1. Employee Competencies
Assessing
Employee Competencies

2. What are competencies?
Competencies are the observable and measurable set of:
knowledge
skills
abilities
that are necessary to perform the job. 2 2

3. Competencies from OSP’s Career Banding Handbook for Managers and HR Professionals
Contributing - The span of knowledge, skills, and abilities minimally necessary to perform a job from entry up to the journey competencies recognized for the class. Contributing competencies generally describe what is also known as “entry-level,” at which minimally qualified employees typically function for their first few years of employment.
Journey - Fully acquired knowledge, skills and abilities demonstrated on the jobs that are beyond the contributing competencies. Competency-based pay revolves around the journey level, and compensation for a banded class is built off of the journey level. This is generally the level at which competent, fully functioning, seasoned employees with experience beyond the minimum requirements should be compensated.
Advanced - The highest or broadest scope of knowledge, skills, and abilities demonstrated on the jobs that are beyond journey competencies. Advanced competencies describe work that is above and beyond the journey-level work functions seen in a banded class, i.e. “senior-level.” It is expected that few employees in a banded class will reach the Advanced level, though most may reach the Journey level. Advanced-level competencies are typically rare and reserved for the most highly competent, uniquely skilled employees.

4. When are assessments done?
Competency assessment is initially done when a job class “rolls-over” to a banded class
Supervisors assess new hires to determine salary and establish competency level
Supervisors should review individual employee assessments
when a competency changes or
at least every 3 years

5. Your Role as Supervisor
Evaluate employee’s initial
competency level
Discuss competency assessment with employee
Assess competencies on an on-going basis 5 5

6. Your Role (cont’d.) Provide detailed documentation for:
employee competency assessment
special focus on documenting competency expectations which have not been consistently demonstrated
proposed salary adjustments (not currently an option due to budget freeze)
Plan career development activities with each employee
Assess and apply pay factors equitably 6 6

7. How Competencies are Assessed…
Assessment is a measure of currently demonstrated competencies - not past, potential or future demonstration...
Assessments are not based on the “assumption” that an employee can demonstrate a competency
Employee regularly demonstrates the competency or key action to perform his/her current job
Documentation of past work
Workplan results
STARs, documents, supervisor’s observation notes
Self-assessments as a tool? Ask your DON if this tool is an option.

8. Step 1: Prepare for Assessment
Look at position’s defined competencies to see what is required for position
Pull together documentation to aid in determining whether competencies have been demonstrated (work plans, clinical performance/aspects evaluations, supervisor observation, STARS, external feedback, etc.)
Refer to the competency profiles for C, J, A. 8 8

9. Step 2: Determine Level of each Competency
Review your assessment of the employee to determine if competencies are demonstrated at the identified level based on business need.
If the employee has demonstrated all expectations of a competency (bulleted explanations of ea. position competency developed by DONs), you can “cut and paste” demonstrated competency to the appropriate column under “Demonstration of Employee Competency Assessment.” If no bullet exists, you will need to explain how the employee has demonstrated the competency in your own words.
If the employee does not demonstrate a position’s competency (or bulleted portion of competency), document what the employee has not consistently demonstrated under “Demonstration of Employee Competency Assessment” and also create a Career Development Plan to help the employee meet the competency. 9 9

10. Step 2: Determine Level of each Competency, con’t
TWO IMPORTANT POINTS
1. An employee cannot be assessed at a level higher than the identified level of a specific competency without the competency being approved as a business need.
Business need should be determined by the Director of Nursing, in conjunction with his/her chain of command… up to facility director.
If you identify a competency which is not listed as a business need (this should not be a normal occurrence), meet with your DON to discuss whether the competency can be recognized as a business need and document justification for higher level before meeting with employee to conduct competency assessment.
WHY? The ability to increase a competency level depends on strategic goals of facility and impacts future distribution of limited salary reserves (when freeze restrictions are lifted).

11. Step 2: Determine Level of each Competency, con’t
TWO IMPORTANT POINTS, continued
2. Always conservatively assess an employee if you have only seen a competency demonstrated a couple of times or if the employee is not consistently (100%) demonstrating the competency correctly.
WHY? It is much better to address the issue as a career development opportunity than to address it with a disciplinary counseling/action because you were hasty in documenting that the employee had consistently (and successfully) demonstrated the skill.

12. Step 3: Determine Overall Level
Overall level = same level
as majority of individual competencies
Note - if one or more competencies is more critical to the organization, it may carry more priority in the overall assessment. Explain and justify in “Comments” section.
Generally, if most Competencies are Contributing, overall level should be Contributing. 12 12

13. Step 4: Plan Career Development
Organizational need?
Which competencies need to be developed or strengthened to meet organizational need?
Employee’s interests and motivation?
Are employee’s desired competencies attainable in current position & work unit?
Generally, if most Competencies are Contributing, overall level should be Contributing. 13 13

14. Step 4: Plan Career Development, con’t.
Does the Career Development Plan take into consideration and/or include:
Resources available?
Reasonable time frame?
Specific activities and/or training
to develop the competency?
Responsibilities – employee & supervisor
Generally, if most Competencies are Contributing, overall level should be Contributing. 14 14

15. Initial Competency Assessment Discussion DDI
Initial assessment
Outline the discussion (OPEN)
Review each competency, level and data (CLARIFY)
DISCUSS necessary career development to meet org need
AGREE on actions to be taken
Summarize the discussion (CLOSE)

16. AVOID Rater Bias
Recency – assessment is based on recent events rather than over a longer period of time
Halo/Horns – rater links certain characteristics or behavior to level; can be either over/under estimating
Comparison – employee’s level is based on level of other employees

17. Supervisor Tips
Collect data over an extended period to avoid last minute recency effect
Ensure that job descriptions are current
Ask employees to provide work examples related to competencies (a form of self assessment)
Use work examples, not personal characteristics, when completing the assessment

18. Differences between CA and PM Competency Assessment Performance Management
Evaluates employee performance based on goals of work unit
Uses the vision, mission and goals of the work unit as foundation
Completed annually
Uses PM Grievance policy
Pay may be awarded if funded by legislature
Includes Performance Improvement Plan if needed
Assesses level of work being demonstrated by the employee
Uses the banded class profile as a foundation
Completed at rollover
Completed thereafter when changes occur (must be completed at least every 3 years)
Uses CB dispute policy
As competencies are developed, pay can be awarded (if no freeze & funding is available)
Includes career development discussion

19. Competency Assessments & Performance Management

20. Oops! What Happens If…
Okay, so you’ve followed the “rules” and thought you conservatively assessed your employees. What happens when you recognize an employee you documented as journey in a competency now appears unable to “consistently” demonstrate at that level?
2 Things must be considered:
Create a Career Development Plan: Document need for refresher and follow up to ensure competency can be demonstrated.
Should a Special Interim (Work Plan) be conducted?: Does corrective action need to take place? You may decide the issue requires documenting an employee’s failure to consistently perform competency. Establish timeframe for success. If the employee continues to not properly perform the competency after receiving “inservicing,” it can become a performance issue.

21. What happens after you complete the assessment?
Assessments are reviewed by your chain of command and by HR for:
Consistency
Proper documentation
Is any needed career development plan in place?

22. Competency Assessment Practice

23. Example of Prof Nurse Assessment & Career Development Plan
You are assessing a Professional Nurse who has been at your DD facility for 2 years.
Consulting/Advising: Ability to work as a team player with multidisciplinary healthcare staff, facility & custody staff.
Effectively communicates/documents with other Team members (ex. Team meetings). Gives summary of patient status regarding effectiveness of new medications, new orders, etc. to team members.
Scenario: Client develops new medical diagnosis – diabetes. You expect journey level nurses under your supervision to be able explain adverse reactions, signs and symptoms, forms which need to be completed and monitored, & treatment which needs to be shared with all team members. Your center’s Residential Services has a chain of command for direct care staff. Employee should know which staff to properly inservice: PC, GHM, Asst GHM and why. (changes for meal prep, new bathing observations, etc.)
Issue: New forms are not being completed by appropriate team members. Jane, the prof nurse, is not consistently ensuring that documentation is completed by Health Care staff that she is monitoring. This negatively impacts on the care and treatment of the client.
Obviously she is not demonstrating competency at the journey level (so you will document nurse is not consistent in effectively communicating with other team members and/or successful at giving summary of patient status regarding effectiveness of new meds.)
What steps do you take as a supervisor? IDENTIFY REASON. Does she understand what forms are necessary? If forms are not being completed, where is the breakdown? First, is it failure of a group of staff members to complete the form due to the nurse’s failure to inservice properly? Or, is it a problem with one person failing to complete the needed forms? Either way, the nurse has failed to demonstrate a portion of the competency (inservicing or monitoring).

24. Example of Prof Nurse Assessment & Career Development Plan, con’t
Document on Competency Assessment form under “Demonstration of Employee Competencies.”
Jane is not consistently effective in communicating with other team members or successful at giving summary of patient status regarding effectiveness of new meds. Needs to follow up on inservicing and routinely monitor team members to ensure proper forms are being completed. (Remember: Keep documentation available to share with employee during assessment.)
The career development plan describes what needs to be done to reach level with defined timeframes?
Supervisor will review again with nurse a list of the staff which need to be inserviced regarding this new diagnosis, appropriate documentation forms which should be completed, and all timeframes. For the next 2 months, Jane will provide you with a self-assessment of her ability to monitor (use a tracking form). Supervisor will reassess after 2 months.

25. Example of Nurse Supervisor Assessment & Career Development Plan
You are assessing John, a Nurse Supervisor (journey level position w/ 24 hr accountability) who has been at your psychiatric hospital for 2 years.
Communication: Ability to write reports to upper management on operations of unit.
Written reports are complete, concise and accurate.
Scenario: JCAHO has just cited your hospital with survey deficiencies. John has worked at your hospital for 2 years as a supervisor, been through 2 JCAHO surveys and 3 internal/QA audits and his unit has not previously been cited for this deficiency.
Issue: Deficiency has been given to hospital. You expect a journey level nursing supervisor to understand how the deficiency applies to his/her unit, understand the corrective action needed, and how to carry out and monitor this action. Three patients were supposed to go to the treatment mall, but didn’t. A journey level nurse supervisor should have recognized this as an issue even before being cited. There was no explanation/documentation in charts detailing why patients didn’t go.
What needs to be considered? Does a policy need to be changed? Policy/break of standards states you need to do certain things when a patient fails to go to treatment mall. Because this lapse occurred, the nurse supervisor failed to ensure proper steps were taken/documentation was made.
Nurse Supervisor is not consistently demonstrating ability to communicate at journey level.

26. Example of Nurse Supervisor Assessment & Career Development Plan, con’t
What steps do you take as a supervisor? IDENTIFY REASON. Does he understand standard that requires documentation of such events?
Demonstration of Employee Competencies:
John is not consistently effective in writing reports to upper management on unit operations since the deficiency noted that the written report failed to include notation of 3 patients not going to treatment mall.
Career Development Plan:
DON/ADON will review existing policy and reporting process with nurse supervisor. Before next JCAHO survey is expected – let’s say 6 months, DON/ADON will ask supervisor to complete self-assessment of deficiency and of his unit’s compliance. Have John develop tracking form for patient attendance at malls.

27. Example of LPN Assessment & Career Development Plan
You are assessing a Licensed Practical Nurse who has been at your NMT facility for 2 years.
Technical Knowledge: Knowledge of the 6 rights to medication administration.
Demonstrates ability to independently and accurately administer medications and treatments.
Scenario: Alice, a LPN, had been administering medications with minimum errors the first 12 months of employment. During this time she had been assigned a mentor.
Issue: Alice has made 10 medication errors in a period of 12 months. 80% of errors were inaccurate dosage.
Journey level Licensed Practical Nurses should consistently demonstrate ability to independently and accurately administer medications.

28. Example of LPN Assessment & Career Development Plan, con’t
What steps do you take as a supervisor? IDENTIFY REASON. Does she understand how to administer certain medications to a specific patient population (ex. with swallowing issues) or is it more widespread? Something to consider: as her supervisor, you probably should have already addressed the problem by conducting a special interim and implementing an improvement plan before this number of med errors occurred since you are required to sign every medication error form. Your immediate supervisor is probably going to address this issue during your assessment.
Demonstration of Employee Competencies:
Alice is not consistently administering liquid medications based on prescribed dosage to patients with dysphasia.
Career Development Plan:
Alice will retake medication administration test administered by Nursing (or in a psych setting: complete 3 additional training modules in medication administration above annual requirement). A preceptor will also complete a clinical performance/aspect evaluation with Alice. Supervisor will closely monitor any future medication error made by employee over next 12 months.

29. Practice: Nurse Supervisor
You are assessing a Nurse Supervisor in a journey level position who has been at your facility for 2 years.
Consulting/Advising: Ability to advise and counsel employees on job performance and conduct.
Recognizes and develops individual strengths of staff.
Scenario: Sylvia, a Nurse Supervisor, has worked as a supervisor at your facility for 2 years. She doesn’t always effectively and clearly explain to direct care staff how patient care needs to be given which results in confusion by staff members about how to provide the care.
Issue: You observed Sylvia explaining patient care to a direct care staff on a higher level of understanding than the employee could comprehend. When the employee hesitantly expressed his confusion, she failed to rephrase her instructions to help the HCT understand, and you thought her mannerisms lacked dignity and sensitivity to the direct care staff.

30. Practice: Nurse Supervisor Assessment & Career Development Plan, con’t
What steps do you take as a supervisor? IDENTIFY REASON.
Demonstration of Employee Competencies:
Sylvia …
Career Development Plan: (include: reasonable time frame, specific activities and/or training
to improve the competency, responsibilities of employee & supervisor)
...

31. Practice: Professional Nurse
You are assessing a Professional Nurse in a journey level position who has been at your facility for 1 1/2 years.
Critical Thinking: Ability to be open-minded, organized & systematic, & inquisitive.
Observed as being flexible and completes assignments within time allotment.
Self-directed learner who researches for clinical answers independently.
Scenario: Sylvester, a Professional Nurse, usually completes assignments timely, including conducting the necessary research. He routinely assigns skilled nursing assistant duties to health care staff.
Issue: Sylvester has a problem brought to his attention and fails to properly investigate and get all necessary information. You learn he has taken for granted that the source of the information is correct without thoroughly/ systematically investigating. He did not interview all parties involved. This results in faulty outcome of investigation.

32. Practice: Professional Nurse Assessment & Career Development Plan, con’t
What steps do you take as a supervisor? IDENTIFY REASON.
Demonstration of Employee Competencies:
Sylvester …
Career Development Plan: (include: reasonable time frame, specific activities and/or training
to improve the competency, responsibilities of employee & supervisor)
...

33. Practice: Licensed Practical Nurse
You are assessing a Licensed Practical Nurse in a journey level position who has been at your facility for 3 years.
Consulting/Advising: Ability to provide feedback and guidance/counsel to nursing staff on care rendered to patients.
Recognizes and develops individual strengths of staff.
Scenario: Bonita, a LPN, has recently transferred from working in a group home with higher functioning individuals to the infirmary.
Issue: Bonita did not instruct the Health Care Technicians on the required frequency of vital signs necessary for assigned patients, and didn’t request information about vital signs from techs.

34. Practice: LPN Assessment & Career Development Plan, con’t
What steps do you take as a supervisor? IDENTIFY REASON.
Demonstration of Employee Competencies:
Bonita …
Career Development Plan: (include: reasonable time frame, specific activities and/or training
to improve the competency, responsibilities of employee & supervisor)
...

35. Salary Administration
in a
Career Banded World

36. DHHS Pay Guidelines Professional Nurse CRR JMR ARR Max Min
Fully demonstrates
C level competencies
Fully demonstrates
J level competencies
Fully demonstrates
A level competencies
CRR
46,441
JMR
54,800
ARR
67,404
Max
80,000
Min
37,700
New hires or employees who do not possess or
demonstrate all of the
C level competencies
New hires or employees
who demonstrate some of the C level competencies and some of the J level competencies
New hires or employees
who demonstrate some of the J level competencies and some of the A level competencies
Employees who demonstrate
all of the A level competencies
and may be demonstrating
some higher level banded
class competencies

37. Compensation
Managers must consider the 4 pay factors (FAIR) when any of the following occur:
New Hire/Transfer
Promotion
Reassignment
Career Progression Adjustment
FINANCIAL RESOURCES APPROPRIATE MARKET RATE INTERNAL PAY ALIGNMENTREQUIRED COMPETENCIES

38. Salary Administration Example
Aggregate Leveling Form
Salary Decision Worksheet

39. Career Banding Pay Dispute Process
For career status career banding employees only
Dispute Process for career banding pay decisions only
Definition of a pay decision
Promotion, Reassignment, Career Progression Adjustment
Not disputable if no funding (current situation)

40. Next Steps
Directors of Nursing (with support of local HR) will provide training to remaining nurse supervisors.
Complete assessments with your employees during March and April, forward through chain of command to your Human Resources Office for review
Facility/Division Human Resources will identify any assessment concerns and share with Nurse Banding Team for further review
Local HR offices will provide training on recruiting nurses in banded classes and on how to complete banded work plans

41. QUESTIONS/ANSWERS