CAREER

EXECUTIVE
SERVICE
COMPETENCY STANDARDS FOR CESOS
BOARD

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 Table of Contents

Backgrounder 3

Section I: Competency Standards

Overview 5

Section II: Competency Standards

6

Section III: Behavioral Indicators by Rank

Level 55

Section IV: Proficiency Level

55

Section V: Implications to the Training

and
Development and Assessment:
the Next Step
56

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Glossary of Terms
59

Developing the Competency Profiles for CESOs

A Backgrounder

The CESB’s Performance Evaluation System assesses a CESO’s or an eligible’s

performance based on the extent of his or her accomplishments and on certain managerial
behaviors that are manifested at work. This shows the importance that the CESB gives to actual
delivery of work commitments by its CES members and to the demonstration of certain
managerial skills and attitudes required for such delivery. Because of this, the need to carefully
identify and define competencies for the ranks of CESOs was recognized.

An ‘Ideal CESO’ is someone who adequately possesses and exhibits the core
competencies of a career executive officer. In 2006, the PDD embarked on a Competency
Profiling Project in our effort to identify these core competencies.

The “competency profile” is a set of competencies (demonstrated knowledge, skills,

attitudes) and associated behaviors that link directly to the work to be performed, as well as the
levels of proficiency for each behavior. At best, these profiles will provide a snapshot of the skills
and behaviors necessary for one to be awarded and to retain a particular CESO rank, as well as
be successful in the position/office to which he or she has been appointed.

The project also aims to develop the CESO “competency profiles” that will define
admission into the CESO ranks, as well as facilitate career progression by providing clear
performance goals and a framework for training and development. In addition, these profiles
may be used to guide the creation of / or validation of instruments for selection, promotion,
performance appraisal, and the recognition and grant of merits and awards.

Competency profiles will provide both a focal point as well as a framework (a shared
basis) for all management and development interventions directed at the career executive
service. This means the competencies that are used to determine whether an individual is
awarded a CESO rank should be the same competencies that would be used as basis for his or

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her placement and promotion, accreditation, performance evaluation, recognition of merit, and
career development.

The competency profile identifies the core competencies and, ultimately, defines the
‘Ideal CESO’.

So the CESB’s Professional Development Division (PDD) made an initial study in 2006 on
existing CESB programs particularly the Executive Leadership Program, the Search for
Outstanding Career Executive Officers (CEOs), the new CESPES, Senior Career Executive Officer
Assessment Program (SCAP), and the Assessment Center, and the attributes of Search and CSC
HAP awardees. A consolidation of related dimensions and attributes were made and observed
that there was no common set of competencies across these programs/tools. What we have are
varied lists of competencies, expressed in different ways, for the CESOs.

Third quarter of last year, under the leadership of Dir. Allones, utmost emphasis and
support was given by the Management on this project.

Aside from mining data from the CESB program dimensions and other benchmark data,
several established global competency models were also incorporated to come up with the
Competency Grid, i.e. WHO Competency Model, ICT Competencies for Managers, UN
Competency Model, U.S. Competency Model. Based on the most frequent dimensions identified
and with comprehensive research, a draft competency grid was formulated which included the
competency definitions and its behavioral indicators.

To allow for the identification and validation of the grid, consultation with CESOs of all
ranks and from different departments was deemed necessary. For the whole month of August,
zonal validation workshops were conducted in Luzon, Visayas, Minadanao and the National
Capital Region. Such scope of validation provided opportunities to address change management
issues, promoted acceptance by key stakeholders, and ensured that an across-the-bureaucracy
picture of competencies will be drawn. The validation outputs and tools were tabulated and
results were consolidated from these zonal validations. The grid was then modified and a
Competency Standards for CESOs were also formulated based on these results and the
executives’ comments.

The modified Grid and competency standards were also presented to top CES members
and partners for further refinement.

The competency standards will provide a backbone for the development of the
competencies of the CESOs. Likewise, this will provide a roadmap in the formulation of the
development interventions for CESOs and the process of assessment. General in nature, these
competencies are not agency/organization specific. Rather, this is intended to develop
competencies that the CESOs could use in the performance of their roles in their respective
organizations. This implies that the agencies/organizations may need to develop sets of
competencies specific to their organizations/agencies.

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Section I: Competency Standards
Overview
The Career Executive Service Board embarks to produce the Competency Standards for
the professional development of the Career Executive Service Officers (CESOs). It has been
developed to provide both individuals and organizations with guidance on how to manage the
professional development of the CESOs.
The competency standards are based on the premise that competencies have a direct
effect on performance. The degree or extent of this impact may vary, depending on certain
factors such as, project types and characteristics or organizational/agency context. While the
competencies identified have a broad application, the potential differences in the importance of
particular competencies, given certain organizational contexts or program/project characteristics
and demands still need to highlighted and given consideration. It is on this premise that agencies
may need to develop sets of competencies specific to their context, priorities and directions.

What is competence?

In Lynn Crawford’s work on determining project management competencies, A Global

Approach to Project Management Competence (1997), she states:

Competence is a term which is widely used but which has come to mean
different things to different people. It is generally accepted, however, as
encompassing knowledge, skills, attitudes and behaviors that are casually
related to superior job performance (Boyatzis 1982).

When applied to CESOs, competence can be described as consisting of three separate

dimensions (Crawford 1997):

1. What individual CESO bring to an activity through their knowledge and understanding.
This dimension is called Underpinning Knowledge.
2. What individual CESO able to demonstrate in their ability to an activity. This dimension is
called Underpinning Skills.
3. The core personality characteristics underlying a person’s capability to do an activity.
This dimension is called Underpinning Attitude.

It is generally accepted that, to be recognized as fully competent, an individual would need

to be evaluated successfully against each of these dimensions. It would be impossible for

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 CESOs to be judged competent for they did not possess the “right” combination of
knowledge, skills and attitude.

Section II: The Competency Standards

Strategic Thinking
Strategic thinking refers to cognitive processes required for the collection,
interpretation, generation, and evaluation of information and ideas that shape
an organization’s sustainable competitive advantage. It’s one of the three
processes driving strategic learning in organizations (along with strategic acting
and influencing), which means that strategic thinking involves a collective
dimension as well as an individual one. In other words, for organizations to
develop sustainable competitive advantage, it’s not enough to have great
individual strategic thinkers. It also takes individuals who influence one
another’s thinking, deepening and enhancing their collective understanding and
insight. That’s because the complex and changing nature of the competitive
environment increasingly requires bringing diverse perspectives to bear on
organizational (business) challenges.

Richard L. Hughes and Katherine Colarelli Beatty: Becoming a Strategic Leader: Your Role in
Your Organization’s Enduring Success. Jossey-Bass:USA, 2005:43

Strategic thinking skills are necessary in order to define and achieve

specific goals and objectives. Strategic thinking involves the ability to identify a
relevant desired state, assess the starting state, and then establish and navigate
the appropriate path of transition states required to reach the desired state. A
key element of effective strategic thinking is determining which operators and
operations will most efficiently and effectively influence and move the present
state in the direction of the desired state.

Robert B. Dilts, Visionary Leadership Skills - Creating A World To Which People Want To Belong,
Meta Publications: United States of America, 1996

Learn to Think Strategically

Step1
Examine the status quo. Strategic thinking skills require you to examine how things have
always been done critically in order to determine if that is the way things should be

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 done. Strategic thinkers are willing to look outside of the norm to find more efficient and
creative ways of doing things.

Step2
Look at the forest, not the trees. Strategic thinkers are not mired down by the details of
managing day-to-day issues. Strategic thinkers look at the organization as a whole to
assess attributes and areas of opportunity.

Step3
Focus on the future. Strategic thinking is goal oriented and guided by a vision for the
future of a company. When you are developing strategies for business growth, those
strategies must have clearly defined goals that contribute to the overall vision for the
company.

Step4
Consider external forces when you develop a strategic plan. Governmental regulations,
legal developments, market conditions, economic factors and technological
developments can all affect how you plan for the future.

Step5
Get feedback from within your industry. Market research, particularly in product-driven
industries, can help you match the vision for your company to consumer expectations.

Step6
Check the facts. Even though strategic thinking involves making predictions about the
future, those predictions must be realistic. Gather hard data, including your
organizations financial reports and analysis of your industry, to inform your predictions
and help you develop goals based in reality.

Step7
Consider the organizational structure of your business and assess how that team fits into
your strategies for the future. You may have to reorganize your team to achieve your
goals.

Step8
Anticipate challenges. An important part of thinking strategically is being able to predict
what issues will arise and devising a plan to confront those issues ahead of time.

http://www.ehow.com/how_2103165_develop-strategic-thinking-skills-business.html

Copyright © 1999-2008 eHow, Inc

Developing Your Strategic Thinking

When we work with managers and executives, we usually ask them to describe their own
greatest challenges to becoming a better strategic leader. Here are a few representative
responses:

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 • To develop a vision for where my organization needs to be in five years
• To have a broader perspective on the competitive landscape
• To step back and see the big picture
• To be more comfortable thinking out of the box

We also pay attention during our work to what aspects of strategy as a learning process are
most challenging and most helpful for managers and executives to understand and learn to
apply. Based on this experience, we have identified five strategic thinking competencies that we
believe are integrally embedded in the broader challenge of strategic leadership and typically
least developed:

• Scanning
• Visioning
• Reframing
• Making common sense
• Systems thinking

Collectively, these strategic thinking competencies also tap the aspects of strategic thinking
that we’ve noted are vital yet underdeveloped in most managers (Linkow, 1999). Scanning and
systems thinking both involve nonlinear thinking. Visioning strives to touch the heart as well as
the head. Reframing often depends upon implicit thinking, and also can involve visual thinking.
And making common sense requires synthesis more than analysis. Now we will look more closely
at the nature of each of these five strategic thinking competencies as well as at how to develop
them.

Evaluate Your Strategic Thinking Skills

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Source: Richard L. Hughes and Katherine Colarelli Beatty, Becoming a Strategic Leader: Your
Role in Your Organization’s Enduring Success, Jossey-Bass A Wiley Imprint, San Francisco: USA,
2005: 52-54

INTER-LGU PARTNERSHIP FOR

COASTAL RESOURCE MANAGEMENT

Introduction

The final version of the Fisheries Code was passed by Congress in February 21, 1998 amidst the noise and spectacle of
the election fever that has seized the land. But it did not go unnoticed. It immediately ignited sharp reactions from
major stakeholders. For more than a year, national groups of small fisherfolks lobbied hard against the passing of the
Fisheries Code. The stakes were high, issues were intensely divisive, and interests, highly contested. On one side,
were the more than 1.8 million small fisherfolks whose livelihood depended on the coastal and marine resources of
areas classified as municipal waters. On the other side, were the big businessmen who operated commercial fishing
vessels, competing with the small fisherfolks for the same resources. Explosive issues revolved around the following:
1) the 15-kilometer municipal waters be reserved exclusively for the small fisherfolks, commercial fishing vessels up to
150 gross tons should not be allowed in the municipal waters; and 2) fishpond operators should not retain their
Fishpond Lease Agreement (FLA) and not renewed for another 50 years for coastal regeneration to tale place. Caught
in between are the local government units (LGUs), which must contend with the opposing stakeholders who are all

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their constituents. But more importantly, they were mandated to sustainably manage the coastal and marine
resources within their jurisdiction.

The past decade has seen the intensification of national government efforts in managing and regenerating
coastal and marine resources. Twelve priority bays were identified, where elaborate programs of coastal resource
management with enormous funding were implemented. In Ragay Gulf (Quezon and Camarines Sur provinces), 18
municipalities were recipients of millions of funds from the Asian Development Bank and Overseas Economic
Cooperation Fund. In Maqueda Bay (Western Samar), 8 contiguous municipalities were also beneficiaries of a huge
assistance from the European Union.

But there are “forgotten” bays. Those that were not declared as priority bays, with no elaborate programs,
nor enormous funding. Yet they share the same problems

Such was the case of Banate Bay in the province of Iloilo in Western Visayas. It is a common fishing ground
of 14,385 hectares shared by the municipalities of Anilao, Banate and Barotac Nuevo. There were 1,315 fishing
households in the 22 coastal barangays traversing the bay.

The challenge

The main problem besetting the small fisherfolks was their dwindling harvest due to the fast depleting
resources of the bay. The individual efforts of these municipalities were largely ineffective. While they were sharing
the same waters, their ordinances and enforcement approaches had wide disparities. Thus, the erring fishermen,
whether small or big, could always take refuge in the nearby municipality with lighter provisions or weaker
enforcement mechanisms. Mangrove forests were largely denuded. All major rivers were clogged by man-made
obstructions that resulted to siltation and flooding. Illegal fishing with the use of fine mesh net, cyanide and
dynamite-blasting and the unregulated intrusions of big commercial vessels systematically destroyed fish habitats and
depleted further the resources of the bay.

In addition, the Local Government Code of 1991 devolved to the LGUs some of the responsibilities that were
the concerns of the national government before. Sec. 447 mandates the following to the LGU: “protect the
environment and impose appropriate penalties for acts which endanger the environment, such as dynamite fishing
and other forms of destructive fishing…;” and “provide for the establishment, maintenance, protection, and
conservation of mangroves…” Section 33 encourages that “local government units, may, through appropriate
ordinances, group themselves, consolidate or coordinate their efforts, services and resources for purposes commonly
beneficial to them. In support of such undertakings, the local governments involved may, upon approval of the
sanggunian concerned after a public hearing conducted for the purpose, contribute funds, real estate, equipment and
other kinds of property and appoint or assign personnel under such terms and conditions as maybe agreed upon by
the participating local units through Memoranda of Agreement.”

The Inter-LGU Partnership for Coastal Resource Management

In the absence of a national program and external funding, the mayors of the three municipalities initiated
an alliance. On February 28,1996, the three municipalities institutionalized through an MOA, an inter-LGU
collaboration for Coastal Resource Management to regulate, protect, rehabilitate and regenerate Banate Bay. The
collaboration was operationalized through the Banate Bay Resource Management Council, Inc (BBRMCI), a SEC
registered entity.

The Coastal Resources Management (CRM) Program

It is widely acknowledged that CRM is a relatively new discipline. Others consider it as still evolving.
Although other sectors could rightfully claim that they have long been implementing some of CRM’s components,
credit should go to the Fisheries Sector Program (FSP) of DA for popularizing the concept. FSP was a 5-year program
(1990-1994), funded by Asian Development Bank and Overseas Economic Cooperation Fund of Japan. The most
strategic operational unit of FSP was its Coastal Resources Management Division. CRM’s objectives for coastal
fisheries were the following: a) the regeneration, conservation and sustained management of aquatic resources with

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emphasis on balancing fishing effort to maximum sustainable yield; b) rehabilitation and protection of the coastal
environment; and c) alleviation of poverty among municipal fisherfolks through the provision of alternative livelihood.
The CRM process is actually a cycle that has the following major steps: a) databanking; b) preparation of an
environmental profile; c) CRM planning; d) CRM plan implementation; and e) monitoring and evaluation. The tools for
CRM implementation included, but not limited to the following: a) legislation and law enforcement; b) research; c)
establishment of protected areas (such as marine reserves, fish sanctuaries) and zonation schemes; d) resource
regeneration and enhancement (such as artificial reefs, mangrove reforestation), and e) alternative livelihood. Since
1990, CRM was aggressively promoted by DA, strongly encouraging the LGUs to forge partnership among them, and
with peoples’ and nongovernment organizations in implementing the program.

The processes

Internal change agent. It was sometime in October 1995, that Mayor Ramon Antiojo of Anilao, attended a
seminar sponsored by the Department of Agriculture (DA) on Coastal Resource Management (CRM). Challenged and
inspired by the potentials of CRM and its applicability relative to the problems of the bay, he sounded off to the two
other mayors the possibility of putting up a united effort. Simultaneously, he instructed his agricultural technologists
to discuss with their counterparts from Banate and Barotac Nuevo the same concern.

Consultative dialogue. The result of the informal discussions and consultations was the consultative
dialogue among the three municipalities on November 7, 1995. The positive output was their decision for joint action.
They explored concrete mechanisms to operationalize their partnership.

Setting up of Ad Hoc Committee. The mayors signified their commitment by assigning their respective
fishery technicians as full-time members of the committee.

Study Tour. To give the committee a first-hand information about Coastal Resource Management, they went
on a study tour in a successfully implemented CRM in the municipality of Moalboal, Cebu and adjacent municipalities.

Drafting of CRM Plan for Banate Bay. The Ad-Hoc Committee, supervised by the mayors, and in
consultation with the Municipal Agriculturists, the Provincial Government and the DA, prepared and drafted the
preliminary CRM Plan for Banate Bay.

Creation of Interim BBRMCI. On January 16, 1996, a meeting was held at Anilao where an Interim BBRMCI
was created. Board Member Pablito Araneta, being the incumbent provincial council member in the area, was chosen
as the Interim Chairman.

Social marketing. A massive public info-dissemination and consultation were done to invite the
participation of all the fisherfolks in the bay area. All the 22 coastal barangays had public consultations regarding the
program. During these consultations, opinions, problems and issues were consolidated which served as basis and
guidelines for the formulation of strategies.

Signing of Banate Bay Resource Management Agreement of 1996. After several revisions of the Draft CRM
Plan, the Banate Bay Resource Management Agreement was drafted and signed in February 28, 1996 which stipulated
the creation of BBRMCI. The personnel initially loaned out by the municipalities were detailed as full-time staff. The
agreement was later ratified and approved by the municipal councils of Banate, Anilao, and Barotac Nuevo on the
following month.

Funding the program. In the absence of external funding, each municipality contributed P100,000 to
operationalize the program. Shortly after, the provincial government contributed P350,000. Later, the program
received a grant of P211,000 from the Local Government Support Program (LGSP) of the Canadian International
Agency for Development (CIDA) for capability building.

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 Creation of the Board of Trustees. During the first organizational meeting of BBRMCI on June 6, 1996, the
Board of Trustees was created. It was composed of the three mayors, the 3 council members in-charge of Agriculture
from each participating municipality, the incumbent provincial council member from the area, three NGO
representatives coming from the three municipalities, representatives from DA, Treasurer of the trustee municipality,
Executive Director, the Heads of the 6 units of BBRMCI, and later, the representatives of the BFARMCs.

Granting of legal identity of BBRMCI. On July 4, 1996, BBRMCI was registered as a non-stock, non-profit
corporation at the Securities and Exchange Commission.

Forging of Multi-Sectoral Agreement. BBRMCI entered into a agreement with DA, the Department of
Environment and Natural Resources (DENR), and the Department of Public Works and Highways (DPWH). They
composed the Technical Working Group.

Creation of People’s Organizations (POs). Barangay Fisheries and Aquatic Resource Management Councils
(BFARMCs) and 10 Fisherfolks Associations (FAs) were organized in 19 barangays. They were mainstreamed into the
BBRMCI with their representation in the Council and in the Board of Trustees.

The objectives of the alliance

The Banate Bay Resource Management Council, Inc. have lined up the following objectives:

1. shall adopt policies and stricter measures for the following:

 eradicate all forms of illegal fishing (dynamite, poison, use of fine meshed nets, etc.);
 ban the operations of commercial fishing boats that destroy sea geass system;
 adopt a zoning system that shall eliminate the construction of illegal fish pens, fishponds, and other
structures along and within the area;
 ban indiscriminate gathering of sea shells and fish corrals;
 adopt a “regeneration “ program like mangrove reforestation, and artificial coral reefs.
2. shall organize the small fisherfolks into associations or cooperatives so as to institutionalize these
organizations;
3. shall adopt information, education and motivation (IEM) program so as to develop the capability of the
cooperatives in terms of appreciating the program and developing their capability to operate, manage and
maintain their organizations;
4. shall coordinate with the proper agencies in the installation of post-harvest and other needed
infrastructures;
5. shall conduct continuous coastal zone research studies;
6. shall maintain data banking system;
7. and shall identify resources and other sources of funds necessary for the operation and maintenance of
BBRMCI.

Key Players

Local Government Unit (LGU). As mentioned, the change agent among the three mayors was Mayor Ramon
Antiojo, of the municipality of Anilao. He is on his last term. He came from a family long involved with fishing. He
would often reminisce the richness of Banate Bay in the 50’s and 60’s. He complained a lot about the old system
when the municipal government was not empowered to deal with the illegal and destructive activities at the bay.
What made the situation worse was the fact that the water boundaries of the three municipalities were overlapping.
In the absence of a functional coordination and collaboration, it was extremely hard to address decisively the
problems besetting the bay. When the 1991 LG Code devolved substantially the management of municipal waters to
the LGUs, Mayor Antiojo seized the opportunity. After attending one of the seminars by DA, he approached the other
two mayors and proposed the collaboration. Mayor Rodolfo Sarroza of Barotac Nuevo, and Mayor Vicente Bacos of
Banate, were willing partners as they also recognized the urgent need of their coastal constituents. What made it
interesting was the fact that these three mayors were perceived to be traditional politicians. Not a few were surprised
and elated that they have embarked on such a bold and innovative program.
The three municipalities belonged to the 4 th district. The elected Provincial Board Member was Pablito
Araneta. He was a native of Barotac Nuevo. As the designated Chairman of BBRMCI, he has fully supported the

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program. He often attended the regular meetings of BBRMCI. He shared the logistics and resources of his office. In
the absence of a computer at the BBRMCI office, the staff processed their documentation at his office. He was
responsible for mainstreaming the Banate Bay CRM program into the prioritized development programs of the
province. He likewise brokered the continued financial assistance of the provincial government. The incumbent
governor, Arthur Defensor, was appreciative and supportive of the program.

National Government Agencies (NGAs). The program innovatively mainstreamed the representation and
involvement of NGAs. Institutionalized through the MOA creating the Multi-Sectoral Management Committee,
BBRMCI entered into a contract with the Department of Environment and Natural Resources (DENR), the Department
of Agriculture (DA) and the Department of Public Works and Highways (DPWH). The MOA detailed the technical
management concerns of BBRMCI and the corresponding NGA which could address those. The NGAs’ representatives
eventually composed the Technical Working Group (TWG). They joined the monthly meeting with the Development
Task Force. With their participation as TWG, they have observed that they could now broker directly their agency’s
development agenda and intervention. With their direct dealings with the fisherfolks, the program had also facilitated
a better delivery of the services expected from them.

Peoples’ organizations (POs). The program had calibrated tremendously the participation of the small
fisherfolks by organizing the FARMCs in 19 of the 22 coastal barangays. And by making them virtual extension groups
of the BBRMCI in every barangay, they were collectively empowered. The organized fisherfolks associations in ten
barangays were positioned to engage in the livelihood projects brokered by BBRMCI. From the marginal to the
mainstream – this could be an apt description of the processes undergone by the small fisherfolks. Through the
program, they are now legitimately recognized as the major stakeholder in the protection, management and
regeneration of the fishery resources. As the community-based organizations, they are in the best position to do it.

Academe. On June 3, 1997, BBRMCI entered into an agreement with Iloilo School of Fisheries (ISCOF),
located in Barotac Nuevo, for CRM to be offered as a course. Banate Bay would be the actual laboratory for the
students, and researches geared to benefit the small fisherfolks. On August 22, 1997, another agreement was forged
with the University of the Philippines in the Visayas to foster research training and extension programs.

Key success factors

Multisectoral partnership. The greatest strength of the program was that it was anchored on a
multisectoral collaboration. It was strategic enough that the three municipalities banded together, but they effectively
aligned with other strategic stakeholders. Most notable was the prominent role of the POs and the functional role of
the national agencies.

Strong political will. The local chief executives of the three municipalities could rightly claim that the inter-
LGU alliance was purely their initiative. They have translated into concrete actions their resolve to save Banate Bay.
By sharing initially their limited material and human resources, the mayors have shown their determination to pursue
their development agenda for the bay.

Efficient leadership. It was strategic that the elected Chairman was Pablito Araneta, the incumbent
Provincial Board Member of the 4 th district where the three municipalities are located. His political background suited
well the position vested upon him. He was formerly a student activist who went underground during the early years
of martial law. He brought into the program his pro-poor orientation and bias for community organizing. He
efficiently mainstreamed the program into the prioritized concerns of the provincial government. Likewise, the
Executive Director, Mary Lou Larroza, has proven to be an efficient manager. Her career background prepared her well
for the job, since she was formerly an Agricultural Technologist. She also had a stint with NGO work which she
advantageously applied in the mobilization and organization of the POs.

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 Ownership of the program. Through the program, the small fisherfolks had claimed a bigger stake in the
present and future utilization of the bay’s resources. Where they destroyed before, they now become staunch
protectors of the bay. Where before the coastal communities were indifferent bystanders, they now actively
participate in the clean-up and regeneration of the coastal areas.

Problems encountered and hurdled

Resistance to change. Small fisherfolks who built obstructing structures in the major rivers were hardest hit
when those were dismantled. Those who were not involved in fishing were about to be displaced. But the resistance
was slowly hurdled after a series of dialogues and meetings, after which they decided to organize themselves. In
providing alternative livelihood, they were prioritized. The fisherfolks who have long been accustomed to the use of
fine mesh nets likewise resisted the program. But they were won over when they were offered free another set of
nets in exchange for the fine mesh nets they were using. The illegal intrusions of big commercial vessels were
minimized by the vigilance of the Fish Wardens.

Lack of office facilities and equipment. While there were many regular reports, communications and
updates that BBRMCI had to undertake, there was not a single computer nor even a typewriter in the office.
Remarkably, the paperworks of BBRMCI were always updated as the staff regularly availed of the equipment and
office of Board Member Araneta at the Provincial Capitol.

Lack of manpower. Even if BBRMCI had a full-time staff, they were still undermanned to absorb all the
loads. Thus, BBRMCI hastened the creation of BFARMCs which proved to be very helpful in community mobilizations.

Limited funds for alternative livelihood. Initially, this was a major weakness of the program. Especially at
the time when fisherfolks were adversely affected already by the strict enforcement of fishery laws and there was not
enough funds to provide them alternative livelihood. This was addressed when BBRMCI successfully brokered funds
from DA.

The accomplishments

After two years of operations, BBRMCI has piled up impressive accomplishments. Given the responsibility to
manage the day-to-day operations of the BBRMCI, the Development Task Force, headed by the Executive Director, and
six full-time staff worked hard to make significant inroads.

Institutional Development. There were six major activities designed to facilitate the institutional
development of BBRMCI: 1) Information Education Motivation (IEM) Campaign in which a series of school symposia
were conducted; Poster, Slogan and Logo Contests were held; Massive info campaign in all the 22 coastal barangays of
the bay; a Primer was printed. 2) BBRMCI organized 19 Barangay Fisheries and Aquatic Resource Management Council
(BFARMCs) and 10 Fishermen’s Association, which previously had none in the bay area. Hence, BBRMCI created the
venue that facilitated the participation and active involvement of the small fisherfolks. The fisherfolks are no longer
just considered as the destroyers of marine eco-system of Banate Bay who needed to be regulated, but as partners
and major stakeholder. 3) BBRMCI facilitated a series of capability-building training and seminars for the organized
groups. Two Fishery Law Enforcement Seminars were conducted where 78 fish wardens were deputized. Three
batches participated in Strategic Planning Seminar-Workshop, while 12 Orientation Seminars on Fisheries and Aquatic
Resource Management Council (FARMCs) were held. 4) Technical training were likewise conducted for the fishermen’s
organizations. 5) There were several training and study tours for staff development. 6) Networking and linkages were
established: MOA with Iloilo School of Fisheries and DENR for CRM to be introduced as a subject and Banate Bay as
their laboratory; Multi-sectoral MOA with DA, DENR and DPWH institutionalizing their involvement as the Technical
Working Group in the Council; MOU with UP in the Visayas for research on capture Fisheries; MOA with LGSP-CIDA for
funding of the capability-building activities.

The empowerment of the small fisherfolks is most evident in their organizational identity as FARMCs in
coastal barangays. As official partners, representatives and extension of BBRMCI in the coastal areas, they are now
vested with legal powers, institutional strength and organizational logistics to actively enforce the fishery laws, protect
and maintain the coastal and marine resources, regulate land use and undertake projects to regenerate the depleting

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resources. Before, even if they monitored illegal fishing activities, they were powerless to intervene. If they have
complaints, they lamented that bureaucratic channels in the LGU had discouraged them to lodge protests. Now, they
appreciate their new-found power as an organization. They participated in the granting of fishing licences; they are
consulted in the area regarding land use; they are deputized as fish wardens for law enforcement; they are integrally
part of BBRMCI Task Force which meets monthly; they could easily articulate their needs and recommendations to
BBRMCI for swift response; they are part of the planning for the bay development. They now have collective
personality in their local communities, and owned the responsibility to manage the critical resources that feed them.

Law Enforcement. There were 78 Fish Wardens deputized, who comprised three teams of Bantay Dagat.
Bantay Dagat effected 48 apprehensions, cases were filed in court. Fishing was regulated through licensing. The most
significant achievement was the review, consolidation, and a uniform formulation of provisions of Municipal Fisheries
Ordinance (MFO) by the three municipalities. More impressive was the fact that despite the presence of other
pressure groups, the LGUs exhibited an uncompromising political will when they leveled off the provisions of MFO. It
paved the way for the uniform enforcement of fishery laws. All illegal structures in the major rivers were dismantled.

Resource Regeneration. There are impressive achievements from the environmental component of the
program. BBRMCI and the FARMCs successfully lobbied for two fish sanctuaries (each with 25 hectares area) that
were officially declared through Municipal Resolutions - Lamintao-Pasil area in Barotac Nuevo and Hibotkan Reef in
Banate. Significantly, a Zoning Plan was finalized after the mapping and survey of the whole bay were conducted. 80
artificial reef modules were established (20 were funded by DA, while 60 were sponsored by the provincial
government). Mangrove reforestation and nurseries were established. BBRMCI innovatively offered nets with the
recommended spacing with the fine mesh nets used by majority of the sustenance fisherfolks. BBRMCI and the
FARMCs likewise influenced the LGUs to finally muster enough political will to dismantle all structures clogging the
rivers. Several shoreline areas were declared as restricted areas for mussel and oyster breeding and research.
“Closed-fishing season” was strictly enforced. Fisherfolks and residents have observed that destructive fishing
activities have substantially decreased in incidences, with the once-rampant dynamite blasting almost gone. FARMCs
with other sectors in the barangays facilitated the clean-up and regeneration of shoreline areas. One classic example
was in Bgay. Talokgangan in Banate where the FARMC collaborated with the Barangay Council and the community and
cleaned up what used to be the dump site of human waste and non-biodegradable garbage. The Sangguniang
Kabataan (youth) then initiated and maintained a two-hectare mangrove reforestation. The elementary school
students have likewise cleaned up and maintained the shoreline beside the school site. The commitment of the young
had challenged the adults in the community.

Livelihood. For 1997, DA-BFAR extended P1,500,000 which BBRMCI utilized for the livelihood projects for 10
fishermen’s association with 247 beneficiaries amounting to P1,094,322. The projects were the following: shell, green
mussel and oyster culture; stationery lift net; gill net fishing; and blue crab catching. The provincial government
likewise funded the procurement of fishing paraphernalia which benefited 190 fisherfolks. It was important in the
implementation of the livelihood projects, that those were still related basically to fishing. It was a strategy to remind
them that there are far more profitable fishing activities other than the illegal and destructive ones. The livelihood
projects prioritized the fisherfolks directly affected by the strict enforcement of fishery laws. It was likewise important
to immediately provide an alternative way to earn whenever fisherfolks were adversely affected with the strict law
enforcement.
The small fisherfolks often described the economic gains of the program from their own experience. Their
feedback has a pattern: before, the fishers with non-motorized banca were harvesting only an average of half to one
and a half kilos of fish, today, they have an average of two to four kilos, sometimes even more. And they do not have
to go far to harvest fish. Residents testify that for the first time in many years, there was a resurgence of abundance
of sardines (tuloy) and crabs in the bay area, and mussels, oysters and shells have reappeared. Fisherfolks who began
accepting low-paying jobs in the uplands and lowlands resumed their fishing activities. Other residents of nearby
municipalities were even observed to fish in the area. Although they could not quantify, they claim that definitely it
had increased their income. These claims were corroborated by the technical personnel of BBRMCI, the Barangay
council members, teachers and others who were not fisherfolks.

Research and Data Banking. On 6 sites, 23 red tide monitoring activities were conducted, while 22 barangay
Fisheries Profile were gathered from 22 barangays. Collaborative studies were jointly undertaken with the academe.

Prospects for sustainability

15
 The initiators and the Task Force have prepared well the groundwork that would ensure the sustainability of
the program. MOAs and MOU covering the vital components of the program were in place and were fully operational.
Municipal Ordinances and Resolutions institutionalized the mechanics and guidelines for enforcement and regulation.
Barangay Ordinances and Resolutions were likewise formulated as guidelines in the local context of the barangays.
The three municipalities revised, synchronized and coordinated their Municipal Fisheries Ordinances which
remarkably have uniform provisions. The three municipalities, assisted by the BBRMCI, organized Bantay Dagat for law
enforcement. 19 BFARMCs, and ten Fishermen’s Asociations (six were registered with DOLE), were organized.
BBRMCI Task Force led by the Executive Director, as the body responsible for the implementation and execution of the
programs and policies of the Council, have achieved a remarkably high level of autonomy from the influence of
political leaders and parties. They were able to secure funding from LGSP for continuous capability-building. The
provincial government had mainstreamed into its Medium-Term Plan the Banate Bay Resource Management Program.
This has ensured the continued allocation from the provincial government.
The enthusiastic response of the small fisherfolks is the best indicator that the program enjoys the popular
support of the people. Other stakeholders’ cooperation - the Barangay Councils, the youth and the students, indicate
a high degree of acceptance of the program. This program could be replicated in other localities, provided that the
LCEs exhibit a strong political will and innovative leadership; institutionalize the partnership among them and between
the people’s organizations; implement the program with greater involvement from the local community; involve the
other stakeholders, such as the gov’t agencies and the academe. The Pilar Bay Development Authority tasked to
rehabilitate Pilar Bay in Capiz was a direct replication of BBRMCI; and currently, the four municipalities of Libertad,
Pandan, Sebaste and Culasi of the province of Antique which are forging an inter-LGU collaboration to manage Pandan
Bay had likewise studied the processes and approaches of BBRMCI. Several municipalities from Iloilo, Capiz, Aklan and
Negros Occ. have visited Banate Bay with the intention to replicate the program.

GALING POOK AWARDEE 1997-98 This case was written by Daniel B. del Rosario, Jr., under the
supervision of Prof. Edel C. Guiza. This case was intended to illustrate innovations and excellence in local
governance, and highlight the development management implications and challenges for possible
replication.
Copyright  Galing Pook Awards, 1998, of the Center for Development Management of the Asian
Institute of Management. Partly funded by Local Government Support Program – CIDA.

COMPETENCY Standards FOR CESOs

COMPETENCY CLUSTER BEHAVIORAL PERFORMANCE

INDICATORS CRITERIA
1. Strategic Thinking Researches, interprets, and reports on Research/study on the
The ability to obtain long-term customer/client trends for customer/client tends and
information and identify the purpose of formulating policy and requirements had been conducted
key issues and strategy.

16
relationships relevant to
achieving a long-range
goal or vision; to commit
to a course of action to
accomplish a long-range
goal or vision after
developing alternatives
based on logical
assumptions, facts,
available resources,
constraints, & shared vision with others
organizational values
Elements:
Strategic Intent; Strategic
Assessment; Strategic
Choice
Customer awareness;
supplier relationships;
stakeholder influences;
understanding of
competence; awareness
of technological change
and innovation; mix of
people involved in the
process; encouragement
and under-standing of top
management;
communication of results
and reaction to feedback;
a sound logic and balance
to the process; process
design but not over-
design; considered role of
external support
Researches, analyzes and interprets
the factors in the external environment
Identifies opportunities and risks in the
external environment
Analyzes the organization’s strength
and weakness
Takes a long-term view and builds a
Formulates objectives and priorities
Generates alternatives based on logical
assumptions, available resources,
constraints and organizational values
Formulates strategies that are
achievable, cost-effective, and address
organizational goals by themselves or in
coordination with other strategies.
Identifies the success factors critical to
the organization’s long-term
sustainability and competitiveness
Designs processes that will lead to the
accomplishment of the organizational
goals
Formulates communication plan and
feedback system
Aligns organizational elements to
ensure organizational balance and
effective and efficient execution;
Ensures thorough execution and
achievement of results
Research, analysis and interpretation
of the factors in the external
environment had been accomplished
Opportunities and risks had been
identified and prioritized
Internal organizational assessment
conducted and organizational
strengths and weaknesses identified
Vision formulated
Objectives had been formulated and
prioritized
Strategic options had been generated
and prioritized based on available
resources, organizational values and
impact
Achievable and cost – effective
strategies had been formulated
Success factors had been identified
Work processes designed and agreed
by everybody; accountability defined
Communication plan formulated
Interconnectedness of organizational
elements designed, analyzed and
agreed by everybody
Performance measurement standards
established and agreed by everybody

Evidence Guide

1. Critical Aspects Assessment requires evidence that the candidate:

of Competency
a. Identified the organization’s strategic direction, goals and priorities and
potential benefits from the adoption of organizational strategies
b. Evaluated current organizational practices, responsibilities, and culture in
the light of the organizational requirements
c. Evaluated and documented impact of strategies on employees and existing
customers in accordance with organizational requirements

17
 d. Analyzed the organization’s strength, weaknesses, opportunities and threats
based on the standards
e. Conducted analysis (e.g. SWOT) of strategic options based on guidelines
f. Formulated the Organizational Directions
g. Designed Work Processes
h. Communicated the Plan
2. Underpinning a. External and internal environment of the organization
Knowledge b. Organization systems and procedures
c. Program development and management
d. Other relevant statutory rules and regulations
e. Strategy Management
f. Strategic Planning
3. Underpinning a. Critical thinking
Skills b. Analytical skill
c. Communication skills
d. Forecasting
e. Creative management
f. Data gathering
g. Strategy formulation
h. Problem solving
i. Use of ICT
j. Effective Execution Skills
4. Underpinning k. Assertive
Attitude l. Committed
m. Decisive
n. Flexible
o. Focused
p. Innovative
q. Objective
r. Organized
s. Persevering
t. Resourceful
u. Risk-taker
v. Facilitative
w. Systematic
x. Self-mastery
y. integrity

18
5. Methods of Competency may be assessed through:
assessment
a. Interview
b. Demonstration
c. Portfolio
d. Third party report

Behavioral Indicators by Level of Rank

CESO I

Takes a long-term view and builds a shared vision with others

Aligns organizational elements to ensure organizational balance and efficient and
effective execution
Ensures thorough execution and achievement of results

CESO II

Identifies opportunities and risks in the external environment

Formulates strategies that are achievable, cost-effective, and address organizational
goals by themselves or in coordination with other strategies.

CESO III

Identifies the success factors critical to the organization’s long-term sustainability and
competitiveness
Formulates communication plan and feedback system
Designs processes that will lead to the accomplishment of the organizational goals

CESO IV

Identifies the success factors critical to the organization’s long-term sustainability and
competitiveness
Formulates objectives and priorities

CESO V

Generates alternatives based on logical assumptions, available resources, constraints

and organizational values

19
Formulates objectives and priorities

CESO VI

Researches, interprets, and reports on long-term customer/client trends for the purpose
of formulating policy and strategy
Researches, analyzes and interprets the factors in the external environment

Leading in a Continuously Changing

Environment
Definition: The ability to develop and implement an organizational vision that integrates
key program goals, priorities, values and other factors.

This competency encompasses new ideas, innovation, creativity, learning

and guiding and working with change.

20
CASE IN POINT

In the late 1980s, we worked with a large bank in California and ran smack into this
leadership denial factor. This was during the time that the “change is manageable” bubble was
just beginning to burst, and most leaders were unaware of the deep personal change being
required both for themselves and for employees.
The bank was installing a new computer system throughout its many branches that would
revolutionize their tellers’ jobs by putting substantial customer information at their fingertips.
Equipped with this information, tellers would then be expected by management to introduce
and sell appropriate insurance and investment products to their customers while the customers
were at the tellers’ windows making deposits or withdrawals. The technology installation was
part of a comprehensive strategy to expand the bank’s service offerings to retain customers and
market share, which the bank was quickly losing to large investment brokerages.
Senior management asked us to audit their existing change strategy and to predict how we
thought it would proceed. After interviews with senior executives, we realized that they clearly
understood that their marketplace had new requirements for success and that they had
developed a solid business strategy based on new business imperatives. They had effectively
translated that strategy into new organizational imperatives, primarily the installation of new
computer technology. However, that was as far as they had gone. They conceived the change as
a simple technology installation. But it was much, much more.
The senior leaders had no idea that their new marketplace requirements and business and
organizational imperatives were so significant that they were driving the need for a fundamental
transformation of their culture, as well as their leaders’ and employees’ skills, behaviors, and
mindsets.
Their change strategy neglected any attention to culture, behavior, and mindset beyond
training the tellers in how to use the new computer system. To the leaders, that was enough.
They planned to shut all of their numerous branches down on a Friday, work all through the
weekend installing the system and training employees, and re-open the bank on Monday
morning without skipping a beat. They were in for a painful surprise.
We issued a loud warning that their plan was going to backfire and cause tremendous
upheaval because their strategy neglected any attention to changing their culture or their
leaders’ and employees’ behavior and mindset. We suggested that, in the best-case scenario,
their change effort would alienate employees and customers; in the worst case, it would cause
both to leave in droves.
Here were the key issues as we saw them:
1. Each branch was a fiefdom, run top-down by largely autocratic branch
managers who made all significant customer decisions. We suggested that
the new technology and the subsequent change in the tellers’ role would
create a power struggle between the branch managers and the tellers. The
fact that the tellers would now have the power to make significant customer
decisions would undermine the branch managers’ historic authority, and the
branch managers would be likely to withhold their support, which the tellers
would so desperately need, especially during the initial stages of
implementation.
2. Many of the tellers had worked for the bank for ten or more years and were
hired because of their style and skill at doing accurate and predictable work,
that is, helping customers to make deposits and withdrawals. The tellers had

21
 no sales training. Most, if not all, were not salespeople by nature, and their
communications skills were not highly sophisticated. They took jobs at the
bank because they were attracted to the safe and predictable work of
making customer transactions.
3. We suggested that employees would learn the new system (they were all
good “soldiers”) but not be willing to use it because to do so would be too
threatening to them. Not possessing the mindset, behavior, or skills of a
salesperson, they would simply not engage their customers in the new sales-
oriented conversation that their leaders expected. And, if they did attempt
such conversations, their lack of skill might backfire, creating resentment or
embarrassment for customers and reducing customer satisfaction.
4. Management planned to change the tellers’ compensation system to drive
their new behavior. A significant portion of their compensation was to be
based on hitting sales targets. We suggested that installing this new
compensation system at startup, before the change was assimilated, would
alienate the tellers and that this resentment would further amplify the
weakness in their sales skills. We also suggested that the new compensation
system would increase the conflict between the tellers and their angry
branch managers because the branch managers would pressure or punish
the tellers for not hitting their “sales” numbers.
The unfortunate conclusion to this story was that the leaders rejected our concerns and
proceeded with their original plan. Given their mindset and lack of desire to address any
potential problems, they simply did not want to hear what we had to say about the need to
attend to culture, behavior, and mindset as a part of their overall change strategy. The outcome
of their change was as we predicted. Over the next eighteen months, the bank lost both market
share and many of its top employees, including both tellers and branch managers.
The point is this: Like it or not, most of the significant changes in organizations today require
leaders to attend to culture, behavior, and mindset, including their own. A major focus of change
consultants has to be helping leaders in this endeavor. Leaders and consultants must understand
at which point they must integrate personal change into organization change and how to
accomplish it, for if they do not, they will fail.

Source: Dean Anderson and Linda S. Ackerman Anderson, Beyond Change Management:
Advanced Strategies for Today ’s Transformational Leaders., Jossey-Bass Inc., A Wiley Company,
2001: 29-30

COMPETENCY BEHAVIORAL PERFORMANCE

CLUSTER INDICATORS CRITERIA

22
3. Leading in a Vision has been communicated to
Communicates a compelling vision that generates
Continuously the whole organization
excitement, enthusiasm, and commitment.
Changing
Environment Need for change defined
Communicates the need for change and inspires
Support of others had been
commitment to the process.
The ability to spelled out
encourage others Recognizes opportunities for improvements and Opportunities for improvement
to seek proposes new workable solutions has been identified;
opportunities for Workable solutions has been
different and defined
innovative ap- Appreciates and encourages new ideas and New ideas generated; works
proaches in working methods standards has been defined
addressing prob- Actively seeks to apply new methods and New methods and technologies
lems and oppor- technologies to improve work processes had been identified; work
tunities, and to processes reviewed
facilitate the Encourages others to question established work Problem causes have been
implementation & processes or assumptions and challenges them to discovered and acknowledged by
acceptance of ask "why" until cause is discovered. everybody
change within the Tries to minimize complexities or reduce their Directions had been clarified
organization impact; clarifies direction and smoothens the Process of change has been
clearly explained and
This competency process of change; facilitates
accepted/owned
encompasses new ownership/acceptance of change by others
Champions have been identified;
ideas, innovation, Identifies and enlists the support of key
individuals and groups to move the change and responsibilities clearly
creativity, understood
forward.
learning, and
Performance standards have
guiding and Demonstrates commitment to innovation and been established;
continuous improvement in organizational
working with Commitment has been ensured
performance.
change. Personal accountability and
responsibility have been defined
Structure and Systems have been
Leads initiatives to change the structure, system,
reviewed;
or talent mix of the organization to more Allocation of responsibilities
effectively support the business strategy. facilitated
Fit between competence and job
established and alignment of
personal values with
organizationally shared values
attained
COMPETENCY Standards FOR CESOs

23
 COMPETENCY BEHAVIORAL PERFORMANCE
CLUSTER INDICATORS CRITERIA
Leading in a Resistance to change have been
Addresses change resistance and shows empathy
Continuously identified
Changing with people who feel a loss as a result of change. Benefit of change have been
ENvironment clarified and acknowledged by
everybody
The ability to Solutions have been agreed and
Works to make other feel ownership in one's own
encourage others owned by everybody in the
to seek solution; formulates clear decision criteria (aligns organization
opportunities for and inspires the people to own change)
different and Creative options have been
innovative ap- Is proactive and action-oriented in developing
creative solutions to problems while encouraging generated
proaches in Appropriate actions have been
addressing creativity and innovative thinking in staff;
generates alternatives to address problems in identified
problems and Participation of the staff has been
opportunities, achieving desired outcomes
facilitated
and to facilitate
the implement- Resources have been identified
ation & Obtains and provides resources to enable
and appropriately allocated
acceptance of implementation of change initiatives.
change within the Serves as a personal model of the change that Personal commitment and
organization she/he expects of others (personal integrity). involvement is ensured
Facilitates groups or teams through the problem- Teams/Groups have been
This competency
solving and creative-thinking processes leading to organized;
encompasses new the development and implementation of new Processes have been defined
ideas, innovation, approaches, systems, structures, and methods. Implementation strategies have
been established and owned
creativity, learn-
Helps employees develop a clear understanding Consultative and collaborative
ing, and guiding of what they will need to do differently as a result processes have been facilitated;
and working with of changes in the organization. Action steps have been defined
by the staff
change.
Designs and implements new or cutting edge Reforms have been introduced
programs / processes or reforms
Gathers and interprets information from a Information gathered and
variety of sources; detects trends, interpreted; cause-effect and
other tools to decision-making
associations, and cause-effect relationships utilized
Effectively appraise the performance of the Performance monitoring and
personnel and secure improved performance continuous improvement process
established
Competency Standards for CESOs

24
Evidence Guide
1. Critical Aspects Assessment requires evidence that the candidate:
of Competency
a. Identified the organization’s strategic direction, goals and priorities and
potential benefits from the adoption of organizational strategies
b. Evaluated current organizational practices, responsibilities, and culture
in the light of the organizational requirements
c. Identified and analyzed the causes of resistance to change
d. Defined the need for Change
e. Identified the Opportunities for improvement
f. Formulated performance standards and defined personal
accountabilities and responsibilities
g. Clarified the benefits of change
2. Underpinning a. External and internal environment of the office
Knowledge b. Organization systems and procedures
c. Management of Teams
d. Other relevant statutory rules and regulations
e. Decision Analysis
f. Change Management
g. Resource Management
3. Underpinning a. Critical thinking
Skills b. Analytical skill
c. Communication skills
d. Forecasting
e. Creative management
f. Data gathering
g. Strategy formulation
h. Problem solving
i. Use of ICT
j. Effective Execution Skills
k. Interpersonal skills
4. Underpinning a. Assertive
Attitude b. Committed
c. Decisive
d. Flexible
e. Focused
f. Innovative

25
 g. Objective
h. Organized
i. Persevering
j. Resourceful
k. Risk-taker
l. Facilitative
m. Systematic
n. Integrity
o. Self-mastery
5. Methods of Competency may be assessed through:
assessment a. Interview
b. Demonstration
c. Portfolio
d. Third party report

Behavioral Indicators by Level of Rank

CESO I

Designs and implements new or cutting edge programs / processes or reforms

Communicates a compelling vision that generates excitement, enthusiasm, and
commitment.
Communicates the need for change and inspires commitment to the process.
Leads initiatives to change the structure, system, or talent mix of the organization to
more effectively support the business strategy
Is proactive and action-oriented in developing creative solutions to problems while
encouraging creativity and innovative thinking in staff
Obtains and provides resources to enable implementation of change initiatives.
Works to make other feel ownership in one's own solution; formulates clear decision criteria
(aligns and inspires the people to own change)
Effectively appraise the performance of the personnel and secure improved
performance

CESO II

Recognizes opportunities for improvements and proposes new workable solutions

Actively seeks to apply new methods and technologies to improve work processes
Serves as a personal model of the change that she/he expects of others (personal
integrity).

CESO III

26
Demonstrates commitment to innovation and continuous improvement in organizational
performance
Tries to minimize complexities or reduce their impact; clarifies direction and smoothens
the process of change; facilitates ownership of change by others
Identifies and enlists the support of key individuals and groups to move the change
forward.

CESO IV

Addresses change resistance and shows empathy with people who feel a loss as a result
of change.
Works to make other feel ownership in one's own solution

CESO V

Facilitates groups or teams through the problem-solving and creative-thinking processes

leading to the development and implementation of new approaches, systems,
structures, and methods
Appreciates and encourages new ideas and working methods

CESO VI

Encourages others to question established work processes or assumptions and

challenges them to ask "why" until cause is discovered
Helps employees develop a clear understanding of what they will need to do differently
as a result of changes in the organization.

27
Empowering/Developing Others to
Establish Collective Accountability for
Results
Definition: The ability to develop and promote effective relationships with colleagues and team
members and to deal constructively with conflicts. The ability to develop subordinates' skills and
competencies by planning effective development activities related to current and future jobs

Empowerment can offer an approach to organizations that will enable them to succeed, and
treat themselves, their staff and their customers well.

Empowerment offers a way of treating people with respect and honesty, which must be the signs
of a civilized society. It offers modus operandi for organizations that want to be successful in the
climate of constant change in which we now live. Empowerment offers a way to deal with the
situations where we don’t know the questions yet.

Definition

Consider the following two explanations of what empowerment means in practice:

“The purpose of empowerment is to free someone from rigorous control by

instructions and orders and give them freedom to take responsibility for their
own ideas and actions, to release hidden resources which would otherwise
remain inaccessible.” (Jan Carlson)

“When managers are truly empowered, the burden of proof should be on head
office to tell them why they can’t, rather then on them to prove why they
should.” (Valerie Stewart)

Empowerment is the concept of giving people more responsibility about how

they do their own jobs. It is about giving more involvement in decision-making and more
encouragement to investigate their ideas fully. Empowerment is the process to increase
efficiency and make greater use of each individual’s contribution. It implies synergy; the
whole can be greater than the sum of the parts.

Source: The Association of Business Executives. Human Resource Management, ABE: UK

Example

As a manager for the past 14 years, I have developed performance and training
plans, counseled, appraised and hired employees, worked with unions, and taken
disciplinary actions. I have done from supervising five employees to managing 170
headquarters and field employees.

28
 As head of the department’s Office of Discrimination Resolution, I inherited a 4-
year backlog of Equal Employment Opportunity (EEO) complaints and a 15-member staff.
At the same time, the department issued a mandate requiring us to reduce the
complaints backlog within 60 days and to eliminate it within 4 months. (Challenge) I had
neither the funds not the time to hire additional staff so I set out to make the maximum
use of the human resources I had on board. (Context)

My first step was to review the complaints in inventory to determine which

complaints could be quickly moved through the system and which ones required in-
depth review. I then reorganized the office by defining the structural needs of the EEO
program and assessing the skill levels of my employees, I created five teams, using my
own staff as well as field staff, and ensured that work was evenly distributed to each
group. I worked closely with my employees to develop appropriate performance
standards for their new assignments. In addition, we discussed the training that would
be needed to enhance their performance. (Action)

I ensured that each employee understood the importance of his or her

contribution to the project. Throughout the transition to teams, I kept an open – door
policy and listened closely to employees’ suggestions. As a result, the teams developed a
remarkable “can do” attitude toward this overwhelming workload. The spirit and
determination with which we worked together enabled us to meet the department’s
goal of eliminating the complaints backlog within 4 months. (Result)

During this period, I saw that several minority employees had potential far above their
grade levels. (Challenge) I reclassified these support positions into positions with career
ladders to the GS-14 level. I provided on-the-job training, specialized classroom training,
and day-to-day supervision to give them the necessary experience to compete for the
new positions. (Action) Four of the employees are now working successfully as GS-13
Senior Specialists. (Result) I received the agency’s “EEO Manager of the Year” award for
my upward mobility efforts.

Source: United States Office for Personnel Management, Guide to Senior Executive
Service Qualifications, October 2006

29
 COMPETENCY CLUSTER BEHAVIORAL PERFORMANCE
INDICATORS CRITERIA
7. Developing/ Conflict identified, analyzed and
Identifies conflict early and manages /
Empowering resolved
resolves in a constructive manner
Others to Establish
Collective Courtesy, sensitivity and respect
Fosters an environment in which people who
Accountability for incorporated in the organizational
are culturally diverse can work together
Results culture
cooperatively and effectively in achieving
organizational goals
- The ability to develop
and promote effective Considers and responds appropriately to the Needs and feelings discussed and
relationships with needs and feelings of different people in appropriate responses to
colleagues and team different situations different situations defined
members and to deal Inspires and fosters team commitment, Team plans formulated
constructively with spirit, pride, and trust
conflicts. The ability to Facilitates cooperation and motivates team Group goals accomplished
develop subordinates' members to accomplish group goals
skills and Fosters an inclusive workplace where Culture of respect and
competencies by diversity and individual differences are collaboration defined, established
planning effective valued and leveraged to achieve the vision and owned
development activities and mission of the organization
related to current and Creates a learning environment; provides Organizational learning facilitated
future jobs opportunities to learn through formal and
informal methods
Utilizes direct reports Feedback mechanism/system
Develops the ability of others to perform
effectively by and contribute to the organization by established
allocating decision- providing ongoing feedback
making and other Monitoring system established
responsibilities to the Monitors progress and adjusts plans to
ensure development of the staff
appropriate person.
Gives people latitude to make decisions Accountabilities and
based on their level and area of responsibilities clarified,
responsibility and level of knowledge and understood and owned
skills.

30
 Encourages individuals and groups to set Individual and group goals
their own goals consistent with formulated
organizational goals.
Delegates responsibility, clarifies Expectations clarified,
expectations, and gives staff autonomy in responsibilities delegated,
important areas of their work explained and owned
Holds others accountable for achieving Performance standards and
results related to their area of responsibility contract formulated

COMPETENCY Standards FOR CESOs

COMPETENCY Standards FOR CESOs

COMPETENCY CLUSTER BEHAVIORAL

INDICATORS PERFORMANCE
CRITERIA
Developing/ Genuinely values all staff members' input and Inputs from the staff generated,
Empowering Others to expertise discussed and given due recognition
Establish Collective
Accountability for
Shows appreciation and rewards achievement Rewards system established
Results and effort
Involves others when making decisions that System for consultation and
- The ability to develop affect them involvement in decision making
and promote effective established
relationships with Encourages groups to resolve problems on their System and levels of resolving
colleagues and team own; avoids prescribing a solution problems established
members and to deal Resources identified and allocated
Provides resources and support needed
constructively with
conflicts. The ability to Systems, methodologies and
Uses appropriate methods and a flexible
develop subordinates' processes of developing capabilities
interpersonal style to help others develop their
skills and identified, discussed and owned
capabilities
competencies by
Shares information, advice, and suggestions to System and processes of sharing
planning effective
help others to be more successful information, advices and suggestions
development activities established
related to current and Recognizes and reinforces people's People’s developmental efforts and
future jobs developmental efforts and improvements improvements are encouraged and
reinforced
Expresses confidence in others' ability to be Consultation with others conducted
successful

31
 Participates in opportunities to enhance Opportunities for knowledge and
Utilizes direct reports knowledge and skills in others skills enhancement identified and
effectively by participated in
allocating decision- Expresses confidence in others' ability to be Consultation with others conducted
making and other successful
Participates in opportunities to enhance Opportunities for knowledge and
responsibilities to the knowledge and skills in others skills enhancement identified and
appropriate person. participated in
Provides effective coaching System of coaching established
Helps others learn new systems, processes, or Collaborative identification and
programs learning of new systems, process and
programs institutionalized
Contingency plans formulated
Manages risks by making contingency plans with
employee
Assigns decision-making and work functions to Work functions and decision –
others in an appropriate manner to maximize making defined, delegated and
organizational and individual effectiveness owned
Establishes procedures to keep informed of Procedures of monitoring results of
issues and results of delegated responsibilities delegated responsibilities established
Evidence Guide

1. Critical Aspects of Assessment requires evidence that the candidate:

Competency
2. Underpinning Knowledge
a. Identified, analyzed and resolved conflict
b. Identified needs and feelings
c. Defined and established the culture of respect and
collaboration
d. Clarified responsibilities and accountabilities
e. Formulated individual and group goals
f. Established rewards system
g. Established system of decision-making
h. Identified and allocated resources
i. Established the system of information sharing
j. Established the system of consultation
k. Identified the opportunities for knowledge and skills
enhancement
l. Defined work functions
m. Established the procedures of monitoring results
a. People Skills and Management
b. Conflict Management
c. Planning and Organizing
d. Rewards System
e. Monitoring and Evaluation

32
 f. Partnering
3. Underpinning Skills a. Critical thinking
b. Analytical skill
c. Communication skills
d. Forecasting
e. Creative management
f. Data gathering
g. Strategy formulation
h. Problem solving
i. Use of ICT
j. Effective Execution Skills
k. Interpersonal skills
4. Underpinning Attitude a. Assertive
b. Committed
c. Decisive
d. Flexible
e. Focused
f. Innovative
g. Objective
h. Organized
i. Persevering
j. Resourceful
k. Risk-taker
l. facilitative
m. Systematic
n. Integrity
5. Methods of assessment Competency may be assessed through:

a. Interview
b. Demonstration
c. Portfolio
d. Third party report

Behavioral Indicators by Level of Rank

CESO I

33
Provides effective coaching
Helps others learn new systems, processes, or programs
Shows appreciation and rewards achievement and effort
Provides resources and support needed
Creates a learning environment; provides opportunities to learn through formal and informal
methods
Delegates responsibility, clarifies expectations, and gives staff autonomy in important areas of
their work
Holds others accountable for achieving results related to their area of responsibility

CESO II

Manages risks by making contingency plans with employee

Assigns decision-making and work functions to others in an appropriate manner to maximize
organizational and individual effectiveness
Establishes procedures to keep informed of issues and results of delegated responsibilities
Considers and responds appropriately to the needs and feelings of different people in different
situations
Inspires and fosters team commitment, spirit, pride, and trust
Facilitates cooperation and motivates team members to accomplish group goals

CESO III

Uses appropriate methods and a flexible interpersonal style to help others develop their
capabilities
Shares information, advice, and suggestions to help others to be more successful
Recognizes and reinforces people's developmental efforts and improvements
Expresses confidence in others' ability to be successful
Fosters an environment in which people who are culturally diverse can work together
cooperatively and effectively in achieving organizational goals

CESO IV

Develops the ability of others to perform and contribute to the organization by providing
ongoing feedback
Monitors progress and adjusts plans to ensure development of the staff
Gives people latitude to make decisions based on their level and area of responsibility and level
of knowledge and skills.
Fosters an inclusive workplace where diversity and individual differences are valued and
leveraged to achieve the vision and mission of the organization
Encourages individuals and groups to set their own goals consistent with organizational goals.

CESO V

Generates alternatives based on logical assumptions, available resources, constraints and

organizational values

34
Formulates objectives and priorities
Participates in opportunities to enhance knowledge and skills in others
Genuinely values all staff members' input and expertise

CESO VI

Involves others when making decisions that affect them

Encourages groups to resolve problems on their own; avoids prescribing a solution
Identifies conflict early and manages / resolves in a constructive manner

Linkaging and Networking for Productive

Partnerships
Definition: The ability to develop and strengthen partnerships that can provide
information, assistance and support to the organization; to identify and use
synergies across the organization and with external partners. The ability to
identify opportunities and take action to build strategic relationships
between one's area and other areas, teams, units, departments or
organizations to achieve goals .

Networking Definitions

 a group of people who exchange information, contacts and experience for professional
or social purposes
 the links that connect needs with opportunities.
 relationship building exercises that deliver results
 a combination of personality, attitude and acquired skills

Networking Barriers

 Emphasis on getting versus giving

 successful networkers are willing to give before they receive
 Poor evaluation process
 a good system helps: measure progress and recognise achievements and
milestones
 Unwilling to make the commitment
 Make the commitment to learn and practice networking: understand that it
costs work, time and effort but delivers results

Case Illustration: Fortune 500 Alliance

35
with New Technology Company

The challenge for a Fortune 500 company in the electronics industry was its size. Its partner
was an Australian software company with interesting technology and an online financial services
business model that was a breakthrough in its area. The smaller company faced the challenge of
learning who the appropriate people were at the larger company, and with whom they needed
to partner, even though the alliance contract and equity investment was signed and sealed.
Potential partners within the larger company were in the research and design group, the
consumer products and services group, and marketing and sales across the whole company. The
smaller company’s executive sponsor was in the office of the CEO of the Fortune 500 partner.
However, as is often surprising to many who are new to the alliance field, even the highest level
of sponsorship in the company did not ensure success for this alliance. The implementation of
the relationship depended on the individuals in each group who would understand, buy in, and
then take the time to understand the connection between their organizations. That was hard
enough. The next step meant changing the behavior and management processes, the choices
and metrics that were already in place. Even more, then, in the implementation stage, the
success of the alliance would sit squarely on the shoulders of small teams within the larger
company.
How did this work? The senior executive sponsor, who was in the office of the CEO, was an
individual who had spent many years in the company, and embodied the characteristics of
“penetration.” He had taken the time to create relationships—what I call building personal
equity. This is an investment of time, energy, and trust as targeted as a financial investment in
stock equity would be. He had taught himself to be a good listener and to hear differing opinions
with respect. As a result, he knew where the strong and influential people were in each of the
departments of the organization and had built a personal network, which was far stronger than
any corporate organizational chart could have been in endowing him with the power of
persuasion and influence. He also knew, most of the time, whom to avoid—the “big talkers” who
were all talk and no results.
Both companies had to navigate through the non-dynamic managers to select the dynamic
managers in each nook and cranny of the organization; to create a series of metrics, which were
agreed on and realistic for both partners; and to advise on the team selection and alliance
reporting processes, so that the alliance could be implemented as negotiated.
Leadership is too often perceived as a quality of hierarchy. In internal relationships with
others in the same organization but different groups and functions, lateral relationship
development is often more challenging than external relationship creation and management.
Internal politics, territoriality, and the “NIH” (Not Invented Here) factor all play a role in clouding
a clear and collaborative definition of success. The ability to take the leadership quality of a
dynamic leader (any one of the characteristics in the ten essential traits in the Larraine Segil
Matrix) and apply it to increase productivity in both internal and external alliances is a key to
delivering results.
However, the individual characteristic of “penetration: being of the people” must be
supported by the organizational environment if it is to survive. Otherwise, those who are able to
create the internal relationships will be frustrated as they try to make change happen, but are
thwarted by internal bureaucratic management processes that make busywork with no
substance or validity. This will be seen in flexible organizational structures.

Source: Larraine Segil, Marshall Goldsmith and James Belasco, ed., P A R T N E R I N G : The New
Face of Leadership

36
 Carving the Future Amidst the Crisis: Governing Development

INTRODUCTION

The sugar crisis in the 1980’s resulted in the increase in unemployment, poverty and
malnutrition, without counting disregarding the worsening of insurgency in the hinterlands of
the province of Negros Occidental. The province was very dependent on the monocrop –sugar
industry – that the crisis left 150,000 workers displaced, triggering a high rate of unemployment
or under-employment and an alarming need for health, nutrition and other social services.

This situation inspired fifteen (15) Negrense women based in Manila to think creative
entrepreneurial ways and contribute to the crippled economy of their home province through
the House of Negros Foundation which they organized. The foundation paved the way for the
creation of the Association of Negros Producers (ANP) in 1988. The ANP is a non-stock, non-
profit and non-political organization composed of professionals, entrepreneurs and housewives.

Sculpting the Future: The Vision

The Association of Negros Producers (ANP) is an organization

 Of small and medium scale manufacturers which subscribe t quality and the pursuit of
excellence as a way of life
 That fosters entrepreneurial development where every member is an exporter of
globally-competitive products
 Where every member is dedicated to harness indigenous skills and resources to create
alternative industries to replace an economy that is largely to create alternative
industries t replace an economy that is largely dependent on a monocrop industry
 Where every member is conscious of his/her responsibilities to society and the
environment
 Where every member recognizes the importance of sharing each other’s resources

Engraving Commitment: Mission Statement

We, the members of the Association of Negros Producers (ANP, pioneers in the field of
entrepreneurship development, dedicate ourselves to the dynamic development of SME
manufacturers through trainings, trade promotion and linkages with government and non-
government agencies.
Believing in our individual and collective capabilities, we commit to harness our
resources to be catalysts of entrepreneurial growth and social development by strengthening
our membership base.

37
 We will continuously contribute to the development of a nation that comes from the
empowerment of its people through entrepreneurship.

We pledge to continuously direct our mission of providing the strong foundation and
framework for sustainable growth for the benefit of the future generation and for the
improvement of the quality of every Filipino.

Whittling Chip by Chip; Block by Block: Objectives

Specifically, the ANP was organized for its members-producers to:

 Represent, promote and lobby the interest of small and medium scale producers
in Negros Occidental
 Encourage cooperation among producers, between producers and government,
between producers and other business sectors in Negros Occidental, the
Philippines and abroad
 Promote the culture of productivity and technological upgrading of the
manufacturing sector in Negros Occidental

A Model

The ANP maintains the Negros showroom, which has been declared by the Bureau of
Domestic Trade Promotions as the Number one trade house in the Philippines. The Negros
Showroom displays the products of the ANP Member-producers and served as their business
center.
Because of its successful ventures, the ANP had been chosen a model for
entrepreneurial development. Then Pres. Fidel Ramos named ANP as program manager for the
National Economic Enterprise Development Program to help introduce livelihood activities in 20
depressed provinces of the Philippines. The initiative gave birth to the ANP Foundation for
Enterprise Development, Inc. (ANPFEDI), which helped nurture more than 150 enterprises
nationwide.
In recognition of its role in business development, the Negros Occidental Economic
Development Board also named ANP as lead agency of its Trade Promotions Unit. It was also an
active member of the Provincial Development Board of Negros Occidental.

Stacking the Tool Box: Products and Services

The growth in membership of ANP – from 47 members in 1988 to about 100 at the turn
of the century was by itself a shining testimonial to the ANP gains. Through the Association,
entrepreneurship flowered and bloomed, providing inroads for its producers to access the highly
competitive international market for its products, which include: Garments and Knitwear, Bags
and Shoes, Travel Accessories, Gifts and Novelty Items, Housewares and Furnishings, Costume
Jewelry, Handicrafts and Furniture.

 Trainings

38
 ANP conducted regular training programs for technical and skills development, updating
and effective management of resources. Training programs conducted included: Basics of
Exporting (including Negotiating with Buyers), Costing and Pricing, Shipping and
Containerization, Inspection and Quality Control and Packing and Labeling, Good Housekeeping
and Production Management.

The following were the mandatory Trainings and seminars that members had to
participate in: Membership Orientation, Basics of Exporting, 5S seminar, Fair Trade Colloquium
and Total Quality Management.

 Trade Fairs

ANP organized trade fairs and exhibit and trade missions, established linkages for
producers, served as their data bank, particularly on information useful to buyers and traders,
and conducted or arranged training programs for members on product, business and trade
development, export and related concerns.
In recognition of the ANP initiatives, organizers of international trade shows welcomed
Negros Producers in exhibitions in Hong Kong, Japan, the United States, Singapore, Brunei and
Germany, among others.
The annual trade fair, which exclusively featured Negros-made products, were held in
Metro Manila venues, which gained wide acceptance as indicated by increased sales receipt and
volume of visitors. A highlight of the trade fair is the launching of new products developed
annually by producers as a requirement of ANP for its members to ensure dynamism in
entrepreneurship.

 The Bulawan (Golden) AWARD

To provide incentive for its members and to encourage them toward more ingenuity,
creativity and commitment to product excellence, ANP established the annual Bulawan (Golden)
Awards.

 Linkages

The Association of Negros Producers had embarked in a effective partnership and

linkaging program to promote the interest of its members. This opened the doors of
opportunities for members, provided funding requirements and established network of contacts
and technical support.
The linkages include national and overseas agencies and institutions. Among them were:
Department of Trade and Industry (DTI), Department of Science and Technology (DOTC),
Technological and Livelihood Resource Center, Center for International Trade Expositions,
Product Development and Design Center of the Philippines, Local Government Units, Association
of Partners for Trade Fair, Inc., Canadian International Development Agency, PEARL, CIDA-
Ledano, Japan External Trade Organization and the United States Assistance for International
Development (USAID).

39
Export Markets

The ANP market grew and expanded all over the world with about on third of the
producer-members engaged in export business. The direct and indirect markets for ANP
products included United States, Europe, Japan and Africa, the Middle East, Scandinavian
countries and Singapore.

Other Initiatives

ANP Foundation for Enterprise Development, Incorporated (ANPFEDI) is committed to

institutionalize training programs on entrepreneurship and technical support. It assisted
hundreds of entrepreneurs, organizing producers associations and helped in the establishment
of trade houses all over the country.
Among its milestones was the implementation of the United Nations Development
Project-International Labor initiative called the Entrepreneurial Development Support Program
for the Reintegration of Filipino Migrant Workers in Hong Kong and their Families. It also served
as manager of the Socio-Economic Enterprise Development Program for Local Government Units
of Negros Occidental.
Also etching a remarkable headway in the ANP growth was the organization of the
Designers Guild of Philippines Negros Island, Inc. which aims to further promote a design-
oriented culture and push Negros products toward greater competitive position in the world
market as well as make the island a major deign center in Asian.

KEYS TO ANP GROWTH

ANP considered the following working principles (core values) as the keys to its growth:

 Membership Enhancement and Growth

ANP’s main task is to help its members grow and become sustainable. This is the main
objective of all its marketing and training programs.

ANP also encourages membership involvement and commitment in all its activities. It has
always stressed the importance of quality membership as a source of strength of the
association.

 Sectoral Collaboration and Empowerment

The association believes that exchanging experiences and sharing of resources among
industries or sectors that are linked to one another will enable our SMEs to better address
the threats of globalization. The more we work together the faster we can achieve our goals
and the bigger our capacity to beat competition.
Sectoral committees/groupings were part of our membership activities including training
on industry clustering and subcontracting.

 Safe and Orderly Environment

40
 ANP believes that improving working conditions and protection of our natural environment
are keys to sustainable development. We promote economic development to improve the
quality of life.

 Worker’s Involvement and Welfare

ANP believes that Labor and Management cooperation is a big factor towards industry
building. Labor and Management should recognize and appreciate the problem and
concerns of each other instead of reducing the relationship to a question of law and power.
We aim to promote and achieve mutual gains of both parties. This is the main reason why
we have instituted values formation and teambuilding workshops among our member
companies.

 Volunteerism and Sectoral Collaboration

Volunteerism is at the very heart of ANP. Without any seed money to start with, ANP
survived through the voluntary services of its members. The spirit of volunteerism
empowers the nobility of the association’s mission.

 Ascendancy

ANP believes that constant change in leadership is a key to dynamism and growth. As a rule,
a president can become president only once and a member of the Board can only serve a
maximum of three consecutive terms.

Obligations of the Members

To be a member of the ANP, one had to perform certain obligations such as:

a. Attendance to meetings

 General membership meetings

 Sectoral meetings
 Special meetings

Any member who shall absent himself for three (3) meetings in the general
membership meeting without acceptable cause being given to the Secretary
and/or other Executive Officer or Committee Chairman shall be dropped from the
regular membership roster

b. Annual Membership Dues – P2,000.00 (regular members)

c. Participation in the activities of the Association

 Marketing programs
 Product design and development
 Training Programs/Seminars

d. Mandatory Trainings

41
 e. Membership Evaluation – annual membership requirements

 Reports on seminars attended outside of ANP

 Report on Trade fairs/shows participated
 Reports on Expansion Projects
 Submission of Business Papers (Mayor’s Permit, DTI, Income Tax Papers)

Chiseling the Legacy of Success

 Employment Summary

Workers Employed/ Sub-Contractors 1998 2002

Number of workers directly employed 2,736 1,236

Number of Sub-contractors 2,414 5,006

Based on the record of the Association, it had created more than 12,000 jobs since 1988.

 Sales Receipt of the Showroom

1,600,000
No. of Producers
1,400,000 83
with Sales
89
1,200,000 95
14,733,154.32
1,000,000
Accumulated
13,153,636.17
800,000 Sales
12,441,728.41
600,000

400,000
200,000

0 1999 2000 2001

Requirements from the Government

The ANP expressed that the need they requested for the government to fulfill are technology
development and availability of further training.

This case was written by Ms. Beverly Insular and Ms. Mel Nuezca under the supervision of Dir. Gaspar S.
Gayona.

42
 COMPETENCY Standards FOR CESOs

COMPETENCY CLUSTER BEHAVIORAL PERFORMANCE

INDICATORS CRITERIA
4. Linkaging / Develops networks and builds alliances Partners and alliances identified
Networking for System of networking and
Productive alliance – building established
Partnerships Collaborates across boundaries to build System of collaboration and
strategic relationships and achieve common partnering defined, understood
- The ability to develop goals and owned by both parties
and strengthen partner- Identifies the internal and external politics Mechanism of responding to
ships that can provide that impact the work of the organization. external and internal politics
information, assistance
Perceives organizational and political reality defined, discussed and pursued
and support to the
organization; to identify
and acts accordingly
and use synergies across Gains cooperation from external Cooperation of external
the organization and with stakeholders to obtain information and stakeholders actively pursued
external partners. The accomplish goals
ability to identify Participates in cross-functional activities to Cross-functional activities
opportunities and take achieve organizational objectives organized and participated in
action to build strategic Collaborates across internal and external System of collaboration and
relationships between agency boundaries to meet common partnering with other agencies
one's area and other objectives defined and pursued
areas, teams, units,
departments or
Keeps support areas like budget and HR Strategic alignment of all
organizations to achieve informed of program priorities, needs, and organization functions
goals . issues, in pursuit of responsive service established
Requirements of
Identifies the requirements of alliances and
partners partner’/alliances identified

Organizational requirements
Leverages organizational requirements with
identified; collaboration of
the partner’/alliances capabilities
partners’/alliances defined,
negotiated and pursued
Enhances the partners’/alliances’ capabilities Partners’/alliances’ development
to assist in the accomplishment of programs formulated and agreed
organizational goals by both parties
Develops alliance design, alliance Alliance design, management and
management, and coordinates the alliance coordination formulated
constellation
 Defines objectives and strategies to meet Customer/stakeholder require-
customer requirements and organizational ments obtained
goals and objectives Objectives and strategies defined

Evidence Guide

1. Critical Aspects of Assessment requires evidence that the candidate:

Competency
a. Established the system of partnering and alliance building
b. Assessed the needs and requirements of stakeholders/partners
c. Assessed the organizational needs
d. Established the system of designing and managing alliances
e. Defined the mechanism of responding to the external and
internal politics
2. Underpinning Knowledge a. External and internal stakeholders of the organization
b. Organization systems and procedures
c. Program development and management
d. Stakeholders’ analysis
e. Customer/Stakeholder Relations Management
f. Organizational Diagnosis
g. Negotiation
h. Social Marketing
3. Underpinning Skills a. Critical thinking
b. Analytical skill
c. Communication skills
d. Forecasting
e. Creative management
f. Data gathering
g. Strategy formulation
h. Problem solving
i. Use of ICT
j. Effective execution skills
4. Underpinning Attitude a. Assertive
b. Committed
c. Decisive
d. Flexible
e. Focused
f. Innovative
g. Objective

44
 h. Organized
i. Persevering
j. Resourceful
k. Risk-taker
l. Facilitative
m. Systematic
n. integrity
5. Methods of assessment Competency may be assessed through:

a. Interview
b. Demonstration
c. Portfolio
d. Third party report

Behavioral Indicators by Level of Rank

CESO I

Develops alliance design, alliance management, and coordinates the alliance constellation

CESO II

Participates in cross-functional activities to achieve organizational objectives

Collaborates across internal and external agency boundaries to meet common objectives
.
CESO III

Gains cooperation from external stakeholders to obtain information and accomplish goals
Keeps support areas like budget and HR informed of program priorities, needs, and issues, in pursuit of
responsive service

CESO IV

Identifies the internal and external politics that impact the work of the organization. Perceives
organizational and political reality and acts accordingly
Enhances the partners’/alliances’ capabilities to assist in the accomplishment of organizational goals

CESO V

Collaborates across boundaries to build strategic relationships and achieve common goals
Leverages organizational requirements with the partner’/alliances capabilities

CESO VI

45
Identifies the requirements of alliances and partners
Develops networks and builds alliances

Planning/Organizing for Greater Impact

Definition: Establishes a systematic course of action for oneself or others to ensure
accomplishment of a specific objective. Determines priorities and allocates time and
resources effectively.

STRATEGIC PLANNING: WHAT IS IT?

Strategic planning is an exercise in clarifying what an organization is trying to achieve and how it
proposes to achieve it. It really is not much different from the personal planning you do in your own life.
All of us have some vision of what we want our lives to be, certain goals we hope to accomplish in order
to make life meaningful, or even simple daily tasks which must be completed. You may see yourself, for
example, pursuing a certain occupation; you may wish to learn how to play a musical instrument; or you
may be responsible for organizing a family event. In each case, if you have a picture in your mind of what
success would look like, and if you will do what it takes to succeed, you will need to figure out what steps
are necessary. This is planning.

The same is true for your organization. More than likely, your organization has a vision of its best
future, when it is successfully meeting its goals and making a difference. In order to arrive at this best
future, you and your colleagues will need to draw a road map charting the best path. The road map will
be the result of a strategic planning process during which insights are gained about your organization’s
direction and what it does well. Planning is the detail work, the thinking through of the steps your
organization will take to reach its picture of success.

Source: Amherst Wilder Foundation. Strategic Planning Workbook for Nonprofit Organizations. St. Paul,
MN: Amherst Wilder Foundation 1996

Example:

The Greenbury era

In 1989 Richard Greenbury was appointed chief executive under Rayner’s chairmanship. He had
joined the company from school at the age of 17. Standing over six feet tall, with a strong, charismatic
personality, Greenbury (or Rick as he was known inside the company) quickly established his dominance
over the other executive directors. In 1991 he succeeded Rayner as chairman and retained the chief
executive role, thus ensuring that he would have complete control over the company’s destiny.

46
 Bevan (2001) suggests that he provides a classic example of what Collins (2001b) calls a level 4
leader. These have big egos and strong charismatic personalities, but lack the distinctive qualities of level
5 leaders, who ‘make great companies good’. In particular they lack sufficient humility to put the good of
the company above personal ambition. In 1997 Greenbury’s ambition for a peerage led him to accept
chairmanship of a government-sponsored committee on executive remuneration at a time when Marks
and Spencer’s affairs needed his full attention. He also shows characteristics of what Kets de Vries (1994)
calls the ‘narcissistic personality’. He was oversensitive to criticism and prone to outbursts of rage. His
burgundy Bentley carried the personalized number plate SRG for Sir Richard Greenbury.
The company’s turnover in 1990 was £5.6 billion and pre-tax profits £604 million. There were 272 UK
stores. Britain was moving into a severe recession. On taking charge Greenbury’s first act was to sack 850
people and, by encouraging natural wastage, to reduce the number employed within a year by over
5,000.
His second act was to call a meeting of the company’s suppliers and persuade them to accept a cut in
their margins.
In November 1991 he informed shareholders that half-year profits were down by 7 per cent – the
first profit decline in a decade. Pundits in the City and in the press were quick to become critical. An
article in the Independent on Sunday accused the management of making three mistakes:
_ failing to move earlier into out-of-town sites;
_ the Brooks Brothers acquisition;
_ the sackings, which had damaged morale.
Full-year profits were also down at £589 million compared with £607 million in the previous year.
However, by early 1993 the tide began to turn. With the help of its suppliers the company had launched
an ‘outstanding value’ campaign in the previous autumn and it was now paying off. The emphasis was on
good design, classic cut and low prices. The fashion press applauded and Vogue even featured a model
wearing a Marks and Spencer silk shirt on its front cover.
Pre-tax profits rebounded to £763 million in 1993 and in 1994 they were up to £851 million.
Greenbury now focused on reaching the symbolically important profit target of £1 billion. He instituted a
drive to cut costs. One example of the extremes to which cost cutting was taken was that only one type
of hanger was allowed for all stock.
During the early to mid-1990s capital expenditure was running at some £300 million annually. By the
end of the Greenbury era in 1998 it was running at over £700 million. New stores were being opened
and others refurbished. At the same time a number of the smaller stores in depressed inner-city areas
were being closed and others gradually deteriorated, becoming drab and shabby. Training and
maintenance budgets were cut.
At this time profit growth was also being driven by the success of the company’s financial services
operation. Keith Oates, who had joined M & S in 1984, was the director in charge. The foods division,
too, was doing well. The company entered 1995 with its reputation and share rating higher than at any
previous time. By 1997 the £1 billion profit target was reached and the shares reached an all-time high of
664½p. But it was before then that things had started to go wrong. In the high street the competition in
the form of Next, Arcadia and Matalan had been regrouping. Internally the pressure for short-term
profitability was already beginning to eat away at the company’s longer-term prospects.

The succession battle

In August 1993 Greenbury announced a new board structure. Keith Oates was appointed deputy
chairman and held responsibility for finance, financial services and international operations. Three joint
managing directors were also appointed. Andrew Stone was made managing director in charge of
merchandising. He had, like Greenbury, come up through the ranks. According to Bevan (2001) he was

47
regarded as highly creative but too undisciplined to head the company. Guy McCracken was put in
charge of food and Peter Salsbury in charge of personnel, store operations and development.
Oates took his appointment as deputy chairman as a clear signal that he was in line to succeed and
pressed his claim to be made chief executive within a short period of time. Greenbury, however, made it
clear that there was no question of this.
In the summer of 1995 Greenbury, who had been due to retire at 60, dealt Oates’s ambitions a
further blow by obtaining the agreement of the non-executive directors that he should defer his
retirement until the age of 65, subject to annual reviews from his 62nd birthday onwards. Oates knew
that if Greenbury did in fact stay till aged 65 he would himself be 59 by that time and thus too old to
succeed him.
Around this time things started to go wrong for Greenbury personally. His health deteriorated; he
needed a hip operation and was in constant pain; his marriage to his glamorous second wife was
breaking up; and the Greenbury report on executive remuneration had attracted a great deal of criticism,
some of it directed against him personally.
In October 1997 a full-page profile of Keith Oates appeared in the business section of the Observer.
The caption under his picture read ‘Keith Oates is tipped to be St Michael’s choice to fill Richard
Greenbury’s shoes’. The article praised Oates’s achievements and ended by asserting that ‘Outsiders
certainly believe that when Sir Richard Greenbury retires, Oates, now 54, will be a front runner to step
up from deputy chairman to take the top job.’ Needless to say the article infuriated Greenbury and the
managing directors. They saw it as a tactical move by Oates to position himself as clear choice for the
chief executive role, which Greenbury was due to relinquish in 1998. Greenbury called a meeting of the
non-executive directors and it was decided that two of their number, Brian Baldock and Stella Rimington,
would sound out opinion among the executive directors. These soundings were spread over a number of
months and eventually a consensus emerged. Everyone agreed the need to separate the roles of
chairman and chief executive, but it was decided to delay this move until 1999 at the earliest. The
minute of the board meeting read that Sir Richard be asked to continue as chairman and chief executive
until the AGM in 2000 or until the AGM in 1999, and that he be invited to serve as non-executive
chairman from the date he ceased to be chief executive until the AGM in 2001.

The fall from grace

Oates now turned his attention to supporting his case to succeed Greenbury by stating the case for a
clear strategic direction for the company. He sponsored the acquisition of the 19 largest stores of the
Littlewoods chain for which M & S paid £192 million or £10 million a store. The deal won universal praise
in the City. However, by the time the costs of refurbishment had pushed the total bill to £450 million it
did not look so attractive.
Next, Oates persuaded the board to launch a ‘global vision’ – to become the UK’s first truly global
retailer. In 1997 the international operations had made a profit of £104 million but performance was
uneven. South-East Asia was doing well, but in the United States the return on sales rarely exceeded 3
per cent. Profits from Europe, too, had been variable.
At this time, too, the food side was invested in by the creation of delicatessen counters, fresh-meat
counters and in-store bakeries. Oates also proposed a substantial share buy-back but Greenbury
resolutely opposed this. He also did not pursue the possibility of acquiring the Safeway supermarket
group.
Meanwhile, as early as spring 1997, the fashion press was becoming disenchanted with the M & S
offerings. Half-year results presented in November 1997 showed pre-tax profits at £452 million, just
below analysts’ forecasts. Nevertheless full-year profits announced in the spring of 1998 showed sales
up 5 per cent and profits 6 per cent up at £1.17 billion. Few people outside the company knew how hard

48
the struggle had been to achieve this result. Quality of earnings was being sacrificed in favour of
quantity.
In 1997 the non-executives had become sufficiently concerned to persuade Greenbury to
commission a survey of customer attitudes. The results showed a serious decline had already set in in
the way the customers regarded the company. Their reactions had been influenced to some extent by a
World in Action programme that claimed that one of M & S’s suppliers used child labour in its factories in
Morocco. Although this was later disproved, public confidence had been shaken. Greenbury was not
impressed by the report and refused to allow the director of strategic planning to present it to a full
board meeting. His response was ‘Look at the profits.’
The turning point in the company’s fortunes came in the period August to October 1998. Clothing
sales in the previous quarter were up 5 per cent and all seemed well, but now they dropped 1 per cent.
The fall caught the company by surprise and in consequence the buying departments had massively
overbought. A drop in profits was now inevitable, and the half-year results showed a fall of 23 per cent.

Oates’s bid for power

Shortly after the announcement of the results Greenbury left for a visit to India, combining business
with a short holiday. Oates now felt that the bad results would give him the opportunity he had been
waiting for. Two hours later a letter was delivered by hand to every non-executive director. In it he
highlighted where he thought the company had gone wrong and accused the non-executives of not
realizing how serious the problem was. Brian Baldock faxed a copy of the letter to Greenbury, but
advised him not to change his itinerary. However, articles appeared in the Sunday Times, the Observer
and Sunday Telegraph, blowing the story. This press coverage was also faxed to Greenbury who decided
to return to England, landing at Heathrow early on the Monday morning. That day’s Financial Times
contained another article stating that Oates was proposing that he should become chairman, with
Salsbury as chief executive.
Greenbury met up with several of the non-executives in his London flat. The plan of action adopted
was that the decision to split the roles of chairman and chief executive should be brought forward. A
nominations committee should be set up to interview every executive director once more, with three
non-executives present at each interview. By the end of the week the committee would present its
recommendation as to who should be appointed chief executive.
In fact the review took three weeks to complete during which time press speculation was rife and
Oates continued to lobby for support.
On 24 November the non-executives announced their decision. Greenbury would become non-
executive chairman and Salsbury would be appointed chief executive. The majority of his colleagues had
backed Salsbury, saying that they could work with him. Oates was informed the next day and was told
that he would be expected to take early retirement.
The new arrangement did not work as smoothly as the nonexecutives had hoped. Far from looking
to Greenbury for support and establishing a mutually acceptable division of labour, Salsbury effectively
cut Greenbury out of the decision-making process.
Meanwhile, out in the real world of customers and stores things were rapidly getting worse. In
January 1999 Salsbury issued a profits warning to the financial community and the shares fell by 13 per
cent in a single day. The underlying reasons were to do with some of the basics of the business – quality
had slipped and prices were uncompetitive.
Salsbury now set about implementing his ideas for turning the business round. His first act was to
remove nearly a quarter of the top management cadre – some 34 people, including three main board
directors. This was followed in March by another 200 job losses among less senior managers and in May
one in eight store management jobs were cut and many supervisory staff either sacked or demoted.

49
 The share price had been recovering but sentiment turned against the company again following an
article in the Daily Telegraph entitled ‘The Battle of Baker Street’, which gave a blowby-blow account of
the succession issue. The full-year results, announced in May, showed that, while sales had remained
constant at just over £8 billion, profits had fallen from £1.2 billion to £634 million. A review of the
business was commissioned from consultants LEK. The main conclusion – that the company had paid too
much attention to the product and had ignored the need to promote the brand – was one with which
Greenbury could not agree and he tendered his resignation in June. Meanwhile sales continued to
decline.
Salsbury now set about making further changes. His attack on the traditional M & S culture was
symbolized by abolishing the directors’ dining room with its silverware and white-gloved waiters and
replacing it with more modest lunch rooms, which any executives who had visitors for lunch could use. A
new, modern communal restaurant was created for all Baker Street employees to use. The medical and
welfare facilities were slimmed down. Directors were no longer to enter the building through a private
entrance but to enter alongside the other employees.
A new marketing director, Alan McWalter, was recruited from Woolworths and the marketing
department was enlarged. More directors were fired, including Andrew Stone who, after a brief spell as
head of retail, lost his job after 33 years’ service. McCracken was demoted and left soon after. Morale
was hit and soon some of the most talented people began to leave, including Kim Winser, director of
corporate marketing.
The Kings supermarket group in the United States was put up for sale, although Brooks Brothers was
kept for the time being. The long-deferred decision to accept credit cards was taken.
Perhaps Salsbury’s most controversial action was the manner in which he began to move the source
of the company’s supplies overseas, giving William Baird, a supplier of 30 years’ standing, six months’
notice. As a result Baird had to close 16 factories and lay off 4,500 employees.
Following Greenbury’s departure Baldock had assumed the role of acting chairman while the search
for a successor proceeded. The conclusion was soon reached that really top people would not be
attracted by a non-executive role and it was announced in November that the search for an executive
chairman was under way. This was seen by the city as a vote of no confidence in Salsbury. The share
price sank to 250p and a hostile takeover bid was mounted by Philip Green, a high-profile entrepreneur
in the retail field. Media reaction was generally not in favour and the bid failed. (Green bought BHS
instead and soon produced a turnround in that company’s fortunes.)
In January 2000 Luc Vandevelde was appointed as the new chairman. At 48 he had previously been
chairman of the French supermarket group Promodes. Like Greenbury he had gone to work straight from
school and worked his way up via some years with Kraft. He announced ‘If I don’t deliver in two years’
time then I won’t be sitting here in two years’ time.’
In March M & S announced an overhaul of its brand. St Michael would be played down, the shiny
green M & S bags would be no more and new ones in a trendy design would take their place. A new
clothing range, the Autograph collection, aimed at the more upmarket customer, was introduced. It did
not, however, prove to be a success.
In May Vandevelde cut the dividend for the first time in the company’s history. Salsbury asked the
remaining UK suppliers to cut their margins further, upon which Coats Viyella stopped supplying Marks
and Spencer with almost immediate effect, causing M & S to lose some £9 million in knitwear sales.
Vandevelde had by now lost confidence in Salsbury, who was asked to leave along with Clara
Freeman and Guy McCracken, leaving only one of the directors who had been serving two years
previously – Robert Colvill, the finance director.
Roger Holmes, a one-time McKinsey consultant, who had been poached from Kingfisher, was
appointed to head up UK retailing and took up his post in January 2001 just as the performance
monitoring company Oak Administration declared that M & S had destroyed more shareholder value

50
than any other company in the previous three years. This announcement provoked a letter in The Times
by Mark Goyder, director of the Centre for Tomorrow’s Company, suggesting that the real story was that,
although the price of the company’s shares fell heavily during that period, shareholder value was in fact
being destroyed in earlier years while the company’s profits were still buoyant: ‘Creation and destruction
of shareholder value are the result of how a company is led, how it innovates, what commercial
decisions it makes and how well it listens to and learns from its customers, employees and suppliers.’

Signs of recovery
Holmes’s message was ‘We need to get back to the product.’ His first step was to recruit the services
of George Davies, the founder of Next and the creator of the George range of clothes for Asda. His role
was to create a new brand of women’s fashion clothing under the name ‘Per Una’. The rest of the
clothing space would be targeted on the core customer, women from 35 to 50, producing ‘classic clothes
that are not boring’. To help achieve this he recruited Yasmin Yusuf, a high-profile designer. The axe was
wielded on Brooks Brothers and on the 38 European stores. As the FTSE 100 fell 11 per cent in the first
seven months of 2001, M & S shares rose by 35 per cent from 186p to 251p making it the best-
performing share in the index over that period. There were, however, strong protests over the closing of
the stores on the Continent and the manner in which it was done. This and other criticisms about the
continuing poor trading performance led Vandevelde to defer his £704,000 bonus.
In the event the pre-tax profits of $481 million announced in May 2001 were 7 per cent down on the
previous year on sales of £8.1 billion, slightly below the previous year’s £8.2 billion. However, after
exceptional charges relating mainly to the cost of the store closures on the Continent, profits were £145
million. Nevertheless the share price moved up a fraction to 259p. The first real sign of recovery did not
come until the results for 2002 when profit after exceptionals rose to £335 million.
In the summer of 2002 Holmes was appointed chief executive and Vandevelde moved to a non-
executive role.

(Sources: Bevan (2001); A sigh of relief at Marks and Spencer, Business Week, 21 January 2002; Marks and
Spencer’s troubles, Economist, 14 April 2001; Marks and Spencer’s Web site)

51
 COMPETENCY Standards FOR CESOs

COMPETENCY BEHAVIORAL PERFORMANCE

CLUSTER INDICATORS CRITERIA
5. Planning and Prioritizes more critical and less critical Priorities determined
Organizing for Greater activities and assignments; adjusts priorities
Impact when appropriate
Realistically anticipates obstacles when Potential obstacles anticipated
- The ability to establish a
course of action for self planning
and/or others to
accomplish a specific goal; Determines tasks and resources Tasks determined; resources
to plan proper assignments identified and allocated
of personnel and
appropriate allocation of
Allocates appropriate amounts of time for Timelines set and milestones
time and other resources completing own and others' work; develops identified
timelines and milestones
Uses time effectively and prevents irrelevant Compliance to schedules agreed
Establishes a systematic
issues or distractions from interfering with
course of action for oneself work completion
or others to ensure Tracks progress and completion of activities Monitoring system established
accomplishment of a specific to accomplish stated objectives
objective. Determines
Modifies planned actions when necessary to Corrective measures established
priorities and allocates time
and resources effectively. achieve desired results and agreed
Establishes a systematic
course of action for self or Converts or translates objectives into Action plans formulated and
others to ensure workable activities implemented
accomplishment of a specific

52
objective. Sets priorities, Develops systems to organize workflow to Workflow processes formulated
goals, and timetables to
achieve maximum
ensure quality, precision and timeliness of
productivity outputs

Develops clear goals that are consistent with Goals formulated, discussed and
agreed strategies owned

Develops or uses systems to organize and Information management system

keep track of information (e.g., "to-do" lists, established
appointment calendars, follow-up file
systems)
Keeps clear, detailed records of activities Records management system
related to accomplishing stated objectives established

Works with employees to set and Performance standards set

communicate performance standards that participatively
are specific and measurable
Evidence Guide

1. Critical Aspects of Assessment requires evidence that the candidate:

Competency
a. Identified the organization’s strategic direction, goals and
priorities and potential benefits from the adoption of
organizational strategies
b. Evaluated current organizational practices, responsibilities,
and culture in the light of the organizational requirements
c. Established performance standards and performance
monitoring system
d. Formulated workflow processes and established timelines
and milestones
e. Established compliance monitoring
f. Established information management and records
management system
g. Allocated resources needed in order to accomplish the
plan
h. Identified and allocated tasks to members of the
organization
2. Underpinning Knowledge a. External and internal environment of the office
b. Organization systems and procedures
c. Program development and management
d. Other relevant statutory rules and regulations
e. Strategy Management
f. Strategic Planning

53
 g. Performance Management
h. People Skills and Management
i. Resource management
j. Designing/Framing organizations
3. Underpinning Skills a. Critical thinking
b. Analytical skill
c. Communication skills
d. Forecasting
e. Creative management
f. Data gathering
g. Strategy formulation
h. Problem solving
i. Negotiation
j. Use of ICT
k. Effective execution skills
4. Underpinning Attitude a. Assertive
b. Committed
c. Decisive
d. Flexible
e. Focused
f. Innovative
g. Objective
h. Organized
i. Persevering
j. Resourceful
k. Risk-taker
l. Facilitative
m. Systematic
n. integrity
5. Methods of assessment Competency may be assessed through:

a. Interview
b. Demonstration
c. Portfolio
d. Third party report

54
 Behavioral Indicators FOR CESOs
CESO I

Develops systems to organize workflow to ensure quality, precision and timeliness of outputs
Develops clear goals that are consistent with agreed strategies

CESO II

Tracks progress and completion of activities to accomplish stated objectives

Modifies planned actions when necessary to achieve desired results

CESO III

Prioritizes more critical and less critical activities and assignments; adjusts priorities when appropriate
Allocates appropriate amounts of time for completing own and others' work; develops timelines and
milestones
Uses time effectively and prevents irrelevant issues or distractions from interfering with work completion

Works with employees to set and communicate performance standards that are specific and measurable

CESO IV

Realistically anticipates obstacles when planning

Determines tasks and resources
Action plans formulated and implemented

CESO V

Develops or uses systems to organize and keep track of information (e.g., "to-do" lists, appointment
calendars, follow-up file systems)
Keeps clear, detailed records of activities related to accomplishing stated objectives

CESO VI

Converts or translates objectives into workable activities

55
Driving Performance for Integrity and Service
If the principal test of an effective measurement system is the extent to which it leads
to improved performance, then the results must be used to inform decision making.
Managers should pay attention to the performance data and consider the results in
making decisions regarding overall strategy, program design and implementation,
service delivery systems, ongoing operations, resource acquisition and use, and a
variety of support systems. Obviously, in complex environments the performance
measures should not be expected to be the sole drivers of such complex decisions, but
they should influence the courses of action that managers choose in trying to improve
performance. The performance data can also be used to refine goals and objectives,
targets, and standards as the agency gets more experience with the system, possibly
“raising the bar” for expectations as actual performance improves over time. Finally,
performance trends can be used to decide if and when comprehensive evaluations
should be undertaken for particular programs.

Theodore H. Poister, MEASURING PERFORMANCEIN PUBLIC AND NONPROFIT ORGANIZATIONS, John

Wiley & Sons, Inc: USA, 2003, p. 17

56
 COMPETENCY CLUSTER BEHAVIORAL INDICATORS PERFOMRANCE CRITERIA

6. Driving Performance Sets clear goals for the employees and the work Goals formulated, discussed and
for Integrity and unit owned
Service Demonstrates a systematic and efficient Work standards standardized;
approach to work efficiency measures established
- The ability to produce
Produces high-quality results and workable Performance measures defined and
and deliver quality
solutions that meet client needs owned; Intended results
results, to be action-
accomplished
oriented and committed
Monitors own progress against objectives and Monitoring system established
to achieve outcomes
takes any corrective actions necessary
Acts without being prompted and makes thing Problem analyzed; solutions
Definition: happen; handles problem effectively identified and pursued; initiative
manifested
Demonstrates concern
Sees tasks through to completion Action plan formulated;
for achieving or surpass- implementation processes
ing results against an established; performance monitored;
internal or external results accomplished
standard of excellence. Establishes criteria and/or work procedures to Work procedures formulated,
Shows a passion for achieve a high level of quality, productivity or discussed and pursued
service
improving the delivery of
Ensures that no aspect of the work is neglected Compliance to plans pursued and
services with a commit-
monitored
ment to continuous
Holds self and others accountable for measurable Accountability for results defined,
improvement.
high-quality, timely and cost-effective results discussed and owned
.
Demonstrates honesty and represents System of compliance with
information and data accurately and completely organizational regulations and rules
established, disseminated and
acknowledged

Provides encouragement and support to others Encouragement and support to

in accepting responsibility others provided

Recognizes and capitalizes on opportunities Opportunities identified, integrated

Strives for excellence in performance
surpassing established standards
Continues to work toward achievement of goals
in the face of obstacles
in the plans and pursued
by Continuous improvement process
established; performance excellence
planned and pursued
Potential obstacles anticipated and
responses identified

57
 Shows a significant level of effort, persistence, Performance measurement
and time commitment to achieve goals standards established

Establishes and maintains formal and informal Performance monitoring system

methods to track employees' progress and established
performance (e.g., status reports, managing by
walking around)
Deals firmly and promptly with employee Performance contract signed with
performance problems by establishing facts of the staff; disciplinary action
behavior with the employee, setting identified and agreed
expectations, monitoring behavior/performance,
and taking disciplinary action when the behavior
warrants it
Provides encouragement and support to others Encouragement and support to
in accepting responsibility others provided

Recognizes and capitalizes on opportunities Opportunities identified, integrated

Strives for excellence in performance
surpassing established standards
Continues to work toward achievement of goals
in the face of obstacles
in the plans and pursued
by Continuous improvement process
established; performance excellence
planned and pursued
Potential obstacles anticipated and
responses identified

Shows a significant level of effort, persistence, Performance measurement

and time commitment to achieve goals standards established

Establishes and maintains formal and informal Performance monitoring system

methods to track employees' progress and established
performance (e.g., status reports, managing by
walking around)
Deals firmly and promptly with employee System of feed - backing and feed -
performance problems by establishing facts of forwarding established
behavior with the employee, setting
expectations, monitoring behavior/performance,
and taking disciplinary action when the behavior
warrants it
Models high standards of ethics Ethical standards defined,
understood, owned and pursued

Evidence Guide

1. Critical Aspects of Assessment requires evidence that the candidate:

Competency
a. Established work standards, procedures and efficiency
measures
b. Established performance standards
c. Established the monitoring system
d. Formulated organizational action plan
e. Assessed the external and internal environment of the

58
 organization
f. Established system of feed-backing and feedforwarding
g. Evaluated current organizational practices, responsibilities
and culture in the light of the organizational requirements
h. Formulated performance contract
2. Underpinning Knowledge a. External and internal environment of the office
b. Organization systems and procedures
c. Program development and management
d. Other relevant statutory rules and regulations
e. Strategy Management
f. Strategic Planning
g. People Skills and Management
3. Underpinning Skills a. Critical thinking
b. Analytical skill
c. Communication skills
d. Forecasting
e. Creative management
f. Data gathering
g. Strategy formulation
h. Problem solving
i. Use of ICT
4. Underpinning Attitude a. Assertive
b. Committed
c. Decisive
d. Flexible
e. Focused
f. Innovative
g. Objective
h. Organized
i. Persevering
j. Resourceful
k. Risk-taker
l. facilitative
m. Systematic

Behavioral Indicators by Level of Rank

59
CESO I

Establishes criteria and/or work procedures to achieve a high level of quality, productivity or service

CESO II

Demonstrates a systematic and efficient approach to work

Produces high-quality results and workable solutions that meet client needs

CESO III

Monitors own progress against objectives and takes any corrective actions necessary
Sees tasks through to completion
Deals firmly and promptly with employee performance problems by establishing facts of behavior with
the employee, setting expectations, monitoring behavior/performance, and taking disciplinary action
when the behavior warrants it

CESO IV

Ensures that no aspect of the work is neglected

Provides encouragement and support to others in accepting responsibility
Deals firmly and promptly with employee performance problems by establishing facts of behavior with
the employee, setting expectations, monitoring behavior/performance, and taking disciplinary action
when the behavior warrants it

CESO V

Recognizes and capitalizes on opportunities

Continues to work toward achievement of goals in the face of obstacles

CESO VI

Sets clear goals for the employees and the work unit
Acts without being prompted and makes thing happen; handles problem effectively
Shows a significant level of effort, persistence, and time commitment to achieve goals

Section III: Behavioral Indicators by Rank

Level
As can be seen in the competency standards, the different behavioral indicators are distributed
to the rank levels of the CESOs which are CESO VI as the lowest and CESO I as the highest. It is based on
the premise that as a CESO rise in the ladder of the hierarchy of the organization his/her accountability
increases but most of the hands – on responsibilities are in the hands of the lower level. The complexity
of the job related activities differ from organization to organization but the competencies to perform
these activities must be possessed by the CESOs.

60
 The distribution of the behavioral indicators to the ranks level is an illustration of the division of
responsibilities in the organization. In this regard, a CESO I must have possessed all of these
competencies at proficiency level 5 to be judged as Highly Competent or Master.

Section IV: Proficiency Level

The proficiency level illustrated below is patterned from the national qualifications
framework

Proficiency Levels Qualifier

Expert (Level 5) • Models, leads, trains, and motivates multiple levels of personnel to
be excellent in the competency (e.g. strategic thinking, etc.)
• Competence which involves the application of a significant range of
fundamental principles and complex techniques across a wide and
often unpredictable variety of contexts. Very substantial personal
autonomy and often significant responsibility for the work of others
and for the allocation of substantial resources feature strongly, as do
personal accountability for analysis and diagnosis, design planning,
execution and evaluation.
• A person assessed as competent with the ability to supervise and
train others in the competency.
Excellent (level 4) • Competence in a broad range of complex technical or professional
work activities performed in a wide variety of contexts and with a
substantial degree of performed responsibility and autonomy.
Responsibility for the work of others and the allocation of resources is
often present.
• A person assessed as exceeding the skilled level and does not
require any supervision to carry out the task.
Proficient (Level 3) • Competence in a broad range of varied work activities
performed in a wide variety of contexts, and most of which are
complex and non-routine. There is considerable responsibility and
autonomy, and control or guidance of others is often required.
• A person assessed as skilled in the competency, but requires
occasional supervision.
Moderately Effective • Competence in a significant range of varied work activities in a
(Level 2) variety of contexts. Some of the activities are complex or non-routine,
and there is some individual responsibility or autonomy. Working
with others, perhaps through membership of a work group or team,
may often be a requirement.
• A person assessed as having basic skill in the competency and
always requires supervision in order to perform to desired

61
 standards.

Slightly Effective (Level 1) • Competence in the performance of a range of varied work

activities, most of which may be routine and predictable
• A person assessed as having basic awareness of the
competency.

It is understood that a CESO at any rank level must possess the highest proficiency level for
him/or her to be called competent.

Section V: Implications to the Training and

Development and Assessment: the Next Step
Training Programs
It is understood that these competency standards will serve as the roadmap in the formulation
of the professional development programs for the Career Executive Service Officers. Therefore, it is
imperative for the Career Executive Service Board and its partner training and educational institutions to
design curriculum content that will enhance the capabilities of the CESOs.

In this regard, there are two important bases in the packaging of the training programs for
CESOs:

1 – the result of the Assessment Center. The result of the AC could provide the profile of the CESOs who
are participating in the training programs facilitated by the Career Executive Service Board. The
Professional Development Division could then coordinate with the Assessment Division to get the
profile of the candidates, know in what competencies they need improvement and then package the
curriculum content of the training program.

2 – the individual CESO: Since the development of the competency standards aim to professionally
develop the CESO, the individual then could provide the information on what competencies he/she
needs to be developed.

As regards the developmental approach, it might also require segmentation of participants in the
training programs into position levels and develop customized-focused training programs for particular
positions that would address enhancement of competencies and improvement of performance. If
possible, segment the CESOs into junior and senior officials and focus the competency development on
the critical roles they play in the bureaucracies.

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CESPES
As discussed by the participants in the validation process, there is a need to discuss with the
CESO the competency he/she gives importance at a certain point in time. It is unfair to assess the
individual CESO in the competencies that he/she deem unnecessary for the time being due to the
challenges and demands of their responsibilities. It is also important to discuss this with the subordinate
so that an agreement, on the competency to be rated, between the CESO and those who will assess/rate
him/her will be properly defined in the contract.

Assessment
A shift in the modalities of assessment has to be effected as the result of the shift into a
competency-based approach. There are several modalities of competency assessment enumerated in
the competency standards. (e.g. Interview, Demonstration, Portfolio, Third party report, etc.)

Glossary of Terms
Flexibility – is open to change and new information; adapts behavior and work methods in response to
hew information, changing conditions, or unexpected obstacles. Adjust rapidly to new
situations warranting attention and resolution.

63
Resiliency – deals effectively with pressure; maintains focus and intensity and remains optimistic and
persistent, even under adversity. Recovers quickly from setbacks. Effectively balances
personal life and work.

Decisiveness – exercises good judgment by making sound and well informed decisions; perceives the
impact and implications of decisions; makes effective and timely decisions, even when data
is limited or solutions produce unpleasant consequences; is proactive and achievement
oriented.

Oral communication – makes clear and convincing oral presentations to individuals or groups; listens
effectively and clarifies information as needed; facilitates an open exchange of ideas and
fosters an atmosphere of open communication.

Written communication – expresses facts and ideas in writing in a clear, convincing and organized
manner.

Interpersonal skills – considers and responds appropriately to the needs, feelings and capabilities of
different people in different situations; is tactful, compassionate and sensitive, and treats
others with respect.

Conflict management – identifies and takes steps to prevent potential situations that could result in
unpleasant confrontations. Manages and resolves conflicts and disagreements in a positive
and constructive manner to minimize negative impact.

Team building – inspires, motivates and guides others toward goal accomplishments. Consistently
develops and sustains cooperative working relationships. Encourages and facilitates
cooperation within the organization and with customer groups; fosters commitment, team
spirit, pride, trust. Develops leadership in others through coaching, mentoring, rewarding,
and guiding employees.

Customer service – balancing interests of a variety of clients, readily adjusts priorities to respond to
pressing and changing client demands. Anticipates and meets the need of clients; achieves
quality end products; is committed to continuous improvement f services.

Problem solving – identifies and analyzes problems; distinguishes between relevant and irrelevant
information to make logical decisions; provides solutions to individual and organizational
problems.

Accountability – assures that effective controls are developed and maintained to ensure integrity of the
organization. Holds self and others accountable for rules and responsibilities. Can be relied
upon to ensure that projects within areas of specific responsibility are completed in a timely
manner and within budget. Monitors and evaluates plans; focus on results and measuring
attainment of outcomes.

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Influencing/negotiating – persuades others; builds consensus through give and take; gains cooperation
from others to obtain information and accomplish goals; facilitates “win-win” situations.

Creativity/innovation – develops new insights into situations and applies innovative solutions to make
organizational improvements; creates a work improvement that encourages creative
thinking and innovation; designs and implements new or cutting-edge programs/processes.

Financial management – demonstrates broad understanding of principles of financial management and

marketing expertise necessary to ensure appropriate funding levels. Prepares, justifies,
and/or administers the budget for the program area; uses cost-benefit thinking to set
priorities; monitors expenditures in support of programs and policies. Identifies cost –
effective approaches.

Partnering – develops networks and builds alliances, engages in cross-functional activities; collaborates
across boundaries, and finds common ground with a widening range of stakeholders. Utilizes
contacts to build and strengthen internal support bases.

Vision – takes a long-term view and acts as a catalyst for organizational change; builds a shared vision
with others. Influences others to translate vision into action.

External awareness – identifies and keeps up to date on key national and international policies and
economic, political, and social trends that affect the organization. Understands near-term
and long-range plans and determines how best to be positioned to achieve a competitive
business advantage in a global economy.

Strategic thinking – formulates effective strategies consistent with the business and competitive strategy
of the organization in a global economy. Examines policy issues and strategic planning with a
long-term perspective. Determines objectives and sets priorities; anticipates potential
threats or opportunities.

Political savvy – identifies the internal and external politics that impact the work of the organization.
Approaches each problem situation with a clear perception of organizational and political
reality; recognizes the impact of alternative of alternative courses of action.

Entrepreneurship – identifies opportunities to develop and market new products and services within
and outside of the organization. Is willing to take risks; initiates actions that involve a
deliberate risk to achieve a recognized benefit or advantage.

Reliability – demonstrates a high level of dependability in all aspects of the job

Integrity – acts in an honest and trustworthy manner based in personal accountability and a moral
conviction to do the right thing.

Diversity – demonstrates respect for all differences (e.g. race, gender, ethnic background, disabilities,
sexual orientation, age, career levels, style and opinions.)

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Basic computing skills – demonstrates the ability to use information technology to receive and share
information as an active member of the organization and to accomplish position
responsibilities successfully.

Collaboration – develops cooperation and teamwork while participating in a group of people, working
toward solutions which generally benefit all involved parties.

Results-focused – demonstrates concern for achieving or surpassing results against an internal or

external standard or excellence, shows a passion for improving the delivery of services with
a commitment to continuous improvement.

Initiative – does more than is required or expected in the job; does things that no one has requested
that will improve or enhance products and services, avoid problems, or develop
entrepreneurial opportunities. Plans ahead for upcoming problems or opportunities and
takes appropriate action.

Organizational understanding – understands the agendas and perspectives of others, recognizing and
effectively balancing the interests and needs of one’s own group with those of the broader
organization.

Planning and organizing – establishes a systematic course of action for self or others to ensure
accomplishment of a specific objective. Set priorities, goals and timetables to achieve
maximum productivity.

Analytical thinking – builds a logical approach to address problems or opportunities or manage the
situation at hand by drawing on own knowledge and experience base and calling on other
references and resources as necessary.

Change leadership – initiates and/or manages the change process and energizes it on an ongoing basis,
taking steps to remove barriers or accelerate its place.

Coaching – works to improve and reinforce performance of others. Facilitates their skill development by
providing clear, behaviorally specific performance feedback and making or eliciting specific
suggestions for improvement in a manner that builds confidence and maintains self-esteem.

Collaborative leadership – promotes and generates cooperation among one’s peers in leadership to
achieve a collective outcome; fosters the development of a common vision and fully
participates in creating a unified leadership team that get results.

Delegation – utilizes direct reports effectively by allocating decision-making and other responsibilities to
the appropriate person.

Risk taking – takes bold decisive action despite risks, conflict or uncertainty; is willing make radical
recommendations and support their implementation.

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Adaptability – changes behavioral style or method of approach when necessary to achieve a goal;
adjusts style as appropriate to the needs of the situation. Responds to change with a positive
attitude and a willingness to learn new ways to accomplish work activities and objectives.

Attention to detail – thoroughness in accomplishing a task through concern for the areas involved, no
matter how small. Monitors and checks work or information and plans and organizes time
and resources efficiently.

Caring – demonstrates responsibility for the image and effectiveness of the organization.

Professionalism – thinks carefully about the likely effects on others of one’s words, actions, appearance
and mode of behavior. Selects the words or actions most likely to have the desired effect on
the individual or group in question.

Quality – produces results or provides service that meets or exceeds organizational standards.

Service – demonstrates string commitment to meeting the needs of co-workers, managers, community
embers, customers and stakeholders, striving to ensure their full satisfaction.

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