administrative Code Provisions • Basics of the Position Classification Process • Recruitment Rules Worth Remembering • Relaying Reference Information • Personnel Files and Providing Public Information • Concept of Career-Status • Discipline and Dismissal

3. GS 126 – The State Personnel Act 126-1 Purpose of Chapter; Application to Local Employees 126-1.1 Career State Employee 126-5 Employees Subject to Chapter; Exemptions Article 3 Local Discretion as to Local Government Employees Article 8 Employee Appeals of Grievances and Disciplinary Action

4. North Carolina Administrative Code: 25 NCAC01I – Service to Local Government Section .1700Local Government Employee Policies Section .1800General Provisions Section .1900Recruitment and Selection Section .2000Appointment and Separation Section .2100Compensation Section .2200Hours of Work and Overtime Compensation Section . 2300Disciplinary Action: Suspension, Dismissal and Appeals Section .2400Basic Requirements for a “Substantially Equivalent” Personnel System

5. Position Classification The process by which a group (or class) of positions are defined by the types and levels of work involved Positions are evaluated based on the application of accepted job analysis techniques and according to job factors The relative importance and presence (or absence) of these job factors is how a position is appropriately leveled

6. Position Classification (cont) 8 factors utilized to evaluate jobs: • Variety and Complexity of Work • Analytical Requirements • Decision-Making/Consequence of Error • Nature of Supervision Received • Nature of Supervision Given • Nature and Purpose of Public Contacts • Working Conditions • Knowledge, Skills and Abilities

7. Position Classification (cont) Factor# 1: Variety and Complexity of Work Variety - indicates the kinds of work performed; range of different duties; whether the duties call for similar or unrelated KSAs Complexity – nature and intricacy or tasks; difficulty and originality in performing the work; repetition; problems encountered; whether established procedures exists to handle issues; need to exercise independent judgment

8. Position Classification (cont) Factor# 2: Analytical Requirements Intricacy of work processes and the range of thinking, and judgment required; new approaches or deviations from standard work practices

9. Position Classification (cont) Factor# 3: Decision-Making/Consequence of Error Types of recommendations or decisions affecting programs, methods, policies or people; delegated authority and binding commitments

10. Position Classification (cont) Factor# 4: Nature of Supervision Received Extent of planned supervisory control exercised over position

11. Position Classification (cont) Factor# 5: Nature of Supervision Given Leadership and coordination of the efforts of others; accountability for the performance of others

12. Position Classification (cont) Factor# 6: Nature and Purpose of Public Contacts Type and range of interaction with others while accomplishing an objective

13. Position Classification (cont) Factor# 7: Working Conditions Risks, hazards and discomforts in the surroundings; additional demands in carrying out safety regulations and techniques

14. Position Classification (cont) Factor# 8: Knowledge, Skills and Abilities What is needed for the full performance of work; includes training and experience and licensing and certification requirements

15. Position Classification (cont) Job Enlargement – more duties added to a position at the same or lower level; does not drive a reallocation request Job Enrichment – more duties added to a position at a higher level; can be a driver for a reallocation request

16. Position Classification (cont) Tools of the Position Management Trade • Class Specification • Job Description Form (PD-102R) • Organizational Chart • Position Action Form (PD 118) • Local Government Resources Manual

17. Position Classification (cont) Popular Misconceptions of Position Classification • Something is different in a position; therefore it needs to be reallocated • My Director has approved the position at a certain level so the classification should be the same • My County has funded a position at a certain level so the classification should be the same • If I take a job description from another Agency and replace it with my Agency’s name, that warrants a reallocation

18. Recruitment and Selection • Must post vacancies! • For internal candidates only, recommend posting for a minimum of 5 work days • For all candidates (internal and external), must post for a minimum of 7 work days

19. Recruitment and Selection (cont) • Training and Experience requirements (and agency-specific requirements) • Qualified vs Most Qualified pools • Trainee vs Work-Against

20. Recruitment and Selection (cont) Giving and Receiving References • No statute or administrative code provision requires you to give references • If you do provide thorough reference information, you can provide a full account of the employee’s job history and job performance to a prospective employer and be protected (§ 1‑539.12.  Immunity from civil liability for employers disclosing information)

21. Personnel Files in Local Government What Constitutes a Personnel File? Found in 153A-98 for Local Entities; not126-22 which applies to State employees only: “For purposes of this section, an employee's personnel file consists of any information in any form gathered by the county with respect to that employee and, by way of illustration but not limitation, relating to his application, selection or nonselection, performance, promotions, demotions, transfers, suspension and other disciplinary actions, evaluation forms, leave, salary, and termination of employment” §153A-98(a) – Privacy of Employee Personnel Records

22. Personnel Files in Local Government (cont) What constitutes Public Information? “The following information with respect to each county employee is a matter of public record: name; age; date of original employment or appointment to the county service; the terms of any contract by which the employee is employed whether written or oral, past and current, to the extent that the county has the written contract or a record of the oral contract in its possession; current position title; current salary; date and amount of the most recent increase or decrease in salary; date of the most recent promotion, demotion, transfer, suspension, separation or other change in position classification; and the office to which the employee is currently assigned” §153A-98(b) Privacy of Employee Records

23. Appointment Status Types Probationary No less than 3m and no greater than 9m; at-will with no due process rights Twilight 9m to 24m period in which the employee has satisfied their probationary period but still at-will and no due process rights Career-Status 24m of consecutive service in a covered position; can only be disciplined or dismissed for just cause

24. Career-Status The *NEW* Career-Status rule was effective May 1, 2009 Standardizes the way Local Entities treat individuals with regard to Career-Status Applies to all Local Entities covered under the State Personnel Act

25. Discipline and Dismissal in Local Government The goal should be to resolve deficient performance or conduct Intended to always be corrective in nature unless circumstances warrant a punitive response to bring forth change Covered in Article 8 of the SPA and Section 2300 of the NCAC

26. Discipline and Dismissal in Local Government (cont) The procedures we are about to discuss need only be executed with those employees who have achieved Career-Status and thereby have a Property Interest in their job Probationary, Twilight and Temporary employees do not have a Property Interest in their positions and can be dismissed for any reason EXCEPT for a discriminatory one Property Interest anyone?

27. Discipline and Dismissal in Local Government (cont) Property Interest – reasonable expectation of continued employment at the same salary grade and rate provided performance is satisfactory Unless Just Cause exists to alter the above, I should keep my job as long as I want. Even if Just Cause does exist, I must be afforded Due Process (which is notice and opportunity to be heard) before my Property Interest is taken away

28. Discipline and Dismissal in Local Government (cont) • Assess situation before making decision • Is this a Career-Status employee? • Is it Performance or Conduct? • Is it a new or recurring issue with this employee? • Is it a minor or egregious issue?

29. Discipline and Dismissal in Local Government (cont) • How have we dealt with this situation in the past if there is nothing unique to this incident? • Do we have similarly situated employees and how (or have) we disciplined them? *This is not an all-inclusive list but a reference or starting point if you want to use it.

30. Just Cause for Disciplinary Action Only two bases: • Unsatisfactory Job Performance • Unacceptable Personal Conduct *Don’t worry – Grossly Inefficient Job Performance will be covered later

31. Unsatisfactory Job Performance Issues associated with Unsatisfactory Job Performance • Timeliness • Quality • Quantity • Accuracy • Attendance *Some folks want attendance under unacceptable personal conduct

32. Unsatisfactory Job Performance (cont) When disciplining for Unsatisfactory Job Performance remember that it involves: • Multiple steps (NOT a one-and-done) • Specific and detailed examples of the deficiencies • Consistency with performance evaluations *This holds true unless you are disciplining for Grossly Inefficient Job Performance

33. Unacceptable Personal Conduct Can be defined as “any behavior a reasonable person would know to be wrong and could result in any level of discipline, up to and including dismissal, without prior disciplinary actions on file” The fact that you can dismiss an employee without any prior disciplinary actions on file for Grossly Inefficient Job Performance is why some people identify it with Unacceptable Personal Conduct

34. Unacceptable Personal Conduct (cont) When disciplining for Unacceptable Personal Conduct, some things to keep in mind: No need to warn employee about conduct Can impose any level of discipline, regardless of whether active disciplinary actions exist Insubordination is Unacceptable Personal Conduct; Attitude is… different

35. Insubordination versus Attitude Insubordination is defined as the deliberate refusal to carry out a reasonable work order from an authorized supervisor Attitude is more subjective – how would you define attitude? If you are going to discipline based on attitude, you should have strong supporting business metrics to accompany the action

36. Grossly Inefficient Job Performance Defined in two ways: • The creation of the potential for death or serious harm to a client(s), an employee(s), members of the public or person(s) over whom the employee has responsibility; or • The loss or damage to agency property or funds that result in a serious impact on the agency or work unit

37. Types of Disciplinary Actions Only FOUR types: • Written Warning • Suspension Without Pay • Demotion • Dismissal

38. Written Warning Elements a Written Warning must contain: • Be in writing and clearly state it is a Written Warning • Detail specific deficiencies • Detail specific corrections • Give timeframe by which corrections need to be made (if not indicated = 60 days) • Consequences for failing to make corrections • Give appeal rights (if applicable)

39. Written Warning (cont) Can be used for any type of just cause without prior disciplinary action(s) on file Can be issued without conducting pre-disciplinary conference Lifespan is typically 18 months

40. Suspension Without Pay Should be implemented in periods of no less than 1 week and no greater than 2 weeks Can be issued for Unsatisfactory Job Performance only if an active disciplinary action exists Can be issued on basis of Unacceptable Personal Conduct or Gross Inefficiency at any time Must conduct a Pre-Disciplinary Conference before implementing Lifespan is typically 18 months

41. Demotion Can be effected three different ways: • Lower Salary Grade and Lower Salary Rate • Lower Salary Grade and Same Salary Rate • Same Salary Grade and Lower Salary Rate Can be issued on the basis of Unsatisfactory Job Performance only if active disciplinary action exists

42. Demotion (cont) Can be issued on the basis of Unacceptable Personal Conduct or Gross Inefficiency at any time Must conduct a Pre-Disciplinary Conference before implementing Lifespan is typically 18 months

43. Termination Two types: • Based on disciplinary reasons • Based on involuntary reasons (usually referred to as separations)

44. Termination - Disciplinary Can be issued on the basis of Unsatisfactory Job Performance only if TWO active disciplinary actions exist Can be issued on the basis of Unacceptable Personal Conduct or Gross Inefficiency at any time Must conduct a Pre-Disciplinary Conference before implementing

45. Separation - Involuntary Voluntary Resignation Without Notice Employee absent from work for 3 consecutive days and fails to notify employer No Pre-Disciplinary Conference necessary No right of appeal associated with this type of separation

46. Separation - Involuntary Separation Due to Unavailability When Leave is Exhausted For reasons outside the employee’s control, they are unable to return back to work after all credits are exhausted Must let employee know, in writing, of proposed separation No Pre-Disciplinary Conference necessary Must give employee appeal rights; this separation is grievable

47. Placement on Investigation Many different names – Investigatory Status, Administrative Leave, Leave With Pay, etc. NOT A DISCIPLINARY ACTION! Must be in writing; used to investigate deficiencies, allow time to schedule a Pre-Disciplinary Conference, avoid disruption in the workplace or protect persons or property

48. Placement on Investigation (cont) Should last no longer than 30 calendar days; one extension for another 30 days after which employee returned to work or disciplined as appropriate Not acceptable to use for delaying an administrative decision on an employee's work status pending the resolution of a civil or criminal court matter involving the employee

49. Pre-Disciplinary Conference Prior to conducting a Pre-Disciplinary Conference: Give advance notice (no less than 2 hours) in writing Notice must inform of date, time, location and issues bringing rise to conference Is employee’s time to respond not management’s time to berate

50. Pre-Disciplinary Conference (cont) Must always conduct if proposed disciplinary action will be suspension, demotion or termination No attorneys, family members, witnesses, etc No decision made before the start of the next business day or later than the close of the second business day Decisions shall be communicated in writing with specific reasons and appeal rights should accompany decision