INTEGRATING COMPETENCIES INTO MONTANA'S HUMAN RESOURCE PROGRAMS

 

CREATING COMPETENCY MODELS

 

INTRODUCTION

 

 

Competency models represent the most critical knowledge, skills and behaviors that drive successful performance with respect to a particular type of job or occupation.  They describe competencies in behavioral terms, using behavioral indicators, so employees can recognize the competencies when demonstrated.   The following competency, extracted from one pilot-project competency model shows a good example of basic format.

 

 

INTERPERSONAL UNDERSTANDING

 

Builds strong work relationships.  Adjusts to how individuals, organizational units and cultures function and react.   Senses how others feel.  Fosters rapport with co-workers and customers, without intending to persuade or influence.

 

·        Encourages open communication with staff or within teams.  Creates an environment where people are comfortable expressing what is important to them.

·        Relates to others in an open and accepting manner.

·        Creates an atmosphere of trust.

·        Recognizes and appreciates the skills and special areas of expertise possessed by employees.  Acknowledges and appreciates the contributions of others.

·        Fair, open-minded and unbiased about each employee.

 

Typical elements of a competency model include competency titles with definitions, behavioral statements describing the competency in action, and supporting knowledge competencies applicable to the job or occupation.  Competency models often contain some sort of overall graphic depiction of the relationships between competencies or show them clustered into related groups.  For example, a graphic can show Knowledge competencies have more or less importance than behavioral competencies, or Personal Effectiveness competencies are the most critical behavioral competencies.

 

"Commerce Managers' Competencies", Figure 1, draws a graphic representation of that pilot project’s competency model. Without explanatory text, the graphic shows that this agency wants to communicate to employees and customers the importance of Personal Effectiveness competencies to the managerial role. On the other hand, Influence competencies represent a smaller segment of the graphically displayed competencies. Managerial performance goals, competency-based pay systems, employee training and development plans or other human resource functions could easily duplicate this same value, or relationship. Not every competency model needs graphics. They are one way to help communicate organizational values or the relationships between different competency areas.  They also lead to easy, visual, cross-occupational comparisons within an agency or between several agencies, that may reflect resource allocation priorities.

 

Although a good example of a competency model graphic, the figure does not represent a complete competency model.  A model includes the critical competencies that drive success for an occupation or a specific job, definitions of each competency, and a list of behavioral indicators for each competency that describe how the competency is demonstrated in the workplace. The Data Collection and Data Analysis portions of this section discuss how to construct behavioral indicators as well as the other pieces of a complete model.

 

Once a competency model is completed, it provides the fundamental information for design of a good graphic representation of the general contents of the model.  For example, Addendum A, which is a complete competency model, formed the basis for Figure 1.   The graphic does not display all of the competencies, definitions or the more specific behavioral indicators.  It portrays general themes or relationships, and can communicate relationships or organizational values as a type of graphic message to employees or customers.

 

Research and the experience of other organizations show that building competency models enables organizations to:

 

·        Link selection, training and development, and compensation to business strategy and critical challenges facing the organization

·        Focus performance management on what is critical for success

·        Recruit and select more effectively

·        Drive organizational and cultural change

·        Understand what constitutes superior performance

·        Provide a framework for continuous improvement

·        Establish measurements that make a difference

 

Built through careful study of subject matter experts, top performers or others who know the competencies required for success in a particular occupation or job, competency models should reflect the context of the work and communicate the organization’s values. Competency models can target different functions or occupations within an organization.  They can describe core competencies that apply to everyone in the organization.  Competency modeling begins the process of building tools to link employee performance to the mission and goals of the agency.

 

 

 

 

BUILDING A COMPETENCY MODEL

 

Previous sections of this guide discuss agency readiness and orientation.  If agency readiness indicates a favorable environment exists to develop a competency system, and orientation of participants has occurred, building a competency model can begin.  Discussions should take place during orientation and readiness assessment between affected employees and management about the competency project, and the employees’ role in the business strategy for carrying out the agency mission. The participants need to understand what constitutes success and how they fit into the larger organizational context.

 

The following discussions include references to the statewide competency model. This competency model describes large competency categories and covers a much broader scope than models developed in pilot projects. The entire statewide model forms the following chapter of this guide to use in building individual competency models.

 

There are different types of competency models, including agency models, occupational models, and job or role models.  The following examples will help distinguish the different types and their varying levels of detail and scope:

 

Agency Competency Models

 

·        More specialized than the statewide model, but still broad-based

·        Related to an agency’s mission

·        Related to an agency’s strategic goals

·        Related to an area of service

 

Examples of agency competencies: customer service, efficiency, responsiveness, innovation

 

Agency level competency models typically include broad categories or groups of competencies and reflect a “higher level” view widely applicable to multiple work units, divisions or an entire organization.  For example, the Department of Administration recognizes the behavioral competencies listed above as important to success in all divisions of the department.

 

A pilot project underway in the Department of Labor demonstrates one approach to building an agency-level competency model.  In this pilot project, numerous job type and work unit models built over an 18-month period were compared and analyzed using a “pattern analysis” technique to arrive at recurring themes or patterns. (The "Data Analysis" section describes a similar process called theme analysis.) The recurring competencies form the basis of the agency competency model.  The competencies repeated throughout several of the job or work unit models become “core competencies” or “core agency values”. These reflect competencies valued or necessary in a variety of occupations throughout the organization, believed central to success in carrying out the agency mission and vision.

 

Occupational Competency Models

 

·        Relevant to specific types of work

·        Behaviors that contribute to success in the occupation

·        Include necessary knowledge and skills

 

Examples of occupational competencies: Commitment to the profession; Efficiency and focus; Writing effectively; Analytical thinking; Knowledge of hardware and software configurations; Knowledge of operating systems.

 

An occupational competency model covers a broad occupational area and includes multiple levels of work.  The Information Technology Pilot team has built an occupational model that spans several agencies and describes a variety of jobs and levels of work within the broad field of information technology. When an entire occupation shares common competencies or has similar market salary issues that are not individual to certain agencies this type of model can prove valuable. 

 

Typically, competencies in occupational models compare to the “sub-categories” in the Montana Statewide Competency Model.  Occupational models provide the foundation for identifying the critical knowledge competencies in that occupation.  Though more specific than agency wide competencies, these models have broad-based applicability to multiple work units and jobs.  Addendum A, the Commerce Managers' Competency Model, is an example of this type of model.

 

Job or Role Competency Models

 

·        Specific to a position or group of positions or roles

·        Related to work unit goals and objectives

·        Linked to agency’s vision and business strategy

 

Examples of job or position competencies: Good sense of self, takes positive steps to improve; Non-judgmental and tolerant; Maturity and emotional discipline; Cooperative; Listening skills; Knowledge of medical protocols, first aid, universal precautions, and an understanding of chemical dependency.

 

The most common type of competency model describes job or role competencies, often those specific to a certain type of job within a specific work unit. The pilot project at the Department of Revenue is building a job or role competency models for a number of positions. This type of model provides a good foundation for building performance appraisals or individual training and development plans because relatively specific behavioral and knowledge competencies tie directly to certain types of jobs or roles within a work unit or agency. Job models can also be built for individual or unique positions in an agency.  Addendum B, the Department of Revenue Appraisers Competency Model is an example of this type of model.

 

The process of building any type of competency model requires some up front planning so that the time and effort spent in modeling supports the competency system being designed. The following general steps describe the process:

 

·        Decide on the type and number of competency model or models needed

·        Plan the data collection method and approach

·        Analyze the competency data using statewide model

·        Design draft model

·        Management review of model

·        Revise, if necessary, and use it!

 

This process is described in greater detail with recommended best practices in the following sections of this guide. 

COMPETENCY SYSTEM WORK FLOW

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Figure 2: Work Planning for Developing a Competency System

 

DATA COLLECTION AND ANALYSIS

 

Data Collection

 

Collecting data to build a competency model requires initial planning and decision-making.  Designing a successful data collection effort depends on a sound project concept.  This involves answering some important questions:

 

·        How homogenous is the job or occupation or work unit? How many different levels or subgroups must be taken into account?

·        How many people will this competency model involve or affect?

·        Will modeling include multiple jobs or roles?

·        Who needs to participate in the data collection, model building and research? 

·        Who knows about this job and its future?

·        How much time can project leaders spend collecting data?

 

Considering these questions and the scope of a model building project will help to use available resources more efficiently.   Many people will contribute to success of the project through participation in the model building process. Previous sections of this guide discussed competency models as a document or final product. The term “competency modeling” refers primarily to the data collection and analysis processes that result in a competency model. Competency modeling is a process that organizations go through to build competency models.

 

The practice of competency modeling has changed since its origin and the initial work of David McClelland in the 1970’s.1 In addition to having a very specific job focus (typical of the earliest competency models), competency models today may have a more organization-wide focus and have changed from requiring limited involvement of specific employees to high levels of participation by large groups of employees within an entire organization.  These changes have spawned the development of a variety of data collection methodologies.

 

Methods of data collection include:

·        Armchair method

·        Generic competency dictionary

·        Customized dictionary

·        Expert panels/Focus groups

·        Building customized competency menus

·        Behavioral event interviews

 

Choosing a data collection methodology requires consideration and balancing of multiple issues, including time, cost, validity, how management will use the model(s), and the need for employee buy-in through participation and education.  The list above orders data collection methods from the most standardized, least rigorous, and easiest approach to the most research-based, rigorous, and generally time consuming methods.  the State Personnel Division has studied all of these approaches and concluded that both the customized competency menu approach and the use of expert panels or focus groups provide the best balance between rigor and efficiency.

 

The recommended best practice for the State’s competency project uses the development of customized competency menus as a method of data collection2. This approach, in its modified style, combines both research-based data needs with a high level of efficiency.  The process involves a group of employees representing a particular type of job or group of jobs that may include different levels of work. They work together in "menuing sessions" to identify and agree upon job context, job customers, job outputs and job competencies. The end product or result of this data collection method is a list or “menu” of job context items, of job customers, of job outputs and most importantly, of job competencies.

 

Advantages include: 

·        A relatively efficient process that balances the need for research-based data with limited time and cost considerations

·        Very participatory, involving large numbers of employees directly in the data collection process generating high levels of “buy-in”

·        Either present or future oriented.  (What is the vision for the work unit? What competencies will enable the agency or unit to meet established goals?)

·        Direct educational opportunities for employees about the project

·        More accurate data than less research-based approaches

·        A simple process that requires minimal preparation

·        A good lead-in to developing other tools such as performance appraisals, position profiles, and compensation models

·        Communication between employees and managers about agency vision, mission and business strategy and about how the work unit fits into the larger context of the whole organization

 

Using expert panels or focus groups involves a group of internal subject matter experts and/or stakeholders, with knowledge of a particular job or group of jobs who work together to identify requirements for superior job performance.  This data collection method balances both research-based data or validity needs with consideration of time and money spent.  It provides more accurate, rigorous data than some other methods yet costs less than conducting Behavioral Event Interviews. 

 

For example, development of Montana's Statewide Competency Model began by asking state managers to characterize superior performance.  Focus groups covering more than 25 occupations, spanning all grades provided the raw data used to identify the most common and critical behavioral competencies of top performing state employees. The resulting list of six competency categories, with lists of specific competencies and behaviors became the Statewide Competency Model (Chapter 4).

 

In this effort, focus groups had certain advantages. They proved the most efficient way to collect information from large groups and multiple occupations, and to identify top performers quickly. Conducting multiple focus groups that involve greater numbers of employees creates higher buy-in and serves as educational sessions to anchor a competency project effort.

 

The data collected from experts can usually generate either present or future-oriented competency models that can be validated through use. Using subject matter experts involves fewer people in providing data for the model, which reduces the level of employee buy-in.

 

The state’s competency pilot projects are using several different approaches to data collection.  Most have used the menuing process or focus groups to generate competency data, although some have used a hybrid of both behavioral event interviews and customized competency menus.  The following sections describe both of the preferred data collection methods in detail.

 

Building Customized Competency Menus

 

The menuing method of data collection harnesses the collective knowledge of groups of employees and managers about the competencies required for success in a particular type of job.  In this approach, the scope of a competency project determines the number of "menuing sessions" needed.  To build a competency model for a single occupation, each menu session ideally includes successful employees currently working in that occupation.  The agency organization chart will help map out a strategy for collecting data from entire work units that participate in one or more menuing sessions. Critical human resource programs such as recruitment and selection, individual competency development planning and training, performance management and compensation will also use the resulting menus.

 

Selecting an occupation

Management and project leaders select the type of job or occupation for which to produce a model by reviewing the agency’s organization chart and discussing project design.  Work units should conduct menuing sessions with the assumption that they have unique work outputs or work processes that define a portion of the “value” of their agency’s mission and vision.

 

Selecting participants

Menu session participants should include individuals affected by the system design who have a common occupation and work unit. A selected work unit might involve a section, a bureau or even a division or regional office.  Since possible advantages include buy-in, participation and education, group size and composition become important considerations.  A desirable group size is generally less than 15 but more than 5 participants, with 10-12 being optimum. For very large occupational groups, a project leader may want to limit participation to the work unit's most “successful” employees.

 

Organizing the session

This requires a facilitator comfortable with the menu process and a note taker to record on flip chart pages all of the information collected by the group. Each menu session should begin with an introduction to the process by the facilitator. To ensure that participants are aware of the importance of this data to the final competency model, a management representative presents information about the work unit’s purpose and goals, and the vision of the work unit’s future. This representative will generally define “success” for employees at the start of the menuing process.

 

Method

Menuing sessions include selected participants, plus the facilitator, note taker and management representative.  Employees should understand their work in the context of the current agency business strategy so that this direction is considered when participants determine the competencies necessary to achieve agency goals and objectives.  This will help assure that the models built reflect the current and future direction of management.

 

 

Each menuing session will probably take two and a half to three hours. Basic equipment includes two flipchart stands with large writing pads, several broad line markers, masking tape to hang the completed sheets, colored dots for stratifying the competency and output menus, and copies of the statewide model for participants.  The State Personnel Division can help start the data collection and model building process, and can provide support and research for pilot projects.

 

Menuing participants brainstorm, while the note taker writes the information on large flip-chart sheets.  As each sheet fills up, it is numbered and taped to the walls in the room so that everyone can build upon what others have said.  Each step in the menuing process results in a list of data that will prove useful later when building the competency model or building other human resource tools such as a performance appraisal.

 

Figure 4, on the following page provides a useful graphic of the four-step process and makes a good handout around which to organize a menuing session.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

The facilitator guides the group through the following four steps:

 

Step 1 – Context: Define the scope or strategic context of the work unit’s “mission”.  This step should include discussion and analysis of the work unit’s operating environment.

 

Identify any unique assumptions about the unit’s work, including outside factors that influence the work.  These statements describe present or future conditions that affect jobs and the organization as a whole.  They may predict strategy or changes in organizational structure, the workforce, political environment, legal challenges, customers, budgets, or technology.  These assumptions become a partial basis for describing the work necessary to provide services to the public.  They also form a partial basis for predicting the knowledge, skills and behaviors essential for the organization to meet current and future challenges.