Overview of Recruitment and Selection, Conducting Effective - - PowerPoint PPT Presentation

Overview of Recruitment and Selection, Conducting Effective Performance Evaluations, and Labor/Employee Relations Presented by: Teji O’Malley November 17, 2015

Agenda

• Recruitment and Selection
• Conducting Effective

Performance Evaluations

• Labor/Employee Relations

Recruitment and Selection

• Why do we have to do what we do?
• In 1978, the US Civil Service Commission, the Department of Labor, the

Department of Justice, and the EEOC jointly adopted the Uniform Guidelines on Employee Selection Procedures for all public sector employers.

• Guidelines establish uniform standards for employers for the use of

selection procedures and to address adverse impacts, validation, and record keeping requirements.

• Outline the requirements necessary for employers to legally defend

employment decisions based upon overall selection processes and specific testing procedures.

• These guidelines are not legislation or law in and of themselves but they

have been identified by the courts as a source of technical information and have been given deference in litigation concerning employment issues.

Recruitment and Selection

• What is “validation”?
• Validation is the establishment of a clear relationship between a

selection procedure and the requirements of successful job

• performance. The Uniform Guidelines recognize three aspects of

validity: Content validity, criterion validity, and construct validity

• Content Validity is the connection between the testing items and the required

job related tasks

• Criterion Validity is the correlation between test scores and job performance.
• Construct Validity is when the testing process measures what it intends to
• measure. Example: If you give a basic test on algebra that is supposed to

measure knowledge of variables and expressions but the test questions are phrased in long and complex reading passages, perhaps reading skills are being measured as opposed to the knowledge of algebra.

Recruitment and Selection

• Content Validity is the most

commonly used.

• A testing component must demonstrate

linkage between the test(s) to the Knowledge, Skills, and Abilities (KSA’s) required for the job classification.

Recruitment and Selection

• What is a “test”?
• All selection processes/practices prior to the

promulgation of an eligible list is considered the formal test/examination.

• Includes minimum qualifications screening, written

exams, oral boards, application screening committee, etc.

• The testing process needs to be objective, legally

defensible, and demonstrate validity.

Recruitment and Selection

• What is a “test”? (cont’d)
• Questions on the test(s) should be:
• Objective
• Job Related
• Legal (No discriminatory questions!)
• Behaviorally Based
• Interview questions that are focused and elicit responses related

to a specific behavior(s) in real-life situations.

• Three components to every question:
• The Situation-Behavior took place in a certain context
• The Actions-How one acted in the situation
• The Results-The effects or outcome of the action(s)

Recruitment and Selection

• Examples of Behavioral Based Questions
• Provide an example of a complex task and/or project you completed. Describe any
• bstacles you encountered and how you overcame them.
• What techniques and tools do you use to manage work priorities effectively and

ensure deadlines are met? Please give us examples.

• Tell us how you keep current on trends within the industry.
• Tell us about a time when you needed to develop a detailed procedure to

successfully complete a project.

• Describe a time when you were able to effectively communicate a difficult topic to a

subordinate.

• Describe a time when you had to deal with an angry customer. How did you handle

it?

• How did you deal with an employee who was having performance issues but had no

documented performance problems?

Recruitment and Selection

• Once the eligible list is formally established,

testing/examination has concluded.

• Hiring Managers/Supervisors then conduct a

selection interview(s).

Recruitment and Selection

• What is the difference between a test (i.e.
• ral board) and selection interview?
• The test determines whether or not an

individual is qualified for the job classification and a selection interview determines position fit.

Recruitment and Selection

• Selection interview can be more subjective

in nature.

• It has already been determined that anyone

referred from the eligible list is qualified for the classification.

How to Conduct an Effective Performance Evaluation

Why should you do them?

• Most employees want to do a good job and an effective

performance evaluation helps them to improve their job performance and/or maintain high levels of performance, increases their motivation and self awareness, and reinforces positive behavior

• A recent national survey focusing on recognition

showed that 70% of employees felt that the most rewarding recognition was performance that was recognized by their direct Manager or Supervisor.

• Most employees want to know what is expected of them

and how well they are meeting those expectations.

• It gives the employee a forum to openly discuss their job,

their role in the organization, as well as providing input in developing their own objectives and goals.

Why should you do them? (cont’d)

• The performance evaluation is a tool that allows you to:
• Reinforce positive behavior
• Establish goals and objectives for your employees.
• Make clear your expectations for your staff
• Allows you to provide the framework of goals and

expectations for the employee

• Provide guidance and suggestions for improving performance
• Identify ongoing performance problems and create performance

improvement plans in order to apply appropriate coaching and counseling

• Gives employees notice of performance deficiencies which can assist

the employer in defending a disciplinary action

• Annual evaluations can play a significant part in defeating an

employees’ claim of retaliation, discrimination, and/or harassment

Why we don’t do them?

• Too busy!
• Waste of time – employee is at top step
• Manager or supervisor unsure of how to

describe (or communicate) performance

• Confrontational
• Employee perceives it as retaliation
• Embarrassing to the employee
• Manager or supervisor may be perceived as a

tyrant/bully/judge

• “Magical Thinking” – hoping the employee will

straighten out by him/herself

First Step

• Establish and/or review the objective criteria that

the employee needs to be evaluated against:

• Review your/unit’s/Department’s expectations

re:

• Quantity and quality of work
• Deadlines to meet
• Accuracy of work
• Methods or procedures required to carry out work
• Attendance and tardiness
• Interaction with others
• Effective communication

Second Step

• Documenting and Gathering Information
• Ask the employee to provide you with their accomplishments

and future goals.

• Review your working file!!
• File should contain any and all information related to the

employee and should be regularly updated with the following types of information:

• Documentation of direct and indirect observations, both positive

and negative

• Any disciplinary action (verbal counseling, counseling memos,

reprimands, etc.)

• Logs of conversations and one-on-one meetings with the

employee

• Any record of accolades and accomplishments
• Examples of reports, special projects, etc.

Second Step (cont’d)

• Keys on how to document your working file effectively
• Regularly evaluate performance and make notes of both

positive and negative behavior

• Document as situations happen
• Maintain consistency-keep a working file on all employees
• Keep observations job-related and use objective criteria
• Support observation with fact (dates, times, witnesses,

etc.)

• Focus on deficiencies, not perceived underlying cause
• Avoid conclusions
• Avoid emotion-don’t document when angry

Remember, regular documentation will help you remember specifics to include on an evaluation!!!!

Third Step

• Review employee’s last written evaluation(s)
• Review previous evaluation period’s goals and
• bjectives
• Did they meet their personal goals and
• bjectives?
• Did they meet your/ unit’s/Department’s goals

and objectives?

Fourth Step

• Preparing the written evaluation
• Using all gathered information, evaluate the

employees performance for the review period only

• NO SURPRISES!!!!
• Do NOT include anything that happened before or after the actual

review period

• Comments need to substantiate the rating
• Remember to only evaluate the employee against the established

performance criteria, NOT other employees performance

Fourth Step (cont’d)

• Commend above standard and exceptional

performance

• Identify areas that need improvement and be

detailed on how improvement can be achieved

• Make sure goals and objectives that you designate

for the employee are in line with your/Unit/Department and overall employer goals

• Be honest! Tactfully point out performance

weaknesses or deficiencies

Sample Comments

• I nstead of: Jim cannot seem to keep up

with completing his daily reports even though he has been reminded over and

• ver again. Jim does not seem to

understand this directive.

• Say: Jim has completed less than 50% of

his daily activity reports for the past six months of this review period and was given a discussion record regarding this issue in July 2012.

Sample Comments (cont’d)

• I nstead of: Allyson is a real gem and

volunteers for many projects.

• Say: Allyson attended the ABC conference

and volunteered to teach back key points to her team and is now applying this knowledge to the process improvement program that is reviewing the District’s response to overflows.

Sample Comments (cont’d)

• I nstead of: Ron has made great strides in

improving his performance.

• Say: Ron’s last evaluation noted his difficulty

in meeting the timelines set forth in the XY Sewer Construction project. By completing an

• nline project management training course,

utilizing project management tools, and openly communicating with me on anticipated

• bstacles, Ron has shown marked

improvement in meeting the project timelines.

Sample Comments (cont’d)

• I nstead of: Sue is a very negative person and

this affects the morale in the unit.

• Say:

Setting Goals

An objective/goal is a “clear, specific statement of a single achievement….which effects a change and is expected to be accomplished in a specific period of time”

Setting Goals (cont’d)

• 5 Criteria for goal setting
• Effective goals/objectives are SMART!
• Specific: Be clear and unambiguous. Who, What, Where, When, and

Why!!!

• Measurable: Have specific criteria for measuring progress.
• Attainable: Be realistic and attainable by the employee. The goals are

neither out of reach nor below standard performance.

• Relevant: Directly related to the vision and mission of your unit,

Department, and the District.

• Time-bound: Have starting points, ending points, and fixed durations.

Setting Goals (cont’d)

• Examples:
• Instead of: You need to attend to all customers who

come to the permit counter in a timely manner.

• Say: You need to attend to all customers who come

to the permit counter within 5 min of their arrival in

• rder to meet the District’s commitment to customer

service.

• Instead of: You would be a great supervisor one day.
• Say: Attend the “Supervisory Skills" course offered by

Norcal by July 31, 2015 in order to assist you in gaining the skills you need to ensure you can advance to the Supervisor level.

Setting Goals (cont’d)

• Instead of: Make sure you have rooms booked for all POD

meetings.

• Say: Rooms for POD meetings need to be reserved two weeks

in advance with meeting locations communicated to attendees

• ne week in advance.
• Instead of: Ensure your budget summary reports are

completed.

• Say: Submit to the Director, by the 15th of each month, a

monthly budget report that summarizes the total spent in all cost centers in order to monitor cost overruns.

Communicating the Evaluation

• Review is drafted….next step is to

schedule the face-to-face meeting

• Before and during the meeting….
• Be comfortable communicating performance

standards to the employee

• Be prepared to engage in a dialogue with the

employee (not a one sided conversation!) on their ideas and suggestions to improve performance

Communicating the Evaluation (cont’d)

• Open-Invite the conversation and one-on-one dialogue
• Clarify-Invite a discussion about the issue, be curious

and attempt not to take a defensive stand. Point is to gather information

• Develop-Once the issue(s) are defined, work with the

individual to develop an action plan. These may include specific goals or may require the supervisor to arrange for training. You need to get the employee involved in the solution

Communicating the Evaluation (cont’d)

• Gain Agreement-You need to work on gaining the

employees agreement with the plan moving forward

• Close-Review understanding and set follow-up

Communicating the Evaluation (cont’d)

• Discuss the review in its entirety
• Communicate the positives and negatives of

the employee’s performance

• Discuss if goals and objectives from last

review period were met, if not, have a discussion as to why

• Come to an agreement with the employee on

how performance deficiencies may be addressed

Communicating the Evaluation (cont’d)

• Tips on how to communicate:
• Avoid using global statements such as “always” or

“never” as they are more likely to elicit fighting back

• Identify anticipated behaviors such as defensiveness,

control, denial, or abrasiveness prior to the meeting so you are prepared to deal with them

• Monitor how employee is handling the feedback. Take a

minute if the employee seems upset of if the situation is getting heated.

Communicating the Evaluation (cont’d)

• Don’t get defensive
• Remain professional at all times
• If anger escalates, stop the meeting and

reschedule after cooling period

• Remind employee that you are here to discuss

their performance, not other employees. Stay

• n track!

Common Errors

• Halo/Horn Effect:
• Extremely competent in one area and is

therefore rated high in all categories

• Conversely, one weakness results in an
• verall low rating

Common Errors (cont’d)

• Recency:
• Giving more weight to recent occurrences and

discounting performance during the entire rating period

• Bias:
• Values, beliefs, or prejudices distort ratings

(consciously or unconsciously)

• Past history with employee
• Age, race, national origin, gender,

appearance, non-job-related factors

Common Errors (cont’d)

• Strictness:
• Reluctance to give high ratings
• Think standards are too low for everyone
• Doesn’t believe anyone deserves higher than

average

• Leniency:
• Avoiding giving honest ratings to avoid
• conflicts. Reluctance to give “low” or

“unsatisfactory” ratings and usually leads to “overevaluating” employee’s performance.

Common Errors (cont’d)

• Central Tendency: Evaluate all employees

the same or within a narrow range

• Contrast: Compare employee against co-

workers performance instead of on

• bjective performance standards

• An Engineering Assistant III is exceedingly good at working with

clients to overcome obstacles obtaining permits and is often sent to represent the District at public meetings because of her excellent public speaking skills. Because of this, the employee receives consistently excellent evaluations in spite of the fact that her paperwork is often incomplete and behind schedule. This is an example of what error?

• Halo/Horn
• Central Tendency
• Leniency
• Bias

• Overall this employee has mostly standard/average ratings with a

couple of exceeds. The only comment on the review was related to the employees participation in a public event that happened one month prior to the annual performance evaluation. Both the supervisor and the employee were heavily involved in that project

• together. This is an example of what error?
• Halo/Horn
• Recency
• Leniency
• Bias

Performance Management

• Have frequent communication and feedback with

employees during the entire review period

• Oral or written
• Offer training/assistance/resources as needed
• Maintain written records
• Document, document, document!!!
• Schedule face to face time with employee to

review progress on any deficiencies/improvement plans

Performance Management is more than the annual performance evaluation meeting and report; it is an ongoing process.

Labor/ Employee Relations

Scope of Bargaining

Scope of Bargaining

• How is it defined:
• Statutory-Meyers Milias Brown Act

(MMBA) (Govt. Code 3500….)

• Legal Decisions/Tests-Public

Employment Relations Board, Court cases, etc.

Scope of Bargaining

• Definition:
• Included in scope of bargaining-

actions/changes that would impact the “wages, hours, and terms and conditions of employment” are considered mandatory subjects of bargaining.

• Excluded from scope of bargaining-”merits,

necessity, or organization of any service or activity provided by law or executive order”

Scope of Bargaining

• Examples of mandatory subjects (within the

scope of bargaining)

• Wages: Salaries, overtime pay, uniform allowance, tuition

reimbursement, on-call/stand-by pay, merit pay, health insurance, etc.

• Hours: Vacation, rest periods, work schedules, shift

changes, shift assignments, etc.

• Working Conditions: Transfers, seniority, grievance

procedures, disciplinary processes, drug testing practices, performance evaluation processes, promotion policies, representation rights includinh release time, etc.

Scope of Bargaining

• When an agency wants to make

a change to a mandatory subject

• f bargaining they must engage

in the full range of good faith bargaining.

Scope of Bargaining

• Two types of bargaining:
• Decisional bargaining: Bargaining on

mandatory subjects. Must bargain over the decision to implement a change.

• Impacts/Effects bargaining: Bargaining on the

imp mpacts of implementing a core or fundamental managerial decision.

Scope of Bargaining

• How do you determine if impacts bargaining

is needed:

• Three prong test
• Does the management decision have a significant and adverse

effect on bargaining unit’s wages, hours, or working conditions?

• Did the significant adverse impact arise from the

implementation of the decision?

• Is the employer’s need for unencumbered decision making in

managing its operations outweighed by the benefit to the employer-employee relations of bargaining about the action in question?

Scope of Bargaining

If either party does not bargain in good faith

• n those subjects that fall within the scope of

bargaining, both decisional and impacts/effects, ULP’s (Unfair Labor Practice) may be filed with PERB.

Employee Disciplinary Process and Procedures

Grounds for Discipline

Pursuant to your MOUs/ CBAs.

Grounds for discipline should be the foundation when making a determination on any level of discipline.

Grounds for Discipline (sample)

• Discourteous treatment of the public or fellow employee including

discrimination and harassment that is detrimental to the function of the District.

• Drinking of intoxicating beverages or use or possession of illegal or

unprescribed drugs on the job

• Habitual absence or tardiness
• Abuse of sick leave
• Disorderly conduct
• Incompetency or inefficiency
• Violation of any lawful or reasonable regulation or order made and given by an

employee’s supervisor; insubordination

• Dishonesty
• Violation of District safety rules and regulations
• Failure to perform duties
• Misconduct
• Storage, carrying or use of firearms or other items traditionally considered

lethal weapons on District property.

• Loss of required valid California Driver’s License.
• Driving a District vehicle without a valid California Driver’s License.

• Before any corrective/disciplinary

action can take place:

• Orientation
• Expectations
• Training
• Coaching

Progressive Discipline

Progressive Discipline-Progressively formal

efforts to provide feedback to an employee so he or she can rectify any performance deficiencies. The goal of progressive discipline is to im prov

• ve

em ploye

• yee p

perfor

• rm ance and is not

intended to be punit ive. It is used to assist the employee to overcome performance problems.

Verbal Counseling/Coaching

• Not considered formal discipline
• Conversation that addresses the behavior at issue

and gives information to employee that improvement is required

• Offers tips on improvement
• Record and document in working file

Progressive Discipline (1st Step)

Progressive Discipline (2nd Step)

Written Coaching and Counseling

• Not considered formal discipline
• If behavior shows no improvement after verbal counseling,

conversation should take place with the employee to discuss behavior and clearly state your expectations for improvement.

• The counseling memo should serve as a follow-up to the

conversation to reiterate the content of the discussion as well as clearly outline the expectations.

• No threat of further disciplinary action should be mentioned but

rather an encouraging message to ask questions of the supervisor if they are not clear on the expectations.

• Keep copy of memo and notes of conversation in working file.
• Not included in employee’s personnel file

Progressive Discipline (3rd Step)

Reprimands

• Usually the first step of formal disciplinary action
• If verbal and written counseling has taken place and behavior

continues, a written reprimand should be issued.

• Reprimand should review previous steps taken in the effort to

correct the problem and the behavior that the employee is still exhibiting and again clearly outline future expectations.

• Closing line “any further instances of this nature may result in

further disciplinary action, up to and including termination.”

• Documented in personnel file.

Progressive Discipline (4th Step)

• Suspension/Demotion/Dismissal
• Next (and final) steps in disciplinary process
• Requires a Notice of Proposed Action (Skelly Notice)
• Notice should consist of the following components:
• Description of the proposed action and effective dates
• Description of the acts upon which action is based
• A statement that a copy of the materials on which the

action was based are available, if requested.

• A statement that the employee has a right to

representation and to request a hearing (Skelly hearing)

Due Process

• Once an employee is served with a notice of

proposed action-has right to a Skelly Hearing.

• Dependent on the outcome of the Hearing

Officers decision (uphold, amend, rescind), may proceed to arbitration.

The Seven Elements

• Seven Elements of Just Cause
• Was the employee given advance notice of the possible

and probable disciplinary consequences of conduct?

• Did the organizational rule or managerial order reasonably

relate to:

• The orderly, efficient, and safe operation of the business and/or the

performance that an organization might reasonably expect from its employees?

• Did the organization, before administering discipline, make

an effort to discover whether the employee did in fact violate or disobey a rule or order of management?

• Was the organization’s investigation conducted fairly and
• bjectively?

The Seven Elements (cont’d)

• At the investigation, did the investigator obtain

substantial evidence or proof that the employee was guilty as charged?

• Has the organization applied rules, orders, and

penalties evenhandedly and without discrimination to all employees?

• Was the degree of discipline administered by the
• rganization related to:
• The seriousness of the proven offense and/or the

performance record of the employee and his/her length of service?

How to Conduct an Investigation

• Goals of an investigation
• To clear employees who are innocent of misconduct
• To establish fault of wrongdoers
• To undertake prompt and just disciplinary action
• To uncover questionable or problematic procedures or processes

within the organization

• Conducting an investigation
• Review the complaint or incident and develop an outline
• Gather all evidence and documentation related to the offense
• Interview witnesses
• Interview accused employee last

Investigations

Investigations (cont’d)

• Do’s and Don’ts of Investigations
• Don’t stop short of getting a full answer to questions
• Do continue to probe and insist on answers to the questions

you have posed where the person being questioned is reluctant to answer or evades the actual question

• Don’t promise confidentiality because some of the

information received may be used to discipline a wrongdoer

• Do assure person being investigated and witnesses that the

agency will maintain confidentiality to the extent possible

• As the investigator, don’t talk too much or add your own

views/opinions or ask leading questions

Investigations (cont’d)

• Do’s and Don’ts of Investigations (cont’d)
• Do listen and encourage interviewees to talk by asking open

ended questions

• Don’t be ruled by your outline
• Do explore what each witness saw, heard, knows, who else

was present, dates/times when acts, conversations,

• bservations occurred
• Don’t conclude the interview until you are sure you have

received all information related to the offense

• Do ask the following questions to ensure you have received

all relevant information: “Have you told me everything?” and/or “Do you have anything else to add?”

Investigations (cont’d)

• Don’t treat the person being investigated as though

he/she is guilty of conduct being investigated

• Do remain truly neutral throughout the interview

stage and carefully listen to and consider what every persons has to say

• Don’t make and/or reflect any preliminary judgment

about the matter being investigated

• Do wait until the investigation is completed before

making any findings or conclusions or credibility assessments

Investigations (cont’d)

Weingarten Rights

An employee has a right to union representation during an investigatory interview or meeting

which may result in discipline

Questions