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RESEARCH Notes

Practical
Questions
in Building
Competency
Models
By Dr. Richard S. Mansfield
Table of Contents

Introduction..........................................................................................................3

The First Competency Model................................................................................3

The Evolution of Competency Modeling...............................................................4

How Are Competency Models Built Today?..........................................................7

Resource Panels......................................................................................................... 7

Critical Event Interviews............................................................................................ 8

Generic Competency Dictionaries.............................................................................. 9

Other Sources of Data...............................................................................................10

Key Questions for HR Professionals Building Competency Models................... 12

1. What HR application should we include in the initial model building project?.... 12

2. What will the key users of the model need from it?..............................................14

3. How should key stakeholders be involved?...........................................................17

4. How extensive should the data collection be?.......................................................17

5. How should we balance research with intuitive approaches?............................... 19

6. What format of behavioral descriptors will best suit the application?.................. 23

7. How do we plan to accommodate additional, future competency models?........... 29

Concluding Thoughts.......................................................................................... 32

Suggested Additional Readings........................................................................... 33

©2005, Workitect, Inc.


All rights reserved. No part of this publication may be altered,
reproduced, stored in a retrieval system or transmitted in any form
or by any means, electronic, mechanical, photocopying, recording,
or otherwise, without the prior written permission of Workitect, Inc.

page  www.workitect.com
Practical Questions in Building outstanding performance in the position.
Competency Models They first identified contrasting samples
of outstanding performers and average
Introduction performers, by using nominations and
Competency modeling, an approach ratings from bosses, peers, and clients.
originated 30 years ago, has become a Next, the research team developed a
mainstream practice in human resource method called the Behavioral Event
management. Over that period, the Interview, in which interviewees were
methodology has evolved, partly in asked to provide detailed accounts, in
response to changes in organizations short story form, of how they approached
and the workplace, and partly in several critical work situations, both
response to the needs of people using the successful and unsuccessful. The
competency models to address specific interviewer used a non-leading probing
needs in organizations. I will begin with strategy to find out what the interviewee
a brief discussion of the original creative did, said, and thought at key points within
insights from the development of the first each situation. To analyze the data from
competency model, because some of these the interviews, the researchers developed
insights are still relevant today. Next, I will a sophisticated method of content analysis,
describe how changes in organizations to identify themes differentiating the
and the world of work have affected the outstanding performers from the average
practice of competency modeling. In performers. The themes were organized
the rest of the paper, I will draw on my into a small set of “competencies,” which
own experience in competency modeling the researchers hypothesized were the
over the past 20 years, to discuss seven determinants of superior performance in
practical questions for human resource the job. The competencies included non-
professionals and others who are planning obvious ones such as “Speed in Learning
to develop competency models in their Political Networks”; the outstanding
organizations. officers were able to quickly figure out
who could influence key people and what
The First Competency each person’s political interests were.
Model
The first competency model was The Evolution of
developed in the early 1970’s by the Competency Modeling
eminent psychologist David McClelland From this initial study, the McBer
and others at a fledgling consulting firm team developed a methodology that
called McBer and Company1. The U.S. dominated the practice of competency
Department of State was concerned ab model building for the next 10-15 years.
out the selection of junior Foreign Service Key insights from the initial study are
Information Officers, young diplomats still highly useful in competency model
who represent the United States in various building today: the focus on outstanding
countries. The traditional selection criteria, performers, use of behavioral event
tests of academic aptitude and knowledge, interviews, and thematic analysis of
did not predict effectiveness as a foreign interview data, and distillation of the
service officer and were screening out too results into a small set of competencies
many minority candidates. described in behaviorally specific terms.

When asked to develop alternative The method differed from traditional


methods of selection, McClelland and his job analysis in several ways. Job analysis ©2005, Workitect, Inc.
All rights reserved. No part of this publication may be altered,
colleagues decided that they needed to focused on understanding tasks and reproduced, stored in a retrieval system or transmitted in any form
find out what characteristics differentiated or by any means, electronic, mechanical, photocopying, recording,
the skills needed to perform each task; or otherwise, without the prior written permission of Workitect, Inc.
1 McClelland provides a description of the study in his introduction
to Competence at Work, by Lyle M. Spencer, Jr. and Signe M. competency modeling, however, focused
Spencer. New York: Wiley, 1993.

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on personal characteristics needed identification of criterion samples
for success in a broader job role. And of superior and average performers,
while job analysis focused on effective behavioral event interviews, thematic
performance, competency modeling analysis of transcripts of half the interview
focused on outstanding performance. sample, and cross validation through
Practitioners of job analysis attached coding and statistical analysis of the other
credibility to the views of job holders and half of the interviews. During this period,
other subject matter experts about what is competency models were most often
important for effectiveness. Competency used to guide selection and professional
modelers believed that only outstanding development.
performers could provide insights
about what is important, but that even Today, 30 years after the first
outstanding performers could not always competency model, more than half of
articulate the secrets of their success. the Fortune 500 companies are using
Finally, while job analysis often led to competency modeling. Consultants
long lists of tasks and their associated working in the McBer tradition are
skill requirements, competency modelers still building many models, but these
distilled the results of their studies into a consultants have been joined by many
relatively small set of underlying personal other consultants using different
characteristics. methodologies. With market pressures
to build models more quickly and less
It is interesting to speculate about expensively, there is less emphasis on
why competency modeling took hold methodological rigor.
and became widespread. The interest
value of competency models may be Over the last decade and especially
one reason. Personal characteristics are in the last five years, organizations have
more interesting than tasks, and insights begun to use competency models in
about outstanding performance are more new ways. Many organizations that have
interesting than those about effective redesigned their work processes and
performance. Another reason for the restructured their jobs have developed
success of competency models is that competency models for newly designed
they work well as unifying frameworks jobs for which there are few, if any, job
for a variety of applications in human incumbents with experience. These
resource management. A manageable new competency models, of necessity,
set of personal characteristics can serve describe emerging and anticipated skill
as a conceptual framework for selection, requirements, rather than skills that
assessment, professional development, have been effective in the past. Many
performance management, and other organizations have taken a “one size fits
human resource programs. Finally, all” approach to competency modeling,
competency models work well as vehicles by developing one competency model,
for driving organizational change. In my usually for leaders, and applying this
own work, I have developed models that model to a large set of jobs, sometimes
include competencies with names such even non-managerial ones. Other
as “Promoting Innovation,” “Accelerating organizations have moved in the opposite
Change,” and “Valuing All People.” direction, by simultaneously developing
multiple competency models for different
The first ten years of competency jobs within an organization.
©2005, Workitect, Inc.
All rights reserved. No part of this publication may be altered, modeling were dominated by consultants
reproduced, stored in a retrieval system or transmitted in any form Competency models are still most
or by any means, electronic, mechanical, photocopying, recording,
trained in the McBer approach.
or otherwise, without the prior written permission of Workitect, Inc. This approach involved a rigorous often used to support selection and
research methodology, which included professional development, but a new

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type of developmental assessment – “360 with high-impact language that holds the
feedback,” competency assessment by reader’s attention.
self, manager, peers, direct reports, and
customers – has become a new human How Are Competency
resources application in its own right. Models Built Today?
Consultants and HR professionals
In the past ten years there have also have developed a variety of approaches to
been changes in the workplace which affect model building, but some common patterns
competency model building. Because are evident. There are three widely used
organizations are changing more rapidly, sources of data for competency models:
the “shelf life” of a competency model has (1) resource panels or focus groups with
diminished. Frequent reorganizations subject matter experts, (2) critical event
change job roles and make existing job interviews with superior performers, and
descriptions and competency models (3) generic competency dictionaries.
obsolete. Competency models are often
Resource Panels
needed for new and critical jobs, even
Resource panels may include job
though there are few employees with
incumbents, people who manage job
experience in these jobs and fewer still
incumbents, and others, such as human
who could be considered outstanding
resources and training staff, who have
performers.
worked closely with job incumbents.
A resource panel usually follows a
Staff functions, such as human
structured process, to get participants to
resources, have become leaner, so that the
think systematically about the job and the
remaining staff have more responsibilities
personal skills and other characteristics
and job pressures and less time for
needed for effectiveness. The facilitator
discretionary, additional activities
poses a series of standard questions
such as investing time in competency
(e.g., about the main responsibilities and
model building. Thus, more of the
tasks, formal and informal performance
model building work falls to external
measures, most challenging types of
consultants. At the same time, human
situations encountered, and personal
resources staff are under more pressure to
characteristics required for effectiveness)
produce results quickly, and this means
and captures respondents’ ideas on a
implementing a useful human resources
flip chart. A key section of the panel,
application, not simply developing a
sometimes called a “future scan,” involves
competency model. The budget for the
asking participants about emerging
development of a new competency model
changes in the organization, industry,
must therefore compete with the budget
marketplace, and technology, and the
for its applications.
implications of these changes for the job
under consideration. I usually close my
Organizational changes have also
own resource panels with an exercise in
affected employees, who are the “end users”
which participants review a set of generic
of competency models. The increased
competencies and rate their importance
intensity and pace of work make it more
in light of the preceding discussion.
difficult to get employees to participate
in model building activities, especially
Besides providing a forum for input
resource panels and focus groups. Perhaps
about the job, a resource panel is an
because of the pace of work, employees’
organizational intervention that allows ©2005, Workitect, Inc.
attention span, their tolerance for All rights reserved. No part of this publication may be altered,
formal input from different organizational reproduced, stored in a retrieval system or transmitted in any form
complexity, and their willingness to read
constituencies. If it reconvenes after a or by any means, electronic, mechanical, photocopying, recording,
have diminished. As a result, competency or otherwise, without the prior written permission of Workitect, Inc.
draft model has been prepared, the panel
models need to be leaner and simpler,

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can help guide decisions about the final the model building project.
content or structure of the model.
But these interviews have unique
Sometimes, instead of holding a single value; they can provide highly detailed
resource panel, several are held, with examples of how specific competencies
different sets of stakeholders. For example, are actually demonstrated by job
in the development of a leadership model incumbents. Because of their value, the
for upper middle managers, we held interviews are usually included in model
four focus groups: one each with job building projects focused on a single,
incumbents, senior managers, direct critical job. But when an organization
reports of job incumbents, and HR staff. wants to develop multiple competency
Another common variation is to use models for a number of jobs, the time and
interviews with senior managers to do a cost of including the interviews are often
future scan. prohibitive.

Critical Event Interviews Generic Competency


Critical event interviews with Dictionaries
superior performers provide the second Some consultants and HR professionals
main source of data used in building with extensive experience in competency
competency models. Some researchers modeling have developed generic
use behavioral event interviews much competency dictionaries: conceptual
like those developed in the early years of frameworks of commonly encountered
competency modeling. Behavioral event competencies and behavioral indicators.
interviews involve in-depth probing These generic competency dictionaries
of a small number of broad events or typically have 20 to 40 competencies,
experiences. Conducting these interviews each with 5 to 15 behavioral indicators.
requires mastering a sophisticated
probing strategy. Other researchers have A generic competency dictionary
developed different types of critical event has several uses in model building.
interviews, which usually involve more First, it provides a common conceptual
limited probing of a larger number of framework or starting point for the model
events and experiences. building team. The framework is useful
in categorizing initial ideas about job
If critical event interviews are used, requirements, and the model building
they are almost always tape recorded and team can feel free to modify or add to the
transcribed, so that a consultant can read framework. Second, the framework can
and analyze information from them. Using be used in a resource panel by asking
these interviews significantly increases participants to rate the importance of a
the time and cost required to develop a set of generic competencies selected for
model. Suppose, for example, that an relevance to the job.
organization decides to include interviews
with 12 superior performers. Interviews Third, the framework can be used
are usually one to two hours in length, and to guide the analysis of critical event
a consultant can conduct as many as three interviews. In some of my own consulting
interviews per day. Individual reading projects, for example, I have trained
and analysis of an interview takes about project team members to use a generic
half a day. After the individual analysis, competency framework to note and
©2005, Workitect, Inc.
the analysis team usually meets for one to record in a spreadsheet each instance of
All rights reserved. No part of this publication may be altered,
reproduced, stored in a retrieval system or transmitted in any form two days to integrate the interview data. each generic competency. The analyst
or by any means, electronic, mechanical, photocopying, recording,
or otherwise, without the prior written permission of Workitect, Inc. Thus, including the 12 interviews in the uses a spreadsheet form to record the
process could add 12 consulting days to interviewee’s initials, the page number

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from the transcript, a paraphrase of the of people in a job.
significant behavior, and the names and
numbers of relevant generic competencies For certain jobs, such as telephone
and behavioral indicators. When we customer service representatives,
combine the data from each analyst’s it is possible to observe or record
spreadsheet, we create a database that we job incumbents in action. For most
can sort in multiple ways. For example, professional and managerial jobs,
we can quickly print out a list of all observation is impractical, because
instances of a generic competency and its critical behaviors are unlikely to occur
individual behavioral indicators. We can during a limited observation period, and
also tabulate the number of instances of because the presence of the observer may
each element of the generic dictionary. influence the behavior of the individuals
The final model is not limited to concepts being observed.
from the generic competency dictionary.
We may conceptualize a competency For jobs with external customers,
by drawing from more than one of the such as some sales and customer
generic competencies; and sometimes we support jobs, it can be helpful to conduct
identify new competencies unrelated to interviews with customers of superior-
any of the existing generic ones. performing job incumbents. Besides
being able to describe effective behaviors
Generic competency dictionaries of people in the target job, customers can
are essential when developing multiple also describe what representatives from
competency models within the same other, competing companies have done.
organization, to ensure that common skills
and characteristics are always described When an industry is changing rapidly,
with the same competency names. The or when an organization believes it has
organization reviews and revises a set of few exemplars of superior performance,
generic competencies, which then serve it is useful to interview industry experts.
as building blocks for the construction Industry experts may have a good
of the individual competency models. understanding of the marketplace trends
Whenever a competency is used, it has and opportunities and the realistic
the same general definition, but the strategic alternatives open to a company.
behavioral descriptors can vary from one These strategic alternatives may dictate
job to the next. the selection of leaders with particular
skills and competencies. The insights
Other Sources of Data of an energy industry consultant were
Although most competency models extremely helpful to me, in developing a
rely on some combination of the three competency model to guide selection of a
data sources just described – resource new chief executive officer of an electrical
panels, critical event interviews, and and gas utility company.
generic competency dictionaries – other
sources are sometimes used. For example, Expert systems for job analysis can
some researchers use surveys with all job serve as an alternative or a complement
incumbents to validate a competency to a resource panel. The expert system
model. But there is some question whether includes a job analysis software program
the views of all job incumbents represent that poses questions about job tasks, work
an appropriate basis for validation. The processes, and the working environment.
©2005, Workitect, Inc.
history of competency research shows that Based on the answers to the questions, All rights reserved. No part of this publication may be altered,
superior performers often demonstrate the program generates a competency reproduced, stored in a retrieval system or transmitted in any form
or by any means, electronic, mechanical, photocopying, recording,
skills and characteristics that are not even model from a set of pre-programmed or otherwise, without the prior written permission of Workitect, Inc.
understood or appreciated by the majority generic competencies. When used with

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an appropriate group of subject matter not always feel a need to have an initial
experts, experts can quickly generate a application in mind when building a
competency model. But the model cannot competency model. Competency models
reveal new competencies or technical were a novelty, and many organizations
skills that are not included in the generic wanted to build one first and only
set. afterwards think about how to apply it in
the organization.
Key Questions for HR
Professionals Building Experience changed my thinking.
Competency Models
Too often, I saw organizations build a
I have described how competency
competency model but never get around
models are built and some options
to applying it. And a competency model
regarding the use of different sources of
alone provides little value to anyone. I
data. When planning the development
now believe that it is essential to have
of a competency model or models, there
a particular HR application in mind
are practical considerations that affect
when building a model and build the
the design of the project, the format and
implementation of that application into
content of the competency model, and the
the initial project plan.
success of the project’s implementation.
The following seven questions may be
There are three important reasons
useful to HR professionals responsible for
for doing this. First, the nature of the
planning and implementation:
intended application can shape the data
collection and analysis. For example, in a
1. What HR application should we
include in the initial model building project to construct a competency model
project? for sales professionals in a consulting
2. What will the key users of the firm, we knew that the competency
model need from it? model would need to be incorporated
into a sales training program. Since the
3. How should key stakeholders be
involved? training program would be built around
the selling process, it was important
4. How extensive should the data
collection be? to understand how the selling process
worked for different types of consulting
5. How should we balance research
with intuitive approaches? projects. We therefore organized a day-
long resource panel focused on defining
6. What format of behavioral
descriptors will best suit the the sales processes for both simple and
application? complex consulting projects. When we
later identified the competencies, we were
7. How do we plan to accommodate
additional, future competency able to link them to steps in the two sales
models? processes.
1. What HR application should
we include in the initial model A second reason for having an HR
building project? application in mind when building a
In the first years of my experience competency model is that a planned
in competency model building, I did application can shape the format of
not appreciate the importance of this the model, especially its behavioral
question. After all, competency models descriptors. For example, if the model will
had many potential uses – for diverse be used by managers to assess jobholders’
©2005, Workitect, Inc.
All rights reserved. No part of this publication may be altered, areas including selection, assessment, demonstration of the competencies, as part
reproduced, stored in a retrieval system or transmitted in any form development, performance management, of a performance appraisal, it is important
or by any means, electronic, mechanical, photocopying, recording,
or otherwise, without the prior written permission of Workitect, Inc. training design, and planning career to include behavioral descriptors of less
paths. Client organizations also did effective behaviors as well as effective

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ones. In one instance in my experience, There is a third reason for making
the leader of a work unit charged with the application part of the initial model
redesigning a high tech organization’s building stage: ensuring that money and
business processes wanted to be able other resources will be available for the
to give regular performance reviews application. If the initial application is not
in which he assessed people on their part of the budget for the model building
demonstration of the competencies. After project, there is a chance that financial
considering various formats for rating support will no longer be available
levels of competency demonstration, when the competency model has been
we decided to identify three or four key completed. The organization receives
dimensions for each competency and to little benefit from its investment, until the
create rating scales for each dimension model is applied in a way that enhances
with specific behavioral descriptions productivity.
of effective and less effective behaviors
for each dimension. The bipolar rating 2. What will the key users of
scales made it easier for the manager to the model need from it?
give accurate feedback and to explain The planning of a competency model
low ratings to jobholders. With this requires identifying the most important
application in mind, we convened groups stakeholders and users and considering
of subject matter experts to consider the how they will want to use the model.
requirements for each job. The group
People in the job often want to use
drew on a set of generic competencies
a competency model to provide a recipe
to help identify and conceptualize the
for success. These users are asking,
most important competencies for the
“What could I be doing differently that
job in question. Next we identified the
would make me more effective?” They are
key dimensions for each competency
likely to value very specifically worded
and discussed effective and less
behavioral indicators that describe
effective behaviors associated with each
what to do, with whom, and in what
dimension.
circumstances. A matrix linking the
As the external consultant, I took competencies to major job tasks is also
the information from these sessions and helpful to job incumbents.
prepared draft competency models with
Supervisors can use the same
key dimensions and bipolar rating scales
detailed information to assist in
for each dimension. At a second session
coaching jobholders. Since part of
with the subject matter experts for the job,
a supervisor’s job is also providing
we reviewed and revised the model, key
detailed feedback about effective and
dimensions, and behavioral descriptors.
less effective behaviors, descriptions of
The final product for each job included
less effective behaviors associated with
a competency assessment rating form to
each competency are beneficial. For
be used when conducting performance
the same reason, supervisors may find
reviews. In this case, having a clear
it useful to have a matrix linking the
idea of the model’s intended application
competencies to key performance criteria
shaped both the data collection plan
and measures. Because supervisors are
and the format in which the model was
also in charge of hiring for the position,
presented. As a result, the model helped
they need a competency model that
the manager provide a high level of clarity
includes all of the important skills and ©2005, Workitect, Inc.
about desired behaviors and thus to All rights reserved. No part of this publication may be altered,
qualifications required for the position, reproduced, stored in a retrieval system or transmitted in any form
create a high-performing unit with high or by any means, electronic, mechanical, photocopying, recording,
including technical skills and educational
morale. or otherwise, without the prior written permission of Workitect, Inc.
credentials that are baseline requirements

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for all jobholders. in all phases of the project.

Human resources professionals who When competency models are needed


will be using a competency model have a for critical jobs, especially leadership
different set of needs. HR staff may need positions, the organization’s top executive
to build a shared conceptual framework is an important stakeholder. Top
of competencies and a common language executives often want to use competency
for describing the competencies. They models to drive organizational change.
can then facilitate matching skill profiles Top executives want competency models
to different jobs through selection, to be aligned with the organization’s
promotion, and career-path planning; strategy and most important values. It
and the creation of training and may be important to include competencies
development programs for people across describing needed leadership skills, such
a broad range of jobs. HR staff also need as “Change Management” or “Business
easy ways to compare the requirements Partnering,” as well as desired values,
of different jobs in the organization. It is such as “Integrity” and “Customer
useful for HR staff to be able to say which Orientation.”
competencies are required for a job and
the level at which the competencies need It may also be important to include
to be demonstrated, to achieve effective competencies that reinforce changes
performance. Since HR staff often need to in the organization’s structure, work
communicate and explain a competency processes, and culture. For example, for
model, they prefer competency models organizations that are moving away from
that are clear, simple, and written with hierarchical structures with supervisors
powerful language. to flatter structures in which much work
is done by self-directed work teams,
Because HR staff want others competencies in areas such as coaching
throughout the organization to use the and team facilitation become important.
model, they need to ensure buy-in to
the model by key stakeholders. All key When an organization’s top executives
stakeholders should be consulted or take an interest in a competency model,
included in generating data to build the they are likely to want it written with
model and in reviewing draft versions of powerful, high-impact language that can
the model, to ensure that it is complete inspire and motivate. Top executives are
and accurate. also likely to want the competency models
to provide a clear, consistent message for
HR staff must also ensure that the all employees. One way to do this is to
competency model can withstand potential have a common set of core competencies
legal challenges, which are more likely if that are the same for all employees.
the model will be used to guide selection
and hiring of staff. Using a rigorous, 3. How should key
systematic process of data collection and stakeholders be involved?
analysis is the best protection against To be successful, a competency
possible legal challenges. model building project must involve
key stakeholders. There should be
HR staff may be interested in careful consideration of how and when
acquiring not just a competency model to involve people most effectively. An
©2005, Workitect, Inc.
but the technology and training to build example from the development of a sales
All rights reserved. No part of this publication may be altered,
reproduced, stored in a retrieval system or transmitted in any form other competency models in the future. competency model for an information
or by any means, electronic, mechanical, photocopying, recording,
or otherwise, without the prior written permission of Workitect, Inc. If so, the project plan should include services consulting firm can illustrate the
training of HR staff and their participation process at work. To achieve buy-in from

page 10 www.workitect.com
the sales organization, the HR staff of an organization decides to hold more than
the organization wanted to engage many one resource panel, to accommodate two
of the sales representatives and their important groups that are geographically
managers, who were deployed in different remote from each other, or to gather
sales regions. In the initial project plan, a separate perspectives from job holders,
standard resource panel would involve six their managers, and their direct reports.
sales representatives and six managers of
sales representatives. There would be an If the job is essential to the
additional 12 interviews with superior- organization, it is important to include
performing sales representatives. But the critical event interviews with superior
HR staff wanted to involve more than performers. There are three key benefits to
these 18 sales representatives without adding interviews to a competency model
incurring the large costs of conducting building project. First, it is primarily
and analyzing additional interviews. In through critical event interviews that the
addition, another key stakeholder for the research team can develop good behavioral
project was an internal sales consultant descriptors of a competency. Good
who was charged with building an intranet descriptors specify what outstanding
system for tracking the progress of each performers actually do when they
sale. To involve this key stakeholder, demonstrate the competency. Second,
and to increase the number of sales analysis of critical event interviews may
representatives in the model building, reveal some competencies that would
we hit upon the idea of holding an extra not be mentioned in a resource panel.
resource panel. This panel, with 12 more Interpersonal and influence skills are
sales representatives, focused on defining areas that are often not well articulated
the complex sales process, an activity by participants in resource panels. Third,
that would meet the needs of the internal conducting and analyzing interviews
consultant, while adding value to the adds to the rigor of the research process,
competency model. an important consideration if the model
will be used for selection.
This project had another set of key
stakeholders: the four members of the The number of interviews should be
organization’s top management team. large enough to permit detection of themes
We arranged meetings with each of these demonstrated by as few as a quarter of
individuals, to provide a briefing on the the interviewees. If each theme must
project plan and progress to date and to be noticed in at least two interviewees,
seek ideas on how to ensure the project’s a minimum of eight interviews is
success within the organization. needed. Ten to twelve interviews are
more commonly used. Samples that
4. How extensive should the must include representatives from major
data collection be? geographical, functional, or demographic
The extent of the data collection groups may need to be a little larger.
depends on the significance of the job for
which the model is being constructed, the Because it is expensive to conduct
budget for the project, and the intended and analyze interviews, few competency
uses of the model. Almost every model studies today involve more than 20
building project includes a resource panel interviews for one job. In my experience,
or group meeting of subject matter experts. when there are 20 or more interviews,
A resource panel can accommodate up to ©2005, Workitect, Inc.
the analysis team has difficulty working All rights reserved. No part of this publication may be altered,
15 participants. With larger groups, it is with the large volume of themes and reproduced, stored in a retrieval system or transmitted in any form
or by any means, electronic, mechanical, photocopying, recording,
difficult to allow time for all participants examples. or otherwise, without the prior written permission of Workitect, Inc.
to respond to every question. Sometimes

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In addition to resource panels and Intuitive approaches rely heavily on
interviews, other sources (e.g., internal or the judgment and insights of the model
external customers) may furnish useful building team. There may be little, if
data. The HR professionals making the any, data collection and analysis, and the
decision about the project plan need to results of the analysis do not determine
consider whether the anticipated benefits what is included in the competency
of collecting additional data will justify model. Instead, the model building team
the additional cost. generates ideas about what to include in
the model and, after discussion, reaches
5. How should we balance consensus on the content of the model.
research with intuitive Intuitive approaches are driven more by
approaches?
values than by empirical results.
Research approaches to competency
model building emphasize systematic
The main advantage of intuitive
data collection and analysis, and a
approaches is that they can produce
priori decision rules about how much
competency models that include all of the
evidence is sufficient to warrant
elements that the model building team and
inclusion of competencies and behaviors
upper management believe are important
in the model. Research approaches
in the model. Intuitive approaches are also
also emphasize identifying coherent
less expensive, since they do not require
constructs of personal characteristics that
collecting and analyzing data.
are conceptually and empirically separate
from each other. The earliest competency
The chief disadvantage of intuitive
models built by McClelland and his
approaches is that they risk creating
colleagues used a research approach.
competency models that describe
Traditional job analysis, as practiced
behavior appropriate for a desired future
by industrial psychologists, also uses a
state, rather than for the current reality.
research approach.
In addition, the lack of methodological
rigor in constructing the models makes
The principal advantage of a research
them vulnerable to legal challenges.
approach is the validity of the resulting
competency model. A research approach
Few competency models today are
can accurately identify the behaviors
constructed with a pure research approach
currently demonstrated by superior
or with a pure intuitive approach. Most
performers and the beliefs by jobholders
HR staffs want to collect and analyze
and other subject matter experts about
data as part of the model building
what is currently important to superior
process. But they also want the freedom
performance. Because of its validity,
and flexibility to add competencies and
a competency model developed using
behaviors to the model to ensure that
a research approach can withstand
it reflects the organization’s values and
potential legal challenges.
strategic direction, and to demonstrate
responsiveness to the concerns of key
But research approaches are not as
stakeholders. Finding the right balance
useful for identifying what will become
between research and intuitive approaches
important in the future, especially when
depends on the values of the internal
only a few individuals in an organization
HR team, the preferences of external
have a clear strategic vision. Nor will a
consultants (if they are involved), and
©2005, Workitect, Inc. research approach generate a competency
All rights reserved. No part of this publication may be altered, the extent to which the team feels a need
reproduced, stored in a retrieval system or transmitted in any form model that is linked to a leader’s vision
to be responsive to the desires of upper
or by any means, electronic, mechanical, photocopying, recording, of where he or she wants to take the
or otherwise, without the prior written permission of Workitect, Inc. management and other stakeholders in
organization.
the model building process.

page 12 www.workitect.com
One method for balancing research The external consultants, working
and intuitive approaches is to use a with a team of internal HR staff, used an
research approach to develop a draft intuitive approach to develop a prototype
competency model and then to review model that reflected the values and
the model with key stakeholders. If one behaviors that leaders would need in order
or more of the key stakeholders urges to implement the desired cultural changes.
a change in the model, the internal HR The intuitive approach involved reading
team may decide to make the change speeches to clarify the CEO’s values and
(e.g., by adding a competency to ensure strategic direction and helping the HR
that the model is more closely aligned staff to articulate their own views of the
with the chief executive’s values). current leaders’ strengths and weaknesses.
We integrated this information with
This method was used in building our knowledge of generic competencies
a competency model for managers of for senior leaders to produce an initial
consultants in an information services draft version of the competency model.
consulting firm. When we reviewed The behavioral indicators for this model
the initial competency model with one were mostly drawn from a set of generic
of the senior executives of this firm, he competencies that we had distilled from
suggested that we add a competency our experience creating many other
called “Managing Through Processes.” leadership competency models. Then,
The firm had grown rapidly through over a one-week period, we held a series
acquisitions and by hiring staff from of telephone conference calls with an HR
many other organizations, and it needed team to revise and refine the prototype
to integrate and control this diverse model. Since the prototype model had to
talent. The consulting staff was being be shared with the CEO and other senior
taught to manage projects using a few leaders, it was critical that the model
standard methodologies. The addition of be credible. In addition, the HR team
the proposed competency, which had not believed that the model should have no
been evident in critical interviews with more than ten competencies.
outstanding performers, supported the
organization’s expansion strategy. After using a purely intuitive approach
to develop the prototype model, we shifted
Another hybrid method involves to research to validate and refine the
using an intuitive approach to develop model, interviewing 12 outstanding senior
a prototype competency model and managers. The HR staff selected a sample
then collecting data and revising the of high-performing senior managers
prototype model based on analysis of who were also thought to demonstrate
the data. This methodology, developed at least two of the competencies in the
by a colleague, Susan Ennis, was used prototype model. Since one purpose of
in developing a leadership competency the interviews was to clarify the behaviors
model for a large financial services by which the prototype competencies
company. The CEO of this company were demonstrated, some of the interview
wanted to change the company’s culture questions were designed to elicit critical
to ensure continued competitiveness in a events involving demonstration of specific
faster-moving marketplace. In the future, competencies that the interviewee was
this organization would need to develop thought to possess. For example, if a
products and services more quickly, senior manager was thought to possess
©2005, Workitect, Inc.
to form more business partnerships the competency “Influence Skill,” she All rights reserved. No part of this publication may be altered,
reproduced, stored in a retrieval system or transmitted in any form
with other organizations, and to might be asked to describe a situation in or by any means, electronic, mechanical, photocopying, recording,
demonstrate more teamwork and open which she needed to get another person or otherwise, without the prior written permission of Workitect, Inc.

communication. or group to provide resources or support


www.workitect.com page 13
for an initiative. performance. A competency’s definition
represents an underlying ability or trait,
Another purpose of the interviews and the behavioral indicators describe
was to reveal competencies and behaviors specific ways in which that ability or
that were contributing to effectiveness trait is demonstrated. For example, in a
but were not part of the prototype generic competency framework that I use
competency model. For this purpose we in my consulting work, the competency,
developed several questions to elicit more “Interpersonal Awareness,” has the
general critical events. For example, one following definition and behavioral
prompt was, “Tell me about a time when indicators:
you believe you demonstrated leadership
within the work unit that you manage.” Interpersonal Awareness: The ability
to notice, interpret, and anticipate others’
We tape recorded and transcribed concerns and feelings, and to communicate
the 12 interviews. We analyzed them this awareness empathetically to others.
by coding each interview for each
competency and behavioral indicator in a) Understands the interests and
the prototype competency model, and for important concerns of others.
a set of additional generic competencies b) Notices and accurately interprets
not included in the prototype. The what others are feeling, based on
their choice of words, tone of voice,
coding enabled us to tabulate the
expressions, and other nonverbal
frequency of demonstration of all of these behavior.
competencies.
c) Anticipates how others will react to
a situation.
The results of the coding analysis led
d) Listens attentively to people’s ideas
us to recommend some changes in the
and concerns.
prototype model, including the addition
e) Understands both the strengths and
of one competency: “Motivating and
weaknesses of others.
Energizing People.” The HR team, after
much discussion, decided to include the f) Understands the unspoken meaning
in a situation.
new competency, even though this meant
having one more competency than the g) Says or does things to address
others’ concerns.
desired ten in the final model.
h) Finds non-threatening ways to
6. What format of behavioral approach others about sensitive
descriptors will best suit the issues.
application? When behavioral indicators are used
Much of the value of a competency in a specific competency model, they
model comes from its behavioral are sometimes altered or written more
descriptors. There are three main options specifically, to describe how the behavior
for HR staff to consider: (1) behavioral is demonstrated in this job. For example,
indicators, (2) evaluative competency indicator (b) above was rewritten for use
levels, and (3) competency levels in a sales competency model:
describing job requirements.
• Notices nonverbal behavior and
The majority of competency models asks questions, when appropriate,
use the first and simplest option, to clarify its meaning.
©2005, Workitect, Inc. behavioral indicators. Behavioral Creating good behavioral indicators
All rights reserved. No part of this publication may be altered,
reproduced, stored in a retrieval system or transmitted in any form
indicators are descriptions of behaviors depends on conducting and analyzing
or by any means, electronic, mechanical, photocopying, recording, and thought patterns that are critical event interviews with outstanding
or otherwise, without the prior written permission of Workitect, Inc.
hypothesized to contribute to superior performers. Each behavioral indicator

page 14 www.workitect.com
is a theme derived from examples from measurement is open to question, since
several interviews. behaviorally anchored rating scales have
generally proved to be no more reliable
Behavioral indicators can also and valid than other, simpler rating
be taken or adapted from a generic scales.
competency dictionary, which includes
generic competencies and behavioral In my own work, I have found that
indicators previously identified in several rating scales with three or more levels
competency models. for each dimension of a competency
are too cumbersome. There are too
The second option for behavioral many behavioral descriptions to read,
descriptors is to use evaluative competency when assessing someone on twelve
levels. Under this option, several key competencies, each with two to four
dimensions are identified for each dimensions, with each dimension further
competency, and each dimension is ranked broken down into four or more descriptors
in order of effectiveness. The highest of different performance levels. Clients
level describes outstanding performance, have found it more useful to specify only
and the lowest level describes poor the highest and lowest levels, as in the
performance. Lyle and Signe Spencer used following example of a rating scale used
this approach to develop a generic set of to assess a competency called “Personal
competencies with levels. For example, Credibility:”
one generic competency, “Interpersonal
Understanding,” has two aspects: (a) DEPENDABILITY. Has difficulty meeting project 1 2 3 4 Completes work when promised,
deadlines or delivering work when promised. Deliverables even when this entails personal
depth of understanding of others, and
fall short of expectations. sacrifice. Often delivers value
(b) listening and responding to others. beyond immediate tasks.
Listening and responding to others has FAIRNESS. Sometimes treats people unfairly. 1 2 3 4 Makes a special effort to treat
these levels2: Demonstrates disrespect to individuals or teams during everyone fairly and avoid
their presence or absence. Shows unwillingness to favoritism; defends the interests
defend individuals. and rights of individuals not
-1 Unsympathetic present. Respected as an unbiased
contributor.
0 Not applicable or makes no attempt to listen
TRUSTWORTHINESS. Is sometimes dishonest or less 1 2 3 4 Is consistently honest and
1 Listens than forthcoming with people. Can be perceived as forthright with people; respects
2 Makes self available to listen deceiving co-workers or clients through choice of words confidentiality. Regarded as a
or actions. highly trustworthy individual in
3 Predicts others’ responses
whom clients confide
4 Listens responsively
5 Acts to help Creating behavioral descriptors in the
form of evaluative performance levels is
Each level has more specific most useful when performance appraisal
behavioral descriptors, which are too is planned as an immediate application.
lengthy to reproduce here. But, as an Once the competencies for the job are
example, the behavioral descriptor for identified, the content for the rating
Level 4 is, “Reflects people’s concerns, scales can be determined by meeting with
is easy to talk to; or responds to people’s managers of persons in the target job. Key
concerns by altering own behavior in a evaluative aspects for each competency
helpful, responsive manner.” can be discussed and identified.

When this approach is used, the A third option for descriptors is to


levels form a behaviorally anchored rating create levels describing the extent to which
©2005, Workitect, Inc.
scale. Whether this kind of rating scale a competency is required in a particular All rights reserved. No part of this publication may be altered,
reproduced, stored in a retrieval system or transmitted in any form
improves the reliability and validity of job. This alternative is most useful when or by any means, electronic, mechanical, photocopying, recording,
the multiple competency models are or otherwise, without the prior written permission of Workitect, Inc.
2Lyle M. Spencer and Signe M. Spencer, Competence at Work,
(New York: Wiley, 1993), p. 39. being created within an organization and
www.workitect.com page 15
the HR staff need a way to distinguish the As one moves from the basic level
requirements of the different jobs (e.g., to to the intermediate and advanced levels,
help people within the unit plan career the competency is demonstrated in
progression paths). larger groups and more challenging
situations. The behavioral descriptions
I used this approach in developing often target performance outcomes rather
competency models for a variety of than specific behaviors demonstrated to
jobs in the commercial sales division of achieve the outcomes.
a manufacturing company supplying
optical fiber for the telecommunications In deciding which type of behavioral
industry. The first step was to agree on descriptors to use – behavioral indicators,
a set of generic competencies, including evaluative performance levels, or levels
both technical and non-technical ones, to describing job requirements – the most
describe the skill requirements for jobs in important consideration is how the model
the commercial sales division. This was will be used. Sometimes, when a model
accomplished by reviewing, modifying, will be used in multiple ways, more than
and adding to a generic competency one set of behavioral descriptors may be
dictionary. Next, I drew on the generic created. For example, behavioral indicators
competency dictionary and other projects might be needed to support development
involving competency levels, to draft a set planning, and evaluative performance
of levels for the competencies. Drafting levels to support performance appraisal.
the levels required first identifying several
key dimensions for each competency and 7. How do we plan to
then writing behavioral descriptors of accommodate additional,
future competency models?
several levels. In this case, the internal
When competency models are
HR project team wanted three levels
needed in an organization with many
specifying basic, intermediate, and
different jobs, there are two basic
advanced demonstrations of each aspect
strategies for model building: “one-
of each competency. The levels for one
size-fits-all” approaches and multiple
competency, “Energizing Others,” are
model approaches. I will describe these
shown below:
two approaches as well as intermediate
A. Creating a Positive B. Energy and C. Fostering Teamwork approaches.
Climate Enthusiasm
Basic Develops a positive Serves as an Builds teamwork in a work unit. Invites
The first basic strategy, one-size-fits-
climate, marked by effective role model participation from all team members and
productivity and team for others, by values everyone’s contributions. all, involves creating a single competency
spirit, in a small work unit demonstrating hard model with one set of competencies
of motivated professionals. work and concern for
excellence. applicable to all jobs. Like most other
Intermediate Develops a positive Effectively uses Builds teamwork in an organizational unit competency models, a one-size-fits-all
climate in a medium- own presence composed of several work units. Fosters model usually comprises eight to fifteen
sized organizational unit, (enthusiasm and collaboration among work units within a
composed of several energy) to energize department. Effectively resolves conflict. competencies needed for effectiveness
work units of motivated small groups. in a broad job category, such as all
professionals and their
managers. management positions. The competencies
Advanced Develops a positive climate Energizes large Builds teamwork in a larger organizational in such a model must be general skills,
in a large organizational groups through unit composed of several departments. traits, and values, not job-specific skills.
unit; is able to turn around the force of his/her Develops team building skills in others.
a poor work climate. personality; easily Fosters teamwork with other, outside work
engages diverse units. The one-size-fits-all approach is often
groups (e.g.,
used when upper management wants to
employees at all
levels, customers). drive organizational change by sending a
strong message about the values and skills
©2005, Workitect, Inc.
All rights reserved. No part of this publication may be altered, reproduced, stored in a retrieval system or transmitted in any form or by any
needed for the future. This approach is
means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of Workitect, Inc.

page 16 www.workitect.com
also used when upper management or some of the generic competency names
HR prefers simple solutions, or when the and the language used in the definitions
HR staff want to quickly implement a and behavioral descriptors, so that the
program that will have broad impact. language is consistent with concepts and
terminology that are already used in the
The one-size-fits-all approach has organization.
several advantages. First, it provides
a simple, clear message to everyone The next step is to hold a resource
about what is important. Second, once panel or a meeting with subject
developed, the model and applications matter experts, to gather data to guide
based on the model are applicable to the decision about which generic
many employees. For example, one “360 competencies to include in the model for
feedback” instrument can be used with a particular job. Once the competencies
everyone whose job is included in the for that job are identified, the panel
model. Finally, the competency model can help select and modify behavioral
promotes the development of a common descriptors from the generic dictionary,
language for describing important skills to customize the description of how each
and characteristics. competency needs to be demonstrated in
that job. This process is repeated for each
But the one-size-fits-all approach job requiring a competency model. Each
also has significant disadvantages. One- competency model includes a subset of
size-fits-all models often describe values the generic competencies and may also
that are espoused or wished for, rather include unique, job-specific technical
than describing what it truly takes to competencies.
be effective in a job. I have seen many
organizations with a conspicuous lack The multiple model approach is
of teamwork include a “Teamwork” most likely to be used when competency
competency in a one-size-fits-all model, models are needed for many different
even though superior performers are jobs and when jobs have few features
more likely to need political savvy and in common. This approach is especially
a “thick skin.” Another disadvantage useful when the planned applications
is that employees may believe that the include careful matching of individuals
model does not really apply to their own to jobs, for selection, career planning, and
job. They may become skeptical or even succession planning.
cynical about the model. Finally, one-size
fits-all models are not as useful as job- The multiple model approach has
specific models in guiding selection and several advantages. First, because of
development for a particular job. its flexibility, the approach facilitates
development of a set of competency models
The other strategy for developing that encompass the jobs of all or most
models for people in a range of jobs is employees. Second, because the approach
to plan to build multiple competency generates competency models tailored
models from a common set of generic for each job, the models have high face
competencies. The first step is to identify validity and credibility. A third advantage
a set of 25 to 35 “building block” of this approach is that it facilitates
competencies to be used for constructing comparison of the requirements for
all job models. In applying this strategy, I different jobs – to design a compensation
©2005, Workitect, Inc.
try to meet with senior management and program or to plan career paths. When All rights reserved. No part of this publication may be altered,
HR staff to customize a generic competency the organization needs to select staff, the reproduced, stored in a retrieval system or transmitted in any form
or by any means, electronic, mechanical, photocopying, recording,
dictionary for use in this organization. multiple model approach helps identify or otherwise, without the prior written permission of Workitect, Inc.

Customization often involves changing which competencies are essential and

www.workitect.com page 17
desirable for a particular position. include in the model, and for formatting
the model and its behavioral descriptors.
The primary disadvantage of the The choices among the alternatives should
multiple model approach is its complexity. depend on goals of key stakeholders, the
For each job there is a different needs of key users, the budget and time
competency model, and the different available to develop the model, and the
models may generate a corresponding preferred styles of the model building
need for different competency assessment team.
forms, selection interview guides,
performance appraisal forms, and so on. What makes a good competency
The multiple model approach is likely model? The model must meet the needs
to create administrative work for HR of its key users. Each competency
staff. To deal with this complexity, some should be conceptually coherent and
organizations use software programs that different from the other competencies.
help identify the competencies for a job The behavioral descriptors should be
and manage assessments and other HR clearly and crisply worded. The model
applications based on the models. Another should also be parsimonious; including
disadvantage of the multiple model too many competencies and behavioral
approach is that because no competencies descriptors makes a model ponderous
are common to all jobs, top management to read and use. Finally, a good model
cannot use this approach to send a strong is often supplemented with components
message about values and skills that are that will add value for an intended HR
essential for the future. application.

Some organizations have adopted Suggested Additional


approaches that combine elements Readings
of the one-size-fits-all approach with Boyatzis, Richard E. The Competent
the multiple model approach. These Manager: A Model for Effective
organizations typically identify a small set Performance. New York: Wiley, 1982.
of core competencies, such as “Customer Cripe, Edward J. and Mansfield, Richard
Focus” and “Initiative,” that apply to all S. The Value Added Employee: 31
jobs but supplement the core set with Skills to Make Yourself Irresistible to
additional, job-specific competencies. Any Company. Houston: Butterworth-
The core competencies send a message Heinemann, 2nd Edition, 2002.
about shared values for the future, while Goleman, Daniel. Working with Emotional
the additional competencies ensure Intelligence. NY: Bantam Books, 1998.
that each competency model truly
describes the requirements for that job. Mansfield, Richard S. Building
The main disadvantage of intermediate Competency Models: Approaches for
approaches is that they tend to result in HR Professionals. Human Resource
competency models with larger numbers Management, 1996, 35 (1), pp. 7-18.
of competencies than would be the case Spencer, L. M. and Spencer, S. M.
using either the one-size-fits-all approach Competence at Work. NY: Wiley, 1993.
or the multiple model approach.

Concluding Thoughts
Planning the development of
©2005, Workitect, Inc.
All rights reserved. No part of this publication may be altered,
competency models is an exercise in
reproduced, stored in a retrieval system or transmitted in any form practical problem solving. There are
or by any means, electronic, mechanical, photocopying, recording,
or otherwise, without the prior written permission of Workitect, Inc. alternative methods for collecting and
analyzing data, for deciding what to

page 18 www.workitect.com

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