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1 | P a g e
Leadership Certification
Assessment Framework
Philippine Civil Service Commission
September 2014
PLACE PHOTO H...
2 | P a g e
Responses / Changes / Revisions Proposed
Stage Comments
Responses / Changes /
Revisions Proposed
Date
Approved...
3 | P a g e
Final Assessment
Career conversation-is it
realistic? What other
methods?
Ex. Noreen’s method of
screening
Not...
4 | P a g e
How do we
operationalize this?
permits.
 Added to scoping
document descriptions
No more
assessment by the
pro...
5 | P a g e
Given the
changes to the
portfolio
assessment stage,
adjust assessment
weights
 Percentage weights of
assessm...
6 | P a g e
Table of Contents
Document Revision / Changes Tracking Sheet 2
Leadership Certification Process Graphic 47
Int...
7 | P a g e
Portfolio Assessment Stage 18
Portfolio
Portfolio Assessment
Rating System and Scale
Rating System and Scale 1...
8 | P a g e
9 | P a g e
Rationale:
Demonstrated past behavior is one of the best predictor of future
behavior. Demonstrated success or...
10 | P a g e
COMPONENTS:
Nomination Stage
Eligibility
Self-Nomination
Immediate Supervisor’s
Assessment
Self-Evaluation
DE...
11 | P a g e
COMPONENTS:
SelfAssessment
Sponsored Nomination
Immediate Supervisor
Endorsement
Succession Triggered
Roles a...
12 | P a g e
COMPONENTS:
Training Track
RPL (Recognition of
Previous Learning)
Track
Fees
Documentation and
Reporting
Proc...
13 | P a g e
Project Scoping and
Presentation Stage
DESCRIPTIONS:
The project scoping stage is where action learning begin...
14 | P a g e
COMPONENTS:
Portfolio Building
Training Track
Recognition of Prior
Learning Track (RPL)
Project Presentation
...
15 | P a g e
DESCRIPTIONS:
CSI / LSP Project Coordinator
- Ensures the availability of certified assessors for project
pre...
16 | P a g e
COMPONENTS:
Portfolio
Portfolio Assessment
Rating System
and Scale
DESCRIPTIONS:
A portfolio is defined as a ...
17 | P a g e
COMPONENTS:
Rating System
and Scale
Validity of Evidence
Roles and Accountability
Documentation and
Reporting...
18 | P a g e
Behavioral Interview and
Assessment Stage
COMPONENTS:
Behavioral Interview and
Assessment Stage
Behavioral In...
19 | P a g e
COMPONENTS:
Computer-Based
Examination
Interview Assessment
Rating Scales and
Ratings
Calibration
DESCRIPTION...
20 | P a g e
COMPONENTS:
Roles and Accountability
Documentation and
Reporting
Process Turn-Around
Times
Timelines and Sche...
21 | P a g e
Certification
DESCRIPTIONS:
In order to be certified, each applicant must get an average score
of 3.0 for eac...
22 | P a g e
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CSC Assesment Framework

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CSC Assesment Framework

  1. 1. 1 | P a g e Leadership Certification Assessment Framework Philippine Civil Service Commission September 2014 PLACE PHOTO HERE, OTHERWISE DELETE BOX
  2. 2. 2 | P a g e Responses / Changes / Revisions Proposed Stage Comments Responses / Changes / Revisions Proposed Date Approved Framework  Process Maps for each stage added  Changes in pagination in Table of Contents will be effected once everything is finalized and revision sheet removed . Nomination Use terms familiar to readers, like “incumbent”, “acting division chiefs”, “supervising specialists”. The salary grades eligible to apply  Eligibility section added to components to define range of nominees qualified to apply  SG18 added to eligibility for LGU applicants 10-3-14 The evidence, such as job descriptions, may not be valid. Who fills up the profile If LHRU is not capable?  The job description alone will not be used as a sole qualifier for nomination;  Other documents and an customized application form with guidelines will be desiged to assist HR in evaluating eligibility without having to require them to undergo assessor’s training.  The guide may also be used by the incumbent’s immediate supervisor to determine eligibility. 10-3-14 Removal of LHRU’s screening role in the nomination stage; nominees will just gather all documents necessary and forward them to RD for approval of application  Changes applied. LHRU role changed from 1st layer screen (paper screen) of nominees to serving as document resource and pooling of assessment cohort.  Modification of assessment layer graphic to reflect changes in the first layer of assessment; Changes in terms: Diagnostic, Midterm and
  3. 3. 3 | P a g e Final Assessment Career conversation-is it realistic? What other methods? Ex. Noreen’s method of screening Note: conversation’s still take place because of the orientation day when they discuss this as part of reviewing the Leadership Framework  Yes.conversations are realistic.  The term career conversation will be changed so as not to confuse with other developmental interventions.  The conversation is triggered upon the incumbent’s application; It need not be a drawn- out, highly-technical conversation.  It is a very simple conversation that starts with the IS / HR asking why the incumbent is applying, and then giving reasons for approval/denial and identifying next steps.  This is indicated in the application form. 10-3-14 Project Scoping and Presentation  Competency Mapping / Profiling Who checks this? CSI or ERPO? Someone to shadow Ralph during the pilot’s orientation day.  CSI or LSP role.  CSI will be trained to check on the way the templates / instruments were accomplished.  Added to R & A component 10-3-14  Clarification on the tools to be used for training and RPL tracks as well as Group Projects   Portfolio building for training and RPL tracks defined  Scoping Document How do you structure groups/ individual projects? for public workshops?  All applications are treated as individual applications.  Group projects are optional; if geography 10-3-14
  4. 4. 4 | P a g e How do we operationalize this? permits.  Added to scoping document descriptions No more assessment by the project sponsor – just provide evidence that presentation took place.  Project sponsor will assess project based on feasibility not validity against the Leadership framework.  Added to PS role 10-3-14 Stage Comments Responses / Changes / Revisions Proposed Date Portfolio Assessment Stage  Portfolio Person to advice participants on portfolio development? Should there be an assessor from the start? Or do we train someone from CSI to advice on the templates to avoid contamination of assessors? What’s the evidence that 90 days is the best way?  CSI will designate a project coordinator. The project coordinator can either be from CSI directly or from an LSP.  90 day period is deemed a “reasonable” period of time to complete the project .  Given limitations set by rules on validity of evidence, maximum period should be no more than a year. 10-3-14  Remove the stage gate requirement of “average grade of 3” in portfolio assessment stage.  Changes made: requirement clause removed Behavioral Interview and Assessment Assessors should confer with each other before issuing final ratings- calibrate the two assessments. Use CSC’s VOIP facilities to do this.  Assessors will send each of their own calibrated scores to ERPO after they confer with one another. 10-3-14
  5. 5. 5 | P a g e Given the changes to the portfolio assessment stage, adjust assessment weights  Percentage weights of assessment layers adjusted to 60/40 for portfolio / BEI assessment
  6. 6. 6 | P a g e Table of Contents Document Revision / Changes Tracking Sheet 2 Leadership Certification Process Graphic 47 Introduction Rationale 58 Objectives Nomination Stage Nomination Stage 9 Eligibility Self-Nomination Immediate Supervisor’sSelf-Assessment Sponsored Nomination 10 Supervisor Endorsement Succession Triggered Roles and Accountability Training Track RPL -Track Fees Documentation and Reporting 11 Process Turnaround Times Schedules Layers of Assessment Graphic 13 Project Scoping and Presentation Stage 14 Project Scoping Stage Competency Mapping / Profiling Scoping Document / Project Charter Portfolio Building 15 Training Track RPL Track Project Presentation Roles and Accountability 16 Documentation and Reporting Process TAT Timelines / Scheduling
  7. 7. 7 | P a g e Portfolio Assessment Stage 18 Portfolio Portfolio Assessment Rating System and Scale Rating System and Scale 19 Validity of Evidence Roles and Accountability Documentation and Reporting Turnaround Times Timelines and Scheduling Behavioral Interview and Assessment Stage 21 Behavioral Interview and Assessment Stage Behavioral Interview Guide The Behavioral Interview Computer-Based Examination 22 Interview Assessment Rating Scales and Ratings Calibration Roles and Accountability 23 Documentation and Reporting Process Turn-Around Times Timelines and Schedules Certification Stage 25 Final Ratings Table of Contents
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  9. 9. 9 | P a g e Rationale: Demonstrated past behavior is one of the best predictor of future behavior. Demonstrated success or performance in a role is also the best indicator of future success and/or performance in the role. These principles serve as the foundation of the assessment framework for the Philippine Civil Service Commission’s Leadership Certification Program. The new framework leverages behavioral event interviewing, portfolio and project-based assessments, theoretical examinations and self-evaluation to determine suitability and eligibility for leadership roles. The advantages of the assessment framework are:  The performance behaviors take place during actual work situations rather than in a simulated, controlled environment. Learning is not only experiential but realistic and relevant.  Successful projects / portfolios bring results which provide an immediate direct benefit to the organization.  Operational downtime for the individual undergoing certification is reduced. The individual remains productive as the need to be taken out of the workplace is minimized. Objectives: The purpose of this document is to provide both the process owners and all other stakeholders with complete and comprehensive knowledge about the assessment framework used in certifying future leaders across all other government institutions. Specifically, this document will provide the reader with knowledge about:  The different stages and processes involved in assessing an individual for a Level 2 (Intermediate) leadership position;  Guidelines and procedures for each stage of the assessment process. INTRODUCTION Key Points:  Demonstrated success or performance in a role is the best indicator of future success and/or performance in the role.  Advantages of the new framework: o Learning is not only experiential but realistic and relevant. o Successful assessment projects / portfolios have a direct and immediate impact in the workplace. o Reduced operational downtime translates to higher productivity.
  10. 10. 10 | P a g e COMPONENTS: Nomination Stage Eligibility Self-Nomination Immediate Supervisor’s Assessment Self-Evaluation DESCRIPTIONS: Nomination is the first stage in the leadership certification process. In this stage individuals who exhibit the potential to become leaders are identified. Minimum salary grade for application is set at Acting Division Chief , Supervising Specialist or at least salary grade level 18 (SG18 for LGU’s) . Incumbents at this level may either self-nominate or be sponsored for assessment and certification Nominees from the private sector wishing to join government as middle managers should have occupied at least a supervisory position in a large corporation, or held a senior position at a small and medium sized enterprise. The process is initiated by a person aspiring for a leadership position. Aspiring self-nominees apply for certification with their local human resources unit. - A person may self-nominate if they believe that by virtue of past training and/or experience they have already acquired the necessary leadership competencies. They may also self-nominate even if at the time of nomination they do not yet possess the required leadership competencies but have become eligible by virtue of their past performance and tenure. In this case, a career conversation is triggered between the aspiring nominee and the immediate supervisor. With the assistance of local human resources unit a career development plan is created. On completion of the development plan, nominee becomes eligible for self- nomination or nomination by their immediate supervisor in the next certification cycle. The nominee’s immediate supervisor receives the application and conducts an assessment of the nominee using the assessment questionnaire. Upon completion of the assessment, documents are forwarded to the Regional Director or project sponsor for approval. Nomination Stage
  11. 11. 11 | P a g e COMPONENTS: SelfAssessment Sponsored Nomination Immediate Supervisor Endorsement Succession Triggered Roles and Accountability DESCRIPTIONS: Nominees are also required to complete a self-assessment questionnaire. The questionnaire is designed to diagnose the nominee’s level of proficiency for each competency against their immediate supervisor’s assessment. The process of sponsored nomination is triggered by organizational processes and/or individuals other than the Incumbents. Consent and willingness of the Incumbent to undertake certification will be needed. An immediate supervisor can initiate the nomination process by observing the following guidelines: - Immediate supervisors / managers perceiving leadership potential (based on the competency framework) in one or more of their own direct report may endorse these individuals to undergo the process of assessment and certification. - Immediate supervisor’s nomination must be accompanied by a supervisor’s assessment of the Incumbent using the framework of competencies. Supervisor will also identify/recommend which track the Incumbent should take. - To ensure the creation of a healthy pool of successors for leadership positions, individuals may be selected to undergo assessment and certification. Local Human Resources Units (LHRU) found in various government offices are responsible for pooling, enrollment and registration of all Incumbents for leadership certification. Civil Service Institute serves as central registration and document control for the nomination process. CSI will also be tasked to coordinate among service providers for the conduct of training and assessment as the need arises. All Incumbents endorsed by local human resources units must be enrolled with the CSI
  12. 12. 12 | P a g e COMPONENTS: Training Track RPL (Recognition of Previous Learning) Track Fees Documentation and Reporting Process Turnaround Times Schedules DESCRIPTIONS: Incumbent nominees (self and sponsored) who have successfully passed their local human resources evaluation are placed on this track The training track is the main path for leadership certification. Incumbents on this track are expected to possess the leadership competencies after going through the project and portfolio building exercises of the framework. The RPL track is an option made available to Incumbents perceived to already possess the competencies needed for leadership certification. Incumbents in the RPL track, skip over the project scoping stage of the certification program. These Incumbents go directly to the portfolio building and assessment stage and move forward in the certification process from there. All nominees are required to pay a fee to cover registration, enrollment and assessment. The following documents will be used in the nomination stage: CSI Application / Enrollment Form - Available through LHRU or directly with CSI, or LSP. Self-Assessment Questionnaire - Available and issued by LHRU and/or CSI. - Completed by nominees undergoing self-nomination and submitted to LHRU as part of enrollment documents. Immediate Supervisor’s Assessment - Completed by immediate supervisor to assess direct report’s for enrollment into the program. - Submitted to RD as reference documents to guide RD in approving / disapproving application. Process Owner Suggested Turnaround Times Application Review HR working days Enrollment / Registration CSI working day Application is bi-annual (TBA) Certification is quarterly (TBA) Training Track (TBA) RPL Track (TBA)
  13. 13. 13 | P a g e Project Scoping and Presentation Stage DESCRIPTIONS: The project scoping stage is where action learning begins. This stage of the process is specifically designed to enable candidates to: 1. Exercise strategic and critical thinking. 2. Demonstrate their ability in project planning (i.e. identifying resources, stakeholders, setting timelines, etc.,) 3. Develop their ability to engage and communicate for buy-in with their stakeholders. Certification candidates are required to identify and map out which competencies they will be exhibiting during project implementation. They will be using the Civil Service Commission’s Leadership Competency Framework as a guide in mapping their competencies. Each candidate going through the training track will be asked to identify specific Behavioral Indicators they will be targeting for each competency. They will be using an individual task register. In group projects, the competency mapping / profiling instrument will be used as a project WBS*. However, members of the group will also need to accomplish their individual task registers. The key result expected from each candidate at this stage is the creation of a project charter or a document defining the project and its scope. It is at this stage where the advantage of the new framework becomes evident as projects undertaken by these candidates are aimed at addressing present problems, harnessing opportunities or delivering improvements or innovations in the actual workplace. A project scoping document should contain the following: - Reasons for undertaking the project - Objectives and constraints of the project - Directions concerning the solution - Identities of the main stakeholders - In-scope and out-of-scope items - High level risk management plan - Communication plan - Target project benefits *work breakdown structure COMPONENTS: Project Scoping Stage Competency Mapping / Profiling Scoping Document Portfolio Building
  14. 14. 14 | P a g e COMPONENTS: Portfolio Building Training Track Recognition of Prior Learning Track (RPL) Project Presentation DESCRIPTIONS: In the process of undertaking their project, it is expected that situations and circumstances may change. Such conditions will trigger the re-framing of the scope, subject to the approval of the project sponsor. The process of portfolio building is where the candidates gather a purposeful collection of evidence to prove the existence / presence of required competencies or the acquisition of competency in the course of undertaking their projects. Candidates going through the training track are expected to “acquire” these competencies as they execute specific tasks in their projects. Each candidate must ensure that the tasks they have listed in their individual task registers are mapped / aligned to the competencies they are targeting. Portfolio building for these candidates means gathering evidence to prove that these tasks were executed properly and the competency behavior was displayed during execution. Portfolio building for candidates in the RPL track is different. Candidates in this track are expected to have already acquired the targeted competencies / behaviors through previous experience. They need to cite instances from their work history in which the targeted competencies / behaviors were displayed. Once identified, these competencies are indicated in the competency mapping / profiling instrument. The CSI / LSP project coordinator checks this document for accuracy and completeness. Candidates then proceed to build their portfolio by gathering supporting evidence. Candidates are required to present their project to the following audiences: 1. Project sponsor or Immediate Supervisor 2. Assessor 3. Project Stakeholders The presentations will follow the order described above. However, in the interests of efficiency, the Project Sponsor and the Assessor can be present during one presentation. Only after the approval of both the Project Sponsor and the Assessor will a presentation with the stakeholders be scheduled. This stage is necessary to ensure that the project is administratively feasible, to secure and reinforce stakeholder engagement and finally to ensure accuracy and alignment with the leadership competencies being targeted by the project.
  15. 15. 15 | P a g e DESCRIPTIONS: CSI / LSP Project Coordinator - Ensures the availability of certified assessors for project presentation meetings. - Checks completeness and accuracy of scoping document Certification Candidate - Accurately accomplish the competency profile and mapping. - Creates the project scoping document and project charter. - Creates and delivers project presentation Certified Assessor (ERPO) - Attends project presentation to review project details and assess if project tasks are aligned with competencies being targeted. Project Sponsor / Immediate Supervisor / RD - Provides fiscal and administrative approval and oversight for projects undertaken by their direct report. Competency Mapping Tool Individual Task Register Project Scoping Template TBA TBA COMPONENTS: Roles and Accountability Documentation and Reporting Turnaround Time Timelines / Scheduling
  16. 16. 16 | P a g e COMPONENTS: Portfolio Portfolio Assessment Rating System and Scale DESCRIPTIONS: A portfolio is defined as a purposefully gathered collection of samples of annotated and validated pieces of evidence. Evidence can come in the form of written documents, written or recorded oral testimonials, photographs, videos, etc. A candidate’s portfolio will contain the following: 1. Introduction - This is a one-page document containing between 300-500 words. Essentially, a brief on who the candidate is, why they joined and a list of the major leadership lessons learned as they went through the program 2. Competency Map and Evidence - Carrying over from their project scoping competency map, the candidate now provides specific evidence for each competency targeted. The purpose of the portfolio assessment stage is to determine whether the competencies mapped out and targeted in the project scope were actually practiced while implementing the project. The candidate should be able to demonstrate evidence within the boundaries of their workplace context. Evidence can be collected either on and/or off the job. A candidate’s portfolio is assessed on two dimensions. Success of the project is not considered a factor affecting ratings. The following are key considerations: 1. Alignment of project activities / tasks to the competencies mapped out in the scoping stage. Tasks and activities that have no bearing on the targeted competencies will not be given a rating. 2. Validity of evidence provided to prove the presence of competencies in each of the tasks. Rating will be as follows: 1= Invalid. Evidence does not prove presence of competency. 2=Insufficient. Further probing required in determining presence of competency. Additional evidence required. 3=Sufficient. Evidence proves candidate has displayed targeted competency in the task selected. 4=Outstanding. Evidence proves candidate has demonstrated competency exceeding the level required. Portfolio Assessment Stage
  17. 17. 17 | P a g e COMPONENTS: Rating System and Scale Validity of Evidence Roles and Accountability Documentation and Reporting Turnaround Times Timelines and Scheduling DESCRIPTIONS: The following factors will be considered in determining the validity of evidence: 1. Currency / Recency - Was the product/evidence relatively recent? The rules for determining currency will be specified.(e.g. candidate performed in the past 12-18 months); 2. Authenticity - Was the evidence produced by the candidate? or if part of a team contribution, what aspects carried out were specific to the candidate (e.g. established through testimonial statements, etc.) 3. Sufficiency - is there enough evidence to demonstrate to the assessor competence against the entire Unit of Competency, including the critical aspects of evidence described in the Evidence Guide (e.g. evidence of consistency of performance. CSI - Designates project coordinator in the interim to ensure that portfolios are accomplished properly. Candidate - Collects and compiles evidence to build portfolio - Submits portfolio on agreed submission date. ERPO/Assessor - Performs assessment using Portfolio Assessment Instrument - Creates a post assessment report. Assessor’s Portfolio Assessment Tool and Report Candidate Scorecard TBD TBD
  18. 18. 18 | P a g e Behavioral Interview and Assessment Stage COMPONENTS: Behavioral Interview and Assessment Stage Behavioral Interview Guide The Behavioral Interview DESCRIPTIONS: The behavioral interview and assessment stage is the final assessment layer leading to certification. In this stage, the candidate undergoes a behavioral interview with a certified / accredited interviewer. Data gathered during the interview is relayed to a certified assessor for evaluation. This stage has three objectives: 1. The validation of all findings and ratings in the previous assessment layers 2. Examine evidence presented for alignment with target competencies and decide presence and extent of competency. 3. Distill a development plan that will allow the candidate to improve on existing level of competency. Interviewers will be using a behavioral interviewing guide. The interviewing guide contains sample questions for each competency. Each question will be mapped to the Units(s) of Competency with insufficient evidence during the portfolio assessment. The behavioral interview may be structured, semi-structured and /or unstructured. If using structured and/or semi-structured interview techniques, each question to be asked in the interview session should be listed and presented within the interview. The type of questions that could be asked may include open ended; diagnostic; information seeking; challenge; action; prioritization, prediction; hypothetical; extension; and/or generalization questions. The interviewer will: 1. Provide the candidate with the range of questions prior to the interview period; 2. Provide the candidate with written copies of the questions during the interview; Allow prompting; Place restrictions on the number of attempts; 3. Allow access to materials etc throughout the interview period;
  19. 19. 19 | P a g e COMPONENTS: Computer-Based Examination Interview Assessment Rating Scales and Ratings Calibration DESCRIPTIONS: As part of the assessments for the final stage leading to certification, all candidates will undergo a computer-based exam on the competency framework. The exam shall be held on a date and at a venue to be announced by ERPO and coordinated with the LHRU. There will be a total of three (3) distinct assessors for this stage. - The first assessor’s role is to evaluate the portfolio assessment report and draft the behavioral interview questions to be used and conduct the behavioral interview. - The second and third assessor’s roles are to review and evaluate the actual responses during behavioral interview. If present during the actual interview itself, assessor will be allowed to ask clarificatory questions; however, the interview will be conducted by the assigned interviewer. In cases where the assessor and interviewer cannot both be present during the behavioral interview, the interview may either be taped or done through the use of applicable / preferred video- conferencing technologies. 4 Very Good Advance Evidence and example exceeds level of competency 3 Suitable Certify Provides well developed relevant experience 2 Marginal Defer/Reject Some evidence provided but not well developed 1 Unsuitable Reject Failed to provide positive evidence The assessors will schedule a post assessment calibration to ensure the accuracy and correctness of their ratings. These sessions are meant for each assessor to give and receive feedback on each other’s ratings but not to influence each other to give the same kind of rating. The calibration session may be done in a personal meeting, VOIP conference, etc. Assessors will still be submitting two separate scores to ERPO for consolidation into a unified final score.
  20. 20. 20 | P a g e COMPONENTS: Roles and Accountability Documentation and Reporting Process Turn-Around Times Timelines and Schedules DESCRIPTIONS: LHRU - assigns an interviewer to conduct the BEI - Arranges schedules and logistics for the conduct of BEI ERPO - Schedules and announces written examination - Coordinates with LHRU for the conduct of written examination - assigns two assessor to review and evaluate the BEI - candidate scorecard Candidate - Completes all requirements from previous stage. - Takes written Exam - Attends BEI Assessor - Designs behavioral interview. - Conducts assessment of BEI - Generates report and fills out Candidate Scorecard Behavioral Interview Sheet Interview Video Assessor’s Interview Evaluation Report TBD TBD
  21. 21. 21 | P a g e Certification DESCRIPTIONS: In order to be certified, each applicant must get an average score of 3.0 for each competency cluster for assessment layers 2 and 3. Assessment Layer #1 Purely Diagnostic (No Bearing on Final Grade) Cluster 1 Cluster 2 Cluster 3 Cluster 4 Cluster 5 Self Assessment Supervisor Evaluation RPL Track Assessment Layer #2 70% of Final Grade % Cluster 1 Cluster 2 Cluster 3 Cluster 4 Cluster 5 Portfolio Assessment 100 Training Track Assessment Layer #2 70% of Final Grade % Cluster 1 Cluster 2 Cluster 3 Cluster 4 Cluster 5 Portfolio Assessment 100 Assessment Layer #3 30% of Final Grade % Cluster 1 Cluster 2 Cluster 3 Cluster 4 Cluster 5 Written Examination 33.33 Behavioral Assessment 66.66 Candidates who fail to meet the final average grade requirement of 3.0 for certification shall be deferred to the next certification cycle. In this scenario, the candidate shall only work for certification on the specific competency clusters where they were not able to get the grade of 3.0 COMPONENTS: Final Ratings
  22. 22. 22 | P a g e

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