Skills and Competency Audit of Human Resource and Financial Management Senior Managers in the Western Cape
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Page 1 of 64
SKILLS AND COMPETENCY AUDIT OF HUMAN
RESOURCE AND FINANCIAL MANAGEMENT SENIOR
MANAGERS IN THE WESTERN CAPE
MARCH 2015
SKILLS AND COMPETENCY AUDIT OF HUMAN
RESOURCE AND FINANCIAL MANAGEMENT SENIOR
MANAGERS IN THE WESTERN CAPE
MARCH 2015
Page 2 of 64
Executive summary
The National Development Plan [NDP] articulates the need for a capable state
that is endowed with a workforce that is appropriately skilled and fully
professionalized. Having regard for this ideal and in line with its mandate, the
Public Service Commission (PSC) embarked on a research project, in the form of
a skills audit, which aims to highlight the critical skills and knowledge aspects of
the Human Resource Management and Financial Management portfolios in
order to assure high performance. The study focused on senior managers
occupying these portfolios in the Western Cape Provincial Government.
In conducting the study, a consultative approach was adopted to ensure a
cross pollination of expertise between the PSC and experts in the public sector in
terms of the design, and data collection tools and analysis. It was concluded
that an approach that included an all-round evaluation would best provide
valid data and the Multi-rater assessment tool (otherwise known as a 360°
assessment) was identified as the primary method.
A purposive sampling procedure was applied to select participants for the audit.
The first category comprised senior managers (from level 13-15) who work in
Human Resource Management. The second category comprised senior
managers (from level 13-15) who work in Financial Management. Each manager
identified a list of respondents to participate in their multi-rater assessment. The
project required voluntary participation and all participants were assured of
anonymity and confidentiality.
The quantitative data was processed per leader in a way that resulted in
averages per rater category (superior, peer, follower, stakeholder, and self), and
item analyses were also done per rater category to provide richer information.
Thematic analysis was conducted for the qualitative data. Focus groups were
used as an additional method of validating and enriching the findings and
recommendations.
The feedback and results from the survey, as well as the information provided
through the focus group discussions indicate the following:
Summary of findings (Senior Managers in Human Resource Management)
The survey findings indicate that the sample of senior HR managers are well
regarded by their raters, and especially seen as having a high level of honesty
and integrity. Considering the open-ended feedback with the quantitative
results, HR managers seem to have improved their components/ functions in
terms of competence, teamwork, morale and most notably increased
efficiencies, compliance and service delivery through streamlining
administrative processes.
Executive summary
The National Development Plan [NDP] articulates the need for a capable state
that is endowed with a workforce that is appropriately skilled and fully
professionalized. Having regard for this ideal and in line with its mandate, the
Public Service Commission (PSC) embarked on a research project, in the form of
a skills audit, which aims to highlight the critical skills and knowledge aspects of
the Human Resource Management and Financial Management portfolios in
order to assure high performance. The study focused on senior managers
occupying these portfolios in the Western Cape Provincial Government.
In conducting the study, a consultative approach was adopted to ensure a
cross pollination of expertise between the PSC and experts in the public sector in
terms of the design, and data collection tools and analysis. It was concluded
that an approach that included an all-round evaluation would best provide
valid data and the Multi-rater assessment tool (otherwise known as a 360°
assessment) was identified as the primary method.
A purposive sampling procedure was applied to select participants for the audit.
The first category comprised senior managers (from level 13-15) who work in
Human Resource Management. The second category comprised senior
managers (from level 13-15) who work in Financial Management. Each manager
identified a list of respondents to participate in their multi-rater assessment. The
project required voluntary participation and all participants were assured of
anonymity and confidentiality.
The quantitative data was processed per leader in a way that resulted in
averages per rater category (superior, peer, follower, stakeholder, and self), and
item analyses were also done per rater category to provide richer information.
Thematic analysis was conducted for the qualitative data. Focus groups were
used as an additional method of validating and enriching the findings and
recommendations.
The feedback and results from the survey, as well as the information provided
through the focus group discussions indicate the following:
Summary of findings (Senior Managers in Human Resource Management)
The survey findings indicate that the sample of senior HR managers are well
regarded by their raters, and especially seen as having a high level of honesty
and integrity. Considering the open-ended feedback with the quantitative
results, HR managers seem to have improved their components/ functions in
terms of competence, teamwork, morale and most notably increased
efficiencies, compliance and service delivery through streamlining
administrative processes.
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The focus group participants positioned the state of Human Resources within the
provincial departments slightly differently. Whilst they agreed with a fairly high
level of technical competence prevailing amongst HR managers, there was
perception that:
Senior Human Resource Managers need to do more to position themselves
as strategic partners, including improving their own strategic capabilities, as
well as ability to use HR data analytics more effectively to guide human
resource strategies.
Human Resource Managers must become experts in human behaviour and
drivers to enhance performance to properly influence service delivery. This
requires a fundamental shift in terms of skills set, and the ability to transfer this
different approach to human resource practitioners in departments
becomes paramount.
The main development themes for this level of senior managers therefore
include:
Strategic capability and leadership, in some areas including effective data
analysis and problem-solving;
Knowledge and understanding of human behaviour and related
performance drivers;
People leadership and development competencies, especially within the
context of intergenerational diversity; and
The management of business processes and innovation towards automation.
Lastly, the focus on innovation that leads to greater efficiency seems to be a
key driver to improving service delivery. Capacity constraints, if appropriately
addressed, could further unlock the performance potential within this group.
Summary of findings (Senior Managers in Financial Management)
The survey findings indicate that senior managers‟ detailed orientation and
continuous scoping and analysis of the policy environment, as well as the
manner in which most help staff to improve competence, are seen to add
value within their context.
The Finance Managers stated that they continue to seek efficiencies in business
processes as their primary objectives. It seems that within this context, Finance
Managers benefit from being able to use their knowledge of operational
demands to find innovative ways to create efficiencies in order to better meet
strategic objectives.
The focus group participants positioned the state of Human Resources within the
provincial departments slightly differently. Whilst they agreed with a fairly high
level of technical competence prevailing amongst HR managers, there was
perception that:
Senior Human Resource Managers need to do more to position themselves
as strategic partners, including improving their own strategic capabilities, as
well as ability to use HR data analytics more effectively to guide human
resource strategies.
Human Resource Managers must become experts in human behaviour and
drivers to enhance performance to properly influence service delivery. This
requires a fundamental shift in terms of skills set, and the ability to transfer this
different approach to human resource practitioners in departments
becomes paramount.
The main development themes for this level of senior managers therefore
include:
Strategic capability and leadership, in some areas including effective data
analysis and problem-solving;
Knowledge and understanding of human behaviour and related
performance drivers;
People leadership and development competencies, especially within the
context of intergenerational diversity; and
The management of business processes and innovation towards automation.
Lastly, the focus on innovation that leads to greater efficiency seems to be a
key driver to improving service delivery. Capacity constraints, if appropriately
addressed, could further unlock the performance potential within this group.
Summary of findings (Senior Managers in Financial Management)
The survey findings indicate that senior managers‟ detailed orientation and
continuous scoping and analysis of the policy environment, as well as the
manner in which most help staff to improve competence, are seen to add
value within their context.
The Finance Managers stated that they continue to seek efficiencies in business
processes as their primary objectives. It seems that within this context, Finance
Managers benefit from being able to use their knowledge of operational
demands to find innovative ways to create efficiencies in order to better meet
strategic objectives.
Page 4 of 64
The focus group participants further commended senior finance managers for
their adaptability and tenacity, and recognise that they have made great
progress in positioning themselves as service delivery partners with the intention
of helping others achieve their strategic objectives. Continued improvements in
communication and collaboration with operational senior managers in
particular will drive success even further.
The focus group participants and senior managers do, however, feel that more
can be done at this level, and asserted that senior managers should challenge
themselves to move from nominal compliance [which they have mastered] to
substantial compliance in which they can add more strategic value through
expert analysis and guidance. To achieve this they would need to unlock the
potential within their teams, by elevating the level at which their middle
managers and others operate.
Additional developmental themes for this group include:
Some managers may benefit from enhanced interpersonal
competencies, especially those skills that will allow them to thrive when
managing larger and more diverse teams;
According to the data from both the questionnaire and the focus group,
there is room for improvement in terms of aspects of project management
and service delivery innovation; and.
For some senior managers, change management and knowledge
management competencies can also be further enhanced.
Senior finance managers have indicated that they are enabled largely through
support and empowerment from their superiors. The questionnaire results
indicate that they may be less effective if they are in a position of changing
structures, or experience limited ability to fully capacitate their teams. This is
exacerbated within the context of changing policies and more stringent finance
requirements. The focus group participants further emphasised that forcing
austerity measures onto senior finance managers, often with the requirement for
speedy implementation, is a core constraint that reduces their effectiveness,
and potentially undermines other positive initiatives they are busy putting in
place or trying to maintain.
For both the Human Resources and Financial Management Managers to
optimize their performance it is recommended that they:
Identify and develop enhanced skills set required to render them even
more capable in their roles;
Continue getting closer to service delivery partners, and elevating the
standing of their function; and
The focus group participants further commended senior finance managers for
their adaptability and tenacity, and recognise that they have made great
progress in positioning themselves as service delivery partners with the intention
of helping others achieve their strategic objectives. Continued improvements in
communication and collaboration with operational senior managers in
particular will drive success even further.
The focus group participants and senior managers do, however, feel that more
can be done at this level, and asserted that senior managers should challenge
themselves to move from nominal compliance [which they have mastered] to
substantial compliance in which they can add more strategic value through
expert analysis and guidance. To achieve this they would need to unlock the
potential within their teams, by elevating the level at which their middle
managers and others operate.
Additional developmental themes for this group include:
Some managers may benefit from enhanced interpersonal
competencies, especially those skills that will allow them to thrive when
managing larger and more diverse teams;
According to the data from both the questionnaire and the focus group,
there is room for improvement in terms of aspects of project management
and service delivery innovation; and.
For some senior managers, change management and knowledge
management competencies can also be further enhanced.
Senior finance managers have indicated that they are enabled largely through
support and empowerment from their superiors. The questionnaire results
indicate that they may be less effective if they are in a position of changing
structures, or experience limited ability to fully capacitate their teams. This is
exacerbated within the context of changing policies and more stringent finance
requirements. The focus group participants further emphasised that forcing
austerity measures onto senior finance managers, often with the requirement for
speedy implementation, is a core constraint that reduces their effectiveness,
and potentially undermines other positive initiatives they are busy putting in
place or trying to maintain.
For both the Human Resources and Financial Management Managers to
optimize their performance it is recommended that they:
Identify and develop enhanced skills set required to render them even
more capable in their roles;
Continue getting closer to service delivery partners, and elevating the
standing of their function; and
Page 5 of 64
Elevate the level at which their teams operate, through system
efficiencies as well as a higher level of competencies, in particular for
middle managers.
In summary, whilst senior managers generally appear to be technically
competent as specialists, some competencies need to be thought of at a
higher level and developed in order for them and their functions to achieve
their full potential as service delivery partners in driving enhanced service
delivery in the Western Cape provincial government.
Elevate the level at which their teams operate, through system
efficiencies as well as a higher level of competencies, in particular for
middle managers.
In summary, whilst senior managers generally appear to be technically
competent as specialists, some competencies need to be thought of at a
higher level and developed in order for them and their functions to achieve
their full potential as service delivery partners in driving enhanced service
delivery in the Western Cape provincial government.
Page 6 of 64
Contents
CHAPTER 1: INTRODUCTION ............................................................................................ 8
PURPOSE OF THIS RESEARCH .................................................................................... 8 1.1
THE MANDATE OF THE PUBLIC SERVICE COMMISSION ......................................... 8 1.2
research OBJECTIVES ................................................................................................ 9 1.3
SCOPE ......................................................................................................................... 9 1.4
overview of Research process ................................................................................ 9 1.5
STRUCTURE OF REPORT ............................................................................................. 9 1.6
CHAPTER 2: PROJECT DESIGN AND METHODOLOGY ................................................ 10
2.1 Approach................................................................................................................. 10
2.2 The process followed in selecting the audit method ....................................... 11
2.3 Development of instruments ................................................................................. 12
2.4 Ethical Considerations ............................................................................................ 14
2.4.1 Voluntary participation ........................................................................................ 14
2.4.2 Anonymity and confidentiality ...................................................................... 14
2.4.3 Analysis and reporting .......................................................................................... 14
2.5 Data collection ....................................................................................................... 15
2.5.1 Set Climate for the Project ............................................................................. 15
2.5.2 Sample .............................................................................................................. 15
2.5.3 Data Collection process ...................................................................................... 17
2.5.4 Participation ........................................................................................................... 18
2.5.5 Limitations of the Study: ....................................................................................... 19
2.6 Data Analysis ................................................................................................................ 20
2.6.1 Analysis of quantitative data .............................................................................. 20
2.6.2 Analysis of qualitative data ................................................................................. 20
2.6.3 Focus groups .......................................................................................................... 20
2.6.4 Combined analysis ............................................................................................... 21
CHAPTER 3: RESULTS ....................................................................................................... 22
3.1 results for Human resource managers ...................................................................... 22
3.1.1 SECTION A: Functional expertise (HR managers) ............................................. 22
3.1.2 SECTION B: Leadership competence and personal work style (HR
managers) ....................................................................................................................... 23
3.1.3 SECTION C: Open-Ended Feedback for HR Managers .............................. 29
3.2 results for finance managers ................................................................................. 36
3.2.3 SECTION A: Functional expertise (Finance managers) ............................. 36
3.2.4 SECTION B: Leadership competence and personal work style (Finance
managers) ....................................................................................................................... 38
3.2.5 SECTION C: Open-ended Feedback for Finance Managers .................... 44
CHAPTER 4: FINDINGS AND RECOMMENDATIONS ..................................................... 49
Contents
CHAPTER 1: INTRODUCTION ............................................................................................ 8
PURPOSE OF THIS RESEARCH .................................................................................... 8 1.1
THE MANDATE OF THE PUBLIC SERVICE COMMISSION ......................................... 8 1.2
research OBJECTIVES ................................................................................................ 9 1.3
SCOPE ......................................................................................................................... 9 1.4
overview of Research process ................................................................................ 9 1.5
STRUCTURE OF REPORT ............................................................................................. 9 1.6
CHAPTER 2: PROJECT DESIGN AND METHODOLOGY ................................................ 10
2.1 Approach................................................................................................................. 10
2.2 The process followed in selecting the audit method ....................................... 11
2.3 Development of instruments ................................................................................. 12
2.4 Ethical Considerations ............................................................................................ 14
2.4.1 Voluntary participation ........................................................................................ 14
2.4.2 Anonymity and confidentiality ...................................................................... 14
2.4.3 Analysis and reporting .......................................................................................... 14
2.5 Data collection ....................................................................................................... 15
2.5.1 Set Climate for the Project ............................................................................. 15
2.5.2 Sample .............................................................................................................. 15
2.5.3 Data Collection process ...................................................................................... 17
2.5.4 Participation ........................................................................................................... 18
2.5.5 Limitations of the Study: ....................................................................................... 19
2.6 Data Analysis ................................................................................................................ 20
2.6.1 Analysis of quantitative data .............................................................................. 20
2.6.2 Analysis of qualitative data ................................................................................. 20
2.6.3 Focus groups .......................................................................................................... 20
2.6.4 Combined analysis ............................................................................................... 21
CHAPTER 3: RESULTS ....................................................................................................... 22
3.1 results for Human resource managers ...................................................................... 22
3.1.1 SECTION A: Functional expertise (HR managers) ............................................. 22
3.1.2 SECTION B: Leadership competence and personal work style (HR
managers) ....................................................................................................................... 23
3.1.3 SECTION C: Open-Ended Feedback for HR Managers .............................. 29
3.2 results for finance managers ................................................................................. 36
3.2.3 SECTION A: Functional expertise (Finance managers) ............................. 36
3.2.4 SECTION B: Leadership competence and personal work style (Finance
managers) ....................................................................................................................... 38
3.2.5 SECTION C: Open-ended Feedback for Finance Managers .................... 44
CHAPTER 4: FINDINGS AND RECOMMENDATIONS ..................................................... 49
Page 7 of 64
4.1 Senior Human Resource managers ...................................................................... 49
4.1.2 Survey Findings ................................................................................................. 49
4.1.3 Focus group findings and analysis – Human Resource Management .... 51
4.2 Finance ..................................................................................................................... 54
4.2.1 Survey Findings ................................................................................................. 54
4.2.2 Focus group findings and analysis – Financial Management ................... 55
CHAPTER 5: CONCLUSION ............................................................................................ 60
ACKNOWLEDGEMENTS .................................................................................................. 62
REFERENCES .................................................................................................................... 63
ANNEXURES:
A. 360° Questionnaire for Human Resource Managers (self)
B. 360° Questionnaire for Human Resource Managers (others)
C. 360° Questionnaire for Finance Managers (self)
D. 360° Questionnaire for Finance Managers (others)
E. Results for Human Resource Managers
F. Results for Finance Managers
4.1 Senior Human Resource managers ...................................................................... 49
4.1.2 Survey Findings ................................................................................................. 49
4.1.3 Focus group findings and analysis – Human Resource Management .... 51
4.2 Finance ..................................................................................................................... 54
4.2.1 Survey Findings ................................................................................................. 54
4.2.2 Focus group findings and analysis – Financial Management ................... 55
CHAPTER 5: CONCLUSION ............................................................................................ 60
ACKNOWLEDGEMENTS .................................................................................................. 62
REFERENCES .................................................................................................................... 63
ANNEXURES:
A. 360° Questionnaire for Human Resource Managers (self)
B. 360° Questionnaire for Human Resource Managers (others)
C. 360° Questionnaire for Finance Managers (self)
D. 360° Questionnaire for Finance Managers (others)
E. Results for Human Resource Managers
F. Results for Finance Managers
Page 8 of 64
CHAPTER 1: INTRODUCTION
PURPOSE OF THIS RESEARCH 1.1
This research takes the form of a skills audit and focuses on a specific cadre of
senior managers – those responsible for Human Resources and Financial
Management in a department. The study aims to highlight the critical skills and
knowledge aspects related to these respective portfolios in order to assure high
performance. These functional areas have also been cited in numerous Auditor-
General reports as being crucial to the efficiency levels of state institutions.
Reports of the Public Service Commission also point to the critical nature of
Human Resources and Financial Management in state organizations [the same
can be concluded of all other organizations whether private or public]. In
particular, the National Development Plan speaks of a capable state that is
endowed with a workforce that is appropriately skilled and fully professionalized.
This is one of the success factors in growing the economy and ensuring social
justice for all citizens of South Africa.
The target group for the study is public service senior managers, from Director to
Deputy Director-General level [i.e. post levels 13 to 15], given both the strategic
and operational roles of these functional areas. This research aimed to better
understand where senior managers within the Human Resource (HR) and
Financial Management functions in the Western Cape Provincial Government
are, in terms of the required knowledge, experience, skills and competencies for
their respective portfolios, performing as per or above expectation to further
enhance their functions. Being a process for measuring and recording the skills
of an individual or group (Watson, 2004), the study is considered a skills audit.
The report discusses the process that was followed to carry out this project, the
methodology used, the findings of the audit, and presents recommendations
based on the findings.
THE MANDATE OF THE PUBLIC SERVICE COMMISSION 1.2
Section 196 (4) (b) of the Constitution, 1996, read in conjunction with Sections 9
and 10 of the Public Service Commission‟s Act, 1997, mandates the PSC to
investigate, monitor and evaluate the organization and administration, and
personnel practices in the Public Service. This project therefore falls within the
mandate of the PSC.
CHAPTER 1: INTRODUCTION
PURPOSE OF THIS RESEARCH 1.1
This research takes the form of a skills audit and focuses on a specific cadre of
senior managers – those responsible for Human Resources and Financial
Management in a department. The study aims to highlight the critical skills and
knowledge aspects related to these respective portfolios in order to assure high
performance. These functional areas have also been cited in numerous Auditor-
General reports as being crucial to the efficiency levels of state institutions.
Reports of the Public Service Commission also point to the critical nature of
Human Resources and Financial Management in state organizations [the same
can be concluded of all other organizations whether private or public]. In
particular, the National Development Plan speaks of a capable state that is
endowed with a workforce that is appropriately skilled and fully professionalized.
This is one of the success factors in growing the economy and ensuring social
justice for all citizens of South Africa.
The target group for the study is public service senior managers, from Director to
Deputy Director-General level [i.e. post levels 13 to 15], given both the strategic
and operational roles of these functional areas. This research aimed to better
understand where senior managers within the Human Resource (HR) and
Financial Management functions in the Western Cape Provincial Government
are, in terms of the required knowledge, experience, skills and competencies for
their respective portfolios, performing as per or above expectation to further
enhance their functions. Being a process for measuring and recording the skills
of an individual or group (Watson, 2004), the study is considered a skills audit.
The report discusses the process that was followed to carry out this project, the
methodology used, the findings of the audit, and presents recommendations
based on the findings.
THE MANDATE OF THE PUBLIC SERVICE COMMISSION 1.2
Section 196 (4) (b) of the Constitution, 1996, read in conjunction with Sections 9
and 10 of the Public Service Commission‟s Act, 1997, mandates the PSC to
investigate, monitor and evaluate the organization and administration, and
personnel practices in the Public Service. This project therefore falls within the
mandate of the PSC.
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