1. 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)
Dr Matthew Stafford
Dean of Faculty
Federal Executive Institute

2. 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

3. 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

4. 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

5. Executive Core Qualifications (ECQs)
1997: OPM assessed attributes of public and private-sector leaders, creating five ECQs
: ECQs became the baseline for selection to Senior Executive Service
2012: ECQs became the baseline for SES assessment

6. 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

7. 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

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

9. 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

10. 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

11. 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

12. 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:

13. 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.

14. 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.

15. 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

16. 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

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