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Leadership Certification Assessment Framework

Philippine Civil Service Commission

September 2014

PLACE PHOTO HERE,

OTHERWISE DELETE BOX

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Responses / Changes / Revisions Proposed

Stage Comments Responses / Changes /

Revisions Proposed

Date

Approved

Framework Process Maps for each

stage added

Changes in pagination in

Table of Contents will be

effected once

everything is finalized

and revision sheet

removed .

Nomination

Use terms familiar to

readers, like

“incumbent”, “acting

division chiefs”,

“supervising specialists”.

The salary grades eligible

to apply

Eligibility section added

to components to define

range of nominees

qualified to apply

SG18 added to eligibility

for LGU applicants

10-3-14

The evidence, such as

job descriptions, may not

be valid.

Who fills up the profile

If LHRU is not capable?

The job description alone

will not be used as a sole

qualifier for nomination;

Other documents and

an customized

application form with

guidelines will be

desiged to assist HR in

evaluating eligibility

without having to require

them to undergo

assessor’s training.

The guide may also be

used by the incumbent’s

immediate supervisor to

determine eligibility.

10-3-14

Removal of LHRU’s

screening role in the

nomination stage;

nominees will just gather

all documents necessary

and forward them to RD

for approval of

application

Changes applied. LHRU

role changed from 1st

layer screen (paper

screen) of nominees to

serving as document

resource and pooling of

assessment cohort.

Modification of

assessment layer graphic

to reflect changes in the

first layer of assessment;

Changes in terms:

Diagnostic, Midterm and

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Final Assessment

Career conversation-is it

realistic? What other

methods?

Ex. Noreen’s method of

screening

Note: conversation’s still

take place because of

the orientation day when

they discuss this as part of

reviewing the Leadership

Framework

Yes.conversations are

realistic.

The term career

conversation will be

changed so as not to

confuse with other

developmental

interventions.

The conversation is

triggered upon the

incumbent’s application;

It need not be a drawn-

out, highly-technical

conversation.

It is a very simple

conversation that starts

with the IS / HR asking

why the incumbent is

applying, and then

giving reasons for

approval/denial and

identifying next steps.

This is indicated in the

application form.

10-3-14

Project Scoping

and Presentation

Competency

Mapping /

Profiling

Who checks this?

CSI or ERPO?

Someone to

shadow Ralph

during the pilot’s

orientation day.

CSI or LSP role.

CSI will be trained to

check on the way the

templates / instruments

were accomplished.

Added to R & A

component

10-3-14

Clarification on the tools

to be used for training

and RPL tracks as well as

Group Projects

Portfolio building for

training and RPL tracks

defined

Scoping

Document

How do you

structure groups/

individual projects?

for public

workshops?

All applications are

treated as individual

applications.

Group projects are

optional; if geography

10-3-14

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How do we

operationalize this?

permits.

Added to scoping

document descriptions

No more

assessment by the

project sponsor –

just provide

evidence that

presentation took

place.

Project sponsor will

assess project based on

feasibility not validity

against the Leadership

framework.

Added to PS role

10-3-14

Stage Comments Responses / Changes /

Revisions Proposed Date

Portfolio Assessment

Stage

Portfolio Person to advice

participants on

portfolio

development?

Should there be an

assessor from the

start? Or do we

train someone

from CSI to advice

on the templates

to avoid

contamination of

assessors?

What’s the

evidence that 90

days is the best

way?

CSI will designate a

project coordinator. The

project coordinator can

either be from CSI

directly or from an LSP.

90 day period is

deemed a

“reasonable” period of

time to complete the

project .

Given limitations set by

rules on validity of

evidence, maximum

period should be no

more than a year.

10-3-14

Remove the stage

gate requirement

of “average grade

of 3” in portfolio

assessment stage.

Changes made:

requirement clause

removed

Behavioral Interview and

Assessment

Assessors should

confer with each

other before

issuing final ratings-

calibrate the two

assessments.

Use CSC’s VOIP

facilities to do this.

Assessors will send each

of their own calibrated

scores to ERPO after

they confer with one

another.

10-3-14

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Given the

changes to the

portfolio

assessment stage,

adjust assessment

weights

Percentage weights of

assessment layers

adjusted to 60/40 for

portfolio / BEI

assessment

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Table of Contents

Document Revision / Changes Tracking Sheet 2

Leadership Certification Process Graphic 47

Introduction

Rationale 58

Objectives

Nomination Stage

Nomination Stage 9

Eligibility

Self-Nomination

Immediate Supervisor’sSelf-Assessment

Sponsored Nomination 10

Supervisor Endorsement

Succession Triggered

Roles and Accountability

Training Track

RPL -Track

Fees

Documentation and Reporting 11

Process Turnaround Times

Schedules

Layers of Assessment Graphic 13

Project Scoping and Presentation Stage 14

Project Scoping Stage

Competency Mapping / Profiling

Scoping Document / Project Charter

Portfolio Building 15

Training Track

RPL Track

Project Presentation

Roles and Accountability 16

Documentation and Reporting

Process TAT

Timelines / Scheduling

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Portfolio Assessment Stage 18

Portfolio

Portfolio Assessment

Rating System and Scale

Rating System and Scale 19

Validity of Evidence

Roles and Accountability

Documentation and Reporting

Turnaround Times

Timelines and Scheduling

Behavioral Interview and Assessment Stage 21

Behavioral Interview and Assessment Stage

Behavioral Interview Guide

The Behavioral Interview

Computer-Based Examination 22

Interview Assessment

Rating Scales and Ratings

Calibration

Roles and Accountability 23

Documentation and Reporting

Process Turn-Around Times

Timelines and Schedules

Certification Stage 25

Final Ratings

Table of Contents

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Rationale:

Demonstrated past behavior is one of the best predictor of future

behavior. Demonstrated success or performance in a role is also

the best indicator of future success and/or performance in the

role. These principles serve as the foundation of the assessment

framework for the Philippine Civil Service Commission’s Leadership

Certification Program.

The new framework leverages behavioral event interviewing,

portfolio and project-based assessments, theoretical examinations

and self-evaluation to determine suitability and eligibility for

leadership roles.

The advantages of the assessment framework are:

The performance behaviors take place during actual work

situations rather than in a simulated, controlled

environment. Learning is not only experiential but realistic

and relevant.

Successful projects / portfolios bring results which provide

an immediate direct benefit to the organization.

Operational downtime for the individual undergoing

certification is reduced. The individual remains productive

as the need to be taken out of the workplace is minimized.

Objectives:

The purpose of this document is to provide both the process

owners and all other stakeholders with complete and

comprehensive knowledge about the assessment framework used

in certifying future leaders across all other government institutions.

Specifically, this document will provide the reader with knowledge

about:

The different stages and processes involved in assessing

an individual for a Level 2 (Intermediate) leadership

position;

Guidelines and procedures for each stage of the

assessment process.

INTRODUCTION

Key Points:

Demonstrated success or

performance in a role is the best

indicator of future success

and/or performance in the role.

Advantages of the new

framework:

o Learning is not only

experiential but realistic

and relevant.

o Successful assessment

projects / portfolios have

a direct and immediate

impact in the workplace.

o Reduced operational

downtime translates to

higher productivity.

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COMPONENTS:

Nomination Stage

Eligibility

Self-Nomination

Immediate Supervisor’s

Assessment

Self-Evaluation

DESCRIPTIONS:

Nomination is the first stage in the leadership certification process. In

this stage individuals who exhibit the potential to become leaders

are identified.

Minimum salary grade for application is set at Acting Division Chief ,

Supervising Specialist or at least salary grade level 18 (SG18 for

LGU’s) . Incumbents at this level may either self-nominate or be

sponsored for assessment and certification

Nominees from the private sector wishing to join government as

middle managers should have occupied at least a supervisory

position in a large corporation, or held a senior position at a small

and medium sized enterprise.

The process is initiated by a person aspiring for a leadership position.

Aspiring self-nominees apply for certification with their local human

resources unit.

- A person may self-nominate if they believe that by virtue

of past training and/or experience they have already

acquired the necessary leadership competencies.

They may also self-nominate even if at the time of

nomination they do not yet possess the required

leadership competencies but have become eligible by

virtue of their past performance and tenure.

In this case, a career conversation is triggered between

the aspiring nominee and the immediate supervisor. With

the assistance of local human resources unit a career

development plan is created. On completion of the

development plan, nominee becomes eligible for self-

nomination or nomination by their immediate supervisor

in the next certification cycle.

The nominee’s immediate supervisor receives the application and

conducts an assessment of the nominee using the assessment

questionnaire. Upon completion of the assessment, documents are

forwarded to the Regional Director or project sponsor for approval.

Nomination Stage

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COMPONENTS:

SelfAssessment

Sponsored Nomination

Immediate Supervisor

Endorsement

Succession Triggered

Roles and Accountability

DESCRIPTIONS:

Nominees are also required to complete a self-assessment

questionnaire. The questionnaire is designed to diagnose the

nominee’s level of proficiency for each competency against their

immediate supervisor’s assessment.

The process of sponsored nomination is triggered by organizational

processes and/or individuals other than the Incumbents. Consent

and willingness of the Incumbent to undertake certification will be

needed.

An immediate supervisor can initiate the nomination process by

observing the following guidelines:

- Immediate supervisors / managers perceiving leadership

potential (based on the competency framework) in one

or more of their own direct report may endorse these

individuals to undergo the process of assessment and

certification.

- Immediate supervisor’s nomination must be

accompanied by a supervisor’s assessment of the

Incumbent using the framework of competencies.

Supervisor will also identify/recommend which track the

Incumbent should take.

- To ensure the creation of a healthy pool of successors for

leadership positions, individuals may be selected to

undergo assessment and certification.

Local Human Resources Units (LHRU) found in various government

offices are responsible for pooling, enrollment and registration of all

Incumbents for leadership certification.

Civil Service Institute serves as central registration and document

control for the nomination process. CSI will also be tasked to

coordinate among service providers for the conduct of training and

assessment as the need arises. All Incumbents endorsed by local

human resources units must be enrolled with the CSI

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COMPONENTS:

Training Track

RPL (Recognition of

Previous Learning)

Track

Fees

Documentation and

Reporting

Process

Turnaround Times

Schedules

DESCRIPTIONS:

Incumbent nominees (self and sponsored) who have successfully

passed their local human resources evaluation are placed on this

track

The training track is the main path for leadership certification.

Incumbents on this track are expected to possess the leadership

competencies after going through the project and portfolio building

exercises of the framework.

The RPL track is an option made available to Incumbents perceived

to already possess the competencies needed for leadership

certification.

Incumbents in the RPL track, skip over the project scoping stage of

the certification program. These Incumbents go directly to the

portfolio building and assessment stage and move forward in the

certification process from there.

All nominees are required to pay a fee to cover registration,

enrollment and assessment.

The following documents will be used in the nomination stage:

CSI Application / Enrollment Form

- Available through LHRU or directly with CSI, or LSP.

Self-Assessment Questionnaire

- Available and issued by LHRU and/or CSI.

- Completed by nominees undergoing self-nomination and

submitted to LHRU as part of enrollment documents.

Immediate Supervisor’s Assessment

- Completed by immediate supervisor to assess direct report’s

for enrollment into the program.

- Submitted to RD as reference documents to guide RD in

approving / disapproving application.

Process Owner Suggested

Turnaround Times

Application Review HR working days

Enrollment / Registration CSI working day

Application is bi-annual (TBA)

Certification is quarterly (TBA)

Training Track (TBA)

RPL Track (TBA)

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Project Scoping and Presentation Stage

DESCRIPTIONS:

The project scoping stage is where action learning begins. This stage

of the process is specifically designed to enable candidates to:

1. Exercise strategic and critical thinking.

2. Demonstrate their ability in project planning (i.e. identifying

resources, stakeholders, setting timelines, etc.,)

3. Develop their ability to engage and communicate for buy-in

with their stakeholders.

Certification candidates are required to identify and map out which

competencies they will be exhibiting during project implementation.

They will be using the Civil Service Commission’s Leadership

Competency Framework as a guide in mapping their

competencies.

Each candidate going through the training track will be asked to

identify specific Behavioral Indicators they will be targeting for each

competency. They will be using an individual task register.

In group projects, the competency mapping / profiling instrument

will be used as a project WBS*. However, members of the group will

also need to accomplish their individual task registers.

The key result expected from each candidate at this stage is the

creation of a project charter or a document defining the project

and its scope.

It is at this stage where the advantage of the new framework

becomes evident as projects undertaken by these candidates are

aimed at addressing present problems, harnessing opportunities or

delivering improvements or innovations in the actual workplace.

A project scoping document should contain the following:

- Reasons for undertaking the project

- Objectives and constraints of the project

- Directions concerning the solution

- Identities of the main stakeholders

- In-scope and out-of-scope items

- High level risk management plan

- Communication plan

- Target project benefits

*work breakdown structure

COMPONENTS:

Project Scoping Stage

Competency Mapping /

Profiling

Scoping Document

Portfolio Building

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COMPONENTS:

Portfolio Building

Training Track

Recognition of Prior

Learning Track (RPL)

Project Presentation

DESCRIPTIONS:

In the process of undertaking their project, it is expected that

situations and circumstances may change. Such conditions will

trigger the re-framing of the scope, subject to the approval of the

project sponsor.

The process of portfolio building is where the candidates gather a

purposeful collection of evidence to prove the existence / presence

of required competencies or the acquisition of competency in the

course of undertaking their projects.

Candidates going through the training track are expected to

“acquire” these competencies as they execute specific tasks in their

projects. Each candidate must ensure that the tasks they have listed

in their individual task registers are mapped / aligned to the

competencies they are targeting. Portfolio building for these

candidates means gathering evidence to prove that these tasks

were executed properly and the competency behavior was

displayed during execution.

Portfolio building for candidates in the RPL track is different.

Candidates in this track are expected to have already acquired the

targeted competencies / behaviors through previous experience.

They need to cite instances from their work history in which the

targeted competencies / behaviors were displayed.

Once identified, these competencies are indicated in the

competency mapping / profiling instrument. The CSI / LSP project

coordinator checks this document for accuracy and completeness.

Candidates then proceed to build their portfolio by gathering

supporting evidence.

Candidates are required to present their project to the following

audiences:

1. Project sponsor or Immediate Supervisor

2. Assessor

3. Project Stakeholders

The presentations will follow the order described above. However, in

the interests of efficiency, the Project Sponsor and the Assessor can

be present during one presentation.

Only after the approval of both the Project Sponsor and the Assessor

will a presentation with the stakeholders be scheduled.

This stage is necessary to ensure that the project is administratively

feasible, to secure and reinforce stakeholder engagement and

finally to ensure accuracy and alignment with the leadership

competencies being targeted by the project.

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DESCRIPTIONS:

CSI / LSP Project Coordinator

- Ensures the availability of certified assessors for project

presentation meetings.

- Checks completeness and accuracy of scoping document

Certification Candidate

- Accurately accomplish the competency profile and

mapping.

- Creates the project scoping document and project charter.

- Creates and delivers project presentation

Certified Assessor (ERPO)

- Attends project presentation to review project details and

assess if project tasks are aligned with competencies being

targeted.

Project Sponsor / Immediate Supervisor / RD

- Provides fiscal and administrative approval and oversight for

projects undertaken by their direct report.

Competency Mapping Tool

Individual Task Register

Project Scoping Template

TBA

TBA

COMPONENTS:

Roles and Accountability

Documentation and

Reporting

Turnaround Time

Timelines / Scheduling

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COMPONENTS:

Portfolio

Portfolio Assessment

Rating System

and Scale

DESCRIPTIONS:

A portfolio is defined as a purposefully gathered collection of samples

of annotated and validated pieces of evidence. Evidence can come

in the form of written documents, written or recorded oral testimonials,

photographs, videos, etc.

A candidate’s portfolio will contain the following:

1. Introduction

- This is a one-page document containing between 300-500

words. Essentially, a brief on who the candidate is, why they

joined and a list of the major leadership lessons learned as

they went through the program

2. Competency Map and Evidence

- Carrying over from their project scoping competency map,

the candidate now provides specific evidence for each

competency targeted.

The purpose of the portfolio assessment stage is to determine whether

the competencies mapped out and targeted in the project scope

were actually practiced while implementing the project.

The candidate should be able to demonstrate evidence within the

boundaries of their workplace context. Evidence can be collected

either on and/or off the job.

A candidate’s portfolio is assessed on two dimensions. Success of the

project is not considered a factor affecting ratings. The following are

key considerations:

1. Alignment of project activities / tasks to the competencies

mapped out in the scoping stage. Tasks and activities that have

no bearing on the targeted competencies will not be given a

rating.

2. Validity of evidence provided to prove the presence of

competencies in each of the tasks. Rating will be as follows:

1= Invalid. Evidence does not prove presence of competency.

2=Insufficient. Further probing required in determining presence

of competency. Additional evidence required.

3=Sufficient. Evidence proves candidate has displayed targeted

competency in the task selected.

4=Outstanding. Evidence proves candidate has demonstrated

competency exceeding the level required.

Portfolio Assessment Stage

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COMPONENTS:

Rating System

and Scale

Validity of Evidence

Roles and Accountability

Documentation and

Reporting

Turnaround Times

Timelines and

Scheduling

DESCRIPTIONS:

The following factors will be considered in determining the validity of

evidence:

1. Currency / Recency

- Was the product/evidence relatively recent? The rules for

determining currency will be specified.(e.g. candidate

performed in the past 12-18 months);

2. Authenticity

- Was the evidence produced by the candidate? or if part of

a team contribution, what aspects carried out were specific

to the candidate (e.g. established through testimonial

statements, etc.)

3. Sufficiency

- is there enough evidence to demonstrate to the assessor

competence against the entire Unit of Competency,

including the critical aspects of evidence described in the

Evidence Guide (e.g. evidence of consistency of

performance.

CSI

- Designates project coordinator in the interim to ensure that

portfolios are accomplished properly.

Candidate

- Collects and compiles evidence to build portfolio

- Submits portfolio on agreed submission date.

ERPO/Assessor

- Performs assessment using Portfolio Assessment Instrument

- Creates a post assessment report.

Assessor’s Portfolio Assessment Tool and Report

Candidate Scorecard

TBD

TBD

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Behavioral Interview and Assessment Stage

COMPONENTS:

Behavioral Interview and

Assessment Stage

Behavioral Interview

Guide

The Behavioral Interview

DESCRIPTIONS:

The behavioral interview and assessment stage is the final assessment

layer leading to certification. In this stage, the candidate undergoes a

behavioral interview with a certified / accredited interviewer.

Data gathered during the interview is relayed to a certified assessor for

evaluation.

This stage has three objectives:

1. The validation of all findings and ratings in the previous assessment

layers

2. Examine evidence presented for alignment with target

competencies and decide presence and extent of competency.

3. Distill a development plan that will allow the candidate to improve

on existing level of competency.

Interviewers will be using a behavioral interviewing guide. The

interviewing guide contains sample questions for each competency.

Each question will be mapped to the Units(s) of Competency with

insufficient evidence during the portfolio assessment.

The behavioral interview may be structured, semi-structured and /or

unstructured. If using structured and/or semi-structured interview

techniques, each question to be asked in the interview session should be

listed and presented within the interview.

The type of questions that could be asked may include open ended;

diagnostic; information seeking; challenge; action; prioritization,

prediction; hypothetical; extension; and/or generalization questions.

The interviewer will:

1. Provide the candidate with the range of questions prior to the

interview period;

2. Provide the candidate with written copies of the questions during

the interview; Allow prompting; Place restrictions on the number of

attempts;

3. Allow access to materials etc throughout the interview period;

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COMPONENTS:

Computer-Based

Examination

Interview Assessment

Rating Scales and

Ratings

Calibration

DESCRIPTIONS:

As part of the assessments for the final stage leading to

certification, all candidates will undergo a computer-based exam

on the competency framework.

The exam shall be held on a date and at a venue to be

announced by ERPO and coordinated with the LHRU.

There will be a total of three (3) distinct assessors for this stage.

- The first assessor’s role is to evaluate the portfolio assessment

report and draft the behavioral interview questions to be

used and conduct the behavioral interview.

- The second and third assessor’s roles are to review and

evaluate the actual responses during behavioral interview.

If present during the actual interview itself, assessor will be allowed

to ask clarificatory questions; however, the interview will be

conducted by the assigned interviewer.

In cases where the assessor and interviewer cannot both be

present during the behavioral interview, the interview may either

be taped or done through the use of applicable / preferred video-

conferencing technologies.

4 Very Good Advance

Evidence and example

exceeds level of

competency

3 Suitable Certify Provides well developed

relevant experience

2 Marginal Defer/Reject Some evidence provided

but not well developed

1 Unsuitable Reject Failed to provide positive

evidence

The assessors will schedule a post assessment calibration to ensure

the accuracy and correctness of their ratings. These sessions are

meant for each assessor to give and receive feedback on each

other’s ratings but not to influence each other to give the same

kind of rating.

The calibration session may be done in a personal meeting, VOIP

conference, etc.

Assessors will still be submitting two separate scores to ERPO for

consolidation into a unified final score.

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COMPONENTS:

Roles and Accountability

Documentation and

Reporting

Process Turn-Around

Times

Timelines and Schedules

DESCRIPTIONS:

LHRU

- assigns an interviewer to conduct the BEI

- Arranges schedules and logistics for the conduct of BEI

ERPO

- Schedules and announces written examination

- Coordinates with LHRU for the conduct of written

examination

- assigns two assessor to review and evaluate the BEI

- candidate scorecard

Candidate

- Completes all requirements from previous stage.

- Takes written Exam

- Attends BEI

Assessor

- Designs behavioral interview.

- Conducts assessment of BEI

- Generates report and fills out Candidate Scorecard

Behavioral Interview Sheet

Interview Video

Assessor’s Interview Evaluation Report

TBD

TBD

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Certification

DESCRIPTIONS:

In order to be certified, each applicant must get an average score

of 3.0 for each competency cluster for assessment layers 2 and 3.

Assessment Layer #1 Purely Diagnostic (No Bearing on Final Grade)

Cluster

1

Cluster

2

Cluster

3

Cluster

4

Cluster

5

Self

Assessment

Supervisor

Evaluation

RPL Track Assessment Layer #2 70% of Final Grade

%

Cluster

1

Cluster

2

Cluster

3

Cluster

4

Cluster

5

Portfolio

Assessment 100

Training Track Assessment Layer #2 70% of Final Grade

%

Cluster

1

Cluster

2

Cluster

3

Cluster

4

Cluster

5

Portfolio

Assessment 100

Assessment Layer #3 30% of Final Grade

%

Cluster

1

Cluster

2

Cluster

3

Cluster

4

Cluster

5

Written

Examination 33.33

Behavioral

Assessment 66.66

Candidates who fail to meet the final average grade requirement

of 3.0 for certification shall be deferred to the next certification

cycle. In this scenario, the candidate shall only work for

certification on the specific competency clusters where they were

not able to get the grade of 3.0

COMPONENTS:

Final Ratings

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