1. Fiscal Career Banding Competency Assessment Training

2. 2 Fiscal Career Banding Completed rollover of 585 DHHS positions to the new Fiscal titles effective February 1, 2009 Position competency levels were determined based on OSP crosswalk Next Step – Employee Competency Assessments

3. 3 Objectives Review of competency profiles for 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. 4 Financial Banded Classes Financial Banded Classes Accounting Auditing Budgeting Business Management Business Systems Financial Analyst Fiscal Executive

5. 5 What are Competencies? Competencies are the observable and measurable: skills knowledge abilities key behaviors that are necessary to perform the job

6. 6 Levels of Competencies Contributing : knowledge, skills, and abilities minimally required to perform work in a banded class Journey : fully applied body of knowledge, skills, and abilities required for a banded class to perform job assignments successfully Advanced: the highest or broadest scope of knowledge, skills, and abilities required in the banded class to perform job assignments successfully

7. 7 Fiscal Banded Class Competency Profiles A Competency Profile is developed for each Banded Class Modified to fit DHHS Describes roles Describes competencies needed in the job Includes the Minimum Training and Education required for the banded class

8. 8 Examples of Accounting Technician Competency Profile Level Concepts CONTRIBUTINGJOURNEYADVANCED Perform entry level accounting duties involving the maintenance and reporting of routine financial accounting data following standardized methods and procedures. Most work is subject to review by a higher level supervisors Perform technical accounting duties involving the maintenance and reporting of financial accounting data. Works with accounts of moderate variety and complexity. Provide guidance to others. Interpret policies. May supervise support staff. 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. Test new processes, coordinate and implement system changes. Interpret policies. Supervise staff.

9. 9 Examples of Accountant Competency Profile Level Concepts Examples of Accountant Competency Profile Level Concepts CONTRIBUTINGJOURNEYADVANCED Apply accounting principles and theory to a limited range of accounting, budgeting and/or other fiscal functions. May supervise the work of others. Apply accounting principles and theory to a variety of responsible accounting, budgeting cost accounting, and/or other fiscal functions. Includes report preparation and reconciliation or supervising these functions. Preparing reports and statements requiring interpretation and analysis of accounting records. May be involved in system design. Perform complex, specialized accounting and/or supervise employees engaged in budgeting, cost accounting or other fiscal operations/functions. Direct daily operations of an accounting system. Develop non-standard reports and statements requiring interpretation and analysis of trends. Independently resolves problems. Involved in the most complex systems design.

10. 10 Examples of Accounting Manager Competency Profile Level Concepts Examples of Accounting Manager Competency Profile Level Concepts CONTRIBUTINGJOURNEYADVANCED Perform supervisory functions for a single organization or unit with a unique area of assignment. Exercise a high level of decision making. May perform training functions, review work, assist with interviewing and selecting staff, interpret standard Operating Procedures. Resolve minor disciplinary issues. Perform managerial functions for one unit or organization while assessing for and ensuring the provision of a full range of fiscal services. Exercise a high level of decision making. May perform training functions, review work, assist with interviewing and selecting staff, interpret standard Operating Procedures. Resolve minor disciplinary issues. Perform managerial functions over multiple organizational units, a specific region or an entire organization. Exercise a high level of decision making. May perform cross training and assignment of staff across heterogeneous service areas.

11. 11 Now What? Classifying and leveling the job is one thing... But how do I determine the level of my employees?” “Am I determining the level of the position or the person?”

12. 12 Competency Assessment The process used to determine an employee’s level (C,J,A) in career banding Compares the banded class profile to the work demonstrated by the employee 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

13. 13 Fiscal Competencies Accountant Professional Knowledge Financial Monitoring and Analysis Decision Making Supervision Communication and Interpersonal Skills Business Officer Business Administration Financial Management Human Resource Management Information Analysis and Decision-Making Communication

14. 14 Example Review the sample competency assessment form for John Cash Notice the individual ratings Compare them to the overall rating Comments and Questions?

15. 15 Competency Assessment Steps Gather all necessary documents - Blank competency assessment form, - Appropriate profile - Job description - Work plan and any other documentation Begin completing the blank competency assessment form (one for each employee) Cut and paste job description summary from position description Identify competencies required for position from profile Write 2-3 assessment sentences for each competency that describes how the employee has demonstrated the competency – give specific examples

16. 16 Competency Assessment Steps (cont’d) Determine the level of the competency by comparing your sentences to the profile Determine an overall competency level 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

17. 17 Identify Key Competencies CompetencyDemonstrated Knowledge, Skills and Abilities Supporting Level AssignmentInitial Level Contributing  Journey  Advanced  Contributing  Journey  Advanced  Decision Making Contributing  Journey  Advanced  Supervision Contributing  Journey  Advanced  Identify the competencies from the profile that are relevant to the position Financial Monitoring & Analysis Professional Knowledge

18. 18 Assess Individual Competencies CompetencyDemonstrated Knowledge, Skills and Abilities Supporting Level AssignmentInitial Level Contributing  Journey X Advanced  Contributing  Journey X Advanced  Contributing X Journey  Advanced  Contributing  Journey  Advanced X Business Administration Financial Management Communication Information Analysis and Decision Making 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. Able to convey and prepare written budget reports containing factual information, general guidelines and standard procedures. Responds to routine and non-routine inquiries. Analyzes budget and independently makes decisions about budget issues. Delegated authority to approve or deny requests for funding. 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.

19. 19 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. For example, C- 1, J – 2, A-1 for an overall level of Journey

20. 20 Overall Level Position Level Contributing CJ=not validA= not valid Journey CJA= not valid Advanced CJA 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. Overall Level for Employee Assessment

21. 21 Supervisor Tips Collect data throughout the year to avoid last minute recency effect Ensure that job descriptions are current Keep files on employees to collect data Put responsibility on 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

22. 22 Focus on the work being performed: Analytical Thinking Don’t Say – “John is a smart person and a critical thinker. He works hard to get his work done.” Say – 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.

23. 23 Writing CA Exercise Read the summary documentation for Connie Contracts 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

24. 24 Resources for Managers Supervisor’s Guide Competency Assessment Discussion Planner Competency Assessment Forms Aggregate Leveling Forms Web resources www.dhhs.state.nc.us/humanresources/banding

25. 25 Differences between CA and PM 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

26. 26 Making It Easier for You New shorter PM form/process Dimensions are no longer on PM KRRs are replaced by goals and results Training to come Still an annual process – can be combined with competency assessment cycle

27. Salary Administration for Banded Positions Salary Administration for Banded Positions Pay Guidelines

28. 28 Office of State Personnel Policy Salary Determination OSP Career Banding 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.

29. 29 DHHS Pay Guidelines minmax CRR JMR ARR Fully demonstrates C level competencies Fully demonstrates J level competencies Fully demonstrates A level competencies 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

30. 30 Pay Factors Pay Factors F inancial Resources The amount of funding that a manager has available when making pay decisions. A ppropriate Market Rate The market rate applicable to the competencies demonstrated by the employee. I nternal Pay Alignment The consistent alignment of salaries for employees who demonstrate similar required competencies in the same banded class within a work unit or organization. R equired Competencies The 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

31. 31 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.

32. 32 Career Band Example Journey Market Rate $37,200 $ 24,605 $52,374 Minimum Maximum Employees progress through the range Contributing Journey Advanced $30,923 $ 37,200 $44,752 Accounting Technician

33. 33 Competency Pay Factor - Example #1 Competency #1 X Competency #2 Competency #3 Competency #4 Overall Competency Contributing Journey Advanced X X X Min Max Contributing Reference Rate Journey Reference Rate Advanced Reference Rate X

34. 34 Competency Pay Factor - Example #2 Competency #1 X Competency #2 Competency #3 Competency #4 Contributing Journey Advanced X X X X Min Max Contributing Reference Rate Journey Reference Rate Advanced Reference Rate Overall Competency

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

36. 36 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

37. 37 Employee Name: Connie Contracts Banded title: Business Officer CommunicationBusiness Administration Financial Management HR Management Information Analysis and Decision Making Overall Level Market RateCurrent Salary JJJJCJ $60,000$50,250 Employee Name: Penelope Purchasing Banded title: Business Officer CommunicationBusiness Administration Financial Management HR Management Information Analysis and Decision Making Overall Level Market Rate Current Salary JCJCJJ $60,000$55,100 Employee Name: Bobby Budget Banded title: Business Officer CommunicationBusiness Administration Financial Management HR Management Information Analysis and Decision Making Overall Level Market RateCurrent Salary AAAJAA $79,874$67,980 Sample: Aggregate Leveling Form

38. 38 DHHS Pay Band Placement Guidelines minmax CRR JMR ARR Fully demonstrates C level competencies Fully demonstrates J level competencies Fully demonstrates A level competencies 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 $37,300$48,650 $60,000 $79,874$99,409 Bobby Business Carol Controller Freddy Fiscal 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. Business Officer

39. 39 Employee Name: Bobby Business Banded title: Business Officer Business Administration Financial Management Information Analysis and Decision Making CommunicationHuman Resource Management Overall Level Market Rate Salary AJAAC Employee Name: Carol Controller Banded title: Business Officer Business Administration Financial Management Information Analysis and Decision Making CommunicationHuman Resource Management Overall Level Market Rate Salary AJJJC Employee Name: Freddy Fiscal Banded title: Business Officer Business Administration Financial Management Information Analysis and Decision Making CommunicationHuman Resource Management Overall Level Market Rate Salary AAJJA Exercise: Aggregate Leveling Form

40. 40 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

41. 41 Exercise: Salary Decision Worksheet 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 her closer to the appropriate JMR of $37,200. Her current salary is $35,000. She has all Journey level competencies. Work in small groups Report back to full group

42. 42 Dispute Review Process For career status career banding employees only Dispute Process for career banding pay decisions only Definition of a pay decision (promotion, reassignment, Career Progression Adjustment) Not disputable if no funding Limited funding plan (priority list)

43. 43 Where do we go from here? Complete/Conduct Competency Assessments by April 30, 2009 Copy documents to keep & send originals to your HR Manager by April 30, 2009 Communicate final results to employees Recruitment Training – TBA Performance Management Training - TBA

44. 44 Timeframes Competency Assessments due to local HR Office by April 30, 2009 HR Managers will send copies of Competency Assessments to Central HR- Class/Comp (Elaine Barnes) by May 6, 2009

45. 45 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%20c rosswalks/Profiles/profiles.htm

46. Questions?