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**DOT Leadership Succession Planning Model**

**Table of Contents**

[**I. INTRODUCTION 3**](#i.-introduction)

[**II. ROLES and RESPONSIBILITIES 6**](#ii.-roles-and-responsibilities)

[**III. STEPS IN THE SUCCESSION PLANNING PROCESS
9**](#iii.-steps-in-the-succession-planning-process)

[**IV. CHECKLIST FOR SUCCESS 12**](#iv.-checklist-for-success)

[**V. CONCLUSION 14**](#v.-conclusion)

[**VI. SUPPORTING PROGRAMS AND RESOURCES.
15**](#vi.-supporting-programs-and-resources.)

# I. INTRODUCTION

**Background**

In 2003, the Department of Transportation (DOT) consolidated the
succession planning practices underway throughout the Department into a
single DOT Model. This Model was developed by a Succession Planning Work
Group formed and led by representatives of multiple Operating
Administrations (OAs). The Model was designed to promote sharing and
assistance across organizational lines; link closely to the Department's
Human Capital Plan; and promote strategies and tools for use by all OAs.

**Goals for Succession Planning in DOT**

The objective of the DOT Model is to insure a continuously refreshed
pipeline of internal and external talent for leadership positions at all
levels, by:

-   Insuring the development of talent in every Operating
    Administration;

-   Measuring the talent pipeline against a consistent set of management
    and leadership competencies; and

-   Providing the Operating Administrations with the flexibility to
    tailor the DOT Model to their unique requirements, within uniform
    standards.

**Summary of Changes**

Based on DOT's ongoing workforce analyses and strategic human capital
planning, this revised Model adds guidance in the following critical
areas:

-   It emphasizes the importance of linking all aspects of succession
    management to DOT and OA strategic objectives and performance goals.

-   It includes monitoring to determine whether the candidates actually
    referred on certificates reflect the sourcing strategies the
    organization has chosen in its planning process.

-   It increases the overall emphasis on retention to:

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-   Increase the degree of planned knowledge transfer

-   Identify and counteract potential barriers to retention

-   Slow the relatively higher levels of attrition among minorities and
    people with disabilities

-   It places greater emphasis on identifying both internal and external
    sources for candidates at all levels whenever that is feasible.

-   It enhances DOT's capacity to monitor the cumulative impact of
    succession decisions at the GS-15 and Senior Executive
    Service/Federal Aviation Administration (SES/FAA) Executive Levels,
    in order to better manage accountability for results.

In addition, DOT has benchmarked its Succession Planning Model against
the *2005 OPM Guide to Succession Planning,* and has conﬁrmed that the
DOT Model is consistent with the approach required by the Human Capital
Assessment and Accountability Framework (HCAAF) OPM has established.

**A Pipeline-Systems Model**

The DOT Model creates a potential progression of employee development
across the Department, depicted graphically in the figure below.
Employees may move from positions with initial levels of supervisory
responsibility forward to executive levels. The Model also allows for
the introduction of new talent at any stage of the pipeline, and takes
into account the strategic requirement for recruiting from multiple
internal sources as well as external sources. While OAs cvsmay focus
their initial succession planning implementation at the level of
leadership that is most critical to achieving their missions, eventually
succession planning should address all levels within the leadership
pipeline.

**Standards Components of Succession Planning Systems**

Apply appropriately at Level(s) of progression designated as critical by
the organization. Eventually apply to the entire pipeline.

-   Organized sponsorship

-   Cultural Values Identification and Assessment

-   Identification of the Talent Pool

-   Competency Assessments

-   Developmental Experiences

-   Knowledge Sharing

-   Executive and Supervisory Support

-   Placement/Selection

-   Continual Reassessment

**Characteristics of the Pipeline**

-   Each progressive level requires additional competencies.

-   Qualified external or internal talent may enter the pipeline at any
    level.

**Levels of Progression within the Leadership Pipeline**

The Succession Planning System Model addresses five primary levels. The
levels are intended to reflect a typical leadership progression.
Specific organizational terminology and pipelines may vary. Each
progressive level requires greater proficiency in, or a different
application of, competencies acquired at the previous level. The
descriptions below help explain progression.

-   **Basic or Pre-Supervisory**: Positions at this level typically have
    no supervisory functions.

-   **Team Leader/First Level Supervisor**: This is usually an
    entry-level supervisory position or a team leader position with
    some, but not all, supervisory responsibilities.

-   **Second Level Supervisor/ Manager**: These positions typically have
    one or more first level supervisors or team leaders reporting to
    them. The incumbents usually manage a substantial work unit within
    an organization.

-   **Senior Manager**: These positions frequently have several second
    level supervisors or managers reporting to them, and the incumbents
    are usually responsible for a major sub-element of an organization.

-   **Executive**: These are the most senior positions in an
    organization. For succession planning purposes in DOT, they are the
    career SES and the FAA Executives.

# II. ROLES and RESPONSIBILITIES

The success of a succession planning system requires active management
of positions and talent throughout an organization. Therefore, success
also requires that people in a variety of roles throughout the agency
remain active and involved as stakeholders in succession planning.

**The Secretary and His/Her Staff**: The Secretary has broad and
specific delegated authority to oversee agency personnel and other
resources.

-   **The** **Chief Human Capital Officer (CHCO)** is the official
    designated by the Chief Human Capital Officers Act of 2002 with
    primary responsibility for overseeing, directing and executing all
    authorities related to human resources that are otherwise vested in
    the Secretary by statute. This includes overseeing the management
    and effectiveness of DOT's succession management activities.

-   **The Executive Resources Review Committee** **(ERRC)** is chaired
    by the Deputy Secretary as the Secretary's designee, and reviews all
    policies and actions related to the SES.

**Administrators and Departmental Officers**

-   **Executive Leadership**: Executives at the top levels of DOT and
    each OA shape and maintain organizational culture and values through
    the decisions they make, the ways that they communicate with their
    organizations, and the actions they take. Executives send clear
    messages about their sponsorship of succession planning when they:

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-   Set goals and assign accountability for the management and
    development of their organization's talent pool

-   Endorse developmental activities for employees in the talent pool

-   Give visible support to the Succession Planning System and related
    programs

-   Provide resources to assure the program's continued growth and
    development 

-   Mentor on an informal basis 

-   Require and practice the appropriate sharing and leveraging of
    knowledge, etc.

-   Monitor management/ supervisory accountability for support of the
    program. Supervisory and managerial accountability can be encouraged
    through systems and measures such as the performance management
    system or application of quality performance management criteria.

> Executive leaders can also ensure that there is appropriate discussion
> and clarity about the organization's expectations of its leaders,
> promoting the practice that "*leaders nurture leaders.*"

-   **Leaders and Supervisors at all Levels:** Filling the leadership
    pipeline depends on those in positions of leadership taking
    accountability for developing potential successors for their own
    positions and similar positions within DOT. Direct supervisors at
    all levels:

-   Participate in and provide for developmental experiences

-   Manage work assignments to allow full participation in long-term
    experiences, such as rotations

-   Mentor on an informal basis

-   Support the advancement of subordinate(s) through positive and
    constructive feedback 

-   Practice accountability for developing potential successors

**Human Capital Professionals**

-   The **Departmental Office of Human Resource Management** (DOHRM)
    serves in an advisory capacity to the Secretary, the CHCO, the ERRC,
    and the OAs to set policies, provide access to updated information
    about tools and trends, and provide technical assistance.

-   The **Human Resources Offices**, at the Office of the Secretary of
    Transportation (OST) and in the OAs, are DOT's advocates for
    succession planning. Human Capital Professionals:

-   Manage the programs and systems that track key positions and develop
    and place key talent.

-   Offer expert advice and best practice examples to leaders of the
    organizations they serve.

-   Insure that succession management is integrated with other related
    program areas, such as workforce planning, learning and development,
    coaching and mentoring, and recruitment.

-   Insure that selection decisions in succession planning are made with
    an emphasis on the DOT leadership competencies.

-   Insure that succession plans are designed and maintained with input
    from a diverse group of stakeholders, including for example:

    -   Someone in a position to serve as an effective champion

    -   Human Resources professional(s)

    -   A representative who can speak authoritatively on issues of
        civil rights and diversity

    -   Representatives from management and program areas

    -   Various levels of supervisors and managers

    -   Labor union and/or other employee representatives

    -   Customers and/or stakeholders (*ad hoc*, through focus groups,
        on boards, etc.)

> The primary characteristic of all representatives should be openness
> *to the possible need for change.*

**Individual Employees**

Employees share responsibility with their supervisors and sponsors for
understanding and taking advantage of feedback and development
opportunities. Participants in formal development programs should
understand that while they have the advantage of special development
opportunities, they are not guaranteed a position as a result of
participation. Employees may develop their abilities in their current
positions, as well as maximize their visibility for advancement and
leadership, by:

-   Seeking and acting on feedback

-   Asking and learning about development opportunities available in
    their OAs

-   Initiating self-development including informal opportunities like
    mentoring, and rotation and task force assignments

-   Nominating themselves for programs and discussing future development
    when shaping their Individual Development Plans (IDPs)

#  III. STEPS IN THE SUCCESSION PLANNING PROCESS

The Succession Planning process enables DOT to identify, manage and
integrate key-leverage positions and key talent in a series of steps
that form an ongoing "circuit" of developing resources, matching supply
to demand, and evaluating results.

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**[INSURE STRATEGIC ALIGNMENT]{.underline}**

A clear understanding of the organization's mission, goals and values
forms the basis for strategic alignment. The DOT mission and goals have
been translated into leadership competencies that provide a roadmap of
the skills and behaviors leaders require to achieve agency mission.
Clear sponsorship of succession planning by senior leaders insures that
program needs and performance objectives will continually drive
succession management decisions. In addition, the consideration an OA
gives the following **environmental factors** will indicate the extent
to which it has made the connection between mission success and
effective succession planning:

-   Incentives for employees to enter and remain in the leadership
    pipeline

-   Adequate provision of leadership learning and development
    opportunities.

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-   Integration with, and participation in, related Departmental human
    capital initiatives, that are relevant to building a cadre of
    qualified potential leaders

**Together, the Key Positions and Key Talent comprise the "demand" and
"supply" elements of the succession planning equation**.

**[IDENTIFY KEY POSITIONS]{.underline}**

An organization's "key leverage" positions provide the focal point for
succession planning. These are the positions that hold the critical
assets and authority for key decision making in the agency. "Identify
Key Positions" also includes the identification of the critical path of
experiences and skills that lead to positions of increasing
responsibility. DOT has defined all its SES and FAA Executive positions,
as well as some GS-15 and equivalent positions, as "key leverage."

**[IDENTIFY KEY TALENT]{.underline}**

How the organization determines where talent is available and how it
will be identified is an important reflection on its values and culture.
A series of selection decisions results in a "pipeline" of key talent.
These selection decisions include:

**Competency Assessment** -- These are methodologies to determine what
it takes to do the job and to assess available talent. They include
assessments and periodic reassessments of:

-   Managerial/supervisory potential

-   Core competencies at each level in the leadership pipeline

-   Observable behaviors that support existence of competencies

-   Specialized competencies for the organization

DOT deploys self-assessment tools to evaluate the skill levels of
candidates against the leadership competencies.

**Development Programs and Processes** -- A formal development plan
should address focus areas for each member of the talent pool, and may
include:

-   Classroom or online learning to expand knowledge base and to address
    focus areas

-   Significant experiential development opportunities provided on the
    job

-   Shadowing successful managers

-   Rotations or similar experiences

-   Reassessment of strengths and focus areas following developmental
    and/or training/educational opportunities

The plan is essential; it confers priority on these experiences.

**Knowledge Sharing** -- Experienced, successful leaders transmit
essential knowledge to the talent pool. These are examples of methods
for transmitting knowledge:

-   Formal Mentoring

-   Coaching

-   Legacy Systems

-   Technology Based Knowledge Management Systems

The Department has programs in place that address all of these methods.

**[DEPLOY KEY TALENT]{.underline}**

**Recruitment Strategies** -- The organization will assess whether
talent can best be identified from the internal pipeline, external
sources or both and what proportions of each work best for particular
positions. The recruitment strategy acknowledges that formal programs
may be one source of talent, but not necessarily the only source.

**Selection and Placement** -- The selection and placement process
should be characterized by:

-   Quality ranking factors for all supervisory and managerial positions
    that include identified leadership competencies

-   Leadership and operational experience criteria which are clearly
    defined and uniformly applied

-   The potential to create an environment of results in which every
    employee is empowered to work to his/her potential

-   Offering the widest possible opportunity to a diverse candidate pool

The selection process should identify areas for development for
inclusion in the selectee's IDP.

**[CONTINUALLY ASSESS EFFECTIVENESS]{.underline}**

The HCAAF outlines the ultimate success of succession strategies: "The
agency has taken action to ensure continuity of leadership through
succession planning and executive development programs that result in a
diverse pool of qualified internal, other Government, and non-Government
sources."

DOT identifies three primary measures of success for the approach to
leadership succession planning portrayed by this Model:

-   DOT has qualified *interna*l applicants for all vacancies that occur
    in the leadership pipeline. External applicants who are highly
    qualified may be selected for positions, but an internal talent pool
    of qualified candidates exists to ensure against potential
    leadership gaps.

-   Leaders who are developed and selected through the succession
    planning processes are demonstrably capable and effective, as
    evidenced by their performance, employee feedback, and other
    available sources of data.

-   Succession planning is an integral part of the OAs' and the
    Department's ongoing, continual workforce planning processes.

# IV. CHECKLIST FOR SUCCESS

A successful program includes milestones that enable managers and
stakeholders to enhance processes and evaluate results at every step of
the succession plan. The following list provides examples of touchstones
for evaluating an organization's succession plan.

**INSURE STRATEGIC ALIGNMENT -- the organization has a consistent method
to track or insure that:**

-   Senior executives provide clear and visible support for succession
    planning, including, for example, utilizing succession plans to seek
    candidates for key positions and tracking "talent pipeline
    development" as a metric of organizational success

-   Continual assessment of leadership competencies guides recruitment
    and selection decisions, targets effective learning strategies, and
    promotes better program performance against strategic priorities
    through more effective leadership

**IDENTIFY KEY POSITIONS -- the organization has a consistent method to
track or insure that:**

-   The highest leverage positions are clearly identified

-   The key competencies/experiences required for key positions are
    clearly communicated

-   Employees can see the career path to key positions in *a leadership
    pipeline* at multiple levels of the organization

**IDENTIFY KEY TALENT -- the organization has a consistent method to
track or insure that:**

-   Employees in the leadership pipeline are assessed against mission
    critical competencies

-   Employees in the leadership pipeline have, and are acting on, plans
    to close any competency gaps

-   Leaders may enter the pipeline at any level if they have acquired
    qualifying competencies

**DEPLOY KEY TALENT -- the organization has a consistent method to track
or insure that:**

-   Leadership talent comes from a planned blend of internal and
    external sources

-   Leadership competencies are the decisive factor in selecting new
    supervisors, managers and executives

-   Development includes experiential learning (e.g., rotations,
    targeted reassignments, action learning, coaching and mentoring) in
    addition to classroom and online training

-   Selection processes are inclusive and offer opportunity to
    candidates from diverse backgrounds

-   The organization has assessed its vulnerability to incumbent loss in
    the highest leverage positions, and acted to minimize loss

**ASSESS EFFECTIVENESS -- the organization has a consistent method to
track or insure that:**

-   Development programs increase employees' ability to perform in their
    current positions

-   Development programs produce qualified candidates for key positions
    and "one-deep" leadership positions

-   Development and selection processes produce leaders who can perform
    well in their new positions

-   Current and potential leaders are motivated to remain and grow in
    their careers within DOT

# V. CONCLUSION

The Department of Transportation plays a critical role in insuring the
welfare and growth of our nation, as described in the Department's
mission:

> *The national objectives of general welfare, economic growth and
> stability, and the security of the United States require the
> development of transportation policies and programs that contribute to
> providing fast, safe, efficient, and convenient transportation at the
> lowest cost consistent with those and other national objectives,
> including the efficient use and conservation of the resources of the
> United States*[^1]

Insuring that DOT has *a cadre of* *current leaders*, and *a pipeline of
future leaders*, prepared and able to inspire and lead the DOT workforce
toward the attainment of its mission is a key challenge. The DOT
Leadership Succession Planning Model enables the collaboration and
involvement of the agency's human capital professionals and department
leaders to meet this challenge.

# VI. SUPPORTING PROGRAMS AND RESOURCES. 

This section catalogues some of the many resources available to support
the OAs in enhancing their succession planning systems. Resources
include programs and policies developed in DOT, and references and
guides available from the Office of Personnel Management (OPM).

**DOT PROGRAMS**

**[DOT Leadership Competencies]{.underline}**

DOT has initiated a Department-wide assessment of leadership
competencies at every level of supervisory responsibility.

Like the Succession Planning Model, DOT's Leadership Competency
framework is designed as a "pipeline." While some competencies are
considered basic to every level of leadership responsibility, others
become more salient as leaders advance towards SES/FAA Executive
positions. The leadership competencies are based on the OPM Leadership
Competency Framework. The competency table included with the Model
acknowledges that in some instances generic leadership competencies must
be supplemented by competencies appropriate for specific positions.
However, its focus is on leadership positions, not technical experts.

The Competency Pipeline assumes multiple sources of competency
development including developmental assignments and rotations,
mentoring, experiential learning, and classroom learning.

**Leadership Competency Framework**

The FAA has developed and uses a slightly different, but complementary,
set of Leadership Competencies.

**[Executive Development Programs]{.underline}**

DOT/OST sponsors ongoing development opportunities for executives,
including the SES Forums and the Executive Pipeline Program.

**[Executive Coaching]{.underline}**

DOT sponsors a Department-wide individual coaching program that allows
selected newly assigned executives the opportunity to work one-on-one
with an external executive coach to ensure success. The executive and
the coach determine speciﬁc individual objectives for coaching and ways
to measure results. The program builds on DOT's leadership competencies
to develop future leaders and provides support for executives and
managers as they transition into new assignments, adapt to
reorganizations, and/or are refocused to existing lines of business.

**[Executive Retention Trend Analysis]{.underline}**

The DOT Workforce Plan periodically updates retirement eligibility
statistics. Data include projections for career executives, and GS-15s
and GS-14s in Mission Critical Occupations. These trends support the
need for succession planning and indicate where OAs can anticipate gaps.

**[Mentoring Program]{.underline}**

DOT's "Leaders for Tomorrow" mentoring program is a mid-level program
that provides workforce development for emerging leaders. The program
objectives include skills and management development training, the
creation of a career plan and networking opportunities. This program
facilitates knowledge management across the OAs through one-on-one
relationships with executives and senior level officials, hands-on
experiences, and classroom training over a 10-month period. This program
is aimed at fulﬁlling workforce development gaps and building a pipeline
to ﬁll vacancies in management and other critical positions with a
minimum level of cost and time investment.

**[Entry-level Hiring Initiatives]{.underline}**

DOT uses entry-level hiring programs as an integral part of its strategy
to continually refresh the pipeline of prepared talent for mid- and
senior-level positions. Most OAs make use of appointing authorities that
allow students to work and gain experience while completing their
educations. In addition, there are formal recruitment and development
programs that target graduates. The Federal Aviation Administration and
the Federal Highway Administration each run entry-level recruitment and
development programs for their own unique positions. DOT has also
established a corporate Transportation Career Residency Program that
recruits students from targeted schools for mission critical occupations
and provides two years of structured learning experiences. DOT's careers
Web site---**Careers.DOT.gov**---provides descriptions of opportunities
for students and links to OA-speciﬁc recruitment pages.

**[Supervisory Leadership Program]{.underline}**

DOT has a corporate standard of excellence for leadership recruitment,
selection, evaluation, recognition and retention, which supports
succession planning by helping to build a pipeline of qualiﬁed leaders.
Recruitment is linked to the Department's Leadership Competency
Framework by applying a consistent standard when selecting future
leaders; all new supervisors' leadership competency needs are assessed;
an IDP is developed; and each new supervisor is given 40 hours of formal
development during the probationary period. Assessments are repeated and
the IDPs are regularly updated. At the basic or pre-supervisory level, a
course entitled "So You Want to Be a Leader" is conducted for employees
who may be inclined to enter the leadership pipeline.

**[ONE DOT Rotational Assignment Program (RAP)]{.underline}**

The ONE DOT Rotational Assignment Program (RAP) is a learning experience
geared toward broadening employee experiences in transportation systems
and offers both managers and employees at all levels an opportunity to
meet inter-modal short-term, organizational and individual developmental
needs. The goals of the ONE DOT RAP are to address ONE DOT corporate
needs by offering employees developmental experiences that match future
workforce needs and to enhance employee career development. The ONE DOT
RAP supports succession planning by exposing participants to programs,
leadership environments, and cultural factors throughout DOT, increasing
the interchangeability of the talent pool across DOT organizations.

**RELATED DOT POLICIES**

The policies that are reprinted here are important additional guides to
maintaining a healthy succession management program. The first is
Departmental Personnel Manual (DPM) Letter 300-26, Recruiting,
Selecting, Developing, and Appraising Supervisors. The second is the
section of DPM Chapter 315 providing DOT policy on probation for new
supervisors and managers.

> DEPARTMENTAL PERSONNEL MANUAL SYSTEM
>
> **DPM LETTER NO. 300- 26**
>
> **DATE: October 17, 2002**
>
> **SUBJECT**: Recruiting, Selecting, Developing, and Appraising
> Supervisors

**U.S. DEPARTMENT OF TRANSPORTATION**

**OFFICE OF THE SECRETARY**

**DEPARTMENTAL PERSONNEL MANUAL SYSTEM**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**DPM LETTER NO. 300- 26 DATE: October 17, 2002**

**SUBJECT**: Recruiting, Selecting, Developing, and Appraising
Supervisors

In accordance with the provisions of 5 U.S.C. addressing employment,
training and performance appraisal, the Secretary has established a
revised policy (attached). It establishes new procedures and initiatives
for (1) recruiting and selecting supervisory positions (2) developing
supervisors, (3) appraising performance of probationary and experienced
supervisors.

Questions about this policy should be directed to the Departmental
Office of Human Resource Management, M-10.

//signed//

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Mari Barr Santangelo

Director, Departmental Office of Human Resource Management

Filing Instructions: File with Chapter 300 Letters

Distribution: Heads of Operating Administrations; Human Resource Council
Members;

> Learning and Development Council Members

OPI: OST/M-10/Randy Bergquist/202-366-6016

**RECRUITING, SELECTING, DEVELOPING,**

**AND**

**APPRAISING SUPERVISORS**

**I. PURPOSE and SCOPE:**

> This letter establishes a comprehensive system that provides a
> corporate perspective on how all Operating Administrations (OAs)
> recruit, select, develop, and appraise supervisors. The U.S. Office of
> Personnel Management's (OPM) policy framework that governs the
> identification, selection, development, and performance evaluation of
> supervisors provides Federal agencies significant flexibility to
> design systems tailored to their organizational needs. This letter is
> intended to provide consistency in creating a culture for growing
> high-performing leaders. Regulations that define the policy framework
> for these areas are described in Title 5, Code of Federal Regulations
> Parts 300, 410 and 430 and 5 U.S.C. section 3321 (a) (2). These
> provisions apply to all supervisors including uniformed supervisors of
> civilian employees. Note: In the U.S. Coast Guard, where these
> processes may be assignment driven, this policy guidance must be
> reflected in the internal policies, practices and procedures governing
> recruiting, selecting, developing and appraising supervisors.

**II.** **DEFINITIONS**

> The definition of supervisor, as indicated in 5 U.S.C. Section 7103(a)
> (10) means, "an individual employed by an agency having authority in
> the interest of the agency to hire, direct, assign, promote, reward,
> transfer, furlough, layoff, recall, suspend, discipline, or remove
> employees, to adjust their grievances, or to effectively recommend
> such action, if the exercise of the authority is not merely routine or
> clerical in nature but requires the consistent exercise of independent
> judgment..."

**III. RECRUITING AND SELECTING SUPERVISORS**

> When considering candidates for all supervisory positions all OAs must
> use the following Quality Ranking Factor (QRF) as a mandatory factor
> in agency vacancy announcements:
>
> *Ability to lead a diverse workforce including: creating a culture
> that fosters high standards of ethics; developing strategies to
> maximize employee potential; developing performance plans and
> monitoring performance; resolving conflicts; fostering workforce
> diversity on the staff; and recognizing staff contributions.*
>
> In addition, OAs may also use other QRFs that clearly address agency
> specific supervisory or leadership competencies. These competencies
> must be evident in the criteria used to evaluate candidates against
> the QRF.
>
> When assessing supervisory competencies for selection purposes, high
> performing organizations have used the following methods/tools
> successfully:
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Supervisory Assessment Questionnaires
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Assessment Centers
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Supervisory Aptitude Tests
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Structured Interview Questions for
> Selecting Supervisory Personnel

**IV. SUPERVISORY PROBATIONARY PERIOD**

> Candidates selected into supervisory positions may be required to
> complete a probationary period. However, employees who have completed
> the required probation in a prior supervisory or managerial position
> in the Federal Government are exempt from the required probationary
> period. Satisfactory completion of a probationary period is a
> prerequisite for continuation in the position. If at anytime during
> the employee's probationary period, the supervisor becomes aware of
> deficiencies, the supervisor must notify the probationary employee of
> the deficiency and clarify the expectations.

**V. DEVELOPING SUPERVISORS**

> Once an employee is appointed to a new supervisory position (e.g.,
> employee has never held a supervisory position in the Federal
> Government), the organization must:
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Conduct a needs assessment that
> addresses the OPM/DOT leadership competencies,
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Assist him/her with an Individual
> Development Plan (IDP) that is based on the needs assessment,
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Include 40 hours of formal development
> during the one-year probationary period, and
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Notify the OA training office when the
> employee completes an assigned supervisory learning activity.
>
> As long as the employee encumbers a supervisory position, the
> organization must:
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Conduct a needs assessment that
> addresses specific leadership competencies needing development,
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Maintain an IDP that is based on a
> needs assessment, and
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Notify the OA training office when the
> employee completes an assigned learning activity.
>
> When a non-DOT supervisor is selected into a DOT supervisory position,
> the organization must:
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Conduct a needs assessment that
> addresses specific leadership competencies needing development,
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Maintain an IDP that is based on a
> needs assessment, and
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} Notify the OA training office when the
> employee completes an assigned learning activity.

*OAs are strongly encouraged to assess needs and develop IDPs for all
current supervisors. Supplemental continuous learning activities may
include:*

> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} *Courses in human resource management
> (e.g., employee relations; labor-management relations; diversity
> management, recruitment; staffing and classification; performance
> management; employee development)*
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} *Mentoring/coaching*
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} *Rotational assignments to other
> program offices*
>
> ![](media/image6.png){width="0.13541666666666666in"
> height="0.13541666666666666in"} *Combination of classroom theory,
> experiential learning, and computer based instruction that addresses
> specific leadership competencies requiring development.*

**VI. APPRAISING SUPERVISORS**

> DOT's Performance Management Taskforce shall establish and all OAs
> must implement mandatory accountability standards and measures that
> apply to all levels of management and supervision. This shall include
> a requirement that is consistent with the prescribed regulations 5 CFR
> part 430, Subpart C and DPM Letter No. 920-24 dated June 10, 2002.
> This Taskforce will also revise
>
> Departmental Personnel Manual 315-40, subchapter 9 to eliminate
> barriers to addressing poor performing probationary supervisors. Two
> such barriers include:

-   An organization's budget may not allow for the poor performing
    probationary supervisor to return to a regular position, and

Performance during the probationary period usually is not addressed
until the end of the period

**Departmental Personnel Manual**

**Chapter 315 - Probationary Periods**

The following is the section of DPM Chapter 315 that deals with
probation for new supervisors and managers. The full text may be found
at <http://dothr.ost.dot.gov/HRPolicy/DPM_315_Probationary_Periods.pdf>

***G.*** **Policy**

It is the policy of DOT to provide new supervisors and managers with (1)
a reasonable opportunity to prove themselves as quality leaders; and (2)
training, positive feedback, and mentoring during their first year so
that they develop and apply effective supervisory or managerial skills,
through the following requirements:

1\. Upon initial permanent appointment in the competitive service to a
supervisory position, an employee is required to complete a probationary
period.

2\. Upon initial permanent appointment in the competitive service to a
managerial position, an employee is required to complete a separate
probationary period except as provided in Section H.

3\. When an assignment to a supervisory or managerial position is
expected to exceed 120 days, the employee is required to serve a
probationary period. Nothing in this Section restricts the termination
of a temporary assignment at any time.

4\. OAs may vary the length of the probationary period for certain types
of occupations, but in no case should the probationary period be less
than one year. The probationary period begins on the effective date of
the official personnel action assigning the employee to the position.

5\. Within thirty (30) calendar days of appointment, the supervisor
shall inform the newly appointed supervisor or manager of hislher
probationary status; describe hislher duties and responsibilities; and
provide himlher with a written performance plan.

6\. All probationary supervisors and managers shall receive formal,
quarterly feedback from their supervisors. To the extent possible,
feedback should be given in face-to-face meetings. OAs shall establish
internal controls to ensure that probationary supervisors and managers
receive feedback every three months.

7\. Within 90-days of appointment, a needs assessment will be completed
on the probationary supervisor or manager that addresses the DOT\'S
leadership competencies.

8\. An Individual Development Plan (IDP) will be developed based on the
needs assessment. The IDP should document training or learning
opportunities that will meet the mandatory 40 hours of formal
development specified in DPM Letter No. 300-26. For newly appointed
supervisors, training in conflict resolution and performance management
is strongly recommended.

9\. Every effort should be made to ensure that the mandatory 40 hours of
formal development is completed within the first six months of the
probationary period.

10\. Supervisors, with assistance from their Human Resource Office, are
expected to provide assistance to probationary supervisors and managers
to improve performance deficiencies.

11\. Action may not be taken to reassign a probationary supervisor or
manager to a non-supervisory or non-managerial position earlier than 90
calendar days following appointment. This requirement does not preclude
action based on misconduct.

12\. An OA may exclude newly appointed managers from serving a
probationary period, provided such exclusions are based on a written
policy which has the following requirements: a. Exclusions are made only
on an individual basis; b. The reasons for an exclusion are documented
and contain evidence (including successful completion of a supervisory
probationary period) of the individual\'s demonstrated success as a
supervisor in exercising the knowledge, slulls, abilities and other
characteristics including an aptitude for the human relations aspect
necessary to perform those duties; and c. Official(s) authorized to
approve such exclusions are identified.

13\. Operating Administrations are strongly encouraged to adopt the
following processes:

> a\. Assign a mentor to the probationary supervisor or manager for the
> duration of the probationary period. A \"mentor\" is one who has
> supervisory or managerial experience in the OA to which the new
> employee is assigned, has a demonstrated ability to effectively
> supervise employees or perform managerial duties, is savvy concerning
> how to navigate the organization\'s culture, and can provide advice
> from personal experience, leaving the decision to act up to the
> mentee. To be effective the mentor must also be someone who is
> accessible to the mentee, is skilled in establishing a positive
> rapport, and is committed to helping the newly appointed supervisor or
> manager succeed in his or her position. The mentor is not involved in
> any facet of the employee\'s performance evaluation; rather, he or she
> serves as a resource to the newly appointed manager or supervisor.
> This approach provides an environment in which the new employee is
> free to share ideas or concerns that he or she might otherwise be
> hesitant to share with a first level supervisor.
>
> b\. Use multi-source feedback to provide formal, quarterly performance
> feedback and to determine the developmental needs of the probationary
> supervisor or manager. Generally, multi-source feedback is received by
> supervisors from subordinate employees, customers, and peer
> supervisors who have observed the employee\'s supervisory or
> managerial performance. This feedback is used to identify strengths
> and weaknesses with an emphasis on what can be done to improve
> supervisory and managerial skills. Multi-source feedback shall not be
> used for evaluative purposes unless the OA has formally developed such
> a program that is applicable to non- probationary supervisors and
> managers.
>
> c\. Establish a plan for assigning a probationer to a non-supervisory
> or non-managerial position if he/she fails to satisfactorily complete
> the probationary period prior to the 8 June 2005 employee\'s
> appointment.

**OPM GUIDANCE**

**THE OPM GUIDE to SUCCESSION PLANNING**

The OPM Guide to Succession Planning presents five "phases" of activity
that an organization may follow to develop an effective succession plan.
The phases are depicted graphically as a star.[^2]

> . ![](media/image10.jpeg){width="4.276388888888889in"
> height="3.49375in"}
>
> CAPTION: The above description is a one of a star that at each point
> describes a different step in the OPM Guide to Succession Planning.
> The steps to this model are:
>
> 1\. Establish Strategic Alignment
>
> 2\. Identify Succession Targets and Analyze Talent Pool
>
> 3\. Develop Succession Management Plan
>
> 4\. Implement Succession Management Plan
>
> 5\. Evaluate Succession Strategies
>
> At the center of the model are activities that must continue to occur
> to insure success:
>
> 1\. On-going senior leader commitment
>
> 2\. On-going employee commitment to development
>
> 3 On-going alignment of program goals to strategic plan
>
> 4\. On-going communication and change management
>
> A full description of these phases is available in the OPM Succession
> Planning Guide, December 2005, available from OPM.
>
> **THE HUMAN CAPITAL PRACTITIONERS' GUIDE**
>
> This OPM guide devotes a section to the standards and critical success
> factors for succession planning, available at:
> **[http://www.opm.gov/hcaaf_resource_center/4-]{.underline}**
>
> **[3.asp]{.underline}**

[^1]: Section 101 of Title 49, United States Code

[^2]: OPM Succession Planning Guide, December 2005