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SPA Classification, Compensation & Performance Management Training. Office of Human Resources Angenette McAdoo & Roberta Price. Guiding Principles to Performance Management . Performance Management Program. Program Philosophy

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spa classification compensation performance management training

SPA Classification, Compensation & Performance Management Training

Office of Human Resources

Angenette McAdoo & Roberta Price


Guiding Principles to

Performance Management

performance management program
Performance Management Program
  • Program Philosophy
    • The performance management program is a communications system designed to help the employee succeed.
  • Program Components
    • Work Plans
    • Work Planning Conferences
    • Day-to-Day Observation & Documentation
    • Performance Appraisals
    • Informal Counseling Sessions
  • Program Cycle
    • June 1 to May 31
roles responsibilities
Roles & Responsibilities
  • Employee
    • Actively participate & own the work
    • Ask questions & keep supervisor informed
  • Supervisor
    • Clarity in expectations & Honesty in appraisal
    • Invest time upfront
  • Second-Level Supervisor
    • Review & sign all work plans & performance reviews
    • Ensure expectations/ratings applied consistently
    • Quality & Consistency Control
work plans
Work Plans
  • Work Plan due within 30 calendar days of…
    • Starting in new position or reclassification
    • Significant changes in duties or expectations
    • Beginning of performance cycle
  • Organizing Principal Functions
    • Duties
    • None should be less than 5% weight
    • See Supervision & Teamwork PFs on sample
    • Rank PFs by importance, then amount of time
work plans1
Work Plans
  • Expectations in work plan are written at the “Good” level.
    • Distinction between what you “need” (G) and what you “want” (O).
work plans2
Work Plans
  • Tips for Writing Principal Functions:
    • Do not copy position description
    • Do not copy position competencies
    • Refer to other detailed sources (handbooks, protocols, etc.)
    • Emphasize what’s key to you as supervisor
    • Further detail can be provided as needed
  • Sources of Data (Documentation)
    • Direct observations
    • Written materials
    • Third-party reports
    • Individual self-reports
north carolina rating scale
North Carolina Rating Scale


Very Good


Below Good


north carolina rating scale1
North Carolina Rating Scale




Consistently performsbelow expectation

Consistently performsat expectation

Consistently performs

above expectation



Consistently performs at or below expectation

Consistently performs at or above expectation

interaction with other policies
Interaction with Other Policies
  • Classification and Compensation
    • Proper position description / work plan alignment:
      • Targets right classification
      • Targets right pay range
      • Targets right competency set
    • Proper performance appraisal:
      • Provides equitable distribution of Legislative Salary Increase (LSI)
      • Sets eligibility for salary changes (required: “Good” overall rating or higher)
  • Hiring
    • Proper classification/work plan:
      • Targets right pool of applicants.
interaction with other policies1
Interaction with Other Policies
  • Layoff
    • Selection Criteria (in priority order):
      • University Needs
      • Appointment Type
      • Relative Efficiency
      • TSSD
      • Diversity
interaction with other policies2
Interaction with Other Policies
  • Step 1: University Needs
    • Based on the ongoing business needs, identify which classification has more positions than will be needed.

Accounting Technicians (J)

Administrative Support Specialists (J)

Student Services Specialist (A)

Business Services Coordinators (C)

interaction with other policies3
Interaction with Other Policies
  • Step 2: Appointment Type
    • Permanent retained before temp, probationary, time-limited appointments.

Administrative Support Specialists (J)






interaction with other policies4
Interaction with Other Policies
  • Step 3: Relative Efficiency
    • Documented performance and competencies as they relate to the skill-sets and job duties that will continue to be performed.

Administrative Support Specialists (J)









interaction with other policies5
Interaction with Other Policies
  • Step 4: Total State Service
    • If employees are substantially comparable in relative efficiency, then the employee with the least state service is selected.

Administrative Support Specialists (J)













performance appraisal
Performance Appraisal
  • Rate performance based on standards
    • Give strong specific examples that reflect overall work
    • Avoid nit-picking minor infractions
    • Use more observation (concrete) and less inference (abstract)
    • Emphasize work performed aboveand belowGood level
    • Assign rating
  • Overall performance comments
    • “Wrap-up” statement of overall contribution
    • May address achievements or concerns that fall outside PFs
  • Must hold a one-on-one review session with each employee
performance appraisal1
Performance Appraisal
  • Disciplinary action issued during performance cycle:
    • Employee should receive no higher than a Below Good for at least the principal function(s) relevant to the action.
    • Based on other ratings, may receive a higher overall rating.
  • Sustained Performance Deficiency:
    • If employee has:
      • Sustained a BG/U (on either overall rating or a principal function) …
      • For two or more performance reviews (mid-cycle or annual) …
      • Spanning at least six months.
    • Then this is an incident of unsatisfactory job performance that unto itself is the basis for disciplinary action if no action has otherwise been taken to address the issues.
discipline for unsatisfactory job performance
Discipline for Unsatisfactory Job Performance
  • Performance-based discipline follows a “3-strike” process.
    • Successive discipline to attempt to help employee succeed.
    • Cannot dismiss employee “on the spot” for poor performance.
  • Sequence of performance-based discipline:
    • First active action:
      • Must be a written warning.
    • Second active action:
      • May be a written warning, a suspension, or a demotion.
      • First action does not have to be on a related topic or be performance-based.
    • Third or subsequent action:
      • May be a written warning, a suspension, a demotion, or a dismissal.
      • Prior actions do not have to be on a related topic or be performance-based.
performance management revision
Performance Management Revision
  • February-March (Pilot Training for Supervisors/Employees)
  • March-April (Discussions with employees to clarify expectations)
  • May (Performance Appraisal using new form/pilot dept. only)
  • June (Issue updated position descriptions and work plans)
  • October-December (Campus-wide launch)
  • January 2014 (New program in place campus-wide)
  • Start looking at work plans and position descriptions to make sure they are in place
what is an eca
What is an ECA?
  • A required tool used by managers to evaluate the demonstrated competencies of the employee against the required competencies of the position
  • Communicates to employees where they demonstrate the knowledge, skills, and abilities to meet stated business needs and where they have deficiencies
  • Manages are responsible for determining the employee’s demonstrated competency level for each of the competencies required in the position
eca ratings
ECA Ratings
  • There are three levels of employee competencies:
    • Developing: required position competency is not yet fully applied by the employee at the level defined by the manager as necessary to meet stated business needs. The employee may be lacking in some skill sets of the required position competency.
    • Applied: required position competency is often demonstrated by the employee at the level defined by the manager as necessary to meet stated business needs (80% benchmark).
    • Broadly demonstrated: required position competency is consistently demonstrated by the employee at, and above, the level defined by the manager as necessary to meet stated business needs.
when to complete an eca
When to Complete an ECA
  • 90 days after an employee starts in a position
  • 90 days after a position change (competency change, branch/role change, update duties)
  • During the annual performance review
  • Any time a supervisor has recognized a change in the employee’s competencies
  • At the time of certain salary increase requests
eca tips
ECA Tips
  • Ensure an ECA is on file for every permanent SPA employee
  • Be sure to enter a rating in HRIS each time an ECA is completed
  • Remember the importance of rating the employee’s assessment appropriately allowing room for career progression
  • Position competencies are defined by the state and cannot be changed for individual positions
  • Not all competencies defined by the state for a branch/role will be relevant to all positions
eca tips1
ECA Tips
  • In the “Supervisor comments” Section of the ECA:
    • Provide an opening statement to detail the change in employee competencies between assessments
    • Reference additional and/or growth of duties, and describe how the employee is demonstrating competencies related to the new duties
    • Provide specific examples of duties that validates how the employee is demonstrating the competencies on the job
eca tips2
ECA Tips
  • Avoid use of any performance language
  • Obtain all necessary signatures
  • The effective date for any salary increase is always made on a current basis
  • Salary increases will not be processed until all required documentation is received
  • ECAs for salary increases must include a current assessment and one from at least 90 days prior
position descriptions
Position Descriptions

Notes on Completing and Maintaining Position Description:

  • Sections 1 & 2 are standard position demographic information.
  • Section 3: When possible, use a “Boiler Plate” description of work unit.
  • Section 4: Paragraph describing purpose of position (be concise but thorough: 100-200 words).
  • Section 5: Key for reclassification, not as much for new positions. For new positions, may give some indication of changes within the department that affect classification.
position descriptions1
Position Descriptions
  • Section 6: Description of Work
    • Be specific to the actual job duties and tasks
      • Detail non-apparent complexities
    • Do not include performance language
      • Focus on the what, not the how
    • Do not include competency language
      • Focus on duties and tasks, not on skillsets—things such as professional knowledge are competencies, not job duties. Do not list the competencies from the State profile as job duties.
position descriptions2
Position Descriptions
  • Section 6: Description of Work
    • Each duty should be at least 5%
      • Duty #1 is generally largest % / most significant
      • No more than 5% as a ‘lump’ for ‘other duties’
    • Note essential duties with an asterisk. [Key reference in evaluating ADA applicability.]
    • May list duties either in order of importance or in work sequence order.
position descriptions3
Position Descriptions
  • Section 7: Competencies
    • Knowledge, skills, and abilities required for the position
    • Set competencies for each branch/role are defined by the State in the profiles
    • Should be able to relate the duties from Section 6 to the position’s competencies using specific examples
    • Can document here if one of these competencies is not required for a particular job
    • Can also document here if one of these competencies is particularly critical or there is a business need for high-level ability in a given area
position descriptions4
Position Descriptions
  • Section 8: Education and Experience Required
    • Required experience or knowledge critical to position, without which duties of position cannot be performed.
    • This section should be included in recruitment posting; selected candidate must possess all essential criteria listed.
    • May not require higher level of qualification than the State as essential.
    • Must be “hard skills” that can be seen on application—i.e., not soft skills such as “excellent communication”, etc.
position descriptions5
Position Descriptions
  • Section 9: License/Certification
    • Distinguish between what is a legal requirement for this work and what is a preference.
  • Section 10: Other Position Characteristics
    • Refer to instructions on HR website for some examples of other position characteristics
    • Essential posting requirements listed here should always match those in the actual posting
    • If requiring a specific degree for the posting, must demonstrate a business reason.
  • Section 11: Spans and Layers Certification Section
  • Section 12: Certification/Signatures
    • Required for audit purposes
position action processing
Position Action Processing
  • Document Submission
    • Position Description with all needed signatures.
    • Organizational Chart as of position action
      • Employee Name
      • Classification
      • Position Number
      • Reporting Relationship clearly indicated
  • Initiate HRIS position action concurrent with sending paper documents to Class & Comp Consultant.
position management and classification1
Position Management and Classification
  • Related Issues:
    • What if the department doesn’t agree with the classification decision?
    • What if the employee doesn’t agree with the classification decision or duties assigned?
    • What if the department does not have enough money to support the designed position?
  • “Nothing happens in a vacuum.”
compensation strategy
Compensation Strategy
  • Management is responsible and accountable for making, justifying and documenting pay decisions that are:
    • Fair
    • Consistent
    • Non-discriminatory, and
    • Fiscally responsible.
  • Market Rates:
    • Established at each competency level by OSP using relevant market data for benchmark positions.
compensation strategy1
Compensation Strategy
  • Financial Resources
  • Appropriate Market Rate
    • Competency level & labor market dynamics.
  • Internal Pay Alignment
    • Consistent placement of employee salaries relative to position competency levels; market indices; employee-demonstrated competencies.
  • Required Competencies
    • Based on position design.
compensation strategy2
Compensation Strategy
  • Factors that do not influence pay decisions:
    • Years of service
    • Quantity of work
      • Additional duties do not automatically result in increased compensation.
    • Personal characteristics
    • Performance
compensation strategy3
Compensation Strategy
  • Market Index (MI):
    • Ratio of employee salary to market rate of position competency level.
      • MI 0.90 = 10% below market rate
      • MI 1.10 = 10% above market rate
budget restrictions and approval requirements
Budget Restrictions and Approval Requirements
  • Some increases limited to non-State funding
    • Retention, Internal Pay Alignment, Labor Market
  • Increases that result in a market index of greater than 120% require the direct approval of the Dean or VC , the AVC of HR and Office of State Personnel
  • Positions may not be paid more than one dollar below the next highest competency market rate.
salary increases allowable reasons
Salary Increases-Allowable Reasons
  • Newly demonstrated employee competencies
  • Permanent additional duties
  • Temporary additional duties
  • Labor Market
  • Equity/Internal Pay Alignment
  • Retention
  • Reclassification upwards (branch/role or competency change)
  • Promotions

Roberta Price

OHR Class & Comp Consultant



Angenette McAdoo

OHR E&MR Consultant