Exercise #1 Using the FI competency Strategic Thinking Analysis, discuss with participants the definition and the criteria. Once the structure of a competency has been explained, lead the participants in a discussion on the benefits of using competencies in HR activities. Supporting documentation: Copy of the Strategic Thinking Analysis competency.
FI Behavioral Competencies: Strategic Thinking - Analysis 5. Strategic Thinking Analysis: Public Service leaders advise and plan based on analysis of issues and trends, and how these link to the responsibilities, capabilities, and potential of their organization. They scan an ever-changing, complex environment in anticipation of emerging crises and opportunities. They develop well-informed advice and strategies that are sensitive to the various needs of multiple stakeholders and partners, reflect the strategic direction of the Public Service and position the organization for success. FI-01 FI-02 FI-03 FI-04 Plans and adjusts work based on a understanding of requirements and priorities and seeks clarification and direction, as appropriate Considers relevant information from various sources to form a comprehensive perspective Exercises sound judgment and obtains all relevant facts before making decisions Analyzes setbacks and seeks honest feedback to learn from mistakes Develops project work plans with an understanding of the functional area Links information across individual work to form a comprehensive perspective Tracks changing unit priorities and analyzes impact on peers, partners, stakeholders and/or staff activities Seeks clarification and direction, as required. Develops unit direction, based on a thorough understanding of the functional area Tracks changing division priorities and analyzes impact on unit work plans Coordinates information from multiple projects to form a comprehensive perspective Identifies interdependencies across unit projects Frames division/organization s direction with a thorough understanding of the directorate s priorities Integrates information from multiple sources to form a comprehensive perspective Identifies interdependencies in cross-functional projects 2
Simulation #1 Lead participants in how to prepare for a competency-based interview and in the selection of appropriate examples. Supporting documentation: SOMC, copy of the Strategic Thinking Ideas competency, and STAR formula. 3
Statement of Merit Criteria and Conditions of Employment FI-02 Position number : Selection process number Position Title(s) : Classification(s) : Financial Officer FI-02 Federal Organization(s) - Sub-Organization(s) : Location(s) : ************************************************************************ Essential Qualifications: Education: Graduation with a degree from a recognized university, with specialization in accounting, finance, business administration, commerce or economics AND experience related to positions in the Financial Management (FI) Group; OR Eligibility for a recognized professional accounting designation (CMA, CGA, CA) Experience: Experience in interpreting and applying policies, guidelines and procedures Experience in extracting, compiling and analyzing financial information and in preparing reports, including recommendations Experience in providing advice and support to managers on financial management matters Experience in at least one area of financial management within the federal public service 4
Knowledge: Knowledge of the Financial Administration Act and the Treasury Board s financial management policies, directives and guidelines Knowledge of accounting principles and standards (including GAAP, PSAB standards and IFRS) Knowledge of techniques, methods, procedures and practices related to financial management Knowledge of the department s mandate, governing legislation, and key roles and responsibilities. Competencies: Oral and Written Communications Engagement Strategic Thinking Ideas Values and Ethics ********************************************************************** Official Language Proficiency: BBB/BBB ********************************************************************** Asset Qualifications: N/A ***************************************************************** Operational Requirements: N/A ********************************************************************** Conditions of Employment: Security Clearance Enhanced reliability 5
FI Behavioral Competencies: Strategic Thinking - Ideas 6. Strategic Thinking Ideas: Public Service leaders advise and plan based on analysis of issues and trends, and how these link to the responsibilities, capabilities, and potential of their organization. They scan an ever-changing, complex environment in anticipation of emerging crises and opportunities. They develop well-informed advice and strategies that are sensitive to the various needs of multiple stakeholders and partners, reflect the strategic direction of the Public Service and position the organization for success. FI-01 FI-02 FI-03 FI-04 Translates directions Translates unit direction Translates the division s Translates vision and policy into into concrete work into concrete project direction into concrete unit concrete work activities activities activities work activities Develops division/organizational Suggests Develops solutions to Designs solutions to strategies, based on the improvements through recurring problems operational problems departmental vision and the innovative solutions, Encourages and Encourages and Director General s direction approaches, products incorporates creativity and incorporates diverse and Designs initiatives to enhance or services learning creative initiatives and operational efficiency Communicates ideas, Redesigns own and/or perspectives Encourages and incorporates views, and concerns staff work activities to Redesigns the unit s work diverse initiatives and effectively and meet changing project activities to meet changing perspectives respectfully and needs needs Redesigns the actively participates in Makes effective Considers the people division s/organization s work exchanges of ideas recommendations to components of issues and activities to meet changing with others (i.e. at management decisions departmental needs meeting or planning Teaches and learns from sessions) others Makes well-thoughtout recommendations to management Effectively transfers knowledge. 6
Sample letter to be sent to interviewees Following is a letter that can be sent to candidates who are being invited to a behavioral interview to help them prepare *********************************************** TO CANDIDATES PARTICIPATING IN BEHAVIORAL INTERVIEWS ANSWERING BEHAVIORAL INTERVIEW QUESTIONS Often, behavioral interviews are used when some of the selection criteria are based on competencies. Behavioral questions are designed to find out about your past experience and accomplishments that relate to the competencies required in the target job. For example, if communication has been listed as a job requirement on the Statement of Merit Criteria, you may be asked to describe a situation in the past when you demonstrated your communication skills. A thorough answer will cover the following elements: the situation or activity in which you were involved; the action you took to complete the activity or address the situation; the result of your action. This is called the STAR formula (Situation, task, action and result). PREPARING FOR THE BEHAVIORAL INTERVIEW Some hiring managers give the behavioral questions to candidates shortly before the interview. This will give you an opportunity to think of situations ahead of time which illustrate how you demonstrated the competencies being assessed. Recall as many details as you can about the situation so that you can talk specifically about how you acted and why, the actions and reactions of others and outcomes. If you don t receive the questions ahead of time, you can still prepare for behavioral questions. Once you ve reviewed the competency requirements listed on the Statement of Merit Criteria, recall times when you would have demonstrated these competencies. Again, try and remember as many specifics as you can, keeping in mind the three elements of a behavioral response - the situation, your actions and the results. When you are talking about the situation during the interview, think of it as telling a story about an event in your life. Using the attached STAR formula template can help structure your response. 7
The following is a blank template of the STAR formula ( situation, task, action and result ). STAR Formula Situation: Audit of relocation files Approximate date(s): Section 1: Situation (background to the situation: 50 to 100 words) Section 2: Task and Action (what you did, how you did it, and/or your role in the situation: 200 to 400 words) Section 3: Result (Outcome of the situation: 50 to100 words) Why is this a good example of how you met this competency? 8
The following is an example of a response to a behavioural based question for the Strategic Thinking Ideas competency at the FI-02 level using the STAR formula ( situation, task, action and result ). STAR Formula Situation: Audit of relocation files Approximate date(s): April 2010 January 2011 Section 1: Situation (background to the situation: 50 to 100 words) Department required an audit of its relocation files. However, in the past the audit procedures and auditing process for this particular type of audit had been done by a single individual. This time around, the file was to be worked on by a team. As a result this required modifications to the procedures. Section 2: Task and Action (what you did, how you did it, and/or your role in the situation: 200 to 400 words) I was asked to develop a work plan, conduct the analysis and propose recommendations to management. I reviewed the current procedures, analyzed the methods and techniques used as part of the audit, identified those procedures that could be used for the purposes of this year s audit, redesigned them to make them easier to follow and practical for a team. I developed a checklist to simplify the audit work and recording of results. I shared my ideas and recommendations with the team. My proposals were well accepted and feedback received from the team was incorporated into the work plan to further improve the process. A backlog of audit files also existed. I recommended to management a way to remediate the problem by auditing the current year files first so that if any action needed to be taken, it could be done as opposed to starting with the older files first. I also recommended setting a materiality level for the audits. All recommendations were accepted and implemented. Section 3: Result (Outcome of the situation: 50 to100 words) The audit was completed on time and the proposed recommendations were approved and implemented. This is a good example of how I meet this competency as I played a critical role in the success of this audit by designing the work plan and modifying the audit procedures for a team setting. 9
Simulation #2 Participants will be lead through the first four steps of the competency-based management self-assessment cycle. Supporting documentation: Competency-Based Self-Assessment Template, Excerpt of FI-02 work description Key Activities; and FI-02 Financial Management Analyst Job Competency Profile. Simulation #3 Using the competency-based management self-assessment template, participants will learn how to identify competency gaps. Supporting documentation: Competency-Based Self-Assessment Template 10
Excerpt taken from FI-02 Work description: Financial Management Analyst Key Activities Consults with senior management and other financial analysts/advisors on current and proposed programs, projects, services and evolving needs; and challenges forecast/estimates of required resources, performance measures and other financial/business planning and reporting matters Analyzes, evaluates and assesses impacts of proposals submitted my client Groups on the Departments financial position and on related costs and funds for Directorate-level activities. Contributes to the development of rationales to gain approval and to support funding decisions Researches, analyzes, drafts and make recommendations to improve financial and business plans, reports, Estimates, TB Submissions and Project Approval Documents, to support decisions on program relevancy, effectiveness and value for money and resource allocation and realignment Monitors, analyzes and forecasts expenditures and actual program/project results against planned. Prepare periodic and ad hoc reports with variances and recommendations for corrective action to support cost control and input to departmental performance reports and annual submissions of Public Accounts and reporting; respond to parliamentary/ministerial requests for information; and prepare budget adjustment proposals, etc. Monitors new/revised departmental programs and initiatives to determine impacts on corporate financial management policies, procedures, tools and systems. Identifies needs, recommends changes and represents the operational needs of the Directorate during the process to ensure that new/existing departmental programs, business and financial planning, and/or resource allocation and reporting requirements can be met. Leads/participates on internal committees convened to conduct a range of financial and business planning and resource allocation activities, monitoring budget reduction exercises, conducting impact analyses on programs and expenditure plans; preparing omnibus TB and internal submissions; and reviewing recommendations on budget delegation processes and procedures Plans and conducts research and special studies, to support the needs of the Branch, including the development of planning documents, reports, and submissions, as well as assessments of change on Directorate programs, and response to audit or parliamentary and other inquires Develops information materials and tools (eg user guides); makes presentations; and provides support, advice, guidance and policy/procedural interpretation to departmental 11
and crown corporation clients on financial and business planning and management systems, tools, processes and related best practices Monitors and tracks the impact of financial decisions on departmental/crown Corporation reference levels, ensuring the availability of timely, accurate and complete financial information Prepares and distributes a wide variety of financial, analytical or information reports to all management levels in the Department Assists in the co-ordination and production of external reports/reporting exercises such as the Departmental Performance Report, Annual Reference Level Update, Main Estimates, Supplementary Estimates, and the MRRS. 12
FI-02: Financial Management Analyst Job Competency Profile Oral and Written Communications Describes complex financial/technical issues clearly for both non-financial and financial audiences Builds a consensus and successfully addresses diverse views Outlines policy requirements and provides guidance within policy Defends and/or secures support for ideas or initiatives through such methods as briefing notes, position papers, and recommendations to senior management Delivers confident, consistent, and coherent messages in presentation Risk Management Learns from experience, assesses risks, and makes recommendations for effective management and program delivery Recognizes and advises on the probability of alternative outcomes for options, and realizes that not all new ventures will succeed Evaluates controls to help mitigate risks through prevention, detection and correction Negotiation Skills/ Integration Function Uses differences of opinion to explore alternative solutions to problems or concerns Facilitates positive dialogue between others with the goal of resolving differences and reaching a win-win solution Involves others in developing solutions or processes to ensure their support Clarifies situations by exploring all parties needs, concerns and positions Uses legislative framework or third parties to influence others, as required Values and Ethics Integrates Values and Ethics, including the Code, into peers, partners, stakeholders and/or staff practices Reflects a commitment to citizens and clients in peers, partners, stakeholders and/or staff activities Fosters a climate of transparency, trust and respect among peers, stakeholder and/or staff and in partnerships Is alert to and deals quickly with harassment and discrimination Encourages bilingualism and diversity, based on Official Languages and Employment Equity policies Builds and promotes a safe and healthy, respectful workplace Manages work activities and transactions with transparency and fairness 13
Strategic Thinking Analysis Develops project work plans with an understanding of the functional area Links information across individual work to form a comprehensive perspective Tracks changing unit priorities and analyzes impact on peers, partners, stakeholders and/or staff activities Seeks clarification and direction, as required. Strategic Thinking Ideas Translates unit direction into concrete project activities Develops solutions to recurring problems Encourages and incorporates creativity and learning Redesigns own and/or staff work activities to meet changing project needs Makes effective recommendations to management Teaches and learns from others Engagement Shares information broadly with peers, partners, stakeholders and/or staff Promotes collaboration among peers, partners, stakeholders and/or staff Encourages open, constructive discussion of diverse perspectives Manages own and/or staff interpersonal relationships Relates effectively to people with disabilities or with different values, personalities, or cultural backgrounds Uses meetings as an opportunity to generate collegiality and unity Listens to and acts on individuals and/or the team s concerns Solicits input from and listens to peers, partners, stakeholders and/or staff Communicates work plans with clarity and commitment Establishes regular and comprehensive exchanges of ides with individuals and/or the team Models and elicits trust Management Excellence Action Ensures work is congruent with formal procedures and regulations Adapts regular procedures flexibly to best meet objectives Maintains a positive outlook in the face of setbacks Heeds early warning signals and advises management, as needed Follows through on project plans from planning, implementing, monitoring, and evaluating to reporting Applies performance or service standards, where they exist Manages activities on a daily basis 14
Management Excellence People Seeks to resolve interpersonal or personal problems that are affecting performance Develops effective networks by seeking out opportunities for collaboration and strategic alliances Assumes responsibility for agreements made in collaborative arrangements Management Excellence Finance Pursues operational efficiencies and value for money Applies and monitors rigorous systems for Financial Information Management, internal audit, and evaluation 15
Required Proficiency Insufficient Basic Proficient Advanced Financial Management Competency-Based Self-Assessment Template Consult the FI competency profiles and identify the required proficiency level for the job or role. Using the STAR formula, for each competency, provide one or two examples of situations where you have demonstrated the behavioural indicators or criteria. Evaluate each situation against the proficiency level for the job or role. Figure B1. Competency Profiles Existing Position: Target Position: FI-02 Financial Management Analyst FI-02 Financial Management Analyst Oral and Written Communications L3 X Training on FM Policies Training material well documented, concise and clear Good use of examples throughout During training session listened to participants but looked to experienced colleagues for input and opinions (policy interpretation) Maintained open and continued dialogue with participants Had some difficulty in translating the financial policy requirements to a nonfinancial audience Risk Management L2 X Audit readiness Assessment - Internal controls over Financial Reporting (ICFR) Good working knowledge of risk management techniques (updated and assessed key business process documentation) Performed walkthrough for Statutory Vote Identified risks, identified gaps, searched for compensatory controls for mitigation Active participant in meetings to assess risk probability and mitigation Liaised with process owners to assess whether controls are properly implemented Provided effective recommendations to management 16
Negotiation/Persuading L2 X Identified discrepancy in consistency of documented evidence performed by process owner s designated officer (ICFR) Identified differing needs of process owner (resolved variances) and FM group (verifiable evidence for independent review and opinion) Facilitated discussions with process owner and FM group to identify needs and reach common viewpoint Provided recommendations on areas of improvements to business process that take into consideration concerns and needs of process owner Participated in the identification of best practices agreed upon by process owner and FM group Values and Ethics L2 Strategic Thinking - Analysis L2 X Mapping of departmental funding initiatives to new PAA structure Interpreted information received from branches and compiled information in database Verified accuracy and credibility of information Analyzed the un-mapped cost centers and provided recommendation on proposed mapping - based on ratios of actual spending Performed additional analysis on specific issues in response to concerns expressed by branch FMAs Identified impacts on current and future reporting processes due to altering PAA structure Strategic Thinking - Ideas L2 Engagement L2 Management Excellence - Action L2 17
Management Excellence - People L2 X Management Guidance Issues with Acting Supervisor s direction and guidance felt responses to questions did not provide guidance required or answer concerns Felt frustrated, discouraged and unsure of what to do concerned that it would begin to show in work Sought advice from unit manager. Outlined situation and sought guidance on how to resolve issues Adopted the approaches discussed with unit manager in dealings with acting supervisor Management Excellence - Finance L2 Accounting operations L2 Planning and Resource Management L2 Financial Policy L2 Financial Systems L2 18
Identifying Gaps in Competencies The following table can be used to record gaps identified during assessment. Gaps That Require Learning Activities Competency Gap identified Target and Specific Behaviours Oral and Written Communication X Describe complex technical info to nonfinancial staff Outline policy requirements and provide guidance on policy Risk Management Negotiation/Persuading Values and Ethics Strategic Thinking - Analysis Strategic Thinking - Ideas Engagement Management Excellence - Action Management Excellence - People X Seek to resolve interpersonal problems that are affecting Management Excellence - Finance Accounting Operations Planning and Resource Management Financial Policy Financial Systems performance Comments Difficulty in translating policy requirements to non-financial staff. Rely on more experience personnel for input and opinion. Did not see supervisor s inability to respond to questions or concerns as a problem that could affect the team s performance. Sought only to resolve own issues without discussing with supervisor. Note: Employees should work on improving a maximum of two or three competencies a year. Additional Comments Completed by: Date 19
Exercise #2 Using the information provided above, participants will complete a sample learning plan. Supporting documentation: Sample Learning plan 20
Sample Learning Plan This sample learning and development plan template is provided for illustrative purposes only. Please use your departmental forms when available. Learning & Development Plan Part 1: Identify your learning needs and objectives (Including Official Languages Training) Targeted Competencies/ Knowledge / Skills Operational Requirements / Current Position (as per the objectives defined in Section 2 of your Performance Evaluation) What do I need to work on for my current job? Career Development (Set your objectives below) What skills and knowledge will I need for the job I aspire to? Learning Objectives Performance Indicators I want to learn Familiarize myself with FM policy suite and improve my presentation skills. I will know that I have achieved my objective when.. Better able to provide policy interpretation using non-technical jargon Confident responses to questions or concerns asked during training sessions Communication and presentation skills (written and verbal) Technical knowledge of policies and their interpretation Part 2: Identify Your Learning Activities and Timelines Learning Activities (How do I plan to learn ) Dates Investments ($, Time, Completed etc.) Agreed Employee Dept. Yes No % Read FM policies and discuss interpretation with departmental /central agency personnel Ongoing Reading and discussions No cost X X % Presentation skills December 2012 Comments/Reasons: Complete course $300 X X % Part 3: Discuss your Personal Learning Plan I have discussed my learning plan with my manager I concur with these learning activities Employee Manager Date (YYYY-MM-DD) Date (YYYY-MM-DD) 21