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					Department of Correction                       Section No.     :       1
Personnel Manual                               Page No.        :       13
                                               Effective       :       October 15, 1997
                                               Revised         :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


POLICY AND PURPOSE

The citizens of North Carolina and the state workforce deserve strong assurances that
knowledge, skills, and abilities are the basis for state government employment decisions. In
order to assure the integrity of state government and the Department of Correction, every
manager, supervisor, and employee has a responsibility to view public service as a public trust
and to act impartially. Preferential treatment shall not be granted to any private organization or
individual based on political affiliation or influence.

Therefore, it shall be the policy of the Department of Correction to provide equal employment
opportunity to all applicants, without regard to race, religion, color, creed, national origin, sex,
age, disability, or political affiliation/influence. It shall also be the policy of the Department of
Correction to maintain a merit based recruitment and selection process based on job-related
criteria. This process shall be consistently applied in a non-discriminatory manner, promote
fairness, diversity, and integrity, and comply with all Federal and State laws, regulations and
policies.

The primary purpose of the Merit Based Recruitment and Selection Process shall be to ensure
that positions subject to the State Personnel Act (G.S. 126) are filled with most qualified
individuals as determined by job related criteria and in the judgment of unbiased, objective
human resource professionals.

GENERAL PROVISIONS

The Secretary of the Department of Correction accepts the responsibility for ensuring that the
recruitment and selection process complies with all applicable and existing state and federal
laws, policies, and rules governing personnel actions and ensuring that all hiring practices are
applied consistently and equitably, thereby demonstrating commitment and support for the merit
based recruitment and selection plan. The merit based recruitment and selection plan shall also
comply with established procedural guidelines issued by the Office of State Personnel. The
Secretary has delegated the responsibility for policy compliance and enforcement to managers
and expects full support and cooperation from all managers and supervisors in the management
and application of the merit based recruitment and selection process.

The Director of Human Resources and the Equal Employment Opportunity Section have been
delegated the responsibility for designing, implementing, and managing a program to recruit
sufficient applicants from all backgrounds to ensure continued diversity in the workplace while
also ensuring compliance with the merit based recruitment and selection process.
Department of Correction                      Section No.   :     1
Personnel Manual                              Page No.      :     14
                                              Effective     :     October 15, 1997
                                              Revised       :     November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


COMMUNICATION

This plan shall be communicated as follows:

1.     Distribution under cover of an administrative memorandum to managers and supervisors,
2.     Distribution as a Department policy to be added to the Department’s Personnel Policy
       and Procedures Manual, revised as necessary and prominently displayed in an area easily
       accessible to all employees,
3.     Discussed as necessary at job related gatherings of managers, supervisors, and
       employees, i.e., staff meetings, shift assembly, etc.

Applicants shall be notified of the agency’s plan through a statement included on vacancy
announcements.

ROLE DEFINITIONS

Executive Management Team

The Executive Management Team includes the Secretary, Deputy Secretaries/Assistant
Secretaries, and Division Directors. The executive management team shall be responsible for
ensuring the development and implementation of the merit based procedures and demonstrating
commitment and support for merit based recruitment and selection.

Personnel Office

The Personnel Office staff shall be responsible for:

1.     Development of agency merit based recruitment and selection plan,
2.     Assisting agency management with implementation of agency plan,
3.     Development and presentation of training curriculum on the merit based recruitment and
       selection process,
4.     Providing technical advice and assistance to managers and supervisors on the agency
       plan, process, and related personnel policies and procedures, and
5.     Providing technical advice and assistance to managers and supervisor in classification
       and/or applicant qualification issues, i.e., evaluation of a position description,
       determination of applicant qualifications, etc.
Department of Correction                      Section No.     :       1
Personnel Manual                              Page No.        :       15
                                              Effective       :       October 15, 1997
                                              Revised         :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


Regional Employment Office

The Regional Employment Offices shall be the point of contact for receipt of applications for
correctional officer positions for work units/facilities within the service area, provide testing
services (i.e.,COVT, TABE, etc.), and based on the results of the COVT and TABE, develop
rosters of most qualified applicants for vacant correctional officer positions at work
units/facilities in the service area.

Equal Employment Opportunity Office

The Equal Employment Opportunity Office shall be responsible for:

1.     Designing, implementing and managing a recruitment program to attract sufficient
       applicants to ensure diversity in the workforce,
2.     Maintaining recruitment and selection data to conduct employment trend analysis, and
3.     Providing technical advice and assistance to managers and supervisors on equal
       employment opportunity program issues.

Human Resource Professionals

The human resource professionals include those individuals assigned to work units designated as
the person responsible for ensuring proper receipt of applications and for correct screening of
applications. The responsibilities of the human resource professional include:

1.     Ensuring accurate position postings as required,
2.     Consulting with hiring manager to determine job related selection criteria to be included
       in the job posting,
3.     Ensuring point of contact for receipt of applications other than the hiring manager, and
4.     Reviewing applications and screening applications based on policy, job related
       screening/selective criteria, and/or preferences to categorize applicants into groups of
       untimely, non-qualified, qualified, and most qualified.

Note: HR Professionals that participate in the screening process are prohibited from serving as
      members of interview teams or having input into the selection. HR Professionals may
      advise the hiring manager regarding proper procedures to be followed in the interview
      and selection process, as well as in selection of interview team members who represent
      the Department’s diversity.
Department of Correction                      Section No.     :       1
Personnel Manual                              Page No.        :       16
                                              Effective       :       October 15, 1997
                                              Revised         :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


Subject Matter Expert

The subject matter expert shall be an individual working in or having supervised in the same or
closely related field to the position being filled. The subject matter expert(s) shall serve as the
individual most knowledgeable about the specific duties and responsibilities unique to the
position to be filled and shall assist in the evaluation of the relevance of various credentials of
the applicants to the position to be filled.

Note: Subject matter experts that participate in screening are prohibited from serving as
      members of interview teams or having input into the selection. It is permissible for the
      subject matter expert(s) and/or hiring manager to advise screeners on the relevance of
      applicants’ education and experience to job duties as long as the subject matter expert(s)
      and/or hiring manager are not involved in the actual screening of the applications.

Managers and Supervisors

Managers and supervisors shall be responsible for:

1.     Evaluating the need for filling vacant positions and notifying the designated human
       resource professional when a position needs to be posted;
2.     Maintaining accurate position descriptions for subordinate jobs;
3.     Notifying the Personnel Office, Classification Section when a revision is needed to a
       position description;
4.     Understanding and communicating the principles of the merit based process to employees
       and applicants;
5.     Striving to achieve and maintain a diverse workforce;
6.     Demonstrating commitment and support for the merit based recruitment and selection
       plan and complying with the guidelines, and
6.     Documenting screening, interviewing, and selection decisions in accordance with the
       guidelines.

Note: Hiring managers are prohibited from discussing specific details of an applicant’s
      qualifications with screeners. However, they may inquire as to the receipt of an
      application and whether the applicant is non-qualified, qualified or most qualified.
      Hiring managers are prohibited from serving as the point of contact to receive
      employment applications for vacant positions or participating in the screening process.
      Hiring managers may receive inquiries from interested candidates and provide
      information about the job duties and responsibilities that are required.
Department of Correction                     Section No.     :       1
Personnel Manual                             Page No.        :       17
                                             Effective       :       October 15, 1997
                                             Revised         :       November 8, 2005

Subject:
               MERIT BASED RECRUITMENT AND SELECTION PLAN


Employees and Applicants

Employees and applicants shall be responsible for:

1.     Seeking information regarding advertised positions in order to submit the required
       materials,
2.     Providing full and complete information as to credentials and qualifications, and
3.     Submitting specified materials necessary to apply for a position within the required time
       frame.

DEFINITIONS

1.     Selective Criteria - Additional minimum qualifications specifically related to the duties
       and responsibilities of the position. They cannot increase the minimum training and
       experience requirements for the position. These will generally be unique to the positions,
       but may be standardized for a position classification where there is a high volume of
       positions in the class, i.e., correctional officer, probation/parole officer, etc.
2.     Knowledge, Skills, and Abilities (KSA’s)
       Knowledge - Information that an individual possesses and gained through education,
       training, and/or work experience which makes adequate performance on the job possible.
       Skill - A proficiency that is readily observable, quantifiable, and measurable, i.e., typing,
       operating a machine, etc.
       Ability - Capacity to perform an activity at the present time.
3.     Preferences - Specific types of experiences, degrees, licenses, KSA’s, or other selection
       factors above those minimally required to perform the duties and responsibilities of a
       position.
4.     Qualified - Those applicants whose credentials indicate the possession of training and
       experience, selective criteria, and KSA’s required for the job.
5.     Most qualified - The group of applicants who, to the greatest extent, possess
       qualifications which exceed the minimum training, experience, selective criteria, and
       KSA’s, and other job related selection criteria for the position.
6.     Non Qualified - Those applicants whose credentials do not indicate the possession of
       training and experience, selective criteria, and KSA’s required for the job.
7.     Untimely - An application is considered untimely if it is not received by the contact
       person by 5:00 p.m. on the closing date as listed in the job posting. Applicants must
       abide by the instructions in the job posting for submitting applications.
Department of Correction                     Section No.     :       1
Personnel Manual                             Page No.        :       18
                                             Effective       :       October 15, 1997
                                             Revised         :       November 8, 2005

Subject:
               MERIT BASED RECRUITMENT AND SELECTION PLAN


8.     Employment Application – Candidates seeking employment with the State of North
       Carolina are required to complete a State Employment Application (Form PD-107). The
       application may be delivered by regular mail, hand-delivery, facsimile machine or
       electronic mail. By submitting an application, the applicant is certifying at the time of
       delivery that the information on their application is true and accurate as of the date of
       delivery. For employment processing reasons, applications for correctional officer
       positions submitted must be signed prior to processing. Applications submitted for all
       other positions must be signed prior to or at the time of the interview.

PRE-RECRUITMENT/RECRUITMENT ACTIVITIES

Recruitment

The Department of Correction actively recruits from a variety of sources to achieve a diverse
workforce that also meets the needs and demands of the agency. Recruitment activities include,
but are not limited to:

1.     Attendance at community events, career days, and job fairs for purposes of educating
       individuals on the mission of the agency and career opportunities,
2.     Meeting with representatives of organizations including branches of the military,
3.     Standard job posting with the Employment Security Commission, and/or
4.     Additional advertising in publications, i.e., newspapers, trade journals, etc. of available
       positions.

Where problems are identified due to a lack of sufficient applicants from under represented
groups, the agency will conduct targeted recruitment to provide a larger applicant base.

Job Analysis

Job analysis is a process of determining the major characteristics and functions of a job. The
basic intent is to determine if the current job description is equivalent to the current work
practices being performed in the position. Job analysis involves identifying any changes in the
primary duties and responsibilities needed to perform the job.
Department of Correction                       Section No.     :       1
Personnel Manual                               Page No.        :       19
                                               Effective       :       October 15, 1997
                                               Revised         :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


Prior to posting, when there is a change in the duties and responsibilities of a position that
impacts the qualifications required, the hiring manager, with assistance and guidance from the
designated human resource professional, shall conduct a job analysis. Depending on the
significance of the change in the duties and responsibilities, a new or revised position description
may or may not be necessary; however, the job posting may need to be revised, i.e., description
of duties, selection criteria, preferences, etc. Where a new or revised job description is needed,
the established process for submitting shall be followed.

Where there is a high volume of positions in a class, i.e., correctional officer, probation/parole
officer, etc., frequent turnover in a class, or little job change, there will not likely be a need to
conduct a job analysis each time a vacancy occurs.

The hiring manager and the designated human resource professional shall be responsible for
assuring that the critical tasks, knowledge, skills, and abilities (KSA’s), and training and
experience requirements, including any selective criteria, necessary to successfully perform the
duties of the position have been identified. The generic KSA’s as described in the job
specifications published by the Office of State Personnel may be used where they are sufficient
for differentiating qualifications of applicants and/or where there is a high volume of positions in
a class, i.e., correctional officers, probation/parole officer, etc.

Job Posting

The Job Opportunity Report is the official job posting and is received by the Employment
Security Commission (ESC) and the Office of State Personnel (OSP). Job vacancies must be
posted electronically through the Personnel Management Information System (PMIS) to be
published on a Job Opportunity Report. The information is entered into the PMIS using the
subprogram PMJOBS (See Department of Correction, Personnel Manual, Section One). The job
will post for ten (10) calendar days beginning on a Tuesday and ending on a Thursday.
Information must be entered into the PMIS by 5:00 p.m. on the Thursday prior to the date the
posting is to begin, otherwise, the job posting will be delayed until the following week.

The hiring manager and the designated human resource professional shall determine the
appropriate option(s) for posting a position, i.e., internal, state government, external, etc. The
designated human resource professional shall also consult with the hiring manager to determine
if additional sources, i.e., newspapers, trade publications, technical colleges/universities, etc.,
are needed to target specific applicants.
Department of Correction                      Section No.    :       1
Personnel Manual                              Page No.       :       20
                                              Effective      :       October 15, 1997
                                              Revised        :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


The designated human resource professional shall be responsible for ensuring that the position is
posted and including any selective criteria and/or preferences identified by the hiring manager
for inclusion in the job posting. The designated human resource professional shall also designate
a point of contact other than the hiring manager for receipt of applications. Under no
circumstances may the hiring manager be the point of contact for receipt of the applications for a
position. Where there is an attempt to deliver an application to the hiring manager, the applicant
or application shall be directed to the person indicated in the job posting as the point of contact.

EVALUATION/SCREENING PROCESS

Timely or Untimely Designation

After the posting has expired, the designated human resource professional shall gather all
applications received and separate the timely and untimely applications.

Employment/Reemployment Priorities

The designated human resource professional shall review applications to identify applicants with
priority status. All employment/reemployment priorities shall be granted in accordance with
State policy. This may require that applications of individuals with certain priorities be included
among those referred to the hiring manager for consideration. The designated human resource
professional shall provide advice and guidance to the hiring manager regarding the priority
considerations to be granted. The priority inventory is provided to work units. If there are any
individuals on the inventory, the manager shall be responsible for requesting the applications
from the REO. Consideration shall be given to applicants that have the following priorities:

       Priority Reemployment                         Veteran’s Preference
       Exempt Policy-Making                          Promotional Priority
       Confidential and Exempt Managerial

Each of the above listed employment/reemployment priorities are explained in detail in the State
Personnel Manual and, in some cases, the Department Personnel Policy and Procedures Manual.
Department of Correction                     Section No.    :       1
Personnel Manual                             Page No.       :       21
                                             Effective      :       October 15, 1997
                                             Revised        :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


Screening Process

Employment applications received within the posting period are screened by either an individual
Human Resource Professional (trained on the merit based recruitment and selection process) or
by a panel led by a Human Resource Professional, based on an assessment of applicant education
and experience compared to the minimum requirements for the position, any selective criteria
established for the job, and related knowledge, skills, and abilities necessary to perform the
duties of the position.

If a panel is used for the screening, the designated human resource professional and the hiring
manager shall jointly decide on panel members.

1.     A panel shall consist of two (2) to five (5) individuals, including at a minimum the
       designated human resource professional and a subject matter expert. Additional
       individuals functioning as consultants may also serve on the panel for purposes of
       providing insight and guidance regarding the evaluations of an applicant’s credentials in
       comparison to the minimum requirements of the position. Panel members shall be
       representative of the organization’s diversity.
2.     The designated human resource professional shall serve as an advisor to the panel
       regarding State and Department personnel policies, employment priorities, and to ensure
       that the merit based recruitment and selection guidelines are consistently applied.
3.     The subject matter expert(s) shall serve as the individual knowledgeable about the
       specific duties and responsibilities unique to the position to be filled and shall assist in
       the evaluation of the relevance of various credentials of the applicants to the position to
       be filled.
4.     A chairperson shall be designated by the human resource professional or hiring manager
       to coordinate the review process and ensure timely review of applications.
5.     Screeners shall not be a part of the interview or selection process. Screeners are
       prohibited from using their personal knowledge of an applicant’s job duties during the
       screening process. In addition, PMIS and PIN Checks cannot be used for screening.
       Only information included on the applicant’s state employment application (PD107) may
       be used during the screening process. Disciplinary action(s), TAP ratings and criminal
       history as indicated by the response to or lack thereof to the conviction question on the
       opposite side of the state employment application shall not be used to screen employment
       applications. By submitting an application, the applicant is certifying at the time of
       delivery that the information on their application is true and accurate as of the date of
       delivery. For employment processing reasons, applications for correctional officer
       positions submitted must be signed prior to processing. Applications submitted for all
       other positions must be signed prior to or at the time of the interview.
Department of Correction                     Section No.    :       1
Personnel Manual                             Page No.       :       22
                                             Effective      :       October 15, 1997
                                             Revised        :       November 8, 2005

Subject:
               MERIT BASED RECRUITMENT AND SELECTION PLAN


Screening will separate all timely applications into one of three groups: not qualified (not
meeting minimum requirements), qualified (meeting at least the minimum qualifications
required), or most qualified (exceeding to the greatest extent the minimum requirements of the
position). Applicants in the most qualified grouping, as well as those applicants possessing
employment/reemployment priorities requiring that they be considered for the position, even if
the individual only minimally qualifies, will be forwarded to the hiring manager for
consideration.

If there are no applications which clearly exceed the minimum qualifications or if a selection
decision cannot justifiably be made from the most qualified pool, the applications of those
individuals meeting the minimum qualifications may be forwarded to the hiring manager; or the
human resource professional and the hiring manager may decide to re-advertise the position. If
the number of applications from qualified individuals is insufficient and will severely limit the
number of most qualified applicants and potentially adversely impact workforce diversity, the
hiring manager, in cooperation with the human resource professional, may choose to re-advertise
the position. Also, the hiring manager may choose to re-post a position if administrative errors
have been discovered in the application receipt, screening, interviewing, or selection process.

Use of Preliminary Background Checks

As part of the hiring manager’s decision-making process, he or she may conduct preliminary
background checks of the most qualified applicants prior to scheduling interviews. The hiring
manager may consider information (i.e. active discipline, less than good performance ratings,
etc.) obtained in determining final interview candidates. If an applicant is removed from the
interview process based on information obtained by the hiring manager during the preliminary
background check, the rationale for removal shall be documented in the position history file.

Management at any given location shall be consistent in its choice to apply or not apply this
practice.

If information is discovered after selection which would have had a negative impact on the
selection decision, management shall deal with this circumstance through the disciplinary
process as prescribed in State Policy.

Cases where adverse information on an applicant, including applicants previously employed but
not currently employed by the department, is discovered prior to interviews shall be handled on a
case-by-case basis in consultation with the Personnel Office Employee Relations Section.
Department of Correction                      Section No.     :       1
Personnel Manual                              Page No.        :       23
                                              Effective       :       October 15, 1997
                                              Revised         :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


Interview, Selection/Recommendation/Justification of Selection

Following the final evaluation, the applications for those individuals determined to be most
qualified and for those individuals possessing employment/reemployment priorities which
require inclusion in the interview process shall be forwarded to the hiring manager for
consideration. The selection tools shall include at a minimum, a structured interview and
benchmarked responses. Additional selection tools may be used by the hiring manager if
necessary, but shall be objective and based on job-related KSA’s and consistently applied to all
applicants in the final pool. Selection tools also include exercises, skills tests, etc.

Following the interview process, the hiring manager shall evaluate each applicant and make a
final recommendation. The hiring manager shall forward the final recommendation, a written
justification, and all applications that were included in the final group of applications to the
appropriate approving authority. The justification letter shall address the following issues:

       Names of each individual interviewed
       The reason(s) the candidate was selected, as compared to the other applicants
       Analysis of internal equity issues created by the recommended salary, along with an
       explanation of management’s stance on the inequity.\

Correctional Officer Lateral Transfers

If an individual currently employed as a correctional officer wishes to transfer to another facility,
he/she shall submit a state employment application directly to the facility with an approved
transfer request attached (DOP requirement). The individual is included with the interview pool
as they are automatically considered to be in the most qualified pool based on the current
position. This individual submitted to pre-employment testing prior to initial employment as a
correctional officer and therefore, no further testing is required. If the individual is selected
following interviews, a conditional officer of employment is extended and the standard
employment process for within agency transfers applies.
Department of Correction                    Section No.    :      1
Personnel Manual                            Page No.       :      24
                                            Effective      :      October 15, 1997
                                            Revised        :      November 8, 2005

Subject:
               MERIT BASED RECRUITMENT AND SELECTION PLAN


Correctional Food Service Officer Lateral Transfers to Correctional Officer Positions

Applicants for Correctional Food Service Officer positions submit state employment applications
directly to the facility where the vacancy exists (transfer request forms are not required for
Correctional Food Service Officer lateral transfers) during the posting period. The applications
are screened, and those individuals determined to be most qualified are interviewed. Only the
selected candidate is subject to pre-employment testing to include the TABE and the MMPI-2.
The COVT is not administered to these applicants. Following employment as a Correctional
Food Service Officer, if the employee wishes to apply for a lateral transfer to a Correctional
Officer position, they may submit a state employment application directly to the facility where
the vacancy exists. The individual is included with the interview pool as they are automatically
considered to be in the most qualified pool based on the current position. This individual
submitted to pre-employment testing prior to initial employment as a correctional food service
officer and therefore, no further testing is required. If the individual is selected following
interviews, a conditional officer of employment is extended and the standard employment
process for within agency transfers applies. The COVT is not required due to the experience
he/she gained while working as Correctional Food Service Officer.

REFERENCE CHECKS, FINAL SELECTION, APPROVAL AND NOTIFICATION
PROCESS

Prior to final selection, references shall be checked. Management may consider disciplinary
action and/ or performance evaluations (TAP ratings) of less than Good during the decision-
making process to justify non-selection of a most qualified applicant. Further, the nature of
information gathered when checking references on external candidates may be considered in the
final decision.

Note: Employee Relations Staff are available to consult on a case-by-case basis on issues
      related to disciplinary action.
Department of Correction                      Section No.    :       1
Personnel Manual                              Page No.       :       25
                                              Effective      :       October 15, 1997
                                              Revised        :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


Approval Process

The regular employment process as delineated in the Department’s Personnel Policy and
Procedures Manual shall be followed. Employment recommendations shall be approved by the
designated managers within the chain-of-command consistent with the standard operating
procedures established by the division directors or assistant secretaries. Depending upon the
position classification and the requirement for specific certifications, licensures, etc., approval
from a program manager may also be required. The Secretary or designee is the final approving
authority for all personnel transactions. The Classification/Compensation Section of the
Personnel Office is the approving authority for all technical aspects of the employment process.

Notification of Recruitment and Selection Outcome to Applicants

Applicants not selected for the position shall receive notification in writing of the outcome of the
selection process within ten (10) working days of the announced filling of a vacancy. Refer to
the policy entitled Notification of Recruitment and Selection Outcome to Applicants in Section
Three of this manual for sample letters.

MONITORING/EVALUATION

The Equal Employment Opportunity Staff shall, through the Applicant Recruitment Placement
Report (Form AA-100), maintain data regarding applicant flow and employment within the
Department of Correction. From this data, reports may be generated, as requested, for human
resource professionals to periodically review to ensure the recruitment and selection activities are
in compliance with policies, procedures, and the agency plan. The reports can further identify
regions or work units where recruitment problems exist so that human resource professionals
may increase recruitment activities where necessary. Information, reports, and plan updates shall
be provided to the Office of State Personnel as required or requested.

Facilities are required to complete the AA-100 form for each hiring event except correctional
officer positions. The Correctional Officer Applicant Tracking database maintains the data.
Copies of all AA-100 forms (except for correctional officer positions) are to be forwarded to the
Department of Correction EEO Office.
Department of Correction                       Section No.     :       1
Personnel Manual                               Page No.        :       26
                                               Effective       :       October 15, 1997
                                               Revised         :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


REGIONAL EMPLOYMENT OFFICE (REO)

The Department of Correction has five (5) regional employment offices (REO’s) that provide a
variety of services to correctional facilities within the designated service area. Organizationally,
the REO’s are under the supervision of the Personnel Office, Operations and Position Control
Section. The services provided include:

       Recruitment for correctional officer positions
       Testing of correctional officer applicants
       Employment processing for designated classifications

A standardized screening instrument specifically designed for correctional officer applicants is
administered by the REO’s. The test entitled “Correction Officer Video Test” and referred to as
the COVT tests individuals to determine if the applicant possesses the judgment and behavioral
skills necessary to be a successful correctional officer. Another standardized test designed to
measure educational level is also administered by the regional employment offices. This test is
the Tests of Adult Basic Education or the TABE. Those that pass the COVT and the TABE shall
be considered the group of most qualified applicants for correctional officer positions at the
correctional facilities within the designated service areas.

Pre-Recruitment/Recruitment Activities (Correctional Officers)

       Job Analysis

       A job analysis is not necessary for correctional officer positions unless the primary duties
       of the position have changed enough to warrant consideration for re-classifying the
       position to something other than a correctional officer.

       Job Posting and Recruitment

       A continuous job posting is done identifying the REO as the point-of-contact for all
       applications for correctional officer positions for the designated service areas.

       REO staff or other designated human resource professionals may attend various
       community events, job fairs, and career days, visit community, technical and traditional
       colleges and universities to solicit interest in the correctional facilities in the service areas
       and hopefully attract a large volume of applicants.
Department of Correction                     Section No.    :      1
Personnel Manual                             Page No.       :      27
                                             Effective      :      October 15, 1997
                                             Revised        :      November 8, 2005

Subject:
               MERIT BASED RECRUITMENT AND SELECTION PLAN


Evaluation Referral/Interview/Selection Process (Correctional Officers)

       Evaluation/Screening Process

       As applications are received, they are reviewed by REO staff to determine those that
       meet minimum qualifications. The TABE and COVT is administered weekly to those
       applicants determined to be minimally qualified applicants. These individuals are
       contacted and scheduled for testing. Those passing the COVT and the TABE are
       considered to be the group of most qualified applicants and are then placed on a roster
       maintained by the REO. Applicants remain on the roster for up to twelve (12) months.
       As correctional facilities in the designated service area have available positions, the
       hiring manager notifies the REO and those applicants on the roster that have indicated an
       interest in that facility are forwarded to the hiring manager for consideration.

       Employment/Reemployment Priorities

       The same procedures shall be followed in considering these priorities as with the non-
       Correctional Officer positions.

Referral, Selection/Recommendation Process

The REO shall forward the applications to be considered to the hiring manager.

The hiring manager shall select the candidates(s) from the group of applicants forwarded to
him/her by the REO and submit the final recommendation(s) and a written justification to the
REO. The copies of applications forwarded to the hiring manager shall be maintained in the
position history file at the work location.

If the hiring manager is unable to make a selection from that group of applicants, he/she may
request that additional applications of individuals on the roster be forwarded from the REO to
him/her for consideration.

Approval Process

The regular employment process established for the REO shall be followed. The hiring manager
submits the final employment recommendation to the REO. The REO manager, in consultation
with the Classification/Compensation Section of DOC Personnel has final approving authority
for the technical aspects of the employment process.
Department of Correction                      Section No.     :       1
Personnel Manual                              Page No.        :       28
                                              Effective       :       October 15, 1997
                                              Revised         :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


Notification of Recruitment and Selection Outcome to Applicants

Notification requirements for candidates not selected for correctional officer positions from
referrals made by the REO shall be the same as for all other filled positions.

Monitoring/Evaluation (REO)

A database has been developed to provide statistics regarding the applicant flow for all
correctional officer positions filled through the REO. Reports may be generated as required or
upon request that will provide information regarding the demographics of the applicants for the
service area or for a particular correctional facility and can assist managers in identifying
problems where recruitment efforts need to be stronger.

DOCUMENTATION OF PROCESS – POSITION HISTORY FILES

Documentation of the Merit Based Recruitment and Selection Process shall be maintained to
support the decisions made and to provide data for monitoring and evaluating recruitment and
selection practices and procedures. A position history file shall be developed and maintained for
each hiring event (i.e., new hire, transfer, promotion, etc.) for a period of four (4) years.

Note: The position history files for the custody classification, i.e., Title VII classes, shall be
maintained for the four (4) year period defined above or until the Department is released from
the consent order, whichever is longer; or until otherwise notified by the Department’s Legal
Office. These classes include correctional officer, lead correctional officer, correctional
sergeant, correctional lieutenant, and correctional captain.

Documentation Required for NON Correctional Officer Positions

In some cases, the document listed may be contained within the text of another document, for
example, most class specification will include the KSA’s. It is therefore unnecessary to
duplicate the information in the position history file. The position history file may be maintained
by the Human Resource Professional or the Hiring Manager.

Identification of the location of the position description and position specification,
Copy of Vacancy Announcement (Job Posting) or the approval letter from the agency head or
        designee stating the reason(s) for deciding not to post, if applicable,
Copy of any Recruitment Resources used (other than state posting): examples include
        Newspaper Advertisements, TV/Radio Announcements, Journal Announcements, etc.
Department of Correction                     Section No.    :      1
Personnel Manual                             Page No.       :      29
                                             Effective      :      October 15, 1997
                                             Revised        :      November 8, 2005

Subject:
               MERIT BASED RECRUITMENT AND SELECTION PLAN


Copy of Selection Tools and Criteria, to include at a minimum:
        Identification of any Selective Criteria and /or Preferences used
        All written documentation showing qualifying education and experience credit awarded
        in screening employment applications.
        All documentation showing criteria used to determine non-qualified, qualified, and most
        qualified applicants.
Copies of any additional selection tools used by the Hiring Manager such as exercises, skills,
        tests, etc.
All applications received, categorized and labeled as untimely, non-qualified, qualified or most
        qualified (PD107/PD107A),
DC730VS Form, with Phase I applicant signature for each applicant interviewed but not selected
        (Essential Job Functions will be attached to this form),
Copies of the questions and benchmarked answers used during the interview,
Copies of the record of interview forms containing notes of applicant responses,
Interview Team Summary form (for Title VII classes only),
The employment package for the individual selected (the original is forwarded to the REO for
        processing and is scanned and saved in the individual’s electronic employment record;
        the original is then returned to the work unit).
AA100 Form (the original is forwarded to the DOC EEO Section, however, a copy may be
        maintained in the position history file for future reference and audit),
Copies of notification letters to non-selected applicants.

Documentation Maintained at the REO for Correctional Officer Positions:

The job posting and the recruitment sources used to develop the roster shall be captured through
the database maintained by the REO. Copies of applications of all applicants for correctional
officer positions shall also be maintained by the REO until the Department is released from the
consent order for Title VII or until otherwise notified by the Department’s Legal Office.

Documentation Required at the Facility for Correctional Officer Positions:

A position history file for Correctional Officer positions shall be developed and maintained by
the Hiring Manager for four (4) years or until the Department is released from the consent order
for Title VII, whichever is longer or until otherwise notified by the Department’s Legal Office.

A copy of a Correctional Officer continuous posting,
Priority Reemployment Inventory, RIF Request Documentation and RIF Explanation Form (if
applicable),
Department of Correction                      Section No.    :       1
Personnel Manual                              Page No.       :       30
                                              Effective      :       October 15, 1997
                                              Revised        :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


List of applicants considered for the position (roster),
Copies of the applications forwarded to the Hiring Manager for consideration/interview,
DC730VS Form, with Phase I applicant signature for the applicants interviewed but not selected,
Copies of the questions and benchmarked answers used during the interview,
Copies of the record of interview forms containing notes of applicant responses,
Interview Team Summary Form,
Copies of any additional selection tools used by the Hiring Manager such as exercises, skills
tests, etc.,
The employment package for the individual selected (the original is forwarded to the REO for
processing and is scanned and saved in the individual’s electronic employment record; the
original is then returned to the work unit),
Copies of notification letters to non-selected applicants.

Maintaining Position History Files

Position History Files shall be maintained as described above and stored in a secure location with
limited access, but where they can be easily retrieved as needed by management or other
authorized personnel.

An example of an acceptable location/manner for storing records is in a file cabinet with a lock
in the Personnel Assistant’s Office.

An example of an unacceptable location/manner for storing records is in boxes on the floor of the
hallway outside the Personnel Assistant’s Office.

Note:

1.      Position History Files for hiring events for continuous postings require the same
        documentation, except as indicated for the Correctional Officer process.
2.      In cases where vacancies are filled to support hubbing of multiple facilities, the Division
        Director may specify a single location in which the position histories are to be
        maintained, or copies may be made and kept at each of the locations served.
3.      Position History Files shall be developed for hiring events in which RIF candidates are
        placed into positions (vacancies, frozen positions, work against positions, etc.) prior to
        separation and/or prior to being placed on the OSP Priority Reemployment Inventory.
        These files shall contain a copy of the letter to the RIF candidate from Employee
        Relations offering them the position, indicating their RIF rights and requiring them to
        accept or reject the offer by acknowledgement of the employee’s signature.
Department of Correction                     Section No.     :      1
Personnel Manual                             Page No.        :      31
                                             Effective       :      October 15, 1997
                                             Revised         :      November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


Confidentiality of Records

All records associated with the merit based recruitment and selection process shall be
confidential unless otherwise specified by state or federal law, regulation, or policy.

TRAINING

Training curriculum on the components of the merit based recruitment and selection process
shall be developed and delivered to all designated human resource professionals and other
support personnel on the following topics:

Pre-Recruitment
Job Analysis
Recruitment (Job Posting)
Screening
Interviewing
Selection (Final Decision)
Documentation

The managers, supervisors, or other employees designated as potential subject matter experts
may attend the above stated training, but at a minimum will become familiar with the merit
based recruitment and selection process through detailed memorandums and staff meetings.

Records of those individuals completing the required training will be maintained by the
Personnel Office using the OSDT-1 form and direct entering a course code into OPUS for
training credit.

To maintain consistency and ensure compliance, all internal division training materials on the
employment process including but not limited to screening, interviewing and selection must be
pre-approved by the personnel training manager and the Classification/Compensation Section of
the DOC Personnel Office prior to delivering any instructions within any Division.
Department of Correction                       Section No.     :       1
Personnel Manual                               Page No.        :       32
                                               Effective       :       October 15, 1997
                                               Revised         :       November 8, 2005

Subject:
                MERIT BASED RECRUITMENT AND SELECTION PLAN


APPEAL PROCESS

If an applicant has reason to believe they were denied employment due to political affiliation or
influence, the applicant may appeal the hiring decision directly to the Office of Administrative
Hearings within thirty (30) days of written notification that the position has been filled if all the
following conditions apply:

1.     the applicant applied for the position in question within designated time frame;
2.     the applicant was not selected for the position;
3.     the applicant was among the most qualified persons applying for the position;
4.     the successful applicant for the position was not among the most qualified persons
       applying for the position; and
5.     the hiring decision was based on political affiliation or political influence.

DISCIPLINE

Violations of the merit based recruitment and selection process may result in discipline up to and
including dismissal. Intentional violations of this policy shall be considered unacceptable
personal conduct and shall result in discipline up to and including dismissal.