management and supervision for local government supervisors, directors and administrators keita...

Management and Supervision for Local

Government Supervisors, Directors and Administrators

Keita Cannon, SPHR, CPMLocal Government Program Team LeaderNorth Carolina Office of State Personnelhttp://www.osp.state.nc.us/ExternalHome/

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

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

North Carolina Administrative Code:

25 NCAC01I – Service to Local GovernmentSection .1700 Local Government Employee Policies

Section .1800 General ProvisionsSection .1900 Recruitment and SelectionSection .2000 Appointment and SeparationSection .2100 CompensationSection .2200 Hours of Work and Overtime

CompensationSection . 2300 Disciplinary Action: Suspension,

Dismissal and AppealsSection .2400 Basic Requirements for a “Substantially

Equivalent” Personnel System

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

Position Classification (cont)

8 factors utilized to evaluate jobs:

1. Variety and Complexity of Work2. Analytical Requirements3. Decision-Making/Consequence of Error4. Nature of Supervision Received5. Nature of Supervision Given6. Nature and Purpose of Public Contacts7. Working Conditions8. Knowledge, Skills and Abilities


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


Factor# 2: Analytical Requirements

Intricacy of work processes and the range of thinking, and judgment required; new approaches or deviations from standard work practices


Factor# 3: Decision-Making/Consequence of Error

Types of recommendations or decisions affecting programs, methods, policies or people; delegated authority and binding commitments


Factor# 4: Nature of Supervision Received

Extent of planned supervisory control exercised over position


Factor# 5: Nature of Supervision Given

Leadership and coordination of the efforts of others; accountability for the performance of others


Factor# 6: Nature and Purpose of Public Contacts

Type and range of interaction with others while accomplishing an objective


Factor# 7: Working Conditions

Risks, hazards and discomforts in the surroundings; additional demands in carrying out safety regulations and techniques


Factor# 8: Knowledge, Skills and Abilities

What is needed for the full performance of work; includes training and experience and licensing and certification requirements


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


Tools of the Position Management Trade

1. Class Specification

2. Job Description Form (PD-102R)

3. Organizational Chart

4. Position Action Form (PD 118)

5. Local Government Resources Manual


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

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

Recruitment and Selection (cont)

• Training and Experience requirements (and agency-specific requirements)

• Qualified vs Most Qualified pools

• Trainee vs Work-Against

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)

Personnel Files in Local Government

What Constitutes a Personnel File?

Found in 153A-98 for Local Entities; not 126-22 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

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

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

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

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

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?


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


• 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?


• 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.

Just Cause for Disciplinary Action

Only two bases:

1. Unsatisfactory Job Performance

2. Unacceptable Personal Conduct

*Don’t worry – Grossly Inefficient Job Performance will be covered later

Unsatisfactory Job Performance

Issues associated with Unsatisfactory Job Performance

– Timeliness

– Quality

– Quantity

– Accuracy

– Attendance

*Some folks want attendance under unacceptable personal conduct

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

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

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

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

Grossly Inefficient Job Performance

Defined in two ways:

1. 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

2. The loss or damage to agency property or funds that result in a serious impact on the agency or work unit

Types of Disciplinary Actions

Only FOUR types:

1. Written Warning

2. Suspension Without Pay

3. Demotion

4. Dismissal

Written Warning

Elements a Written Warning must contain:

1. Be in writing and clearly state it is a Written Warning

2. Detail specific deficiencies

3. Detail specific corrections

4. Give timeframe by which corrections need to be made (if not indicated

= 60 days)

5. Consequences for failing to make corrections

6. Give appeal rights (if applicable)

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

Suspension Without PayShould 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


Demotion

Can be effected three different ways:

1. Lower Salary Grade and Lower Salary Rate

2. Lower Salary Grade and Same Salary Rate

3. Same Salary Grade and Lower Salary Rate

Can be issued on the basis of Unsatisfactory Job Performance only if active disciplinary action exists

Demotion (cont)

Can be issued on the basis of Unacceptable Personal Conduct or Gross Inefficiency at any time



Termination

Two types:

1.Based on disciplinary reasons

2.Based on involuntary reasons (usually referred to as separations)

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


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

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

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

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

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

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

Grievances and Appeals

A Career-Status Employee who has been Suspended, Demoted or Dismissed typically will have 15 calendar days to file

If employee alleges Discrimination, the timeframe to file is 30 calendar days (does not need to be Career-Status)

If alleging Unlawful Workplace Harassment, employee has 30 calendar days to file internally; Local Entity has 60 days to respond

Grievances and Appeals (cont)

Typical Appeals Procedure follows this path:Local Director

Office of Administrative Hearings

State Personnel Commission

Decision is advisory


Discrimination Appeals have three options:Option #1

Local Director



Decision is binding

Grievances and Appeals (cont)Option #2



Decision is binding

Grievances and Appeals (cont)Option #3

Office of Administrative Hearings’ Civil Rights Division

(INVESTIGATION CONDUCTED)

Equal Employment Office of Opportunity Commission Administrative Hearings


Unlawful Workplace Harassment follows a different Appeals Procedure

Employee must file complaint internally within 30 calendar days

Local Director issues Agency decision within 60 calendar days

Employee can then proceed to the Office of Administrative Hearings


Decision is binding

management and supervision for local government supervisors, directors and administrators keita...

Documents

position slide

dismissal slide

local government section

nature of supervision

disciplinary action

local employees

independent judgment

complexity of work variety