Implementation Tool Kit
Implementation Tool Kit
Implementation Tool Kit
Competency based
Human Resource Management
Implementation Tool-kit
Competency based
Human Resource Management
Implementation Tool-kit
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ALOK KUMAR
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Joint Secretary
Tel. : 26106314
Government of India
Ministry of Personnel, Public Grievances & Pensions
Department of Personnel & Training
Training Division
Block-IV, Old JNU Campus
New Mehrauli Road,
New Delhi - 110067
Message
The Competency Dictionary for Civil Services was released earlier
by the Department of Personnel & Training (DoPT). It contains 25
competencies which have been categorized under four broad areas
namely Ethos, Ethics, Equity and Efficiency. Each competency has a
definition and its proficiency levels. Further, each proficiency level has
behavioural indicators which are objective, observable and measurable.
This dictionary needs to be customized at the organisational level as a
first step towards using Competencies in Human Resource Management
as mentioned in the 2nd Administrative Reforms Commission (2008).
To enable the Ministries/Department/State Governments to
customize the Competency Dictionary, DoPT has developed an
Implementation Tool-Kit in collaboration with United Nations
Development Programme (UNDP). This tool-kit contains step-by-step
guide on the implementation in an organisation. The document has
illustrations, case-studies, self-evaluation exercises etc. to help
understand this subject and customize the dictionary for use in the
organisation.
(Alok Kumar)
Contents
1. Introduction | 7
1.1 In Summary | 7
1.2 About the Project | 7
1.3 About this Document | 7
1.4 What are Competencies and why are they Important? | 7
1.4.1 Above The Waterline Knowledge and Skill | 8
1.4.2 Below The Waterline Personal Characteristics | 8
1.5 What is a Competency Dictionary? | 9
1.6 Practice | 10
1.7 Do you want to know more | 11
5. Application of Competencies
to Human Resource Management
Practices | 31
5.1 In Summary | 31
5.2 Using competencies | 31
5.3 Using Competencies in Recruitment and Selection | 31
5.4 Using Competencies in Performance Management | 32
5.5 Using Competencies in Training | 33
5.6 Competency Assessment | 34
5.7 Practice | 36
5.8 Do you want to know more | 38
Appendix | 39
Appendix 1: Civil Services Competency Dictionary | 39
Appendix 2: Facilitator Guide for Conducting Focus Group
Discussions | 39
Appendix 3: Application of Assessment Tools | 41
List of Figures
Figure 1: Iceberg Model of Competencies | 7
Figure 2: Competency Definition, Levels and Indicators | 9
Figure 3: Pillars of Good Governance and Citizen Centric Administration | 12
Figure 4: Competency Dictionary for the Indian Civil Service | 13
Figure 5: Recommended Process for Adapting the Competency Dictionary | 17
Figure 6: Sample Competency Assignment Matrix | 21
Figure 7: Sample output of mapping competencies to roles within an organisation | 22
Figure 8: Sample Action Plan | 29
Figure 9: Application of Competencies to Human Resource Management Practices | 31
Figure 10: Application of Competencies to Recruitment and Selection | 32
Figure 11: Application of Competencies to Performance Management | 33
Figure 12: Application of Competencies to Training | 34
Figure 13: Measuring the risks associated with designing a Competency Assessment Plan for various HR processes | 35
List of Tables
Table 1: Definitions of Competencies under Ethos | 13
Table 2: Definitions of Competencies under Ethics | 14
Table 3: Definitions of Competencies under Equity | 14
Table 4: Definitions of Competencies under Efficiency | 15
Table 5: Conducting Focus Group Discussions | 19
Table 6: Establishing a Team to Develop Competencies | 28
Table 7: Validity of Competency Assessment Tools | 35
1. Introduction
1.1. In Summary
This document will help to understand the process and
methodology for adapting the Civil Services Competency
Dictionary at your organisation.
Figure 1:
Iceberg Model of Competencies
Skill
Knowledge
Social Role
Self Image
Traits
Motives
Definition of the
Competency
Behavioural
indicators of
the Proficiency
Level
Proficiency
Level within the
Competency
Emotional Maturity
Emotional Maturity is the ability to maintain a sense of professionalism and emotional
restraint when provoked, when faced with hostility from others, or when working under
conditions of increased stress. It also includes the ability to work effectively under
stressful situations, remain resilient and maintain stamina over the long term.
Level 1:
Restrains
Emotional
Impulses
Level 2:
Responds
Calmly
Level 3:
Manages
Stress
Effectively
Level 4:
In stressful situations controls own emotions and calms others as
Calms Others
well.
During
Demonstrates maturity and self control to engage effectively when
Periods of
challenged or while driving an outcome through.
High Stress
Remains non-defensive, composed and optimistic to seek a
or Adversity
positive resolution to a highly challenging situation by managing
self and others.
Level 5:
Able to maintain focus and keep up the stamina for self and others
Maintains
in face of extremely contentious situations, or during repeated
Effectiveness
exposure to difficult demands.
Despite
Applies specific techniques such as planning ahead to manage and
Prolonged
minimise stress in self and others; coaches and mentors others to
Stressors
do the same.
1.6. Practice
An exercise to identify the training needs of your team
Instructions:
PART 1
Assume your team to be a single unit for this exercise.
Identify 5 competencies from the Competency Dictionary that would make the maximum impact on the results
your team could achieve.
You have 100 points to distribute among each of these 5 competencies. Allocate most points to the one you
consider most important and least points to the least important among the 5 chosen ones.
PART 2
Where does your team stand on each one of them?
Rate the current performance of the team on each of the 5 competencies.
What will be the impact if these Competencies were as per your expectations?
Competency
A
Importance (points
assigned out of 100) B
Your Assessment
(Points scored out of B)
1
2
3
4
5
TOTAL (Max Points)
100
Did you notice that the competencies were a mixture of knowledge, skills, attitudes, motives, traits? Did you
also notice that with the right kind of competencies, there can be a large improvement in performance of the
entire unit?
10
11
2.
Introduction to the Civil Service Competency Dictionary
2.1. In Summary
By the end of this section, you would be familiar with the contents of the Civil Services Competency Dictionary
(provided as Annexure 1).
The 25 Competencies in Civil Services Competency Dictionary have been categorised in four pillars namely Ethos,
Ethics, Equity, and Efficiency.
Figure 3:
Pillars of Good Governance and Citizen Centric Administration
12
Ethos
Ethics
Equity
Efficiency
Exhibits citizen
centricity
and
inclusiveness,
promotes
public
good and
long-term
interests of the
Nation
Demonstrates
integrity,
transparency,
openness and
fairness
Treats all
citizens alike,
ensures justice
to all, with
empathy
for the weaker
section
Promotes
operational
excellence and
value for
money,
manages
human capital
and nurtures
capability
Figure 4:
Competency Dictionary for the Indian Civil Service
Ethos
Ethics
Equity
Efficiency
People First
Strategic Thinking
Organisational
Awareness
Commitment to the
Organisation
Leading Others
Integrity
Self Confidence
Attention to Detail
Taking Accountability
Consultation and
Consensus Building
Decision Making
Empathy
Delegation
Results Orientation
Conceptual Thinking
Initiative and Drive
Seeking Information
Planning and
Coordination
Desire for Knowledge
Innovative Thinking
Problem Solving
Developing Others
Self-Awareness and
Self-Control
Communication Skills
Team-Working
Definition
Passion for serving people with special care for the marginalised and disadvantaged.
Being approachable, welcoming, caring and rising above bias while interacting with
people. Understands the needs of the people and constantly strives to improve the
services.
Ability to understand dynamic internal and external environment and its impact.
Responds to the opportunities and challenges for the betterment of society.
1.3) Organisational
Awareness
1.4) Commitment to
the Organisation
Aligns behaviours and interest with the needs and goals of the organisations.
13
Definition
2.1) Integrity
2.2) Self-confidence
Belief in own capability to accomplish a task and being able to express confidence in
dealing with challenging circumstances without being arrogant or boastful.
2.3) Attention to
Detail
Having an underlying drive to being thorough and meticulous and to comply with
procedures, rules, guidelines, and standards. Digs deeper and strives to reduce
uncertainties and errors.
2.4) Takes
Accountability
Definition
3.1) Consultation
and Consensus
Building
Ability to identify the stakeholders and influencers, seek their views and concerns
through formal and informal channels. Build consensus through dialogue, persuasion,
reconciliation of diverse views/interests and trusting relationships.
Makes timely decisions that takes into account relevant facts, tasks, goals, constraints,
risk and conflicting points of view.
3.3) Empathy
Empathy is about being able to accurately hear out and understand the thoughts,
feelings and concerns of others, even when these are not made explicit
3.4) Delegation
Delegates responsibility with the appropriate level of autonomy so that others are free
to innovate and take the lead.
14
Definition
4.1) Result
Orientation
High drive for achieving targets and competing against a standard of excellence.
4.2) Conceptual
Thinking
Contributing more than what is expected in the job. Refusing to give up when faced
with challenges and finding or creating new opportunities.
4.4) Seeking
Information
An underlying curiosity to know more about things, people, or issue. This includes
digging for exact information and keeping up-to-date with relevant knowledge.
Ability to plan, organise and monitor work with effective utilisation of resources such as
time, money, and people.
Keeps up-to-date with relevant knowledge and technology, share latest developments
with others, and advocates the application of acquired knowledge.
4.7) Innovative
Thinking
4.9) Developing
Others
4.10) Self-Awareness
and Self-Control
Identifies ones own emotional triggers and controls ones emotional responses.
Maintains sense of professionalism and emotional restraint when provoked, faced with
hostility or working under increased stress. It includes resilience and stamina despite
prolonged adversities.
4.11) Communication
Skills
4.12) Team-Working
Working together as a unit for common goal, building teams through mutual trust,
respect and cooperation.
15
2.6. Practice
1. What is the definition of the competency People First in the Civil Services Competency Dictionary?
2. Under which Competency will you find the following proficiency level:
3. Under which Competencies will you find the following Behavioural Indicators:
16
3.
Adapting the Competency Dictionary
3.1. In Summary
By the end of this section, you will be able to identify the relevant competencies required for your organisation from
the Competency Dictionary and identify the competencies needed for each of the roles.
Figure 5:
Recommended Process for Adapting the Competency Dictionary
Outcome
17
Involved
Stakeholders
Stage
Understanding Roles
and Jobs
Assigning Competency
Levels
Development of Job
Descriptions for unique
positions
Expert Group
Develop competency
assignment matrix with
competencies as well
as levels of proficiency
mapped to each role within
the organisation
Senior Management
Working Group
Mapping of competencies/
level of proficiency to jobs
Note:
Keep these documents
handy:
1. Annual Report
2. Strategy, Vision
Document
3. Organisation Structure
4. Channel for Documents
Submissions
5. Induction Manual
6. Work Allocation Orders
The interview is best conducted by the leader of the project along with a person who is
well versed in the art of investigative interviewing techniques.
The focus of visionary interview is to understand the strategic plan, vision, mission and
values of the organisation. An understanding of the strategic drivers is also critical. It is
also important to elicit the assumptions made on peoples capabilities that are inherent
(and sometimes explicitly mentioned) in the plan.
Visionary interviews also help to identify new initiatives underway, specific instances
of how superior performers handle specific job tasks or problems, and effective and
ineffective job behaviours, thoughts, and feelings.
From visionary interviews, you should be able to identify the broad behavioural
expectations from the employees. These may not be exhaustive, but will help in
identifying the critical behaviours expected by the organisations leadership.
3.3.2 Conduct Focus Group Discussions
The objective of facilitating Focus Group Discussions with relevant stakeholders is
to obtain information on current and future organisational requirements, behaviours
required to succeed within the organisation, validate findings and draft competency
framework.
Focus Group Discussions can help to identify, review and discuss the current
challenges and those anticipated in the future. They can also help identify applicable
competencies required for effective job performance. In addition, Focus Group
Discussions can help identify examples of the different types of behaviours that
would be exhibited by individuals at different levels of a competency. Therefore, the
information gathered through Focus Groups can also be used as a valuable input when
developing proficiency levels of each competency.
Focus Group Discussions, therefore, help to identify competencies and behaviours
that are linked to organisation objectives and strategy.
18
Table 5:
Conducting Focus Group Discussions
A Brief Guide to Conducting a Focus Group
Welcome/
Introductions
Set up the context for the roles to be discussed in the focus group
Set the roles the participants are in. Clarify the perspective they bring to the meeting.
Let participants introduce themselves: current or past role(s), number of years with
organisation, etc.
Agenda
Ground Rules
Overview of Why,
What and How
WHY: Broad departmental objectives which links into the overall purpose of the role
Why does it exist? What value does it bring?
WHAT: What, at the end of the day, does the role need to accomplish and how
do we know if the role is doing what it is supposed to? Accountabilities delineate
what we hold people accountable to do in a given role, thinking about not only key
activities or actions carried out, but also measures and expectations. This is a key
foundation piece.
HOW: This is a key piece of the puzzle. The Why and What is only part of the
picture; its also about How. For e.g. there could be a person who gets the results
but with whom nobody wants to work.
19
To participate
To be on time
To respect each other
To share your thoughts and opinions
To have fun
To arrive at an agreement/consensus at the end of the meeting
Add any others that may be helpful to the participants
Behaviours
Gathering the behavioural examples from the participants is the most important
element to a successful focus group
This section of the focus group allows you to gather the behavioural data directly
from the incumbents. Emphasise the importance of keeping real individuals in
mind within the clients organisation. This will ensure that the data gathered is not
an unrealistic composite of superior performance, but instead reflects what actual
superior looks like inside their organisation. For example, the panel may identify
Uses Influence Strategies as a competency or behaviour, but not the how, when,
or what an effective influence strategy looks like in this particular organisation. Strive
to gather the richness of detail to make the behaviours identified come alive in
sufficient detail to be useful for developing the model and future applications.
Ask for examples:
Take key accountabilities for the outstanding performer, and ask the group to
generate the behaviours that they have observed.
Continue generating the first behaviour from all participants, asking probing
questions to get at high-level, detailed examples of behaviours observed in
outstanding performers within their organisation.
Repeat this process for a typical performer in order to gain insight on the gap
between typical and outstanding.
Obtaining thorough and detailed data on the behaviours of outstanding
performers is essential to running an effective focus group. This is the basis for
developing the competency model.
Please Note:
There is a practice exercise (3.5) at the end of this chapter. A very useful way to practice is to read the exercise
in its entirety now, but attempt to answer the questions step wise following the sequence of the steps listed in
this Chapter.
If more than one colleague is interested in the process, you may involve him/her and compare notes of your
findings. Discuss how and why you chose certain competencies and take note of the reasons behind the other
persons findings.
20
Since the Ministries/Departments have a wide range of existing documents that clearly detail the work allocation of
role holders, specific interviews need not be conducted in order to develop Job Descriptions for each role. Existing
documents such as induction material, internal delegation of authority and channel of submission documents, may
be used as an input to obtain the necessary information required in a Job Description. Some of the key ingredients
of a Job Description include basic information on the role, organisation chart, job purpose, dimensions, principal
accountabilities, key decisions, key interactions and the knowledge, skills and experience required for a job.
21
Strategic
Operational
Levels of Work
Operations
Enterprise
Leadership
Definition: Thinking about the organisations overall policies and strategies. Goals
are very broadly defined. Often confronting the unknown.
Strategy
Formation
Definition: Thinking required to set the broad strategy for an organisation that
is integral to the core purpose of the total enterprise. Necessarily long-term,
considering and integrating the discontinuous change in terms of products,
markets, and technologies. In functional roles the contribution will include both
setting enterprise wide functional policies and developing corporate objectives and
strategies.
Strategic
Alignment
Strategic
Implementation
Technical
Implementation
Instruction
Based
Definition: Instruction based role where thinking activity is limited to carrying out
instructed activities.
Figure 7:
Sample output of mapping competencies to roles within an organisation
Proximity to Organisation Results
Level of Work
Role 3
22
Accountabilities
Competencies: Strategic
Thinking
Level of Proficiency: 4
Role 2
mp
Sa
Role 1
t
tpu
uAccountabilities
o
e Competencies: Decision
Making
Level of Proficiency: 3
Accountabilities
Competencies: Results
Orientation
Level of Proficiency: 1
3.6. Practice
Practice Exercise: Mapping Competencies
From the information provided below and the Civil Service Competency Dictionary identify the competencies
and the levels of proficiency for each role.
Suggested steps
Identify relevant competencies from the Competency Dictionary (between 5-8)
Study Job Descriptions and identify competencies for each role
Identify Levels of Proficiency required for each role
After identification of the competencies and levels of proficiency, please provide the following
information
Criteria for identifying relevant competencies
Criteria for the identification of competencies and proficiency levels for each job
Criteria used for differentiating competencies and proficiency levels between jobs
(Please note that the material used in this case has been adapted and may not bear any resemblance
to reality)
Mission
The Kendriya Vidyalayas have a four-fold mission, viz.,
1. To cater to the educational needs of children of transferable Central Government including Defence and
Para-military personnel by providing a common programme of education;
2. To pursue excellence and set the pace in the field of school education;
3. To initiate and promote experimentation and innovations in education in collaboration with other bodies
like the Central Board of Secondary Education (CBSE) and the National Council of Educational Research
and Training (NCERT) etc. and;
4. To develop the spirit of national integration and create a sense of Indianness among children.
Salient Features
Common text-books and bilingual medium of instructions for all Kendriya Vidyalayas.
All Kendriya Vidyalayas affiliated to Central Board of Secondary Education.
All Kendriya Vidyalayas are co-educational, composite schools.
Sanskrit is taught from class V to IX.
The quality of teaching is kept reasonably high by an appropriate teacher-pupil ratio, approximately 18:1.
No tuition fee for boys upto Class VIII, girls upto Class XII and SC/ST students and children of KVS employees.
23
Organisation Structure
Governing
Board
Principal
Head IT
Head of
Finance And
Accounts
Head of
Administration
Vice Principal
Junior School
Junior School
Administration
Vice Principal
Senior School
Heads of
Departments
Security
Subject
Teachers
Accounts
Trainee
Teachers
Lab
Technicians
24
4. Areas of Responsibility: In addition to the primary function, the principal is responsible for:
-
-
-
-
-
-
-
-
-
-
-
-
-
Developing/administering the general school routine, coordinating all activities within the school.
Participating in the selection of new teaching and classified personnel as per approved policies.
Observing, counselling, and motivating staff toward performances to attain educational goals.
Utilising all available school facilities, materials, and staff service personnel.
Encouraging/initiating continued improvement in curriculum/teaching methods in conjunction with
faculty.
Identifying intellectual, physical, social and emotional needs affecting students success in school,
and taking steps to direct and coordinate the efforts of teachers and parents with staff services and
special education personnel.
Planning and submitting annual budget needs for the building to the Director.
Maintaining effective communication to keep the staff, students, and parents properly informed.
Orienting new personnel assigned to the school.
Having school records available and up to date for ready reference and reporting.
Planning and conducting faculty meetings as necessary.
Interpreting/clarifying relationships between teachers and specialised personnel in accordance with
District Policy.
Affecting/recommending changes which lead to improved administration and opportunity for student
development.
Actively participating and encouraging staff participation in parent-teacher and other community
groups, as a means of developing understanding, cooperation, and respect for school objectives and
endeavours.
Review, authorise, or disapprove staff requests for instructional materials and equipment within
approved budget.
Authorising all requests for special pupil transportation needs of the professional staff.
Attending professional conferences, seminars, and workshops in education and/or educational
administration.
B. Lab Assistant
1. Teacher Support:
-
-
-
-
-
-
-
-
-
-
Liaise with science teaching staff on their needs for practical work and;
Maintain an efficient system for use and allocation of materials and equipment, setting a priority
system.
Advise science teaching staff on technical components of curriculum.
Assist science teaching staff with demonstrations.
Assist science teaching staff in instructing students on use/care of equipment.
Advise and assist science teaching staff in safety matters relating to the science laboratory.
Demonstrate laboratory techniques to science teaching staff/students.
Assist with the use of computers and learning technologies within the department.
Set out equipment and materials for classroom/department use.
Clear classroom demonstrations.
25
-
-
-
-
-
-
-
Keep a record of the consumables used regularly and maintain adequate supplies of them (including
chemicals).
Acquire relevant catalogues and price lists.
Assist with labelling, storage, stocktaking and ordering of equipment and chemicals.
Keep appropriate records of purchases, confirming safe arrival of all products.
3. Budget
- Assist with the science budget and petty cash system.
- Assist with record keeping.
- Evaluate and select equipment, and make recommendations for purchase to Science Coordinator.
4.
Developing an Action Plan for Implementing Competencies
4.1. In Summary
This section will help you to understand the project team requirements and roles to develop a Competency Dictionary
for your organisation
Shared interest: Begin by discussing the intent of competencies and developing a shared understanding of the
principles motivating adoption of the competencies.
Mutual support: The process of change is challenging. Establish clear objectives and break the process into
manageable steps. Celebrate your success along the way.
Collaboration: Team members will need to support each other and collaborate to achieve the objectives. It is
critical to use each others strengths and help each other in the implementation while working on the day job as
well.
Communication: Information sharing and communication within the team and across the Organisation is key
to success.
The detailed work plan should clearly specify the tasks, responsibilities, and milestones, and target dates for their
accomplishment. It should also include resource requirements to facilitate Focus Group Discussions, conduct
Visionary Interviews, develop and validate the customised Competency Model and monitor the project on an ongoing
basis.
27
Table 6:
Establishing a Team to Develop Competencies
Role
Description
Project
Champion
Change
Advocate
Change Agents
Subject Matter
Expert
The role of the Project Champion is to support the development of Competencies in the
Organisation.
It is the responsibility of the Project Champion to identify resources and funds that are
available to support the development of the competency model.
Ideally, the Project Champion should be the Head of the Organisation.
The Change Advocate is responsible for implementing competencies.
The key responsibilities of the Change Advocate are:
Establish a team of Change Agents
Drive and lead the project management activities
Act as an expert who provides Organisational information/data required to contextualise
and develop the Competency Model for the Organisation
Ensure that the milestones are completed in a timely manner
Establishing a fully functional team of Change Agents is essential as it will ensure that
representatives are prepared and confident to support the development of Competencies
Ideally, the Change Advocate should be a member of the Core Group
The Change Agents are a group of employees who will help to champion Competencies
throughout the Organisation.
The role of the Change Agents is to:
Determine the critical needs of the Organisation and what are the competencies that will
help employees achieve objectives.
Encourage individuals to challenge existing beliefs and arrive at innovative solutions
that will result in better outcomes for the Organisation.
Determine the process for implementation i.e. focus groups, interviews, surveys, etc.
To ensure deliverables are completed on time.
Communicate status updates and final outcomes to the stakeholders.
The role of the Subject Matter Expert is to:
Drive the competency model development process along with the Change Advocate.
Provide technical expertise, guidance, support, training and mentoring as the
Competencies are implemented in the Organisation.
Note: It is the joint responsibility of the Change Advocate and Subject Matter Expert to ensure the development
of the Competency Model in the Organisation. The establishment of a true partnership between the Change
Advocate and Subject Matter expert is critical for the success of the project.
28
Creating a detailed project plan and ensuring adherence to set project timelines
Ensuring on-going communication between relevant stakeholders
Involving the employees for identifying the Competencies for your organisation
Providing information on the training schedules for each of the training programmes
Providing regular updates around the progress of the implementation in your organisation
Activity
Project
Planning
Job
descriptionupto Director
level
Job
descriptionbelow Director
level
Role
Competencies
Responsibility
Involvement of
Mode
Discussion
Understanding Roles
Incumbents up to Director
Level
Interviews
Workshop
Workshops participants
Division Head
Identification of Departmental
Competency Dictionary
Interview
Project Manager
Resources Required
29
Within Organisation
External Organisation
DoPT
30
5.
Application of Competencies to Human Resource
Management Practices
5.1. In Summary
This section will help you to understand the different uses of competencies and the various ways in which competencies
can be applied and integrated into existing Human Resource Management Practices.
Figure 9:
Application of Competencies to Human Resource Management Practices
How should
employees be
rewarded?
What should
performance
management
focus on?
Recruitment,
Selection,
Assessment
Job Design
Reward
Career and
Succession
Management
Competencies
Performance
Management
Training &
Development
How should
employees
be
assessed?
How should
qualified
candidates be
identified?
Various assessment methods can be used during the course of competency based recruitment or selection and
these vary widely in terms of predictive validity. Some interviewing methods include discussions, citing evidence,
competency-based interviewing, assessment centres and competency questionnaires.
5.3.1 How to implement competencies in recruitment and selection
Figure 10:
Application of Competencies to Recruitment and Selection
Phase 1:
Determine Job-Person
Requirements
Phase 2:
Recruit Candidates
Source Applications
Process Applications
Receive applications.
Review and screen applications.
Conduct background checks
(if legally required).
Short-list candidates.
Phase 3:
Select Candidates
Determine Job-Person
Requirements
Conduct assessment:
Competencies
Overall suitability and interest
Conduct reference checks
Source Applications
32
The Performance
Management
Process
Managing
Tracking, monitoring,
supporting and coaching
performance
Reviewing
Appraising performance
and providing feedback
33
Deliver
Organisational analysis
Deliver
training
Person analysis
Evaluate
Evaluate training:
Were objectives met?
Reaction
Learning
Behaviour
Results
Train trainers
Competency Assessment
process is subject to legal
scrutiny in many countries.
Such scrutiny may be
applicable to government
and non-government
organisations. It may be
pertinent to keep this in mind
while selecting assessment
tools even in India.
34
Rewards
Risk
Performance
Management
Promotions
Entry Level
Selection
Training Needs
Assessment
HRM Processes
Given below is the validity of some of the tools as measured by the British Psychological Society:
Table 7:
Validity of Competency Assessment Tools
Predictive Validity Findings of some of the methods of Assessments
35
Assessment Method
Predictive Validity
.65
Behavioural Interviews
.4 - .6
Work-sample Tests
.54
Ability Tests
.53
.39
Biographical data
.38
References
.23
Traditional Interviews
.05 - .19
5.7. Practice
Read the transcript below between the interviewer (INT) and a candidate (Chri Pipers).
INT: Do you like to be called Chris? (INT)
CP: Chris Pipers. (CP)
INT: And is this working? Why is this making noises? (Thumping noise in background)
CP: It sounds better now.
INT: Okay. Were doing a BEI.
CP: How about that!
INT: So, can you start and tell me a little bit about your career; how you started?
CP: I started with Elton in 1975 when I was a sophomore in college. I was an Engineering Co-op student, and
I had quite an unusual and positive experience. I was 19 to 20 years old, and I was a co-op student in a small
town in Ohio, I built a foundry; and I managed a construction project.
INT: Wow. That must have been good.
CP: So, that was very exciting with a significant amount of responsibility at a very young age, and that really
had a lot of influence on me, and as you can imagine 25 years later, I am still at Elton. So, I think thats one of
the positive aspects.
INT: So, youve been at Elton your whole career?
CP: Yes, I have. Right.
INT: Okay. So, after youre a co-op student, can you just like briefly take me through the kinds of jobs you had?
CP: Well, I continued to work for Elton in the summers, and I went straight to business school, and I graduated
from business school in 1979, and then I went to work for Skill Corporation as Manager of Advanced Planning.
Skill was a new acquisition, and I took over a planning role. It was a very large acquisition at that point, and I
went to work for a man named Jim Harniman, who was my mentor for probably the next seven years, and I did
strategic planning work in a turnaround mode at Skill, and within a seven year period like I said I did planning
work. The first two years were primarily working at Skill on that turnaround.
The second phase of this was Jim Harniman got promoted and became the first Tool Group Executive, so it was
the first grouping divisions at Elton, and became the Tool Group Planner. So, I extended the work and theories
that had applied at Skill to the other companies within the Tool Group, and then Jim Harniman eventually
became President of Elton, and I extended further within the corporation to where by 1986 I had pretty much
done planning work, and Id like to say 60 to 70 percent of Elton.
So, at that point I was 30 years old, and I wanted very much to get into a line position, and I became a Division
President.
So, from 86 to 1990, I was President of a company called Harris Calorific C-A-L-O-R-I-F-I-C, and it was about
a $30 million company when I started, and I ran that for four years and that was sold to Lincoln Electric at which
point I was not sold, and I came back to Corporate and worked first as Head of Corporate Planning, beginning
at really at the beginning 1990, and I expanded my responsibilities.
By 92 I was in charge of technology planning and also the whole acquisition area. So, I ran acquisitions for
Elton in addition to doing the planning, and worked for the CEO at that point. That job became a combination
36
of acquisitions and then the start of what we called the growth initiative, and so I evolved into doing a lot of
putting in place a lot the fundamentals to improve growth within Elton. In 1991 or 92, Elton had what was called
the Profit Initiative, and Jim Burgess became the first so called profit Czar. And so, by 1997 I evolved into being
Eltons first Growth Czar.
INT: Ah!
CP: So, at that point, I went back into a job where no one reported to me per se, but I had pretty far-reaching
latitude to go and initiate growth, and I had committees of people, and so I took on the Growth Czar. I --INT: How was that?
CP: Its a fascinating experience, and in your three or four hours with me youll never have time to go through
all of it. No, I learned I havent chosen yet what my positive experiences were, but probably as far as personal
growth is concerned, I probably learned more about that, about what it takes to succeed with these companies
than anything.
We worked with Gary Hammill, who wrote the book, Competing for the Future, and was doing a lot
of work on innovation, and he became a close collaborator of mine on how you create an innovative
environment in a company. And perhaps the unfortunate part of this story is that after doing that for a year,
I pushed to get back into a line position. And a business leader position became available, and to (Chuck
Knights) credit he let me to do that, so I went back and I became a business leader with eight divisions
reporting to me. And so, I went back into a line role, running the industrial components and equipment
business, which is a collection of eight very successful businesses, and I went into a role of managing
these eight divisions Presidents.
And I did that for a year and a half, and six weeks ago I was asked to do the growth job again in addition to
my business leader duties. So, now I am the Growth Czar of Industrial Components and Equipment Business
Leader. And as the Growth Czar, I have the Chief Marketing Officer and the Chief Information Officer, and the
person who is in charge of service reporting to me.
INT: In charge of service. So these are your direct reports?
CP: I have Division Presidents.
INT: Your Division Presidents?
CP: Right.
INT: And your Chief Marketing Officer, your Chief Information Officer?
CP: And the Vice President of the Service Initiative.
INT: Okay. This is going to be the next question (inaudible word).
CP: Excuse me?
INT: This is going to be my next question anyhow: Who are your direct reports?
CP: Oh, okay. Well, I am down to now, I think, I only have spun off one division went to another group, and
we are selling one division. So, hopefully in another month Ill be down to six Division Presidents reporting to
me. Okay?
List the competencies of Chris Pipers that you are able to identify.
Make a note of why you thought these competencies are important.
37
38
Appendix
APPENDIX 1
Civil Services Competency Dictionary: Please refer to attached document
APPENDIX 2
Facilitator Guide for Conducting Focus Group Discussions
Introduction
A focus group is a specific group of individuals gathered together to provide input through a facilitated discussion
around a particular role for the purpose of understanding it as fully as possible, and thus creating a behaviourbased competency model.
A focus group is formally structured. It requires a minimum of 4 hours to complete all the necessary data gathering,
discussion, and the steps of the process.
Participants: An important step in conducting a focus group is to choose the most appropriate participants,
including a minimum of six and no more than 15 people. A focus group includes knowledgeable people and
stakeholders in project outcomes. Choose your participants according to the type of information you are seeking.
The important thing is to consider the output you want and participants best suited to provide it. Its important to
have participants that know the job well. Participants could include:
Jobholders It is best to have as many outstanding as possible because they are the people who will give
a lot of data
Managers (of the jobholders)
Direct reports of jobholders
Other knowledgeable people (e.g., HR or Organisational Development)
Determiners of strategic direction for the role holders
Role holders and their managers have internal knowledge of what is required for outstanding job performance.
Recipients of a role holders actions (direct report, clients) provide insight into what performance outcomes
should be from the clients perspective rather than from inside the organisation. The strategic determiners
(usually executives) may be less aware of daily activities but may dictate a change in strategic direction that will
have a profound impact on the nature of a given position.
A focus group should ideally comprise a credible (representative or acceptable) sample and participants who are
supportive of or open to project goals
The purpose of a focus group is to collect information and gain effective participation from its members. Exclude
individuals who will make achievement of these goals difficult. If some people are known to interfere with such
meetings, do not include them in the focus group. If there are rival groups who would rather argue with each
other than work together, do not include members from both groups in the same panel. An effective panel should
contain participants who will provide good data in the short term and support the project in the long term.
39
The structure that we have designed for conducting focus group is below. It seeks to gain data on Key
Accountabilities and Behaviours, for Outstanding and for Typical and, if needed, for the future of the role.
Key Accountabilities: The few (3-5) most important outcomes, or contributions that are produced by the job.
Behaviours: The specific behaviours shown by job incumbents (the how as well as the what is done in the
job), similar to the behavioural evidence collected in a BEI.
It is also important to determine if you should consider the future of the role: Is it going to change dramatically
in the future? How so? Why? Or is the role evolving to include elements not reflective of its current status?
In order to analyse data for evidence of competencies we must use probes to gather evidence of a competency.
Behaviours reported must be specific and completed actions involving the participants. The following guidelines must
be kept in mind when collecting evidence of behaviours:
Some of the probing questions that can be applied to probe for specific behaviours are as follows:
40
APPENDIX 3
Application of Assessment Tools
Following is a list of competency assessment tools along with their application. This list is indicative only. Once the
Competencies for the jobs have been identified, these tools could be used for assessing the competencies of the
job-holders and identifying the gaps. (Please refer to Section 5.6 for more details)
Table 1:
Application of Assessment Tools to Personal Development, Team Effectiveness,
Coaching and Leadership Development
S.
No.
Surveys/Tools
*
*
10
11
Personal
Development
Team
Effectiveness
Coaching
Leaderships
Development
*
*
*
*
*
12
13
14
15
16
17
18
19
EI Workbook
20
EI Card Deck
21
22
23
24
25
26
27
28
Resilience Workbook
29
41
Table 2:
Application of Assessment Tools to Organisational Improvement, Career Development, Influence,
Conflict Management and Selection
S.
No.
Surveys/Tools
Organisational
Improvement
10
11
12
Career
Development
Influence
Conflict
Management
*
*
*
*
*
*
13
14
15
16
17
18
19
EI Workbook
20
EI Card Deck
21
22
23
24
25
26
27
28
Resilience Workbook
29
42
Selection
*
*
43
DoPT Vision
"To create an enabling environment for the
development and management of human resources of the
Government for efficient, effective, accountable,
responsive and transparent governance."
Training Division
Department of Personnel & Training
Old JNU Campus
New Delhi-110067 India
Website: http://persmin.gov.in/otraining/Index.aspx