The Design and Application of Competencies in the United States Civil

Service System

VII Astana Economic ForumGlobal Conference “Civil Service Personnel Management:

Current Issues and Prospects”

Dr Matthew StaffordDean of Faculty

Federal Executive Institute

Competencies in US Civil Service

• Definition• The US Road to Competency-Based

Human-Resource Manage• Selection• Development• Assessment

• The “Competency Debate”• Leveraging a Competency-Based Management

System to Effect Transformational Leadership

Competencies Defined

A competency is a measurable pattern of knowledge, skills, abilities, behaviors, and other characteristics that an individual needs to perform work roles or occupational functions successfully.•Key components of this definition:

• Measurable• Includes knowledge, skills, abilities, behaviors

and more• Specifically related to work to be performed

US Road to Competency-Based Human-Resource Management

• 1991: Office of Personnel Management (OPM):• Initiated interagency discussion

• Competencies nominated, reviewed, coordinated, selected• Spirited debate: specific competencies generally applicable• Personnel Resources and Development Center validated

• 1992: OPM Published “Leadership Effectiveness Framework”• 22 Competencies• Subsequent validation work: benchmarking, research and

collaboration; both public and private sector

• 1997: Framework revised to address future needs• Extended far beyond knowledge and skills to include:

• Attitudes• Values• Behaviors• Mindset

Executive Core Qualifications (ECQs)

• 1997: OPM assessed attributes of public and private-sector leaders, creating five ECQs

• 1997-2008: ECQs became the baseline for selection to Senior Executive Service

• 2012: ECQs became the baseline for SES assessment

Executive Core Qualifications (ECQs) and Leadership Competencies

ECQs and the Leadership CompetenciesLeading Change

Leading People

Results Driven

Business Acumen

Building Coalitions

Creativity and Innovation

Conflict Management Accountability Financial

Management Partnering

External Awareness

Leveraging Diversity

Customer Service

Human Capital Management Political Savvy

Flexibility Developing Others Decisiveness Technology

ManagementInfluencing / Negotiating

Resilience Team Building Entrepreneurship

Strategic Thinking Problem Solving

Vision Technical Credibility

Fundamental CompetenciesInterpersonal Skills Oral Communication Integrity/HonestyContinual Learning Written Communication Public-Service

Selection

• “Best Qualified” for non-SES positions

• For SES selection, mastery of ECQs a precondition• Three methods

• ECQ Narrative – ten-page explanation• Accomplishment Record – documentation of success• Resume-Based Application – supporting competencies

explicated in traditional resume format• One 9-Step Process: The agency…1. Selects Method2. Advertises vacancy3. Accepts applications4. Reviews candidates5. Interviews candidates6. Has its Executive Resources Board recommend7. Has its Appointing Authority review and approve8. Submits candidates to OPM Review Board9. Hires certified candidate

Development

• Three parts• Training• Education• Experience

• Correlated to the…• Competencies for most civil servants• ECQs for SES members

Strategic Thinking - Formulates objectives and priorities, and implements plans consistent with the long-term interests of the organization in a global environment. Capitalizes on opportunities and manages risks.

Proficiency Level

Proficiency Level Definition Proficiency Level Illustrations

Level 5 - Expert • Applies the competency in exceptionally difficult situations

• Serves as a key resource and advises others

• Anticipates a demographic change in society and establishes a vision to effect change through formulation and implementation of objectives and priorities

• Designs approaches and procedures to develop a strategic plan supporting key national goals and objectives

Level 4 - Advanced

• Applies the competency in considerably difficult situations

• Generally requires little or no guidance

• Leads and directs a strategic planning team to address and outline the future direction of an organization

• Establishes strategic performance measures to allow the organization to continually assess and adjust program direction

Level 1 - Awareness

• Applies the competency in the simplest situations

• Requires close and extensive guidance

• Develops project teams and staffing plans based on consideration of strategic objectives

• Ensures team objectives are consistent with strategic plan

Training

• Agency-specific Training – primarily aimed at “skills” Job skill-specific training

o Schoolso On-the-job Training

General trainingo Schoolso Online

• OPM: “Trainer for the US Government” – primarily focused beyond skills In-house: The Center for Leadership Development

o Eastern Management Development Centero Western Management Development Centero Federal Executive Institute

External Market – Vendor Management Branch

Education and Experience

• Education Most educational needs met through recruitment No equivalent to US military colleges; however…

o Cooperative programs with educational institutionso Center for Leadership Development (OPM)

– Federal Executive Institute– Eastern Management Development Center– Western Management Development Center

• Experience Senior Executive Service (SES) – Interagency (OPM

Provides policy oversight) Below SES – Within single agency

Assessment

• For non-SES employees, performance assessment based on negotiated performance standards

• For SES members, performance based on ECQsCritical Element 5. Results Driven (Minimum Weight 20%) Weight: _____

Agency Goals/Objectives for current FY: Must have at least 1 result (may have more than 5)

This critical element includes specific performance requirements expected of the executive during the appraisal period, focusing on measurable outcomes from the strategic plan or other measurable outputs and outcomes clearly aligned to organizational goals and objectives. At a minimum, the performance plan will include performance requirements(including measures, targets, timelines, or quality descriptors, as appropriate) describing the range of performance a tLevel 3 for each result specified. It is recommended to also establish the threshold measures/targets for Levels 5 and 2.

Alignment--cite relevant goals/objectives, page numbers, from the Strategic Plan, Congressional Budget Justification/Annual Performance Plan, or other organizational planning document in the designated section for each performance requirement specified.

Performance Requirement 1: Strategic Alignment:

The Competency Debate

“As we begin the 21st century, evidence abounds that executive & leadership development has failed to meet expectations. … The “competency model” of the executive, proposing as it does a single set of competencies that account for success, must be supplemented with a development model based on leadership challenges rather than executive traits & competencies. Executive performance must focus on ‘what gets done’ rather than on one way of doing it or on what competencies executives have.”

Competence, Not Competencies:Making Global Executive Development Work

George P. Hollenbeck & Morgan W. McCall, 2003

An Analogy

Leveraging a Management System to Effect Transformational Leadership

Transactional Behaviors(Traditional Management)

Transformational Behaviors(Leadership)

Monitoring and Controlling Discipline and Punishment Rewards and Incentives• Pay• Promotion• Required development

Selection for Special Developmental Opportunities

Inclusion in Creative, Innovative and Problem-Solving Activities

Mentoring and Coaching Better Communication

• External Awareness • Contact with Stakeholders• Inspiration; Visioning

Modifying Job Characteristics• Job Enlargement – Broader

Responsibilities • Job Rotation – New Tasks• Job Enrichment – More

Independence

Review:Competencies in US Civil Service

• Definition• The US Road to Competency-Based

Human-Resource Manage• Selection• Development• Assessment

• The “Competency Debate”• Leveraging a Competency-Based Management

System to Effect Transformational Leadership

Thank you

Dr Matthew StaffordDean of Faculty

Federal Executive Institute