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OPMCritical Skills Gap Initiative
0511 Auditing Focus Group Results
April DavisManager, Classification and Assessment Policy
U.S. Office of Personnel Management September 3, 2014
Background On August 1, 2013*, Office of Personnel
Management (OPM) met with representatives of the Closing the Skill Gap (CSG), Auditor Mission Critical Occupation (MCO) group to discuss the challenges facing the auditing series within the Office of Inspector General (OIG) government-wide.
The Auditor Focus Group study is a response to a request by Jon Rymer, Inspector General (IG), Department of Defense, Chair of the Audit Committee of the Council of Inspectors General on Integrity and Efficiency (CIGIE), and CSG Auditor MCO Sub-goal leader (SGL).
OPM (RH and SWP) - SGL 8/1/13 Meeting Notes2
Background (con’t) Specifically, as the Auditor MCO Sub-goal
leader, Mr. Rymer has asked OPM to consider†:– working with the Inspector General (IG) community
to create a new standard that better fits their standards for conducting the work auditors do as required under the Inspector General Act of 2008, or
– modify the existing standard (0511) with amending text to allow for more connections to performance-based auditor work.
†OPM (SWP) Correspondence
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Background (con’t)Issues of Concern:Competencies needed to perform the job (e.g., writing, quantitative, and analytical skills) are missing from the current auditor applicant pools.* Agencies are posting vacancies for both the 0511 Auditing and 0343 Program Analyst series at the same time to try to determine which source produces the right balance of auditor skills and talent.* Academic pipelines for the auditor occupation are not aligned with current trending federal employment needs.*Memorandum of Understand (MOU) to use Student Pathways may not cover the OIG offices because of their statutory independence.*
OPM (RH and SWP) - SGL 8/1/13 Meeting Notes
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Background (con’t)Issues of Concern:Communications with the Chief Human Capital Officer (CHCO) contacts, for the most part, does not reach the OIG offices.*Positive education requirement of a degree in Accounting or related field with 24 semester hours in accounting may not align with employment needs for performance-based auditor work.‡
*OPM (RH and SWP) - SGL 8/1/13 Meeting Notes‡Pre-focus group meeting 9/23/13 and FAEC GS 511 Position Paper
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GoalThe purpose of this study was to identify and understand from CIGIE and the 0511 Auditor community •some baseline information for possible improvements on vacancy announcements, better defining agency-specific “specialized experience” requirements, and the barrier root causes;•how changes to the OPM classification and/or qualification standards will address issues experienced in identifying qualified applicants for agencies’ auditor positions; and •the potential impact on current 0511s government wide.
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CIGIE Information Auditing and Human Resources (HR) IG
Representative Contacts Federal Audit Executive Council (FAEC)
Professional Development Committee Survey FAEC group Position Paper Pre-Focus Group Meeting w/ CIGIE Audit
Committee members and Key Stakeholder agencies
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Methodology Review of relevant literature and information.
• Federal data sources (e.g., FedScope Database)• Other sources (e.g., FAEC position paper, ARC’s Issue
paper, GAO Government Auditing Standards)
Qualitative analysis of focus group information. Summary of information provided by focus groups,
agency comments, CIGIE, and other data collected.
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Methodology (con’t) Human-Centered Design (HCD) Focus Group
Format In-person discussion and interactive design format
o Journal Discussiono What’s on your Radar?o Rose-Bud-Thorn/Affinity Clustero Statement Starters/Creative Matrix
Forty agencies invited to participate 13 out of 40 (33%) agencies attended sessions
(Cabinet-level, large, and excepted service included)
Conduct Focus Groups (HCD Methods) Four in-person focus groups were held; 27
participants from 13 agencies attended Auditor-IG and HR-IG Subject Matter Experts (SMEs)
participated
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Participants Demographics
Agency List(N= 13)
HR SME
(Count)
Auditor SME
(Count)DHS 0 1DOC 1 1DOD 0 1DOE 0 1DOS 1 1FDIC 0 1FRB 0 1GSA 1 3HHS 1 2HUD 1 0SSA 2 1Treasury 1 3USDA 2 1
Total 10 17
Total number of 0511 Auditor and HR SME focus group participants (in-person only)
SME Count of Agencies that Participated
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GS-Level Breakdown of 0511s Government wide
Grade Count Percent
GS-1 0 0%
GS-2 0 0%
GS-3 0 0%
GS-4 0 0%
GS-5 2 0%
GS-6 0 0%
GS-7 148 1%
GS-8 0 0%
GS-9 354 3%
GS-10 0 0%
GS-11 631 5%
GS-12 4,715 39%
GS-13 3,945 32%
GS-14 1,546 13%
GS-15 485 4%
N/A 326 3%
TOTAL 12,152 100%
Source: OPM, FedScope Database, March 2014
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Focus Groups OPM’s Classification and Assessment Policy
(CAP) conducted focus groups to discuss performance auditing work throughout the government.
The purpose of the meetings were to discuss agencies’ experiences with using the current classification and qualifications standards for identifying applicants from which to select and fill performance auditor positions.
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Focus Group DiscussionThought Questions/Statement:1)The biggest challenge facing the Auditing series (GS-0511) in your organization.
2)Past experiences, when hiring auditors who conduct performance auditing.
3)Describe the ideal candidate – experience, education, and competencies.
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Results Classification Competencies Recruitment Qualifications Assessments Hiring Retention Training and Development
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Classification Professional versus Administrative Work
– Most agree that a degree is needed for the auditing position; however, many questioned the need for it to be an accounting degree only.
– Mixed support that candidates need knowledge of Government Auditing Standards, also known as the “The Yellow Book.”
Financial versus Performance Auditing– Primary focus of IG Auditors is on performance audits;
efficiency and effectiveness studies are their typical responsibilities.
– A clearer distinction needed between financial accounting and performance auditing skill sets to assist agencies in classifying performance auditing positions.
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Classification Position Management
– The use of both the GS-0511 and GS-0343 positions to perform performance audit work.
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CompetenciesList of competencies identified to “successfully perform the job” by focus group SMEs
Demonstrated by the ideal candidate to successfully perform the job
Lacked by recent candidates to successfully perform the job
Needed by the ideal candidate at entry level
Analytical skills Data analysis Data manipulation Critical thinking/ evidence-based Communication skillsInterpersonal skills Oral communication Writing Other characteristicsAmbitious, motivated, initiative Willing to learnTeamwork Technical expertise
Analytical thinking
Critical thinking Data manipulation Problem solving by going
out and meeting people to discuss the issues
Interpersonal skills
Oral communication Writing
Initiative Diverse experience Team work Legal research
Analytical skills Oral communication Writing
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Competencies
Auditor Focus Group Competency List
OPM MOSAIC PA Competency Study†
• Analytical thinking/Problem-solving • Problem Solving
• Critical thinking/”connecting the dots” • Reasoning
• Data analysis • Mathematical Reasoning
• Data manipulation • Arithmetic
• Interpersonal skills • Interpersonal Skills
• Investigative/research • Auditing†
• Oral communication • Oral communication
• Initiative/motivation • Self-management
• Teamwork • Teamwork
• Technical expertise • Technical competence
• Writing • Writing
Comparison of Competencies Identified by Auditor Focus Groups versus OPM MOSIAC Professional and Administrative (PA) Study†
†Professional & Administrative Model (Technical)
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Recruitment Recruitment Strategy
– Identify the “right” talent pool– Attract a diverse applicant pool– Develop a better “marketing pitch”
Partnerships– Human Resources/Hiring Manager collaboration– Build university relationships
Budget/Incentives– Private sector firms (e.g. “Big 4”) more “attractive” – Internships underdeveloped– Salary rate lower; need special salary rate reinstated
Job Opportunity Announcements (JOAs)– Accurately describing the work to target performance
auditing vs financial auditing
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Qualifications Education
– Limitations of the 24 hour accounting course requirement
– Broaden the degree requirement to include Business, Criminal Justice, etc.
Certification– Relevance of Certified Public Accountant (CPA) and
other certifications (i.e., CIA, CFE, CGFM)
Minimum Qualifications– Include needed competencies in the minimum
qualifications– Use specialized experience effectively
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Assessments Applicant Integrity
– Disconnect between resume and self-reporting assessment tools, and in-person assessments (structure interview, writing exercises)
Occupational Questionnaire– Applicants are “gaming the process” – HR should verify applicant responses– Need to develop more effective screening questions
Assessment Design– Aligning assessment strategy to assess needed
competencies– Assistance with developing more “sophisticated”
assessment tools
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Hiring Hiring Programs
– FCIP replaced by Pathways, agencies preferred old program
– Veteran’s preference
Hiring Authorities– Direct Hire given to agencies, but not to IG office
Hiring Process– JOA not specific enough– Time-to-hire too long– USAJobs cumbersome
Best Qualified– Category rating, candidates “look good” on paper– Veteran’s preference candidates
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Retention Lack competitive benefits
– Private sector salary is much higher– Quasi- government agencies offer nice “perks” (e.g., gym
membership, spa days)
Turnover– Work is not of interest to new hires, expect to perform
financial auditing – Agencies “stealing” talent from each other– Need Succession Planning in preparation for retirement
eligible
Career Ladders– Seek career mobility for 0343 Program Analysts
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Retention Possible incentives
– Re-institute Special Salary Rate– Develop good internships/details– Give awards
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Training and Development On-the-Job-Training (OJT)
– Need auditors that can “hit the ground running”– Need shadowing and coaching from more
experienced colleagues
Funding– No training budget
Skill gaps– Training courses can only do so much– Need close supervision and feedback
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Additional Source Information FAEC paper:
– No marked changes to content of the 0511 Auditing series classification standard, specifically performance auditing description.
– Emphasis on IG Auditor work being primarily focused on performance auditing.
– Acknowledgement that financial audits are not commonly conducted by auditors in IG offices.
– Twenty-four (24) hour accounting course requirement should be revisited.
– Use of both the GS-0511 Auditing and GS-0343 Program Analyst series to conduct performance auditing work.
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Findings In response to creating a new standard or
modifying current standard to include current performance requirements:
– OPM may need to review the GS-0511 Auditing classification and qualification standards to simplify distinctions between 0511 “performance” and 0511 “financial” audit work.
– OPM guidance may be needed to ensure that organizations are aware of their ability to utilize organizational titles such as Performance Auditor to recruit and hire.
– Other opportunities exist to partner with OPM’s Recruitment and Hiring team to assist in closing the 0511 Auditing Series skills gap
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OPM’s Recommendations Work with OPM to revisit Classification and Qualification
Standards – to simplify distinctions between performance audit work and
financial audit work– Review 24 hour account course criteria
Establish strategic partnerships for recruitment and hiring– Promote University Partnerships (e.g., Pathways) – Strengthen HR/SME Partnership – Develop “Realistic Job Preview” to describe the work
Re-assess hiring processes– Revisit assessment strategy – Identify specialized skills and targeted competencies in the JOAs
Develop training and development strategies to close skill gaps
– Crowdsourcing to create training – Establish a Community of Practice – Develop Career Paths
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SummaryTogether we can implement strategies to ensure Federal agencies can attract, recruit, and retain skilled Auditor employees to accomplish agency and Government wide performance-related work.
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