The Hiring Process

1. The Hiring Process February 2013

2. Objectives • Identify the 4 Phases of the Hiring Process • Identify the requirements for each Phase of the Hiring Process. • Identify the forms required for each Phase of the Hiring Process. • Identify the workflow associated with each Phase of the Hiring Process. • Understand the procedures for completing reference and criminal checks. • Understand the procedures for requesting pre-approval of the selected candidate and salary. • Understand the procedures and requirements for Conditional Offer of Employment. • Understand the HR procedures for Final Approval and BEACON/SAP processing.

3. Recruitment & Employment Activity

4. Central HR Empl Spec Recruitment & Employment Activity REOs Post & Screen Pre-Approval & Salary Final approval Files Post & Screen Pre-approval & salary Certification Requirements Final Approval Files Post & Screen for section Files All three are not the same – Employment Specialists do NOT set salary, handle certification requirements or have final approval authority; therefore, those with Employment Specialists are STILL assigned to either central R&E or an REO

5. R&E Empl Spec Section Assignments REOs AC Admin Alcohol Chem Dep Combined Records Div of Admin Div of LE Enterprise Extradition JJ Admin Parole Commission Community Corrections Court Services Detention Centers Prisons Youth Dev’t Centers Alcohol Law Enforcement (sworn only) Community Corrections Enterprise Prisons State Highway Patrol All sections under Employment Specialists are also under an HR office as Employment Specialist post & screen but hiring decisions are forwarded to the assigned HR office.

6. 4 Phases of the Hiring Process • Post Position & Screen Applicants • Interview & Screening Tools • References & Criminal Check • Select Candidate • Post, Screen, Select • Approval • Conditional Offer • Employee Start & Set-Up • HR Pre-Approval & Establish Salary • DPS Approval Signatures • Conditional Offer, I-9, E-Verify • Final Approval & Identify Start Date • Employee Starts; BEACON/SAP Set-up • Recruitment Close-Out • HR Follow-Up

7. Phase I: Post / Screen /Interview/ Select • Request to Post submitted • Screen Applicants • Referred List to Manager Post Position & Screen Applicants Interview & Screening Tools References & Criminal Background Select Candidate • Interviews scheduled • Interviews conducted • Forms completed • Screening tools/pre-COE tests • Professional references • Criminal background check • Candidate Selection Decision • Within work location approvals

8. Phase I: Post • 3 items are required: • HR 001 Request to Post Form • Essential Job Functions • Benchmark Interview Questions • Submitted electronically to DPS_HR_RequestToPost@ncdps.govSVC_DOC.DOP_Request_to_Post@ncdps.gov

9. Request to PostForm HR 001 • General Posting • Reposting with Previous Applicants • Reposting without Previous Applicants • Position Details • Budgeted Salary & Fund Code • Supplemental Questions • Approvals

10. Phase I: Post • 3 Points in the Hiring Process when Essential Job Functions are used • Posting (Phase I) • Interview (Phase I) • Conditional Offer (Phase III) • List of Essential Job Functions • What are Essential Job Functions • When are essential functions established • How are essential functions used during the Hiring Process • Sample Essential Functions Personnel Tech • Collaboration: HR and Division Management • February • HR Classification and Compensation Unit

11. Phase I: Post • Copy of Benchmarked Interview Questions • Required • Format • Collaboration: HR and JUVENILE JUSTICE • Project Manager identified for development

12. Phase I: Screening • HR Office • Regional Employment Office • Employment Specialist • Prisons • Community Corrections • Correction Enterprises • State Highway Patrol • Alcohol and Law Enforcement (Sworn Positions Only)

13. Phase I: Screening • Work Location Receives the following: • NeoGov Selection Log of Most Qualified Applicants • Referred List • Hiring Priorities-RIF Candidates SHALL be interviewed • Copy of the Vacancy Announcement • Applications of referred candidates

14. Interview • The work location schedules and conducts the interviews • Interview Teams will need the following: • Vacancy Announcement • Applications • Questions and Benchmarks • Essential Job Function Verification Form HR 005 • List of Essential Job Functions, • Training Functions if appplicable • Criminal History Record Check Form HR 004 • Applicant Checklist of Employment Requirements Form HR 012 • Interview Ratings Form HR 006 • Interview Summary Form HR 007 • Practical / Skills Test (if applicable)

15. Essential Job Functions Verification Form HR 005 • Form and List Provided to Applicant • For Certified positions in AC and JJ • Position Essential Job Functions • Basic Training Essential Functions • Applicant Reviews the List(s) and Signs the form section entitled “At Interview” • Do Not Sign Section Entitled “Conditional Offer”

16. Criminal History Records Check Form Form HR 004 • INTERVIEWS • Hiring manager or designee completes Section 1 • Applicant Completes Section 2 • Form is placed in a sealed envelope by applicant • Interview Chair submits to the hiring manager or designee along with all interview forms

17. Applicant Checklist of Employment RequirementsForm HR 012 • Provide copy to applicant during the interview • This identifies documents the applicant will be required to provide if they are selected. • They will be required to bring these documents at the Conditional Offer of Employment.

18. Interview Rating FormForm HR 006 • Standardized Form used by DPS • Identify KSAs/Competencies • Document the Interview Questions & Question Benchmarks • Notes Section – Record Applicant Responses • Five (5) Rating Levels • Summary of Interview Results Section

19. Interview Summary FormForm HR 007 • Work Location Completes • Top of the form • Candidates Names, Date/Time of Interview • Notes/Comments (i.e. declined interview), Priorities • Chairperson Responsibilities • Interviewer Results • Overall Rating • Document Candidate(s) For Consideration • Interview Team Signatures (identify Chair) • Submitted to Hiring Manager with other required documentation

20. Interview Process and Procedures • Reference Tool • Outlines best practices for conducting the interview.

21. Professional Reference Check FormForm HR 008 • DPS Requirement: 2 professional reference checks are required • Contacting Current and Prior Employers – State Application • Performance Evaluation Ratings

22. Criminal History Records Check Form Form HR 004 • Selected Candidate • For those currently conducting criminal background checks continue • For those not currently conducting criminal background checks, you will receive additional information through your chain of command.

23. Request for Pre-Approval of Selected CandidateForm HR 009 • Purpose • Identify recommended candidate • Justify selection of candidate • Provide justification if any candidate w/priority is not selected • Justification of salary recommendation (if applicable) • Address inequities (if applicable) • Documents Required with Pre-Approval Form • Application of Selected Candidate • Interview Summary Form (Form HR 007) • Education and Work History Credit Worksheet (if requesting a salary) • Competency Assessment (for Career Banded positions) • Equity Worksheet (if requesting a salary)

24. Pre-Approval Package • Submit the completed package electronically to the Human Resources (HR) or Employment Specialist (ES) that initially sent you the Referred List • You will not make a Conditional Offer at this time

25. Phase II: The Approval Phase • Selected candidate approval • Salary determined • Salary exception approval • >20% = OSP approval HR Pre-Approval and Establish Salary DPS Approval Signatures • Required signatures • Budget approval

26. Determining a Salary • HR will determine an appropriate salary • Increases greater than 20% must be approved by the Office of State Personnel (OSP) • Any salary or budget exceptions must be approved by management • HR will notify the Work Location of the approved salary via email • HR will pilot DocuSign

27. DocuSign • What is DocuSign • Links to Materials • NOTE: Webinar Dates Expire Prior to Regional Sessions. • Quick Start Signer Guide will be provided following this training session via email

28. Phase III: The Conditional Offer • Make appt with candidate • Candidate completes/signs forms • I-9 and E-Verify • Confirm forms completed • Drug test, physical, testing(if applicable) Conditional Offer, I-9 and E-Verify Final Approval & Identify Start Date • Review all forms • Approve hire • Request start date • Final letter to candidate

29. Conditional Offer Checklist DPS Conditional Offer Letter (Form HR 008) DPS Employment Statements (Form HR 013) I-9 (Acceptable Documents for I-9) DPS Essential Job Function Verification (Form HR005, with EJFs attached) DPS Request for Reasonable Accommodation, if applicable (DPS-RRA) Mandatory Direct Deposit Notification, if applicable Direct Deposition Enrollment and Change Form, if applicable W-4 Employee Withholding Allowance Certificate, if applicable NC-4 Employee Withholding Allowance Certificate, if applicable DPS BEACON Data Form (Form HR 014) DPS Prior Service Form (Form HR 015) DPS Degree Verification Request, if applicable (Form HR 016) DPS Personnel Action Request (Form HR 017)

30. Phase III – Conditional Offer • Work Location Schedules Appointment with Selected Candidate. • JJ and AC Certified Conditional Offer Process handled by Regional Employment Office • Work Location Prepares: • COE Letter • Position • Salary • Checks applicable terms/conditions • Contacts top candidate to schedule appointment • Applicant attends appointment schedule at work location • Conditional Offer is issued to candidate • Additional hiring paperwork completed

31. DPS Employment Statements Form HR 013 • Work Location reviews with Candidate • Candidate initials applicable sections • Candidate signs and dates verifying they have read and initialed the form.

32. I-9 – Employment Eligibility Verification • Work Location verifies eligibility for employment at the time the candidate signs the conditional offer of employment. • Section 1 of I-9 completed by EE • Section 2 Completed by the Work Location • DPS participates in USCIS Electronic Verification or E-Verify • Divisions will need to identify who is to have access • HR will request one list per Division before 3/1 • Designated staff will be required to complete online tutorials

33. Essential Job Functions VerificationForm HR 005 • Candidate completes At Conditional Offer of Employment Section • Checks appropriate box • with reasonable accommodation or • without accommodation • Candidate signs and dates • Essential Job Functions and Essential Training Functions (if applicable) reviewed and signed at the interview remains attached to EJFV form. • Should applicant require an accommodation, work unit location should be prepared to provide DPS-RRA Request for Reasonable Accommodation Form. • Work Unit Location should contact HR Employee Relations Section ADA Coordinator for Consultation after applicant completes the form.

34. Mandatory Forms • State Forms • Direct Deposit Notification & Enrollment • W-4 • NC-4 • DPS Forms • Beacon Data • Prior Service • Degree Verification • Personnel Action Requests

35. Prior Service FormForm HR 015 • Applicant checks the appropriate box at the top: • No prior service • All prior service on application • Prior service not on application • If applicant has not listed all prior service on application, they need to complete the bottom section of the form

36. Degree Verification RequestForm HR 016 • Official transcript • Accepted • Must document the degree along with classes • Degree Verification Request Form • Used when no transcript provided • Mailed to the appropriate location for degree verification

37. Personnel Action Request (PAR)Form HR 017 • Section 1 • Completed by the work location and placed on top of the final package submitted to HR, REO or ES • Effective dates always on Monday (start dates) • Signature Requirements Determined by Division for submission during Hiring Process • HR has already obtained Division Approval during the Pre-Approval Process therefore the HR Office will accept one signature on the PAR during the hiring process

38. Recruitment History File • Request to Post Form • Benchmarked Interview Questions • Essential Job Functions • Neo-Gov selection Log • Vacancy Announcement • Applicants of candidates in most qualified group • Interview Summary Form (HR006) • Interview Rating Forms for all applicants interviewed • Essential Job Function Verification Forms for all Applicants interviewed • Criminal Background Check forms in sealed envelopes for all applicants interviewed. • Any Professional Reference Check forms completed for selected or non-selected candidates interviewed.

39. Hiring/Employment File • Personnel Action Request Form (PAR) • Request for Pre-Approval of Selected Candidate Form (HR 009) • Application of Selected Candidate • Education & Experience Credit Worksheet or Competency Assessment (if recommending a salary) (HR 011) • Equity Spreadsheet (if recommending a salary) • Conditional Offer of Employment Letter • Employment Statements Form • I-9 Employment Verification Form and documents • Mandatory Direct Deposit Notification • Direct Deposit Enrollment Change Form • NC-4 & W-4 • Beacon Data form • Prior Service Form • Degree Verification Form

40. Medical Package Required for Employment Physical Drug Test Results Psychological Screening Submitted to HR for determination of eligibility for hire Returned to work location for filing as an employee medical file after the employee begins work. Maintained separate from personnel documents

41. Final Approval & Effective Date • HR will review the Conditional Offer package, finalize the Personnel Action Request (PAR) & request an Effective Date from the Work Location • All Effective Dates are on Mondays • Once the Work Location gives HR an Effective Date, HR will send the candidate a Final Letter of Offer and copy the Work Location

42. Phase IV: Employee Start and Set-Up • Confirm Employee arrival • BEACON/SAP action completed • Hiring package/forms filed Employee Starts Recruitment Close-out HR Follow-up • Letters to other candidates • Close-out NEOGOV posting • Appointment Changes • Degree verification

43. Phase IV – Employee Starts • Work location notifies Human Resources that new hire arrived to work • HR works BEACON action • I-9 Form • BEACON Data Form • Direct Deposit Notification • Various necessary information • HR starts personnel file

44. Recruitment Close-out • Employment Specialist closes out the NE0-GOV Exam Plan • Employment Specialist sends letters to non-selected candidates • Employment Specialist files recruitment paperwork

45. Follow - Up • Probationary/Trainee appointment changes • Degree verification required within 90 days

46. Summary Wrap-Up • Resources • Policy Cites • DPS Hiring Process - Flow • DPS Hiring Process – Summary • Human Resources Directory • Review Issues • Parking Lot