The Design and Application of Competencies in the United States Civil Service System VII Astana Economic Forum Global Conference “Civil Service Personnel Management: Current Issues and Prospects” Prepared 15 May 2014 Matthew Stafford Dean of Faculty, Federal Executive Institute 1301 Emmet Street Charlottesville VA 22903 (434) 890-6240 matthew.stafford@opm.gov Dr Matthew Stafford Dean 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 Using 360 Feedback and Continuous Learning to Improve Executive Success Executive Core Qualifications (ECQs) and Leadership Competencies ECQs and the Leadership Competencies Leading 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 Management Influencing / Negotiating Resilience Team Building Entrepreneurship Strategic Thinking Problem Solving Vision Technical Credibility Fundamental Competencies Interpersonal Skills Oral Communication Integrity/Honesty Continual Learning Written Communication Public-Service Federal Executive Institute

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… Selects Method Advertises vacancy Accepts applications Reviews candidates Interviews candidates Has its Executive Resources Board recommend Has its Appointing Authority review and approve Submits candidates to OPM Review Board Hires certified candidate Process: Agency chooses selection method Agency advertises position (minimum of 14 days) Candidates submit applications Agency rating panel reviews and ranks candidates Agency panel conducts structured interviews Agency Executive Resources Board recommends best qualified candidates to the appointing authority Appointing authority makes a choice and certified candidates meet technical and executive qualifications Agency submits candidates application package to OPM-administered Qualifications Review Board (QRB) for certification of executive qualifications After certification, agency appoints SES candidate

Development Three parts Correlated to the… Training Education Experience Correlated to the… Competencies for most civil servants ECQs for SES members

Proficiency Level Definition Proficiency Level Illustrations 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 Schools On-the-job Training General training Online OPM: “Trainer for the US Government” – primarily focused beyond skills In-house: The Center for Leadership Development Eastern Management Development Center Western Management Development Center Federal Executive Institute External Market – Vendor Management Branch

Education and Experience Most educational needs met through recruitment No equivalent to US military colleges; however… Cooperative programs with educational institutions 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 ECQs Critical 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 The dominant model is an engineering or “piece-parts” model that assumes that the effective executive is the sum of a set of pieces or competencies. However, what gets done is more important than what one does, & what one does is more important than the what competencies or traits one has. The complexity of an executive job allows for a multitude of ways to do them, of talents used & even results to be obtained. Equifinality: At the executive-level, the same results (e.g. improving performance) can be achieved by different executives with may different competencies & in may different ways.

An Analogy If you think about competencies or skills as a brick, The use will determine the outcome The same brick can be used to build a cathedral or an outhouse. In the context of leadership, We can think about the brick as a symbol of skills or competencies– Its what you do with the competencies or skills not simply the fact that you have them that counts.

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

Dr Matthew Stafford Dean of Faculty Federal Executive Institute Thank you Dr Matthew Stafford Dean of Faculty Federal Executive Institute