Applicant Screening and Hiring: Establishing Job Requirements and Competencies, Study notes of Business

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Applicant Screening Manual State of Iowa Iowa Department of Administrative Services Human Resources Enterprise Originally distributed June 2000 Revised February 2005 Revised January 2006 Revised December 2006 Revised December 2007 Revised January 2008 TABLE OF CONTENTS Applicant Screening Manual Department of Administrative Services – Human Resources Enterprise Revised January, 2008 Page i Chapter 1: Purpose ................................................................................... 1 • General System Requirements/Standards • Employment Practice Standards Chapter 2: Checklist for Supervisors ...................................................... 2 • Instructions • List Copy Chapter 3: Legal Protection ..................................................................... 7 • What is Legal Protection? • Why Be Concerned? • Developing Legal Protection through Identification of Job Requirements • Business Necessity Chapter 4: The Recruitment Process ...................................................... 9 • Introduction • Preliminary Actions: Before Finding and Attracting • Finding Qualified Applicants • Attracting Qualified Applicants • Recruitment Procedure • Contact Information for Iowa Public/Private College Career Centers Chapter 5: Establishing Job Requirements .......................................... 23 • What Are Job Requirements? • Why Do It? • Job Requirements Identification • Reviewing the Purpose of the Job • Reviewing the Expected Results/Outcomes • Identifying Essential Functions • Identifying Duties Required • Identifying Competencies • Summary of Procedures for Establishing Job Requirements Steps What Should Be Done With the List of Essential Functions Identifying General and Technical Competencies • Reviewing Selective Requirements • Example: Public Information Officer Essential Functions List • Example: Public Information Officer Competency List TABLE OF CONTENTS Applicant Screening Manual Department of Administrative Services – Human Resources Enterprise Revised January, 2008 Page iv Chapter 15: Background Checks ........................................................... 92 • What Is a Background Check? • Why Conduct Background Checks? • Cautions/Legal Constraints • Requirements for Using Background Checks • Sources of Information or Background Checking Firms • Example: Background Authorization Form Chapter 16: Reference Checks .............................................................. 96 • What Is a Reference Check? • Why Do Them? • Steps in Conducting Reference Checks • Reference Checks from Prospective Employers • Example: Reference Check Chapter 17: Telephone Interview ......................................................... 102 • What Is It? • Why Conduct an Interview Over the Telephone? • Issues to be Aware of • Content and Procedures • Example: Telephone Interview Chapter 18: Interviewing ...................................................................... 105 • General Considerations • Avoiding Sources of Interview Bias • Documentation and Record Keeping • Conducting the Interview • Essential Question of Every Interview • Interviewing Candidates with Disabilities • Example: Essential Functions Review Question • Example: Interview Questions • Example: Scoring Scale • Example: Five Point Rating Scale TABLE OF CONTENTS Applicant Screening Manual Department of Administrative Services – Human Resources Enterprise Revised January, 2008 Page v Chapter 19: Avoiding Discrimination in The Interview Process ....... 116 • Discrimination Under Federal Law • Discrimination in Iowa • Areas to Avoid Age and Date of Birth Arrests Child Care and Conception Citizenship and Immigration Eligibility to Work and Identity Background and Reference Checks Use of Native Language Convictions Disability and Health Questions Reasonable and Necessary Accommodations Medical Examinations Alcohol and Drug Abuse AIDS Discharge from Military Service Dress and Appearance Fidelity Bond Financial Status Friends of Relatives Employed Here Garnishment Record Height, Weight Marital Status Pregnancy and Childbirth Salary Saturday and Sunday Work Sex Spouse’s Name Spouse’s Work Drugs Polygraph Summary List of Topics to Avoid • Bona Fide Occupational Qualification • Successful Interview – A Summary • Guide to Preemployment Inquiries Chapter 20: Post Offer Screens ........................................................... 131 • What Are They? • Types Sometimes Used • Polygraph Examinations • Medical Screens What Are They Why Conduct a Medical Examination? Issues to be aware of TABLE OF CONTENTS Applicant Screening Manual Department of Administrative Services – Human Resources Enterprise Revised January, 2008 Page vi Chapter 21: Recordkeeping ................................................................. 134 • What Is Required? • Why Keep the Records? • How Long Must Records Be Kept? • What Records Must Be Kept? • Sample Offer of Employment Letter • Sample Letter for Temporary or Seasonal Employee • Sample Letter 1 – Not Interviewed • Sample Letter 2 – Not Interviewed • Sample Letter 1 – Interviewed, Not Hired • Sample Letter 2 – Interviewed, Not Hired • Sample Conditional Letter of Employment Chapter 22: Probationary Period ........................................................ 143 • What Is It? • Why Have a Probationary Period? Appendix ................................................................................................ 144 • Definitions Applicant Screening Manual Chapter 2 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 3 SCREENING AND HIRING PROCESS CHECKLIST Department Class Title and Code Division/Bureau/Section Immediate Supervisor Task 1 Reviewed and revised, if necessary, Position Description Questionnaire (PDQ). The PDQ must include essential functions of the job. An updated PDQ should be maintained in the department’s personnel files. Check each of the following review steps as completed. The latest version of the form can be found at: http://das.hre.iowa.gov/rtfs/MS_manual/552-0094_position_description_questionnaire.dot Date Completed: Purpose The purpose for this position has been reviewed and revised, as necessary. Results/Outputs (not part of PDQ but critical to understanding job requirements) Reviewed and revised, as necessary, the results/outputs that this position is expected to produce. Reviewed and revised, as necessary, the methods used to produce these outputs/results. Essential Functions Reviewed or established essential functions. Wrote the essential functions in terms of producing critical or important results/outputs. Assured there is supporting evidence that the essential functions are truly essential. Duties The duties listed on the PDQ for the position are still current or have been revised, as necessary. Competencies Identified the competencies required to perform the duties that produce the essential functions of this position. The screening process to be used is job-related, as it measures the identified competencies. The competencies being measured are likely to identify the applicants most able to succeed on the job. Applicant Screening Manual Chapter 2 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 4 Education and Experience Requirements Reviewed the education and experience requirements for the job class in which this position is classified. Identified additional selective requirements needed to perform the essential functions of this position. Included these requirements in the vacancy posting. Task 2 Posted the vacancy for contract transfer (with required selective requirements, if needed). Date Completed: Task 3 Submitted Vacancy Requisition Form (job req.) Date Completed: Included the length of time the position to be posted. (Must be posted a minimum of 10 calendar days.) Identified if applicants desired from only own department, any department, or all applicants. Identified major job duties and responsibilities, required competencies, minimum qualifications (education and experience requirements) and any position-specific selective certification requirements. Task 4 Cleared/processed recall list. Date Completed: Task 5 Developed screening plan. Date Completed: Identified the types of screening options to be used. Identified completion times for each step. Task 6 Developed a standardized interview. Date Completed: Established/trained interview team (team recommended where possible). Developed written questions. Established how question answers will be ranked/scored. Reviewed recommended interview procedures (See Chapters 17-19 in this manual). Applicant Screening Manual Chapter 2 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 5 Task 7 Received hire list and application links from DAS-HRE. Date Completed: Task 8 Followed the Steps in the Hiring Process for considering applicants – see CFN 552-0492 at: http://das.hre.iowa.gov/pdfs/MS_manual/CFN552-0492.pdf. Date Completed: Task 9 Determined which applicants to interview. Date Completed: Task 10 Contacted applicants to schedule interviews. Date Completed: Task 11 Conducted reference checks (background checks also, when applicable – See Chapters 15 and 16). Date Completed: Task 12 Conducted the interviews. Date Completed: Determined if a second round of interviews is necessary. Developed second standardized interview. Task 13 Selected the final candidate. Date Completed: Made a written offer. Task 14 Received letter of acceptance from candidate (See Example on page 142 in Chapter 21). Date Completed: Applicant Screening Manual Chapter 3 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 8 General guidance for establishing business necessity: • Necessity is not based upon employer preference or convenience. • The employer must demonstrate that any special requirements are essential to the satisfactory performance of the job described on the position description questionnaire. • The employer must document (not merely state) that the job requirements represent actual requirements for the job. • The employer must not have hired workers with less/lower qualifications for the same or similar jobs. • It must not be feasible to hire workers with lower qualifications and be successful. • Unsupported statements may not constitute establishment of business necessity. Applicant Screening Manual Chapter 4 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 9 CHAPTER 4 THE RECRUITMENT PROCESS Note: This chapter was initially intended as a description of how to complete the State of Iowa Vacancy Announcement, but as the information was examined within the context of the entire hiring process, it became clear that this subject area was part of the larger topic of recruitment. Although the recruitment process precedes applicant screening, it is so integrally related, it was decided to include it in this manual. The reader who is seeking specific information about the State of Iowa Vacancy Announcement will find it discussed on Pages 15-17. The rest of this chapter, however, deals with recruitment from a broader perspective. The term “appointing authority” refers to the agency as a whole, also referred to as the “organization.” The “selecting authority” refers to the individual supervisor who is filling the vacancy. Introduction Recruitment is a key strategy for ensuring that the organization’s workforce is made up of the best talent. Finding high quality talent is proactive, especially in recent years as the competition for talent has grown. Successful recruitment is not passive, i.e., letting the talent find the employer or waiting for highly qualified people to show up on the list of applicants. Recruitment involves at least two diverse activities: finding qualified talent and attracting it. The finding part is more analytical and data-based, although it also involves a degree of creativity in identifying potential places to seek applicants as well as establishing and maintaining a network for spreading the word about hiring opportunities. The attracting part is directed more to marketing and customer relations as the recruiter strives to convince potential applicants to apply for particular jobs. A suggested list of basic steps in the recruitment process can be found at the end of this chapter. Preliminary Actions: Before Finding and Attracting Job Design Long before vacancy announcements are distributed, the recruitment process starts with determining what the appointing authority wants the position to do. This is referred to as Job Design (writing a new or updating the current Position Description Questionnaire, PDQ). Skipping over this step will most likely return to haunt the appointing authority later, if adequate time isn’t allowed to articulate the organization’s needs. Determining the appropriate job class for the position is also a necessary step. Competencies and Minimum Qualifications Once the job duties and responsibilities have been determined through Job Design, the knowledges, abilities, skills and behaviors needed to perform those duties and responsibilities, referred to collectively as Competencies, needs to be developed. The competencies are the foundation of the recruitment process. They describe to the applicant what they must be able to do or what they must know to do the job. They also suggest to the appointing authority the types of background, education or experience the successful candidate should possess. Before moving ahead with the recruitment process, the minimum qualifications for the job class should be reviewed to make sure they are the most likely sources for providing the skills and abilities (competencies) being sought. The appointing authority has two options if they don’t believe the minimum qualifications will attract the type of applicant needed: consider a different job class or, in extreme cases, request the minimum qualifications be changed. If unsure about the minimum qualifications, it may make sense to proceed using the current job class and see what type of applicant is attracted. Applicant Screening Manual Chapter 4 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 10 Finding Qualified Applicants Building Potential Source Lists The minimum qualifications and competencies provide clues about where to seek potential applicants. For instance, consider this somewhat simplistic example. If the minimum qualifications require a four-year degree in wildlife biology, colleges and universities are a prime source of names and a good resource for announcing the vacancy. These colleges and universities should be offering some type of degree in wildlife biology in order for the appointing authority to zero in on a qualified talent pool. If this type of degree is not offered, these schools aren’t likely to generate the type of applicants needed. In the example above, the required background in wildlife biology also suggests additional sources to tap, i.e., any organization or entity that has a direct relationship to wildlife biology. For instance, professional organizations for wildlife biologists could also be tapped; however, expanding the network to include all scientists may be too general. Further research about such organizations is necessary in order to make that determination. Recreational organizations that involve wildlife might also be considered as potential recruitment sources. Once recruitment sources to attract applicants start to be identified, the appointing authority has embarked on the route of targeted recruitment as opposed to the more traditional “request a list and wait” method. Other ways to develop recruitment sources The following list is covered in more detail on the DAS-HRE Affirmative Action website, “Low- Cost Recruitment Strategies Including Targeted Recruitment of Minorities,” at: http://das.hre.iowa.gov/pdfs/AAEEO/low_cost_recruitment_stratagies.pdf. 1. Engage current staff. Experts suggest that current staff are one of the best sources for both direct recruitment of potential applicants as well as information about where to find qualified applicants. 2. Engage the assistance of new hires in the same field. They may have more current knowledge of recruitment sources. 3. Enlist the assistance of the organization’s Diversity Committee. They may have a different knowledge base and appreciation of or perception of where to find the talent pool. 4. Retain connections with former staff, both for re-hire purposes and for the network opportunities they can provide. 5. Explore developing cooperative arrangements with similar units in other states or public jurisdictions. True, they may be competing for the same talent, but they may also be helpful in passing along vacancy information to staff and others who are looking to relocate to the appointing authority’s geographic area. 6. Enlist the assistance of local minority recruitment resources. They have direct links to a targeted segment of available applicants that may expand the current applicant pool. 7. Monitor how applicants and new hires say they heard about previous job vacancies. If one source isn’t working, consider dropping it or approaching it in a different manner. If one source has become a major supplier, strengthen the relationship with it. Applicant Screening Manual Chapter 4 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 13 become actively involved in filling vacancies, or do they simply post and distribute information? f. When appropriate, the appointing authority should separate key schools into regions or groupings that work best for their recruitment operations (surrounding states, Midwest, rest of USA, North America, international, etc.). 3. How does the institution treat the vacancy? Do they display and distribute vacancy information? To whom? How frequently? What other ways do they distribute the information? What is the most advantageous time of the school year for recruiting? Do they hold on-site events? How effective is their website for recruiting purposes? 4. Does the school have a minority placement officer? If yes, is the position located organizationally within the placement office or somewhere else? Do they operate independently of the placement office? Is there a similar position for disabled students? 5. Are there student organizations that can be used as a resource? Who are the contacts? How can they help the appointing authority’s recruitment efforts? Attracting Qualified Applicants Targeting the most effective sources of applicants is just the first step. Next, the better qualified candidates in the talent pool have to be convinced to apply for the job. This involves more than simply “announcing” the vacancy and waiting for the applicants to line up for it. In a competitive labor market, it requires marketing and promotion, both of the position and the organization. The Vacancy Announcement (This section treats vacancy announcements in a generic sense; more specific information about the State of Iowa Vacancy Announcement can be found on pages 15 through 17.) The first marketing strategy is to consider the vacancy announcement itself. Its content, wording, and layout all contribute to raising interest in the position by the type of applicant being sought. The vacancy announcement plays multiple roles in shaping the recruitment process: It describes the job. In order to net the most qualified applicants, they need to fully understand what the job involves. This doesn’t require lengthy detail or that the entire job description be copied, but it should cover the primary purpose of the job and the assigned job duties and responsibilities. A realistic job description helps the applicants know what will be expected of them. It lists the essential functions and the major competencies needed to perform the job. This is setting the stage for the screening criteria that will be used later in the hiring process. There shouldn’t be any surprises at that point; the vacancy announcement should inform all potential applicants what the screening criteria will be. Moreover, it actually serves as the first screen in the hiring process in that it is a self-screen. Based on the way the announcement is worded, the applicant decides whether or not to apply for the position. Ideally, if the job is described accurately, people who aren’t qualified or who would not be good matches for the job won’t apply and good candidates will. The way the announcement is worded is critical to establishing an effective and appropriate self-screen. Applicant Screening Manual Chapter 4 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 14 It lists the pay or the pay range for the job. It may also include the benefits offered by the organization. These can be a critical marketing tool. If too lengthy, though, a link could be provided where the applicant can find more information elsewhere about them. It lays out the rest of the hiring process for the applicant. This may be no more than the end date for accepting applications, but it may also list the other steps in the selection process like follow-up questionnaires, medical examinations, interviews and background check requirements. It provides contact information where the applicant should send the application or who they should contact with further questions. While contact information seems like a minor issue and possibly an inconvenience to the appointing authority, this is an important issue for the applicant. It assures potential applicants that the organization is an equal employment opportunity employer. Finally, it entices the applicant to want to work for the organization. This may be through a description of the organization and/or the community where it is located. It may also come through a description of the advantages of working for the organization and the kind of meaningful and rewarding work the successful candidate will be performing. The above list is based on the assumption that potential applicants actually read vacancy announcements. Most do and make educated decisions based on what they read. But some applicants, for a variety of reasons, skim the information. This may result in nonproductive applications that waste both the applicant’s time and that of the appointing authority. The appointing authority can anticipate most of these actions and attempt to deflect them through a well-written vacancy announcement, but there is no guarantee that a few non-viable applications won’t slip through. Though at this point it is the potential applicant who makes the decision whether to become involved further with the employer, the employer still maintains a certain amount of control over the process: By determining the audience the announcement reaches (for instance, targeted recruitment sources versus a “shotgun” Internet approach). Through the timing of the announcement (when it appears, how long it runs/is posted). Through the description of the job (amount of detail, marketing of the employer, tone of expectations). By monitoring the success of the recruitment efforts during the “open” period and making adjustments to the process, if warranted. It is important for the appointing authority to keep this in mind rather than believe they are entirely dependent on the caprice of the applicant. Kinds of Vacancy Announcements One size vacancy announcement does not necessarily fit all recruiting situations. It is frequently necessary to tailor the announcement to the format accepted by the recruiting source. The obvious example is the classic newspaper want ad. To minimize the cost, the appointing authority most likely will try to keep it as brief as possible without omitting essential information. The same holds true for other advertisements placed in professional journals or other entities paid to advertise the vacancy. Applicant Screening Manual Chapter 4 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 15 There are still some recruitment sources that post a hard copy of the announcement. They may have size limitations, such as whatever fits 8.5 x 11” paper. Even electronic postings may have space limitations. To comply with these space and length limitations, it may be necessary to cut some of the copy that markets the organization in order to have enough room for the basic information about the job. Nonetheless, when drafting this vacancy announcement, keep in mind that it should do more than simply describe the job. It should attract qualified applicants. The State of Iowa Vacancy Announcement All vacancies must be announced on the DAS-HRE state employment website in the prescribed format outlined below with the exception of executive branch positions that are exempt from the merit system (for which posting on the DAS-HRE website is optional). The State of Iowa Vacancy Announcement is derived from the Vacancy Requisition Form (req) initiated by the agency’s personnel assistant (PA). For more detailed instructions about how to complete the Vacancy Requisition Form (req), go to http://das.hre.iowa.gov/pdfs/employment/req_form_details.pdf. More information about the requisition (req) process can be obtained at the BrassRing website at: http://165.206.47.115/government/das/hum_res/state_jobs.html. Many of the fields on the req are automatically populated by BrassRing, but others can be customized to meet agencies’ specific recruitment needs. The following information addresses how to use the State of Iowa vacancy announcement from a marketing perspective in order to attract a sufficient number of qualified applicants. Job Description – This section expands to the length needed. The PA can input the agency’s own copy into the electronic form or cut and paste from other documents such as the position’s PDQ. However, this is another opportunity to “sell” the position, so relevant, informative copy should be included. Although this section is “free form,” this is the suggested format: Purpose of Job: Found in Question 14 of the Position Description Questionnaire (PDQ). This is also where it can be indicated, if applicable, that this is a new position and provide the name of the specific unit that has the vacancy. Duties and Responsibilities: This part can be as concise or as detailed as the appointing authority feels necessary. If kept concise, the major functions should still be included. If a more detailed description is used, too much detail should be avoided, or the audience is likely to stop reading or become confused. If it does become lengthy, break it up by indenting and/or using bullets for each duty or responsibility. The primary source of this information should be the PDQ, but make sure it is current. Optional: Provide information about other pertinent aspects of the job, such as working conditions or other expectations the applicant should know about before applying. Minimum Qualifications: These come directly from the class description and are populated automatically by the system. They also include the html coding to link to the full class description. Do not change these. Additional Qualifications: This is where selectives (if applicable), competencies and essential functions required for the job can be spelled out as well as other desired background. Applicant Screening Manual Chapter 4 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 18 • recruitment for hard-to-fill vacancies • recruitment for specialized occupations • college and technical school liaison As mentioned elsewhere throughout this chapter, it takes time to build a recruitment network. This is accomplished through actual experience recruiting for various kinds of vacancies. Over time, persons charged with recruitment learn who the best recruitment sources are, what recruitment methods work best, and conversely, what to avoid. This accrual of experience is most effective if the same individual or group of individuals recruits on a continuing basis. Recruiter tasks do not have to be full-time, they can be part of a larger collection of job duties, depending on the time available and demand. Recruitment service providers (Search firms) – With the continuing growth in services provided via the Internet in recent years, many new recruitment services have appeared that offer access to various specialized applicant and employment databases. The individual appointing authority may not otherwise be able to access these databases. Traditional search firms have also incorporated the Internet as a major recruitment strategy in addition to the other recruitment services they offer, such as development of recruitment campaigns and identification of recruitment sources. Typically, the cost of these services is deducted from the salary savings for the period the position remains unfilled. Use of recruitment service providers works particularly well under the following circumstances: • when there is a need for entrée into the networks of highly skilled or specialized technical or professional positions. • for emerging technologies or knowledge. • for hard-to-fill positions. • for applicant searches involving a wide geographic applicant pool. • when no one on staff has the time or the expertise to devote to the process. Given the potential costs involved with this approach, use of recruitment service providers is typically undertaken by state agencies on a limited basis. Usually, the payoff in the quality of applicants supplied or other desired results is considered worth the cost. The employer’s website – Sometimes, the applicant has never heard of the organization or has only limited information about it. If their interest is piqued by a vacancy announcement, the next most likely step for them to take is to check out the organization’s website. What will it tell them about the organization? How does its layout add or detract to their interest in the employer? What should it look like? Do some research and check out other employers’ sites to see what they are doing. Many organizations’ websites have become quite sophisticated in their savvy marketing of themselves as employers of choice. Branding – It works for commercial products like life insurance, cars and breakfast cereal, to name a few, but how does an employer, especially a state agency, brand itself? And why is that important? Because it wants to set the organization apart from others with a positive image that potential applicants remember. It wants to generate “buzz” within the community of the potential talent pool. Branding may be a short slogan that people remember and that gives the organization an identity. It may be an attention-getting logo or even a memorable spokesperson (think Mouse Ears for Disney World). Branding may be as simplistic as presenting all vacancy announcements in a certain format or continued use of the same colors in the organization’s printed and electronic materials. Applicant Screening Manual Chapter 4 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 19 “Go where the people are” – The underlying intent of this method is to get the organization’s name in front of potential applicants, in a positive way, of course, wherever the types of people who make good applicants tend to gather. For instance, an employer seeking to cultivate future candidates for wildlife biologist positions might attend a conference on wildlife biology. This doesn’t mean the employer is necessarily there to recruit for specific vacancies. The organization is there to promote a positive image and disseminate information about itself. Actively recruit from others’ downsizing and layoff situations – The appointing authority should maintain an awareness of the employment conditions in the community and the region, possibly even the industry on a nationwide or global basis, so that when those other businesses and organization are faced with losing employees, the appointing authority can be there to promote the organization. That doesn’t necessarily mean there are jobs to offer; the skill sets of those who are leaving may not mesh with the skill set needs of the organization at the moment. But, if the appointing authority is prepared with marketing information about the organization, this gets its name in front of potential applicants at a time when they are most likely to be receptive to such information, planting seeds for future possibilities. Though some might argue this practice is like taking advantage of someone else’s misfortune, what the appointing authority is really doing is offering that organization additional placement options. And, potentially, this attitude will serve to enhance their reputation within their network of contacts and recruitment sources. Recruitment Procedure The steps listed below are the basic actions that should be taken in filling vacant positions. Additional steps may be added by the appointing authority. 1. Determine whether the vacancy can be filled. • Obtain whatever internal budget approvals are necessary for filling the job. • Follow the appropriate collective bargaining provisions and recall and outplacement procedures. 2. Establish time frames and roles. • When can recruitment begin? What needs to be done before recruitment can begin? • Who will conduct recruitment or be the contact person? Who makes decisions about the position? Who will handle the administrative details? • Is there a drop-dead date by which the position must be filled? If not, what is the desired fill date? Will the closing date need to be extended for targeted recruitment? • Are there any known milestone dates that must be met by certain times? (This typically refers to posting vacancy announcements in various types of publications. Many of these must receive copy and payment by a certain date in order to run the announcement. Although the selecting authority probably won’t have developed an official list of recruitment resources by this point in the process, if they know there are must-have’s, they can check on submission dates for these recruitment sources now so those dates can be built into the process from the beginning.) • Confirm whether there are funds available for recruitment and who is going to pay for recruitment expenses. Applicant Screening Manual Chapter 4 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 20 3. Define the job. • Will the duties and responsibilities remain the same? • Update the Position Description Questionnaire (PDQ), even if the duties and responsibilities haven’t changed. If there are changes, send the PDQ to the Personnel Officer for classification review. 4. Establish and “validate” the competencies required by the job. • Using the updated PDQ, list the competencies required to perform the job. • The selecting authority’s review of the competencies, identifying those needed at entry, those that are most important/critical to the job, and those that are performance- differentiating, serves as an unofficial “validation” of the competency list, i.e., that the competencies being used to screen applicants are indeed those most needed in the job. Although all the competencies deemed necessary for the job are still applicable to the overall job, the refined list of competencies based on the criteria listed above becomes the screening criteria for the rest of the hiring process. • Where necessary, further refine the screening criteria by listing “behavioral indicators” that describe how the competency is applied in this particular job. 5. Determine the application and selection process. (Much, if not all, of this can be handled by DAS-HRE through BrassRing, but there are some basics that need to be determined at this point because the selecting authority may find they want to refer to the screening process in the vacancy information described below in Step 7.) • Will resumes and/or a cover letter by required? • How will the applications received be reviewed and narrowed down to a final group of applicants to be considered? (What additional screening tools will be used? Although the screening tools can be developed later in the process, if developed now, the process can be better described to applicants to help them anticipate what to expect.) • Develop the screening tools and scoring systems, including interview questions, based on competencies and essential functions required for the job. 6. Review the relevant labor force and identify recruitment sources and methods. • Determine the relevant labor force and assess its current status (competition for, turnover, competitive wage rates, availability, geographic spread, demographics, etc.). • Besides listing the vacancy on the DAS-HRE website, where else will the recruitment information be sent? • Is the position in an underutilized job class? If so, will the agency do targeted recruitment? • Utilize internal recruitment sources and encourage employee referrals, particularly from the relevant protected group workforce. • If needed, develop or update a distribution list (both Internet-based and mailing addresses, if applicable). 7. Develop vacancy information. (This step is undertaken in concert with Step 6. The reason why this step is listed after Step 6 is that the type of vacancy information to be developed may depend upon the type and nature of recruitment sources selected in Step 6.) • Develop the vacancy announcement (see other parts of this chapter for more specific information about how to do this). • Decide whether the vacancy will be posted externally or intra-agency. Applicant Screening Manual Chapter 5 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 23 CHAPTER 5 ESTABLISHING JOB REQUIREMENTS What are job requirements? The job requirements described in this process are the competencies required to perform the essential functions of the position. Why identify the competencies? Hiring is one of the most critical decisions that a supervisor can make! Resources are limited. Taxpayers have an expectation that we spend our budgets wisely and efficiently. How many supervisors have extra money to spend on filling the same positions over and over? How many supervisors can afford to hire staff that will not contribute to accomplishing the organizational mission? Management needs to be focused on creating the results that will satisfy our customers and achieve the mission of our organization. A key part of ensuring that we can produce the results expected of us involves hiring quality, capable staff. An important part of hiring capable staff is identifying the requirements for filling a given position. What competencies (knowledge, abilities, skills, or behaviors/characteristics) must an employee have to successfully produce the results that are required in the position being filled? The following material is offered to assist you in reviewing each position as it is either being created or as the opportunity to fill it occurs. Job Requirements Identification When a position is going to be filled, a structured review of the Position Description Questionnaire (PDQ) and the related requirements for the position is needed. This review should include an examination of the following elements: • The reason the position exists. • The results/outputs expected. • The position’s essential functions. • The duties performed to accomplish the essential functions. • The competencies required to perform those essential functions and duties. Review of Purpose Purpose: The reason that the position was established. • Positions are established to produce an end output/result that contributes to meeting the organization’s mission and meets a customer’s need. • A position can produce output/results that relate to both a unit, bureau, division and department mission. Purpose Examples • Create and administer a worker’s compensation case management system. • Obtain child support in assigned cases. • Audit accounting records of municipalities to ensure appropriate accounting standards are applied. Applicant Screening Manual Chapter 5 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 24 Reviewing Results/Outputs Expected What are Results/Outputs? • Results/outputs are the actual “product” that a position is expected to produce. • This is the actual work produced for customers. Why Review the Results/Outputs Expected? Focusing on results makes it easier to determine how the job contributes to the organization’s mission. Expected Results Can and Do Change • It helps staff understand how their work fits into the organization and why the organization needs their contribution. • It helps identify the why of work: Why do we do what we do? • It provides a better basis for identifying other methods that can accomplish the result. Results/Outputs Examples • Develop and implement contracts. • Handle complaints. • Supply quality applicants. • Develop strategic plans. • Install new personal computers. • Hire employees. • Clean floors. Results/Outputs Identifying Questions • What is the work output or result that is expected from this position? • How does this output or result contribute to meeting the organization’s mission? • What are your customer’s needs? • How does this position meet customer needs? • Are customer needs currently being met? • What new outputs/results should be added to meet customer needs? • What outputs/results should be removed or modified? • What methods should be used to generate the results required? Essential Functions Essential functions are absolute requirements for producing critical job results/outputs. • An essential function can be an essential output or result; it can also be a duty required to produce an essential result; or it can be a competency that is required to be able to perform that essential duty. • Essential, by definition, means indispensable, vital, necessary, or related to the essence of the job. • It does not include marginal functions or duties performed. • There are often many ways to produce the same end result. • Essential functions should not just be a description of how an output or result has always been produced. Applicant Screening Manual Chapter 5 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 25 It is important that alternative production methods be reviewed. For example: • The output or result expected from a custodial worker is a clean floor. • The duty performed has been to mop the floor daily. It may be more efficient to use a machine to perform the same function. • The new duty assigned is to operate a floor cleaning machine. The essential function has not changed. It remains, “producing a clean floor.” Essential Function Examples • Producing a clean floor. • Attending work regularly as required to meet production deadlines. • Establishing and administering a results-based division budget. • Writing effective informational materials. • Negotiating and administering effective contracts for benefits services. Reasons Functions May Be Essential A job function may be considered essential for any of several reasons. • It is the reason the position exists. The position was created to perform this function. • A limited number of employees are available to perform the function. • The function is highly specialized. Supporting Evidence Supporting evidence can include: • The employer’s judgment that the function is essential. • Written job descriptions prepared before a question about the duty arises. • The amount of time spent on the job performing that function. • The consequences of not performing the function. • The terms of a collective bargaining agreement. • The work experience of past incumbents in the job. • The current work experience of incumbents in similar jobs. Remember that applicants and employees can challenge determinations of what are essential functions and related requirements. Duties A duty is a specific task, activity, or example of a work process that produces a product or result. It describes what is being done. The duty itself may not be an essential function, as the same result can be produced by several methods. Applicant Screening Manual Chapter 5 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 28 Example: Problem Solving • Identifies and analyzes problems. • Uses sound reasoning to arrive at conclusions. • Finds alternative solutions to complex problems. • Distinguishes between relevant and irrelevant information to make logical judgments. Proficiency Level: The degree of complexity, difficulty, scope, or independence required to apply a competency or behavioral indicator as needed in the job. Example: Problem Solving: • Advanced: Uses logic to identify and solve critical and sensitive problems involving a major organization. Considers a large number of choices, competing viewpoints and alternatives. Solutions have a national, statewide, governmentwide, agencywide impact. • Intermediate: Uses logic to identify and solve complex problems for a unit within an agency. Considers various choices, competing viewpoints and alternatives. Solutions affect a wide range of agency activities, work of other agencies or the public. • Basic: Uses logic to identify and solve problems for a work unit. Considers well-defined choices, where there are a limited number of possible actions and the impact is limited to the immediate work unit. SUMMARY OF PROCEDURES FOR ESTABLISHING JOB REQUIREMENTS Step 1: Identify the reason the position was established. Step 2: Identify the result/outputs that are expected from this position. Step 3: Identify the essential functions required to produce them. Step 4: Identify the duties that are performed to produce them. Step 5: Identify the competencies required to perform those duties. Where feasible and necessary, identify the behavioral indicators and proficiency levels of the competencies identified. Applicant Screening Manual Chapter 5 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 29 Step 6: Identify those results/outputs, duties, and competencies that answer the following questions: • Will the purpose for this position being created be compromised if this result or output is not produced? Yes/No - If the answer is yes, the production of this output/result can be an essential function. • Will the results/outputs in the “yes” group be produced if the duty is not performed? Yes/No - If the answer is no, the output/result cannot be produced, that duty can be an essential function if it clearly must be performed in the manner listed. • Will the duty be performed if the applicant does not possess a competency related to performing that duty? Yes/No - If the answer is no, that competency must be possessed because the duty cannot be performed without it, that competency can be an essential function. The answers to these questions will identify the core of the position’s essential functions. What should be done with the list of essential functions once it has been developed? 1. The list of essential functions for the position must be included in the Position Description Questionnaire, as the form requires. 2. This list should be used as the basis for identification of the competencies that are required to perform the essential functions. Competencies that are not related to essential functions should not be used to make decisions about applicants. 3. The competencies required to perform essential functions should be reviewed to identify the most important competencies, those most likely to identify successful job performers. 4. These competencies should be the basis for: • The screening processes used to hire applicants. • The training plan that is developed for new hires. • The creation of an individual performance plan. • A workforce plan for the department or unit. This list must be given to applicants being interviewed in order for them to respond to the question, “Can you perform these essential functions with or without a reasonable accommodation.” Identifying competencies required to perform essential functions: Most jobs require competencies in two areas related to producing essential functions. These are: General competencies (These competencies are applicable to many jobs.) The sources that can be used in the identification of general competencies include: • Previously developed competency lists for other positions. • Standardized lists (Use of competency library found on the DAS-HRE workforce planning website.) Applicant Screening Manual Chapter 5 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 30 • Identification of competencies from similar jobs from the data in the automated Human Resource Manager system. (This is available to DAS-HRE and state managers and supervisors only.) Technical competencies These competencies are those specialized areas of knowledge, ability, or skills that are acquired through formal education, training or experience on the job that provide the core technical base for performing the job. Examples: • Knowledge of civil engineering applied to highway construction. • Skill in the use of laser-based surveying equipment. • Knowledge of the principles of social work. • Skill in the use of Microsoft Office personal computer tools. Identification of general competencies: Most jobs in state government require competencies from a common core group of competencies. Previous focus group studies and surveys of state supervisors and employees have identified several base competencies that are related to performing most state jobs. These include customer service focus, appropriate attitudes about work, communication skills, and the ability to work in teams. Generally, these competencies are the last seven listed on class descriptions. Examples of “core” competencies that are required in most state jobs Teamwork: • Works with others to achieve goals; encourages cooperation, pride, and trust, and team spirit. Customer Service: • Committed to providing quality service to customers. Communication: • Oral communication involving expressing information to individuals and groups effectively taking into account the audience and the nature of the information; listens and responds appropriately. • Written communication involving the use of correct English grammar, punctuation, and spelling; communicating in a succinct and organized manner that produces written information. Appropriate work attitudes: • Displays high standards of ethical conduct. Exhibits honesty and integrity. Refrains from theft-related, dishonest or unethical behavior. Applicant Screening Manual Chapter 5 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 33 EXAMPLE PUBLIC INFORMATION OFFICER COMPETENCY LIST • Public Relations: Ability to design, implement and coordinate the operation of an efficient, effective and proactive public relations/communications and marketing system. • Written Communications: Ability to write detailed reports and informational materials that are appropriate and useful for disseminating information. • Technology: Ability to use PC support tools and other technology-based applications. • Legislative Processes: Ability to apply a knowledge of legislative processes, the organization strategic agenda, and communication skill in working effectively with the legislature. • Teamwork: Skill in working effectively in a team-based environment. • Forming Cooperative Relationships: Ability to coordinate the programs with a variety of interest groups, media, elected officials, stakeholders, advisory bodies, the general public, and impacted departments in order to produce an effective system. • Attendance: Ability to attend work regularly as required to meet production deadlines. • General Communications: Ability to communicate effectively to a variety of individuals and groups in English, both verbally and in writing. • Reading: Ability to read, understand, and appropriately apply a variety of complex technical material including procedures, administrative rules, laws, and professional literature. • Quality of Work: Ability to produce work with few errors. • Self-Direction: Ability to maintain and increase knowledge areas related to the job, and apply that knowledge based on personal self-direction. • Positive Work Attitudes: Ability to apply personal ethics, honesty, initiative, flexibility, and responsibility in producing quality work products. Applicant Screening Manual Chapter 6 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 34 CHAPTER 6 ESTABLISHING PHYSICAL JOB REQUIREMENTS What are physical requirements? Physical requirements include any requirement that establishes a physical, mental, or medical standard or qualification to perform a job. Why establish physical requirements? Physical job requirements can be an important part of the overall requirements needed to perform essential functions and produce required job results. Cautions: Physical requirements can also be quite controversial. In the past, many jurisdictions have been challenged for establishing physical requirements that had an adverse impact on applicants who were female or were persons with disabilities or other protected class individuals. Jurisdictions challenged were not successful in defending their use of the physical requirements they established when they were not able to document that those requirements were job-related and a business necessity. Purpose for procedures: To assist in establishing that the physical requirements are job-related, the following materials have been provided to: • Serve as alternative processes for reviewing duties and essential functions for establishing job-related physical requirements. • Provide a method to document that the physical requirements you are establishing are required to perform job duties that relate to essential functions and are justified as a business necessity. • Provide a way to identify job-related requirements related to the physical activities performed. For example, using Section 4 on the Physical Requirements Record could provide documentation that the position requires frequent, heavy lifting of weights in the 50- to 74- pound range because they lift 50-pound sacks of bulk food. When establishing physical requirements, it is important that the availability of alternative methods or equipment be considered. It may not be a necessary requirement to lift the 50-pound sacks if equipment is available to aid in the lifting. Applicant Screening Manual Chapter 6 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 35 Instructions for Using the Physical Requirements Record This form is provided as a means to document basic physical requirements for a job. First, complete the information in the blanks at the top of the page. Section 1 can be used to provide a brief description of the position. This can also be accomplished by attaching the form to a current Position Description Questionnaire. Section 2 is a record of the amount of time spent in each activity during a day and frequency of the activity during the day. Section 3 provides a space for recording the type of walking surface encountered in the position. Section 4 requires checking the appropriate box for each activity listed based on the percentage of time it requires in a workday. It also has a space for inserting the maximum continuous time that activity would be continued. A space for identifying the heaviest item pushed or pulled requires an estimate of the amount of force required to move it. Section 5 requires checking the appropriate box for the frequency of lifting each amount of weight. It also provides a space for describing the items lifted and the surface on which the individual in the position would be standing. Section 6 requires checking the appropriate box for the frequency with which the employee carries an amount of weight. This section also has space for describing the walking surface, the maximum distance carried, and the items carried. Section 7 asks for checking yes/no boxes indicating which feet are used for making repetitive motions. It also provides for a description of the equipment operated. Section 8 asks for checking yes/no boxes for using hands/arms for making various repetitive actions. It also provides for a description of the activities involved. Section 9 asks for checking a yes/no box regarding five job requirement statements and provides for an opportunity to make comments. Section 10 provides space for describing special clothing or equipment worn on the job. Section 11 asks for description of tools used on the job. Section 12 provides a space for listing other pertinent information not covered in the previous sections. Applicant Screening Manual Chapter 6 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 38 Section 6. Employee’s job requires he/she carry: Never Occasionally Frequently Constantly a. Up to 10 lbs. b. 10 to 24 lbs. c. 25 to 34 lbs. d. 35 to 49 lbs. e. 50 to 74 lbs. f. 75 to 100 lbs. Walking surface: Maximum distance: Items carried: Section 7. Job requires employee to use feet for repetitive movements, as in operating foot controls: Right Left Both Yes No Yes No Yes No Equipment operated: Section 8. Job requires employee to use hand(s) / arm(s) for repetitive action such as: Firm Handling Firm Grasping Repetitive Grasping Fine Fingering a. Right Yes No Yes No Yes No Yes No b. Left Yes No Yes No Yes No Yes No c. Bilateral Yes No Yes No Yes No Yes No Activities requiring grasping/handling/fingering: Applicant Screening Manual Chapter 6 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 39 Section 9. Employee’s job requires: Yes No Comments a. Working on unprotected heights b. Being around moving machinery c. Exposure to marked changes in temperature and humidity d. Driving automotive equipment e. Exposure to dust, fumes and gases Section 10. Special clothing/equipment worn: Section 11. Tools used: Section 12. Other pertinent information: Applicant Screening Manual Chapter 6 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 40 DEFINITIONS Continual Work: A workload requiring the exertion of a muscular force that is frequently repeated with little or no time between efforts. Continuous Work: A workload requiring the exertion of a muscular force that is sustained and uninterrupted. In dynamic work, it is the sustained pattern of work without rest or light effort breaks. Continuous work, especially when the work is demanding, results in earlier fatigue and less productivity than does intermittent work. Cycle: A time interval during which a regularly recurring sequence of events is completed. It can be the time to complete a task with many elements or the time to complete a single operation in a repetitive task. Cycle Time: Time needed to complete the task. Cylindrical Grip: The contact of the hand with an object where the palm and fingers hold the object securely and the angle and curl of the fingers is similar. The thumb is not essential for a cylindrical grip. Dynamic Muscle Work: Muscle contraction where muscle length changes during activity, resulting in motion of a joint. Most handling and assembly tasks are dynamic. Frequency of Lifting: Number of lifts made per minute or other short time period. It should be related to the distribution of rest or recovery periods in order to determine the intensity of the workload. Fundamental Cycles: A work cycle that has a sequence of steps or elements that repeat themselves within the cycle. Handling: Lifting, lowering, conveying, pushing, pulling, or sliding an object in order to move it from one place to another. Intermittent Work: Physical effort (usually moderately to highly demanding) that is interrupted regularly by short rest or light work periods lasting a few seconds to a few minutes. These rest periods permit the muscles to replenish their oxygen and energy stores and to reduce their accumulation of lactic acid compared to that measured with continuous work. Job Demands: The physiological, psychological, and perceptual requirements of a job that determine the suitability of a given workload for the potential work force. Light Assembly Task: Work with low energy expenditure that is often performed in a seated position. Muscles of the arms, hands, and shoulders are usually most actively involved in these tasks, and the repetitiveness of the work can be high. Material Handling: The movement of parts, raw supplies, chemicals, subassemblies, finished products, or other materials between sections of the manufacturing system or through distribution systems to the customer or client. The movement may be done by hand, as in lifting cases and pushing hand trucks and carts, or with automated equipment or aides, as in using forklift trucks, storage and retrieval systems, or conveyers. Maximum Voluntary Contraction: The largest force that can be developed by a muscle or muscle group under a given set of conditions. Joint angle, available muscles, degree of work or motivation, and duration of holding all determine the maximum of voluntary contraction strength. Applicant Screening Manual Chapter 6 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 43 # Item Criticality Frequency Duration Intensity Awkward position ------------------------------ Balancing ------------------------------ Carrying Max distance = Max weight = Climbing Stairs Ladder Crawling ------------------------------ Crouching ------------------------------ Driving ------------------------------ Feeling/touching ------------------------------ Filing ------------------------------ Fingering ------------------------------ Handling ------------------------------ Holding ------------------------------ Jumping Max height = Max distance = Kneeling ------------------------------ Lifting Max weight = Pulling Max weight = Pushing Max weight = Reaching ------------------------------ Running Surface = Distance = Sitting ------------------------------ Squatting ------------------------------ Standing ------------------------------ Stooping/Bending ------------------------------ Throwing Max weight = Turning ------------------------------ Twisting ------------------------------ Walking Surface = Distance = Applicant Screening Manual Chapter 6 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 44 “CRITICAL PHYSICAL DEMANDS”: Physical demands are defined as the physical capacity requirements made of the worker by the specific job-worker (task) situation. The physical demands may include: Lifting: Raising or lowering an object from one level to another, usually grasping an object with the hands. Describe intensity (weight handled, position/posture of worker’s body and workplace aids available). Duration (total time spent by the worker carrying out this activity). Frequency (number of repetitions per unit time). Carrying: Transporting an object using hands/arms or shoulders. Pushing: Exerting force on an object so that the force is directed away from the individual. Pulling: Exerting force on an object so that the force is directed toward the person. Describe in terms of horizontal force, weights, distance traveled, duration, and surface type. Standing: Remaining on one’s feet in an upright position at a workstation. If no movement occurs, describe as static stance. If movement occurs, dynamic stance. Walking: Moving about on foot. Describe in terms of distance, duration, frequency, speed, and surfaces. Sitting: Remaining in normal seated position. Describe in terms of duration, chair type, and postures. *If primarily a seated job analysis, please refer to VDT job analysis form. Climbing: Ascending or descending ladders, stairs, ramps, poles, scaffolding, etc., using feet and legs with or without hands and arms. Describe in terms of duration, distance traveled, heights required, steepness of incline, type of structure climbed (handholds available), and frequency. Balance: Maintaining body equilibrium to prevent falling while walking, standing, crouching, reaching, etc., on different types of surfaces. Describe in terms of surface and activity to be performed in addition to frequency. Stooping: Bending the body forward by bending spine at the waist. Describe in terms of duration, and degree of stoop, and type of activity performed. Applicant Screening Manual Chapter 6 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 45 Kneeling: Bending leg at the knees in order to rest on the knee or knees. Describe in terms of duration and posture. Crouching: (Squatting) Bending body downward and forward from a standing position by bending the legs and spine. Describe in terms of duration, frequency, and activity performed. Crawling: Moving about on hands and knees, or hands and feet. Describe in terms of distance, duration, and surface. Twisting: Turning the body partially around from a stationary position (base) such as sitting, standing, kneeling, reclining, or stooping. Describe in terms of duration, angle, frequency, and body part. Reaching: Extending hand and/or arms in any direction. Describe in terms of distance from body, direction, repetition, rate, and duration. Handling: Seizing, holding, grasping, turning or otherwise working with the hands. The fingers are involved in the work only to the extent that they are in extension of the hand. Describe in terms of type of activity, duration, forces required weights and repetitions. Fingering: Picking, pinching, or otherwise working primarily with the fingers rather than the whole hand or arm. Describe in terms of activity or objects used, size and weight of object, force required, duration and repetition rate. Grasp: Touching or gripping an object with the hand. Describe in terms of force required, grip type, duration, repetition rate, and posture. Applicant Screening Manual Chapter 7 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 48 EXAMPLE Action Step Responsible Party Due Date Completed 1. Obtain approval to fill from internal management. Supervisor February 1 2. Follow appropriate collective bargaining provisions on transfer and recall. Supervisor, PA February 10 3. Develop selection plan. Establish time frames and roles (who will coordinate the process, who makes the final hiring decision, interview team?) Supervisor February 15 4. Determine budget available for recruitment. Supervisor, Manager February 15 5. Review Position Description Questionnaire, revise as necessary. Review purpose of job, results/outputs, duties. Revise as needed. Supervisor February 15 6. Develop the essential functions and the competencies required by the job. Supervisor February 15 7. Develop vacancy announcement. Supervisor, PA February 17 8. Develop resume screen and scoring system. Supervisor February 20 9. Develop interview questions and scoring system. Supervisor February 20 10. Determine if position in underutilized job class. PA February 20 11. Identify additional recruitment sources to send vacancy announcement to. Supervisor February 22 12. Submit Vacancy Requisition form (job req) to DAS-HRE BrassRing Employment System. PA February 22 13. Send vacancy announcement to recruitment sources identified. Supervisor, PA February 22 14. DAS-HRE vacancy announcement closes. DAS-HRE March 10 15. Receive hire list from DAS-HRE. PA March 13 16. Skim resumes, applications and cover letters to determine if an adequate applicant pool is available. Consider other options, consult DAS-HRE if short on names. Supervisor March 14 17. Screen applications and resumes. Score. Supervisor and interview team. March 15 18. List applicants in score order. Supervisor and interview team. March 17 19. Determine who to interview. Supervisor and interview team. March 17 20. Schedule interviews and interview room. Supervisor. March 17 21. Conduct interviews. Interview Team. March 24 22. Score interviews. Identify top 3 candidates. Interview Team. March 25 23. Conduct reference checks on top three candidates. Supervisor April 1 24. Determine final candidate. Supervisor April 1 25. Obtain approval to make hire offer. Supervisor, Manager April 1 26. Make hire offer. Follow up in writing. Supervisor, PA April 1 27. Notify unsuccessful candidates. Supervisor April 3 28. Announce hire to staff. Supervisor April 3 29. Send hire information to personnel assistant. Supervisor April 3 30. Prepare necessary payroll and personnel documents to put new hire on payroll. PA April 4 31. Electronically return hire list with status codes to DAS-HRE. PA April 4 32. Send welcome letter to new hire. Supervisor April 5 33. Prepare tentative individual Performance Plan and Development Plan for new hire. Supervisor April 10 34. Set aside a couple hours to spend with new hire on first day. Supervisor April 10 35. Develop orientation plans. Supervisor April 10 36. Schedule mid-probationary period performance evaluation. Supervisor 37. New hire starts. New Hire April 10 38. Conduct mid-probationary period performance evaluation. Supervisor and New Hire. July 15 39. Conduct end of probationary period performance evaluation. Determine if new hire will receive permanent status. Supervisor and New Hire. October 1 Applicant Screening Manual Chapter 8 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 49 CHAPTER 8 EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION All employees are entitled to a workplace free of discrimination. The Executive Branch of Iowa state government provides equal access to all employees and applicants. Executive branch agencies shall not discriminate against any person because of race, creed, color, religion, sex, national origin, age, or physical or mental disability. It is also the policy of Iowa state government to practice Equal Employment Opportunity and apply affirmative action measures whenever those measures are appropriate. The roles of Equal Employment Opportunity and Affirmative Action as they apply to hiring in the public sector need to be understood by supervisors. Supervisors need to be familiar with the definitions provided below in order to distinguish the role of one from the other. They also need to be familiar with their department’s affirmative action plan and the degree to which their workforce is balanced for Females, Minorities, and Persons with Disabilities. They can find that information on the DAS-HRE website at: http://das.hre.iowa.gov/pdfs/AAEEO/affirmative_action_report.pdf The term “balanced” means that Females, Minorities, and Persons with Disabilities are represented in their workforce in the same ratio or higher than they are in the relevant labor force. If they are not, they are said to be “underutilized” for that particular protected group in that particular occupational area. Underutilization for Persons with Disabilities is determined by the overall agency workforce rather than occupational area in order to protect the privacy of those self-disclosing that they are a person with a disability. Affirmative Action hiring, or using race and sex as factors in the selection process, is only legal where there is statistically significant underutilization. Lacking a significant underutilization or “manifest imbalance,” as described by the U.S. Supreme Court, only non-intrusive affirmative action measures (non- hiring) can be taken. The supervisor needs to be aware whether the job class is underutilized before starting the hiring process, so that targeted recruitment of qualified candidates within the underutilized groups can be undertaken, if necessary. Definitions Equal Employment Opportunity means that everyone has an equal access to employment opportunities regardless of their race, creed, color, religion, sex, national origin or disability. Federal and state law prohibits discrimination in employment. This prohibition applies to all areas of employment, including hiring, training, promotions, job assignments, benefits, discipline, discharge and terms and conditions of employment. Affirmative Action involves taking positive, proactive steps to ensure equitable representation of minorities, women and persons with disabilities at all levels of the organization. It specifically deals with correcting the effects of past discrimination and is limited to traditionally underutilized groups, i.e., racial/ethnic minorities, women, and persons with disabilities. Affirmative Action includes aggressive recruiting efforts to find qualified applicants in those protected groups. It also involves plans to remedy underrepresentation of those protected groups in the workplace, as well as training and assistance to ensure that women, minorities and persons with disabilities can compete fairly for promotional opportunities. Applicant Screening Manual Chapter 8 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 50 DISCRIMINATION Any employee or applicant has the right to file a complaint of employment discrimination. The Equal Employment Opportunity Commission and the Iowa Civil Rights Commission will consider all discrimination complaints on their merits. However, a finding of discrimination will likely come from a complaint in which the facts conform to one or more of the following principles: Disparate Treatment is different treatment based on race, sex, color, religion, age, creed, physical or mental disability, or national origin. For example, a minority employee receives harsher discipline than a non-minority employee for the same infraction of a work rule. Adverse Impact occurs when the employer makes decisions based upon factors that are not job- related and that have a statistically disproportionate effect on certain groups of people. For example, in requesting a job transfer to a security guard position, a woman employee finds that the agency stipulates that candidates must be at least five-foot-nine and 155 pounds to qualify. Such a stipulation would have a disproportionately negative effect on women, certain Asian groups, and possibly Latinos. If the agency could not prove the job-related connection between such height and weight requirements and successful performance in the position, this practice could be found to be discriminatory and illegal. Perpetuating Past Discrimination occurs when an employer’s current practices, though on the surface seemingly non-discriminatory, when viewed in the context of past discriminatory practices, may have a discriminatory effect. For example, a company finds all its new employees through its employee referral program. Such a policy would not seem to be discriminatory unless the company’s current workforce is all white due to discriminatory hiring in the past. Referrals from an all-white workforce are likely to yield an all-white stream of applicants. Lack of Reasonable Accommodation occurs when employers do not actively seek reasonable solutions to problems that represent obstacles to employability because of a person’s religion or disability. Discrimination may be found in cases where the employer refuses to make an attempt at finding a reasonable solution. For example, a person applying for promotion to a salaried position states that his/her religious beliefs would require leaving work early four times a year. In all probability, the employer could solve this problem by asking the employee to make up the time on other days during the year. This would be a reasonable accommodation. If the employer refused to hire the person because “you are unable to meet our work schedule,” a finding of religious discrimination would be a possibility. (Note: The word “reasonable” is difficult to define and may depend on such factors as costs, safety, productivity requirements, and collective bargaining agreements). Retaliation In processing a charge involving an allegation of retaliation, there are three essential elements: 1) protected activity - opposition to discrimination or participation in the statutory complaint process; 2) adverse action and 3) causal connection between the protected activity and the adverse action. Applicant Screening Manual Chapter 8 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 53 What can an employee do if they feel that they have been discriminated against? The State of Iowa Equal Opportunity, Affirmative Action, and Anti-Discrimination Policy, http://das.hre.iowa.gov/rtfs/MS_manual/02-40.htm, outlines the grievance procedure for persons who feel they have been discriminated against or have been subject to harassment. Such persons are encouraged to file a complaint with the responsible department (pursuant to the department’s grievance procedure). They may also file a complaint with the Iowa Civil Rights Commission or the appropriate federal enforcement agency. More information For more information about Equal Employment Opportunity and Affirmative Action programs in the Executive Branch of Iowa State government, contact the DAS-HRE State Diversity Coordinator at (515) 281-5607 or consult the DAS-HRE website at: http://das.hre.iowa.gov/aa_eeo.html Applicant Screening Manual Chapter 9 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 54 CHAPTER 9 PROVIDING SCREENING PROCESS Applicant Screening Manual Chapter 9 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 55 ACCOMMODATIONS What are they? Screening process accommodations are adjustments to the content or the methods for administering screening instruments to persons with disabilities. They are intended to provide those persons with a fair means of assessing their competencies when a method used prevents an accurate assessment. Why provide accommodations? They are legally required to be considered. In today’s job market, with the limited numbers of skilled applicants often available, it does not make good business sense to use screening methods that would prevent the identification of applicants likely to succeed because they possess characteristics not actually related to performance on the job. Screening accommodation policy content: The attached policies are provided as guidance to be used in making decisions about accommodating persons with a disability in applying screening processes to applicants. These policies have most often been applied to use of written tests, but must also be applied when other screening processes are used. Applicant Screening Manual Chapter 9 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 58 III. PROCESSING REQUESTS FOR ACCOMMODATIONS It is the responsibility of the applicant to request special accommodations. The request may be initiated by telephoning or by mailing a request for accommodation directly to an employing department for position-specific screening processes. Requests for accommodations must be received a minimum of two weeks before tests are to be taken. In circumstances where accommodations are extensive or require more lead time, the actual date of scheduled testing may require adjustment to allow for finalization of accommodations. Closing dates of general announcements or issuance of requested lists of qualified applicants will not normally be adjusted or delayed. The department involved will make a decision as to appropriate accommodations. This review may require direct contact with the applicant during which the nature and mechanics of the examination and the need for specific accommodations will be examined. If modification of the exam content is necessary, others may be consulted. It may be necessary to contact appropriate persons such as medical, vocational, or counseling professionals in order to determine appropriate accommodations for requesting persons. In some instances, the applicant may be requested to submit medical verification of his/her disability. SPECIFIC ACCOMMODATIONS The following categories are intended to represent the needs of persons with various disabilities. The accommodations listed here are options that may be considered, depending on the specific circumstances involved. Any or all of them can be either approved or disapproved as appropriate in specific instances. NOTE: All travel arrangements are the responsibility of the applicant. Visual Disability: For testing purposes, applicants fall into four groups: 1. Totally blind - those applicants who lack any vision of practical use in reading examination materials or visualizing the pattern or layout of graphs, charts, diagrams, etc. They must receive all test material verbally or through the sense of touch. Reasonable accommodations: • a reader • tape-recorded booklets • a recorder to write answers • extended time limits • individual monitor • accessible test locations • assistance from staff in getting to or from the exam room • modification of certain parts of the exam • recording device for recording answers • manual Brailler for note taking • calculating device such as an abacus or talking calculator • tape recorder for note taking (tape provided and retained by the department involved) • equipment can be supplied by the applicant Applicant Screening Manual Chapter 9 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 59 2. Partially sighted - those applicants who may be legally blind but have sufficient vision either to read printed material with the aid of enlarging devices or, as a minimum, to see the pattern or layout of graphs, charts, diagrams, etc. They may only be able to use vision for parts of the examination and require a reader or other assistance for the rest of the examination. Reasonable accommodations: • a reader • tape-recorded booklets • examination in enlarged print • a recorder to write answers • felt tip pen or black crayon for note taking • special lighting • extended time limits • frequent breaks • individual monitor • accessible test locations • assistance from staff in getting to or from the exam room • modification of certain parts of the exam • recording device for recording answers • manual Brailler for note taking • calculating device such as an abacus or talking calculator • tape recorder for note taking (tape provided and retained by the department involved) • equipment can be supplied by the applicant 3. Limited vision and specialized vision problems - those applicants who handle reading tasks without special provisions but may encounter problems with certain types of printed material such as very small or closely spaced type. This group also includes people who are colorblind, have sudden attacks of vision loss, or have unusual eye fatigue problems. Reasonable accommodations: • special lighting • extended time limits • frequent breaks • examination material printed on special colored paper • examination in enlarged print • equipment can be supplied by the applicant 4. Print Disability Other Than Visual Impairment (dyslexia) - These applicants have difficulty processing information from the printed page. They may vary from day-to-day in the degree of disability and its consistency. Reasonable accommodations: • a reader • tape-recorded booklet • extended time limits • frequent breaks Applicant Screening Manual Chapter 9 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 60 • individual monitor • recorder to write answers • recording device for recording answers • tape recorder for note taking (tape is provided and retained by the department involved) • equipment can be supplied by the applicant Hearing Impaired: For testing purposes, these applicants fall into two groups. 1. Pre-lingually deaf - deaf since birth or early in life. Usually his/her native language is American Sign Language. Competency in reading, writing, hearing and speaking English may be limited. Reasonable accommodations: • written instructions for each part of the examination • elimination or modification of certain parts of the examination • sign language interpreter • extended time limits • simplified language used for instructions should applicant not want an interpreter • individual monitor or special attention from room monitor 2. Post-lingually deaf - applicants who have become deaf later in life. Their competency in reading, writing, hearing and speaking English varies greatly. Reasonable accommodations: • written instructions for each part of the examination • sign language or oral interpreter • special seating arrangements [i.e., close to primary speaker(s) to facilitate lip-reading] • extended time limits • individual monitor or special attention from monitor NOTE: An interpreter for the deaf may interpret all general oral and written exam instructions but must provide translation of examination materials as close to verbatim as possible. The interpreter must not transliterate examination content or directions that are part of the examination task itself. Manipulative/Writing Disability: These applicants have physical conditions that make writing difficult or impossible. They require accommodation only in the recording of their responses. Reasonable accommodations: • recorder to write answers • typewriter • extended time limits • individual monitor • felt tip pen or black crayon for note taking • recording device to record answers • equipment can be supplied by the applicant Applicant Screening Manual Chapter 9 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 63 EMPLOYMENT PROCESS ENGLISH LANGUAGE ACCOMMODATION DAS-HRE and departments in the Iowa Executive Branch are responsible for administering a system that screens for high quality applicants to fill vacancies in state agencies. This policy is directed toward ensuring that the system used to screen applicants provides adequate access for applicants for whom English is a second language. This access must be provided in a balanced, reasonable manner that does not compromise the fairness or integrity of the screening process. The following policy provides for a process that will be used to consider language accommodation requests for the applicant screening process: 1. Requests must be received in writing. a) For accommodations related to the initial application process and review of qualifications, address requests to the: Iowa Department of Administrative Services Human Resources Enterprise Hoover State Office Building 1305 East Walnut Street Des Moines, IA 50319-0150 b) For accommodations related to the screening processes used by the department actually advertising the position for which you have applied, send your request directly to that department. c) Include the reason for the request and a description of the accommodation requested. 2. Requests must be received a minimum of two weeks before any significant accommodation needs to be available. A longer time period may be required to schedule some accommodations. Minor accommodations may be granted in a shorter timeframe, depending on the specific request and situation. 3. Decisions about accommodations will take into account: a) The reason for the request. b) The relationship of the reason to the type of screening instrument used. c) The nature of the accommodation requested. d) The resource capabilities of the departments involved. e) The availability of the accommodation. f) The cost of the accommodation. g) The time required to develop and/or coordinate the accommodation. h) Whether the accommodation requested allows for equitable, fair screening that does not compromise the law or administrative rules. i) If language skills are an essential function for the position and are being measured in the process. Applicant Screening Manual Chapter 9 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 64 4. Examples of accommodations that may be considered: a) Use of English language translation dictionaries for translating test instructions. Such dictionaries shall be provided by the applicant. b) Adjusted time periods for instructions only. c) Other time adjustments, as feasible, where the overall hiring process timeframe can be adjusted. d) Use of an oral translator for instructions. e) Use of an oral translator or dictionary for all portions of the screening process where fairness to other applicants would not be compromised. f) Translation of actual supporting materials used in the employment process. The department will respond in writing to the request within three working days, indicating approval or citing reasons for disapproval. Translators may be provided by the applicant. Volunteer support will be obtained when possible. Otherwise, it will be necessary for the applicant to bear the associated expenses. (Note: This is not a legally required accommodation that must be paid by the department under the Americans with Disabilities Act.) Applicant Screening Manual Chapter 10 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 65 CHAPTER 10 QUALIFICATIONS AND SELECTIVE CERTIFICATION REQUIREMENTS What are qualifications? Qualifications are standards for the amount and kinds of education, training, and experience that an applicant must possess in order to be considered for employment in a job class and position. Applicants who do not possess the required qualifications are not eligible to be considered for hire and must not be continued as viable applicants in screening processes. Qualifications are based on identifying those areas of education, training, and experience that will provide the competencies required to perform essential job functions. Qualifications must be job-related and consistent with business necessity. Why establish qualifications? 1. Qualifications are used to ensure that the applicants that you consider are truly qualified to perform the essential functions of the job. 2. Qualifications are used as a means for applicants to determine if they are qualified and should apply for a position. They let applicants perform self-screening. 3. Qualifications are the first formal screening device applied in the screening process. As such, they are covered by the same legal requirements as other screening devices such as tests and rating devices. All screening devices are subject to equal employment opportunity requirements and are covered by the Uniform Guidelines on Employee Selection issued by the federal government. They must be job-related and a business necessity. 4. Qualifications, as used in this system, are of two types, class requirements and selective requirements related to the specific position being filled. Qualifications are the amounts of education and experience that could reasonably be expected to provide a person with those competencies necessary for successful performance of the essential functions generally associated with the jobs in the class. They are developed through study of a variety of positions typical of the class. These qualifications must always be met by all applicants for positions. These requirements are the base requirements for all positions classified in that job class. How are qualifications established? Qualifications are established based on the judgment of the employing departments, generally with the assistance of their assigned Personnel Officer, based upon prior hiring experience for similar positions and familiarity with the occupational field. The qualifications should not be established until the class and position are reviewed to assure that the essential functions and required competencies are identified and current. The requesting agency completes the Request for Classification, Compensation and Selection Changes form (CFN 552-0709, Rev 12/05) and submits it electronically to the Personnel Officer. The request is reviewed according to the same process listed below for adding selective certification. Once the essential functions and required competencies are identified, it is often helpful to consult a variety of sources of information to help form the qualifications. These include: Applicant Screening Manual Chapter 10 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 68 The following process is followed when adding/changing qualifications or adding/changing a selective or making other changes to class descriptions. This process is also used for establishing new class descriptions, following initial review of the request to add the job class by the Classification & Compensation Program Manager. The part in italics refers to the agency’s responsibilities: 1. Department submits request The department determines a need to change or add a new class description, such as adding a new selective certification or changing the minimum qualifications (MQs) for a class, and discusses this with the Personnel Officer (PO). If the department decides to proceed with the request, it completes a Request for Classification, Compensation and Selection Changes form (CFN 552-0709, Rev 12/05) and submits it electronically to the PO. For new selective certifications, a current electronic copy of the Position Description Questionnaire (PDQ) for the subject position(s) is also required. Tasks and essential functions on the current PDQ should support the need for the new selective. (Note: requests to establish a new job class require additional steps. These are spelled out in the Process for Classification, Compensation and Selection Additions/Changes found in Chapter 3 of the Managers and Supervisors Manual. 2. HRE reviews request The request is reviewed by the PO, who attaches pertinent comments and forwards the package to the Selection Program Reviewer (SPR). The SPR reviews the request to determine if there is a legitimate need, if other alternatives might work as well, if the wording is clear enough for employment specialist (ES) interpretation, or if there are potential interpretation problems. The SPR approves, requests additional information, or does not approve the request. If additional information is requested, or if the request is not approved, the PO is sent a written explanation to forward to the department. 3. If approved, class description updated The SPR revises the current class description, adding the new selective, minimum qualification statement(s), competencies, etc. and updates the entire class description in the appropriate format. (See Chapter 11 of the Classification Manual.) 4. Change(s) documented for HRE records The SPR completes the relevant portions of the appropriate classification update form (0083 or 0084). For approved new selectives, the SPR assigns a new selective code and updates the lists of selectives and selective definitions. 5. Changes incorporated in job announcement The Classification & Compensation Plan Specialist (CCPS) updates the Employment System, and the SPR notifies the POs, PAs and other DAS/HRE staff as appropriate when the selective, MQ, or other class description changes will become effective, when they will be ready to use, and, if applicable, provides the new selective code. The SPR provides back-up service to the CCPS as necessary. The requesting department prepares its vacancy announcement, incorporating the changes. Applicant Screening Manual Chapter 10 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 69 6. Employment System and Internet class description are updated The SPR prepares a Class Activity Recap from the 0083/0084s. The Word Processor (WP) is notified by the SPR to move the new class description into the Class Descriptions Final folder from the Class Descriptions In Progress folder. The WP notifies the Webmaster to update the class description on the DAS-HRE website and at the DAS- HRE intranet site. The SPR maintains copies of all personnel transactions in an electronic master file. 7. HRE receives applications The ES receives applications and reviews them for the new selective or MQ or other changes to the class description. The ES prepares the hire list and forwards it to the requesting department. The department proceeds with the rest of the selection process. The above process is also followed for changes to the class definition, examples of work performed, competencies, necessary special requirements, and notes. Changes to the class definition or examples of work performed are submitted to the Classification & Compensation Program Manager instead of the SPR in Step 2 above, but the rest of the process is essentially the same. Necessary Special Requirements are generally additional expectations at the time of hire such as willingness to travel. Notes generally refer to post hire expectations or conditions of employment such as licenses and certifications the incumbent must acquire within a stated period following hire, availability, or physical or medical checks. (Over time, the two categories described above have been used interchangeably. This will be addressed through future class description revisions.) Applicant Screening Manual Chapter 10 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 70 Applicant Screening Manual Chapter 10 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 73 Applicant Screening Manual Chapter 11 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 74 CHAPTER 11 MULTIPLE-CHOICE WRITTEN EXAMS (Note: In July 2000, the Iowa Department of Personnel, the predecessor agency to DAS-HRE, eliminated its testing program for all but a few job classes. This included both written tests and education and experience guidelines. Since these selection tools must first be validated if used at some future point by individual agencies, the following information is provided for their use.) USE OF MULTIPLE-CHOICE WRITTEN EXAMINATIONS What are they? Written examinations that use a multiple-choice format are one of the most common forms of written examinations or tests used in employment screening. These tests can be more traditional subject matter (job knowledge) based tests, general aptitude tests, psychological tests or work attitude tests. Whatever the type of format or purpose for which the test is used, it shares a common base of required legal justification for its use. Legal requirement for written test use: All written tests must be validated before they are used in order to meet legal requirements expressed in the “Uniform Guidelines on Employee Selection Procedures,” http://www.ipmaac.org/files/ug.pdf, court interpretations of those guidelines and the Civil Rights Act of 1964. Before any written examination is used, be it purchased or developed onsite, there must have been a validation study conducted that demonstrates the validity of the use of the test in that job situation. Validity means that the test is either documented as “content valid” or has predictive validity demonstrated through a criterion validation study. The documentation is referred to as “job analysis.” Although there are a variety of approaches to doing job analysis, it usually includes describing the job or a group of jobs (job class) according to the tasks it performs, the competencies required to perform the identified tasks, and linking the two together. DAS-HRE has developed its own methodology for conducting job analysis, which is available to state managers and supervisors upon request. Content validity: Content validity is documented by applying a structured analysis procedure that identifies the job requirements that applicants must possess to perform the job. Once the job requirements are identified, it also must be demonstrated that the content of the test matches or “tests for” those same job requirements identified. Criterion validity: Criterion validity compare a measurement of some criterion/predictor or a job-related measurement, most commonly a performance evaluation, to the scores of individuals on a test or other indirect screening method. This comparison is a statistical comparison that reflects how well the test or other indirect screening method predicts performance on the job. Applicant Screening Manual Chapter 11 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 75 APTITUDE TESTS An aptitude test measures the potential ability of an applicant to perform a job. It is usually a test of general mental ability or intelligence that measures developed ability. WORK ATTITUDES TESTING What is a work attitudes test? • A work attitudes test is a test that is used to screen applicants for productive attitudes about work. What test can be used? • The Inventory of Work Attitudes (IOWA) test was developed by the Iowa Department of Personnel, the predecessor agency of DAS-HRE, and the University of Iowa Tippie College of Business Administration, Department of Management and Organizations. • This test contains multiple choice items that normally can be completed in 30-45 minutes. • It covers five work attitude areas: work values, customer service orientation, supervision attitudes, honesty, and tenure. • If interested in using this screening device, contact the Selection Program Manager at DAS- HRE. Applicant Screening Manual Chapter 12 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 78 • Information obtained from persons who are familiar with the position. • Related textbooks, journal articles, professional or technical publications or research papers. • Examples of other questionnaires, especially those for positions with similar competency requirements. Networking with other public jurisdictions may be helpful here. • The Human Resource Manager automated resource system. (This is available only to DAS- HRE, Iowa state agencies and Iowa state managers and supervisors.) Examples: Examples of questionnaires and scoring systems are included for reference. Additional examples may be obtained from the State Selection Manager. Setting scoring weights for questionnaires: Scoring weights for answers to this type of questionnaire are usually set based on judgments of the job experts supplying the information used to construct the questionnaire. Weights are identified by asking those experts to identify the relative importance of the question areas (competencies) chosen as most important. Example: A department is filling a Division Administrator position. They have identified questions to be answered by applicants and returned to them for scoring. The questions are in six areas: • Education: College level • Experience including a specific description of titles, locations, dates, programs administered, size of budget, number of staff and duties. • Specific program experience related to the primary area(s) administered, including establishing a mission and direction. • Experience working with boards, commissions, or other oversight entities to form collaborative working relationships. • Experience in public relations providing sensitive information to legislators, the media, and the public. • Communications experience making written and oral presentations. The job experts divide the six areas into their relative percentage weight for scoring. The starting point for this decision is based on the assumption that there is a 100% total to divide. In this case (and this will vary according to the specific situation and type of position being filled) they decide that: • Education is worth 10% • General experience is worth 20% • Specific experience is worth 15% • Experience working with boards and commissions is worth 20% • Experience working with public relations is worth 20% • Communications experience is worth 15% Under this guide, the answer to the question in each area would be worth a maximum of the number of points equal to the percentage assigned by the group. For example, on a 100-point possible questionnaire, the highest number of points for the top answer in a section is the number assigned under the percentage. A weight of 15% translates to 15 points, 20% to 20 points, etc. Applicant Screening Manual Chapter 12 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 79 In the example included, the scoring for Education and Training was set at 10%. The top answer rating, a graduate degree, was worth 10 points. The three lower scoring options scaled at 8, 5, and 3 points, respectively. The actual distribution of points is based on discussion with the job experts. This type of system assumes that only one level of points is awarded to the candidate for each area, usually the higher number of points. In the Education and Training example above, the applicant might have met the descriptors for both 10 and 5 points, but is awarded only one level, most likely 10. Where it is possible to meet the criteria of more than one descriptor, the value of the points awarded may need to be modified so that any potential score in the area does not exceed the total number of points possible in the area. One way to do this is to assign a “maximum” so that no matter how many levels of points they may meet, their total cannot go over the maximum. Actual content of the scoring guide is also developed based on discussions with the job experts. Where possible, it is recommended that a draft scoring system to be reviewed by the job experts as a starting point for discussion. These can be developed by reviewing other scoring guides or through review of the same types of source material used to develop job qualifications. Scoring the questionnaire Each member of the scoring group should review the questionnaires and assign points independent of the others. This enhances the purpose of having a scoring group, which is to obtain different perspectives about the applicants. Scoring group members need adequate time to complete the scoring process, especially those who may not have done this before or do it infrequently. If there are specific areas of expertise or prior performance they should be looking for, the person coordinating the scoring process may bring this to their attention when the scoring materials are distributed or as questions arise during the scoring process. The scoring coordinator should not attempt to exert undue influence or express her or his opinion during this phase of the selection process. Generally, the scored questionnaires are sent to one person, usually the scoring coordinator, to record and compile a composite score. All questionnaire scores are ranked, and further applicant consideration is based, at least in part, on this relative placement. Sometimes, the group will reconvene to compare and discuss the scores they have given. At this point, depending upon the ground rules that have been set, some members of the scoring group may elect to change their scores based on new information or new insights they have heard during the discussion. This is appropriate as long as everyone agrees to this approach, and the change is based on solid, job- related information. • The hiring authority should apply five extra points for qualified veterans and ten extra points for disabled veterans to the first screening device used to score applicants. Applicant Screening Manual Chapter 12 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 80 EXAMPLE CANDIDATE QUESTIONNAIRE DIRECTOR – IOWA DEPARTMENT OF TRANSPORTATION Name: _______________________________________________________________________ Address: _____________________________________________________________________ Telephone # (Days): ___________________________________________________________ Telephone # (Evenings): ________________________________________________________ FAX #: ______________________________________________________________________ Email: ______________________________________________________________________ 1. List college/university level education including degrees, major courses of study, and dates completed. Include pertinent staff development training attended. 2. Describe your work experience that has prepared you for this position, starting with the most recent. Include: position title, place of employment, dates of employment, programs administered, size of the budget, number and type of staff supervised, and a general description of duties. 3. Describe your experience in public transportation administration. Include a description of organizations or programs you have been involved with, your role in making those organizations or programs successful, and any innovative improvements you initiated. Applicant Screening Manual Chapter 12 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 83 5. Public Relations 10% a) Has considerable experience dealing with a public relations program that involves elected officials, large market media, and a considerable segment of the public. (10 points) b) Has some experience dealing with a public relations program that involves elected officials, large market media, and a considerable segment of the public. (8 points) c) Has considerable experience in public relations. (5 points) d) Has some experience in public relations. (3 points) In the example above, note that the amounts of experience are not described in terms of specific years. Words like “considerable” and “some” are used instead. This is usually done when the scoring group either has experience in the program area or experience reviewing applicants’ qualifications. They have developed enough of a “feel” for this process to make informed decisions without the need for specific criteria. Even with an experienced group like that, though, the group may need to discuss how they each interpret the descriptive criteria to ensure they are in general agreement. Specific amounts of experience or education may also be included in the scoring guideline, but when this is done, the group should be able to defend the difference between one level and the next. For instance, it may typically take at least x years for an incumbent in this position to utilize certain competencies in the manner anticipated, so any amount of experience less than that would be awarded lower points. Applicant Screening Manual Chapter 13 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 84 CHAPTER 13 ESTABLISHING A RESUME/APPLICATION RATING SYSTEM ESTABLISHING A RESUME/APPLICATION RATING SYSTEM What is a resume/application scoring system? A resume or application scoring system is a method of scoring applicant education, training and experience to rank them for further consideration in the hiring process. This ranking system must be job-related and a business necessity. It must measure the applicant’s competency to perform essential functions for the position involved. Why use a resume or application rating system? Rating systems such as the example included are based, in part, on the principle that past behavior is the best predictor of future performance. In measuring the applicant’s past education or training, we are measuring that applicant’s exposure to education and training that provided job-related competencies. In the experience portion of the rating system, we are measuring the applicant’s demonstrated application of job-related competencies through past job duties. A correctly prepared rating system will provide a ranking of applicants based on job-related factors. It will provide more information for a supervisor to use to identify which applicants should proceed to the next step in the screening process. How to construct a rating system: Rating systems must be job-related and a business necessity. They must measure job requirements that are competencies required to perform essential functions. In order to make sure that the process is job-related and a business necessity, you should: • Follow a job requirements review process as described in this manual and in the Checklist for Supervisors Filling Positions. This process should be documented and records retained. This information may also have been obtained from a more formal job analysis. • Measure areas in education, training and experience that clearly provide the competencies required. • Consider using the numerous sources of information that are available to help identify education, training, and experience areas that should be included. These can include a review of: College catalogs for descriptions of requirements in major or minor coursework areas. Specific course content descriptions in the catalogs. Training catalogs such as the one provided by DAS-HRE Performance & Development Solutions. Applications and resumes of past applicants, particularly those of hired applicants, and especially those of the most successful employees. Past advertisements. Existing position descriptions for similar positions. The current position description for the position. Applicant Screening Manual Chapter 13 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 85 The current classification description for the job class in which the position is classified. Iowa Code authorizing language. Applicable administrative rules. Related policies and procedures. Information obtained directly from past or present occupants of the position or class. Information obtained from persons who are familiar with the position. Related textbooks. Lists of support materials already developed, including examples of other rating systems. • The Human Resources Manager automated resource system. (This is available only to DAS- HRE, Iowa state agencies and Iowa state managers and supervisors.) • Assign points to each area in a logical relationship to their importance to the job. Education, training, or experience areas that are more important to the job or provide more important competency information should be assigned higher points. • When the rating system is drafted, apply it to several applications to ensure that it covers necessary areas and can be applied consistently. Make any necessary changes before the members of the final group of applicants are rated. • Make sure that more than one person reviews and rates applications, if possible. Using three raters is usually best. • Maintain rating sheets for each applicant for at least three years. These records can be invaluable in showing that you rated applicants appropriately and fairly, if your hiring process is challenged. Scoring process steps: • Applications, whenever possible, should be scored by more than one person. • Scores can be assigned by either developing a score sheet that lists the item number with a blank for inserting the score, having an item number with a score that is circled when the rater grants a score for that item, or by photocopying an entire rating and using that sheet as a record. • Any score sheet should have an assigned applicant number or name and a date for scoring. • Weights for each section are set based on input from the job experts. General section weights can be set as recommended in the questionnaire scoring section in the previous chapter. That is, relative overall weights can be a portion of the total of 100%. Weights for individual experience statements are often set individually with an individual score for each statement based on job expert input comparing each statement to other statements. For example, one job statement may be assigned a value of 20 points as being very related to required competencies. The next statement may provide a more indirect relationship to the job or provide less important competencies and is assigned a weight of 15 points. • The applicant’s total score should be included on the score sheet. • Applicants can be ranked in relation to this score. This score can be used to assist in the determination of which applicants will be granted interviews. • The hiring authority should apply five extra points for qualified veterans and ten extra points for disabled veterans to the first screening device used to score applicants. Applicant Screening Manual Chapter 14 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 88 CHAPTER 14 WORK SAMPLE DEVELOPMENT AND USES What Is a work sample? A work sample is a method of measuring job skills based on achievement or proficiency. They are “miniature replicas of on-the-job behavior” and closely representative of the actual work performed on a particular job. What are they in practice? A work sample is a structured representation of actual work to be performed. Most work samples are simulations, rather than actual work samples. It is often not practical because of safety, availability of equipment, expense, and difficulty of administration to do actual work samples. Work samples may use actual job-related equipment such as saws, hammers, or other equipment used on the job. Work samples can also involve other verbal work samples. Work samples can include: • Map reading exercises. • Asking a machine repairer to actually troubleshoot a machine that has been set up not to work. • A brief sewing exercise for a seamstress. • Having a carpenter applicant build a sawhorse. • Using an in-basket exercise with a variety of correspondence for response by a managerial applicant. • Having an applicant actually write a short business letter. • Giving an applicant an exercise that requires following directions. Why use a work sample? • Work samples have high content validity; that is, what they measure is closely job-related. • Because of high relationship to the job that is easily visible, work samples are usually well accepted by job applicants. • Because there is high content validity, work samples can be very useful in determining if an applicant has the level of skill required to perform the duties of the job. • Research performed on work samples has shown that they are generally a fair method of screening with little adverse impact on protected groups. • Work samples are usually best used in situations where the applicant is expected to already possess needed job skills rather than measuring how well the applicant can learn to perform job duties, as is often the case in entry level jobs. What are some drawbacks to using work samples in an interview? • The work sample or samples included in the interview may lengthen the time it takes to interview candidates. • The work sample must be developed using a thorough process that documents that this exercise does measure a critical behavior or job requirement. Applicant Screening Manual Chapter 14 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 89 • The work sample must be logically evaluated. This requires some type of evaluation system or scoring that also clearly measures the degree of the critical behavior or job requirement. How can a work sample be constructed? • Ask the supervisor and/or other workers in the job what type of experience that applicants should possess. • Review the job description for duties and essential functions. • Identify which duties are the most important by discussing them with the supervisor and/or workers on the job. • Identify one or two key areas related to job performance that can realistically be measured through a short work sample exercise. • Identify the steps in the process required in the exercise. These steps may be useful in deciding the means to evaluate the exercise. The best result may be the one where all steps are present and a logical result then is developed. Less useful results are those without all the steps and a less well-developed result or conclusion is obtained. How to administer the sample exercise. To compare results of the sample, each job candidate must be provided with equal chances of success on the exercise. This means that the conditions under which the exercise is administered must be standardized and consistent each time the exercise is administered. This includes items such as: • A similar room that is well lit, clean, and quiet. • Written instructions that include a description of the exercise and expected results. • A standardized amount of time to complete the exercise. • The same equipment and materials for each applicant. All interviewers must be trained in application of the evaluation techniques for the exercise to ensure consistency of evaluation. Rating or evaluation bias must be avoided. Confidentiality of exercises must be maintained. This means that exercises may need to be changed occasionally, from one selection process to the next, as applicants may become familiar with the exercise, and this familiarity affects scores. Work samples are usually administered as part of the final interview process. They can be scheduled immediately after the interview. Applicants should be informed in the interview notice to allow the time needed for the work sample. Remember that reasonable accommodations for persons with a disability may be required. A brief example of a work sample. Situation: You are interviewing candidates for a journey level Emergency Medical Technician position. You have chosen as one exercise the demonstration of the proper method of administering CPR. Each applicant is to be given five minutes with a resuscitation dummy to demonstrate the proper technique. Only one time through a complete cycle is required. Applicant Screening Manual Chapter 14 Revised January, 2008 Department of Administrative Services – Human Resources Enterprise Page 90 Evaluation Criteria: 1. Shake and shout Yes___ No___ 2. Tilt head and lift neck Yes___ No___ 3. Head over mouth and observe chest Yes___ No___ 4. Ventilate (4 times) Yes___ No___ 5. Palpitate for carotid pulse Yes___ No___ 6. Position of hands on chest proper Yes___ No___ 7. Vertical compressions (No bouncing) Yes___ No___ 8. Proper rate and ratio (Two ventilation, 15 compression) Yes___ No___ Suggested areas for work sample development. • Critique or evaluate something (a program, policy, procedure report’s recommendations/conclusions, decision, or viewpoint). • Solve a problem (require the candidate to define the problem, identify its cause, information needed, identify and evaluate possible solutions, decide what to do, and outline an implementation plan). • Apply a set of rules/criteria to a particular case study. • Lay out plans/steps for conducting a study, researching an issue, or reaching a goal. • Read and explain, rephrase, or interpret a statement of policy, procedure, law, or other written material. • Prioritize a number of issues, problems, or activities. • Solve a supervisory problem concerning planning, organizing, assigning, directing, motivating, evaluating or facilitating the work of others. • Persuade or convince a hypothetical client/audience of something. • Deliver an oral presentation based on information that the candidate is given time to review and prepare. • Respond orally or in writing to a complaint or hostile person. • Role-play in a specific job-related situation. • Write or edit written material that is specifically job-related.