Competency Model Building and Validation Guide

DOCUMENT PURPOSE:

This document provides a detailed step-by-step guide of the activities, tools, and resources associated with
building a competency model within the NIH construct.

TABLE OF CONTENTS:

I. PHASE I: PLANNING AND SCOPING WITH PROJECT SPONSOR

II. PHASE II: COMPETENCY MODEL DEVELOPMENT AND SOURCE DOCUMENTS
III. PHASE III: VALIDATION OF THE COMPETENCY MODEL

TABLE OF APPENDICES:

Appendix 1: Competency Source Document Matrix

Appendix 2: Sample Competency List

Appendix 3: Subject Matter Expert (SME) Selection Criteria Document

Appendix 4: SME Invite from Leadership Sample

Appendix 5: Validation Meeting Agenda Sample

Appendix 6: NIH Proficiency Scale

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 Competency Model Building and Validation Guide

ACTION
TIMEFRAME (Numbers do not necessarily DESCRIPTION/DETAILS TOOLS, SAMPLES, and RESOURCES NOTES
dictate order)

PHASE I:
PLANNING AND SCOPING WITH PROJECT SPONSOR
PURPOSE OF PHASE: The purpose of this phase is to meet with the project sponsor to discuss their goals in using competencies and how to build and validate a competency model that best fits the needs of the organization.

Additional suggested questions may include:

During this time you will:
o What external factors are affecting the
 Determine the sponsor’s end objectives (Why do they
organization?
want to implement competencies?)
o What are the pain points?
 Determine the types of competencies to include in the Each engagement will be different depending on the sponsor’s
1. Conduct a pre-building/validation o Is the partnership being requested by the
model (technical, non-technical, leadership & expectations, needs and time available.
meeting with the project sponsor sponsor or is it something that they are being
management)
directed to do.
 Discuss barriers/limitations (timeline, resources, etc.)
o Is there a particular problem they are trying
 Collect key notes and takeaways
to solve with competencies?
 Discuss the next steps
o Is there a desired future state?
 Pull or request a staff-list to gain understanding of the
2. Prepare for the validation
population you will be working with (e.g., grades,
meeting by researching current
supervisory status)
factors that may affect how the
 Review discussion with sponsor and relate pain points
competency model will be used in
and future activities to specific competencies or types of
the organization
competencies

PHASE II:
COMPETENCY MODEL DEVELOPMENT AND SOURCE DOCUMENTS
The purpose of this phase is to research source documents associated with the positions, job series and/or job functions included in the competency model and create a draft competency list for validation by Subject Matter
PURPOSE of PHASE:
Experts (SMEs).

 Search to see if there are any historic competency models

already developed by either NIH OHR, and OD Office, or
1. Research Previous NIH
another IC  NIH Competency Models
competency models and available
 Research if there are any NIH level models  NIAID Competency Intranet Site
information.
 If there is an existing model, create a crosswalk of the old
model to the current NIH competency dictionary

 Look to see if there have been successful efforts outside  OPM

2. Research non-NIH Competency
of NIH to develop competency models for the given  HHS
Models.
function (e.g., Contracting FAI competency models)  Federal Acquisition Institute

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 Competency Model Building and Validation Guide

ACTION
TIMEFRAME (Numbers do not necessarily DESCRIPTION/DETAILS TOOLS, SAMPLES, and RESOURCES NOTES
dictate order)

 Scan source documents for evidence of requirements and

The source documents are where you will pull out the relevant
behaviors and log them in a source document matrix.
competencies. Use the NIH competency dictionary to see what
Utilize the source document matrix to build a draft
competencies are available to use and the key behaviors
competency list.
 PD LIST HR Classification and Recruitment associated with each.
 To develop a list of competencies analyze the following:
3. Acquire and analyze source Document System (HR CARDS)
o Position Description (HR CARDS)
documents for competency  Competency Source Document Matrix The HR CARDS system is a centralized location available for
o PMAP
research. (Appendix 1) position descriptions.
o Job Announcement
 NIH Competencies Dictionary
o Job Analysis (HR CARDS)
NOTE: When requesting PMAPS, indicate that you do not need
o Job Assessment Questionnaires
the “cover sheet” which indicated the employee’s PMAP rating.
o Prior/Related Competency Models
You only need the PMAP elements for the employee.
o Federal or other certification requirements

 View the organization webpage (internal and external) to

Gain an understanding of the primary function of the
see the office’s official work statement and what they see
organization.
4. Research partner organization as important. Information can also be obtained from
Vision/Values/Functions. strategic plans or other documentation, if available.
Are there specific issues affecting the organization now? In the
 Add competencies to the source matrix and draft list that
future?
would advance the vision and values of the organization.

The competency source document matrix will allow you to link

 Create a Source Document Matrix to capture and  Competency Source Document Matrix each competency to the source(s) that support its inclusion in
5. Create a source document matrix. document all sources used to create the draft (Appendix 1) the model. This will be important as we must be able to justify
competency list. why the competency is being suggested and what was used as
the source.

Based on the data available in the research on the function,

 Use the source documents to create a draft competency
6. Create draft competency list  NIH Competencies Dictionary develop a competency model using the competencies in the
list that represents the competencies listed in all the
based on source documents.  Sample Competency List (Appendix 2) NIH dictionary. The initial draft model will likely include more
source documents.
competencies than the final model, since its purpose is to give
the validation team a starting point for their discussions.

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 Competency Model Building and Validation Guide

ACTION
TIMEFRAME (Numbers do not necessarily DESCRIPTION/DETAILS TOOLS, SAMPLES, and RESOURCES NOTES
dictate order)

PHASE III:
VALIDATION OF THE COMPETENCY MODEL
PURPOSE of PHASE: The purpose of the validation phase is to gain input on the draft competency list by a group of subject matter experts (SMEs) who perform or supervise the work/functions that the model covers.

It is recommended that there be at least two facilitators to

 Coordinate the date and time with the project sponsor. facilitate the discussion and capture detailed notes.
The desired size of the validation team usually ranges
1. Set a date, time and location for around 7-10 participants, but can vary based on the size  SME Criteria Document (Appendix 3) Recommended best practice is to schedule two (2) 90–120
the validation meeting. of the organization. See SME Criteria Document for more minute meetings approximately one week apart. You may or
information. may not need both of these meetings depending on the
number of competencies, complexity of the model, and
validation team dynamics.

 The project sponsor will identify the validation

participants based on the SME criteria document. It will be helpful to attach a draft meeting agenda and draft
2. Send validation session meeting
Prior to the validation meeting  Once the participants have been identified by the project competency model if available.
request to all identified  SME invite from leadership sample (Appendix 4)
sponsor, arrange to send a calendar invite to each
validation participants.
validation participant nominee, informing them of their
contribution expectations.

 Agenda
 Competency Program Overview Slide Deck  Competency Source Document (Appendix 1)
The sign-in sheet should be archived for the future; when the
3. Prepare validation meeting  Draft Competency List  Sample Competency List (Appendix 2)
time comes to revalidate the model, it will be helpful to recall
materials.  Source Document  Validation Meeting Agenda Sample (Appendix 5)
who participated in the initial validation.
 Sign-In Sheet  NIH Proficiency Scale (Appendix 6)
 NIH Proficiency Scale
 You may want to have a brief conversation with someone
4. Have a conversation with a
close to the organization to gauge if there are any current This conversation will provide you with a backstory, help to
sponsor/SME/stakeholder you
hot issues, pitfalls to avoid, or any political issues that identify potential pit falls, and/or identify
have a working relationship with
may come up or may influence the validation session. supporters/detractors.
to


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 Competency Model Building and Validation Guide

ACTION
TIMEFRAME (Numbers do not necessarily DESCRIPTION/DETAILS TOOLS, SAMPLES, and RESOURCES NOTES
dictate order)
 During the validation meeting the facilitator will present
the group of SMEs with the draft competency list and the
group will review and validate each competency to
discuss if each competency should be included in the final
competency list/model.
5. Conduct the competency
During the validation meeting  Be sure to have someone capture detailed notes/minutes
validation meeting.
from the validation session. These are especially helpful if
the sponsor is not part of the validation team and later
questions any of the decision process.
 The final product from this phase will be a validated
competency list.
 Send an e-mail to all validation meeting participants
thanking them for their time and asking them to review
the final competency list that they validated one last
6. Send follow-up e-mail to all time.
validation participants.  Allow the group a week to review the list and provide any
final comments or input, be sure to attach the meeting
notes/minutes and the final competency list that the
group agreed on during the validation session.
After the validation meeting
Post-validation feedback may need to be incorporated into the
7. Collect any post-validation  Address any feedback received after the competency final model. Be sure to get approval from all SMEs (may be via
feedback. model validation from the group. email or in person) prior to incorporating any changes to the
model after the validation session.
 After a week has been given to the SME validation team
8. Finalize competency model and The project sponsor typically has the “last say” with the model
for them to provide comments/feedback on the
meet with or send to sponsor for and needs to provide their approval of the final competency
competency list, finalize the model and provide to the
final approval. model.
project sponsor(s) for their final input and approval.

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 Appendix 1: Sample Source List and Matrix

Sources

1) 2006 NIH Competency Model 9) Job Analysis GS-7 16) PD GS-9

2) Current OPM Competency Model 10) Job Analysis GS-9 17) PD GS-12
3) Behavioral Interview Guide 11) Job Analysis GS-9 FPL 12 18) PD GS-13
4) Job Announcement GS-7 12) Job Analysis GS-13 19) PMAP GS-7
5) Job Announcement GS-9 13) Assessment Questions FPL 12 20) PMAP GS-9
6) Job Announcement GS-9/11/12 14) Assessment Questions FPL 13 21) PMAP GS-12
7) Job Announcement GS-13 15) PD GS-7 22) PMAP GS-13
8) OPM Position Classification
Flysheet

Competency Definition/Interpretation Sources

 1 - NIH Model
 2 - OPM Model
Applies critical financial concepts and practices to  4-7 all Job Announcements
1. Financial
establish and maintain realistic budgets.
Management  11-12 Job Analysis GS 12-13
 15-18 all PDs
 21-22 PMAPs GS 12-13
 19-22 - all PMAPs
2. Leveraging Seeks out ways to employ technology to optimize
 3 – Interview Guide
Technology organizational and individual performance.
 13-14 - Assessment Questionnaire
 Source 1
3. Competency Name Competency Definition  Source 2
 Source3
 Source 1
4. Competency Name Competency Definition  Source 2
 Source3

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Additional Technical Competencies to be Considered

Competency Definition/Interpretation Source

1. 
2. 
3. 
4. 
5. 

Additional Non-Technical Competencies to be Considered

Competency Definition/Interpretation Source

1. 
2. 
3. 
4. 
5. 

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 Appendix 2: Position X Draft Competency List
[Office/Function Name]
The following is an outline of the proposed [Office/Position/Function] Competency List. The
subsequent pages include more detailed competency definitions and key behaviors.

Technical Competencies
1. Acquisition Management
2. List all proposed Technical Competencies here

Non-Technical Competencies
1. Advisory Assistance
2. List all proposed Non-Technical Competencies here

Core Competencies
1. Communications
2. Customer Service
3. Decision Making
4. External and Organizational Awareness
5. Interpersonal Relations
6. Problem Solving

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Technical Competencies and Key Behaviors

1. Acquisition Management
Manages post-award contract activities through contract close-out.
Key Behaviors
 Serves as primary point of contact concerning contractual matters.
 Works closely with customer/partner to ensure terms of contracts are fulfilled in compliance
with the terms of the contract and applicable laws and regulations.
 Plans, directs, coordinates, and manages the various contracting functions, including
administering, modifying, closing out and terminating contracts.

2. List all proposed Technical Competencies followed by their definitions and key
behaviors

Non-Technical Competencies and Key Behaviors

1. Advisory Assistance
Provides appropriate guidance, feedback and resources.
Key Behaviors
 Seeks information to understand problems, expectations, and needs of clients in assigned
area.
 Provides accurate and timely guidance.
 Provides ‘resolution-based’ information when identifying problems and recommending
solutions.
 Supports leadership and staff by planning, preparing, organizing and managing information
and materials.
 Facilitates submissions of required documentation and in the appropriate format.
 Serves as an advisor and resource to improve process, designs, functionality and
management.
 Explains documentation and policy requirements and limitations to managers.

2. List all proposed Non-Technical Competencies followed by their definitions and key
behaviors

IC Core Competencies and Key Behaviors

1. Communications
Delivers clear, effective communication and takes responsibility for understanding others.
Key Behaviors
 Clearly and effectively conveys information verbally.
 Asks appropriate questions.
 Organizes, expresses, and communicates ideas clearly in writing.

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  Listens actively; asks clarifying questions and summarizes or paraphrases what others have
said to verify understanding.
 Ensures that regular communication occurs based on the needs of the work, the individual,
management or the situation.
 Uses analogies, visuals, and other techniques to tailor communications to specific audiences.
 Identifies and uses effective communication channels and methods (e.g., presentations,
electronic dissemination, social media).
 Utilizes skill in presenting information, analysis, ideas and positions in a clear, succinct,
accurate, convincing manner, as is appropriate with the audience.

2. Customer Service
Demonstrates a commitment to public service; serves and satisfies internal and external
customers; holds self accountable for quality outcomes.
Key Behaviors
 Establishes and maintains credibility with the public, partners, customers, and co-workers.
 Works with customers to assess their needs in an effort to meet/exceed requirements and
expectations.
 Conveys a positive attitude when interacting with customers and staff.
 Identifies opportunities to improve customer service and satisfaction.
 Understands customers and takes a proactive approach to meeting their needs in an
effective and timely manner.
 Engages the customer as a partner in delivering service.
 Makes use of specialized knowledge to assist customers in resolving problems.
 Uses ‘non-technical’ language skillfully to ensure effective communication with customers
from all levels of understanding.
 Recognizes that customer feedback is an opportunity to improve performance, and identifies
the need for any changes in service delivery.
 Builds and maintains effective working relationships and partners with customers.
 Balances interests of a variety of customers.
 Sets, commits to, and maintains high standards for quality work and responsiveness in
providing administrative services.

3. Decision Making
Obtains information and identifies key issues and implications to make informed, objective
decisions.
Key Behaviors
 Approaches a complex task or problem by breaking it down into parts and considers each
part in detail.
 Seeks information about alternatives and chooses an option that meets a goal, solves a
problem or avoids a risk.
 Actively looks for discrepancies and inconsistencies in available information.
 Considers the costs, benefits, risks, and chances for success, when making a decision.
 Draws sound, fact-based conclusions, particularly when under pressure or faced with
ambiguity.
 Makes informed, timely and effective decisions, distinguishing between relevant and
irrelevant information, and consulting others, when appropriate.

4. External and Organizational Awareness

Identifies and understands how internal and external issues (e.g., economic, political, social trends)
impact the work of the organization.

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Key Behaviors
 Demonstrates an understanding of the organization’s functions and responsibilities.
 Considers organization’s capabilities, mission, vision, values, and strategic goals and
objectives in work efforts.
 Knows capabilities, capacities and constraints of the organization.
 Reviews external information and news to learn about political and social issues that might
affect the organization.
 Identifies individuals who have the technical expertise to respond to inquiries on specific
topics.
 Escalates issues that warrant immediate attention in an effective and timely manner.
 Uses discretion when handling sensitive matters/content.
 Keeps current on formal and informal reporting relationships.

5. Interpersonal Relations
Develops and maintains effective relationships with others; relates well to people from varied
backgrounds and in different situations; shows understanding, courtesy, tact, empathy, concern,
and politeness.

Key Behaviors
 Relates to people in an open, friendly, and professional manner.
 Cooperates and works to gain support and commitment from others when performing tasks.
 Discusses subjects in a constructive manner, with all levels of staff.
 Fosters cooperation, collaboration, and communication to facilitate consensus and
accomplish tasks.
 Demonstrates diplomacy by approaching others about sensitive issues in non-threatening
ways.
 Fosters an environment conducive to open, transparent communications among all levels.
 Notices and accurately interprets what others are feeling, based on their choice of words,
tone of voice, expressions, and other nonverbal behavior.
 Presents oneself in a professional manner to maintain image and credibility.

6. Problem Solving
Identifies problems and uses logic, judgment, and data to evaluate alternatives and recommend
solutions to achieve the desired organizational goal or outcome.

Key Behaviors
 Identifies and evaluates problems and possible causes to determine root causes and impacts.
 Generates solutions, taking into consideration political, organizational and individual realities.
 Identifies options for solving a problem and evaluates the relative strengths and weaknesses
of each option.
 Uses a logical method for organizing and analyzing information.
 Researches issues thoroughly. Does not jump to quick conclusions or formulate opinions
based on incorrect assumptions, or inaccurate/incomplete information.
 Uses expertise in policies and procedures to identify problems, and makes recommendations
for addressing these via communication, job aids, training, etc.
 Coordinates with others within his/her network, subject-matter experts and/or additional
senior staff to interpret administrative policies, offer advice and solve related problems.

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 Appendix 3 - Subject Matter Expert (SME) Selection Criteria
Document

The following information provides some guidance around the role of the subject matter expert
(SME) and other participants in validating competencies and related information/ materials. This
document focuses on three issues that one should be aware of and/or consider when choosing
SMEs: 1) the type of participant; 2) level of participation; 3) document participation.
1. Type of Participant: Invite and involve incumbents to the job, and top performers, across
grade levels (higher and lower grades).

 There two roles that participants can play in validation: 1) Job incumbents/ supervisors
(‘respondents’) who participate in interviews or complete a structured survey; and 2)
SMEs who provide guidance regarding the development of measures (surveys and rating
scales), assist in data collection, and link tasks to competencies.
 In selecting SMEs/respondents it is important to ensure that the group(s) selected is
representative of the population of the role(s)/function(s) being discussed.
 Participants are typically high performing job incumbents and supervisors who possess
both content knowledge and a clear understanding of the job/functions (recommend at
least one year of recent experience in performing or supervising in the function).
 Participants consider including one SME at the “entry level.” Having only expert
participants can result in information that is not reasonable for a minimally qualified
person.
 Participants should also be representative of the population of the function being
discussed in terms of demographic representation (e.g., gender, race, grade, education,
age, tenure).

2. Level of Participation: Ensure there is sufficient level of representation for the

roles/function(s) being discussed.

 Typically the number of SMEs range from 7-8 participants. However, this number serves
as a guideline and the true number may depend on other factors such as the resources
available.
 To get a sufficient level of representation you would have to look at characteristics of the
population for the function and based on those characteristics, select sample
representatives of the population. The numbers/percentages would dependent on
developing a sampling plan using sampling methodology.

3. Document Participation: Capture those who participate in the process (sign in sheets to
each meeting, sign off on the final documents).

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  For SMEs, use a SME Qualifications Form for each participant that outlines basic
organization employment information (e.g., name, agency, job title); demographic
information (e.g., gender, race, and ethnicity); description of experience related to the
function; and the amount of time and work experience related to the function. Sign-in
sheets can also be used for each meeting to maintain an accurate record of the validation
process.
 For job incumbents/supervisors who are surveyed, background information such as
education level, age, ethnicity, gender, current work assignment, etc. should be captured
on the questionnaire.

Appendix 4 – SME Invite from Leadership Sample

Good morning,

On [day and date], we will be participating in a [position/function titel] Competencies Validation Session which will be
facilitated by [your name or office]. You have been selected as a subject matter expert for this process to help
[organization] leadership determine which competencies should be included in the competency model.

During the validation meeting, we will review and validate non-technical and technical competencies associated with our
work. Your expertise is critical to ensure that we have the most comprehensive list that accurately reflects the critical
competencies needed for staff to be successful in their work roles.

To prepare for this meeting, we ask that you please review the attached draft competencies list. The attached list includes
a proposed breakout of the technical and non-technical competencies based on a review of our position descriptions, job
announcements, past competency model, and other resources.

The focus of the validation session on [date] will be on the following questions related to each competency on the attached
list:

 Does the competency provide information, focus, and clarity around what is needed for staff
to successfully perform the work in this organization?
 Will the competency provide employees with the knowledge necessary to perform their jobs successfully and
accomplish their duties?
 Will the competency help clarify requirements for employees and guide their professional development?
 Does the competency allow us to grow (for whatever the future holds technically and as an
organization)?

Thank you in advance for your time and participation.

Regards,

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[Name]

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 Appendix 5 – Validation Meeting Agenda Sample

Competencies Validation Meeting

Date: TBD
Time: TBD
Location: TBD

Meeting Agenda
1. Introduction of Participants – 5 min
2. Program Overview & Goals of the Validation Session – 20 min
3. Review and Discuss the draft competency lists – 90 min (with a 10 min break)
4. Next Steps – 5 min

Focus Areas
During the validation meeting, participants will be asked to consider the following questions when
evaluating and providing feedback on the draft list of competencies:

 Does the current list include the particular competencies needed for staff to successfully
perform the work of our organization?

 How will the work of staff in this job function change in the future? What will this mean for
the types of competencies staff will need to be successful?
 Consider top performers (inside and outside of your office). What differentiates them?
Makes them successful?
 What would you look for in a new hire; what are those characteristics critical for success in
the position?
 Are the definitions clear for employees to gauge how proficient they are in each
competency? Will the competency help to guide development?

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 Appendix 6 - The NIH Proficiency Scale
The NIH Proficiency Scale is an instrument used to measure one’s ability to demonstrate a competency on the
job. The scale captures a wide range of ability levels and organizes them into five steps; from “Fundamental
Awareness” to “Expert.”

Scor Proficiency
Description
e Level

Fundament
al
You have a common knowledge or an understanding of basic techniques and concepts.
1 Awareness
(basic  Focus is on learning.
knowledge)

You have the level of experience gained in a classroom and/or experimental scenarios or
Novice as a trainee on-the-job. You are expected to need help when performing this skill.
2 (limited  Focus is on developing through on-the-job experience;
experience)  You understand and can discuss terminology, concepts, principles, and issues
related to this competency;
 You utilize the full range of reference and resource materials in this competency.
You are able to successfully complete tasks in this competency as requested. Help from
an expert may be required from time to time, but you can usually perform the skill
Intermediat independently.
e
3  Focus is on applying and enhancing knowledge or skill;
(practical
application)  You have applied this competency to situations occasionally while needing
minimal guidance to perform successfully;
 You understand and can discuss the application and implications of changes to
processes, policies, and procedures in this area.
You can perform the actions associated with this skill without assistance. You are
certainly recognized within your immediate organization as "a person to ask" when
difficult questions arise regarding this skill.

 Focus is on broad organizational/professional issues;

Advanced  You have consistently provided practical/relevant ideas and perspectives on
4 (applied process or practice improvements which may easily be implemented;
theory)  You are capable of coaching others in the application of this competency by
translating complex nuances relating to this competency into easy to understand
terms;
 You participate in senior level discussions regarding this competency;
 You assist in the development of reference and resource materials in this
competency.
You are known as an expert in this area. You can provide guidance, troubleshoot and
answer questions related to this area of expertise and the field where the skill is used.

 Focus is strategic;
 You have demonstrated consistent excellence in applying this competency across
Expert multiple projects and/or organizations;
5 (recognized  You are considered the “go to” person in this area within NIH and/or outside
authority) organizations;
 You create new applications for and/or lead the development of reference and
resource materials for this competency;
 You are able to diagram or explain the relevant process elements and issues in
relation to organizational issues and trends in sufficient detail during discussions
and presentations, to foster a greater understanding among internal and external
colleagues and constituents.

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