PWS 2 8 - Guide to SESQuals_2010.pdf

June 2010

Guide To Senior Executive

Service Qualifications

INTRODUCTION

In the 21st century, Government executives face special 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 partnerships, and communicate with their customers. Finally, they need solid management skills in order to produce optimum results with limited resources.

The Office of Personnel Management (OPM) helps make sure the Government selects strong leaders by developing the core qualifications used to test new career appointees to the Senior Executive Service (SES) and by administering peer review boards which evaluate whether candidates possess these essential leadership 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, they represent the best thinking of organizational psychologists, human resources professionals both at OPM and other agencies, and Senior Executives themselves.

The ECQs are:

• Leading Change

• Leading People

• Results Driven

• Business Acumen

• Building Coalitions

In 2008, OPM piloted two new 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 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.

In order to keep this Guide up to date, with these developments, we are reissuing it with descriptions of the new methods and sample write-ups. In this way we hope to make it even more useful to Senior Executive Service candidates as they strive to assess and describe their executive qualifications, in preparation for review by selection officials.

In addition to helping applicants, the Guide will be useful to individuals charged with reviewing executive qualifications, including agency personnel and executive development specialists and members of agency Executive Resources Boards.

All current vacancies for career SES positions and SES candidate development programs at departments and agencies across the Federal Government’s appear on OPM’s official job website located at http://www.usajobs.gov/seniorexecutives.asp.

Guide to the SES Qualifications June 2010 http://www.usajobs.gov/seniorexecutives.asp

Guide to the SES Qualifications June 2010

CONTENTS

Executive Qualifications

Competencies

Merit Competition

Qualifications Review Board Certification

Writing Executive Qualifications Statements

Examples of Qualifications Statements

Writing Accomplishment Record Narratives

Examples of Accomplishment Record Narratives

Addressing Executive Qualifications in a Resume

Resume Example

Appendix A: Competency Definitions

Appendix B: Tips for Writing Effective ECQ Statements and Accomplishment Record Narratives

Appendix C: English 101 Revisited and Other Tips………………………………………..36

EXECUTIVE QUALIFICATIONS

The law requires that the executive qualifications of each new career appointee to the Senior Executive Service (SES) be certified by an independent Qualifications Review Board based on criteria established by the Office of Personnel Management (OPM). The Executive Core Qualifications (ECQs) describe the leadership skills needed to succeed in the SES; they also reinforce the concept of an “SES corporate culture.” This concept holds that the Government needs executives who can provide strategic leadership and whose commitment to public policy and administration transcends their commitment to a specific agency mission or an individual profession.

Executives with a “corporate” view of Government share values that are grounded in the fundamental Government ideals of the Constitution: they embrace the dynamics of American Democracy, an approach to governance that provides a continuing vehicle for change within the Federal Government.

OPM has identified five executive core qualifications. The ECQs were designed to assess executive experience and potential--not technical expertise. They measure whether an individual has the broad executive skills needed to succeed in a variety of SES positions--not whether they are the most superior candidate for a particular position. (The latter determination is made by the employing agency.)

Successful performance in the SES requires competence in each ECQ. The ECQs are interdependent; successful executives bring all five to bear when providing service to the Nation.

Executive Core Qualifications:

1. Leading Change

This core qualification involves the ability to bring about strategic change, both within and outside the organization, to meet organizational goals. Inherent to this ECQ is the ability to establish an organizational vision and to implement it in a continuously changing environment.

2. Leading People

This core qualification involves the ability to lead people toward meeting the organization’s vision, mission, and goals. Inherent to this ECQ is the ability to provide an inclusive workplace that fosters the development of others, facilitates cooperation and teamwork, and supports constructive resolution of conflicts.

3. Results Driven

This core qualification involves the ability to meet organizational goals and customer expectations.

Inherent to this ECQ is the ability to make decisions that produce high-quality results by applying technical knowledge, analyzing problems, and calculating risks.

Guide to the SES Qualifications June 2010

4. Business Acumen

This core qualification involves the ability to manage human, financial, and information resources strategically.

5. Building Coalitions

This core qualification involves the ability to build coalitions internally and with other Federal agencies, State and local governments, nonprofit and private sector organizations, foreign governments, or international organizations to achieve common goals.

Guide to the SES Qualifications June 2010

COMPETENCIES

Competencies, shown in Appendix A, are the personal and professional attributes that are critical to successful performance in the SES. They are based on extensive research of Government and private sector executives and input from agency Senior Executives and human resources managers.

There are 28 competencies. Twenty-two of the competencies are the specific competencies for the Executive Core Qualifications (ECQs). The remaining six are the fundamental competencies and are the attributes that serve as the foundation for each of the ECQs. Experience and training that strengthen and demonstrate the competencies will enhance a candidate’s overall qualifications for the SES.

Guide to the SES Qualifications June 2010

MERIT COMPETITION

Initial career appointments to the Senior Executive Service (SES) must be based on merit competition. The law (5 U.S.C. 3393) requires agencies to establish an Executive Resources Board to conduct the merit staffing process. Within this framework, an agency has considerable flexibility in structuring the SES merit staffing process to meet its unique needs. Generally, this process includes choosing a selection method, advertising the position, preliminary review of applications by a personnel specialist, rating and ranking of applicants by a panel with in-depth knowledge of the job’s requirements, evaluation of each candidate’s qualifications by an Executive Resources Board, and making recommendations to the appointing authority.

After the agency merit staffing process is completed and the appointing authority has selected the candidate he or she believes is best qualified for the position, the agency forwards the candidate’s application to the Office of Personnel Management (OPM) for consideration by a Qualifications Review Board.

Merit Staffing Selection Methods

When hiring through a competitive vacancy announcement, agencies choose one of the following selection methods:

• Resume-based: The vacancy announcement directs applicants to submit only a resume.

Applicants show possession of the ECQs and any technical qualifications via the resume.

• Accomplishment Record: The vacancy announcement directs applicants to submit a resume and narratives addressing selected competencies underlying the ECQs and any technical qualifications.

• Traditional: The vacancy announcement directs applicants to submit a resume and narratives addressing the ECQs and any technical qualifications.

SES Merit Staffing Process

1. Agency advertises the position through the Government wide automated employment information system for a minimum of 14 days. The area of consideration is:

• All groups of qualified individuals within the Civil Service (only current Federal Civil Service employees may apply); or

• All groups of qualified individuals (anyone may apply).

2. Candidates submit their applications to the agency.

3. Agency rating panel reviews and ranks candidates.

4. Agency panel conducts structured interviews (optional).

5. Agency Executive Resources Board recommends the best qualified candidates to the selecting official.

Guide to the SES Qualifications June 2010

6. Selecting official makes a choice and certifies that the candidate meets both the technical and executive qualifications (ECQs) for the position.

7. Agency submits candidate’s application package to an OPM-administered Qualifications Review Board (QRB) for certification of executive qualifications.

8. Following QRB certification, agency appoints the candidate to the SES position.

Guide to the SES Qualifications June 2010

QUALIFICATIONS REVIEW BOARD CERTIFICATION

The Office of Personnel Management convenes weekly Qualifications Review Boards (QRBs) to provide an independent peer review of applications for initial career appointment to the Senior Executive Service. The Board consists of three executives; at least two members must be career appointees. Board members review each application and decide if the candidate’s experience meets the Executive Core Qualifications (ECQs) requirements. The QRB does not rate, rank, or compare the candidate’s qualifications against those of other candidates. Rather, Board members judge the overall scope, quality, and depth of a candidate’s executive qualifications within the context of the five ECQs.

QRB Certification Based on Announcement of a Specific Vacancy:

Criterion A--Demonstrated executive experience.

Candidates must demonstrate executive experience in all five ECQs. Their applications should reflect an overall record of the knowledges, skills, and abilities necessary to succeed in the SES.

This record may include professional and volunteer experience, education, training, and awards, in addition to Federal experience. (See Writing Executive Qualifications Statements, page 8.)

Criterion C--Possession of special or unique qualities which indicate a likelihood of executive success.

The candidate must possess special or unique qualifications which support the ability to perform the duties of the position and the potential to quickly acquire full competence in the ECQs (e.g., an individual who is exceptionally familiar with an agency’s programs through high-level staff experience, or who has had a significant impact on the highest policy levels of the agency).

Criterion C cases are very rare and appropriate only when exceptional candidates with demonstrated experience are not available.

QRB members review several documents for each candidate:

• an evaluation of the candidate’s background as related to the ECQs;

• at least one written reference by someone familiar with the candidate’s managerial qualifications;

and

• an Individual Development Plan (IDP) that includes developmental assignments and/or formal training, focused on the specific ECQs that need to be enhanced.

The IDP must show the training and development the candidate will receive following appointment.

QRB Certification Based on Completion of a Candidate Development Program:

Criterion B--Successful participation in an Office of Personnel Management-approved Candidate Development Program (CDP).

Guide to the SES Qualifications June 2010

Candidates who compete Government wide for participation in a CDP and successfully complete the program are eligible for non-competitive appointment to the Senior Executive Service (SES).

Prior to the revision of the regulations in December 2009, CDP openings could be announced within a single agency rather than Government wide; these graduates must compete for SES positions. Either way, CDP graduates are not guaranteed placement in the SES.

The agency’s Executive Resources Board chair must certify that the candidate has successfully completed all CDP activities. OPM staff and an “ad hoc” Qualifications Review Board (QRB) review each candidate’s training and developmental experience to assure that it provides the basis for certification of executive qualifications. QRB members assume that if the candidate has completed all CDP requirements, then he or she possesses the executive qualifications for initial career appointment to the SES.

Guide to the SES Qualifications June 2010

WRITING EXECUTIVE QUALIFICATIONS STATEMENTS

The key to a well-written qualifications statement is to give readers--executive resources staff, rating and selecting officials, and Qualifications Review Board (QRB) members--specific information about your achievements. Be sure to include professional and volunteer experience, education, training, and awards that demonstrate your skills in a particular Executive Core Qualification (ECQ). A well-prepared ECQ statement reflects the ECQ-specific competencies (e.g., “Leading Change” reflects creativity and innovation, external awareness, etc.) Because the fundamental competencies are cross-cutting, they should be addressed over the complete ECQ narrative. It is not necessary to address them directly as long as the narrative, in its totality, shows mastery of these fundamental competencies overall.

Begin your ECQ statement with a brief summary of your executive experience. Then use the following approach to describe your accomplishments.

Challenge-Context-Action-Result Model

An ECQ statement may include one or more examples of relevant experience. The number of examples is not as important as assuring that your experience matches the ECQ criteria. Keep in mind that the QRB is looking for specific challenges, actions and results. (Please see the examples on pages 9 - 21.)

Challenge. Describe a specific problem or goal.

Context. Talk about the individuals and groups you worked with, and/or the environment in which you worked, to tackle a particular challenge (e.g., clients, co-workers, members of Congress, shrinking budget, low morale).

Action. Discuss the specific actions you took to address a challenge.

Result. Give specific examples of the results of your actions. These accomplishments demonstrate the quality and effectiveness of your leadership skills.

Other Suggestions

• Adhere to page limitations stated in the vacancy announcement.

• Use clear, concise statements written in the first person.

• Spell out all acronyms.

• Describe recent education and training that enhanced your skills in a particular ECQ.

• Include non-Federal experience (e.g., private sector, volunteer and professional organizations) if it demonstrates executive qualifications.

• Include special assignments (e.g., details, task forces, committees) if they are relevant to an ECQ.

• Avoid statements that describe your personal beliefs or philosophies; focus on specific challenges and results.

• Include awards that relate specifically to an ECQ.

• Quantify your accomplishments.

• Address the fundamental competencies over the course of the complete ECQ statement.

Guide to the SES Qualifications June 2010

EXAMPLES OF QUALIFICATIONS STATEMENTS

The following examples illustrate good qualifications statements for Senior Executive Service candidates being certified under Criterion A, demonstrated executive experience. They include examples of private sector and volunteer work in addition to State and Federal Government experience.

The examples feature the Challenge-Context-Action-Result (CCAR) model. One of these four words appears after select sentences in the examples to show how the model works. Candidates should keep the CCAR model in mind as they write their qualifications statements but they should not annotate these statements with “Challenge,” “Context,” “Action,” or “Result.”

In short, good qualifications statements:

• Use the Challenge-Context-Action-Result model;

• Include specific examples of experience; and

• Focus on results.

These examples, from actual Qualifications Review Board cases, have been modified to protect the privacy of the SES candidates.

ECQ 1 Leading Change

This core qualification involves the ability to bring about strategic change, both within and outside the organization, to meet organizational goals. Inherent to this ECQ is the ability to establish an organizational vision and to implement it in a continuously changing environment.

Competencies Creativity & Innovation External Awareness Flexibility Resilience Strategic Thinking Vision

Example: Leading Change

Unlike traditional career paths, where one position leads naturally to the other, I have followed a course in which a combination of factors has led me to envision and launch novel and non-traditional enterprises. The most important illustration of this core competency is my work as a pioneer in the field of technology transfer.

Technology transfer--the successful commercialization of inventions and innovations that arise from the not-for-profit sector--was virtually unknown 15 years ago. Indeed, the notion of promoting collaborations between scientists in Federal laboratories or academia and their industrial counterparts was an anathema. Common wisdom dictated that technology transfer was doomed to

Guide to the SES Qualifications June 2010 fail, even if legislation was enacted to encourage such interaction. (Context) A handful saw it differently. I was among them.

I shared this vision with the top administrators of two research campuses. I met weekly with these officials and successfully argued that a Center for Technology and Development (CTD) should be created and given responsibility for all patenting and licensing activities. (Challenge) My vision for the CTD, including its mission, policies, and administrative structure, was adopted on both campuses. I proposed, lobbied for, and succeeded in including the phrase “transfer of knowledge and technology” as part of the new mission statement for the campuses, making technology transfer a sanctioned university activity. (Action)

My ability to communicate my expectations of the CTD as an economic engine for the State allowed me to garner the support of the local business community. (Context) The community rallied and provided the CTD with counsel on legal, technical, market, and economic development issues pro bono. Their backing was key in obtaining support from the State Legislature. Within 6 months, I had established the CTD as an important member of the technology transfer community and assembled strong networks with national and international biotechnology and pharmaceutical companies, venture firms, investors, and service providers. These networks have proven vital to this day. (Result)

Later in my career, I moved from the academic world to the Federal Government as head of the Office of Technology (OT). This office was created to implement the requirements of the Federal Technology Transfer Act. The OT is charged with the successful and appropriate commercialization of technology developed in Federal Laboratories. (Challenge) With an annual operating budget of $5 million, patent prosecution expenditures of over $7.5 million and a royalty revenue stream of $30 million, the OT is, arguably, the largest and most influential not-for-profit technology transfer operation in the world.

When I was recruited to head the Office of Technology (OT) it was fighting for survival, plagued with tremendous unrest as to the direction and future of technology transfer. There was widespread discontent with the performance of the OT, giving rise to numerous investigations and the need to address 75 Corrective Actions. The OT was viewed with suspicion and concern by insiders and outsiders. It was clear something had to change. (Context)

In my first staff meeting, I set forth my vision for the OT. I embarked on a process of evaluation and strategic planning for every unit, gathering advice from staff at all levels within the organization. Working together, we wrote a new mission statement, established policies and procedures, reorganized the Office, appointed key personnel, reassigned some staff members, and opened an important dialogue with our customers to assess their needs and requirements. (Action)

Under my leadership the OT’s performance has improved dramatically. Productivity has increased by 40 percent and is at an all-time high. In the last fiscal year, we have signed a record number of license agreements, reached a record level of royalty income, patented important new technologies, and systematically reviewed our portfolio to eliminate obsolete cases. From a management perspective, the OT has accomplished a remarkable turnaround. We have attracted and hired competent and energetic staff, and they are working as a cohesive group. The OT has successfully

Guide to the SES Qualifications June 2010 completed all but two of the 75 Corrective Actions. Most pre-existing EEO and personnel grievances have been resolved, and employee morale has improved significantly. In short, the OT is a well-run, proactive and productive organization. (Result)

Example: Leading Change

As Chief, Office of Security, I led the reinvention of my agency’s personnel security process.

(Challenge) In the year before my appointment, a high-profile hiring initiative had resulted in about 400 selections. However, at the end of the fiscal year the agency had not made any appointments because of a backlog in security investigations. By the time the security clearances were processed, the best candidates had found other jobs. (Context) I was asked to serve as Security Chief because I had a reputation as a manger who could achieve results quickly.

The agency’s priorities included strengthening border enforcement and improving immigration services. These priorities had national ramifications because they related to policies backed by the White House and Congress. We requested and received additional resources to hire Border Officers and support staff to implement the immigration strategies. The White House and Congress expected the agency to demonstrate results in border enforcement and naturalization within the fiscal year. (Context) The recruitment, security clearance, and training of staff had to be accomplished expeditiously without sacrificing quality in the security process. Due to the Government shutdown and furloughs in the first quarter, the agency had only 6 months to hire and appoint 4,000 employees. (Context)

At that time, personnel security investigations averaged 8 months. I led a comprehensive review of the process and identified four major systemic problems: severe delays in screening applicants for entry on duty; less than state-of-the-art software; lack of resources in field security offices; and no written guidance on procedures for security clearance decisions. (Action) All aspects of the process had to be revamped.

To address the system delays, I delegated entry on duty and suitability adjudication authority to the Field Officers, and provided adjudication training to ensure that employment decisions would be consistent throughout the agency. (Action) I worked with the Office of Personnel Management (OPM) to automate case files transmissions, which eliminated an average of 3 months from the process. (Action) Further, the new agreement with OPM gave us on-line access to investigative information as it was reported, and made it possible to grant waivers to permit entry on duty in as little as 2 weeks. Automated linkages are now in place in all four of our Field Centers. (Result)

I then negotiated and entered into an agreement with the Director of the U.S. Office of Federal Investigations, which agreed to provide fingerprint results within 8 calendar days of their receipt.

(Action) Previously, the process had taken as long as 3 months. In addition, I directed the development, issuance, and implementation of Standard Operations Guidance for entry on duty decisions. (Action) This was the first written guidance to be published in 20 years.

None of this would have been possible without my leadership, which earned the full cooperation and support of my staff. (Context) I encouraged them to share my vision of a streamlined personnel security process. All of my employees joined the effort and we formed a truly effective team.

Guide to the SES Qualifications June 2010

Working together, we implemented new security investigations methods and gained the respect and trust of employees within our agency and throughout the Federal investigations community.

(Result)

As a result of my efforts, 4,003 permanent and part-time employees were hired. Processing time for entry on duty security decisions was reduced from 195 to 20 days, on average. This streamlined process made it possible to screen 14,000 prospective candidates for law officer positions nationwide. (Result) I received the agency’s Meritorious Service Award for these achievements.

ECQ 2 Leading People

This core qualification involves the ability to lead people toward meeting the organization’s vision, mission, and goals. Inherent to this ECQ is the ability to provide an inclusive workplace that fosters the development of others, facilitates cooperation and teamwork, and supports constructive resolution of conflicts.

Competencies Conflict Management Leveraging Diversity Developing Others Team Building

Example: Leading People

While serving as Legal Counsel to the Chairman of the Federal Labor Relations Authority, I was assigned collateral duties to serve as the Acting Director of the Offices of Case Production and Case Intake. The staffs of these departments were seriously demoralized by a recent reorganization that eliminated the existing structure of separate legal staffs and consolidated them into one production unit. (Challenge) The reorganization also implemented a new GS-13 journeyman pay level that replaced the existing GS-14 level. Morale deteriorated even further when the Chairman resigned unexpectedly in July 2008 prior to Senate confirmation of a replacement. With only one sitting Member and no quorum, the Authority was unable to issue decisions. (Context) The drafting of case decisions for Members’ votes was the primary mission of attorneys within the Office of Case Production. With no confirmed Authority leadership and no ability to perform the Offices’ primary mission, it was imperative that I establish achievable interim goals until permanent Presidential leadership was confirmed.

The Case Production staff was comprised of attorneys that ranged from GS-11 to GS-14 and from 30 years of experience to those hired within the prior 2 months. (Context) Draft decision quality had suffered as a result of the low morale of the more senior attorneys and a lack of basic training for junior and recently-hired attorneys. (Challenge) I determined that a reexamination of draft quality and labor-relations community outreach were both achievable goals that would generate significant long-term benefits. I also recognized that the lack of quorum and inability to issue Authority decisions, while not optimal circumstances, afforded a unique opportunity that permitted the organization to focus on quality improvements and internal training without any impact on production goals.

Guide to the SES Qualifications June 2010

To attack this dual deficiency, I encouraged senior attorneys to utilize their extensive subject matter expertise and assume a mentoring and coaching role for junior attorneys. I adjusted performance goals for the senior attorneys to focus on the effectiveness of these developmental coaching efforts.

(Action) This process effectively utilized the attorneys’ substantial skills base and provided essential training to more junior and recently-hired attorneys.

I also initiated development of a training module that demonstrated to both internal employees and the Labor-Relations Community that the Authority was still “in business”. I engaged employees of both the Case Production and Case Intake staffs in the development of a training module on Authority Case Law Developments. (Action) This training module was publicized and offered to Union and Federal agency representatives throughout the Washington, DC area over a 5 month period and provided 16 half-day training units. Several nationally-recognized employment organizations published verbatim excerpts to their targeted audiences. (Result)

Since the implementation of these training modules, the Authority has noted a significant improvement in the quality of submissions and arguments presented in filings made by both Union and Agency representatives. Internally, case productivity has markedly improved and staff attorneys have demonstrated a broader case knowledge and skills base. (Result)

Example: Leading People

Throughout my career, I have recognized the value of motivating and rewarding employees. In my current position as the agency’s Director of Information Resources, I lead a very competent staff of 17 senior technical professionals and 90 contractors. These employees design and manage the agency’s local area network and telecommunication systems.

Our office was recently tasked with leading a project to upgrade a critical agency-wide network.

(Challenge) The project required knowledge and expertise beyond that held by a majority of my staff. (Context) I worked with employees to identify their individual training needs and talked with new employees about the possibility of using this project as a developmental opportunity. (Action) I saw the project as a unique opportunity to encourage cooperation among staff members and to place our office on the cutting edge of information technology. (Context)

Approximately three-quarters of the staff was trained in the complex technical concepts necessary to upgrade the network. Through my leadership, we were able to develop and implement a new system that will carry the agency’s network into the 21st century. The upgrade was completed 3 months ahead of schedule. (Result) Throughout the project, productivity and morale were high despite increased workloads.

As a result of my employee performance appraisals, 90 percent of my staff received cash awards for their work on this critical project. In addition, I received the agency’s Meritorious Service Award for Management Excellence for my ability to set the office’s expected performance level.

Before joining the Federal Government, I was chief of the Information and Technology Office at a large private sector law firm. I led a 25-member staff of managers and senior technicians who were responsible for developing and managing the firm’s information technology systems. I rebuilt the

Guide to the SES Qualifications June 2010 staff by filling vacant positions, motivating unproductive staff, reducing high absenteeism, and improving morale. As part of the rebuilding, I actively pursued a diverse workforce by hiring females and minorities to fill 60 percent of the office’s vacant positions, including four key management and three staff positions.

When I joined the law firm, most of the staff had not had annual performance reviews for two years. (Challenge) Morale and productivity were very low, and there had been a high turnover of staff in recent months. (Context) I immediately set out to change this situation.

I met individually with employees to talk about performance expectations and to design tailored work plans for the following fiscal year. In addition, I used these sessions to learn about employees’ interest in training and developmental assignments, and offered my assistance as a mentor. (Action) I served as a mentor for two new employees, and they showed great potential for moving into mid-management positions.

After 9 months under the new work plans, I saw a significant improvement in morale as well as cooperation among staff members who previously had not worked well with their colleagues.

(Result)

As the office’s senior manager, I served as the primary buffer between my staff and our customers- -the firm’s attorneys. In one case, I was able to diffuse an explosive situation that developed when one of my employees felt he was being unfairly pressured to design a new software program within a very short deadline. (Challenge)

The two employees had engaged in several shouting matches within ear shot of several attorneys and members of my staff. The entire firm was on edge, and the relationship between the attorneys and my staff had deteriorated as a result of this two-man battle. (Context)

I urged the men to meet with me and talk about the project and the attorney’s expectations. (Action) After two long sessions, the attorney agreed to stop monitoring my employee’s progress and to extend the deadline date. (Result) The tension in the office dropped significantly after this situation was resolved. In addition, my employee produced an excellent new software program for his client. (Result)

ECQ 3 Results Driven

This core qualification involves the ability to meet organizational goals and customer expectations.

Inherent to this ECQ is the ability to make decisions that produce high-quality results by applying technical knowledge, analyzing problems, and calculating risks.

Competencies Accountability Customer Service Decisiveness Entrepreneurship Problem Solving

Guide to the SES Qualifications June 2010

Technical Credibility

Example: Results Driven

During my 10-year residence in Springfield, IL, I did volunteer work for the Citizens Budget Committee, and was later appointed to the city’s Zoning Commission. I acquired a broad-based knowledge of city planning regulations and policies and an understanding of how local politicians vote on particular issues. Because of my successful track record in those positions, the Mayor asked me to lead a citizens group in planning and implementing a City Improvement Program.

(Challenge)

I recruited approximately 50 volunteers and educated them in the areas of public and municipal finance and capital improvement planning. (Action) The team was committed to serving their customers--fellow residents--and to meeting the Mayor’s high expectations for improving the quality of life in Springfield. (Context) I led the volunteers in a local election campaign to increase the city sales tax from 4 to 5 cents. I marketed the idea by talking to citizens groups and local politicians, describing the benefits of an attractive city and better access to recreational facilities.

(Action) These meetings were covered by local TV and radio stations, which helped to spread our message.

In the local election, citizens voted to increase the sales tax to 5 cents. The additional $1.5 million raised annually through the tax increase was used to establish additional parks, athletic fields, walking and bike trails, and other recreational facilities. (Result)

I have a proven track record of getting results in the Federal sector as well, through careful planning that includes anticipating problems. After becoming Budget Director, I was immediately faced with implementing a congressional mandate to cut the agency budget by $25 million before the start of the next fiscal year. (Challenge) To reach this goal, I knew we would have to make major reductions to funding, facilities, programs, and staff, particularly scientists and engineers.

The cuts would be made at a time when agency managers were putting more of a demand on technical support from these specialists. (Context)

I organized task groups of functional and program staff from the field and headquarters and assigned specific priorities to each group. (Action) Over the next 4 months, these employees developed various options to accommodate the reductions, taking into consideration the interests of our scientists and engineers, managers who rely on these professionals, congressional demands, and the agency head’s interest in complying quickly with Congress. (Context) Under my leadership, the task groups prepared several different plans for making the budget cuts.

At the same time, I directed by staff to develop computerized spreadsheets that allowed managers to immediately see the impact of their funding decisions. (Action) Later, we used this system and related processes to continually adjust the reduction targets as cost savings information was refined, allowing almost instantaneous mid-course corrections to the list of reduction targets.

Well before the start of the new Fiscal Year, we presented several alternatives to the agency head, who selected one of the options with few modifications. He praised the entire team for its hard

Guide to the SES Qualifications June 2010 work and innovation in designing a plan that would enable us to absorb the heavy reductions with minimal impact on the agency’s mission. (Result)

Example: Results Driven

During my career, I have consistently used a results-driven approach in handling all aspects of my responsibilities. I effectively leveraged my experience and leadership, human capital resources, technology, and program management tools to achieve these results. While Vice President and Controller of a global corporation, I was asked to lead an initiative to improve the profitability of one of our lines of business in Canada that included a multitude of clients and services. (Challenge) The business line was worth in excess of $50 Million, and I was accountable for improving its bottom line while increasing profit margins. The initiative began in September 2008. The business unit leader of this particular line of business was new to his role, as was his direct supervisor. I was under tremendous pressure from the highest levels of the organization to show improvement. In fact, I was required to make weekly reports on our progress. (Context)

In order to address the initiative, I formed a cross functional team consisting of me, the business unit leader, operations, sales, and business development. There were numerous and overlapping timelines and project items. Each item had both a team member assigned to it and an allotted amount of time for completion. I kept all project timelines very tight in order to mitigate complacency and keep overall momentum at an acceptable pace. I delegated specific duties to team members and held each one accountable for efficient time management and effectiveness. I held weekly and monthly meetings, as well as any necessary impromptu meetings or phone calls to maintain accountability. (Action)

The primary trial the team faced was the lack of guidance from senior management. (Challenge) There are times when it makes sense to wait for highly specific guidance and direction, and there are times when people in positions of leadership are required to make decisions based upon experience and judgment. This was such a time, so I decided to establish and communicate our intended strategy to senior management and to keep team momentum moving forward. (Action) At the very least, I was determined to fight complacency by offering viable solutions to upper management. I had been tasked to improve the profitability of a line of business, and felt that inactivity would only serve to further undermine profitability. In the end, my proactive attitude paid huge dividends.

We created a database of profit and loss results by client compared to budget. We then segmented clients into four primary categories: Retain (good profit), Divest (low volume, not strategic), Low Price (Renegotiate), and Low Price (Strategic). In addition, we established a profit margin threshold for all business services. The segmentation was a result of establishing criteria on which specific services we would offer and which clients we would retain. While remaining highly sensitive to our client relationships, I directed the formulation of a transition strategy for those businesses we would exit and for those businesses with which we could not renegotiate a better profit position. In the process of evaluating the business line, we commonly received requests for low margin accounts to be strategic. We accepted the notion of strategic accounts but set a time limit for holding lower margin business that failed to meet the established target. (Action)

Guide to the SES Qualifications June 2010

Within approximately 3 months, the business line the CEO tasked me to improve migrated from a 30% loss to a break-even disposition. Further, the business is now on a trajectory to earn a 15% profit as a percentage of revenue. The primary drivers of the improvement depended on exiting unprofitable services and clients. Consequently, headcount was reduced and process improvements implemented to improve productivity and leverage common activities across similar clients.

(Result)

ECQ 4 Business Acumen

This core qualification involves the ability to manage human, financial, and information resources strategically.

Competencies Financial Management Human Capital Management Technology Management

Example: Business Acumen

As Director of Policy for the New Jersey Department of Transportation, I manage a $1.2 million budget and play a leadership role in setting manpower levels for all Department offices. These decisions are based on the Department’s 10-year Mission and Values statement, which follows the New Jersey Secretary of Transportation’s goals.

As chair of the seven-member Executive Committee, I determine expenditures for the Department’s divisions and programs--an annual budget of $3 billion. We set priorities by monitoring expenditures relative to forecasts for each program and the prior year’s expenditures.

For example, several years ago during a particularly bad winter we made a decision to spend additional money on snow removal and to reduce funding for lower priority maintenance such as spring/summer grass cutting along the highways. (Challenge) Before making this decision, I met with Committee members to review upcoming expenditures and how this budgeting shift would impact various office budgets. (Action) In previous years, the Department had been severely criticized for not responding quickly and appropriately to hazardous road conditions. (Context)

As a result of our decision, we had the fewest weather-related traffic accidents in 12 years, and the Department received very high marks from New Jersey citizens. (Result)

I have designed budget strategies to support Departmental priorities. These strategies include coordinating with other executive agencies and outside stakeholders, and targeting State legislators as patrons. When key interest groups oppose the Department’s legislation, I negotiate with them to achieve consensus, where possible.

For example, the Department was interested in clarifying the law with respect to payment when utilities must be moved from a Transportation Department right-of-way. (Challenge) Two major utility companies were opposed to the proposal. (Context)

Guide to the SES Qualifications June 2010

I selected a General Assembly committee Chair to introduce a study resolution requiring the Department, the utility companies, and other stakeholders to collaborate, develop a proposal, and report back to the General Assembly the next session. (Action) The Department negotiated with all of the interest groups and designed an acceptable approach. (Context) The same legislator introduced the resulting legislation the following year and it was passed by the General Assembly.

Companies must now pay for moving their utilities from rights-of-way; this savings is reflected in the Department’s budget. (Result)

As a member of the Department’s Steering Committee, which is composed of Department heads from the internal audits and finance offices, and a team from the information systems office, I led the development of a new information management system. (Challenge) The Fiscal Management System was designed to ensure that financial and manpower reports would be accessible to all senior managers and that the information would be used in the Department’s strategic planning process; this was not the case with the older system. (Context) The new system has been in place for two years and has been praised by managers throughout the Department. (Result)

Example: Business Acumen

I have gained extensive experience in managing financial, human, and information resources while working at the Veterans Affairs Medical Center in Arlington, VA.

Currently, as the Medical Center’s Budget Director, I am responsible for managing a $150 million budget. This role has included making some tough financial decisions. For example, several years ago I led the development of a controversial plan to close a Veterans Affairs (VA) nursing home that had been in the neighborhood for 40 years. (Challenge) The nursing home had been losing money for several years. In addition, the Medical Center’s 5-year budget did not include funding for much needed repair work at the aging facility. (Context)

I spent 6 months negotiating with union representatives, VA patients and their families. (Action) These emotionally charged sessions were held weekly; input from all of the stakeholders appeared in the final plan. The plan to close the nursing home was accepted by VA headquarters after intense negotiations with union officials, congressional offices, patients, and the affiliated university. (Result) In addition to saving the Department approximately $4 million annually, we found new Federal positions for all displaced employees and received minimal complaints from VA patients and their families. (Result)

Recently, I envisioned and implemented changes to our Medical Center’s Funds Management Program. (Challenge) Under my leadership, our Financial Officer automated the program, creating spreadsheets that use macros to automatically extract payroll data from the system. (Action) This information is distributed over our network to Service Chiefs for use in managing their salaries and expenses budgets.

This decentralized budget program, which is updated every week, has been very popular with our Service Chiefs. (Context) They cite it as an invaluable tool in achieving their goals. Last year, this automation tool saved the Medical Center $3 million. (Result)

Guide to the SES Qualifications June 2010

Earlier in my career, I was the Medical Center’s Senior Supply Officer. I led 15 District Supply Officers in designing several innovative contracts with community hospitals. (Context) For example, we contracted with a local hospital to acquire their stand-alone Women’s Outpatient Clinic. (Challenge) The contract included $230,000 to purchase the clinic and an annual recurring cost of $300,000.

After weeks of negotiating with hospital employees and their union representatives, I developed a plan to staff the Clinic with community hospital employees. (Action) This action minimized hardships on the hospital employees and saved time by avoiding the longer process of announcing the Clinic vacancies. (Result)

The result has been a 45 percent increase in the number of female VA patients treated in the area.

In follow-up surveys, patients and their families report that they are very pleased with the care and facilities at the Clinic. (Result)

ECQ 5 Building Coalitions

This core qualification involves the ability to build coalitions internally and with other Federal agencies, State and local governments, nonprofit and private sector organizations, foreign governments, or international organizations to achieve common goals.

Competencies Partnering Political Savvy Influencing/Negotiating

Example: Building Coalitions

While I was Director of my state’s Environmental Protection Agency, the state’s economy was in decline and revenues were significantly below budget projections. The Governor made uniform cuts in agencies’ budgets and I was looking at the need to lay off 5% of my agency’s staff of 1000.

(Challenge) In addition, the U.S. Environmental Protection Agency was pressuring the state to increase staffing in two program areas or face possible sanctions. (Context) Since state general revenues and Federal grants would no longer support the full range of the state’s environmental programs, I developed two options for consideration by the Governor and General Assembly.

(Action) The first would be to turn the state’s Clean Air Act permitting program and Public Drinking Water Program over to the Federal Government for administration, reduce staff to meet state budget cuts, and reassign air quality and public drinking water staff to other programs. The second, and preferred, alternative was to request authority from the General Assembly to substantially raise the fees charged by the agency for the regulatory actions (such as permits and authorizations) it administered. I proposed that user fees fund half the costs of the regulatory programs within the agency. These fees would allow me to hire needed staff to meet permitting timelines established by state law, and fully meet new Federal program requirements.

After persuading the Governor to raise fees, I sat down with senior staff and put together a plan to sell the idea to business groups, environmental organizations, the General Assembly and ultimately

Guide to the SES Qualifications June 2010 the public.