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Examining the underrepresentation of African Americans in the Senior Executive Service within the United States federal government’s civilian workforce
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Content
EXAMINING THE UNDERREPRESENTATION OF AFRICAN AMERICANS IN THE
SENIOR EXECUTIVE SERVICE WITHIN THE UNITED STATES FEDERAL
GOVERNMENT’S CIVILIAN WORKFORCE
by
Radhiyah I. Miller-Smith
A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION
December 2020
Copyright 2020 Radhiyah I. Miller-Smith
ii
DEDICATION
I dedicate this degree to my numerous African ancestors from Nigeria, Mali,
Cameroon/Congo, Senegal, and Benin/Togo, who were forced into the bondages of slavery in an
effort to build an America where your descendants are still not fully accepted. I acknowledge and
pay homage to all of my South Carolinian ancestors who struggled through servitude,
sharecropping, and the segregations of the Jim Crow era.
To my father, a hardworking United States Postal service retiree and Army veteran, who
served as my first example of what it meant to be a college graduate. I am grateful for your
bravery to leave the segregated South to build your family in Brooklyn, New York. I honor my
foundation and I pray my accomplishments have made you proud.
To my three children and granddaughter, you have always served as my sole inspiration. I
fought to become a better version of myself in order to be your greatest role model of what
“doing the right thing at all times” looks like. You each have greatness in you, despite your
stumbles…embrace your greatness, then, go forth and be great!
To my husband, I applaud your twenty-two years of faithful service to the United States
Marine Corps and support to accomplish this feat. Thank you.
To all those numerous, unnamed family and friends, I offer a special THANK YOU for
the support, love, laughter, and encouragement throughout my life and through this educational
journey. Lastly, to all my fellow cohort members, Cohort 11, your friendship has been priceless
and I shall treasure it forever. Thank you for the laughter, conversations, guidance,
encouragement, and the everyday life lessons you taught me.
iii
ACKNOWLEDGEMENTS
First and foremost, I would like to give to my Lord and Savior Jesus Christ who gave me
the fortitude to successfully complete this work despite the dark moments and challenging times.
Through Him, all things are possible and without Him I would have never been able to achieve
this (Philippians 4:13). I would also like to extend my appreciation and gratitude to my
committee chair, Dr. Jennifer L. Phillips. Thank you for providing your guidance, patience,
wisdom, and corrections. Thank you for also lending an ear during difficult times. To my
committee members, Dr. Helena Seli and Dr. Michael Nichols, thank you for your time and
valuable input as it guided me to produce a better dissertation product.
iv
TABLE OF CONTENTS
DEDICATION ................................................................................................................................ ii
ACKNOWLEDGEMENTS ........................................................................................................... iii
LIST OF TABLES ........................................................................................................................ vii
LIST OF FIGURES ...................................................................................................................... viii
ABSTRACT ................................................................................................................................... ix
CHAPTER ONE: INTRODUCTION ............................................................................................. 1
Introduction of the Problem of Practice ...................................................................................... 1
Organizational Context and Mission ........................................................................................... 2
Organizational Performance Status ............................................................................................. 3
Related Literature ........................................................................................................................ 3
Importance of Addressing the Problem ....................................................................................... 6
Organization Performance Goal .................................................................................................. 6
Description of Stakeholder Groups ............................................................................................. 7
Stakeholder Group for the Study ................................................................................................. 8
Stakeholder Performance Goals .................................................................................................. 9
Purpose of the Project and Questions ........................................................................................ 10
Methodological Framework ...................................................................................................... 11
Definitions ................................................................................................................................. 12
Organization of the Project ........................................................................................................ 13
CHAPTER TWO: REVIEW OF THE LITERATURE ................................................................. 14
Influences on the Problem of Practice ....................................................................................... 14
Hiring Practices ..................................................................................................................... 14
Unconscious Biases and Perceptions ..................................................................................... 16
Understanding Unconscious and Implicit Bias ..................................................................... 16
Impacts of Unconscious and Implicit Bias ............................................................................ 17
White Privilege ...................................................................................................................... 19
Mentoring Programs .............................................................................................................. 20
Congressional Mandates Addressing Diversity ..................................................................... 21
Role of Stakeholder Group of Focus ......................................................................................... 22
Clark and Estes’ Knowledge, Motivation and Organizational Influences Framework ............. 23
Stakeholder Knowledge, Motivation, and Organizational Influences ....................................... 23
Knowledge and Skills ................................................................................................................ 24
Developing Factual Knowledge: Requirements and Resources ............................................ 25
Developing Procedural Knowledge: Hiring Process ............................................................. 27
Developing Metacognitive Knowledge: Personal Abilities .................................................. 28
Motivation ................................................................................................................................. 31
Self-Efficacy Theory ............................................................................................................. 32
Interest in Competing ............................................................................................................ 33
Value of Persisting ................................................................................................................ 33
Organization .............................................................................................................................. 35
Cultural Models: Closed system ............................................................................................ 36
Cultural Settings: Policy and Practice ................................................................................... 40
Conceptual Framework: The Interaction of Stakeholders’ Knowledge and Motivation and the
Organizational Context .............................................................................................................. 43
v
Relationship Between Knowledge, Motivation, and Organizational Influencers ................. 45
CHAPTER THREE: METHODS .................................................................................................. 47
Purpose of the Project ................................................................................................................ 47
Research Questions ................................................................................................................... 47
Participating Stakeholders ......................................................................................................... 47
Interview Sampling Criterion and Rationale ......................................................................... 48
Interview Sampling (Recruitment) Strategy and Rationale ................................................... 48
Data Collection and Instrumentation ......................................................................................... 51
Interviews .................................................................................................................................. 51
Interview Protocol ................................................................................................................. 51
Interview Procedures ............................................................................................................. 52
Documents and Artifacts ........................................................................................................... 53
Data Analysis ............................................................................................................................. 54
Credibility and Trustworthiness ................................................................................................ 55
Ethics ......................................................................................................................................... 55
CHAPTER FOUR: FINDINGS .................................................................................................... 58
Introduction ............................................................................................................................... 58
Participating Stakeholders ......................................................................................................... 58
Data Collection .......................................................................................................................... 61
Interviews .............................................................................................................................. 61
Documents and Artifacts ....................................................................................................... 62
Knowledge Influence Findings .................................................................................................. 63
Findings Related to Declarative Knowledge ......................................................................... 64
Findings Related to Procedural Knowledge .......................................................................... 66
Findings Related to Metacognitive Knowledge .................................................................... 67
Motivation Influence Findings .................................................................................................. 68
Findings Related to Interest ................................................................................................... 69
Findings Related to Task and Utility Expectancy Value ....................................................... 72
Findings Related to Emotions ............................................................................................... 74
Findings Related to Self-Efficacy ......................................................................................... 76
Organizational Influence Findings ............................................................................................ 78
Findings Related to Cultural Models ..................................................................................... 80
Findings Related to Cultural Settings .................................................................................... 85
Summary of Influences .............................................................................................................. 90
CHAPTER FIVE: FINDINGS ...................................................................................................... 93
Introduction and Overview ........................................................................................................ 93
Knowledge Recommendations .................................................................................................. 93
Sustaining Declarative Knowledge Through Training .......................................................... 94
Motivation Recommendations ................................................................................................... 96
Increasing Interest to Compete for SES positions ................................................................. 98
Increasing Task and Utility Expectancy Value of Persisting for SES positions ................. 100
Creating Positive Emotions for African Americans GS-14 and GS-15 Members .............. 102
Organization Recommendations ............................................................................................. 103
Cultivating Positive Cultural Models Through A Culture of Trust ..................................... 105
Improving Cultural Settings by Creating Targeted Mentorship Programs ......................... 107
Integrated Implementation and Evaluation Plan ..................................................................... 109
vi
Organizational Purpose, Need and Expectations ..................................................................... 110
Level 4: Results and Leading Indicators ................................................................................. 111
Level 3: Behavior .................................................................................................................... 112
Critical Behaviors ................................................................................................................ 112
Required Drivers ................................................................................................................. 114
Organizational Support ........................................................................................................ 115
Level 2: Behavior .................................................................................................................... 117
Learning Goals .................................................................................................................... 117
Program ............................................................................................................................... 118
Evaluation of the Components of Learning ......................................................................... 119
Level 1: Reaction ..................................................................................................................... 122
Evaluation Tools .................................................................................................................. 123
Immediately Following the Program Implementation ........................................................ 123
Delayed for a Period After the Program Implementation .................................................... 124
Data Analysis and Reporting ............................................................................................... 125
Summary .................................................................................................................................. 126
Limitations and Delimitations ..................................................................................................... 127
Implications for Practice .............................................................................................................. 128
Future Research ........................................................................................................................... 129
Conclusions ................................................................................................................................. 131
References ................................................................................................................................... 134
Appendix A Information Sheet for Exempt Research ................................................................. 149
Appendix B Survey Protocol ....................................................................................................... 151
Appendix C Interview Protocol ................................................................................................... 153
Appendix D Document Analysis Protocol .................................................................................. 156
Appendix E Sample Evaluation Survey Immediately Following Workshop .............................. 157
Appendix F Sample Evaluation Survey Immediately Following Workshop .............................. 158
vii
LIST OF TABLES
Table 1 Stakeholder Groups’ Performance Goals ......................................................................... 10
Table 2 Knowledge Influence, Knowledge Types, and Knowledge Assessment for Analysis ..... 30
Table 3 Motivational Influences and Motivational Influences Assessments ................................ 35
Table 4 Assumed Organizational Influences and Organization Influence Assessment ................ 42
Table 5 Summary of Participants: Professional Experience & SES Interest ................................ 61
Table 6 Summary of Knowledge Assumptions and Findings ....................................................... 64
Table 7 Summary of Motivational Influences and Evaluation Results ......................................... 69
Table 8 Participants Comments About Self-Efficacy ................................................................... 77
Table 9 Summary of Organization Influences and Evaluation Results ......................................... 79
Table 10 Participants Comments on Employee Evaluations ......................................................... 89
Table 11 Summary of Knowledge Influences and Recommendations .......................................... 94
Table 12 Summary of Motivation Influences and Recommendations .......................................... 97
Table 13 Summary of Organization Influences and Recommendations ..................................... 104
Table 14 Outcomes, Metrics, and Methods for External and Internal Outcomes ....................... 111
Table 15 Critical Behaviors, Metrics, Methods, and Timing for Evaluation .............................. 113
Table 16 Required Drivers to Support Critical Behaviors .......................................................... 114
Table 17 Evaluation of the Components of Learning for the Program ....................................... 121
Table 18 Components to Measure Reactions to the Program ..................................................... 123
viii
LIST OF FIGURES
Figure 1. Conceptual Framework .................................................................................................. 45
Figure 2. Bar Graph of Gender ...................................................................................................... 59
Figure 3. Interviewee Pay Level Variations by Gender ................................................................ 60
Figure 4. Summary of Validated Findings .................................................................................... 81
Figure 5. Measuring the Effectiveness of the Workshop on Preparing a More Competitive ECQ
Package ........................................................................................................................................ 126
ix
ABSTRACT
Although the United States Federal Civilian Workforce has made intentional progress towards
achieving diversity, there is still an underrepresentation of African American Senior Executive
Service (SES) Corps members when compared to the overall African American population in the
United States as a whole. The purpose of this study is to uncover the knowledge, motivation, and
organizational (KMO) influences that contribute to the underrepresentation of African American
SES members. The KMO model for this study is outlined by the Clark and Estes’ (2008) Gap
Analysis conceptual framework. This study analyzes underlined reasons why qualified African
American GS-14 and GS-15s are not competing for SES Corps positions. The stakeholder group
for this qualitative study are African Americans who hold positions of either GS-14 or GS-15.
The methodology used by the researcher to investigate influences included interviews and
document analysis. Recommendations include a comprehensive implementation and
improvement plan based on the study’s findings. The recommendations may assist the federal
civilian workforce understand how to increase the percentage of African Americans SES Corps
members, thus leading to more diversity within executive leadership positions.
1
CHAPTER ONE: INTRODUCTION
Introduction of the Problem of Practice
Leadership within the United States (U.S.) federal government’s civilian workforce
continually faces the accountability issue of increasing diversity in the Senior Executive Service
(SES) Corps and the overall civilian workforce (U. S. Government Accountability Office
[GAO], 2003). According to the U.S. Office of Personnel Management’s (OPM), lack of
representation in SES appointments has a negative impact on African Americans, who represent
only 11% of SES Corps members while other minority groups represent less than 9%. These
statistics support the need for improvement, specifically for African Americans to compete and
advance into SES Corps positions in the federal government’s civilian workforce (OPM, 2018b).
As stated in the OPM’s Office of Diversity and Inclusion’s (OPM ODI, 2016)
Government-wide Inclusive Diversity Strategic Plan 2016 (The Plan), the goal to hire and retain
a workforce reflective of all corners of society has not manifested. Although the federal
government has been diligent in attempts to increase diversity throughout the workforce (GAO,
2003), the evidence highlights that the hiring goals from OPM’s strategic plan for fiscal year
2018 – 2022 are not being met. The Government Performance and Results Act (GPRA, 2010)
Modernization Act of 2010 reflected that, as a result of unachieved hiring goals, the federal
civilian workforce loses skilled and diverse SES Corps candidates to other professional
organizations, institutions, and corporations. This study addressed the accountability issues and
ways of improving the underrepresentation of African Americans in the SES Corps within the
federal government’s civilian workforce.
2
Organizational Context and Mission
The SES, also referred to as America’s National Asset, is an employee classification
within the career civil service ranks of the United States federal government reporting to
presidential appointees and serving as a buffer between those appointees and the civilian
workforce (EEOC, 1978). According to the OPM (2018a), SES ranks are comparable to the
military’s active duty commissioned officers. The program is an executive personnel program
made up of career employees, established under the Civil Service Reform Act of 1978 (CSRA)
to “ensure that the executive management of the Government of the United States is responsive
to the needs, policies, and goals of the Nation and otherwise is of the highest quality” (EEOC,
1978). Under the CSRA (1978), SES Corps members were designed to be the elite leaders of the
civilian workforce, with the highest leadership skills and the greatest understanding of the federal
government. SES members span across several agencies worldwide, including include the
Department of Health & Human Services, Department of Justice, and Department of Defense,
and serve as a crucial connection between the general schedule/general series (GS) federal
workforce [pay grades (the system to define and categorize jobs within the federal government)
15 and below] and presidential appointees (OPM 2018).
As stated by OPM (n.d.a), of the SES appointments, these executive leaders expand
across 75 federal agencies with the vast majority found within the Department of Defense (DoD)
agencies. Overall, their role is not to be independent advisors or technical experts, but to only
function as leaders. SES positions are either general or career reserved appointments, with career
appointments reserved for federal career employees who are promoted from GS levels. Thus, of
the 7,800 SES positions (OPM, 2016), approximately 7,000 are occupied by SES career
appointees. Of all current SES Corps members, OPM’s demographic report supports the
3
underrepresentation of African Americans (OPM, n.d.a). A 2014 OPM report states that only 859
African Americans hold SES positions. This number represents 11% of the total of SES Corps
members. Meanwhile, people who either identify as European American, Caucasian, or White,
hold 6,193 SES Corps positions out of 7,800. The other 9% is occupied by other minority or
unspecified ethnic groups. With a total of 6,193 out of 7,800 (80%) of SES members who
identify as European Americans, this ethnic group holds the highest number of SES Corps
positions.
Organizational Performance Status
The organizational performance problem at the root of this study is the
underrepresentation of African Americans in the SES Corps within the U.S. Federal
Government’s Civilian Workforce. According to statistics provided by the OPM (2018), African
Americans make up 11% of the SES Corps members. Based on the goals listed in The Plan
(OPM ODI, 2016), the current representation of African Americans is 2% lower than the national
average of African Americans of 42,531,766 of 327,167,434 United States citizens (USCB,
2018). This gap demonstrates the need for the organization to continue its efforts to increase
diversity by hiring and retaining a workforce reflective of all corners of society.
Related Literature
A review of the literature reveals gaps relating to diversity goals established by the OPM
and the actual percentage of African American senior executive leaders appointed to or
successfully competing for SES leadership positions (Berry, 2009; House Subcommittee on the
Federal Workforce, Postal Service, and the District of Columbia, and the Senate Subcommittee
on Oversight of Government Management, the federal workforce, and the District of Columbia,
2008; Davidson, 2018; GAO 2003; Trenerry & Paradies, 2012). These disparaging racial gaps
4
are not exclusive to the SES Corps. Despite laws largely banning racial discrimination in the
mid-20th century, like Title VII of the Civil Rights Act of 1964, the effects of racism, outward or
implied, are still felt today. As of 2019, there are only three African American CEOs in Fortune
500 companies (Hymowitz, 2016; Parker et al., 2012). To add perspective, Fortune 500
companies represent two-thirds of the gross domestic product with $13.7 trillion in revenues,
$1.1 trillion in profits, $22.6 trillion in market value and employ over 28.7 million people; yet
the number of African Americans in senior executive leadership positions is about one ten-
millionth (1.0E-5) of a percent.
The benefits of having diversity in the senior executive positions have been a continual
topic followed by different government initiatives and programs. Through a government-wide
recruitment program established under former President G.W. Bush, an initiative was
implemented to expand the presence of minorities, women, and people with disabilities
competing for senior executive positions in the civil service. This initiative was established in
2003 under the SES Candidate Development Program (Barr, 2003). However, when reviewed in
2008 by the president of the African American Federal Executive Association (AAFEA), it was
reported that the underrepresentation of African Americans and other minority groups remained
unchanged (House Subcommittee on the Federal Workforce, Postal Service, and the District of
Columbia, and the Senate Subcommittee on Oversight of Government Management, the federal
workforce, and the District of Columbia, 2008). During congressional subcommittee testimony
in 2008, Mr. William Brown, Sr., president of AAFEA, reported that only 9% of the
approximately 6,000 career SES members were African Americans (House Subcommittee on the
Federal Workforce, Postal Service, and the District of Columbia, and the Senate Subcommittee
on Oversight of Government Management, the federal workforce, and the District of Columbia,
5
2008). According to Miller (2013), the efforts of the Obama Administration and Congress
produced an increase of African American SES members who occupied career SES positions.
The slight increase boosted the number of African American SES members from 794 to 829
from 2012 to 2013.
Notwithstanding, the advancements achieved by African Americans SES members have
been progressive. Between 2011 and 2013, the number of African Americans in career SES
positions rose 1% from nine to 10% even though the overall number of SES positions decreased
from 8,004 to 7,914. The year 2014 saw another one percent increase, from the previous year
(2013 to 2014), despite another overall decrease in the total number of SES positions (7,914 to
7,802). However, historical demographics provided by OPM’s Federal Equal Opportunity
Recruitment Program (FEORP) report to Congress showed that the representation of minorities
in the SESs remained the same between 2014 and 2016, at 11% (FEORP, 2018). With the total
percent of the United States population being 13% African American, this means the needle
towards full representation only needs to move by 2%. This 2% would mean an increase of
roughly 190 career SES individuals who were African American.
Outcomes from this study help establish an understanding of the factors that contribute to
the lack of African Americans at the SES level, including knowledge, motivation, and
organizational culture (Pajares, 2006). It also furnished information which African Americans
interested in obtaining SES leadership positions may find helpful. This knowledge included the
examination of negative self-efficacy and ways to create positive self-efficacy. (Murphy, 2017;
Stevens, Plaut, & Sanchez-Burks, 2008).
6
Importance of Addressing the Problem
The problem of practice is important to address for a multitude of reasons. Although the
research showed that several researchers, government agencies, congressional reports, and public
laws support and even mandate efforts to improve diversity among the employee civilian
workforce, the federal government is still challenged in its efforts to diversify its workforce,
specifically as it relates to African Americans in the SES Corps. According to Berry (2009), the
entire federal civilian workforce should reflect the diversity of the United States of America.
With more than 50% of existing SES appointments retiring by 2023 (GAO, 2003), the federal
government has an opportunity to improve diversity in its leadership ranks. The empirical
evidence presented in this dissertation implied that the federal government recognizes there are
issues as it relates to diversity. Through the implementation of laws and revised hiring practices,
the government is working to increase diversity to ensure their workforce mirrors the society in
which we live (Berry, 2009; OPM ODI, 2016; GAO, 2003; OPM, 2016; The White House,
2011). As then-president Obama stated, “Our Nation derives strength from the diversity of its
population and from its commitment to equal opportunity for all. We are at our best when we
draw on the talents of all parts of our society, and our greatest accomplishments are achieved
when diverse perspectives are brought to bear to overcome our greatest challenges” (The White
House Office of the Press Secretary, 2011, p. 16).
Organizational Performance Goal
By December 2020, the number of African American SES Corps members will increase
by 2%, reflecting the national percentage of African Americans in the United States. This
organizational performance goal is crucial for the federal government as both the Nation’s
largest employer and as supported by regulation, such as The Plan (OPM ODI, 2016) and the
7
Strategic Plan issued for fiscal years 2018 through 2022 (ODI, 2018). OPM’s strategic plans are
built on goals set by the GPRA of 2010 (GPRA, 2010) that mandates the improvement of the
hiring process to attract and retain the best employees. Phase II of the government-wide
Inclusive Diversity Strategic Plan 2016 (ODI, 2016) specifically addresses the importance of a
transparent human capital process to increase inclusivity and diversity. As a result of this
research, the organizational goal established for this study is to increase the percentage of
African American SES Corps members from 11% to 13% by December 2020. The benefit of
reaching this organizational performance goal is an SES Corps that better reflects the percentage
of African Americans in the United States.
Description of Stakeholder Groups
According to Ginter et al. (1989), analyzing the stakeholder is constructed on the
conviction that a reciprocal relationship exists between the organization of study and certain
groups and/or individuals. This dissertation sought to explore influences on the lack of diversity
in the SES Corps as experienced by the members of the stakeholder group. The members of
these groups are considered the stakeholders, as they have a claim or benefit in decisions’
outcomes. The possible stakeholder groups for this study are the SES hiring officials, current
African American SES Corps members, and African American federal civilian employees who
currently hold a position covered by the GS pay band level of 14 or 15.
The first group, SES hiring officials, are stakeholders because their hiring practices and
decisions have a direct impact on the percentage of African Americans in the SES Corps and
could hinder diversity improvements if any racial biases exist during the interview and selection
process. Even in instances where racial bias may not exist overtly, hiring officials must be
cognizant of their existence or the existence of any statistical biases that negatively affect the
8
hiring process and decisions. Baumle and Fossett (2005) describe statistical discrimination as the
beliefs of the decision-makers grounded in “valid inferences about productivity and risk”
(p. 1251) that sway hiring decisions. As for the current 11% of African American SES Corps
members as stakeholders, there may be minimal vested interest in accomplishing the goal since
they already occupy SES positions; however, their mentorship is a key resource for those hopeful
of becoming members. Ultimately, the larger vested interest lies with the federal civilian
employees who currently hold a GS level of 14 or 15. Each current African American SES Corps
member can contribute increasing diversity by providing mentorship to aspiring candidates and
sharing their experiences, both as former SES candidates and current Corps members who may
experience day-to-day struggles. Lastly, African American GS-14 and GS-15s are instrumental
contributors to the achievement goals through their pursuit of becoming SES Corps members.
Each of the members from these groups affects the overall organizational goal and the specific
stakeholder goal of this study.
Stakeholder Group for the Study
Although a complete analysis would involve all stakeholder groups, for practical
purposes, this study only used African American federal civilian employees who were currently
at a GS level of 14 or 15 for the stakeholder group. During the initial analysis of the problem of
practice, this stakeholder group was selected because many in this group are qualified to begin
preparing to compete for entry into the SES Corps level. The most common method used by
OPM to determine job grades of non-supervisory positions under the GS is the factor evaluation
system (FES), which is comprised of nine factors and associated subfactors. The FES Inclusive
works with The Primary Standard as a framework as assigning point values to all GS levels
(OPM, 1991). Some of the factors and points assigned include a review of the overall knowledge
9
of the position, the complexity of the required assignments, and the supervisory controls
involved. Federal employees at the GS-14 and GS-15 levels are considered by OPM to be part of
the professional series and have strict educational requirements, mostly graduate level, and are
required completely understand training and theory concepts. Their role and responsibilities vary
by agency, they but are mostly supervisors or technical scientists (university professor level
equivalent) whose role is to supervise up to 100 employees. Additionally, they are tasked with
accepting or rejecting of lower-level employees’ day-to-day work and associated direct reports’
performance reviews.
Stakeholder Performance Goals
The goal for the stakeholder group of focus is to increase the number of African
American GS-14 and GS-15s appointed to and competing for SES appointments. Table 1 shows
the organizational mission, organizational goal, and stakeholder goals for this study.
10
Table 1
Stakeholder Groups’ Performance Goals
Organizational Mission
Ensure that the executive management of the Government of the United States is responsive to the needs,
policies, and goals of the Nation and otherwise is of the highest quality.
Organizational Performance Goal
By December 2020, the number of African American Senior Executive Service (SES) Corps members
will increase by 2%, reflecting the national percentage of African Americans in the United States.
Stakeholder 1
SES Hiring Officials
To accomplish the SES
organizational performance
goal, hiring officials need to
understand the importance of
recruiting, hiring, and retaining
a diverse workforce by analyzing
candidates without a lens of
bias.
Stakeholder Goal 2
Current African Americans SES
members
To accomplish the SES
organizational performance
goal, the current African
Americans SES members need to
understand the value of
providing direct mentorship to
GS-14 & GS-15 members
interested in achieving the SES
appointments.
Stakeholder Goal 3*
African American
GS-14 & GS-15
African American GS-14 & GS-
15 members successfully
compete for SES appointments.
Purpose of the Project and Questions
The purpose of this project is to conduct a gap analysis to identify the knowledge,
motivation, and organizational influences that may interfere with African American GS-14 &
GS-15s successfully competing for SES appointments. The analysis began by generating a list of
possible or assumed interfering influences that was examined systematically to focus on actual or
validated interfering influences. While a complete gap analysis would focus on all stakeholders,
only African American federal civilian employees who are currently at the GS-14 or GS-15 level
are identified as the stakeholders to be focused on in this analysis.
11
The following questions guided the gap analysis that addresses the knowledge and skills,
motivation, and organization causes and solutions for the stakeholders.
1. What is GS-14 and GS-15 African American’s knowledge and motivation related to
successfully competing for SES Corps positions?
2. What is the interaction between organizational culture and context and GS-14 and GS-15
African Americans’ knowledge and motivation related to African Americans successfully
competing for SES Corps positions?
3. What are the recommendations for organizational practice in the areas of knowledge,
motivation, and organizational resources related to increasing the percentage of African
Americans successfully competing for SES Corps positions?
Methodological Framework
Clark and Estes’ (2008) gap analysis, a systematic, analytical method that helps to clarify
organizational goals and identify the gap between the actual performance level and the preferred
performance level within an organization, was implemented. Assumed influences pertaining to
knowledge, motivation, and organizational elements was generated based on personal knowledge
and related literature. These elements were validated using interviews and document and artifact
analysis. Research-based solutions was recommended and evaluated comprehensively.
This study’s research methodology approach and rationale include considerations for the
rationale for the research approach, a description of the research sample, a summary of
information needed, an overview of research design, the methods of data collection as well as
analysis and synthesis, ethical considerations, issues of trustworthiness, and limitations of the
study. The research culminated with a findings and recommendations.
12
McEwan and McEwan (2003) described qualitative research as a tool to assemble data. It
includes techniques like observations, interviews, and document analysis. The purpose of
qualitative research is to scrutinize situations, allowing the researcher to gain a better
understanding. Within the framework of this qualitative study, the methodology included
interviews and document and artifact analysis. These inductive methods enable the researcher to
view the problem from the perspective of the subject (Creswell & Creswell, 2018).
Definitions
African Americans or Black: An official racial category of individuals who have origins
in any of the Black racial groups of Africa (OMB ODI, 2018). The terms may be used
interchangeably.
Diversity: The inclusion of people of different races or cultures in a group or
organization.
European Americans or White: These terms define Americans who descend from
European countries (OMB ODI, 2018). The terms may be used interchangeably.
Federal Government Civilian Workforce: persons employed (non-elected, non-military,
not public sector) by the United States of America’s federal government’s departments and
agencies (OPM, 2018a).
General Series/Schedule: a classification system used by the OPM which defines white-
collar jobs in the federal government. Such positions are covered by the federal wage system. It
includes a range of levels of difficulty and responsibility for covered positions from grades GS−1
to GS−15. It is designated by “GS” for positions at all of these grade levels (OPM, 2018a).
Office of Personnel Management: an independent agency of the United States federal
government that manages the government’s civilian workforce (OPM, 2018a).
13
People of Color: Primarily used in the United States and Canada to describe any person
who is not White.
Unconscious and Implicit Bias: Unconscious bias refers to the attitudes or stereotypes
that affect our understanding, actions, and decisions in an unconscious manner (Kirwin Institute
for the Study of Race and Ethnicity, 2015).
Senior Executive Service (SES) Corps: an employee classification within the career civil
service ranks of the United States federal government who report to Presidential appointees and
serve as a buffer between those political appointees and the civilian workforce (OPM, 2018a).
Organization of the Project
Five chapters are used to organize this study. This chapter provided the reader with the
key concepts and terminology commonly found in a discussion about the accountability issue of
the underrepresentation of African Americans in the SES within the U.S. federal government’s
civilian workforce and how to achieve the goal of increasing the number of GS-14 and GS-15s
appointed to and competing for SES positions. The organization’s mission, goals, and
stakeholders as well as the initial concepts of gap analysis were introduced. Chapter Two
provides a review of current literature surrounding the scope of the study. Topics include an
understanding of hiring practices, self-efficacy, and diversity were addressed. Chapter Three
detailed the assumed interfering knowledge, motivation and organizational elements as well as
methodology when it comes to the choice of participants, data collection, and analysis. In
Chapter Four, the data and results were assessed and analyzed. Chapter Five provided solutions,
based on data and literature, for closing the perceived gaps as well as recommendations for an
implementation and evaluation plan for the solutions.
14
CHAPTER TWO: REVIEW OF THE LITERATURE
Chapter Two provides an overview of the literature in context of the problem of practice.
It details that, despite legislation to increase diversity in the SES Corps, the government has
continually faced challenges to diversify it. The literature reviewed also focuses on the influence
the lack of diversity has on the organization as a whole and how it has been identified in past
presidential administrations. In latter sections of this chapter, the knowledge, motivational, and
organizational influences of African American GS-14 and GS-15 employees were examined.
Influences on the Problem of Practice
While Chapter One focused primarily on the impact of the problem of practice, Chapter
Two addressed the factors, variables, and causes that influence the problem of practice as defined
by the literature. Specific areas of influence include hiring practices, unconscious bias and
perceptions, the impact of White privilege, the lack of mentor programs, and the effect
congressional mandates have had on the increase of diversity in the SES Corps.
Hiring Practices
In 1978, the CSRA standardized the hiring practices for the SES Corps by creating
primary qualification requirements for all aspiring SES members (EEOC, 1978). Contrary to the
recruitment strategies of C-suite executives in major corporations where candidates are initially
vetted by search firms and executive recruiters (Ashkenas, 2010), the selection of aspiring SES
candidates is reviewed by an appointed OPM Qualifying Review Board (QRB). These QRBs are
independent boards administered by the OPM and consist of three existing SES members
responsible for certifying all SES candidates’ executive qualifications. To qualify to serve on
QRBs, members must be career appointees, and at least one of the members must have
previously served on a QRB. None of the three QRB members can represent the same agency as
15
the other QRB members (OPM, n.d.b). Since all QRB members are volunteers, there are limited
ways to ensure ethnic or gender diversity on the QRBs. Although executive core qualifications
(ECQs) and QRBs are pivotal parts of the review process for SES candidates, they are not the
only components of the hiring process.
Interested and qualified candidates for SES job vacancies can either apply directly
through the website for federal civilian jobs (USAjobs.gov) or they can apply to the hiring
federal agency’s SES candidate development program (SESCDP). A number of agencies utilize
these development programs; however, these programs are not available at all agencies.
Additionally, although SESCDP candidates who complete the program are excluded from further
competition once certified by the QRB, they are not guaranteed an SES position. Furthermore,
since each federal agency makes independent determinations regarding the desired qualifications
for their SES positions, several methods can be utilized to fill SES vacancies. Agencies can
decide to only consider current federal civilians, current federal civilians in that agency, reinstate
a former SES member, reassign a current SES member within the same agency, transfer a current
SES member from another agency, directly appoint an SESCDP graduate, or open the candidate
pool to all qualified aspirants, even those outside of the federal government (OPM, n.d.b). In
most cases, the first two options require the agency to post an announcement on USAjobs.gov.
However, if the position is determined to fall into the category of urgent or compelling (excepted
service), appointments may occur without being published on USAjobs.gov (OPM, n.d.b).
According to Ashkenas (2010), to increase success in hiring lasting executive C-suite
members, corporations should hire from within. This does not discount the benefit of gaining
fresh-thinking individuals, but it “should be the exception rather than the rule” (Ashkenas, 2010,
para. 6). The benefits of this thought process include growing morale by showing harder working
16
qualified candidates that their organization, corporation, or agency values their growth. The same
benefits exist for agencies within the federal government who hire qualified GS-14s and GS-15s
into SES vacancies. The OPM’s Senior Executive Service Report of Fiscal Year 2017 shows that
there were approximately 8,000 SES employees across the federal government, but it does not
reveal the percentage of these positions that were filled through promotions from the GS-14 or
GS-15 levels (OPM, 2017).
Unconscious Biases and Perceptions
Understanding Unconscious and Implicit Bias
According to Ohio State University’s Kirwin Institute for the Study of Race and Ethnicity
(2015), unconscious or implicit bias is also known as an implicit social cognition defined by
stereotypes or attitudes that have an impact on people’s understanding, response, and decisions
in an unconscious manner. Specific characteristics harbored in our subconscious include race,
ethnicity, age, sexual orientation, and appearance (Kirwin Institute for the Study of Race and
Ethnicity, 2015). These implicit associations develop throughout our lives, starting in childhood,
and are tied to the direct and indirect messages communicated from adult influencers. These
thoughts continue to be nurtured as we journey to adulthood by peers, college professors,
personal experiences, news outlets, and social media (Groysberg & Connolly, 2013; Kirwin
Institute for the Study of Race and Ethnicity, 2015).
These implicit biases are applicable in all professions and positions and may especially
be seen in positions such as judgeships or law enforcement where employees take an oath to be
impartial. The thoughts and decisions created by these unconscious or implicit biases are
triggered involuntarily and without the person’s awareness. In contrast, the decisions and actions
connected to known bias are activated intentionally but may be intentionally hidden due to the
17
individual’s effort to remain politically correct (Kirwin Institute for the Study of Race and
Ethnicity, 2015).
Impacts of Unconscious and Implicit Bias
Although the federal government remains committed to the concept of diversifying the
SES Corps, the influence of unconscious and implicit biases and the resulting perceptions of
African Americans have stalled OPM’s efforts to improve diversity in the federal sector.
Davidson (2018) points out that hiring decisions are negatively impacted by racial biases and
perceptions. According to Madigan (2019), these unconscious biases of leaders throughout the
federal government are thought to limit OPM’s ability to develop a workforce that reflects
society’s demographics. Davidson (2018) reports statistics that show, between 2015 and 2016,
all categories of minorities experienced shifts, with unconscious biases and perceptions possibly
playing a role. Hispanics, for example, make up 8.6% of federal employees but only 4% in the
SES Corps (Davidson, 2018). Asians, however, saw an increase in their representation in the
SES Corps from 3.2% to 3.5% (Davidson, 2018). Ultimately, African American SES Corps
members were the only people of color to experience reduced representation during the same
period, thus supporting the impact of unconscious biases and perceptions towards African
Americans. According to information revealed through the Freedom of Information Act through
the Equal Employment Opportunity Commission (EEOC), 108 complaints submitted pointed out
racial discrimination towards African Americans within the federal government civilian
workforce (EEOC, n.d.).
The impacts of implicit bias are not exclusive to diversifying the federal government’s
SES appointments. Elite universities like Ohio State University, University of California, San
Francisco, and Vanderbilt University have recommitted resources to their diversity and inclusion
18
offices to confront the impacts of unconscious biases and to develop strategies to combat its
impact on diversity and inclusion (Kirwin Institute for the Study of Race and Ethnicity, 2015;
University of California, San Francisco, n.d, Vanderbilt University, n.d.). Additionally, the
Centers for Disease Control (CDC) published research data that reports the influence of
unconscious bias in the medical field, specifically referring to pregnancy (Chuck, 2018).
CDC officials reported that, out of approximately 700 women who die annually from a
pregnancy or delivery complications, African American women are three to four more times
more likely than European American women to succumb to severe complications of postpartum
hemorrhaging, which is mostly a preventable and treatable complication in new mothers (Chuck,
2018). The subject in Chuck’s (2018) research spoke on the implicit bias she was subjected to by
her delivery room doctors and felt that, if this unconscious bias did not exist, she may have been
better prepared to notice the early signs of hemorrhaging which occurred one week after giving
birth to twins via cesarean section. Although the treating hospital, Mount Sinai, was unable to
comment on the specifics of the patient’s experience due to patient privacy laws, it does not
change the disproportionate maternal mortality rates among African American women
throughout maternity wards in the United States (Chuck, 2018).
In 1985, then Secretary of Health and Human Services, Margaret Heckler, issued a report
of the Secretary’s Task Force on Black and Minority Health which documented how racial and
ethnic health disparities had negatively impacted the African American experience, resulting in
more illnesses and higher mortality rates when compared with European Americans (Department
of Health and Human Services [DHHS], 1985). Since the Heckler Report 30 years ago, there
have been numerous efforts to advance healthcare for African Americans, yet the invisibility of
implicit biases still seems to hamper advancements (Centers for Medicare & Medicaid Services
19
[CMS], 2017). Reddy (as cited in Chuck, 2018) pointed out how implicit bias has had a
poisonous influence on African American health. She notes the “intersectionality of being both
African American and also being a woman” (Chuck, 2018, para. 14) and how these two factors
are creating preventable pregnancy-related deaths in African American women over European
American women. Medical offices nationwide face similar challenges as faced within the federal
government. Doctors, hiring officials, and leaders equally must continuously recognize their own
bias to overcome them and to prevent the microaggressions that can develop as a result of
unconscious biases.
White Privilege
People develop implicit mental models as members of any culture. In America, from the
establishment of its modern society, race has been a divider that continues to affect the culture.
McIntosh (1989) identified how racism can be taught only through the lens of “individual acts of
meanness” and not as the “invisible systems conferring dominance on my group” in which it
often reflects (McIntosh, 1989, p. 1). Through this approach, racism is placed into a proverbial
box that identifies a racist as only a person who is unkind and commits mean acts. This thought
pattern may cause some European Americans to experience a sense of relief that they are not one
of those types and also allows them to become unwilling to recognize the privilege that just
comes with being someone of European descent (McIntosh, 1989). Moreover, European
Americans may even deny the existence of White privilege and the reality of the benefits having
white skin offers. McIntosh (1989) equated this denial to the same level of denial experienced by
males with regards to male privilege.
White privilege, as described by McIntosh (1989), is an “invisible weightless knapsack of
special provisions, maps, passports, codebooks, visas, clothes, tools, and blank checks” made
20
available to those members of society who possess obvious descendants to Europeans (p. 1).
These advantages make a way for those society members to experience advantages that are not
automatically convened to non-members. Such advantages include employment opportunities,
homeownership in particular neighborhoods, education, and reduced sentences for criminal
offenses, among others (McIntosh, 1989; Rothman, 2014).
McIntosh (1989) lists 46 ways she experiences White privilege, including “Number 15: I
did not have to educate our children to be aware of systemic racism for their own daily physical
protection,” “Number 18: I can swear, or dress in secondhand clothes, or not answer letters,
without having people attribute these choices to the bad morals, the poverty, or the illiteracy of
my race,” and “Number 39: I can be late to a meeting without having the lateness reflect on my
race” (McIntosh, 1989, pp. 15–16). Implicit mental models, like White privilege, is a specific
example of how cultural models create barriers to qualified African American GS-14 and GS-15s
who are interested in competing for SES vacancies by enforcing a belief that they will not be
given a fair opportunity in comparison to their European American counterparts. These
oppressive beliefs manifest how mentoring programs and networking opportunities can increase
the number of qualified African American GS-14 and GS-15s competing for executive positions
within the federal government workforce.
Mentoring Programs
Mentoring and networking opportunities can also have a major impact on African
Americans preparing for senior leadership positions. These types of leadership development
programs can serve as key influencers when enhancing the personal and professional growth of
African Americans who desire to compete for SES leadership positions. Using mentorships as a
growth tool may be provide the GS-14s and GS-15s role-modeling behavior, guidance, and
21
support from existing African American SES members who can offer information on how to
home in on their individual and intellectual skills to create opportunities for advancement. Cobbs
and Turnock (2003) found that, in corporate environments, African Americans who had mentors,
either formal or informal, experienced faster salary and compensation growth than their
counterparts who did not have mentors. One substantial benefit these mentors offer is an
insider’s view of the organization. The existing SES members would be able to share with their
mentees the unspoken organizational doctrines which are pivotal to navigating their careers into
senior leadership positions and to understanding how to handle racial discrimination when it is
displayed (Reed-Woodward, 2006).
Congressional Mandates Addressing Diversity
Over the past few years, Congress, under the direction of various presidential
administrations, has acknowledged the need for legislation to diminish the underrepresentation of
African Americans in the SES Corps. For example, House Resolution 2721 (H.R. 2721) was
introduced in 2009 by U.S. Representative Danny Davis of Illinois’s 7th Congressional District
(Senior Executive Service Diversity Assurance Act, 2009). The 2009 resolution included the
Senior Executive Service Diversity Assurance Act, which required the establishment of the SES
Resource Office. The overall mission of the SES Resource Office was to ensure that each federal
agency developed and reported the effectiveness of their plans targeted at maximizing
advancement opportunities for African Americans and other members of racial minority groups,
women, and individuals with disabilities into the SES Corps (Senior Executive Service Diversity
Assurance Act, 2009). The SES Resource Office was also tasked with policy reform and
recruitment efforts to increase diversity among the SES ranks.
22
More recent legislative actions include the National Security Diversity and Inclusion
Workforce Act of 2019, sponsored by Senator Benjamin Cardin of Maryland in February 2019
and the Ensuring Diverse Leadership Act of 2019 sponsored by Representative Joyce Beatty of
Ohio in January 2019. As described by its title, the purpose of the National Security Diversity
and Inclusion Workforce Act of 2019 was to enhance the forward movement of diversity and
inclusion efforts in national security agencies (National Security Diversity and Inclusion
Workforce Act, 2019). Representative Beatty’s bill, which passed the House of Representatives
in September 2019, focused specifically on the selection process within the Federal Reserve. Its
goal focused on the requiring increased ethnic and gender diversity during the presidential
appointment and selection process. This bill awaits Senate approval and must pass the Senate
before it can become a law; however, the bill is predicted to have only a 4% chance of survival
(National Security Diversity and Inclusion Workforce Act, 2019).
Notwithstanding the efforts of Representative Davis and co-sponsors to identify and
address the lack of diversity within SES levels, the SES Corps still does not represent the
diversity of the American people they are appointed to serve (Congress, 2009). In most cases,
stalls in progress are due to changes in presidential administrations and what new administrations
perceive as important. Thus, an incoming administration may be able to reverse programs and
plans implemented by predecessors.
Role of Stakeholder Group of Focus
While the joint efforts of all stakeholders contribute to the achievement of the overall
organizational goal of increasing African American SES members by 2%, the stakeholder of
focus for this study are African Americans federal employees who currently hold a position at
the GS-14 or GS-15 levels. Many GS-14 and GS-15 level federal civilian employees serve in
23
supervisory positions as first-line supervisors of a range of employees, manage workload, and
serve as immediate leaders to their lower-level employees. Thus, the specific stakeholder group
are African Americans at the GS-14 or GS-15 levels.
Clark and Estes’ Knowledge, Motivation and Organizational Influences Framework
Clark and Estes’ (2008) gap analysis framework is a methodical approach to analyzing an
organization’s performance through three principal elements: knowledge, motivation, and
organizational (KMO) influences. The KMO framework is intended to help us understand
organizational problems and the factors that influence the problems. The gap analysis framework
is a problem-solving process which is based on understanding stakeholder goals with regard to
the organizational goal and identifying assumed performance influences in the areas of
knowledge, motivation, and organization based on general theory, context-specific literature and
an existing understanding of the organization (Clark & Estes, 2008).
Through this framework, this study seeks to gain a better understanding of the
relationship among African American GS-14 and GS-15s, their knowledge of the process, their
motivation influences including the impacts of self-efficacy, and the organizational influences
that contribute to their success and/or failure to join the SES Corps. Organizational influences
can include culture, policies, and practices (Rueda, 2011). Each KMO influence was examined in
the following sections and further explored through the methodologies addressed in Chapter
Three.
Stakeholder Knowledge, Motivation, and Organizational Influences
This review of literature focuses on the KMO influences essential for the stakeholder,
federal civilian employees who currently hold a GS level of 14 or 15, to achieve the
organizational goal of increasing representation of African Americans by 2%. The performance
24
goal for this specified stakeholder group is to increase the number of African Americans
competing for and appointed to SES positions by December 2020.
Knowledge and Skills
According to Mayer (2011), knowledge influences include facts, strategies, and
procedures. Examining and applying knowledge related to influence and skills are two important
components of learning. Applying the elements of knowledge influence helps to provide an
understanding of how the SES Corps can successfully increase the percentage of African
American SES members in accordance with the stakeholder goal. Additionally, it is imperative
to recognize how the employee’s knowledge and skill level benefits the achievement of the
organizational performance goals (Clark & Estes, 2008; Mayer, 2011). By using Rueda’s (2011)
research, African American GS-14 and GS-15 members can gain the knowledge and skills
needed to understand the requirements and know the resources available to them in order to
successfully compete for SES positions. Conducting a gap analysis helps the researcher
understand the employee’s knowledge and skill level compared to the desired outcome. The gap
analysis approach is a way to identify problems with achieving the goal(s) by comparing the total
percentage of African American SES Corps members with the percentage of African Americans
who desire to become members of the SES Corps. This approach is highly successful when
implemented correctly and when common pitfalls are avoided.
When attempting to determine the hindrances in achieving the stakeholder goal, it is
important to first understand the possible types of knowledge influences and how to apply them
(Mayer, 2011). There are four types of knowledge influences, according to Krathwohl (2002):
factual, procedural, conceptual, and metacognitive. SES Corps candidates must have specific
factual knowledge, procedural knowledge, skills, and experience to get selected for these roles.
25
Krathwohl (2002) identifies factual knowledge, the first knowledge type, as the foundational
information as it relates to a specific discipline or job. It includes terminology and basic elements
needed to perform. The second knowledge type is conceptual knowledge. This knowledge type
focuses on the concepts and theories needed for understanding and performance. The third
knowledge type, procedural or imperative knowledge, is the knowledge used to perform a task.
Lastly, metacognitive knowledge centers around one’s perception and knowledge of themselves
and how they process information and think.
For this analysis, three of the knowledge types were identified as necessary to meet the
African American GS-14 and GS-15’s stakeholder goal. Factual knowledge, procedural
knowledge, and metacognitive influences directly affect the achievement of an increase in
African American SES Corps members by 2% by December 2020.
Developing Factual Knowledge: Requirements and Resources
The first knowledge influence that African American GS-14 and GS-15 members need to
achieve the stakeholder goal is to know the requirements and resources related to applying for
SES positions. As pointed out by Rueda (2011), to accurately assess the factual knowledge of the
African American GS-14 and GS-15s, an appropriate assessment tool must be established.
Assessment tools include quantitative and qualitative methods, or both, such as surveys, quizzes,
interviews, and random sampling, which was expounded on in Chapter Three. The declarative
knowledge needed for aspiring SES Corps members includes having a clear knowledge of the
ECQs. The ECQs include five core competencies: leading change, leading people, results driven,
business acumen, and building coalitions (OPM, n.d.b).
The first ECQ, leading change, measures the candidate’s ability to create strategic
change, meet organizational objectives, and to establish and implement an organizational vision
26
that is successful despite an ever-changing environment. The subcategories under the first ECQ
are creativity and innovation, external awareness, flexibility, resilience, strategic thinking, and
vision (OPM, n.d.b). The second ECQ, leading people, measures the candidate’s ability to direct
employees to meet the organizational goals, vision, and mission. Understanding the importance
of diversity and inclusion is pivotal to leading people. Additionally, leading people includes
developing talent through constructive feedback, the promotion of teamwork, and demonstrating
productive conflict resolution. The subcategories under this ECQ are conflict management,
leveraging diversity, developing others, and team building (OPM, n.d.b). The third ECQ, results
driven, measures the candidate’s ability to accomplish the goals as set by the organization and to
meet the expectation of the customers served. It is imperative the SES candidate can navigate the
decision-making process to yield successful results by using technical knowledge coupled with
applying the analytical thought process to produce calculated yet well-measured risks. Some of
the subfactors of the results driven ECQ are accountability, customer service, decisiveness, and
problem-solving abilities (OPM, n.d.b). The fourth ECQ, business acumen, measures the
candidate’s talent relating to the management of financial, human capital, and information
resources using strategic methodologies. The subcategories of this ECQ directly align with the
main expectations. Specifically, the subcategories are financial management, human capital
management, and technology management, all of which hold equal importance to becoming an
impactful SES leader (OPM, n.d.b). The fifth and final ECQ, building coalitions, measures the
candidate’s ability to create and sustain a coalition with all internal and external stakeholders to
accomplish shared purposes. The subcategories of Building Coalitions include partnering,
political savvy, influencing, and negotiating (OPM, n.d.b).
27
Meeting the required competencies has been identified as the essence of what is needed
to become an SES member and are used by a variety of federal agencies when selecting SES
members. Since SES positions are considered to be executive leadership and not technical
experts, the ECQs only measure skills deemed as executive experience (OPM, n.d.b). These
leaders must be visionaries committed to public service, motivating employees, building
partnerships, and producing optimal results using limited government resources.
Developing Procedural Knowledge: Hiring Process
The second knowledge influence that current African American GS-14 and GS-15s need
to achieve the stakeholder goal is to understand the process for applying for SES positions.
Currently, there are two methods to receive consideration for SES positions (OPM, 2012). The
first method is to submit a resume listing relevant qualifications directly to the agency
advertising the position. The second method is to apply for the SES Candidate Development
Program (SESCDP). The SESCDP trains senior executive leaders, ensuring they possess the five
ECQs. The ECQs assist OPM review board members in deciding whether the candidate has
principal skills needed to succeed in an SES Corps position. These rating factors are common to
many agencies and play a large role in employee selection, performance management, and
leadership development. Using these rating factors is supported by research as a way to
determine a successful leader, ensuring they understand what leadership is, what is expected of
them in their positions, and how to appropriately execute the roles (Chuang, 2013). The specific
ECQs include five elements: leading change, leading people, results-driven, business acumen,
and building coalitions (OPM, 2012). Upon graduation from the SESCDP, candidates are
eligible, but not guaranteed, an appointment to an SES position without any more competition.
28
Fortune 500 companies use specific, yet similar, hiring practices when scouting for Chief
Executive Officers (CEO), although the processes may not completely mimic processes used by
the federal government and OPM. Citrin (2016) identifies the CEO hiring process as one which
involves assessments, in-depth reference verification, and an invitation to the company to
interview with board and search committee members. Although the reference verification and
assessment portions of the candidate selection process is important, it is during the interview that
the candidate and committee members can establish an interpersonal connection. The committee
members typically use an interview guide with questions that target the candidate’s ability to
produce an effective corporate vision, lead people, build teams, succeed at operational
management, and create and sustain financial growth (Citrin, 2016). The hiring processes are
similar because OPM was deliberate at establishing a hiring practice based on best practices
communicated from organizational psychologists, human resources professionals, and current
and/or former senior executive members (OPM, n.d.b).
Although the declarative and procedural influences are pertinent influences for aspiring
African American GS-14 and GS-15s to understand, it is equally imperative for them to assess
their strengths, weaknesses, and perceived biases to develop strategies to improve their
competitiveness for SESCDP and SES positions.
Developing Metacognitive Knowledge: Personal Abilities
The third knowledge influence that current African American GS-14 and GS-15s need to
achieve the stakeholder goal is to analyze their areas of strengths and weaknesses, which need to
be overcome to improve their competitiveness for SES positions. Metacognition strategies are
tools and techniques used that enhance people’s abilities to become more successful learners
(Eccles, 2006). The methods are typically used in classroom settings to help students
29
comprehend the way they learn and to promote their ability to think about their thinking process.
Despite its specificity to education and limited research addressing African American GS-14 and
GS-15 civilian employees, this research drew a parallel by connecting the self-assessment aspect
of metacognition to the study.
In cases where African American GS-14 and GS-15 civilian employees have encountered
diversity and inclusion roadblocks that may lower their level of persistence when preparing to
apply for SES positions, they must develop metacognitive strategies which include recognizing
their areas of weakness that hinder competitiveness, develop a plan to strengthen those areas, and
create outlets to address feelings resulting from racial discrimination in the hiring process.
Addressing these issues helps African American GS-14 and GS-15 civilian employees not
develop negative perspectives and lenses created by those personal experiences (Reed-
Woodward, 2006; Schraw & McCrudden, 2006; Takahashi, 2018).
Examples of racial discrimination experienced by African American GS-14 and GS-15s
may include conscious and unconscious racial bias from hiring officials. OPM’s ECQs help
hiring officials navigate the qualifications and related experience of applicants, but there may be
an assumption that the hiring officials will possess expert knowledge in cognitive and decision
sciences which allows them expert decision-making skills that do not include racial or gender
bias. When experienced, either sporadically and continuously, instances of racial discrimination
damage the metacognition of African Americans, which also directly hinders their career
development and persistence (Barrett et al., 2004). Thus, there aspiring SES members of color
must be cognizant of their strengths and weaknesses hindering progression, and hiring officials
must approach candidate evaluation in a way that embraces the development of a multicultural
30
SES workforce, specifically understanding the challenges faced by African Americans who are
subjected to racial bias and discrimination.
Table 2 illustrates the three knowledge influences aforementioned in the sections above.
Table 2
Knowledge Influence, Knowledge Types, and Knowledge Assessment for Analysis
Organizational Mission
Ensure that the executive management of the Government of the United States is responsive to the needs, policies,
and goals of the Nation and otherwise is of the highest quality.
Organizational Performance Goal
By December 2020, the number of African American Senior Executive Service (SES) Corps members will increase
by 2%, reflecting the national percentage of African Americans in the United States.
Stakeholder Goal
African American GS-14 & GS-15 members successfully compete for SES appointments.
Knowledge Influence Knowledge Type
declarative (factual or
conceptual), procedural, or
metacognitive
Knowledge Influence Assessment
Existing African American GS-14
and GS-15s need to have knowledge
of the requirements and resources
available to compete for SES Corps
positions.
Declarative Knowledge Interviews were conducted to determine
the factual knowledge of African
American GS-14 and GS-15s relating to
the qualifications needed and hiring
process for the ascension into SES
positions.
Existing African American GS-14
and GS-15s need an understanding
of the process for applying for SES
Corps positions.
Procedural Knowledge Interviews were conducted to determine
the factual knowledge of African
American GS-14 and GS-15s relating to
the qualifications needed and hiring
process for the ascension into SES
positions.
Existing African American GS-14
and GS-15s are able to assess their
own strengths and weaknesses to
develop strategies to improve their
competitiveness for SES positions
Metacognitive Knowledge Interviews were conducted to determine
the metacognitive knowledge of current
African American GS-14 and GS-15s as
it relates to their own strengths and
weaknesses and task-knowledge (an
awareness of the characteristics of the
task and appropriate strategies for
dealing with them).
31
Motivation
The second facet of achieving the stakeholder goal is understanding the motivational
influences and how these influences affect individuals’ actions (Clark & Estes, 2008). The
knowledge influence section focuses on the knowledge or lack of knowledge African American
GS-14 and GS-15s have related to requirements, resources, procedures, and knowledge of their
abilities when aspiring to become a member of the SES Corps. This section examines the role
motivation plays in achieving the stakeholder goal (Rueda, 2011). Clark and Estes (2008)
addressed how the actions of individuals are intertwined with their motivation and how this
relationship affects organizational performance gaps. To close these gaps, it is important to
increase the levels of motivation.
Mayer (2011) and Rueda (2011) define motivation as the factors that cause people to set
goals and work toward accomplishing those goals. Clark and Estes (2008) further define
motivation as consisting of three main parts: active choice, persistence, and mental effort. Active
choice is a person’s decision to pursue a goal. Persistence, on the other hand, is the person’s
commitment and continued efforts despite challenges or roadblocks, and mental effort is the
amount of energy the person assigns to the goal. (Clark & Estes, 2008; Rueda, 2011). However,
as pointed out by Pintrich (2003), the literature shows that there is more to motivation. Inclusive
of the aforementioned, several principles also influence motivation, such as self-efficacy,
interest, and value. The following sections focused on self-efficacy, interest, and value as all
three are critical to evaluating African American GS-14 and GS-15s motivation to achieve their
stakeholder goal.
32
Self-Efficacy Theory
Self-efficacy is a motivational influence closely tied to African American GS-14 and GS-
15s achieving their stakeholder goal and is at the essence of Bandura’s (1997) social learning
theories. Self-efficacy theory belongs to the social learning theory (SLT) that Bandura expanded
on in the 1960s and which later evolved into the social cognitive theory (SCT). Although SCT
was originally established with an emphasis on social behaviors, SCT also emphasizes the way
learning occurs in a social framework which includes observation and modeling (Denler et al.,
2006; Lunenburg, 2011).
Bandura (1997) discovered that an individual’s self-efficacy influenced their motivation.
When people possessed high self-efficacy, they were more likely to pursue, persevere, and attain
their goals (Pajares, 2006; Rueda, 2011). According to Pajares (2006), individuals with a higher
positive image are more likely to chase goals and tasks that they believe they can accomplish
and, alternatively, avoid those in which they feel less qualified. Clark and Estes (2008) expanded
upon Pajares’ work by addressing the role confidence plays in people’s judgment of their
abilities, and how poor judgment can have a negative influence on motivation.
Later research conducted by Bandura and Locke (2003) found that high self-efficacy
permits individuals to successfully perform tasks (depending on the level) because of their
motivation, and does not require prompting or influence from other people. Individuals with high
self-efficacy tend to persist despite the presence of problems. Additionally, their willingness to
gain training and employ skills gained from training is a cause of their positive job performance.
Bandura and Locke’s (2003) research support the benefit of developmental training and how that
training better prepares and creates opportunities for African American to be prepared to apply
skills learned when competing for the SES Corps positions.
33
Interest In Competing
The second motivational influence related to African American GS-14 and GS-15
members achieving their stakeholder goal is the need for eligible candidates to have an interest in
competing for these positions. Across various types of organizations, research suggests that a
factor contributing to the lower number of African American SES members relates to a desire to
compete (Green, 2019). According to research by Korn Ferry, a top executive recruiting firm,
African Americans who achieve leadership positions are assigned supporting roles or
assignments with greater risk of success, thus limiting their actual chances of achieving a seat at
the board table (Green, 2019). The same may be true for African Americans who achieve the
level of either GS-14 or GS-15. For federal civilians who achieved these levels, a lack of interest
can develop when they question whether the risk equals the reward of competing for the SES
level. This consideration is especially true in areas with high locality percentages. In areas like
Houston and the District of Columbia, the annual salary of a GS-14 starts at $117,191 and caps
at $166,500 (OPM, n.d.c). Even in more rural communities like Burlington, Alabama, and
Pensacola, Florida, the salary ranges from $104,912 to $160,425, which most would consider a
good wage (OPM, n.d.c; OPM, n.d.d). With salary not a driving factor and the measurement of
risk versus reward becoming a weighted consideration relating to interest, African American GS-
14 and GS-15s may not perceived a value in persisting through barriers to compete for SES
positions.
Value of Persisting
The third motivational influence related to African American GS-14 and GS-15 members
achieving their stakeholder goal is expectancy value motivation theory and the task (utility)
value perceived. Expectancy value theory is the perceived value or importance individuals
34
attribute to pursuing, persisting, and completing a task (Eccles, 2006). Utility value is an
important component of task value beliefs and only one of the four major types. The other three
types of task value beliefs are attainment value, intrinsic value, and cost beliefs (Eccles, 2006).
Utility value addresses whether the individual finds usefulness in meeting a goal or
completing a task. Eccles (2006) affirmed that the principle of expectancy value theory is
embedded utility value, as determined by the perceived benefit or personal interests of the
individual. Expectancy value motivation theory and its utility value directly correlate with
African American GS-14 and GS-15s pursuit and persistence in achieving the stakeholder goal
and their expectation to succeed. When a goal (task) has great value to the individual or the
individual estimates a high probability of success, there is a higher likelihood that the individual
will choose, persist, and apply themselves to completion (Rueda, 2011). Attainment value is the
link between values and self-image, while intrinsic value addresses the level to which enjoyment
is received from doing the tasks (Eccles, 2006; Rueda, 2011). The cost benefits identify the
perceived effort required to perform the task. When asked individual questions about the value to
persist, they will consider whether the task creates a waste of time or energy, if the task will
cause excessive anxiety due to the fear of failure, and if the task shows a lack of previous success
rates (Eccles, 2006).
The research conducted by Eccles (2006) also states that utility value encompasses more
than just interest. It is equally important that people feel they are making contributions to the
organization. In reviewing utility value, African American GS-14 and GS-15 members need to
recognize the apparent utility value of competing for SES positions to increase diversity to a
level that reflects the diversity of our Nation (Berry, 2009).
35
Table 3 displays the organizational mission, the organizational performance goal, the
stakeholder goal, and two motivational influences and methods to assess them.
Table 3
Motivational Influences and Motivational Influences Assessments
Organizational Mission
Ensure that the executive management of the Government of the United States is responsive to the needs, policies,
and goals of the Nation and otherwise is of the highest quality.
Organizational Performance Goal
By December 2020, the number of African American Senior Executive Service (SES) Corps members will
increase by 2%, reflecting the national percentage of African Americans in the United States.
Stakeholder Goal
African American GS-14 & GS-15 members successfully compete for SES appointments.
Assumed Motivation Influences Motivational Influence Assessment
Self-Efficacy:
Existing African American GS-14 and GS-15 members
in the federal civilian workforce need to be confident
they are capable of successfully competing for an SES
Corps position.
Interviews were conducted to determine the self-
efficacy of existing African American GS-14 and GS-15
members, relating to their level of confidence and belief
that they are capable successfully compete for SES
Corps position.
Interest:
Existing African American GS-14 and GS-15 members
need to be interested in competing for SES Corps
positions.
Interviews were conducted to determine the level of
interest of current African American GS-14 and GS-15
members, relating to their interest in competing for SES
Corps positions.
Expectancy Value:
Existing African American GS-14 and GS-15 members
need to believe that preparing to compete for SES Corps
positions will improve their chances for success.
Interviews were conducted to determine the expectancy
of African American GS-14 and GS-15 members,
relating to the need to believe that preparing to compete
for SES Corps positions will improve their chances for
success.
Organization
The final influence, in addition to knowledge and motivation, is organizational
influences. Clark and Estes (2008) identified organizational performance gaps as gaps created by
inefficient and ineffective processes and procedures. These gaps limit the GS-14 and GS-15
employees who possess the required knowledge and motivation. Organizational culture and
36
context and the performance gaps they create can be evaluated based on the cultural models and
cultural settings that they exist in. Both cultural models and cultural settings may be difficult to
define and identify since they are not always evident (Clark & Estes, 2008; Rueda, 2011).
Cultural settings are concrete and include the organization’s staff members, their
assignments, and how those assignments are completed, while cultural models describe the
organization’s practices and shared mental schema within the organization (Gallimore &
Goldenberg, 2001; Hirabayashi, 2019; Rueda, 2011). Although difficult to identify and
distinguish, examining the organization’s culture provides a valuable perspective on how the
organization’s procedures and structure influence the effectiveness (Rueda, 2011).
Cultural Models: Closed system.
Culture is a feature of our everyday environment and is a way to describe the core values,
goals, beliefs, and behaviors learned by people over time. It is a normative understanding of how
the organization works or ought to work (Clark & Estes, 2008; Gallimore & Goldenberg, 2001;
Rueda, 2011). In contrast to non-government organizations, the federal civilian workforce
operated under the GS classification is a closed system where steps to leadership are obtained by
progressing through each level. This structure ultimately contributes to the lack of diversity
because the diversity is dependent on the selection and hiring of members by hiring officials who
currently hold these SES appointments, which currently is approximately 80% European
American and those of other non-African American descent. The attitudes, behaviors, and
operational patterns can create an implicit organizational culture that is practiced and adapted
continuously (Clark & Estes, 2008). Thus, the organization needs to support a modification of
attitude which embraces a general acceptance and willingness to hire qualified African American
GS-14 and GS-15s into SES vacancies. Another cultural model influence that the organization
37
needs to provide is the development of a culture of trust by providing equal training
opportunities and leadership preparation courses to qualified African American GS-14 and GS-
15 employees. The following subsections serve as specific examples of how certain cultural
models can create negative environments and negatively influence how African American GS-14
and GS-15s believe in their ability to successfully compete as qualified SES candidates.
Acceptable/Appropriate Hairstyles. McIntosh (1989) also points out she never has
struggled to locate a hairstylist knowledgeable enough to fix her hair texture. Navigating this
cultural model has been an area of discrimination in the workplace that hinders African
Americans from accessing executive leadership positions (McGregor, 2019). To help combat
these negative mindsets that create the cultural models, numerous states have implemented or
proposed legislation to force organizations to unequivocally prohibit discrimination based on
differing hair textures and/or styles. This type of racial discrimination is displayed in the form of
comments with regard to natural, non-straight hairstyles, kinky textures, braids (with or without
extensions), dreadlocks, and sisterlocks. These implicit intimations in professional environments
are mostly experienced by African American men and women who most commonly have these
hair types. As a result of unwanted glares, comments, and labels of looking unprofessional, many
African American men and women have resorted to conforming to society’s preferences
(McGregor, 2019). Conforming African Americans men will choose to keep their hair closely
shaven and not wear ethnic styles. Likewise, some African American women chemically relax
their natural hair to achieve the straight hair look that the rest of society naturally enjoys. Other
African American women who may desire to avoid the damaging result of chemically relaxed
hair and excess heat may use straight hair extensions or wear wigs (McGregor, 2019).
38
Currently, only California and New York passed legislation to diminish discrimination in
the workplace. Other states, including New Jersey, Illinois, and Tennessee, have pending
legislation but have not yet signed legislation into law. During the most recent Essence Fest, an
event organized by a black women’s magazine Essence magazine, 2020 Democratic presidential
candidate Pete Buttigieg expressed how he regards hair discrimination as a form of racial
discrimination (McGregor, 2019). According to McGregor (2019), although most corporate
culture mandates a level of conformity of attire, hairstyles/hair lengths, and behavior, it is
uncommon to find a European-American-dominated corporation with a corporate culture which
openly embraces the hair differences of African American professionals without a state or
federal mandate.
The acceptable nature of natural hair transcends the culture of professional organizations
and corporations and extends to school districts. A high school senior from Texas, Deandre
Arnold, has been barred from participating in his graduation ceremony due to refusing to cut his
dreadlocks (Cox, 2019). In a similar instance, Andrew Johnson was forced to cut off his
dreadlocks or forfeit his wrestling match due to a call from a European American referee who
took exception to his hair. This same referee had been previously investigated for allegations of
racist behavior against African American athletes during his tenure as a referee (Wamsley,
2018). The acceptance of African American hairstyles is an ongoing battle of shifting cultural
mindsets and awareness that directly impacts organizational cultural models that impede African
American GS-14 and GS-15s from competing for SES opportunities. Similarly, the label of
“Angry Black” person is syndrome faced by African American professionals in the eyes of non-
blacks.
39
“Angry Black” Syndrome. This syndrome is a stereotype that arguably has roots dating
to the 400 years African Americans were enslaved, through to the turbulent times of Jim Crow,
and has carried forward ever since (Prasad, 2018). It is a stereotype that categorizes African
Americans, particularly women, in an unappealing light. Some descriptive adjectives commonly
used to label women of color include “aggressive, ill-tempered, illogical, overbearing…irate,
irrational, and hostile” (Ashley, 2014, pp. 27–28). Ashley (2014) further argued that these
negative stereotypes assigned to African American women apply in formal professional settings,
informal professional settings, in the media, in literature, and in mental health settings which
directly affects their ability to receive quality treatment. U.S. tennis superstar, Serena Williams,
became the subject of discriminatory mythology when she expressed her anger during a U.S.
Open match. Her reactions resulted in her receiving public admonishments, penalty points, and
fines despite a similar level of passion displayed by male European American tennis players over
decades went mostly unaddressed (Prasad, 2018).
Other professional women who have openly expressed their experience with this
syndrome include former First Lady Michelle Obama and U.S. Representative Maxine Waters of
California. The implication communicated is that people of color should comply and not object,
and should go out of their way to ensure others are comfortable around them. If they object and
express their objection, then the labels of threatening, loud, and aggressive ensue. In contrast,
whether in professional settings, sports settings, or political settings, it is not unacceptable to
European Americans to verbally or physically express their anger or frustration, nor do they fear
the outcomes of such behavior when it occurs (Ashley, 2014; McIntosh, 1989; Prasad, 2018).
For the organization to establish a culture of trust and ensure qualified African American
GS-14 and GS-15s are confident there is a willingness for them to be considered for SES
40
vacancies, the organization must recognize hindrances to a culture of trust. These hindrances
include cultural models created by the effects of hair discrimination and the myths of the “Angry
Black” syndrome.
Cultural Settings: Policy and Practice
Unlike the invisible aspects of cultural models, cultural settings are the visible places
where cultural models are developed. They are the important characteristics of the organization
which has a reciprocal relationship with the models that need to be understood in order to
influence the behaviors of the organization (Gallimore & Goldenberg, 2001; Clark & Estes,
2008; Rueda, 2011).
Mentorship and Modeling. To improve the percentage of qualified African American
GS-14 and GS-15s, the organization needs to develop policy and practices to implement
mentorship programs geared at increasing exposure and preparedness. Bandura’s (1977) SLT
concurs with the classical conditioning findings and its impact on behavior. The Pavlov theory
addresses how a person’s response to an event can either be automatic or involuntarily based on
circumstances (Bandura, 1977). The relevance of this theory specifically connects to African
Americans seeking to become SES Corps members through the benefit of the use of mentors
(models) to improve their skill level, thus improving their self-efficacy and enabling them to
competitively compete for the SES Corps positions.
Denler et al. (2006) point out that the value of modeling in terms of behavior, motivation,
and learning. Pajares (2006) found that belief in one’s self influences whether tasks are
attempted. The models provided by mentorship improve the aspiring candidate’s confidence and
performance once selected, as demonstrated by the relationship between Ed Woolard and Steve
Jobs (Charan, 2016). During one of Apple Corporation’s downward spirals, Woolard, then lead
41
director, recognized the importance of selecting a new CEO. This Hail Mary was the company’s
last resort for resurrection before conceding to the idea of filing for bankruptcy. In the end,
Woolard brought back once-ousted Jobs, to whom he provided direct mentorship as a condition
of his reemployment. The benefit of Woolard’s modeling and mentorship to Jobs is known by
the success Jobs returned to Apple once he took the helm in 1997 (Balakrishnan, 2016; Charan,
2016). Despite the known success rates of modeling and mentorship throughout various
organizations, statistics demonstrate that the current ethnic breakdown of the percentages of
African American versus the percentages of European American in the SES Corps (OPM, 2017),
there are fewer African American senior leaders who can provide mentorship and modeling to
aspiring African American employees currently at the GS-14 and GS-15 levels.
Additionally, the organization needs to ensure qualified African American GS-14 and
GS-15s are evaluated equally, excluding any social or ethnic biases by implementing the
utilization of a Strategic Diversity Recruiting process (SDR; Shackleford, 2010). This SDR
process includes five components including cultural shift, outreach, recruiting, retention, and
management infrastructure. All five of Shackleford’s (2010) SDR components must exist to
accomplish a successful diversity recruitment process.
The following table, Table 4, displays the organizational mission, the organizational
performance goal, the stakeholder goal, and identified organizational influences in regard to the
stakeholder goals.
42
Table 4
Assumed Organizational Influences and Organization Influence Assessment
Organizational Mission
Ensure that the executive management of the Government of the United States is responsive to the needs,
policies, and goals of the Nation and otherwise is of the highest quality.
Organizational Global Goal
Create an SES population that reflects the diversity of the population of the United States of America.
Stakeholder Goal
African American GS-14 & GS-15 members successfully compete for SES appointments.
Assumed Organizational Influences Organization Influence Assessment
Cultural Model Influence 1:
The organization needs to support developing a general
acceptance and willingness to hire qualified African
American GS-14 and GS-15s into SES vacancies to
increase the percentage of African American SES
members.
A recruitment survey, demographic in nature
plus interview questions will tease out the
organizations perceived willingness to hire
qualified African American GS-14 and GS-15s
into SES vacancies.
Cultural Model Influence 2:
The organization needs to develop a culture of trust by
providing training opportunities to qualified African
American GS-14 and GS-15s in order to achieve the goal
of increasing the percentage by 2% for African Americans
serving in SES Corps members.
A recruitment survey, demographic in nature
plus interview questions directed at the current
GS-14 and GS-15 employees to determine if
they trust the organization to provide training
opportunities.
Cultural Setting Influence 1:
The organization needs to develop a mentorship program
geared at increasing exposure and preparedness for African
American GS-14 and GS-15s to become SES members.
A recruitment survey, demographic in nature
plus interview questions directed at the African
American GS-14 and GS-15 to determine if
they feel they have access to mentorship
programs geared at increasing exposure and
preparedness.
Cultural Setting Influence 2:
The organization needs to ensure qualified African
American GS-14 and GS-15s will be evaluated equally,
excluding any social or ethnic biases.
A recruitment survey, demographic in nature
plus interview questions directed at African
American GS-14 and GS-15s to identify any
social biases impacting their evaluation of
potential SES candidates.
43
Conceptual Framework: The Interaction of Stakeholders’ Knowledge and Motivation and
the Organizational Context
Although potential influences were presented independently, this research recognizes that
the influences are not isolated from each other. The following section discusses the conceptual
framework used to guide this study. The conceptual framework is a theory showing how the
concepts relate to or interact with each other in the process of achieving the goal (Creswell &
Creswell, 2018; Maxwell, 2013; Merriam & Tisdell, 2016). It helps the researcher establish a
foundational model to better understand the influencers examined in the study. Merriam and
Tisdell (2016) define a conceptual framework as a fundamental structure, the skeleton or frame
for a study. Based on this definition, this study contained three schemes: the KMO influences.
These constructs, while independent of each other, guide the research to better understand their
impacts on the stakeholder goal of increasing the percentage of African Americans in SES Corps
positions by 2%, by December 2020.
According to Maxwell (2013), the purpose of the conceptual framework is to assist when
synthesizing the most important parts of the literature and to conceptualize the research design
around the research questions the study attempts to resolve. The intention of the conceptual
framework is to help understand the problem and the factors that influence the problems based
on the Clark and Estes (2008) KMO gap analysis framework. The KMO gap analysis framework
focuses on three principal elements: the KMO influences. Through this framework, this study
seeks to gain a better understanding of the relationship among African American GS-14 and GS-
15s aspiring to join the SES Corps, their knowledge of the process, the impact of self-efficacy,
and the organizational influences that contribute to their success and/or failure to join the SES
Corps.
44
This study examines how the factual (declarative), procedural, and metacognitive
knowledge of African American GS-14 and GS-15s aiming to become SES Corps members are
directly affected by assumed motivational influences: value, interest, self-efficacy, and
expectancy. For this study, the researcher seeks to understand the specific correlation between
knowledge and motivation influences and how the organization can assist in achieving the
stakeholder goals. The following questions guided the gap analysis that addresses the knowledge
and skills, motivation, and organizational causes and solutions for the stakeholders, African
American GS-14, and GS-15s civilian workforce:
1. What is GS-14 and GS-15 African American’s knowledge and motivation related to
competing for SES Corps positions?
2. What is the interaction between organizational culture and context and GS-14 and GS-
15 African American’s knowledge and motivation to African Americans competing for
SES Corps positions?
3. What are the recommendations for organizational practice in the areas of knowledge,
motivation, and organizational resources related to increasing the percentage of African
Americans competing for SES Corps positions?
As pointed out in resolutions and congressional reports, there has been continuous
acknowledgement of the importance of increased diversity in the SES Corps. These reports and
initiatives offer a glimpse of ways to gain the factual knowledge to understand the
underrepresentation of African Americans in SES positions and facilitate improvement (Barr,
2003; Berry, 2009; Senior Executive Service Diversity Assurance Act, 2009).
45
Figure 1
Conceptual framework
Relationship Between Knowledge, Motivation, and Organizational Influences
For this analysis, three of the knowledge types were identified as the knowledge types
necessary to achieve a successful implementation of the SES Corps stakeholder goal. The
stakeholder’s factual (declarative) knowledge, procedural knowledge, and metacognitive
knowledge influences directly affect the achievement of the stakeholder goal to increase the
number of African Americans in SES Corps positions by 2% by December 2020. Organizational
factors consist of the cultural models of developing a general acceptance and willingness to hire
qualified African American GS-14 and GS-15s into SES vacancies and developing a culture of
trust by providing training opportunities to qualified African American GS-14 and GS-15s.
46
Additionally, cultural settings of developing a mentorship (shadowing) program geared at
increasing exposure and preparedness to qualified African American GS-14 and GS-15s and
ensuring qualified African American GS-14 and GS-15s are evaluated equally, excluding any
social or ethnic biases.
Cultural Models and Cultural Settings
Cultural models, as defined by Gallimore and Goldenberg (2001), are shared mental
schema or practices of how the world works or should work. Their theory integrates behavioral
activity and cognitive and affective components (Gallimore & Goldenberg, 2001). Additionally,
cultural models provide an understanding to individuals of the way things are or should be and
can be married to cultural settings. On the other hand, cultural settings are comprised of the
employees, the tasks they are assigned to perform, the motivation for the employees to complete
those tasks, and the social context (Gallimore & Goldenberg, 2001).
There is a direct correlation between the stakeholder knowledge and motivation
influences of the current African American GS-14 and GS-15 federal civilians desiring to
become SES Corps members and the organizational influences. Specifically, it is imperative that
African American GS-14 and GS-15 federal civilians striving to become SES members have
knowledge of the competitive process, opportunities for mentorship, and chances to have access
to SES training programs (Barr, 2003; Berry, 2009; Gallimore & Goldenberg, 2001). Interested
and qualified African American GS-14 and GS-15s who compete for SES positions must also
know that the organization will evaluate them without the interference of social or ethnic biases.
47
CHAPTER THREE: METHODS
Purpose of the Project
Inquiry is an essential part of the qualitative research design process that helps reveal data
that precipitates new data in social science settings. It is a tool used by researchers and
consultants to enhance accountability and can be used as a catalyst for improving organizational
processes, performance, and procedures (Malloy, 2011; Patton, 2002, 2014). The purpose of this
project is to conduct a gap analysis to understand the KMO influences that interfere with the
December 2020 stakeholder goal of increasing the percentage of African American SES
members by 2%. As introduced in Chapter Two, the following questions guided the gap analysis:
Research Questions
1. What is GS-14 and GS-15 African American’s knowledge and motivation related to
successfully competing for SES Corps positions?
2. What is the interaction between organizational culture and context and GS-14 and GS-15
African Americans’ knowledge and motivation related to African Americans successfully
competing for SES Corps positions?
3. What are the recommendations for organizational practice in the areas of knowledge,
motivation, and organizational resources related to increasing the percentage of African
Americans successfully competing for SES Corps positions?
Participating Stakeholders
As identified in Chapter One, the primary stakeholder group for this study includes
African Americans who are currently at the pay grade of GS-14 or GS-15. The interview
participants were employees who identify as African American, hold a pay level at or equivalent
to GS-14 or GS-15, and identify as employed by a federal agency under the U.S. government,
48
including the DoD, which may be a possible subset of the primary stakeholder group. Narrowing
the stakeholder population of focus serves to focus the research sample and yield more accurate
findings.
Interview Sampling Criterion and Rationale
Criterion 1. Federal civilian workforce members at the GS-14 or GS-15 pay grade level.
Criterion 2. Federal civilian workforce members who identify as African American and
are at the GS-14 or GS-15 pay grade level.
Criterion 3. Federal civilian workforce members at the GS-14 or GS-15 pay grade level
who have the minimum qualifications as a federal civilian workforce member to meet the
promotion or appointment factors and qualifications within the hiring agency.
Interview Sampling (Recruitment) Strategy and Rationale
For this study, a small selective sample of eight African American GS-14 and GS-15
federal civilian members were interviewed to develop a comprehensive descriptive narrative. To
recruit the sample, the researcher used a recruitment survey to identify segments of a larger
population for selection to participate in the interviews based on the three established interview
criteria. The survey is only demographic. The survey began by identifying the purpose of the
research through a summary of the problem of practice. The single survey consisted of 10
questions that followed a standard survey method format, including clear, closed-ended, single-
topic questions (Creswell, 2014; Robinson & Firth Leonard, 2019). The total anticipated time to
complete the survey did not exceed 10 minutes.
Since there are no formal documents or websites to identify the members of the
stakeholder group by rank (GS-14 or GS-15) and ethnicity, 30 to 40 surveys were distributed
through LinkedIn to individuals whose profiles identify them as African American and as current
49
federal government employees holding a GS level of 14 or 15. LinkedIn is a privately owned
social networking service used for professional networking and is not affiliated with the DoD or
any agency under the federal government. The researcher selected LinkedIn as a data source
because it is an unclassified, non-sensitive, large population source that offers a potential target
population of participants who meet the characteristics and who express interest in participating
(Fink, 2013). The goal of the researcher was to receive a balanced number of GS-14 and GS-15s
from a range of federal agencies. .
Although the federal government has partnered with academic research institutions
through agencies like the National Science Foundation and the National Institutes of Health to
enhance research and development, using this method of gathering data is necessary based on the
federal government’s necessary oversight and restrictions to how information is collected.
Questions included in the survey confirmed the federal civilian’s pay level, ethnicity, and
willingness to participate in the research. As a result of the survey data, better quality candidates
were identified for the interviews. Only those individuals fitting the criterion and who expressed
a desire to participate in this qualitative study were included in the interviews.
Once the researcher secured institutional review board (IRB) approval, the demographic
surveys were delivered to specific LinkedIn profiles of individuals who, at initial evaluation by
the researcher, fit the established interview criteria of African American federal government
civilian employees at the GS-14 or GS-15 levels. The emails issued included a link to the
SurveyMonkey data collection tool. Convenience sampling and virtual snowball sampling
methods were used in this study to broadly identify individuals to be included in the population.
In accordance with research suggested by Fink (2013), this study followed deliberate steps to
appropriately identify the purpose, ensuring the delivery method was the best available, the
50
structure was best suited for the data collection and analysis, and lastly, to ensure proper
reporting and interpretation of the data (Creswell, 2014).
Although the sample is relatively small, information gathered in these interviews may
help stakeholders in the organization become aware of the influence of KMO elements that
manipulate discernments of diversity and African American efforts to achieve SES Corps
positions. To achieve the selective sample population, purposeful sampling was the principal
approach used in this study. When using purposeful sampling, a form of non-probability
sampling, the researcher relied on their judgment to choose members of the population to
achieve their study participation goals. Purposeful sampling necessitated that the people who are
selected to provide information are relevant to the research questions and goals (Maxwell, 2013).
Commonly used in qualitative research, this approach assisted the researcher in identifying and
selecting data that produced the most robust information. It necessitates that the people who are
selected to provide information are relevant to the research questions and goals (Creswell &
Creswell, 2018; Maxwell, 2013).
This study used surveys distributed through LinkedIn, the social network geared towards
professional networking and development, to locate 10 African American GS-14 and GS-15
federal civilian members who met the criteria above. It was important to note that the researcher
encouraged virtual snowballing to yield a more concentrated pool of qualified interviewees.
Virtual snowballing is an adaptation of traditional snowball sampling in which the primary
purpose is to connect the researcher with study subjects through acquaintances who would
otherwise be difficult to reach (Maxwell, 2013).
51
Data Collection and Instrumentation
This study used a qualitative methods approach to assess the presumed KMO influences
on the underrepresentation of African Americans at the SES Corps level. According to Creswell
and Creswell (2018), a qualitative research approach typically consists of decisively chosen
individuals to assist the researcher at understanding the problem. Qualitative methods may also
depend on the utilization of texts and images to achieve diverse designs (Creswell & Creswell,
2018). As pointed out by McEwan and McEwan (2003) and Creswell (2014), qualitative
research is descriptive and focused on meaning and explanation. Thus, for this study, qualitative
inquiry was used to draw a distinctive understanding of the KMO influences contributing to the
problem of practice.
Interviews
According to Weiss (1994) and Patton (2002), conducting interviews represents an
implicit partnership between the researcher and the participants that allows the researcher to
access the viewpoint of each participant. This qualitative study included interviews with African
American GS-14 and GS-15 federal civilian employees based on those who met the criteria and
volunteered to participate via the survey solicitation. This subject group was purposefully
selected using the established criteria as those who can best enlighten the research questions and
augment the understanding of the problem.
Interview Protocol
The qualitative source of this study consisted of semi-structured interviews with African
Americans federal civilian employees who are serving at the GS-14 or GS-15 level. This
participant group was the most competent individuals to provide information-rich data to address
the KMO influences impacting the underrepresentation of African Americans in the SES Corps
52
(Patton, 1987, 1990). The sampling strategy for this study included both purposeful sampling and
virtual snowball sampling. These different nonprobability sampling approaches are the best
methods to use when resources are limited or inaccessible and when the researcher desires to
maximize validity and efficiency (Patton, 2002).
For each interview, the specific data collection process was followed in accordance with
the interview protocol to ensure empathic neutrality and included the transcription and analysis
of information acquired (Corbin & Strauss, 2008). The researcher then moved into the data
analysis phase in which the data was categorized and coded to ensure alignment with the
conceptual framework. The researcher expected to address all of the KMO influences through
the interview protocol.
Interview Procedures
The formal interviews were one-on-one and spanned approximately one hour in length.
Each participant was interviewed only once. The interview location was the most convenient
location for the participants but provided privacy and discretion. The interview protocol
(Appendix C) included an interview guide, follow-up prompts, and a specific list of questions
(Patton, 2002). The list of questions was used with each participant, and questions were designed
to be open-ended to produce descriptive data (Merriam & Tisdell, 2016). Prior to the interviews,
each participant was asked to confirm their willingness to participate through an information
sheet for exempt research (Appendix A). The interviews were mostly video recorded with some
participants opting to use only an audio-recording method. Additionally, some handwritten notes
were taken during the interviews to support the main points of the interview and to prompt
follow up questions and clarifications. All interviews were conducted after the collection of
documents.
53
Documents and Artifacts
In addition to interviews, this study also used document analysis. Document analysis is a
process by which electronic and/or printed documents and/or artifacts are reviewed and analyzed
to gain an understanding of the empirical knowledge relating to organizational policies,
statistical data, and procedures contributing to the underrepresentation of African Americans in
the SES Corps (Bowen, 2009; Creswell, 2014; Merriam & Tisdell, 2016). Analyzing documents
in a qualitative study has both strengths and weaknesses. One strength of document analysis is
that it is helpful in triangulating data. Triangulation is the process by which the researcher uses
various methodologies to circumvent validity and credibility risks created when only using a
single methodology and helps to better “corroborate findings” (Bowen, 2009, p. 28).
Conversely, a weakness of using the document analysis approach in conjunction with
interviews for qualitative studies is the researcher reaching plausible, good sense conclusions
that contain a level of personal interpretation which increases the probability of errors and
personal biases (Miles, Huberman, & Saldaña 2014). Additionally, the document collection and
analysis approach is time-consuming and may not link meaningful implications about the
connection between the documents collected and the reason for the KMO influences impacting
the underrepresentation of African Americans in the SES Corps. The documents analyzed for
this study were only public documents that are issued by the federal government and that
provided information regarding the process and qualifications to become an SES member.
Additionally, documents reviewed shed insight into the statistics and trends of African American
SES members.
54
Data Analysis
As suggested by Merriam and Tisdell (2016) and applicable to interviews, data analysis
was conducted concurrently with the data collection. The data analysis included notetaking on
the observance of the physical reactions of interviewees to each interview question and during
each response provided. Furthermore, the researcher wrote analytic memos following each
interview. All thoughts, concerns, and initial conclusions were documented regarding the data in
relation to the conceptual framework and research questions. Once fieldwork was completed, the
researcher transcribed and coded the interview responses. The interview responses were
transcribed by Rev.com, an online company specializing in providing transcription services. The
collective transcription time varied from nineteen minutes to sixty-nine minutes depending on
the length of the interview. Once the transcription process was concluded, the researcher
reviewed each transcript for accuracy. Succeeding the confirmation of accuracy, the interview
responses were grouped and coded using analytic codes.
Coding, an important process that empowers the researcher to organize the qualitative
data, occurred in multiple phases (Creswell, 2014; Creswell & Creswell, 2018). For the initial
coding process, in vivo coding was used to document where codes materialized from the
transcripts. For the secondary coding process, a priori coding was used to document where the
codes emerged in accordance with the conceptual framework. The conceptual framework
assisted in developing emergent themes identified by the researcher. The emergent themes
revealed were used to assist in identifying the gaps of the research study. Lastly, the researcher
analyzed documents and artifacts for evidence consistent with the concepts in the conceptual
framework.
55
Credibility and Trustworthiness
For this study, the data collection methods included an explanatory sequential method,
analyzing the results of surveys prior to conducting interviews. Both the researcher and the data
must demonstrate credibility and trustworthiness, as these are the cornerstone of qualitative
research (Merriam & Tisdell, 2016). To enhance credibility and trustworthiness for this study,
the researcher is using triangulation, abundant field time, ample data collections, and self-
awareness of personal bias (Creswell & Creswell, 2018; Maxwell, 2013; Merriam & Tisdell,
2016) as strategies to help ensure the data remains credible and trustworthy.
The researcher does not hold a pay level of that of the stakeholder group and, thus, does
not have any perceived bias or power dynamics. Data triangulation, the process of using various
methods to collect research data, was implemented as it is recognized as a pivotal method of
increasing credibility and trustworthiness (Creswell & Creswell, 2018). By analyzing public
documents versus relying on protected federal government documents, the researcher eliminated
any barriers to abundant field time and ample data collection. These documents provided
imperative insights into the specific requirements of becoming an SES Corps member,
particularly, the ECQ.
Ethics
As pointed out by Glesne (2011), considerations relating to ethics must include “plans,
thoughts, and discussions” (Glesne, 2011, p. 162) during every phase of qualitative research. The
standard ethical principles of qualitative research include gaining informed consent (information
sheet), ensuring voluntary participation, maintaining confidentiality and anonymity (if possible),
and doing no harm (Glesne, 2011; Merriam & Tisdell, 2016). In consideration of standard ethical
56
principles, deliberate steps were taken to protect this study’s human subjects and to ensure
compliance with university and their IRB guidelines.
The IRB committees were established in 1974 under the National Research Services
Award Act and are federally mandated (NRSAA, 1974). The goal of every IRB committee is to
provide protection and regulations aimed at all universities and institutions receiving federal
funds for research involving human subjects. However, ethical considerations should not be
forgotten once the researcher satisfies the requirements of either their university’s IRB
committees and/or any “other gatekeepers” (Glesne, 2011, p. 162) that mandate appropriate
research behavior.
According to Merriam and Tisdell (2016), a researcher’s ethical beliefs, validity, and
reliability drive their research. Furthermore, participants must have ample information about the
study to make informed decisions regarding their participation (Glesne, 2011; Merriam &
Tisdell, 2016). Although there is no general consensus about the number of choices for
qualitative research, the most common approach found within the field of education is the
utilization of one-on-one interviews (Creswell, 2014; Merriam & Tisdell, 2016).
For this qualitative study, data collection took place through one-on-one interviews. In
accordance with guidelines and mandates, the researcher ensured every subject understood the
intent of the research, is protected from harm, has the right to privacy, and signs an information
sheet as detailed in Appendix A (Creswell, 2014; Glesne, 2011; Merriam & Tisdell, 2016).
Additionally, through the use of signed consent forms, the researcher ensured each subject was
aware their participation was voluntary, their right to withdraw from the study at any time, and
their identity would be kept confidential. They were also provided a consent form, giving the
researcher permission to record and store all data collected. The data was stored on a secured
57
computer with password access. Only the researcher has access to both the electronic files.
Furthermore, before starting each interview, the researcher verbally reminded each contributor
that their participation was strictly voluntary, they could forgo answering any question as they
see fit, and they could withdraw their consent at any time. All interviews were documented
verbatim using the professional transcribing resource, Rev (Glesne, 2011).
To ensure compliance with the University of Southern California’s IRB guidelines for the
protection of human participants, the researcher completed the CITI human subjects research
training and submitted a preliminary dissertation proposal of this study for review and approval
prior to data collection (USC, n.d.). The researcher also conformed to required federal
regulations, as listed in the DoD guidelines applicable to the protection of human subjects (DoD,
2011).
The final area of ethical consideration is the researcher’s position within the organization
being studied: the United States federal government. As a federal employee, I acknowledge that,
although I am interested in the outcome of this study as it relates to realistic possibilities for me
to advance to the SES Corps level, my role as a federal employee and as a researcher remained
segregated. Participants of the study included current federal government employees who hold
pay levels at either GS-14 or GS-15 (OPM, 2018a). I do not foresee confusion by members of
my organization based on my role as a researcher and worked diligently to ensure the data was
validated through member checking or by soliciting feedback on the interview findings to rule
out the probability of misinterpretation (Merriam & Tisdell, 2016).
58
CHAPTER FOUR: FINDINGS
Introduction
As introduced in Chapter One, the purpose of this research study was to examine the
impacts knowledge, motivation, and organizational influences have on the underrepresentation of
African Americans within the SES Corps. Specifically, the analysis was focused to understand
the ways those influences hinder the stakeholder goal of increasing the representation of African
Americans by 2%. Although a comprehensive study would involve all stakeholders, for practical
reasons, the stakeholder group for this analysis focused only on African Americans who hold the
pay level of GS-14 or GS-15 (or the agency equivalent). The following research questions
guided this study, however, only questions one and two were addressed in this chapter. The final
research question was based on the findings from the first two research questers and is addressed
in Chapter Five.
1. What is GS-14 and GS-15 African American’s knowledge and motivation related to
successfully competing for SES Corps positions?
2. What is the interaction between organizational culture and context and GS-14 and GS-15
African Americans’ knowledge and motivation related to African Americans successfully
competing for SES Corps positions?
3. What are the recommendations for organizational practice in the areas of knowledge,
motivation, and organizational resources related to increasing the percentage of African
Americans successfully competing for SES Corps positions?
Participating Stakeholders
The stakeholder group of focus were African American GS-14 and GS-15 (or an
equivalent) federal government civilian employees representing a vast number of different
59
agencies. In accordance with the interview criterion, the interview participants were employees
who identify as African American, hold a pay level at the GS-14 or GS-15 pay level, or an
equivalent, and who are employed by a federal agency under within the U.S. government. The
final criteria that interviewee participants hold the minimum qualifications needed to qualify for
SES appointments were also met.
A total of 10 African Americans responded to interview recruitment requests sent through
LinkedIn and was viewed by a total of 177 LinkedIn members. Of the 10 responses, eight GS-14
and GS-15 federal civilian members were interviewed. The final sample consisted of three male
and five female interviewees. One person who responded to the initial interview recruitment
request eventually declined the invitation to become an interviewee. One other person who was
identified as meeting the criteria responded only to inform the researcher that their LinkedIn was
not current and were now employed in the private sector. During the planning stages, the
researcher intended to conduct face to face interviews; however, due to the implementation of a
U.S. national emergency from the COVID-19 pandemic declared on March 13, 2020, all
interviews were conducted via the Zoom platform, a video conferencing software. All eight
interviewees were accommodating and cooperative considering the circumstances. The
demographic makeup of the interviewees by gender are represented in Figure 2.
Figure 2
Bar Graph of Gender
3
Males
5
Females
0
1
2
3
4
5
6
Bar Graph of Gender
60
Figure 3 represents the interview participants by gender and pay levels. The most notable
statistic shows that all of the female interview participants were at the pay level of GS-15, while
the males were all at the pay level of GS-14. Although the researcher does believe this sample
size is representative of the overall population, this is an interesting anomaly related to the
participants as African American women do not typically earn higher pay levels when compared
to African American males in Fortune 500 companies, state government, universities, nonprofit
organizations, and U.S. Congress (Hymowitz, 2016; McGregor, 2016 Parker et al., 2012).
Figure 3
Interviewee Pay Level Variations by Gender
Furthermore, Table 5 represents a summary of the demographic makeup of the interview
participants in relation to the number of years of service, the number of years servicing at the
GS-14 and GS-15 level, and participant names. In representing the participant names,
pseudonyms were used to ensure privacy and confidentiality for the individuals who participated
in the study. As represented below, the participant’s total number of years of federal service
ranged from one year to more than thirty years.
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Table 5
Summary of Participants: Professional Experience & SES Interest
Participants Pseudonyms Total Years of
Federal Service
Total Years at
Current GS level
Interested in
SES Corps
Interviewee #1 – Ms. White 20 - 30 1.5 years Yes
Interviewee #2 – Mr. Williams 10 - 20 1.5 years Yes
Interviewee #3 – Ms. Patel 30 or more 13 years No
Interviewee #4 – Ms. Clemont 20 - 30 9 years Yes
Interviewee #5 – Ms. David 1 – 5 2.5 years Yes
Interviewee #6 – Mr. Francis 20 - 30 4 years Yes
Interviewee #7 – Ms. Short 20 - 30 5 years No
Interviewee #8 – Mr. James 10 - 20 2 years Yes
Data Collection
Interviews
In order to recruit the interviewees who met the criterion, a recruitment survey was
distributed through LinkedIn, a professional social media website. The survey was only
demographic in nature. The survey began by first identifying the purpose of the research through
a brief summary of the problem of practice. The single survey consisted of 10 questions that
followed a standard survey method format to include clear, closed-ended, single-topic questions
(Creswell, 2014; Robinson, 2019). The total average time to complete the survey did not exceed
five minutes.
The survey distribution process began on May 15, 2020 and was viewed by a total of 177
LinkedIn members. Using purposeful sampling, the survey was also directly sent via LinkedIn
InMail service to 18 LinkedIn members and of these amounts, a total of 14 LinkedIn members
completed the survey (Creswell & Creswell, 2018; Maxwell, 2013). Participation reminders were
sent to LinkedIn members on June 15, 2020, and again on June 23, 2020. The survey was
officially closed on July 1, 2020. Upon completion of the survey process, eight male and female,
GS-14 and GS-15 (or the agency equivalent) federal civilian members were interviewed for this
62
qualitative research study that consisted of 17 questions, as identified in Appendix C.
Furthermore, a snowballing method was used, as interviewees were encouraged to refer criterion
qualified, potential interviewees to the researcher.
For each interview between fifteen to eighteen questions were asked in alignment with
the central interview questions identified in Appendix C. Various follow-up questions were
added based on interviewee’s responses and as deemed relevant by the researcher. As
aforementioned, the interviews were all conducted via the Zoom platform. Interview responses
have been stored in the Zoom cloud and will be deleted within a year of the interview date. The
transcribed interviews have been stored on the researcher’s personal computer. Identifiers
concerning the participant’s identity and the identity of their agency were not included with the
transcripts. The interview outcomes will not be shared or made public with any external parties.
Documents and Artifacts
In addition to interviews, this study utilized document analysis. The documents analyzed
for this study were limited to public documents issued by the federal government’s Office of
Personnel Management (OPM) and provided information regarding the process and
qualifications to become an SES member. The documents reviewed included SES recruitment
practices, SES hiring and review requirements, and OPM’s published statistical data that
contributes to the underrepresentation of African Americans in the SES Corps (Bowen, 2009;
Creswell, 2014; Merriam & Tisdell, 2016). Although reviewing these documents provided the
researcher a better understanding of the requirements to become an SES member and the overall
statistics and trends relating to the number of African American SES members, the process was
time consuming. Additionally, the documents did not uncover meaningful implications for the
knowledge, motivation, or organizational influences impacting the ability of the stakeholder
63
group to successfully compete for SES Corps positions. As a result, document analysis is not
incorporated into the findings of this study.
Knowledge Influence Findings
The first research question sought to uncover whether African American GS-14 and GS-
15 members had the knowledge and motivation related to competing for SES Corps positions.
All knowledge influences, including declarative, procedural, conceptual, and metacognitive were
assessed for all eight African American GS-14 and GS-15 members through interviews and
various publicly available documents generated by the OPM. However, based on responses to
the interview questions, all eight participants conveyed a clear understanding of the executive
core qualifications (ECQs); therefore, no gaps were validated as a need under procedural,
conceptual, or metacognitive knowledge influences. The determination to validate knowledge
influences as a need or as an asset was determined based on an agreement in responses among
interview participants. Document analysis did not yield meaningful information for any of the
assumed knowledge influence gaps, and document analysis will not be discussed in regards to
each of the knowledge influences in the sub-sections below.
One theme emerged and recurred with all the interviewees surrounding the preparation of
ECQ packages. The consensus was that the preparation of the ECQ packages is a process that is
expensive and can be complex, requiring most to use a professional writing organization to
compose their ECQ packages. Therefore, the results presented in the succeeding section will
address the sustainment of a single declarative knowledge influence based on the emerging
theme. All other assumed influences were not determined to be areas of need based on the
findings. Table 6 highlights the summary of the knowledge assumptions and the findings.
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Table 6
Summary of Knowledge Assumptions and Findings
Assumed knowledge influence
Knowledge
type
Knowledge influence
assessment Validation
(NEW) African American GS-14 and
GS-15 members do not have detailed
knowledge of the components of ECQ
packages in order to create exemplary
ECQ packages when competing for
SES Corps positions.
Declarative
(Factual)
Interviews, document review Need
African American GS-14 and GS-15
members know the requirements and
resources available to them to compete
for SES Corps positions.
Declarative
(Factual)
Interviews, document review Asset
African American GS-14 and GS-15
members understand the processes for
applying for SES Corps positions.
Procedural Interviews, document review Asset
African American GS-14 and GS-15
members are able to assess their own
strengths and weaknesses to develop
strategies to improve their
competitiveness for SES positions
Metacognitive Interviews, document review Asset
Findings Related to Declarative Knowledge
African American GS-14 and GS-15 Members Do Not Have Detailed Knowledge Needed to
Prepare Competitive ECQ Packages
Interviews were used to assess African American GS-14 and GS-15 members’
declarative knowledge relating to competing for SES Corps positions; this area was found to be
an asset. All eight participants expressed an overall knowledge of the requirements and resources
associated with competing for SES Corps positions. All participants communicated that the
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preparation of an exemplary ECQ package was a number one necessity when competing for SES
positions. Although the knowledge of the process was communicated, all of the interviewees of
this study attested to the expensive and complex nature of these extremely important SES ECQ
packages. They all expressed a strong belief that there seems to be a high correlation between the
ability to successfully compete and the quality of an applicant’s SES ECQ package.
The results of the interviews indicated that six out of eight African American GS-14 and
GS-15 members saw the reinforcement of their ECQ knowledge as a pertinent method of
increasing their success of being selected for or appointed to SES positions. All of the
participants emphasized the significance of reinforcing their ECQ knowledge as a tool to
improve their cognitive integration of learning (Clark & Estes, 2008; Kirkpatrick & Kirkpatrick,
2016). For example, Ms. Patel affirmed her knowledge of the ECQs and stated:
I do know about what the executive qualifications are. And have actually done a lot of
research in making sure that I have the experience and that I can speak to those if I so
choose to apply for a position, or even applying it to my work process.
Ms. Patel was speaking to her extensive knowledge of the SES qualifications required to
successfully compete and was confident in her knowledge and ability to compose an exemplary
ECQ package. Overall, all interviewees expressed a general factual knowledge of the
requirements to successfully compete for SES Corps positions. When asked a follow-up question
about ways to enhance ECQ knowledge in order to prepare high quality packages, all eight of the
interview participants communicated the extreme importance of having additional opportunities
to obtain better knowledge on how to compose the ECQs. The lack of training classes geared
specifically at composing superb ECQ packages was articulated as an added knowledge resource
not provided at the organization level, but one which would avail competitors from incurring the
66
personal expense of hiring an outside firm to compose the ECQ packages. Recommendations
related to providing training to overcome this knowledge gap in Chapter 5.
Findings Related to Procedural Knowledge
African American GS-14 and GS-15 Members Possess Strong Procedural Knowledge
Interviews with African American GS-14 and GS-15 members identified in a full
understanding of the process (requirements or resources needed) to be appointed to or to compete
for SES Corps positions among all participants. Based on responses to interview questions there
appears to be abundance of general procedural knowledge among those selected for interviews.
This conclusion is evidenced by data gathered during interviews with African American GS-14
and GS-15 members: eight out of eight participants understood the process.
For example, when asked about his understanding of the process (requirements or
resources needed) to be appointed to or to compete for SES Corps positions, Mr. Williams
responded saying, “I know there's a detailed application process including having some time of a
mentor and several classes that must be completed.” He continued, saying he knew of one person
from an Army agency who prepared for SES by attending an “SES Academy” but included that
each agency may not require the attendance of the SES Academy. Likewise, when Ms. Short was
asked, she responded confidently that she knew the process and that it included the completion of
an ECQ package in which the person has to “address each one [ECQ] of them in writing” and
after applying for the opening, the ECQ package must be “approved by OPM.” Similarly, Ms.
Patel described, in detail, her knowledge of the process, saying:
I do know about the ECQs and have actually done a lot of research in making sure that I
have [the knowledge of the process] and that I can speak to them [the ECQs]. I know
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what those qualifications are, I know what they mean, and what the critical elements are.
So in essence, I'm very clear about what it takes to meet those qualifications.
Hence, preceding responses supported that the interviewees held an abundance of procedural
knowledge.
Findings Related to Metacognitive Knowledge
African American GS-14 and GS-15 Members Have Robust Metacognitive Knowledge
Interviews with African American GS-14 and GS-15 members indicated intensive
knowledge of the qualifications to compete for SES Corps positions. This conclusion is
evidenced by data gathered during interviews with African American GS-14 and GS-15
members: eight out of eight were able to express their competencies in relation to the
qualifications. Interview responses displayed that the interviewees felt their qualifications were
already strong enough to successfully compete for SES Corps positions. However, fully
determining whether this influence was an asset or gap is a challenge due to the perception
among participants of organizational influences, discussed subsequently in this chapter, as
presenting the most significant barriers to their advancement as opposed to specific weaknesses
they possessed.
Three interview questions were presented to directly identify metacognitive knowledge
gaps. In response to questions addressing metacognitive knowledge gaps, none of the eight
participants expressed specific weaknesses or specific plans to further develop their skills. They
all felt their past professional experience was more than sufficient in order for them to
successfully compete. For example, Mr. Williams affirmed his belief that his experience meets
the qualifications to successfully compete saying, “I think my overall experience [from] outside
and inside the government would propel me to be at the top.” Similarly, when questioned how
68
her feelings relating to her qualifications, Ms. Clemont responded by saying, “I have a good
diverse skill set as a lead [position censored] and now being a supervisor has given me definitely
some more experiences…[with] dealing with people and conflict.” She did mention a desire to
gain other professional experience of working directly with her sponsors but that the skillset is
not identified as a qualifier to become an SES members according to OPM guidance.
Additionally, Mr. Francis, responding to the same question, asserted that “you don't get to this
point without having the required qualifications.” He adding saying, “I was involved in [and]
actually helped with the set up the cyber security division for [organization censored] and got a
lot of kudos from that.”
Therefore, preceding responses supported that the interview participants were clearly able
to identify strengths but did not specifically identify weaknesses based on the interview
questions posed. Upon reflection, the researcher acknowledges that additional questions to
engage and draw out specific weaknesses would have been beneficial and is an area for further
exploration. As aforementioned, metacognitive knowledge is defined as the knowledge of
cognition, as well as awareness and knowledge of one’s own cognition. In accordance with the
three questions that focused on metacognition, metacognition was presented through the
reflection identified as organizational barriers.
Motivation Influence Findings
This research study evaluated three assumed motivational influences addressing interest,
task and utility expectancy value, and self-efficacy. These influences were assessed through
interviews with all eight African American GS-14 and GS-15 members in accordance with the
gap analysis model provided by Clark & Estes (2008). Motivation, as defined by Mayer (2011),
is an internal activity that triggers the sustainment of goal-directed activities. A new finding
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emerged as a result of interview responses relating to the emotions of African American GS-14
and GS-15 and their degree of hopefulness that they can effectively compete for SES Corps
positions. The resulting findings from the interview participants are presented in detail. Each
assumed influence was proven as an area of need or an asset in alignment with the findings.
Document examination was not conducted for this influence. Table 7 highlights the summary of
the motivation assumptions and the findings.
Table 7
Summary of Motivational Influences and Evaluation Results
Assumed motivation influence Motivation type
Motivation influence
assessment
Validation
African American GS-14 and GS-15
members need to be interested in
competing for SES Corps positions.
Interest Interviews Need
African American GS-14 and GS-15
members need to believe that preparing to
compete for SES Corps positions will
improve their chances for success.
Expectancy
Value
Interviews Need
(NEW) African American GS-14 and GS-
15 members need to be hopeful that they
can effectively compete for SES Corps
positions
Emotions Interviews Need
African American GS-14 and GS-15
members need to be confident they are
capable of successfully competing for an
SES Corps position.
Self-Efficacy Interviews Asset
Findings Related to Interest
African American GS-14 and GS-15 Members Need to Have Interest In Competing
The first research question was used again, in an effort to uncover whether African
American GS-14 and GS-15 members are interested in competing for SES Corps position. At the
beginning of each interview, participants were asked if they were interested in competing for any
70
SES Corp positions. As shown in Table 5, six out of eight participants were interested in
competing for SES Corps positions. The two participants who were uninterested in competing
for the executive levels were at the end of their careers and expressed not having any interest in
competing for SES positions. One of the two uninterested, Ms. Patel, stated the following:
I'm probably not a good person to ask that question, simply because I have worked a
good thirty years [and have] served in that position in an acting role. I have become
somewhat discouraged about seeking an SES position, simply because I look around my
agency and I don't see a lot of people that look like me. So, that's discouraging. And at
this stage of my career, it's a lot more responsibility for not much more in pay. So, for
me, it's not something that I aspire to.
Ms. Short, the other participant with no interest in competing for SES positions, expressed
similar sentiments, directly saying, “I am not” when asked the same question. She elaborated
with “Well, you have to understand I'm at the end of my career. So, I can retire at any day if I
want to.” As she continued, her level of interest also seemed to be impacted by “what [she has]
seen of the SES” and the political nature of the appointment. In her following statement, she
reflected on political nature of the appointment saying:
I feel like they have this whole political sense to them and that they can do this when they
really mean no, and I'm just not that type of person. So, I can't sit back and watch and go
with things just because it's the political thing to do, the correct thing to do. So, I've just
never had the desire to be an SES because I always, I don't have the political savviness to
really, yeah, to really, to seem to fit in with what I've saw from other SES people.
While the findings from the interviews revealed 25% of participants were not interested
in competing for SES positions, 75% of participants held an interest in competing for SES roles.
71
Ms. White stated that she has strategically navigated her career with the ultimate goal of
becoming an SES. She also communicated that she had already begun submitting applications
for SES positions and was not discouraged by not yet being selected. Ms. Clemont
communicated her interest in competing had been aroused based on the ensuing national
conversations surrounding racial injustices and inequalities following the murder of George
Floyd in May 2020. She affirmed:
Well, I guess to be honest with you, originally, I had no desire to be SES, to do it. I didn't
see the benefit of it. So, to be perfectly frank and honest with you, my drive now has been
recently, since everything that is going on in the past two weeks. And I think that in order
to make the most effective change, that it would be more beneficial to have a seat at the
table where they're making decisions to make my voice heard. So, my desire to be SES,
like really just started in the past couple of weeks.
When answering the same question, Ms. David, enthusiastically responded, “Absolutely!...[and]
because I have a number of years to still work if I'm going to be in it, I might as well go ahead
and apply to the SES core” Ms. David, expounded that she prefers the federal government
system “because of the work-life balance, because the benefit is I can focus on the mission and
not have to chase a revenue goal.” Unlike the other interviewee participants, Ms. David was
recruited directly into a GS-15 position from a corporate, public consulting firm. She continued
stating that while “in management consulting, it's all about how much money can you give for us
year-over-year, with existing clients or new clients, or whether or not they need the services or
the solution.”
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Findings Related to Task and Utility Expectancy Value
African American GS-14 and GS-15 Members Need to Have Task and Utility Expectancy
Value In Competing
It was important to understand within the framework of this study whether African
American GS-14 and GS-15 members felt value in competing for an SES Corps positions and
believed that with adequate preparation would improve their chances for success when
competing for SES Corps positions. The stakeholders interviewed validated the motivational
influence assumption that African American GS-14 and GS-15 members need to feel that there is
utility value in competing for an SES Corps position. As noted previously in the knowledge
findings section, interviewees responses divulged that all of the stakeholders have sufficient
knowledge with regard to the process of competing for SES positions. Additionally, the
stakeholders’ responses revealed a strong understanding that extensive preparation of ECQ
packages will improve their chances for success when competing for SES Corps positions.
However, specific to their expectancy for success in competing, they articulated that any level of
extensive preparation would not combat the implicit and explicit bias tied to a lack of ethnic and
racial diversity, which negatively impacts their expectancy.
Rueda’s (2011) affirmation that value serves as the most important piece to encourage the
start of an activity and that an individual’s expectations of a desired outcome are far more
weighed in developing persistence proved true in this research study. Although all interviewees
recognized the value in competing, there were 25% who had no interest in competing. Both
interviewees who communicated that their lack of interest was partially tied to a low expectancy
of being considered for selection due to the presence of racial bias if they had chosen to compete.
Therefore, through the testimonies of interview participants, the perception purported by Eccles
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(2006), Pintrich (2003), and Rueda (2011) relating to the impact expectancy value can have on
the motivation on the individual was verified. For example, Ms. White communicated that the
continuous appointment of European American men or women into these coveted positions in
spite of a more or equally qualified African American candidates affected opinion about task and
utility expectancy value. When questioned about her expectations that African American
candidates would be considered for selection without racial bias, she responded saying: “None.”
She continued saying that she did not feel African Americans were given the same opportunities
to be “selected to go into an SES Candidate Development Program.” Mr. Williams expressed a
similar sentiment, saying:
[SES] training programs can run for a little while [timeframe]…and some supervisors
will deny the opportunity to go by saying, "Oh, we can't afford to let you go for a while."
So in a way it's kind of, I just hate to say highly discouraged, but it seemed like it's
discouraged, [because] there's always some excuse.
Additionally, since interviews took place during and following the May 2020 murder of George
Floyd and the subsequent nationwide protests against racial inequity and injustice, it seemed
apparent that all interview participants were identifying with incidences of racism and racial bias
even through the subtle selection of SES appointments.
While all African American GS-14 and GS-15 members interviewed felt there was value
in competing for SES Corps positions, Mr. Williams conveyed feeling deterred by the position’s
apparent requirement to lose oneself in order to gain this executive appointment. He summarized
that losing himself is a trait he does not possess and that his inability to do would be “one of my
downfalls” …but one that he “probably not going to change” because it is important to him to
“be who I am.” Elaborating, Mr. Williams continued saying:
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And so I can't change who I am, I'm not saying I'm perfect, that's one thing, but to put my
morals aside, because I see what's going on with the government from a GS position, I
started at a WG position, a worker grade position, and worked my way up and did all this.
Mr. Williams was expounding on a point that his unwillingness to lose his sense of self could
alter his expectancy to successfully compete for the SES level.
Findings Related to Emotions
African American GS-14 and GS-15 Members Need to Have Positive Emotions
A new finding that emerged from the interview questions surrounding motivation was
related to emotions. Motivation includes a measure of an individual’s expectancy but also the
emotion, effort, and importance tied to completing a particular task (Eccles, 2006; Rueda 2011).
Emotions are an integral part of motivation and are reinforced as a component of motivation
when employees are provided a positive emotional environment (Clark & Estes, 2008; Lord et
al., 2002; Pekrun, 2011). Albeit homogeneous to mood, emotions are dissimilar in length.
Emotions tend to be short-lived and in direct response to specific events. Pekrun (2011)
postulated that individuals have control over their ability to activate and deactivate emotions to
include anxiety, anger, and hopelessness and the choice to either active or deactivate negative
emotions produce a lack of motivation to pursue challenging tasks. Therefore, in order to
successfully accomplish the stakeholder goal, it is essential to address the effect emotions have
on African American GS-14 and GS-15 members’ decisions to pursue SES positions as
evidenced by the interviews with this study’s participants.
As a result of the participant’s responses, the researcher discovered that although all of
the stakeholder’s interviewed had very high levels of confidence in their professional experience,
education, and abilities to successfully perform the duties of a SES member, they also
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communicated feeling a lack of hopefulness (emotion) that they can pursue SES positions
without encountering racial bias (implicit and explicit). Specifically, Ms. David shared her
experience during her recruitment and salary negotiation process that created negative feelings.
Ms. David expressed feelings of frustration by stating how she felt she was presented with
roadblocks to obtaining her current GS level. She explained how she was highly sought after,
recruited, and encouraged to apply and join the agency, a process that took a total of three year
from proposal to acceptance. She was recruited by a former colleague who knew her abilities and
experience, yet when it came to the onboarding process, she was offered the job as a contractor,
which is a non-GS appointment with less sense of security and stability. Moreover, she was not
selected for the Chief of Staff position she aspired to despite her direct experience in the
industry. She further reflected how the person hired to fill the Chief of Staff role was a European
American woman who “did not have any experience in this capacity.” This individual would
then be the person who negotiated her compensation package with lots of pushback. Ms. David
felt the starting salary and leave package offered was a “low ball” that was not “commensurate
with [her] experience.”
Through this experience (and past experiences), she communicated feeling frustrated by
the roadblocks presented; she also felt that they were a direct result of her ethnicity, although
never overtly stated during the hiring process. She elaborated saying that her European American
counterpart displayed implicit resentment towards Ms. David for entering into the government at
the highest pay level. Within one year of Ms. David’s arrival, the same counterpart was
appointed into an SES appointment despite her lack of career specific experience.
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All of the interview participants conveyed strong emotions relating to the impact racial
bias has on the progression of African Americans into SES positions through their answers to
other interview questions. For example: Mr. Williams, stated:
I think we have maybe 400 people. I myself do not know any African Americans at the
agency at the time, SES personnel. And from being at other agencies and departments, I
would say is the unseen pushback of getting African Americans in those positions.
Very similar experiences and feelings of overall frustration with the impact of racial bias was
shared and expressed when Ms. Clemont verbalized:
When I first got there [specific agency censored] 20 years ago…we had one black guy
and so we only had the one black guy for like for years who are in tier one, tier two
leadership [SES equivalent] I mean, years. And that's the only [African American] that's
been in leadership since I've been there 20 years.
The preceding findings show that African American GS-14 and GS-15 members have developed
some negative emotions as a direct result of past and present experience with implicit and
explicit racial bias towards people of color. The development of these negative emotions may
hinder their behavior and emotions regarding a progressive journey into SES appointments and
therefore negatively impact the ability to achieve the stakeholder goal.
Findings Related to Self-Efficacy
African American GS-14 and GS-15 Members Possess High Levels of Self-Efficacy
Interview responses from African American GS-14 and GS-15 members indicated a high
level of confidence of their capability to successfully compete for SES positions. Based on
responses to interview questions, an abundance of self-efficacy was apparent among those
selected for interviews. This conclusion is evidenced by data gathered during interviews with
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African American GS-14 and GS-15 members: eight out of eight identified this influence as an
asset. Table 8 summarizes their responses with example quotes related to self-efficacy and their
current level of confidence of their capability to successfully compete for SES positions.
Table 8
Participants Comments About Self-Efficacy
Participant Responses
Ms. White
My level of confidence is extremely high that I'd successfully compete for
SES positions. Even though I haven't yet been selected for positions I have
applied to I think my overall experience with over 20 years in the
government will propel me to be at the top.
Mr. Williams
I have a high level of confidence. With my experience inside and outside
of the government coupled with I value my personnel makes me very
confident. Also I'm not the one to downgrade personnel behind their back.
I'm always trying to make the whole situation better. You need personnel. I
want to make it a win-win.
Ms. Patel
Absolutely, yes, absolutely. I'm confident. If I put my mind to it, I can
successfully compete. I believe I'm well-respected, and I'm very well
respected for what I bring to the table.
Ms. Clemont I feel like I have...a good diverse skill set. I feel highly confident.
Ms. David
With my experience including working for a very large management firm.
And while I was there, I was the director at that firm. So, I feel like I could
be an SES today. I felt like I could have been an SES when I came into the
government.
Mr. Francis
Yes, I would definitely say my level of confidence is high. I think that my
two decades of experience coupled with the completion of my doctorate
...in motivational leadership ... it puts me ahead of the race or at least in
the running.
Ms. Short
I have the confidence that my experience would make me successful at
competing for a SES role.
Mr. James
At the risk of sounding arrogant...I think that I could compete at the SES
level. I think I would be competitive.
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The organizational influences assumed to be impacting the fulfillment of number of
African American GS-14 and GS-15 members successfully competing for SES Corps positions
are evaluated in the following section.
Organizational Influence Findings
This research study used interviews and various publicly available documents generated
by the OPM to address the second research question, interaction between organizational culture
and context and GS-14 and GS-15 African American’s knowledge and motivation related to
African Americans competing for SES Corps positions. Cultural models and settings are closely
related and extremely important as both can undermine performance goals for organizations
(Clark & Estes, 2008). The determination to validate organizational influences as a need or as an
asset was determined based on an agreement in responses among interview participants. Based
on an analysis of participant interview responses, the researcher revealed the need for the
organizations who employ African American GS-14 and GS-15 members to create
organizational environments that support their desire of being advanced into SES appointments.
This assessment first focused on the cultural model of trust to address the relationship
between the cultural model of trust relationships of leaders within the agencies of the federal
government and their African American GS-14 and GS-15 members. Afterwards, the next
cultural model assessed focused on the organization’s general willingness and acceptance to
select qualified African American GS-14 and GS-15 members for SES appointments. Following
the cultural models impact on the problem of practice, the culture settings assessed for validation
was the availability and accessibility of mentorship programs for African American GS-14 and
GS-15 members aspiring to become SES members. The evaluation of the interviews validated
three significant findings related to organizational influences including: the existence of a culture
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of trust, a general acceptance and willingness to hire qualified African American GS-14 and GS-
15 members into SES vacancies, and the availability of mentorship program geared at increasing
exposure and preparedness of African American GS-14 and GS-15 members. The last
organization influence was identified as an asset, as all of the interviewees felt the federal
government agency’s system of employee performance appraisal systems are standardized which
have increased equality in evaluations, excluding social or ethnic bias that for African American
GS-14 and GS-15 members aspiring to become SES members. The details of the specific ideas
that materialized from the research findings in connection with organizational models and
settings are presented as follows. Additionally, Table 9 highlights the summary of the
organizational assumptions and the findings.
Table 9
Summary of Organization Influences and Evaluation Results
Assumed organization influence
Organizational
influence type
Organizational
influence
assessment
Validation
The organization needs to develop a culture of
trust by providing training opportunities to
qualified African American GS-14 and GS-15
members in order to achieve the goal of increasing
the percentage by 2% for African Americans
serving in SES Corps members.
Cultural Model Interviews Need
The organization needs to support developing a
general acceptance and willingness to hire
qualified African American GS-14 and GS-15
members into SES vacancies to increase the
percentage of African American SES members.
Cultural Model Interviews Need
The organization needs to develop a mentorship
program geared at increasing exposure and
preparedness for African American GS-14 and
GS-15 members to become SES members.
Cultural Setting Interviews Need
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The organization needs to ensure qualified
African American GS-14 and GS-15 members
will be evaluated equally, excluding any social or
ethnic biases.
Cultural Setting Interview Asset
Findings Related to Cultural Models
Organizations Need to Develop a Culture of Trust Among African American GS-14 and GS-
15 Members
The hindrances to achievement of performance goals are shaped by ineffective and
inefficient organizational cultures that create barriers by being incapable of building and
sustaining positive professional relationships with organizational stakeholders was purported by
Clark & Estes (2008), Denning (2005), and Denning (2008) and introduced in Chapter Two. This
finding was affirmed through interviews with African American GS-14 and GS-15 members who
have extremely high levels of knowledge and motivation. All eight of the interview participants
represented different federal agencies, however, 88% out of 100% expressed feeling a lack of
trust at their organization which appears to support the representation of a deficit among
members across the entire organization. These philosophies support how the barriers that are
created then cascade downward to produce a causal relationship between the difficult to identify
negative cultural models and to more visible culture settings within organizations. Hence, in
order to successfully accomplish the stakeholder goal, it is fundamentally beneficial to address
the influence a culture of trust has on African American GS-14 and GS-15 members decision to
pursue SES positions.
As revealed by the responses of study participants when asked about their level of trust,
only one person expressed feeling trust that their organization provided opportunities for
qualified African American GS-14 and GS-15 members to become SES members. The other
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respondents shared feeling absolutely no trust or some trust in their respective organizations.
Figure 4 captures participant responses based on their level of trust in the organization.
Figure 4
Participants’ Level of Trust in Their Organization
Of the four respondents that expressed having no level of trust, Ms. David stated, “I don't trust
them as far as I perform because of what I see.” Her lack of trust has been fueled by firsthand
experiences of inequity. She continued, describing an encounter, saying:
My manager was a GS-15 just like me, a (position censored) that is specific to education
with no knowledge of being an executive director, yet she leap-frogged from a GS-15 to a
SES, then to immediately acting as the executive director of our program. Unbelievable.
So, I have zero trust, zero.
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She went on to say “I observed a talented [African American] who I knew firsthand, saw her up
close and personal, and also knew that top managers went to her frequently for decisions or even
decision-making,” but the individual was still not selected for an SES appointment.
Likewise, when responding to the question about the level of trust, Mr. Williams
reflected on how his experiences seeing both implicit and explicit racial bias during his tenure
has eliminated his level of trust in the SES review process even as an African American who is
interested in becoming an SES member. In contrary, Mr. Francis was among the 38% of
interviewees who expressed some level of trust that the organization will provide opportunities
for qualified African American GS-14 and GS-15 members to become SES members. He arrived
at his opinion by extrapolating that when compared today to the late nineties, when he entered
government service, “government employment has leveled the playing field somewhat” for
African Americans “because if you go back in time, let's say 20 years ago, when basically all the
bosses, all the first line supervisors, second line supervisors, were White males, it was definitely
a hard road to hoe.” Elaborating, Mr. Francis added:
I had one black supervisor who did tell me that pretty much everybody that made it to
levels of GS-13 or higher had some type of (Equal Employment Opportunity) EEO
[compliant] in their file. It's like, [African Americans] didn't break that ceiling to get into
first line supervisor and above without having to file a complaint.
Since the evidence shows a weak trusting relationship between stakeholders and their
organizations, this organizational influence is a gap.
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Organizations Need to Support Developing a General Acceptance and Willingness to Hire
Qualified African American GS-14 and GS-15 Members
Through responses to interview questions, the researcher was able to deduce that study
participants did not believe their current or past federal organizations had a general acceptance
and willingness to hire qualified African American GS-14 and GS-15 members into SES
vacancies. Using his vast experience from both his current agency and from prior agencies, Mr.
Williams stated that there is an “unseen pushback of getting African Americans in [SES]
positions.” Mr. Williams’s perception was developed over almost twenty years of federal civilian
service and as someone who was promoted from the WG (worker grade) level to his current GS-
14 level. Ms. White purported that to navigate through the lack of general acceptance and
willingness to hire qualified African American GS-14 and GS-15 members into SES vacancies,
she has strategically navigated her career at the same agency throughout her tenure, receiving
promotions along the way. She believes this strategy will increase the organization’s general
acceptance and willingness to appoint her into SES vacancies. Ms. Patel also reported that her
agency does have a general acceptance and willingness to promote qualified African American
GS-14 and GS-15 members into SES vacancies. She stated that although her agency seems to
support qualified African Americans to achieve the GS-14 and GS-15 level, she had only “seen
one black female be promoted to an SES.” Ms. Clemont, who is in a very specialized career
field, also felt her agency only “talks about [increasing] the participation rate of the different
minority groups as it relates to hiring top leadership” but then does not “actually afford [African
Americans] the opportunity” to hold SES positions.
Eight out of eight interview participants expressed doubt that the organization as a whole
has a general acceptance and willingness to hire qualified African American GS-14 and GS-15
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members into SES vacancies. Overall, they thought that despite efforts to diversify the SES
Corps, there still exists a “good ole boy system” that has permeated the federal government. All
conveyed observing a disproportionate number of European American, mostly men, in these
coveted SES positions. Three specific interviewee participants, Mr. Williams, Ms. David, and
Mr. Francis, described their view of SES appointments as a “good ole boys” network. In modern
vernacular, the term a “good ole boys” network typically represents a system or organization
exclusive to European American or White males which perpetuates the continuance of historical
racism, sexism, and favoritism (Schumer, 2020). Mr. Francis, however, was optimistic for an
upcoming shift in the direction of more inclusivity of non-White males and a “diversity of
thought” but still felt the active inclusion of qualified African Americans were a ways away. Mr.
Williams’ comments on the matter exposed the complexities that can occur when someone
attempts to circumvent the “good ole boys” network, stating:
There’re different avenues to take [however] if you don't go the way your mentor or
previous people have gone, you could be looked at as, (someone) who doesn't want to
comply. When you take the SES oath, you do it for the people and for the government
[but] it seems like [some people are] doing it for themselves or for the good old boys
club.
In another instance to affirm the lack of general acceptance and willingness to hire qualified
African American GS-14 and GS-15 members into SES vacancies, Ms. White shared an
experience in which an African American was not selected for the SES role they applied for,
although they were serving as the interim executive leader at the time. Instead of selecting the
interim African American SES, for the permanent position, they selected a European American
woman who had limited federal service and experience in the career field. However, once this
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European American woman was selected, she proceeded to lean heavily on the same African
American who was not selected for guidance and assistance in their new role. After a period of
time, the African American who was not selected decided to retire in lieu of providing training,
assistance, and guidance to the European American who did not understand the nuances of her
new SES role. This example relayed by Ms. White underscores the detrimental impact the lack
of willingness to hire qualified African American GS-14 and GS-15 members into SES
vacancies has both on the member and on the organization.
The preceding findings validate the need to support developing a general acceptance and
willingness to hire qualified African American GS-14 and GS-15 members interested in SES
appointments. Without modifications to this cultural model, the achievement of the stakeholder
goal could be negatively impacted.
Findings Related to Cultural Settings
Organizations Need to Develop a Mentorship Program Geared at Increasing Exposure and
Preparedness for African American GS-14 and GS-15 Members
While cultural models are those invisible and sometime unconscious elements of the
organization, culture settings are typically exhibited through outward and visible characteristics.
In speaking about the way organizations can improve their cultural settings, all eight study
participants concurred that there is a great need for agencies to provide relatable mentors who
can provide models to African Americans interested in pursuing SES appointment, so they can
effectively prepare for the competitiveness of the process. All interview participants shared how
encouraging it would be to have mentors who were not exclusively European Americans (mostly
older males). Having only this demographic as mentors left participants to decipher and hope
their European American mentors understood the importance of hiring African Americans and
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who would be equally supportive to the plight of African Americans seeking SES appointments.
They expressed the impact a lack of relatable mentors has on those struggles and experiences.
However, assumptions cannot be made about the thoughts, beliefs, and support of non-
Black mentors, as asserted by Mr. Francis who stated that “just because the guy's a White male,
we can't really say to ourselves, "Okay, this guy is not going to be friendly to our cause." In
addressing the lack of relatable mentors and models, he continued saying:
There is nothing specifically targeted for minorities to advancement to the SES level.
There are leadership and mentorship programs on both the local, and regional level, but
nothing targeted at minorities. That's [a] problem that my agency has…if you want any
type of personal mentoring, you're going to have to find that mentor yourself. I had to
find a mentor. I sort of grabbed them and figuratively threw him up against the corner
and was like, "Hey, give me some pearls of wisdom."
Mr. Francis related another experience to the importance of African Americans who are aspiring
to become an SES position of having an opportunity to have relatable mentors, specifically
during tumultuous times of racial unrest. He shared that at his organization there was a “White
male, 30-year old guy” who was both a mentor and leader at his organization. He describes the
gentleman as “a conservative [President] Trump supporter, but very nice person who interacted
extremely well with the workforce, and was a general joy to be around.” Continuing, Mr. Francis
explained:
That [during] a change of command and subsequent farewell speech which occurred
during the height of protests surrounding the murder of George Floyd. These nationwide
protests put the young leader and mentor in a position in which he felt compelled to
address it, so he read a generic pre-prepared statement provided by Defense Secretary
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Esper. [As he read], he was audibly uncomfortable and his body language gave the
impression that he did not want to address the topic.
Continuing, Mr. Francis recounted that in contrast, the incoming leader and organizational
mentor started his opening speech to the agency with a statement to address the unrest, saying,
"I'm not a Black male. I've never been a Black male. However, it's important, as a country, we
need to start recognizing the plights of the people who, we're not in your shoes." Mr. Francis’
story of his recent experience serves to make a distinction between two very different types of
European American leaders and mentors. Those who are comfortable addressing the proverbial
elephant in the room and those who shy away from difficult conversations relating to racial
inequalities towards people of color, specifically African Americans. Mr. Francis felt this was
important because in order to have a successful mentor/mentee relationship, a mentor must value
their mentee as a person and acknowledge their personal experiences and to gain the trust and
respect of their mentees.
In expressing her views on having relatable mentors, Ms. Short stated the following:
If there was some [mentors] of color who were willing to help and mentor other African
Americans, I think that would go a long way as well. The couple that I've seen around the
table that is at this agency, they were almost like the other ones, I hate to put it that way,
but it was almost like, they never sort of reached out and never talked. They weren't very
open to me.
She continued saying that all of the mentors she saw were “usually White women or White
men,” which is why she expressed a need for African Americans mentors for those wanting to
pursue SES positions. Other participants shared a similar viewpoint referencing to the need for
relatable mentors. For example, Mr. James stated the following when addressing the same
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question, “I think that's important [to] have a mentor, but I don't think that there is enough of it
either at the formal level or either at the informal level.” He did not believe that the mentor
needed to come from the “same career field” or agency but did think it was important for them to
be a person of similar ethnic backgrounds. Mr. James continued saying:
People gravitate towards people who look like [themselves] because you want to know
what their experience is and how they were able to navigate through any obstacles that
may have been out there for them and the lack of that representation I think dominoes
into a lack of mentorship for younger professionals who may be seeking the SES.
Mr. James recounted his personal perception of existing SES members when he started as a new
federal government employee who had recently retired from the military. He linked his personal
perception of SES members to the necessity of having relatable mentors early in an employee’s
career. He said that “when [he] looked at SES members, [he] thought “they must have gone to
Yale or Harvard.” He continued saying, “I saw them as something unattainable, instead of being
encouraged [at a] younger stage of my career, that I too can pursue this role.” The preceding
findings validate the assumed organizational influence that asserts that organizations need to
develop mentorship programs geared at increasing exposure and preparedness for African
American GS-14 and GS-15 members interested in SES appointments; without modifications to
this cultural setting for the organization, the achievement of the stakeholder goal could be
negatively impacted.
Organizations Need to Ensure Qualified African American GS-14 and GS-15 Members Will
be Evaluated Equally, Excluding any Social or Ethnic Biases
Through responses to interview questions, the researcher was able to deduce that study
participants generally believed that, although faced at times with explicit and implicit racial bias,
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the federal government agency’s system of employee performance appraisal systems has made
significant strides to streamline the employee evaluation process. These changes have assisted in
achieving equitable performance evaluations. Based on responses of those interviewed, the
researcher concluded that there appears to be abundance of confidence that qualified African
American GS-14 and GS-15 members will be evaluated equally, excluding any social or ethnic
biases. This conclusion is evidenced by data gathered during interviews with African American
GS-14 and GS-15 members: seven out of eight identified this influence as an asset, as shown in
Table 10
Participants Comments on Employee Evaluations
Participant Responses
Ms. White
I do but I just always feel like we [African Americans] have to do so much more in
order to be deemed as equal.
Mr. Williams
I would say yes, there is a strong possibility that people of color, African
Americans, who want to be considered and evaluated are being evaluated equally.
I can't really say beyond a shadow of a doubt because I'm not on any [review]
boards of grading applications for SES, but this is certainly a possibility.
Ms. Patel
I would like to believe that's the case but I wouldn't unequivocally say that people
are able to step outside those biases and give a fair evaluation. Especially since
when you look around and you don't see anyone, then that would suggest that
either you're [evaluators are] not going the length to find viable African American
candidates, or you're not trusting the process to turn up qualified [African
Americans], to bring in candidates. Or you're looking in a specific area because
you've already decided what [who] you want.
Ms. Clemont
I do think in the grand scheme of things, in general, we're all rated on a fair scale.
Ms. David
No
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Mr. Francis
Yes. I think that measures [strides] have been put into place because of
government employment has leveled the playing field somewhat in recent years.
Coupled with the fact that there are more African Americans and other minorities
who are getting put into positions to where ... because if you go back in time, let's
say 20 years ago, when basically all the bosses, all the first line supervisors,
second line supervisors, were white males, it was definitely a hard road to hoe. this
is important to digest because when I first came in, in the 1990s, I had one black
supervisor who did tell me that pretty much everybody that made it to levels of
GS-13 or higher had some type of EEO action in their file. It's like, you couldn't
break that ceiling to get into a first line supervisor role and above without having
to file a complaint.
Ms. Short
That's a good question too. I just think it all depends on who's doing the
evaluation. I think some areas that it, they probably are evaluated fairly. And I
think there are some areas that they probably are not, I think it's probably equal
across the board. I haven't directly experienced any implicit bias, such as racial
bias, but it may possibly exist.
Mr. James
I think that I personally I have been evaluated fairly.
Summary of Influences
The document examinations and interviews that were analyzed in the course of this
research study resulted in key findings relating to the knowledge, motivation, and organizational
influences. These findings are summarized in this section. All findings were substantiated
through the analysis of participant interview responses. Document analysis, though conducted as
planned, did not prove fruitful in addressing the research questions of this study.
While examining knowledge influences, analysis revealed that although African
American GS-14 and GS-15 members were well-versed on the requirements and resources
available to them to compete for SES Corps positions, they would benefit from the reaffirmation
of the required knowledge and training courses that specifically addressed the creation of
competitive ECQ packages. This finding is substantiated by the information amassed during
interviews with all eight African American GS-14 and GS-15 members. Based on evidence
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gathered through the interviews of the stakeholders, all other assumed knowledge influences
were identified as assets to the stakeholders.
The three specific motivational influences that examined that impact of increasing
African American GS-14 and GS-15 members into SES appointments were related to interest,
expectancy value, and self-efficacy. The findings demonstrated that the majority of African
American GS-14 and GS-15 members (75%) interviewed were interested and found value in
competing for the SES Corps. Although 100% of the participants interviewed expressed a high
level of confidence in their capability to successfully compete and that they felt value in
competing, participants conveyed feeling emotions of hopelessness and doubt tied to current
organizational structure that seems to lean towards not having a general acceptance and
willingness to select African Americans into SES roles. This emotion of hopelessness emerged
despite several published organizational documents that claim to support the diversifying of the
SES Corps. Self-efficacy was not validated as a need under motivational influences.
Lastly, organizational influences were evaluated. Specific interview questions were asked
to understand how the stakeholders viewed the models and settings of their individual agencies
within the federal government. In evaluating the organization, two cultural models and two
cultural settings were examined to uncover gaps that hindered African American GS-14 and GS-
15 members from appointments to SES Corps positions. The influences examined under cultural
models were both revealed as needs. The first influence looked at the need for the organization to
develop a culture of trust by providing training opportunities to qualified African American GS-
14 and GS-15 members. The second influence looked at the need for the organization to develop
a general acceptance and willingness to hire qualified African American GS-14 and GS-15
members into SES vacancies.
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Only one influence examined under the cultural settings category was revealed as a need.
The first influence was identified as a need for the organization to develop a mentorship program
geared at increasing exposure and preparedness for African American GS-14 and GS-15
members to become SES members. The second influence examined and identified as an asset
looked at the organization’s need to ensure qualified African American GS-14 and GS-15
members are evaluated equally, excluding any social or ethnic biases. All eight out of eight
interviewees identified this influence as an asset.
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CHAPTER FIVE: RECOMMENDATIONS
Introduction and Overview
Chapter Four presented in detail the findings discovered as a result of the responses from
interview participants to the interview questions developed specifically to address the research
questions of this study. As a stated in Chapter Four, the data collected for this research study
revealed gaps in the area of knowledge, motivation, and organizational influences that are
impeding the advancement of African Americans into SES Corps positions. The purpose of this
chapter is to identify proposed recommendations that can be implemented as a professional
development program in order to successfully close the validated gaps. Using the four phases of
the New World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016), the researcher evaluated
the utilization of a professional development program.
Knowledge Recommendations
According to Mayer (2011), knowledge influences include facts, strategies, and
procedures. Applying these influences help provide an understanding of ways the SES Corps can
successfully increase the percentage of African American SES members in accordance with the
stakeholder goal. Additionally, knowledge influences are imperative tools to recognize how the
employee’s knowledge and skill level positively impacts the achievement of the organizational
performance goals (Mayer, 2011; Clark & Estes, 2008). Commensurate with Rueda’s (2011)
research, African American GS-14 and GS-15 members can sustain the knowledge and skills
they have obtained to successfully compete for SES positions, if they desire. There are four types
of knowledge influences, according to Krathwohl (2002), which include factual, procedural,
conceptual, and metacognitive. As a result of data collected, none of the influences were
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identified as a gap, but Table 11 presents a recommendation to sustain the declarative knowledge
influence moving forward.
Table 11
Summary of Knowledge Influences and Recommendations
Assumed Knowledge
Influence
Principle and Citation Context-Specific
Recommendation
African American GS-14
and GS-15 members
need to have a clear
knowledge of the
executive core
qualifications (ECQs)
(D).
Information Processing
Theory
New information must be
linked to prior knowledge.
(Denler et al., 2009;
McCrudden & Schraw,
2006).
Opportunities must be
created for frequent
practice, which helps
cognitive integration of
learning. (Clark & Estes,
2008; Kirkpatrick &
Kirkpatrick, 2016)
Provide training courses on how to
develop ECQs and the specificity
of each of the elements as this ECQ
package is the most important part
of competing for SES positions.
During the training, provide
opportunities for the GS-14 and
GS-15 members to demonstrate the
transfer of knowledge through
worked examples of their ECQs is
imperative.
Sustaining Declarative Knowledge Through Training
As supported by the outcomes of the results and findings section of this study, African
American GS-14 and GS-15 members need to have clear knowledge of the executive core
qualifications (ECQ) as this is a pertinent part of the application process. Of the 75% of
interviewees interested in pursuing SES Corps positions, African American GS-14 and GS-15
members need reinforcements of their ECQ knowledge as to reinforce their cognitive integration
of learning. (Clark & Estes, 2008; Kirkpatrick & Kirkpatrick, 2016). A recommendation
grounded in the tenets of the Information Processing Theory is being used to address this
declarative knowledge gap. (Denler et al., 2009; McCrudden & Schraw, 2006) stated that an
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important part of developing mastery is to link new information to prior knowledge. The
recommendation then is to provide training courses on how to develop ECQs and the specificity
of each of the elements as this ECQ package is the most important part of competing for SES
positions. During the training, provide opportunities for the GS-14 and GS-15 members to
demonstrate the transfer of knowledge through worked examples of their ECQs is imperative.
In accordance with Bloom’s Taxonomy (Bloom et al, 1956), GS-14 and GS-15 members
need to maintain their declarative knowledge of the ECQs, as this serves as the most
advantageous way to address the Bloom category of cognitive domain, which addresses the skills
and knowledge stakeholder group. Maintaining declarative knowledge of the ECQs and how to
successfully write to them is an influence that African American GS-14 and GS-15 members
need to assist them when striving to apply for SES positions. As pointed out by Rueda (2011), in
order to accurately assess and maintain the factual knowledge of the African American GS-14
and GS-15 members, an appropriate training assessment must be utilized. The declarative
knowledge influence most advantageous for aspiring SES Corps members include maintaining
their clear knowledge of the executive core qualifications (ECQs) and how to successfully tie
their experience to them. The ECQs include five core competencies:1) Leading Change, 2)
Leading People, 3) Results Driven, 4) Business Acumen, and 5) Building Coalitions (OPM,
n.d.b; OPM, 2012). As pointed out by Krathwohl (2002), factual knowledge is the foundational
influence as it relates to a specific discipline or job. For African American GS-14 and GS-15
members who desire to compete for SES Corps positions, it is imperative that they are provided
guidance when composing their ECQs. Succeeding in demonstrating required competencies
through the superior composition of ECQs have been identified as the essence of what is needed
to become an SES member and are evaluated during the selection of most SES members since
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they serve as the precursory measurements when evaluating executive leadership skills and
experience (OPM, n.d.b).
Based on OPM (2012), the ECQs serve as a key component to aspiring SES members as
the OPM review boards use them to determine whether or not the candidate has principal skills
needed to succeed in a SES Corps position. These rating factors are common to many agencies
and play a large role in employee selection, performance management, and leadership
development. Using these rating factors are supported by research as a way to determine a
successful leader, ensuring they understand what leadership is, what is expected of them in their
positions, and how to successfully execute the roles appropriately (Chuang, 2013).
When considering recommendations to inspire the uninspired and to prepare the inspired,
the creation of ECQ training courses would be beneficial, as the appointment to SES corps
positions weighs heavily on the person’s ability to create a superb ECQ package. These newly
created training courses could serve as a taxonomy (Rueda, 2011, p 30) that marries the
maintenance of declarative knowledge with the conceptual, procedural, and metacognitive
knowledge influences which are not gaps. It would also serve to help to diminish the
appointment inequity that exists thus moving the needle 2% in an effort to achieve the
stakeholder goal of increasing the percentage of African Americans into SES Corps positions.
Since the OPM (2012) weighs the ECQs highly, the evidence purports the benefits of the
implementation of ECQ training courses geared at strengthening African American GS-14 and
GS-15 candidates' ability to successfully compete.
Motivation Recommendations
Mayer (2011) and Rueda (2011) defined motivation as the influence that creates a desire
in people to set goals and work toward accomplishing those goals. Motivation, the second
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component of realizing the stakeholder goal, is the most important influence as this influence
impacts the actions of individuals (Clark & Estes, 2008). Clark and Estes (2008) further defined
motivation as consisting of three major parts: active choice, persistence, and mental effort. Clark
and Estes (2008) addressed how the actions of individuals are intertwined with their motivation
and how this relationship impacts organizational performance gaps. In order to improve these
gaps, it is important to not only increase the individuals’ levels of motivation but to remove
organizational barriers that impede motivation. The organization must recognize and address
how the organization as a whole can change in order to improve the motivation of the
stakeholder (Clark, 2005, Pintrich, 2003). As an outcome of data collection, interest, expectancy
value and emotions were identified as gaps. Table 12 presents recommendations to address each
identified gap as these are critical to improving the percentage of African American GS-14 and
GS-15 members into SES Corps positions.
Table 12
Summary of Motivation Influences and Recommendations
Assumed Motivation
Influence
Principle and Citation Context-Specific Recommendation
African American GS-14
and GS-15 members need
to be interested in
competing for SES Corps
positions (I).
Social Cognitive
Theory (Bandura,
1977)
Activate personal
interest by providing
choices and control,
subsequently building
upon personal interests
and prior knowledge
(Schraw & Lehman,
2009).
The organization must revise SES
selection and appointment processes
to ensure the process will be
conducted fairly and without racial
bias.
This will provide choice, control, and
therefore interest to African American
GS-14 and GS-15 members in
pursuing SES positions.
African American GS-14
and GS-15 members need
to feel there is value in
competing for an SES
Corps position and need to
Expectancy Value
Theory
Models who are
credible and
The organization must enlist the
assistance of credible models (gender,
ethnicity, culturally appropriate)
through diversity mentorship
programs to foster positive values.
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believe that preparing to
compete for SES Corps
positions will improve
their chances for success
(EV).
similar (e.g., gender,
culturally
appropriate) can foster
positive
values (Pajares, 2006).
Model values,
enthusiasm and
interest in the task
(Eccles,
2006).
Potential participants would be active
or retired SES leaders to share stories
about their successes.
African American GS-14
and GS-15 members need
to be hopeful that they can
effectively compete for
SES Corps positions. (E-
Emotions).
Behaviorism
(Skinner)
Positive emotional
environments support
motivation (Clark &
Estes, 2008).
Increase individual
outcome expectancies
and sense of control by
avoiding competitive
structure (Goette el al.,
2012).
The organization needs to implement
strategies to foster a supportive
environment through the investment
of employee recognition programs and
positive feedback to increase positive
emotional environments and
motivation to compete for SES Corps
positions.
The organization needs to implement
Likert-type survey items from
Achievement Emotions Questionnaire
for the individual’s emotional
measurement, to decrease the negative
emotions, and develop more positive
emotions relating to participating in
the competition of SES Corps
positions.
Increasing Interest to Compete for SES Positions
Bloom’s Taxonomy of affective domain, which addresses feelings and emotions (Bloom
et al., 1956), suggests GS-14 and GS-15 members need to have feelings of interest as related to
competing for SES Corps positions. 25% of interview subjects who successfully reached the pay
level of GS-14 or GS-15 held no interest in pursuing positions at the SES level. Their level of
interest was rooted in the environmental stimuli of racial bias, either personally experienced or
witnessed. As pointed out by Reuda (2011), how an individual perceives and interprets
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environment factors is more critical than environment factors themselves. This is why different
people reach different conclusions about the same environment factor (Reuda, 2011). According
to Reuda (2011), there is a direct correlation between environmental stimuli and behavior due to
things that are outside of their control. As Shraw and Lehman (2009) suggest, personal interest
can be activated by providing choices and control, subsequently building upon personal interests
and prior knowledge (Schraw & Lehman, 2009). Therefore, in order to successfully improve the
interest level of qualified African American GS-14 and GS-15 members, the organization must
revise the SES selection and appointment processes to ensure the process will be conducted
fairly and without racial bias. This will provide choice and control to African American GS-14
and GS-15 members in pursuing SES positions (Eccles, 2006; Schraw & Lehman, 2009).
As posited in Mayer’s (2011), the construct of learning can impact an individual’s desire
to compete for SES Corps position. Based on experiences, an impact can be negatively changed
as the direct result of the negative experiences (either firsthand or witnessed). Rueda (2011) also
stated that attributed and control beliefs impact an individual’s interest in achieving the
individual’s goals. Attributed thoughts and the associated beliefs address the individual’s
motivation as it relates to that individual’s perceived reasons for success or failure at competing
for SES Corps positions (Rueda, 2011). Many of the interviewees expressed that they did not
think their organization had a general willingness to accept and hire qualified African American
GS-14 and GS-15’s into SES vacancies. Thus, the ability to successfully compete has become
something that is uncontrollable and unattainable despite their professional experience and
education (Rueda, 2011). In contemplating recommendations to increase the interest of African
American GS-14 and GS-15 members, research shows that the organization needs to revise SES
selection and appointment processes to ensure the SES recruitment processes will be conducted
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fairly and without racial bias. The revisions would then better provide a sense of choice and
control to African American GS-14 and GS-15 members when considering competing for vacant
SES positions.
Increasing Task and Utility Expectancy Value of Persisting for SES Positions
In an effort to understand why African Americans GS-14 and GS-15 members do not
desire to start the competition process, persist at the competition process, or apply mental effort
to the competition process, it is important to understand the impact expectancy value has on
motivation. Research findings reported that motivation, specifically expectancy value, can
account for more than 50% of achievement and persistence with employees and that motivation
is enhanced if the learner expects value in the task (Eccles, 2006). As identified in Chapter Four,
all of the interviewees verbalized a high value relating to the importance of the role of the SES,
they also expressed witnessing or encountering racial bias as it relates to the competition and
selection process of individuals into SES Corps positions. They also expressed a shortage of
credible and similar models (e.g. gender, ethnicity, culturally appropriate) who could foster
positive values, enthusiasm, and interest towards competing. Eccles (2006) stated that when
there are higher expectations for success, it can serve as a positive influence on learning and
motivation. For African American GS-14 and GS-15 members who have shared their encounters
with racial bias and unqualified people being appointed to SES positions over more qualified
candidates of color has created a low expectancy value that outweighs their confidence in their
professional experience, thus reducing their effort and desire to compete. This demonstrates how
expectancy value creates a barrier to motivation for African American GS-14 and GS-15
members to compete for executive positions.
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As alluded to in the entitlement choice of Chapter Five, Belief is Almost Everything, of
Clark and Estes book Turning Research Into Results (2008), when the individual believes or
expects that competing for executive level positions will not result in the desired outcome,
selection, then motivation disappears. As originally mentioned in Chapter Two, unconscious and
implicit biases have developed over a long period of time and continue to impact the
organizations and institutions of our country (Ohio State University, 2015). Due to the extensive
and ignominious history of racism in America (pre-and-post slavery) and throughout the world,
including Germany and apartheid-era of South Africa, coupled with the way American
organizations were established with mostly European American males at the helm, it is not
surprising that a “good ole boy system” has permeated the SES Corps despite efforts to diversify
(OPM, n.d.a; Madigan 2019; Ponti, 2019; Ross, 2018). More disturbing are the resurgence of
illustrations of racism, sexism, and other forms of implicit bias, and discrimination that have
become more pervasive (Nebehay, 2020). Ultimately, if the federal government is committed to
increasing the percentage of African Americans holding SES Corps positions, the organization
must address and recognize the impact unconscious and implicit bias has on both the
organization and their employees. Expectancy value is substantially reduced when the individual
feels that regardless of effort, consideration and selection will not occur based on the
environmental factors (Eccles, 2006; Pajares, 2006). It is the individual’s belief that there is no
reason to expect to be fairly judged and selected based on merit when they have seen
unconscious and implicit biases in the selection process. Thus, the recommendation is that the
organization should enlist the assistance of credible models (gender, ethnicity, culturally
appropriate) through the development of diversity mentorship programs to foster positive values
is appropriate to address the expectancy gap. The evidence supports that these diversity
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mentorship programs are necessary for increasing value through the utilization of active or
retired African American SES leaders to share their stories relating to their successes despite
challenges.
Creating Positive Emotions for African Americans GS-14 and GS-15 Members
Chapter Four’s section on motivation related qualitative findings showed that although all
interviewees had a very high confidence in their abilities, professional experience, education, and
qualifications to successfully perform in an SES Corps position, they also expressed a lack of
hopefulness (emotion) that they can compete for SES Corps positions due to racial bias, status
quo, and a lack of relatable models. The stakeholder’s negative emotions with regard to
competing for SES Corps positions indicates a solution rooted in Behavioral Theory (Emotion
Theory) would be most effective at overcoming this gap. Researchers noted that emotions are an
integral part of motivation and positive emotional environments support motivation (Clark &
Estes, 2008; Lord et al., 2002; Pekrun, 2011). Although similar to mood, emotions are different
in that emotions are short lived and a direct response to events. Pekrun (2011) posited that
individuals activating negative emotions, including anger and anxiety, and deactivating negative
emotions, including hopelessness. Both the activating and deactivating of negative emotions
result in the lack of motivation to pursue tasks. Goette et al. (2012) found that in increasing the
individuals outcome expectancies and sense of control by avoiding a competitive structure would
improve negative emotions and foster supportive environments.
As supported by assertions from Pekrun et al. (2002) relating to the use of measurements
and benchmarks, they help identify African American GS-14 and GS-15 member’s sense of
belonging, thus increasing their motivation to compete for SES positions. The Likert type survey
would cover questions resulting in responses from: strongly agree through strongly disagree
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(Bono et al., 2007). These Likert-type items would help identify the degree to which individuals
feel hopeful or discouraged regarding competing for SES roles Bono et al. (2007). The open-
ended questions about participant engagement and emotions related to competing for SES Corps
positions may give the organization insight to increasing individual’s motivation.
These findings would suggest that an effective recommendation is two-fold. The first
recommendation is that the organization needs to implement strategies to foster a supportive
environment through the investment of employee recognition programs and positive feedback to
increase positive emotional environments and motivation. The second recommendation to
address this motivation gap is that the organization should implement Likert-type surveys from
Achievement Emotions Questionnaire (Pekrun et al, 2011) for the individual’s emotional
measurement, to decrease the negative emotions, and develop more positive emotions relating to
participating in the competition of SES Corps positions.
Organization Recommendations
Table 9 represents the organizational influence gaps related to the stakeholder goal of
increasing the percentage of African Americans into the SES Corps, the associated learning
principles to address each of the gaps, and the context-specific recommendations to close the
gaps. Clark and Estes (2008) posited that even if individuals have high levels of knowledge and
motivation, performance goals can be undermined by organizational influences. Some of the
influences that impact high-esteemed and experienced individuals include a lack of trust of
organizational support, a consistent representation showing a lack of willingness to consider
candidates of African American descendancy, and a lack of mentorship programs geared at
connecting African American candidates with active or retired African American SES members.
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The recommendations to address the organizational gaps identified, both cultural models and
cultural settings, are represented in Table 13.
Table 13
Summary of Organization Influences and Recommendations
Assumed Organization
Influence
Principle and Citation
Context-Specific
Recommendation
The organization needs to
develop a culture of trust by
providing training
opportunities to qualified
African American GS-14
and GS-15 members in
order to achieve the goal of
increasing the percentage by
2% for African Americans
serving in SES Corps
members (CM).
Leadership:
Organizational effectiveness
increases when leaders are
trustworthy and, in turn,
trust their team. The most
visible demonstration of
trust by a leader is
accountable autonomy.
(Pintrich, 2003; Rath &
Conchie, 2009)
The organization needs to build
a culture of trust by creating
SES training opportunities for
African Americans GS-14 and
GS-15 members, implement
diversity courses for the
organization leadership, and
introduce assessment tools to
measure the success of the
diversity training courses.
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The organization needs to
support developing a
general acceptance and
willingness to hire qualified
African American GS-14
and GS-15 members into
SES vacancies to increase
the percentage of African
American SES members
(CM).
Accountability:
Systems of accountability
should address equity,
diversity, and access in
various sectors (Lim,
Haddad & Daugherty, 2013;
Trenerry & Paradies, 2012).
Diversity:
Effective leaders are aware
of the organization’s and its
community’s historical and
socio-cultural context and
promote diversity at the
highest levels of the
organization. (Chavez et al.,
2008).
The organization needs to use
disaggregated data to address
stakeholder goals. Clearly
articulate the issues of fairness
and bias involved in the hiring
of African Americans GS-14
and GS-15 members. Identify
indicators in the organization
that show progress towards
institutional goals to ensure
accountability.
The organization needs to
develop a mentorship
program geared at
increasing exposure and
preparedness for African
American GS-14 and GS-
15s to become SES
members (CS).
Effective leaders address
institutional policies and
practices that create barriers
for equity (Bensimon,
2005).
Through the establishment of
targeted mentorship programs
and revised policies and
practices, the organization is
able to create a more inclusive
culture that promotes equity,
diversity, and inclusion.
Measure the success by polling
African Americans interested in
SES candidacy in order to gain
feedback regarding the
effectiveness of established
mentorship programs.
Cultivating Positive Cultural Models Through A Culture of Trust
As introduced in Chapter Two, avowed by the findings in Chapter Four, and propounded
by Clark and Estes (2008) in their work on organizational barriers, even when GS-14 and GS-15
employees who possess preeminent levels of knowledge and motivation, organizational
performance gaps serve as hindrance to achieving performance goals. For the interviewees of
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this study, these inefficient and ineffective organizational cultures flow down to create a
significant causal relationship between the difficult to identify negative cultural models and the
lack of trust for the organization’s general acceptance and willingness to hire qualified African
American GS-14 and GS-15 members into SES vacancies. As such the focus of the
recommendation will address the lack of a culture of trust experienced by African American GS-
14 and GS-15 members.
As postulated by Sirkin et al. (2005), one of the most difficult parts of creating change
within organizations is whether or not there is a consensus on which factors create an influence
gap. This quandary is due to the varying personal viewpoints and experiences of individual
leaders and can further be complicated by each leader’s approach on how to address gaps within
each agency (Sirkin, 2005). Since approximately 80%of the SES Corps is European American, it
may be difficult to achieve a consensus amongst this majority group of executives that affirms
the existence of a lack of culture of trust. However, for African American GS-14 and GS-15
members interviewed, a majority expressed feeling that they could trust leaders within their
specific organizations to provide opportunities for qualified African Americans who aspire to
become SES members; as asserted by Pintrich (2003) and Rath & Conchie (2009), organizational
effectiveness increases only when leaders are trustworthy and, in turn, trust their team.
Therefore, a recommendation substantiated in the principles of leadership theories will be used to
speak to the culture of trust organizational gap. The recommendation is for the organization to
build a culture of trust by creating SES training opportunities for African Americans GS-14 and
GS-15 members, implement diversity courses for the organization’s leadership, and introduce
assessment tools to measure the success of the diversity training courses. Improving cultural
models are an imperative part of attaining goals but can often be very difficult to identify as they
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are not always obvious (Clark & Estes, 2008; Gallimore & Goldenberg, 2001; Rueda, 2011). For
the stakeholder goals of this study, cultivating positive culture models by creating a culture of
trust among African American GS-14 and GS-15 members is key. As cautioned by Gutierrez and
Rogoff (2003), culture is often mistakenly seen as monolithic instead a process that is developed
by individuals over periods of time during everyday life. Schein (2004) further defined the
impact cultural models and its application to organizations have on organizations:
a pattern of shared basic assumptions that was learned by a group as it solved its
problems of external adaptation and internal integration, that has worked well enough to
be considered valid and, therefore, to be taught to new members as the correct way to
perceive, think, and feel in relation to...problems (p. 17).
Therefore changing the invisible aspects of cultural models and its associated negative
perceptions, including attitudes, behaviors, and operational patterns, that are taught and then
carried forward to reinforce implicit racial bias and directly impact how African American are
viewed will assist in building a culture of trust (Clark & Estes, 2008; Rueda, 2011; Schein,
2004). This is why it is important for the organization to provide equal training opportunities and
leadership preparation courses to qualified African American GS-14 and GS-15 employees
wanting to pursue executive positions.
Improving Cultural Settings by Creating Targeted Mentorship Programs
In contrast to the invisible attributes of cultural models, cultural settings are the visible
systems within the organization that create the cultural models. These cultural settings include
the organization’s fundamental characteristics that have a reciprocal relationship with the
cultural models (Gallimore & Goldenberg, 2001; Clark & Estes, 2008; Rueda, 2011; Schein,
2004). The principle prescribed by Bensimon (2005) will serve as the foundational theory to
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create the recommendation to address this organizational gap. In accordance with the principle,
effective leaders need to confront any organizational policies and practices that generate barriers
for equity, diversity, and access (Bensimon, 2005; Darling-Hammond, 2015; Lim et al., 2013). In
order for the organization to create a more inclusive culture that promotes equity, diversity, and
inclusion, the recommendation is for the organization to establish targeted mentorship programs
through the revision of policies and practices. Once the mentorship programs have been
established, measurements of success would be gained through polling African Americans GS-
14 and GS-15 members interested in SES candidacy in order to gain feedback regarding the
effectiveness of established mentorship programs.
Through their research and findings, Clark and Estes (2008) asserted that organizational
culture settings negatively affect individuals with high motivation and excellent knowledge then
filters throughout the organization to impact performance goals. Rueda (2011) noted that cultural
settings evolve as new knowledge is gained. The recognition of racial imbalance towards African
Americans is not a new concept; however, with the protests surrounding the 2020 brutal murders
of African Americans at the hands of law enforcers, European Americans have an opportunity, if
taken, to embrace new ideas regarding the benefits received as a result of White privilege.
Furthermore, the current environment creates an opportunity for people to reevaluate the historic
negative stigmas surrounding the perceptions of African Americans and how the negative
stigmas have influenced both the development organizational culture models and associated
policies and practices within organizations (Rueda, 2011). Employer prejudice and racial
inequalities during hiring practices within organizations were affirmed through the field
experiment conducted by Bertrand and Mullainathan (2004). The results of their findings uphold
the notion that racial disparities have not been eradicated through the enlightenment of
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employers or through the implementation of affirmative action policies and programs. Through
their experiment it was discovered that when candidates with like qualifications competed for
positions, candidates with ethnic names were less likely to be selected (Bertrand & Mullainathan,
2004). These research findings support the need for targeted mentorship programs. In
educational settings, Gibson (2014) purported when African American male students had the
support of African Americans, they were more likely to enroll, persist, and graduate. These
mentorship programs served as a “structured support system” (Gibson, 2014, p. 79) that gave the
students the ability to persevere beyond their feelings of isolation, confusion, and intimation that
are often faced in the uncharted territory of new college environments whether due to having an
uncommon name or just the color of their skin (Brittain, et al, 2009; Colvin & Ashman, 2010;
Cuyjet, 1997; Gibson, 2014; Mason, 1998; Strayhorn & Terrell, 2007).
In a like-manner and denoted in the findings of Chapter Four, the entirety of GS-14 and
GS-15 members interviewed conveyed the nonexistence of targeted mentorship programs within
each of their respective agencies. The lack of having African American mentors to advise and
assist with career development and preparation for the competition into the SES Corps, including
the navigation of roadblocks created by racial bias, some GS-14 and GS-15 members were not
interested in pursuing this executive level. The multiplicity of these research findings supports
the recommendation to establish targeted mentorship programs made up of active or retired
African American SES members would significantly improve the percentage of qualified African
Americans competing for vacant SES positions.
Integrated Implementation and Evaluation Plan
The key to reaching a successful resolution for any problem of practice is to ensure the
implementation plan is accurate and complete (Kirkpatrick & Kirkpatrick, 2016). The New
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World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016) is a training evaluation tool for
organizations to measure the degree to which targeted outcomes are being accomplished and will
be used to guide this study’s implementation and evaluation plan. Kirkpatrick and Kirkpatrick’s
model (2016) consists of four levels of evaluation that begins with the organizational goals and
works backwards. The plan starts with level four and works in reverse, finishing at level one
Kirkpatrick & Kirkpatrick, 2016). The particulars of the Kirkpatrick and Kirkpatrick (2016)
model include: results (level four), behavior (level three), learning (level two), and reaction
(level one). During the level four results evaluation phase, the degree of success of targeted
outcomes as an effect of the training are measured. Level three measures behavior through the
degree to which participants are able to apply principles learned from training upon returning to
the jobsite. The level two phase, learning, measures the degree to which training members are
able to accomplish the envisioned “knowledge, skills, attitude, confidence and commitment”
(Kirkpatrick & Kirkpatrick, 2016, p. 5). Lastly, level one measures the extent training
participants delineate the training as effective, engaging, useful, and advantageous to their
positions (Kirkpatrick & Kirkpatrick, 2016).
Organizational Purpose, Need and Expectations
The purpose of the SES Corps executive personnel program is to provide the federal
government’s civilian workforce with elite leaders who possess the highest levels of
proficiencies in relation to the intricacies of government agencies. Through the SES Corps, the
organization is able to meet its organizational mission of ensuring that the management of the
government of the United States is responsive to the needs, policies, and goals of the nation and
otherwise is of the highest quality. In order to achieve their purpose and meet their mission in the
most diverse and equitable environment, the organizational goal for this study is to increase the
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number of African American SES Corps members by 2% by December 2020. In an effort to
achieve the organizational goal, the stakeholder group selected consists only of African
American GS-14 and GS-15 members. The goal for the stakeholder group of focus is to increase
the number of African American GS-14 and GS-15 members appointed to and competing for
SES appointments. This study assessed the knowledge, motivation, and organizational obstacles
that prevent progress towards increasing the number of African American SES Corps members
by 2% by December 2020. The proposed solutions include providing training courses that
explain in detail how to develop superior ECQ packages and create targeted diversity mentorship
programs. The progress of these solutions will be evaluated using the New World Kirkpatrick
Model (Kirkpatrick & Kirkpatrick, 2016).
Level 4: Results and Leading Indicators
Table 14 demonstrates the projected Level 4: Results and Leading Indicators by way of
outcomes, metrics and methods for both internal and external outcomes. When the internal
outcomes are realized, the external outcomes of the stakeholder and organizational goals will
also be achieved.
Table 14
Outcomes, Metrics, and Methods for External and Internal Outcomes
Outcome Metric(s) Method(s)
External Outcomes
Increased of African
American GS-14 and GS-15
members to compete for SES
Corps.
The number of American
GS-14 and GS-15 members
who apply for SES Corps
positions.
Solicit data of quarterly reports
of each agency to measure the
number of applications received
from African American GS-14
and GS-15 members.
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Increased value and feeling
of hope among African
American GS-14 and GS-15
members associated with
competing for SES Corps.
Change in value and
feelings of hopefulness
placed on competing for
SES Corps by African
American GS-14 and GS-
15 members.
Quarterly surveys from African
American GS-14 and GS-15
members.
A pre-implementation survey
should be initiated as a baseline
based on findings of this study
to measure these perceptions
across the population prior to
program implementation.
Internal Outcomes
Training courses for African
American GS-14 and GS-15
members on how to
successfully develop ECQs
packages are implemented as
a standard practice
government wide.
Percentage of African
American GS-14 and GS-15
members who successfully
complete the training.
Percentage of African
American GS-14 and GS-15
members who have
completed the training and
subsequently compete for
SES Corps positions after
taking the training.
Biannual review to track the
progress of the completed
training and rate of subsequent
applications to SES Corps
positions.
Improved overall diversity of
SES Corps members within
the federal government.
Percentage of African
Americans serving in SES
Corps positions by agency.
Annual review of SES Corps
positions to track changes.
Level 3: Behavior
Kirkpatrick and Kirkpatrick (2016) classified level three as the most important phase of
the New World Kirkpatrick Model. Level three, behaviors, is the degree to which participants are
able to apply items learned from training to their jobs day-to-day (Kirkpatrick & Kirkpatrick,
2016). According to Kirkpatrick and Kirkpatrick (2016), this pertinent phase consists of critical
behaviors, on-the-job learning, and required drivers.
Critical Behaviors
The stakeholder group of focus in this study are African American GS-14 and GS-15
members of the federal government. Table 15 shows the critical behaviors that are vital to the
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achievement of the organizational performance goal including the specific metrics, methods, and
timing. It is imperative that the critical behaviors are measurable, observable, and specific
(Kirkpatrick & Kirkpatrick, 2016).
Table 15
Critical Behaviors, Metrics, Methods, and Timing for Evaluation
Critical Behavior Metric(s)
Method(s)
Timing
1. African American
GS-14 and GS-15
members [who compete
for SES Corps
positions] have
obtained the required
combination of
experience and
education to be
qualified for an SES
position.
Number of
African
American GS-14
and GS-15
members who
meet
qualifications.
Human Resources can
provide self-reported
information to hiring
officials. Information is
available through the
government’s official
training repository
(MyBiz) that shows
educational pursuits
achieved.
Within six months
of obtaining the
GS-14 or GS-15
position.
Supervisors should
review SES
requirements
annually, so long
as the previously
successful.
2. African American
GS-14 and GS-15
members obtain
membership with
African American
Federal Executive
Associate (AAFEA) or
equivalent outside
organizations to
increase their
professional network.
Number of new
minted
membership
applications.
Membership rosters and
report
Quarterly
3. African American
GS-14 and GS-15
members select African
American mentors
above their current
level or retired SES
members.
Number of
African
American GS-14
and GS-15
members with
mentors.
African American GS-14
and GS-15 members
seeking SES vacancies
will need to self-report
the establishment of
mentors to supervisors
and show evidence of
monthly meetings either
face to face or through an
electronic video platform
for career direction and
guidance.
Monthly
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4. African American
GS-14 and GS-15
members attend
AAFEA events geared
at examining the
responsibilities and
challenges faced by
SES members.
Number of
meetings
attended.
Human Resources can
provide self-reported
information found
through the official
training repository list of
professional
development programs
attended and self-
reported through MyBiz.
Quarterly
Required Drivers
The New World Kirkpatrick Model incorporates required drivers to the third phase that
serve as a support to the critical behaviors in achieving the targeted outcomes (Kirkpatrick &
Kirkpatrick, 2016). These required drivers are pertinent to the application of knowledge and
skills learned from training and consists of four categories including encouraging, reinforcing,
rewarding, and monitoring. Kirkpatrick and Kirkpatrick (2016) asserted that the required drivers
and that organization leadership is primarily responsible for these drivers and include coaching,
job-aids, and recognition for good performance. The following table, Table 16, illustrates the
required drivers necessary to deliver assurances that success is feasible and support the desired
behavioral outcomes.
Table 16
Required Drivers to Support Critical Behaviors
Method(s) Timing
Critical
Behaviors
Supported
1, 2, 3 Etc.
Reinforcing
Organization provides African American GS-14 and GS-15
members job aids tailored to prepare complete, competitive, and
exceptional ECQ packages.
Annually 1, 2, 3, 4
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Organization provides African American GS-14 and GS-15
members rationales about the value, hopefulness, and practicality
in diversifying the SES Corps.
Ongoing 1, 2, 3, 4
Encouraging
Organization provides African American GS-14 and GS-15
members African American relatable models one level above
their current level (GS-14 or GS-15) or a retired SES member to
assist navigate the application and QRB interview process.
Monthly 1, 2, 3, 4
Organization provides African American GS-14 and GS-15
members encouragement as a part of the biannual review to
secure mentors, attend training courses, and review job aids.
Biannually 1, 2, 3, 4
Rewarding
Organization provides African American GS-14 and GS-15
members seeking SES roles strategies to foster a supportive
environment through the investment of employee recognition
programs and positive feedback to increase positive emotional
environments and motivation to compete for SES Corps
positions.
Ongoing 1, 2, 3, 4
Monitoring
Organization provides African American GS-14 and GS-15
members check-ins as a part of the annual review to monitor
their progress with mentors, training courses, and job aids.
Annually 1, 2, 3, 4
Organizational Support
For this study and as reflected in Chapter Four, many interviewees communicated their
direct and indirect experience with respect to the judgments of others merely based on the color
of their skin. These negative experiences encountered over their vast spanning careers is how the
participants developed a decreased culture of trust in the organization yielding the imperative
need for organizational support including but not limited to reviewing and modifying the SES
selection and appointment process. African American GS-14 and GS-15 members require
assistance and support from the organization to successfully navigate the competitive selection
process when competing for vacant SES Corps positions. The organizational support needed
includes creating a culture of trust through the implementation of diversity and inclusion courses
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for the hiring officials and introducing assessment tools to measure the success of the diversity
training courses. Additionally, the organization needs to use disaggregated data to address
stakeholder goals by clearly articulating how to address issues surrounding fairness and implicit
racial bias relating to selecting African Americans GS-14 and GS-15 members to fill vacant SES
positions or appointments. Furthermore, the organization needs to establish targeted mentorship
programs and revise policies and practices to create a more inclusive culture that promotes equity
and diversity.
Commitment to Diversity and Inclusion. All interviewees articulated the importance of
creating a culture of trust by providing African Americans GS-14 and GS-15 members a fair
opportunity to be considered for SES positions. Increasing diversity without a commitment
produces a failure of workplace diversity training efforts (Kotter, 2007; Taylor, 2020). In order
to accomplish success and true culture change, organizations must be fully committed to
supporting the advancement of African American GS-14 and GS-15 members into SES
positions. They must practice their commitment to inclusion and diversity continuously and
visibly, investing in experienced diversity and inclusion experts who understand the impacts of
historical implicit bias (Taylor, 2020).
Revisions to the Selection and Appointment Process. The impact implicit bias has on
organizations dictates the need to review the current SES selection and appointment process to
ensure the process is not exclusive of people outside of racial ingroups, thus creating barriers for
African American GS-14 and GS-15 members from advancing into SES roles. Through the
establishment of the assessment tools specifically used to measure the effectiveness of the
diversity training courses for hiring officials, the organization will be able to gauge its success
(Kirkpatrick & Kirkpatrick, 2016).
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Recognition programs and positive feedback. The final aspect of support the
organization can provide to African American GS-14 and GS-15 members includes the
implementation of an employee recognition program. This program would include approaches
that foster a support workplace environment that encourage African American GS-14 and GS-15
members to pursue advancements into executive positions. First-line supervisors of these
members would include positive feedback and inclusivity at executive meetings that gives the
feeling of trust through the investment of employees.
Through this organizational support implementation process, the organization will be
better able to identify indicators within each agency that represent signs of progress towards the
institutional goals to ensure accountability.
Level 2: Learning
In the New World Kirkpatrick Model, Level Two is the phase that addresses the
knowledge and confidence participants gain as a result of training (Kirkpatrick & Kirkpatrick,
2016). At this phase, participants’ confidence and commitment is coupled with their attitude,
knowledge and skills. The subsequent sections incorporate a synopsis of how the projected
training program assists African American GS-14 and GS-15 members acquire the intended
knowledge, skills, attitude, confidence and commitment as a result of their involvement in the
training program (Kirkpatrick & Kirkpatrick, 2016).
Learning Goals
Following the implementation of the recommended solutions and in order to perform the
critical behaviors, African American GS-14 and GS-15 members will be able to:
1. Articulate the required combination of experience and education to be qualified
for an SES position (Declarative Knowledge).
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2. Apply for membership with African American Federal Executive Associate
(AAFEA) or equivalent outside organizations to increase interest and value in
competing through building a strong professional network (Motivation - Expectancy
Value).
3. Recognize the value of specifically having African American mentors who are
current or retired SES members (Motivation - Expectancy Value).
4. Recognize the value of attending AAFEA conference professional development
events geared at examining the ways to prepare or reinforce what are the
responsibilities and challenges faced by SES members (Motivation - Expectancy
Value).
5. Demonstrate confidence in their ability to successfully compete for SES
positions (Self-efficacy).
Program
The previously listed learning goals will be accomplished through the implementation of
a professional development program offered by the organization, including credible models, that
will increase the preparedness of African American GS-14 and GS-15 members to achieve the
realization of their stakeholder goals. As asserted by (Kirkpatrick & Kirkpatrick, 2016), the
organization must be included in the creation and implementation of improvement programs that
allow for maximal learning. The learners, African American GS-14 and GS-15 members, will
participate in a series of workshops that strengthen their ability to compose highly competitive
ECQ packages. Currently, these ECQ packages are outsourced through a fee-based paid service
like CareerPro SES Writers, KSAServices, and CC Career Services. In vast comparison, the
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Office of Personnel Management is not currently offering training of these critical ECQ
packages as a part organizational preparedness for their members pursuing SES positions.
The workshop would typically be offered as a full week face-to-face learning
environment, however, due to the Pandemic of 2020, the workshop is being offered as a blended
environment, consisting of three eight-hour days of synchronous learning offered through an
electronic video platform like Zoom or its equivalent and one-half day face-to-face application
workshop that allows for adequate social distancing. Hence, the majority of the workshop is
structured to be synchronous until it is determined safe to have large in-person gatherings. The
total time for completion between synchronous and in-person learning is 1,680 minutes (28
hours). At the start of the workshop, participants will complete a pre-test to check their
knowledge of the required combination of experience and education to be qualified for an SES
position. Additionally, participants will prepare and submit a draft ECQ package one week prior
to the workshop that will be reviewed at the beginning of the workshop. In addition to ECQ
instruction and improvement techniques, participants will have the opportunity to brainstorm on
the ECQs as it relates to their experience and build relationships with peers participants through
breakout group activities. During the in-person portion of the workshop, the participants have the
opportunity to meet face-to-face with their preselected African American mentors who are either
active or retired SES members. As discussed in the recommendations above, these individuals
will serve as credible models to the African American GS-14 and GS-15 members of individuals
who have been successful in advancing into the SES Corps (Eccles, 2006; Pajares, 2006).
Evaluation of the Components of Learning
Evaluating the declarative knowledge gained from the professional development program
will demonstrate African American GS-14 and GS-15 members’ current knowledge of the SES
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application and appointment process. However, for this stakeholder group, it is most important
that the participants find value in competing and believe they truly have an equal opportunity to
be considered and selected for vacant SES roles. It is imperative that the African American GS-
14 and GS-15 learners find value in the professional development program (Kirkpatrick &
Kirkpatrick, 2016). They must have confidence that they will learn and be able to apply the
information to successfully compete for SES positions. This confidence will allow African
American GS-14 and GS-15 members to gain the maximum benefit from the professional
development SES training program provided by the organization (Kirkpatrick & Kirkpatrick,
2016). Table 17 catalogues the evaluation activities as well as the associated timetable for
learning.
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Table 17
Evaluation of the Components of Learning for the Program
Methods or Activities Timing
Declarative Knowledge “I know it.”
Pre-test to check knowledge of the required
combination of experience and education to be
qualified for an SES position.
At the beginning of the workshop
Prepare draft ECQ package. Submitted as a homework assignment
prior to the start of the workshop to
demonstrate current knowledge.
Instructors review the draft ECQ package. At the beginning of the workshop
Procedural Skills “I can do it right now.”
Selection or confirmation of mentor At the beginning of the workshop
Develop rapport and monthly meetings with mentors. Ongoing
Attitude “I believe this is worthwhile.”
Instructors observe active participation through
engagement in professional development activities,
discussions and questions.
Throughout
Instructors observe if the participants appear to be
interested and happy or frowning, scowling, or
disgruntled.
Throughout
Discuss the value and importance of ECQ professional
development.
Ongoing
Survey after the workshop to evaluate participants self-
efficacy and expectancy value.
At the end of the workshop
Confidence “I think I can do it on the job.”
Honest conversation with participants regarding the
roadblocks to preparing SES ECQ packages despite
having the required experience and education.
At the beginning of the workshop
Discussion with participants regarding the
effectiveness of the professional development
workshop and real-time feedback.
Throughout
Post-assessment upon program completion. Post workshop completion
Commitment “I will do it on the job.”
Developing superlative and competitive ECQ
packages.
At the end of the workshop
Post-assessment upon program completion. At the end of the workshop
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Quarterly check-in assessments for workshop
graduates.
Quarterly - Post workshop completion
Level 1: Reaction
In the New World Kirkpatrick Evaluation Model, Kirkpatrick and Kirkpatrick (2016)
delineated Level 1 as the phase that focuses on reaction and engagement of participants. This
phase comprises three categories of reactions including engagement, customer satisfaction, and
relevance (Kirkpatrick & Kirkpatrick, 2016). Engagement measures the degree to which
participants are actively involved in and contributing to the professional development workshop.
The category of customer satisfaction measures the participant’s satisfaction with the
professional development workshop. Lastly, the relevance category measures the degree to
which training participants will have the opportunity to use or apply what they learned in training
on the job. For African American GS-14 and GS-15 members the Level 1 categories are
applicable to measure the degree to which the participants find the recommended professional
development workshop engaging, favorable, and relevant to their ability to successfully prepare
excellent ECQ packages that will allow them to successfully compete for SES positions
considering the organization’s commitment to revise selection and appointment criteria to ensure
the process will be void of racial bias. Table 18 outlines the components that will be used to
measure each of the three categories of reactions to the professional development workshop.
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Table 18
Components to Measure Reactions to the Program
Method(s) or Tool(s) Timing
Engagement
One-on-one mentor meetings Monthly.
Completion of professional development workshop. During the program and post-
workshop completion.
Relevance
Participants’ feedback survey. At the end of the workshop.
End of workshop evaluation. Last day of workshop.
Customer Satisfaction
Collect information via post-workshop survey
including participants’ feedback.
Last day of workshop.
Workshop evaluation form. Follow-up two weeks post
completion of workshop.
Evaluation Tools
Immediately Following the Program Implementation
Kirkpatrick and Kirkpatrick (2016) detailed in the New World Kirkpatrick Model the
importance of evaluating learners to determine the effectiveness upon the completion of training
implementations. For this research study, analyzing training effectiveness data from Levels One
and Level Two are important aspects of representing the value the professional development
workshop contributed to both the stakeholders and the achievement of the stakeholder goal. The
evaluation immediately following the workshop implementation allows the participants to
communicate the degree to which they found the workshop to be engaging, effective, and
beneficial to increase their ability to be promoted or appointed into SES positions. Ultimately,
the training effectiveness data becomes a key tool used to drive analysis and decision-making
that contribute to organizational change.
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Whether offered in a traditional setting or in a blended format, the evaluation will occur
throughout the span of the workshop. The organization will equip training facilitators with well-
developed questions that warrant succinct and transparent feedback from the participants. In
addition to the pre-test completed at the start of the workshop, which measures both Level One
and Level Two, the participants will be given a mini post-evaluation (see Appendix E) at the
conclusion of each day to specifically determine the Level One emotional effectiveness of the
workshop each day (Kirkpatrick & Kirkpatrick, 2016). The assessment will include questions
that measure the participants’ reaction to the overall course design, value, and satisfaction
(whether in-person or blended). The Level Two evaluation of learning will be conducted
including a Likert scale survey to determine participants’ level of learning and how the
knowledge can be applied in the development of their own ECQ packages (Kirkpatrick &
Kirkpatrick, 2016).
Delayed for a Period After the Program Implementation
Thirty days after the professional development workshop and then on a quarterly interval
cycle up to one year, workshop cohort participants will be issued a survey (Appendix F). The
survey, Appendix F, includes open and scaled items that will allow participants to share their
personal experience and provide valuable feedback relating to the workshop’s impact on
improving their ECQ package and overall readiness to successfully compete for SES positions.
The purpose of delaying the issuance of the post-evaluation is to allow time for African
American GS-14 and GS-15 members to put into action and refine the ECQ packages in
accordance with workshop takeaways (Kirkpatrick & Kirkpatrick, 2016). The evaluation tool
will serve to measure the participant’s satisfaction and relevance of the workshop (Level One),
self-confidence and value placed on the workshop (Level Two), their ability to apply the
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workshop to create more competitive ECQ packages (Level Three), and ultimate results of their
newly designed ECQ packages (Level Four) to achieve career advancement into SES positions
(Kirkpatrick & Kirkpatrick, 2016).
Data Analysis and Reporting
In accordance with the evaluation tools provided by Kirkpatrick and Kirkpatrick (2016),
the data will be aggregated and analyzed to determine the ability of the workshop and its
implementation to achieve the stakeholder and organizational goal of increasing the percentage
of African Americans into the SES Corps by 2% by December 2020. The presentation of the data
results will be utilized by decision-makers within the Office of Personnel Management, who hold
ultimate authority to directly influence program implementation, to show the Level Four results
as well as the Level One through Three outcomes. The researcher developed this workshop to
help African American GS-14 and GS-15 members enhance their readiness through the thorough
preparation of their ECQ packages as a part of their career advancement and at no personal
expense.
The outcomes of the participant feedback will be monitored in an effort to determine the
increase of African Americans GS-14 and GS-15 members into SES appointments within the
federal government. An infographic will be shared with decision-makers within OPM and at the
agency level who participants represent. Figure 5 shows the graphic visual depiction of the
information that will be shared with the organization’s decision-makers. Similar infographics
will be created, maintained, and shared to measure implementation success at all levels, Level
One through Four.
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Figure 5
Measuring the Effectiveness of the Workshop on Preparing a More Competitive ECQ Package
Summary
By applying the New World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016), the
researcher was able to develop a professional development workshop program with immediate
and delayed evaluations, all geared at addressing the performance gaps identified. As proposed
by Kirkpatrick and Kirkpatrick’s New World Model (2016), the proposed program to be
implemented approaches a key performance gap in a focused manner using the four levels in
reverse. This purposeful approach first contemplates leading indicators that will be influenced
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and how those indicators will be reported to the organization (Level Four), a consideration as to
what behaviors need to be produced (Level Three), then considering what support is necessary
for participants to perform successfully (Level Two), and lastly, taking into account how the
implementation will impart the required knowledge and skills to the participants successfully
(Level One). Following the New World Model from Kirkpatrick & Kirkpatrick (2016), the
researcher was able to address the training required to support achieving the stakeholder goal of
increasing the number of African Americans into SES positions by 2% by December 2020
through program development, implementation, and evaluation.
Limitations and Delimitations
The intention of this study was to examine the KMO influences that create gaps in
African Americans’ representation in the SES Corps. Due to factors outside of the researcher’s
control, there were several anticipated limitations and delimitations. One limitation was the
number of interview participants. The aim was to interview 10 participants; however, two out of
the ten respondents who initially agreed to be interviewed declined an interview. No additional
respondents were identified despite the researcher’s efforts to identify additional participants.
One person declined for reasons unknown to the researcher, and the other participant declined
because they were no longer employed by the federal government as a GS-14. Ultimately, the
study was limited to eight participants from seven different federal agencies. Seven participants
responded directly to the recruitment survey issued and one was a referral by one of the
interview participants. Another limitation was the number of interviews allotted per interviewee.
Each participant was limited to one interview per participant and the researcher ultimately
selected the dates and times for the interviews after receiving preferred timeslots from each
participant. Another limitation was the assumption that participants would respond truthfully.
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Self-reporting of research participants is a major limitation because there is no way to ensure
they will answer the interview questions honestly. Lastly, the final major limitation of this study
is interviewer and interviewees’ personal biases and preconceived attitudes, thoughts, and
opinions that affect the data (Merriam & Tisdell, 2016) as discussed in Chapter Three.
A major delimitation was the overall duration of the study. This study only allotted two
years for data collection and analysis, which created an increased delimitation. Additionally, the
study’s interview period only consisted of a three-month timeframe, which represented a
delimitation. This timeframe was selected to ensure the researcher maintained mandated
timelines as proposed by their doctoral program. An additional delimitation was the researcher’s
utilization of a recruitment survey through LinkedIn, a public professional social media website,
as the method to enlist participants who met the interview criteria (being of African American
descent, members of the federal government’s civilian workforce, and at the GS-14 or GS-15
level). This method of recruiting interview participants was the best way to solicit volunteers
without using federal government resources. Another delimitation was the selection of the Clark
& Estes (2009) framework as assigned by the doctoral program. Finally, the scope of this study
was also delimited to the organization selected: the federal government’s civilian workforce
versus expanding the study outside of the federal government to all corporations or non-profits
with a low percentage of African American senior executives.
Implications for Practice
This improvement study revealed significant findings that have implications for practice.
These implications are especially important for organizations who are devoted to improving their
diversity statistics. These implications of practice not only impact organizations in general but
are specifically relevant to the federal government as it continues its efforts to increase the
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number of African Americans selected for or appointed to the SES Corps. One implication
supports that federal government agencies need to ensure their employees have the necessary
knowledge about the requirements and resources available to them in order to successfully
compete for executive level positions, including the establishment of a professional development
course dedicated to the superior preparation of the required ECQ package. Another implication
supports that federal government agencies need to ensure that their organizational structures are
creating supportive environments that constructs trusting relationships with their employees. By
developing a culture of trust through providing training and SES considerations without the
presence of implicit bias, employees will develop a sense of hope and find value when choosing
to compete for an SES Corps positions (The White House, 2015). Additionally, qualified African
Americans will believe that their efforts to prepare for the competitive process will actually
improve their chances for successful selection and/or appointments. These implications for
practice not only would improve the diversity statistics of African Americans but increase
diversity and inclusion for all ethnicities within federal service.
Future Research
Over one hundred fifty years ago the 14
th
Amendment of the United States Constitution
was ratified to extend citizenship to all people born or naturalized in the United States including
former slaves (Library of Congress, n.d). It would be almost another hundred years before
African Americans would receive a legal reprieve from racial segregation and discrimination
based on their ethnic heritage through the Civil Rights Act of 1964 (Department of Labor, n.d).
Although the provisions of the Civil Rights Act of 1964 forbade racial discriminations in hiring
and promoting practices, the EEOC currently continues to address cases relating to racial
discrimination, not only within the federal sector but also within the private sector (EEOC, n.d).
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Nonetheless, as we continue to journey into the 21
st
century, the evidence of racial and ethnic
discrimination, both implicit and explicit, against African American continues. The evidence is
not only prevalent within the recruiting percentages of African Americans desiring to diversify
executive suites of both the public and private sectors, but also in the area of policing, healthcare
disparities, and housing (Davidson, 2018; The Washington Post Staff, 2020; McGregor, 2016;
Taylor, 2020; Shackleford, 2010; Williams, 2020).
This research study presents gaps, both implicit and explicit, derived by historical racial
inequities which present opportunities for future research that would provide a deeper
understanding of how to resolve the ongoing problem of an underrepresentation of African
Americans within the SES Corps. Future research should analyze whether the following
recommendations provided in this study truly improved the percentage of African Americans
SES members.
1. First, the implementation training courses with the goal of providing proficiencies on
developing the ECQs and the specificity of each of the elements as this ECQ package
is the most important part of competing for SES positions. Since this type of
assistance is only available through paid sources outside the government, it would
provide valuable insight as to whether offering these training courses would increase
the number of African Americans successfully appointed to SES positions.
2. Second, revising the SES selection and appointment processes to ensure the process is
conducted fairly and without racial bias. With the knowledge that agencies are
providing diversity training will provide choice and control to African American GS-
14 and GS-15 members in pursuing SES positions.
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3. Third, implementing diversity mentorship programs that enlist the assistance of
credible models (gender, ethnicity, culturally appropriate) to foster positive values.
The credible models should be active or retired SES leaders able to share stories
about their challenges and successes to African American GS-14 and GS-15 members
who are interested in competing for SES positions.
4. Fourth, provide supportive environments through the investment of employee
recognition programs and positive feedback to increase positive emotional
environments and motivation for African American GS-14 and GS-15 members to
compete for SES Corps positions.
5. Fifth, repeating this study over a longer period of time, with an increased number of
participants, and with more agencies represented. Such additional research would
provide insight on how the recent cultural variables in 2020 relating to racial injustice
shift the percentage of African Americans considered for and selected to SES Corps
positions.
Conclusions
The realization that in the year 2020 America is still plagued by racial disparities,
specifically towards people who are the descendants of a people enslaved for more than 400
years, is a disheartening reality. This study topic was selected to serve as an eye-opening analysis
with the intent of identifying opportunities for equity to African American federal employees
interested in pursuing SES positions. The stakeholder goal was set to bring awareness to the
racial imbalance among the SES ranks, as European Americans continue to hold approximately
80% of the SES positions within the federal government (OPM, n.d.a; OPM, 2016; OPM, 2017).
It is not without understanding and acknowledgment of the tremendous strides that have been
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made over the past four decades and beyond that this study was undertaken. The findings of this
study serve to highlight the importance of inclusivity and a racially diverse SES Corps absent
explicit or implicit racial bias.
This research study utilized the Clark and Estes’ (2008) gap analysis to evaluate KMO
influences that serve as barriers to increasing the percentage of African Americans into the SES
Corps by 2% by December 2020. Based on detailed findings identified through data collection
and analysis, context-specific recommendations were proposed to address validated KMO gaps.
Moreover, by using the Kirkpatrick and Kirkpatrick (2016) New World Model, this research
study delineated a succinct plan for evaluation and implementation in assessing the effectiveness
and efficiency of implemented solutions. The study analyzed all assumed influences identified in
the conceptual framework, with certain influences validated as gaps where others manifested as
assets.
Findings suggested that reinforcing knowledge concerning the requirements and
resources, including the implementation of ECQ package professional development, will
accelerate the preparedness of African Americans for the SES competitive process. The findings
also suggest that the lack of organizational support creates significant barriers to African
Americans realizing their and federal service’s promotion goals. Specific study findings
insinuate that the overall motivation of African Americans GS-14 and GS-15 members would
improve if there was an increased organizational support to include revised SES selection and
appointment processes that ensures selection will be conducted fairly and without racial bias.
Additionally, the creation of diversity mentorship programs made up of retired and active
African American SES members who can serve as credible models who are able to foster
positive values for African Americans aspiring to gain SES appointments is needed. Most
133
pointedly, the findings support that the organization needs to implement strategies to foster a
supportive environment through the investment of employee recognition programs and positive
feedback to increase positive emotional environments and motivation among African Americans
aspiring to compete for SES positions. Lastly, the organization needs to implement Likert-type
survey items from the Achievement Emotions Questionnaire for individual emotional
measurement, to decrease negative emotions, and to develop more positive emotions related to
participating in the competition for SES Corps positions. As the world continues to grapple with
and acknowledge the suboptimal impact of racial inequalities, the proposed recommendations
from this study may provide a path towards improvements by diminishing the identified gaps and
increasing the percentage of African Americans in the SES Corps.
134
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Appendix A
Information Sheet for Exempt Research
University of Southern California
Rossier School of Education
Waite Phillips Hall
3470 Trousdale Parkway Los Angeles, CA 90089
STUDY TITLE: Examining the Underrepresentation of African Americans in the Senior
Executive Service within the United States Federal Government’s Civilian Workforce
PRINCIPAL INVESTIGATOR: Radhiyah I. Miller Smith
You are invited to participate in a research study. Your participation is voluntary. This document
explains information about this study. You should ask questions about anything that is unclear to
you.
PURPOSE
The purpose of this study is to examine the knowledge, motivation, and organizational influences
attributing to the underrepresentation of African Americans in the Senior Executive Service
within the United States Federal Government’s civilian workforce. As of result of this study, I
hope to learn ways to increase the percentage of African American SES Corps members. You are
invited as a possible participant because you have identified as someone of African American
descendant who are employed with the United States Federal Government civilian workforce at a
level of GS-14 or GS-15.
PARTICIPANT INVOLVEMENT
If you agree to participate in this study, you will be asked to participate in a one-on-one
interview with the researcher, which will last approximately one hour. You do not have to
answer any questions you do not want to.
For accuracy in the data collection and analysis process, you will be asked to be audio recorded.
Your full identity (name and specific title) will NOT be disclosed in the recorded dialogue.
However, your race and GS level must be stated for purposes of the study. If you choose not to
be audio recorded, your responses will be hand-written or transcribed on a laptop by the
researcher. A full transcript of the interview can be provided to you if you wish to review it for
clarity and feedback.
CONFIDENTIALITY
The members of the research team and the University of Southern California Institutional
Review Board (IRB) may access the data. The IRB reviews and monitors research studies to
protect the rights and welfare of research subjects.
When the results of the research are published or discussed in conferences, no identifiable
information will be used. Any identifiable information obtained in connection with this study
will remain confidential. Your responses will be coded with a false name (pseudonym) and
150
maintained separately. Only your demographical profile (gender and race) and GS level will be
used in the study. Data will be stored on a password-protected computer in the researcher’s
office for two years after the study has been completed and then removed.
INVESTIGATOR CONTACT INFORMATION
If you have any questions about this study, please contact Radhiyah I. Miller Smith at
radhiyas@usc.edu or 770-862-1399.
IRB CONTACT INFORMATION
If you have any questions about your rights as a research participant, please contact the
University of Southern California Institutional Review Board at (323) 442-0114 or email
irb@usc.edu.
151
Appendix B
Survey Protocol
INFORMAL INVITATION FOR INTERVIEW PARTICIPANTS
(DISTRIBUTED ON LINKEDIN, A SOCIAL MEDIA FORUM)
Calling all African American Federal Civilian Employees at the GS-14 or GS-15 Pay Level,
I am a doctoral candidate at the University of Southern California, Rossier School of Education
and my dissertation addresses the underrepresentation of African Americans within the Senior
Executive Service (SES) Corps at the United States Federal Government. I am currently looking
for candidates willing to participate in my study. The interview will take less than an hour and
the participant’s identity will remain anonymous.
If you are interested or know someone who may be interested, please complete the survey or
email me directly at radhiyas@usc.edu:
https://www.surveymonkey.com/r/NRCTJPN
I am excited and thankful for the opportunity to learn your thoughts on my dissertation topic.
Thank you in advance!
1. Do you identify as African American?
2. Are you employed by the United States federal government?
3. Are you a federal government employee under the Department of Defense?
4. Are you at the GS-14 pay level (or an equivalent)?
5. Are you at the GS-15 pay level (or an equivalent)?
6. Do you have aspirations of competing for or being considered for appointment to the SES
Corp?
7. To your knowledge, do you have the minimum qualifications as a federal civilian
workforce member that meets the promotion factors to compete for the SES Corps level?
8. After reading the description, would you be interested in being an interview participant?
9. If you are interested, please include your name, email address, and phone number:
152
10. If you know someone who may be interested, please include their name, email address,
and phone number OR forward the SurveyMonkey link directly to them
(https://www.surveymonkey.com/r/NRCTJPN):
153
Appendix C
Interview Protocol
Moderator Interview Script
Video/Audio Recorded Introduction
• Welcome. Thank you for taking part in this interview.
• My name is Radhiyah (Thea) Smith and I will be facilitating the interview.
• The interview will take about an hour or less.
• I would like to record this interview. Please be assured that any statements you share with
me will remain confidential, as my goal is to identify the understanding, awareness,
attitudes, and perceptions as it relates to increasing the percentage of African Americans
to Senior Executive Service Corps positions. The recording allows me focus on our
conversation versus having to take copious notes. Do you have any concerns about being
recorded?
• I may ask follow-up questions. I am also willing to provide clarifications on any question,
as needed.
• My goal is to make you feel comfortable and I encourage you to share your thoughts and
opinions openly.
• If you hear or see me pause, it is because I will be taking a few hand-written notes,
mainly so that I can remember any follow-up questions.
• Might I answer any questions you have about my study or today’s conversation?
ASK: Do I have your consent to participate in this interview process, in accordance with what
has been shared? Please respond Yes or No. (Wait for a response, if “yes”, proceed to next
question. If “no”, end the interview.)
ASK: Do I have your permission to record this interview via Zoom?
Please respond Yes or No. (Wait for a response, if “yes”, start audio recorder. If “no”, end the
interview.)
Administer Information Sheet
ASK: Have you thoroughly read and understand the Information Sheet provided to you prior to
our meeting?
STATE: You may, at any time, choose to not respond to any question, for any reason. You may
also choose to skip a question for any reason. As a reminder, your participation in the interview
is strictly voluntary and you may opt out of the interview at any point without explanation. Your
name and identifying information will remain completely confidential, so I would appreciate
your complete honestly.
154
Demographic Questions
Since demographics is a part of the data analysis phase for this study, please provide a response
to the following questions:
• What is your ethnic identity?
• Please indicate whether you are at the GS-14 or GS-15 level (or an equivalent).
• How long have you served at your current pay level?
Thank you. Next, we will move to the interview questions.
Interview Questions
The first interview question will focus on where you are in your current role and any associated
roadblocks you may have encountered within your agency.
1. Explain your role within your agency. Agency name is not required. (Background)
2. What, if any, roadblocks did you encounter when pursuing your current level?
(Background)
Now we will move into some questions about the SES Corps.
3. Can you please tell me a little about what you know of the SES Corps? (K-declarative)
4. Are you interested in competing for a position in the SES Corps? Why or why not? (M-
interest)
5. What is your understanding of the process (requirements or resources needed) to be
appointed to or to compete for SES Corps positions? (K-procedural)
6. What do you know of the qualifications to compete for SES Corps positions? (K-
metacognitive)
7. How do you feel about your qualifications relating to competing for SES Corps
positions? (K-metacognitive)
8. What do you believe you need to do to be competitive for a SES Corps position? (K-
metacognitive)
9. How would you describe your level of confidence that you are capable of successfully
competing for an SES Corps position? (M-self-efficacy)
10. In what ways do you believe you should prepare before competing for any vacant SES
Corps positions? (M-expectancy)
11. How will your preparedness improve your chances for success when competing for
vacant SES Corps positions? (M-expectancy)
Lastly, I have just a few questions about your thoughts on organizational culture and ways the
organization may or may not prepare and support African Americans’ progression into SES
positions.
155
12. How would you describe your agency’s organizational culture as it specifically relates to
having a general acceptance and willingness to hire qualified African American GS-14
and GS-15’s into SES vacancies? (O-Model 1)
13. Please describe your agency’s availability and accessibility to mentorship programs for
African Americans aspiring to SES positions? (O-Setting 1)
14. To what extent do you think African Americans are fairly evaluated on their job
performance? What, if any, biases might be at work? (O-Setting 2)
15. Do you believe your organization will evaluate qualified African American equally,
excluding any social or ethnic biases? (O-Setting 2)
16. How would you characterize your level of trust that your organization provides
opportunities for qualified African American GS-14 and GS-15’s to become SES
members? (O-trust)
Final Thoughts
17. Do you have anything you would like to add?
18. Is there anyone you could refer as an interviewee?
156
Appendix D
Document Analysis Protocol
Guide To The Senior Executive Service
1. What are the Executive Core Qualifications?
2. What is the Qualifications Review Boards?
3. When was the Guide To The Senior Executive Service created or published?
4. What is the purpose of the Guide To The Senior Executive Service?
157
Appendix E
1 = Strongly Agree 2 = Disagree 3 = Agree 4 = Strongly Agree
(L1/L2) Completing my draft ECQ
package prior to the start of the
workshop was a useful exercise..
(L1) I found the workshop activities to
be effective in my understanding of
creating a competitive ECQ package.
(L1) The overall course design was
effective and easily to operate.
(L1) I was engaged throughout the
duration of the workshop.
(L2) I gained an affirmed confidence in
my ability to develop superior ECQ
packages as a result of the workshop.
SAMPLE EVALUATION SURVEY IMMEDIATELY FOLLOWING WORKSHOP
Directions : Thank you for taking the time to complete the following evaluation. Your feedback is important as we
consider the impact of each component of this workshop.
Open-ended : What part of the workshop was most beneficial?
Open-ended : What part of the workshop would you modify?
Comments:
158
Appendix F
1 = Strongly Agree 2 = Disagree 3 = Agree 4 = Strongly Agree
(L1) The ECQ package workshop
continues to be useful and relevant to
me.
(L1) Skills and strategies learned
during the ECQ package workshop
continue to be valuable to me.
(L1) I would recommend this workshop
to other African American GS-14 and
GS-15 members.
(L2) I am confidently applying the skills
I gained during the workshop.
(L3) I have seen an increased number
of my SES applications move to the
"Referred" status as a result of taking
this workshop.
(L4) As a result of the workshop, I have
been selected for SES positions applied
for.
SAMPLE EVALUATION SURVEY IMMEDIATELY FOLLOWING WORKSHOP
Directions : Thank you for taking the time to complete the following evaluation. Your feedback is important as we
consider the impact of each component of this workshop.
Open-ended : What part of the workshop was most beneficial?
Open-ended : What part of the workshop would you modify?
Additional Comments/Thoughts:
Abstract (if available)
Abstract
Although the United States Federal Civilian Workforce has made intentional progress towards achieving diversity, there is still an underrepresentation of African American Senior Executive Service (SES) Corps members when compared to the overall African American population in the United States as a whole. The purpose of this study is to uncover the knowledge, motivation, and organizational (KMO) influences that contribute to the underrepresentation of African American SES members. The KMO model for this study is outlined by the Clark and Estes’ (2008) Gap Analysis conceptual framework. This study analyzes underlined reasons why qualified African American GS-14 and GS-15s are not competing for SES Corps positions. The stakeholder group for this qualitative study are African Americans who hold positions of either GS-14 or GS-15. The methodology used by the researcher to investigate influences included interviews and document analysis. Recommendations include a comprehensive implementation and improvement plan based on the study’s findings. The recommendations may assist the federal civilian workforce understand how to increase the percentage of African Americans SES Corps members, thus leading to more diversity within executive leadership positions.
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Asset Metadata
Creator
Miller-Smith, Radhiyah I.
(author)
Core Title
Examining the underrepresentation of African Americans in the Senior Executive Service within the United States federal government’s civilian workforce
School
Rossier School of Education
Degree
Doctor of Education
Degree Program
Organizational Change and Leadership (On Line)
Publication Date
11/13/2020
Defense Date
10/16/2020
Publisher
University of Southern California
(original),
University of Southern California. Libraries
(digital)
Tag
African American,federal government,OAI-PMH Harvest,Senior Executive Service,SES
Language
English
Contributor
Electronically uploaded by the author
(provenance)
Advisor
Phillips, Jennifer L. (
committee chair
), Nichols, Michael L. (
committee member
), Seli, Helena (
committee member
)
Creator Email
radhiyas@usc.edu,sdjtmom@yahoo.com
Permanent Link (DOI)
https://doi.org/10.25549/usctheses-c89-391068
Unique identifier
UC11666368
Identifier
etd-MillerSmit-9109.pdf (filename),usctheses-c89-391068 (legacy record id)
Legacy Identifier
etd-MillerSmit-9109.pdf
Dmrecord
391068
Document Type
Dissertation
Rights
Miller-Smith, Radhiyah I.
Type
texts
Source
University of Southern California
(contributing entity),
University of Southern California Dissertations and Theses
(collection)
Access Conditions
The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...
Repository Name
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Repository Location
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Tags
federal government
Senior Executive Service
SES