ATTACHMENT C

Printable version

The Performance Path to Excellence
Classification and Compensation
Strategies for the 21st Century
June 27, 2003

Purpose

Outsourcing of functions, broadbanding of job classifications and People First have been major drivers of change for the way we do business in state government.

In order to succeed in this changing organizational climate, we must be able to not only recruit but to train and retain our staff. This competency based classification/compensation system builds a career path for Family Safety direct services employees, helping these professionals to develop new skills and increase their competencies to master new and emerging roles in the Family Safety Program, CBCs and with our community providers.

History

The Department contracted with a national consultant to provide the Department with a classification and compensation program plan to fully implement the state’s new broadband system, which is being rolled out in Family Safety direct services positions first.

Focus groups, interviews and listening tours revealed that the primary issue with Family Safety employees is internal equity.

• New employees are brought in at the same salary as high performing 2-10 year employees are making.
• When the Legislature appropriates Cost of Living increases, the minimum salaries in the paybands are also moved up to new salary levels which compounds the problem.
• Supervisors earn on average 10% more than counselors and are not eligible for overtime. As a result, many counselors are earning more than their supervisors. This adds to the turnover problem and discourages counselors from moving to supervisory roles.

The pay study showed that while entry salaries were competitive, fully capable counselors and supervisors were below market. This resulted in our developing levels of counselors and categorizing jobs into career levels to which employees are assigned based on their levels of competency.

There are five levels of work in non-supervisory positions:

1. Trainee or entry level Typically, this is a new employee who is in training and has not been certified, or who has recently completed training and provides professional assistance, handling more routine work, working under close supervision and receiving intensive training.
2. Gaining proficiency or growth level This is an employee who provides direct services to clients but is still building competencies needed to perform at a fully proficient level. Typically, this employee has completed training, become certified and completed the probationary period.
3. Fully capable level This is an employee who provides full services to clients and is fully qualified to perform the job, possessing the required competencies and level of proficiency in using them. These employees function relatively independently and can handle practically all situations presented to them, applying and adapting policies and principles to the individual situation.
4. Advanced level This employee functions within a very broad range of abilities to resolve issues and solve problems. May apply their knowledge to overall FS Counselor activities or may specialize in a very narrow area. Is able to handle unique issues that require a great deal of independent judgement. The next level for this employee will be either at the Expert Level or Supervisor Level.
5. Expert level These employee possess competencies beyond the fully capable level and have grown beyond what is expected within the job. May assist others with tactical or operational issues. These incumbents have chosen to continue in the professional field providing clients with services instead of taking a supervisor manager career track.

There are five levels of work as a supervisor:

1. Entry level Typically this is a new supervisor who has the necessary level of proficiency necessary for day to day interaction with subordinates and peers. Is proficient in the programmatic aspects of this job and can handle most situations presented to them, but is learning the administrative processes and procedures and requires training and closer supervision.
2. Gaining proficiency or growth level This is a supervisor who fully performing all of the supervisory functions but is still building the competencies needed to perform at a fully proficient level.
3. Fully capable level This supervisor is fully qualified to perform the job, possessing the required competencies and level of proficiency in using them. The employee is able to function more independently, has considerable freedom in decision-making, and can handle most situations without assistance, applying and adapting policies and principles to the individual situation.
4. Advanced level The supervisor has a thorough grasp of the administrative and programmatic policies, practices and procedures of the job level and understands the theory and principles that shape the programs and services offered by the job family. May provide advice and assistance to entry level supervisors and assist them to develop their leadership skills.
5. Expert level. Peers recognize this employee as a technical expert and a leader. These individuals are the ones to whom others turn for advice and counsel in handling staffing problems or resolving programmatic issues. The employee is expected to participate on work groups and teams implementing new policies and procedures, completing special projects and serve as a program expert. May assist in developing and orienting newer supervisors or in helping them to handle more difficult situations.

Implementation Plan

Districts and region will begin to place employees into the new job families and career levels. Employees will be assigned to the proper job level. Supervisors will work with individual employees to begin mapping the employee into the new system.

1. Revised Mapping instructions and tools for supervisors and managers will be provided to the districts on Friday, June 27th.
2. Job levels will be assigned and mapping of affected employees will be completed, reviewed by the team and signed off by the District Administrator or Region Director beginning the week of June 30th. This project must be completed as soon as possible, but no later than close of business Thursday, July 10, when it is due to Central Office. As soon as the mapping model has been approved by the District Administrator or Region Director, it must be sent electronically to Toni Estes and Paul Keith in OSHR.
3. Central Office Human Resources and Family Safety Program Office will analyze the mapping data as soon as it is received.
4. Report to Legislature will be finalized and submitted by the Secretary on or before July 15.

Employee Analysis and Mapping

There are five areas being analyzed for each employee. Each factor is weighted based on its importance in this process and scored: performance indicators, technical competencies, core competencies, performance evaluations and formal education. The performance indicators developed by the Family Safety Program Office are data driven. Supervisors analyze each employee's level of possession of the required technical and core competencies; the score from the last performance evaluation will already be included in the employee form; and the employee's formal education will be scored. This knowledge, skills and other attributes are measured against pre-determined standards by the individual employee's supervisor using an electronic worksheet to create a competency profile called Employee Mapping Model.

Step One — Job Level

• Based on assigned duties and responsibilities of each position (employee) as Counselor I, Counselor II or Supervisor, the District Team assigns the correct job level for each position.

Step Two — Level of Work

• Supervisor evaluates and rates employee per mapping guidelines for the assigned job level.
• Employee evaluates and rates self per mapping guidelines.
• Supervisor and employee meet to discuss and finalize employee map.
• Employee may submit written information to be considered by the District Team if the employee does not agree with the supervisor’s rating.
• Supervisor recommends the level of work.

Step Three — Team Review

• Supervisor submits employee maps and employee comments to District Team for review and approval.
• District Team reviews employee maps and addresses concerns with the profile and any employee concerns regarding mapping with the supervisor. Profile score(s) may be changed as a result of this action.
• District Team sign-off on final employee maps and submits to the District Administrator or Region Director for approval.

Final Authority: The District Administrator or Region Director is responsible for ensuring that the process was followed appropriately, that all employees were included in the process and the team prior to approving the model addressed their concerns.

Records Management: Districts will maintain documentation of the process including employee concerns and resolution, copies of the completed model and any other material used in the process.

Makeup of Teams: District Teams include the Program Administrator, OPA/POA over the employee's work unit, the Human Resources Manager or designee who review and provide final approval recommendations to the District Administrator or Region Director.

INSTRUCTIONS FOR COMPLETING THE EMPLOYEE MAPPING MODEL FOR EMPLOYEES ASSIGNED TO COUNSELOR AND INVESTIGATOR POSITIONS

PART 1 ASSIGNING THE JOB FAMILY AND JOB LEVEL.

Current non-supervisory employees are assigned to the Job Family and Job Level which relates to the work they perform by the District Teams. These are:

Job Family — FS Counselor

Description: Provides direct services or manages those who provide services to the clients of the Family Safety Program.

Job Level – FS Counselor I

Provides the first level of technical support to the clients of the Family Safety program. Incumbents provide actual services to the clients through on-site visits and interviews, assesses the situation and level of danger existing for children and dependent adults. Incumbents do not always have the necessary experience to completely assess the danger or determine remedies without guidance in complex situations. Prepares for and attends court hearings related to case management. Must document case work in state required system.

Differentiating Factors: 4-year college degree required, casework is assigned

Job Level — FS Counselor II

Provides full direct services to the clients of the Family Safety program. Handles full caseload commensurate with unit and are assigned more difficult casework. May handle specialized services. Assists Supervisors in providing training and procedural changes to staff. Assists counselors. Acts as lead worker and fills in for Supervisor. Prepares for and attends court hearings related to case management. Must document case work in state required system.

Differentiating Factors: Assists counselors, fills in for Supervisor

JOB FAMILY — FS Child Protective Investigations

Provides child protective services or manages those who provide child protective services to the clients of the Family Safety program.

1. Job Level— FS Child Protective Investigator I:

Provides protective services to the clients of the Family Safety program. Investigates reports of abuse, abandonment, neglect and exploitation of children within the Family Safety program. Makes on-site visits to assess risk, determines finding of allegations, documents rationale for findings and all decisions made during the investigation. Provides or arranges for emergency placement. Prepares for and attends court hearings related to investigations. Refers family to appropriate service providers. Must document investigations in state required system. Incumbents do not always have the necessary experience to completely assess the danger or determine remedies without guidance in complex situations.

Differentiating Factors: 4-year college degree required, casework is assigned.

2. Job Level— FS Child Protective Investigator II

Provides protective services to the clients of the Family Safety program. Investigates reports of abuse, abandonment, neglect and exploitation of children within the Family Safety program. Makes on-site visits to assess risk, determines finding of allegations, documents rationale for findings and all decisions made during the investigation. Provides or arranges for emergency placement. Prepares for and attends court hearings related to investigations. Refers family to appropriate service providers. Must document investigations in state required system. May handle specialized services and is assigned more difficult investigations. Assists investigators. Acts as lead worker and fills in for Supervisor. Assists Supervisor in providing training.

Differentiating Factors: Assists investigators, fills in for Supervisor

PART 2 COMPLETING THE EMPLOYEE MAPPING MODEL

Using the appropriate mat (In-home, Out-of-home, Adoptions or Investigations), the supervisor and employee begin the mapping process. Each category must be completed and input.

PERFORMANCE INDICATORS: This electronic data is available to managers completing the mapping model for supervisory staff. Rate the employee from 0 to 3 based on the available data for each of the indicators.

0 = 79.99% and below
1 = 80%— 89.99%
2 = 90%— 94.99%
3 = 95%— 100%

TECHNICAL COMPETENCIES: Using the rating scale of 0 through 3, rate each technical competency in the box provided in accordance with the following definitions.

0. = Possession of competency not demonstrated by employee.
1. = Basic competency performs well in typical situations with guidance.
2. = Fully competent, applies the competency well and provides guidance and assistance to others on a continuing basis.
3. = Competency is beyond what is expected and employee applies the competency well in a wide range of complex and unpredictable situations.

CORE COMPETENCIES. Using the rating scale of 1 through 5, rate each core competency in the box provided in accordance with the following definitions.

1. = Minimal proficiency, little application or experience demonstrating the competency.
2. = Basic proficiency applies the competency well in typical situations with guidance.
3. = Moderate proficiency, applies the competency well and leads others in typical situations, requires guidance in complex situations.
4. = Substantial proficiency applies the competency well and leads others in complex situations.
5. = Extensive proficiency applies the competency well in a wide range of complex and unpredictable situations.

DEFINITIONS FOR THE REQUIRED CORE COMPETENCIES

• Customer Service
  Is dedicated to meeting the expectations and requirements of internal and external customers; gets first-hand customer information and uses it for improvements in services; acts with customers in mind; establishes and maintains effective relationships with customers and gains their trust and respect.
• Decision Making
  Weighing the relative risks and benefits of a potential action; makes good decisions based upon a mixture of analysis, wisdom, experience, discretion and judgment; most solutions and suggestions turn out to be correct and accurate; sought out by others for advice and solutions.
• Problem Solving
  Identifies problems, determines accuracy and relevance of information, uses sound judgment to generate and evaluate alternatives, and to make recommendations; uses logic and methods to solve difficult problems with effective solutions; probes all viable sources for answers; can see problems; is excellent at factual analysis; looks beyond the obvious and does not stop at the first answer.
• Time Management
  Uses time effectively and efficiently; values time; concentrates efforts on the more important priorities; can multi-task.
• Listening
  Receives and interprets messages and other cues such as body language in ways that are appropriate to listeners and situations; practices attentive and active listening; has the patience to hear people out; can accurately restate the opinions of others even when not in agreement.
• Integrity and Trust
  Displays high standards of ethical conduct; is widely trusted; is seen as a direct, truthful and non-judgmental individual; can present the truth in an appropriate and helpful manner; keeps confidences; admits mistakes; does not misrepresent self.
• Planning and Evaluation
  Organizes work, sets priorities, determines resource requirements, determines short or long-term goals, strategies and objectives to achieve them, observing outcomes to identify lessons learned or redirect efforts; accurately scopes out length and difficulty of tasks and projects; sets objectives and goals, breaks down work into the process steps; develops schedules and task/people assignments; anticipates and adjusts for problems and barriers; measures performance against goals; evaluates results.
• Social Perceptiveness
  Understands motivating factors of others and why they do what they do; picks up the sense of others in terms of positions, intentions, and needs; what they value and how to motivate them; attempt to asses what others will do in different situations.
• Composure
  Maintains composure and performs effectively under stressful and/or unexpected conditions; is cool under pressure; does not become defensive or irritated when times are tough; is considered mature; can be counted on to hold things together during tough times; handles stress; does not show frustration when resisted or blocked; is a calming influence in a crisis.
• Conflict Management
  Manages and resolves conflict, grievances, confrontations or disagreements in a constructive manner to minimize negative impact; sees conflict as opportunities; assess situations quickly; good at focused listening; can negotiate tough agreements and settle disputes equitably; can find common ground and get cooperation.
• Dealing with Ambiguity
  Can effectively cope with uncertainty; can decide and act with information available; stays focused on outcomes; does not have to finish things before moving on; can comfortably handle risk and uncertainty.

PERFORMANCE EVALUATION RESULTS

This is the overall score received by the employee during the last evaluation period and is pre-populated in the form.

FORMAL EDUCATION CATEGORY

Enter the score that most closely meets the employee's level of formal education.

1 = Bachelor's degree in Non-Social Work or related field
2 = Master's degree in Non-Social Work or related field
3 = Bachelor's degree in Social Work or related field
4 = Master's degree in Social Work or related field

• Social Work related fields include:
• Guidance and Counseling
• Psychology
• Public Administration
• Sociology
• Social Science
• Criminology
• Criminal Justice
• Human Relations
• Family Child Development

RECOMMENDED LEVEL OF WORK

Enter the score that meets the employee's level of competency within the Job Level.

1. = Trainee or entry level Typically, this is a new employee who is in training and has not been certified, or who has recently completed training and provides professional assistance, handling more routine work, working under close supervision and receiving intensive training.
2. = Gaining proficiency or growth level This is an employee who provides direct services to clients but is still building competencies needed to perform at a fully proficient level. Typically, this employee has completed training, become certified and completed the probationary period.
3. = Fully capable level This is an employee who provides full services to clients and is fully qualified to perform the job, possessing the required competencies and level of proficiency in using them. These employees function relatively independently and can handle practically all situations presented to them, applying and adapting policies and principles to the individual situation.
4. = Advanced level This employee functions within a very broad range of abilities to resolve issues and solve problems. May apply their knowledge to overall FS Counselor activities or may specialize in a very narrow area. Is able to handle unique issues that require a great deal of independent judgement. The next level for this employee will be either at the Expert Level or Supervisor Level.
5. = Expert level These employee possess competencies beyond the fully capable level and have grown beyond what is expected within the job. May assist others with tactical or operational issues. These incumbents have chosen to continue in the professional field providing clients with services instead of taking a supervisor/manager career track.

Once the employee and supervisor have completed the form, they will meet and go through each category on the form. As soon as that process is completed, the form is given to the District Team. Any differences that cannot be resolved at the supervisor/employee level will be reviewed and decided by the District Team.

Upon completion of the mapping process for all employees, the District Administrator or Region Director will review and approve the spreadsheets and submit them to Central Office Human Resources.

COMMON COMPETENCY/PERFORMANCE ERRORS

There are many errors that can pop up throughout this process. The following are particular problems that supervisors and managers should be aware of.

HALO ERRORS
The halo error results when the supervisor or manager analyzes an employee's competency on several different dimensions and gives a similar rating for each one. The rater fails to discriminate between the employee's strong points and weak points; and the halo is carried over from one dimension to the other.

LENIENCY/STRICTNESS ERRORS
The Leniency error is the tendency to give relatively high scores on every competency to virtually everyone. The Strictness error is the opposite; the rater tends to give everyone a low score.

CENTRAL TENDENCY ERRORS
This occurs when supervisors lump all employees in the middle, restricting results to a small part of the scale.

PERSONAL BIAS ERRORS
Personal bias errors affect the process when a supervisor allows a personal bias to enter into the process. This can be based on race, age or gender.

RECENCY ERRORS
This occurs when a supervisor or manager only looks at recent activities and performance instead of looking at the overall picture to analyze a particular competency. This can cause real problems in a program like Family Safety where workload can fluctuate dramatically in a short period of time.