Қазақстан Республикасының

240
УДК 35.08 (574)
b. zhAubAssOv.
PhD student of the Academy
of the Public administration
Under the President of the Republic
of Kazakhstan (Astana)
the  unIteD  stAtes  OFFICe  OF  PeRsOnneL  MAnAGeMent 
COMPetenCIes  AnD  eXeCutIve  CORe  QuALIFICAtIOns 
In  eXeCutIve  DeveLOPMent 
(LeADeRshIP  DeveLOPMent  PROGRAMMs)
The article deals with the US experience in the development of professional competencies of senior executive
servants  (SES)  on  the  example  of  the  Office  of  Personnel  Management  (OPM).  The  list  of  28  SES  leadership
competencies, as well as methods of their development during trainings at the Federal Executive Institute (FEI). This
competency is applicable to all levels of supervision and management (i.e. «leaders») within the federal government.
The  degree  to  which  various  competencies  are  critical  for  effective  performance,  however,  is  directly  related  to
the specific leadership roles and nature of the work performed. In 1991, the US Office of Personnel Management
(OPM), Personnel Resources and Development Center (PRDC) identified and validated individual and organizational
competencies  that  are  important  for  the  effective  performance  of  supervisors,  managers,  and  executives.  In  the
following years , the PRDC conducted several projects to revalidate and update the original model. These projects
involved extensive benchmarking, research, and collaboration. The research and investigation included the review
of competency models utilized by leading private sector companies. As a result of all the data collected and analyzed
by the PRDC, the framework of leadership effectiveness was revised in 1997 to include additional competencies.
Moreover, competency labels and definitions were changed to reflect new, strategic, future-oriented requirements at
the workplace. These competencies go beyond knowledge, skills and abilities to include many other characteristics
required of a leader, such as attitudes, values, behaviors and mindset. The analysis given in the article is of particular
interest because the author was an intern at OPM and FEI.
Key  words:  Government,  senior  executive  service,  leadership,  Office  of  Personnel  Management,  Federal
Executive institute, competencies, skills, Executive Core Qualifications.
In the 21 st century, Government of the United States’ executive face challenges. They must be
visionary leaders with a strong commitment to public service. They must be able to apply “people
skills” to motivate their employees, build partnership, and communicate with their customers. Finally,
they need solid management skills in order to produce optimum results with limited recourse.
Membership in the Senior Executive Service (SES) demands leadership, professional integrity,
a broad perspective, and commitment to the highest ideals of public service. The women and men
charged  with  leading  the  continuing  transformation  of  government  possess  well-honed  executive
skills and share a broad perspective of government and public service commitment which is grounded
in the Constitution. The keystone of the Civil Service Reform Act of 1978, the SES was designed to
be a corps of executive selected for their leadership qualifications today. While technical job-specific
qualifications are important, the keystone of the SES is executive leadership.
The Office of Personnel Management (OPM) helps make sure the Government of the United
States’ selects strong leaders by developing the core qualifications used to test new career appointees
to the Senior Executive Service and by administering peer review boards which evaluate whether
candidates possess these essential leadership qualifications [1].
Competencies. 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. Competencies specify the “how” of performing job tasks, or what the person needs to do
the job successfully.
Competencies are used for:
 
Š
Assessing and selecting candidates for a job;
 
Š
Assessing and managing employee performance;
 
Š
Workforce planning;
 
Š
Employee training and development.

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The Origins of OPM’s Leadership Competencies. In 1991, the United States’ Office of Personnel
Management (OPM), Personnel Resources and Development Center (PRDC) identified and validated
individual  and  organizational  competencies  that  are  important  for  the  effective  performance  of
supervisors,  managers,  and  executives.  A  multi-method  approach  was  used,  beginning  with  a
comprehensive literature review of leadership and managerial behaviors. This review documented
critical individual and organizational competencies related to high performance of leaders. Following
this  review,  a  survey  instrument  was  developed  and  administered  to  a  representative  sample  of
supervisors,  managers,  and  executives  across  the  federal  government.  In  addition,  focus  groups
were held with executives. The information collected was used to define a model of 22 leadership
competencies, called the Leadership Effectiveness Framework (OPM 1992).
In the years that followed, the PRDC conducted several projects to revalidate and update the
original model. These projects involved extensive benchmarking, research, and collaboration. The
research  and  investigation  included  the  review  of  competency  models  utilized  by  leading  private
sector companies. As a result of all the data collected and analyzed by the PRDC, the leadership
effectiveness framework was revised in 1997 to include additional competencies. Also, competency
labels and definitions were changed to reflect new, strategic, future-oriented workplace requirements.
These competencies go beyond knowledge, skills and abilities to include many other characteristics
required of a leader, such as attitudes, values, behaviors and mindset.
The  current  list  of  28  OPM  leadership  competencies,  with  their  corresponding  descriptions,
follows.
1.  Creativity  and  Innovation  –  Develops  new  insights  into  situations;  questions  conventional
approaches;  encourages  new  ideas  and  innovations;  designs  and  implements  new  or  cutting  edge
programs/processes.
2.  External Awareness – Understands and keeps up-to-date on local, national, and international
policies  and  trends  that  affect  the  organization  and  shape  stakeholders’  views;  is  aware  of  the
organization’s impact on the external environment.
3.  Flexibility  –  Is  open  to  change  and  new  information;  rapidly  adapts  to  new  information,
changing conditions, or unexpected obstacles.
4.  Resilience – Deals effectively with pressure; remains optimistic and persistent, even under
adversity. Recovers quickly from setbacks.
5.  Strategic Thinking – Formulates objectives and priorities, and implements plans consistent
with long-term interests of the organization in a global environment. Capitalizes on opportunities and
manages risks.
6.  Vision – Takes a long-term view and builds a shared vision with others; acts as a catalyst for
organizational change. Influences others to translate vision into action.
7.  Conflict Management – Encourages creative tension and differences of opinions. Anticipates
and  takes  steps  to  prevent  counter-productive  confrontations.  Manages  and  resolves  conflicts  and
disagreements in a constructive manner.
8.  Leveraging  Diversity  –  Fosters  an  inclusive  workplace  where  diversity  and  individual
differences are valued and leveraged to achieve the vision and mission of the organization.
9.  Developing Others – Develops the ability of others to perform and contribute to the organization
by providing ongoing feedback and by providing opportunities to learn through formal and informal
methods.
10.  Team Building – Inspires and fosters team commitment, spirit, pride, and trust. Facilitates
cooperation and motivates team members to accomplish group goals.
11.  Accountability – Holds self and others accountable for measurable high-quality, timely, and
cost-effective results. Determines objectives, sets priorities, and delegates work. Accepts responsibility
for mistakes. Complies with established control systems and rules.
12.  Customer Service – Anticipates and meets the needs of both internal and external customers.
Delivers high-quality products and services; is committed to continuous improvement.
13.  Decisiveness – Makes well-informed, effective, and timely decisions, even when data are
limited  or  solutions  produce  unpleasant  consequences;  perceives  the  impact  and  implications  of
decisions.

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14.  Entrepreneurship  –  Positions  the  organization  for  future  success  by  identifying  new
opportunities;  builds  the  organization  by  developing  or  improving  products  or  services.  Takes
calculated risks to accomplish organizational objectives.
15.  Problem  Solving  –  Identifies  and  analyzes  problems;  weighs  relevance  and  accuracy  of
information; generates and evaluates alternative solutions; makes recommendations.
16.  Technical  Credibility  –  Understands  and  appropriately  applies  principles,  procedures,
requirements, regulations, and policies related to specialized expertise.
17.  Financial  Management  –  Understands  the  organization’s  financial  processes.  Prepares,
justifies,  and  administers  the  program  budget.  Oversees  procurement  and  contracting  to  achieve
desired results. Monitors expenditures and uses cost-benefit thinking to set priorities.
18.  Human Capital Management – Builds and manages the workforce based on organizational
goals, budget considerations, and staffing needs. Ensures that employees are appropriately recruited,
selected, appraised, and rewarded; takes action to address performance problems. Manages a multi-
sector workforce and a variety of work situations.
19.  Technology  Management  –  Keeps  up-to-date  on  technological  developments.  Makes
effective use of technology to achieve results. Ensures access to and security of technology systems.
20.  Partnering – Develops networks and builds alliances, collaborates across boundaries to build
strategic relationships and achieve common goals.
21.  Political Savvy – Identifies the internal and external politics that impact the work of the
organization. Perceives organizational and political reality and acts accordingly.
22.  Influencing/Negotiating – Persuades others; builds consensus through give and take; gains
cooperation from others to obtain information and accomplish goals.
23.  Interpersonal  Skills  – Treats  others  with  courtesy,  sensitivity,  and  respect.  Considers  and
responds appropriately to the needs and feelings of different people in different situations.
24.  Oral Communication – Makes clear and convincing oral presentations. Listens effectively;
clarifies information as needed.
25.  Integrity/Honesty – Behaves in an honest, fair, and ethical manner. Shows consistency in
words and actions. Models high standards of ethics.
26.  Written Communication – Writes in a clear, concise, organized, and convincing manner for
the intended audience.
27.  Continual Learning – Assesses and recognizes own strengths and weaknesses; pursues self-
development.
28.  Public Service Motivation – Shows a commitment to serve the public. Ensures that actions
meet public needs; aligns organizational objectives and practices with public interests.
The  current  OPM  leadership  competency  model  includes  the  28  competencies  listed  above,
grouped into five clusters based on similarities of importance and content. (These clusters are described
in the Executive Core Qualification discussion below.) The 28 leadership competencies is applicable
to all levels of supervision and management (i.e. “leaders”) within the federal government. The degree
to which various competencies are critical for effective performance, however, is directly related to
the specific leadership roles and nature of the work performed [2].
OPM’s Executive Core Qualifications. The Executive Core Qualifications (ECQs) were developed
in 1997 after extensive research on the attributes of successful executives in both the private and public
sectors. They were revalidated and reissued with a few modifications in 2006. In their current form,
ECQs represent the best thinking of organizational psychologists, human resources professionals both
at OPM and other agencies, and Senior Executives themselves.
The ECQs are:
 
Š
Leading Change;
 
Š
Leading People;
 
Š
Results Driven;
 
Š
Business Acumen;
 
Š
Building Coalitions.
In  2008,  OPM  piloted  two  additional  methods  for  selecting  members  of  the  SES;  the
Accomplishment Record and Resume-based methods. Both of these methods continue to be based
on the ECQs. However, the Accomplishment Record method differs from the traditional approach

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to selecting SES members in that applicants are not asked to address the five broad ECQs but rather
on a select few of the 28 executive competencies underlying them. The Resume-based option is even
simpler, with the applicant showing possession of the ECQs in a standard resume format.
The  relationship  between  the  ECQs  and  the  Leadership  Competencies  appears  in  Figure  1
below. 22 Of the competencies are attached to corresponding ECQs; the remaining 5 are considered
“fundamental competencies.” They are applicable to all five of the ECQs.
Figure 1 – The Relationship between OPM’s ECQs and Leadership Competencies [2]
The Use of ECQs in Selection and Evaluation. The ECQs are foundational to Senior Executive
Service (SES) selection and performance evaluation within the United States’ Civil-Service System.
OPM published a policy memorandum in January of 2012. The new system was designed to improve
the  evaluation  process  through  a  standardized  framework  to  not  only  communicate  performance
expectations, but also evaluate performance.
That framework integrates the five ECQs into a coherent performance evaluation methodology.
Although SES employees have always been expected to provide executive leadership and oversight,
the new emphasis on the ECQs in performance measurement places a sharper emphasis on individual
results. In the new framework, senior executives are assessed in their official performance evaluations
against their individual performance plans.
Each SES performance plan includes, as a minimum, each of the five ECQs. Performance elements
are  weighted;  total  of  100  points. A  minimum  of  20%  of  the  overall  performance  rating  must  be
anchored in the ECQ “Results Driven” and a minimum of 5% have to be anchored in each of the other
four ECQs. Beyond these minimums, agencies can add what they wish to their performance plans and
evaluations.
In the evaluations, SES members are rated across five levels. These levels are described as follows:
 
Š
Level 5: “…demonstrates exceptional performance…”;
 
Š
Level 4: “…demonstrates a very high level of performance…”;
 
Š
Level 3: “…demonstrates the high level of performance expected…”;
 
Š
Level  2:  “…contributions  acceptable  in  the  short  term  but  do  not  appreciably  advance  the
organization…”;
 
Š
Level 1: “…demonstrates performance deficiencies…”.
Any executive who receives a final rating of “unsatisfactory” (a “Level 1”) will be removed or
reassigned. The same thing applies to any executives who receive two ratings at less than a “Level
3”  within  three  years,  or  two  “Level  1”  ratings  within  five  years.  In  follow-on  guidance,  OPM’s
Director indicated that a “Level 3” is the norm; higher or lower ratings are the exception. The goal is
to help identify the very best leaders for growth and development and to correct or eliminate those not
performing to acceptable standards [1].

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The Use of ECQs and Leadership Competencies in Leadership / Executive Development. Across
the OPM Center for Leadership Development, which includes the Federal Executive Institute (FEI)
and the Eastern and Western Management Development Centers (EMDC and WMDC respectively),
the ECQs and leadership competencies serve as contextual anchors for curriculum development and
delivery.  For  instance,  within  the  FEI  Leadership  for  a  Democratic  Society  (LDS)  program,  FEI
links its desired learning outcomes back to the leadership competencies, offering courses in those
competencies most specifically related to successful leadership: Creativity and Innovation; External
Awareness;  Flexibility;  Resilience;  Strategic  Thinking;  vision;  Conflict  Management;  Leveraging
Diversity; Developing Others; and Team Building. These topics form the “core” of the LDS program.
The  other  competencies  are  addressed  through  elective  sessions.  Of  course  the  “fundamental
competencies”  appear  in  both  the  core  and  elective  curriculum  (Interpersonal  Skills;  Continual
Learning; Oral Communications; Written Communications; Integrity/Honesty; and Public Service).
To help their matriculating executives determine where to place their emphasis during FEI LDS
program, offered a “360* Assessment.” In this assessment, created and administered by behavioral
scientists  working  for  OPM,  their  executives  get  insights  into  specific  behaviors  that  correlate  to
leadership competencies. Armed with this feedback they can choose their developmental opportunities,
either focusing on leveraging strengths or strengthening weaknesses.
The  360* Assessment  works  as  follows:  In  advance  of  attending  LDS  –  or  any  program  in
which FEI use this assessment – the incoming participant receives a questionnaire and instructions
for  nominating  a  supervisor  to  complete  a  similar  survey.  The  supervisor  then  receives  a  survey
and nominates both peers and subordinates working with and for the incoming executive. Each of
these people also completes a survey on the incoming executive’s behaviors. All of these inputs are
electronically  compiled  into  an  assessment  report  that  provides  feedback. The  report  includes  the
following sections:
 
Š
Competency Importance, as rated by respondents:
-  Most important for an executive’s success;
-  Specific to an executive’s current role;
 
Š
Competency Rankings:
-  All respondents except for the subject executive;
-  Organized strongest-to-weakest.
 
Š
Profile of all 28 leadership competencies: а graphic comparison of assessments by broken out
by  specific  rating  groups  (the  executive  [self],  supervisor,  peers,  direct  reports  [subordinates]  and
“other”);
 
Š
Competency Breakouts: а breakout of each of the behaviors, broken out by competencies
 
Š
Top and Bottom Ten Behaviors with benchmark comparisons to other executives from across
the Government;
 
Š
Outcome Items with benchmark comparisons to other executives from across the Government.
These focus on:
-  Organizational  impact  –  the  perceived  impact,  either  positive  or  negative,  that  the  subject
executive has on his or her organization;
-  Overall effectiveness – the perceived effectiveness of the subject executive in both current and
potential future positions;
 
Š
Derailer Items – Behaviors that could “derail” an executive’s career (compared to a standardized
listing of derailers drawn from research);
 
Š
Open-Ended Comments – narrative comments from those who completed the assessment.
Except for the subject executive – the self-assessment aspect of the instrument – and the supervisor,
all responses are anonymous.
Armed  with  the  feedback  from  the  OPM  360°  Leadership Assessment,  participants  in  Center
for Leadership Development programs can leverage the developmental opportunities most specific
to their needs. Further, because curriculum is cross-referenced to the OPM leadership competencies,
participants can quickly and accurately identify those opportunities that best fit their desired emphasis
areas [3].

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LIST OF LITERATURE
1  Guide to Senior Executive Service Qualifications: http://www.usajobs.org/SeniorExecutives // United
States Office of Personnel Management. – Washington DC. September 2012. Pdf.
2  Matthew C. Stafford. ECQs and Competencies: http://www.opm.org/fei. // Federal executive institute.
Charlottesville, VA. March 2014. Pdf.
3  George P. Hollenbeck, Morgan W. McCall, Jr. Competence, not competencies: making global executive
development work: http://www.marshall.usc.edu/ceo // Center for effective organizations – Marshall school of
business University of Southern California. – Los Angeles, CA. March 2013. Pdf.

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