**Department of the interior**

![](media/image1.jpeg){width="6.083333333333333in" height="5.25in"}

**leadership succession plan**

**March 31, 2006**

**Table of contents**

Executive Summary

Part 1- Introduction

Purpose

Goals, Objectives and Guiding Principles

Part 2- Scope

Part 3- Drivers and Assumptions

Part 4- Leadership Development

Departmental Leadership Development Programs

Bureau Leadership Development Programs

Part 5- Strategies/Action Areas & Recommendations

Part 6- Plan Evaluation

Appendices

A.  Data Analysis

B.  Department Succession Policy

C.  Internal and External Drivers

D.  SESCDP Team Project -- Excerpts

E.  SESCDP Guidance

F.  Advanced Leadership Program

G.  Summaries of Bureau Programs

**Executive Summary**

The Department of Interior (DOI) is the nation's principal conservation
agency. The DOI mission is to protect America's treasures for future
generations, provide access to the nation's natural and cultural
heritage, offer recreation opportunities, honor trust responsibilities
to American Indian and Alaska Natives and responsibilities to island
communities, conduct scientific research, provide stewardship of energy
and mineral resources, foster sound use of land and water resources, and
conserve and protect fish and wildlife.

DOI is a large, decentralized agency with over 70,600 employees and
200,000 volunteers located at approximately 2,400 operating locations
across the United States, Puerto Rico, U.S. territories, and freely
associated states. DOI, through eight (8) bureaus, oversees more than
500 million acres of national parks and wilderness, water reclamation
projects, most energy development, Indian tribal issues,
endangered-species protection, and grazing rights on tracts of Western
rangeland.

The goal of this succession plan is to provide guidelines on how the DOI
will recruit, hire, train, and promote for key leadership positions in
the agency. It provides a process to continually recruit employees into
a managerial pool.

DOI, like many federal agencies, is concerned with maintaining
organizational effectiveness as it faces a wave of retirements
throughout its workforce including key leadership ranks. The plan
focuses on 294 SES positions located throughout the Department. These
key leadership positions are defined as: Department-level-Deputy
Assistant Secretaries and the subordinate SES leadership positions
within the specific organization, as well as Bureau Deputy Directors and
Regional leadership.

The recommendations in this plan have been developed using numerous data
sources, including existing data in DOI's workforce plan, the potential
leadership recruitment pool and DOI's existing SES Candidate Development
Program. The recommendations also relied on leadership succession
planning best management practices identified in studies and research
conducted for individual DOI bureaus, other governmental agencies and
private organizations.

This plan will serve as DOI's guide for leadership development and
succession planning needs. It is a starting point and anticipates the
need for further evaluation and effectiveness measurements. This plan
also recognizes the need to integrate the process of key leadership
succession planning with other workforce planning and succession
planning efforts related to all skills and professions within the DOI
and not just the key leadership positions.

The plan identifies four (4) strategic improvement areas and a set of
recommendations that could be taken to implement the plan under each
area. The four strategic improvement areas are: Recruitment and
Selection; Development of Prospective, New and Current Leaders;
Retention of Prospective, New and Current Leaders; and Dissemination of
Knowledge throughout all levels of Leadership.

A total of 17 actions are identified under the strategic areas. The plan
is sensitive to DOI's financial and workload constraints, but many of
the recommendations can be adopted by the department and bureaus by
adjusting and/or fine tuning existing efforts or continuing to analyze
and communicate data collected and displayed in this report.

The Plan also lays out a strategy to evaluate and continually refine the
DOI Succession Plan in response to meet the goals and objectives of
developing the finest leadership cadre in government.

**Introduction**

The Leadership Succession Strategy at the Department of the Interior
(DOI) focuses on identifying and addressing agency leadership
competencies so that continuity of leadership is ensured, knowledge is
shared across the organization, and an environment of continuous
learning is present.

It is important that DOI leaders and managers effectively manage people,
ensure continuity of leadership, and sustain a learning environment that
drives continuous improvement in performance, and provides a means to
develop critical competencies across the organization.

DOI has adopted the OPM leadership competencies. This plan establishes
objectives and strategies to ensure there will be a continuous pipeline
of available leadership within the Department.

This Plan builds on the principles and actions contained in the DOI
Strategic Human Capital Management Plan, FY 2003-2007 and the DOI
Strategic Plan for Achieving and Maintaining A Highly Skilled an Diverse
Workforce, FY 2005-2009.

**Understanding Our Mission**

The Department of the Interior is America's principal conservation
agency. The broad, multi-faceted mission and geographically dispersed
services and programs uniquely contribute to the fabric of America by
maintaining and improving the Nation's natural and cultural resources,
economic vitality, and community well being. We manage the vast lands
and resources for which the Department is responsible; protect and
provide access to the nation's significant natural and cultural
resources; provide scientific and other information about those
resources; and honor commitments to American Indians, Alaska Natives,
and affiliated Island communities.

The employees at the Department of the Interior are its most critical
asset. Their abilities, commitment, and enthusiasm are central to
accomplishing the Department's mission. Interior's 70,000 employees and
200,000 volunteers live and work in the communities, large and small,
that they serve. They deliver programs through partnerships and
cooperative relationships that engage and invite citizens, groups, and
businesses to participate. Today they manage:

-   507 million acres of land, or about one in every five acres in the
    United States, and about 40 million acres of the Outer Continental
    Shelf;

-   Operating 388 national parks and 545 national wildlife refuges.

-   Managing lands and waters that generate one-third of the Nation's
    domestic energy supply.

-   Operating over 472 Bureau of Reclamation dams and over 2,000 other
    dams.

-   Serving American Indians, Alaska Natives, and affiliated island
    communities.

-   Providing scientific information to advance knowledge of our
    surroundings.

-   Working with States to restore abandoned mine land sites and protect
    communities.

The Department fulfills these responsibilities with a \$16.1 billion
total annual budget and with the hard work and dedication of its
workforce, contractors and other partners. The Department collects more
than \$17 billion in revenues annually from energy, mineral, grazing,
timber, and recreational fees, land sales, etc. Most of these revenues
are paid out to state, Indian, county, local, and other Federal agency
accounts.

**Strategic Plan**

The DOI Strategic Management Plan identifies 6 areas on which the DOI is
focused, including the area of Management Excellence. Leadership
Succession planning is a key component of reaching Management Excellence
at the DOI.

> **Strategic Goal:** Manage the Department to be highly skilled,
> accountable, modern, functionally integrated, citizen centered and
> result oriented.
>
> **Goal 1:** The workforce has job-related knowledge and skills
> necessary to accomplish organizational skills.

**THE RIGHT PEOPLE WITH THE RIGHT SKILLS**

Management excellence requires having the right people, in the right
place, with the right tools, systems, information, and incentives at the
right time. The Secretary manages the programs of the Department through
the Deputy Secretary, five Assistant Secretaries, and the heads of eight
bureaus (see Table 1 on page 10). The eight bureaus cluster
programmatically under the authority of four of the Assistant
Secretaries. This structure is expected to take us forward into the
future.

DOI, like many other Federal agencies, projects a significant turnover
in the next 3 to 5 years in key leadership positions. This Plan has been
prepared by the DOI in recognition of the growing need to address
leadership development and succession. Based on OPM actuarial data, 38%
of Interior's GS-14/15 and SES on board employees at the end of year
2005 will be eligible to retire by the end of FY 2006. The percentage
rises to 71% in 2011 and 85% by the end of 2015 of the onboard employees
at the end of 2005 who will be retirement eligible. However, the DOI
employees tend to remain for 3-5 years after reaching retirement
eligibility. According to OPM the DOI retirement eligibility rate
averages about 10 percentage points above the rest of the government,
which means the DOI has an older workforce and could see a much higher
and faster turnover in the top management ranks in the next 5 years.
Additional retirement data can be found in Appendix A.

This Plan delineates strategies to address the DOI's leadership
development and succession needs for key senior leadership positions.
The Plan is focused on the career SES positions required to allow the
Secretary to fulfill the numerous and varied responsibilities of the
Department.

The strategies and actions contained in this plan are starting points to
ensure the Department is training and recruiting the most skilled
leaders into the career SES ranks. The plan also contains a substantial
amount of background information and analysis that will continue to be
used over the long-term to further define DOI's key leadership needs and
assess the progress being made to be better prepared for leadership
succession.

**PURPOSE**

The **Goal** of this Leadership Development and Succession Plan is:

-   to define actions that will ensure the Department has enough leaders
    with the right capabilities to continue to achieve exceptional
    organizational performance aligned with mission and strategic goals,
    today and into the future.

-   This Plan follows the DOI Manual on Succession Planning (370DM412)
    (see appendix B)

The **Objectives** of the Leadership Development and Succession Plan are
to:

-   Ensure continuity of leadership through succession planning and
    recruitment into executive development programs that result in a
    diverse pool of qualified internal, other Government, and
    non-Government sources for all mission-critical leadership
    positions.

-   Develop a profile of a successful leader for DOI based on current
    and projected mission challenges. This profile will allow current
    and future leaders to identify competency gaps and obtain the skill
    sets and knowledge necessary for effectiveness.

-   Develop a systematic approach for leadership development program
    opportunities through education, experience and self development.

-   Ensure tools are available to accurately measure and monitor returns
    on leadership development investments.

-   Foster an organizational culture focused on continuous leadership
    development and learning. Top management must support and actively
    guide developing leaders, integrating leadership development
    programs and opportunities with other DOI priorities.

The **Guiding Principles** are:

-   The Department and bureaus will use succession planning and
    management initiatives to address specific human capital challenges
    such as achieving a more diverse workforce, maintaining leadership
    capacity, and increasing the retention of highly capable employees.

-   Leadership Competencies are equally valued whether they were
    attained within the organization or learned from other external
    opportunities.

-   Diverse organizational, program, and geographic experiences are
    valued for DOI leadership positions.

-   All leaders are expected to take responsibility for their leadership
    development. The use of assessment tools, such as a 360 evaluation,
    will help target development areas for effective and efficient
    improvement.

-   As part of their job, all supervisors are expected to be active
    partners to develop subordinates' leadership knowledge and skills.

-   The Department's senior leadership will actively participate in
    leadership development activities for their employees and provide
    the requisite financial and staff resources for the leadership
    succession initiatives.

-   The Department and bureaus will develop and link their succession
    planning and management with the DOI Strategic Plan and their
    individual Operating Plans in order to focus on both current and
    future needs and to provide leaders with a broader perspective.

-   The Department and bureaus will use their succession planning and
    management initiatives to identify talented employees at multiple
    organizational levels, early in their careers or those with critical
    skills who will be mentored as they pursue a management career.

-   All succession planning and management initiatives will emphasize
    developmental assignments in addition to formal training to
    strengthen highly capable employees\' skills and broaden their
    experiences.

-   Leadership succession planning and management will facilitate
    broader transformation efforts within the DOI by selecting and
    developing leaders and managers who support and champion change.

**Part 2 - Scope**

This section of the plan explains the location and number of key
leadership positions being targeted in this Plan, the relationship of
this Plan to other workforce planning and succession planning needs and
how this plan has incorporated and considered leadership development and
succession planning efforts of other Federal and State agencies and the
private business sector leading to the development of well qualified SES
cadre in the Department of the Interior.

**Target Positions Covered**

The DOI has 294 Senior Executive Service key leadership positions. This
represents the entire cadre of senior executives, both career and
political appointees. This Plan addresses the SES positions for which
existing recruitment and leadership development programs have been
launched. The key leadership positions being addressed as the target in
this plan are defined below.

**Department of the Interior Key Positions**

> This Plan includes SES positions for which we develop, recruit and
> retain top flight leaders: Deputy Assistant Secretaries and the
> subordinate SES leadership positions within their specific
> organizations.

**Bureau and Office Leadership Positions**

> Leadership positions in the Bureaus include the Deputy Directors and
> the Regional Leadership of the Bureau.

**Pipeline Positions Covered**

The primary source for our "bench strength" in filling the target
positions is the population of employees in GS-14 and GS-15 positions in
the Department. While many of the positions at this grade level focus on
technical specialties, the work includes some element of leadership
challenges at these grade levels.

At the end of FY 2005, the DOI employed 3,340 GS-14's and 1,525 GS-15's.
By the end of FY2006 1,135 GS-14's and 681 GS-15s will be eligible to
retire. To estimate our current bench strength these numbers were
subtracted from the total GS-14 and GS-15 on board employees at the end
of 2005. It is estimated that approximately two thirds of GS-14/15's are
in management positions. DOI estimates that our internal bench strength
is approximately 1470 GS-14's and 564 GS-15's, a total of 2,034
employees, throughout the Agency using the OPM Actuarial Tables 5 and 6
in Appendix A.

The following Table of Organization, Table 1, identifies the number of
SES positions by organization.

**Table 1 Department of the Interior Table of Organization**

**SES Positions by Organization**

![](media/image2.jpeg){width="6.125694444444444in"
height="6.779861111111111in"}**\
**

**Part 3 - Drivers and Assumptions**

**Drivers**

The President's Management Agenda has set goals for all federal agencies
to become more effective in the delivery of services. Below are the
pertinent key drivers behind Succession planning at the DOI. In
addition, DOI identified numerous other external and internal drivers in
the Strategic Human Capital Plan, 2003 -- 2008. These are captured in
Appendix C.

> **Accent on results: Management Excellence at interior --** Interior
> will continue implementation of the President's management agenda and
> our Accent on Results initiatives. A major thrust in Management
> Excellence is to ensure we have the best leadership cadre at the DOI.
>
> **Budget and Performance Integration ---** Budget and performance
> integration lies at the heart of ensuring both the strategic
> allocation and efficient use of funds. Interior's approach to this
> integration extends beyond the cyclic budget formulation process.
> Interior has adopted a Senior Executive Service performance management
> and appraisal program to emphasize strategic plan goals through the
> performance of each executive.
>
> **Financial Performance ---** The Department is transforming its
> financial management functions to create a world-class financial
> management structure that links planning and budgeting with
> performance results; performs efficient and reliable transaction
> processing; recruits, trains, and rewards top financial management
> talent; and focuses on analysis to improve the business information
> available to program managers.
>
> **E-Government ---** Interior has significantly improved its
> information technology environment by deploying an e-government
> strategy to move from stove-piped legacy systems to government-wide
> and Departmental solutions. Using its enterprise architecture,
> Interior is preparing and implementing e-Gov solutions for the Human
> Resource Lines of Business identified by OPM. These solutions will
> streamline data tracking for identifying and tracking the development
> and placement of the DOI employees.
>
> **Human Capital ---** Interior's efforts to improve the management of
> human capital build upon the *Strategic Human Capital Management Plan
> --- FY 2003-2007*. As outlined in the plan, bureaus have developed
> workforce plans that are guiding human resources management throughout
> the Department. The DOI Strategic Plan for Achieving and Maintaining a
> Highly Skilled and Diverse Workforce, FY 2005-2009 provides the goals,
> strategies and guidance in diversifying the DOI workforce. This
> guidance will be followed in the Succession Management Plan
> Implementation strategies.

**Assumptions**

The following is a summary of the assumptions on which this plan has
been predicated. These assumptions are an important aspect of the plan
as they provide a framework for evaluation. They will assist in
determining if unexpected changes could trigger the need to update the
plan to address circumstances not anticipated during the plan's
development.

The assumptions are:

-   The Department of the Interior has determined the current
    organizational structure is designed to most efficiently and
    effectively deliver the programs proscribed by law to the Secretary
    of the Interior. This structure is expected to take us well into the
    future.

-   This Plan covers all existing SES positions at DOI.

-   DOI is planning on a yearly recruitment effort for 6-10% of the
    total SES positions (17-23 positions) based on the OPM actuarial
    table retirement projections (Appendix A, Tables 1 & 2)

-   All leaders within the DOI are expected to exhibit and maintain the
    OPM leadership competencies.

-   The DOI Leadership Succession Plan builds on and amplifies the
    Bureau succession plans.

-   The DOI Leadership pipeline is fed by the leadership development and
    recruitment programs within the Bureaus and Offices.

-   The candidate pool for leadership succession is all employees
    occupying GS-14 and GS-15 positions anywhere within the Department.

-   The Department will recruit highly qualified and potential leaders
    with equivalent training from other government agencies and the
    private sector.

**Part 4 -- Leadership Development**

This section of the Plan summarizes the current leadership environment
and leadership development strategy within the Department. The
background summaries will assist in setting the stage for the
identification of strategies and recommendations for leadership
succession. The Plan will capitalize on the current strengths of DOI's
leadership development program and the leadership development plans of
the subordinate Bureaus.

**Leadership Characteristics**

The following chart contrasts today's DOI leaders vs. those who will
likely lead in the future.

  ----------------------------------- -----------------------------------
  **Characteristics of Today's        **Characteristics of Tomorrow's
  Leaders**                           Leaders**

  Broad experience gained by working  Greater flexibility with career
  in various locations and            options but not necessarily related
  organizational levels               to mobility (dual careers etc.).

  Rewarded by work experience &       Rewarded financially and by peer
  locations                           recognition

  Accepting of traditional career     Seeking rapid advancement
  ladder paths                        opportunities

  "Brand loyal" many life time        Less loyal to any specific
  Bureau/ Department employees        organizations or agency

  Motivated by results                Motivated by experience

  "Traditional education and          Younger, more urban and more
  experience" backgrounds such as     diverse educational backgrounds.
  natural resource or geology degrees More may come from outside DOI with
  were valued experiences for         broader backgrounds, more
  managers                            technologically savvy.

  Life balance with a heavy work      Balance of work, home and health
  focus, often worked weekends.       more important than salary and
                                      status -- will work to have
                                      weekends off

  Leadership skills largely learned   Leadership training early in career
  through years of OJT experience     from a broader range of sources

  Leadership has incorporated         Leadership will be ensuring
  technological tools as they were    technology integration to reduce
  developed.                          duplication and increase
                                      communications.

  Vision largely Bureau focused       Vision focus will be balanced with
                                      national and global views**.**
                                      Extensive networks both external
                                      and internal
  ----------------------------------- -----------------------------------

The information in the chart is intended to reflect the general
consensus among key leaders that DOI should be prepared for more than a
just a turn over in leadership personnel. Future key leaders in DOI will
be substantially different than the leaders of today and yesterday. To
be effective in recruiting, training and retaining future leaders, DOI
will need to take into account these changes and ensure that the way in
which we address leadership succession is keeping pace with the
interests and expectations of the future workforce.

Candidates from the Department SES Candidate Development Program
recently completed a study on leadership succession planning. They
completed a review of key success factors from other agencies and
countries. They found that these sources use succession planning and
management practices to protect and enhance the organization\'s
capacity. The common factors of success were:

-   Active support of top leadership

-   A clearly defined link to strategic goals

-   The talent pool is identified from multiple organizational levels,
    early in employee careers and with a focus on critical skills

-   Developmental assignments are emphasized along with formal training

-   Specific human capital challenges, such as diversity, leadership
    capacity, and retention, are considered important

An excerpt presenting the research findings from the team report can be
found at Appendix D.

**Current Leadership Training at DOI**

A competency is defined as the human capabilities or traits a worker
must have in order to produce a desired product or service in an
exemplary manner, on time and at a high level
![](media/image3.jpeg){width="3.1875in" height="2.9375in"}of quality.
The Office of Personnel Management has developed full definitions of 27
leadership competencies that are used to recruit and train current and
emerging senior executives.

DOI has adopted these leadership competencies as the foundation for
succession planning and will continue to use them as guides to the
development, recruitment, retention and evaluation of its leadership
cadre.

The Departmental executive-level training program, SES Candidate
Development Program (SESCDP), prepares senior managers to move up into
senior executive service positions and also provides continuing
education opportunities for current senior executives. At each level of
leadership development, an emphasis is placed on individual development
of core competencies within the context of the Agency's mission, vision,
and critical leadership needs. The policy guiding the elements and
process of the program is included in Appendix E. The program was
completely redesigned in 2004 to better prepare senior executives by
training to the competencies needed for current and future executives at
Interior.

The DOI offers leadership programs through DOI University which provide
a planned, systematic, competency-based approach to developing future
leaders, at all levels. These programs focus on increasing our bench
strength in the recruitment pool for our executive leadership positions.
The programs offer enhanced development opportunities for current and
future leaders. Entry-level leadership development training provides
high potential employees with the necessary skills to transition to
supervisory and leadership roles.

 

Mid-Level leadership development provides leadership, supervisory, and
managerial training to address the changing roles and competencies of
Federal managers in the 21st century. A goal of mid-level leadership
development training is to build a cadre of highly competent mid-level
Federal managers to address future leadership needs of the Department of
the future. DOI has developed an Advanced Leaders Program for GS-14 and
GS-15 employees which is expected to begin in FY 2007. A copy of this
proposed program can be found at Appendix F.

Several of the Bureaus have extensive internal programs for leadership
development and preparation for senior leadership. Information on these
programs can be found in Appendix G.

 

**Part 5 - Strategies to Implement Succession Planning**

The following strategies have been developed at the Department of the
Interior to meet our needs for Leadership succession.

**Recruitment and Selection**

-   DOI will recruit from all sources to find the best and the brightest
    leaders with the key leadership competencies to fill the leadership
    positions.

-   DOI will continue to keep the Senior Executive Service Candidate
    Development Program (SESCDP) current and relevant to the President's
    Management Agenda, the Nation and the needs of the Department.

-   DOI Executive Resources Board (ERB) and other senior leaders will
    continue to be actively involved in the recruitment, selection and
    development of SESCDP candidates.

-   Seasoned senior executives will continue to actively participate in
    mentoring and educating SESCDP candidates.

-   DOI Leadership is encouraged to seek recent SESCDP graduates for
    detail assignments and for permanent SES positions within their
    organizations.

-   Bureau and Office leadership development candidates will serve as a
    DOI recruitment source.

**Development of Prospective and New Leaders**

-   At DOI, all Bureaus/Offices are required to develop their employees
    to their fullest. Several Bureaus have model leadership excellence
    programs to successfully recruit and train their leadership cadre.
    The DOI Bureaus without such a leadership program will be encouraged
    to partner with those Bureaus that currently have programs to train
    and develop their own cadre of leaders.

-   All Bureaus will be required to update the workforce plans to
    incorporate a leadership succession strategy for their organization.
    The strategies will address the development of employees through
    GS-15.

-   At DOI, an Advanced Leaders Program targeting GS-14 and GS-15
    candidates will contribute to the development of current and future
    leaders. This program is a companion program to Bureau leadership
    training programs and fosters a continual learning environment.

-   Rotational assignments and details will be used to help prospective
    and new leaders gain a Departmental perspective.

**Retention of Prospective, New and Current Leaders**

-   The DOI has developed yearly leadership forums focused on current
    topics and issues pertinent to the DOI mission. All leaders are
    encouraged to participate in these learning opportunities.

-   The Bureaus have delegated authority for retention, relocation and
    recruitment bonuses.

-   DOI has conducted the 360 assessment for all SES managers. The
    results of these assessments will be available to individuals for
    incorporation in their SES continual learning plans.

-   The DOI has identified conflict management as the priority
    competency gap for senior executives and will identify learning
    experiences to address this competency and close the gap.

-   The DOI will continue to participate in administering and
    participating in government-wide surveys which identify management
    challenges. Areas identified as weaknesses will be addressed through
    learning experiences.

**Dissemination of Knowledge throughout all levels of Leadership**

-   All SES performance plans carry an element requiring the development
    of subordinate managers and leaders.

-   The DOI will hold periodic Senior Executive conferences.

-   All SES members will work with subordinates in GS-12 through GS-15
    supervisory roles to develop individual development plans which
    focus on continually building their leadership competencies.

**Part 6 -- Plan Evaluation**

The Corporate Leadership Council identified seven key factors to the
success of top tier leadership organization succession planning efforts.
These are:

1)  Senior executive commitment to development

2)  Organizational reinforcement of development

3)  Hiring for organizational fit

4)  Exacting performance standards

5)  Full business exposure for rising leaders

6)  Selecting successors for their leadership ability

7)  Focus on scarce skills and fit with position.

This plan is aimed at building similar characteristics into DOI
leadership development, while recognizing that the long term outcome of
a successful plan is dependent on what is measured. With this in mind,
DOI will develop an evaluation system which identifies, to the extent
possible, the effect our leadership programs are having in developing
our future leaders.

The key areas which this plan emphasizes are the recruitment and
development of leaders; the success of leadership development programs
in preparing and developing future leaders; and a clear career ladder
and performance requirements to reach key leadership positions. Along,
with ensuring the development of future leaders, we must also evaluate
the efficiency of our current and future programs.

The DOI has already established a performance evaluation standard for
every SES which rates the manager on their efforts at developing
subordinates and fostering a continual learning environment. This
element will be monitored on a yearly basis by the DOI Chief Human
Capital Officer.

Measures and understanding of our success will include feedback from
participants in formal programs, participant assessments through post
training evaluations, and mentor feedback on the successes and areas for
improvement in training programs.

Metrics will include:

-   a yearly assessment of bench strength and retirement trends of the
    GS-14 and GS-15 employees and the SES

-   formal training opportunities offered and number of participants

-   analysis of the applicant pool for each competitive training
    opportunity

-   compilation of competency gaps from yearly 360 evaluations

-   metrics on internal and external hires to the DOI SES

-   comparison of yearly employee satisfaction surveys

These metrics will be collected and reviewed every year. We recognize
though that the true success of this plan is over the long term. We will
monitor our progress and adjust where appropriate in order to maintain
DOI"S leadership bench strength.

**Appendix A OPM ACTUARIAL DATA**

**Tables 1 and 2 identify the likely number of employees expected to
retire by year. The information is not cumulative and the percentage is
based on the number of expected retirees divided by the number on board
at the end of 2005.** **The table does not reflect eligibility.**

**TABLE 1**

**RETIREMENT PROJECTIONS - FY 2006 THROUGH 2015**

**GS AND EQUIVALENT GRADES 14, 15 AND SES**

**FOR FULL-TIME PERM EMPLOYEES ON-BOARD AS OF OCTOBER 1, 2005**

**\*\*EXCLUDES MRA/10 ELIGIBILITY CRITERION FOR FERS EMPLOYEES\*\***

**COUNTS**

**YEAR 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 10**

**2005 RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE
RETIRE RETIRE**

**AGENCY GRADE COUNT PROJ PROJ PROJ PROJ PROJ PROJ PROJ PROJ PROJ PROJ
PROJ**

**\-\-\-\-\-\-- \-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\--**

**INTERIOR 14 3,340 194 198 206 203 199 190 177 164 155 144 1,831**

**15 1,525 116 114 113 109 104 95 87 80 72 65 955**

**SES 230 17 18 18 18 17 15 14 12 11 10 151**

**\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--**

**INTERIOR 5,095 328 330 337 330 319 300 278 257 238 219 2,936**

**======= ======= ====== ===== ====== ====== ======= ====== ======
======= ====== ======= ========**

**OTHER 14 92,609 4,105 4,179 4,199 4,167 4,115 4,040 3,941 3,833 3,684
3,558 39,822**

**15 59,240 3,154 3,155 3,102 3,036 2,949 2,832 2,708 2,597 2,470 2,343
28,345**

**SES 5,819 466 457 441 421 393 359 332 304 279 249 3,702**

**\-\-\-\-\-\-- \-\-\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\--**

**OTHER 157,668 7,725 7,792 7,742 7,624 7,457 7,230 6,981 6,734 6,433
6,150 71,869**

**======= ========== ====== ===== ====== ======= ====== ====== ======
======= ====== ======== ========**

**\-\-\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-\--**

**162,763 8,053 8,121 8,079 7,953 7,777 7,531 7,259 6,992 6,671 6,369
74,805**

**========== ====== ====== ====== ======= ====== ====== ====== =======
====== ======= ========**

**TABLE 2**

**RETIREMENT PROJECTIONS - FY 2006 THROUGH 2015**

**GS AND EQUIVALENT GRADES 14, 15 AND SES**

**FOR FULL-TIME PERM EMPLOYEES ON-BOARD AS OF OCTOBER 1, 2005**

**\*\*EXCLUDES MRA/10 ELIGIBILITY CRITERION FOR FERS EMPLOYEES\*\***

**YEARLY PERCENTAGES**

**YEAR YEAR YEAR YEAR YEAR YEAR YEAR YEAR YEAR YEAR 10**

**YEAR 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 YEAR**

**2005 RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE
RETIRE RETIRE**

**AGENCY GRADE COUNT PROJ PROJ PROJ PROJ PROJ PROJ PROJ PROJ PROJ PROJ
PROJ**

**\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\--**

**DOI 14 3,340 5.8% 5.9% 6.2% 6.1% 6.0% 5.7% 5.3% 4.9% 4.7% 4.3% 54.8%**

**15 1,525 7.6% 7.5% 7.4% 7.1% 6.8% 6.2% 5.7% 5.3% 4.7% 4.2% 62.6%**

**SES 230 7.6% 8.0% 8.0% 7.7% 7.2% 6.6% 6.1% 5.4% 4.7% 4.2% 65.5%**

**\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\-- \-\-\-\-\--**

**DOI 5,095 6.4% 6.5% 6.6% 6.5% 6.3% 5.9% 5.5% 5.0% 4.7% 4.3% 57.6%**

**======= ====== ===== ===== ===== ===== ====== ====== ====== ======
====== ====== =======**

**OTHER 14 92,609 4.4% 4.5% 4.5% 4.5% 4.4% 4.4% 4.3% 4.1% 4.0% 3.8%
43.0%**

**15 59,240 5.3% 5.3% 5.2% 5.1% 5.0% 4.8% 4.6% 4.4% 4.2% 4.0% 47.8%**

**SES 5,819 8.0% 7.9% 7.6% 7.2% 6.8% 6.2% 5.7% 5.2% 4.8% 4.3% 63.6%**

**\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-- \-\-\-\-- \-\-\-\-\--
\-\-\-\-\-- \-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\--**

**OTHER 157,668 4.9% 4.9% 4.9% 4.8% 4.7% 4.6% 4.4% 4.3% 4.1% 3.9%
45.6%**

**======= ======= ====== ===== ===== ====== ====== ===== ====== ======
====== ====== ======**

**\-\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-- \-\-\-\-- \-\-\-\-\--
\-\-\-\-\-- \-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\--
\-\-\-\--**

**162,763 4.9% 5.0% 5.0% 4.9% 4.8% 4.6% 4.5% 4.3% 4.1% 3.9% 46.0%**

**======== ====== ===== ===== ====== ====== ====== ====== ====== ======
====== ======**

**Table 3 and 4 are the cumulative projections of expected retirements,
2007 figures are the estimated 2006 retirees and the 2007 retirees
together. These tables identify the numbers and percentages of employees
who were at DOI at the end of 2005 and the projection of when they will
retire. The table does not reflect eligibility.**

**TABLE 3**

**RETIREMENT PROJECTIONS - FY 2006 THROUGH 2015 GS AND EQUIVALENT GRADES
14, 15 AND SES**

**FOR FULL-TIME PERM EMPLOYEES ON-BOARD AS OF OCTOBER 1, 2005**

**\*\*EXCLUDES MRA/10 ELIGIBILITY CRITERION FOR FERS EMPLOYEES\*\***

**CUMULATIVE COUNTS**

**END YEAR**

**2005 YEAR YEAR YEAR YEAR YEAR YEAR YEAR YEAR YEAR YEAR**

**AGENCY GRADE COUNT 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015**

**\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--**

**INTERIOR 14 3,340 194 392 597 801 1,000 1,190 1,367 1,531 1,686
1,831**

**15 1,525 116 230 343 452 556 651 738 818 890 955**

**SES 230 17 36 54 72 88 104 118 130 141 151**

**\-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-- \-\-\-\-\-\--**

**INTERIOR 5,095 328 658 995 1,325 1,644 1,944 2,222 2,479 2,717 2,936**

**======= ======== ======= ======= ====== ====== ======= ======= =======
======= ====== =======**

**OTHER 14 92,609 4,105 8,284 12,483 16,650 20,766 24,806 28,747 32,580
36,264 39,822**

**15 59,240 3,154 6,309 9,411 12,447 15,395 18,227 20,935 23,532 26,002
28,345**

**SES 5,819 466 923 1,364 1,785 2,178 2,537 2,869 3,173 3,453 3,702**

**\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\--**

**OTHER 157,668 7,725 15,516 23,259 30,882 38,340 45,570 52,551 59,286
65,719 71,869**

**======= ========== ===== ====== ====== ======= ====== ====== ======
====== ====== =======**

**\-\-\-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\-\--**

**162,763 8,053 16,174 24,253 32,207 39,984 47,514 54,773 61,765 68,436
74,805**

**========= ====== ====== ====== ======= ====== ====== ====== ======
====== =======**

**TABLE 4**

**RETIREMENT PROJECTIONS - FY 2006 THROUGH 2015**

**GS AND EQUIVALENT GRADES 14, 15 AND SES**

**FOR FULL-TIME PERM EMPLOYEES ON-BOARD AS OF OCTOBER 1, 2005**

**\*\*EXCLUDES MRA/10 ELIGIBILITY CRITERION FOR FERS EMPLOYEES\*\***

**CUMULATIVE PERCENTAGES**

**END YEAR YEAR YEAR YEAR YEAR YEAR YEAR YEAR YEAR YEAR**

**YEAR 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015**

**2005 RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE
RETIRE**

**ENCY GRADE COUNT PROJ PROJ PROJ PROJ PROJ PROJ PROJ PROJ PROJ PROJ**

**\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\--**

**INTERIOR 14 3,340 5.8% 11.7% 17.9% 24.0% 29.9% 35.6% 40.9% 45.8% 50.5%
54.8%**

**15 1,525 7.6% 15.1% 22.5% 29.6% 36.4% 42.7% 48.4% 53.7% 58.4% 62.6%**

**SES 230 7.6% 15.6% 23.6% 31.2% 38.5% 45.0% 51.1% 56.5% 61.2% 65.5%**

**\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\--**

**INTERIOR 5,095 6.4% 12.9% 19.5% 26.0% 32.3% 38.2% 43.6% 48.7% 53.3%
57.6%**

**======= ======== ======= ======= ======= ======= ======= =======
======= ======= ======= =======**

**OTHER 14 92,609 4.4% 8.9% 13.5% 18.0% 22.4% 26.8% 31.0% 35.2% 39.2%
43.0%**

**15 59,240 5.3% 10.6% 15.9% 21.0% 26.0% 30.8% 35.3% 39.7% 43.9% 47.8%**

**SES 5,819 8.0% 15.9% 23.4% 30.7% 37.4% 43.6% 49.3% 54.5% 59.3% 63.6%**

**\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--**

**OTHER 157,668 4.9% 9.8% 14.8% 19.6% 24.3% 28.9% 33.3% 37.6% 41.7%
45.6%**

**======= ========== ======= ======= ======= ======= ======= =======
======= ======= ======= =======**

**\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\--**

**162,763 4.9% 9.9% 14.9% 19.8% 24.6% 29.2% 33.7% 37.9% 42.0% 46.0%**

**========== ======= ======= ======= ======= ======= ======= =======
======= ======= =======**

**Tables 5 and 6 reflect the actual number of employees onboard at the
end of 2005 who will become eligible to retire by year. The count is
cumulative. Should our past retirement trends change, DOI could see a
larger number of employees in these three pay levels retire.**

**TABLE 5**

**RETIREMENT ELIGIBILITY - 2006 THROUGH 2015**

**GS AND EQUIVALENT GRADES 14, 15 AND SES**

**FOR FULL-TIME PERM EMPLOYEES ON-BOARD AS OF OCTOBER 1, 2005**

**\*\*EXCLUDES MRA/10 ELIGIBILITY CRITERION FOR FERS EMPLOYEES\*\***

**COUNTS**

**END THROUGH THROUGH THROUGH THROUGH THROUGH THROUGH THROUGH THROUGH
THROUGH THROUGH**

**YEAR 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015**

**2005 RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE
RETIRE AGENCY GRADE COUNT ELIG ELIG ELIG ELIG ELIG ELIG ELIG ELIG ELIG
ELIG**

**\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\-- INTERIOR 14
3,340 1,135 1,376 1,645 1,852 2,082 2,275 2,424 2,533 2,660 2,756**

**15 1,525 681 787 909 1,011 1,103 1,174 1,242 1,300 1,331 1,365**

**SES 230 100 126 146 162 175 182 194 200 203 208**

**\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\--**

**INTERIOR 5,095 1,916 2,289 2,700 3,025 3,360 3,631 3,860 4,033 4,194
4,329**

**======= ========== ======= ======= ======= ======= ======= =======
====== ======= ======== =======**

**OTHER 14 92,609 25,270 29,799 34,466 38,804 43,496 48,094 52,510
56,777 60,578 64,392**

**15 59,240 20,319 23,596 26,774 29,715 32,843 35,725 38,400 41,075
43,417 45,626**

**SES 5,819 2,702 3,097 3,509 3,865 4,193 4,447 4,709 4,937 5,113
5,253**

**\-\-\-\-\-\-- \-\-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\--**

**OTHER 157,668 48,291 56,492 64,749 72,384 80,532 88,266 95,619 102,789
109,108 115,271**

**======= ========= ======= ======= ======= ======= ======= =======
======= ======= ======== =======**

**\-\-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-\--**

**162,763 50,207 58,781 67,449 75,409 83,892 91,897 99,479 106,822
113,302 119,600**

**========= ======= ======= ======= ======= ======= ======= =======
======= ======== ========**

**TABLE 6**

**RETIREMENT ELIGIBILITY - 2006 THROUGH 2015**

**GS AND EQUIVALENT GRADES 14, 15 AND SES**

**FOR FULL-TIME PERM EMPLOYEES ON-BOARD AS OF OCTOBER 1, 2005**

**\*\*EXCLUDES MRA/10 ELIGIBILITY CRITERION FOR FERS EMPLOYEES\*\***

**PERCENTAGES**

**END THROUGH THROUGH THROUGH THROUGH THROUGH THROUGH THROUGH THROUGH
THROUGH THROUGH**

**YEAR 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015**

**2005 RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE RETIRE
RETIRE**

**AGENCY GRADE COUNT ELIG ELIG ELIG ELIG ELIG ELIG ELIG ELIG ELIG ELIG**

**\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--**

**INTERIOR 14 3,340 34.0% 41.2% 49.3% 55.4% 62.3% 68.1% 72.6% 75.8%
79.6% 82.5%**

**15 1,525 44.7% 51.6% 59.6% 66.3% 72.3% 77.0% 81.4% 85.2% 87.3% 89.5%**

**SES 230 43.5% 54.8% 63.5% 70.4% 76.1% 79.1% 84.3% 87.0% 88.3% 90.4%**

**\-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--**

**INTERIOR 5,095 37.6% 44.9% 53.0% 59.4% 65.9% 71.3% 75.8% 79.2% 82.3%
85.0%**

**======= ======== ======= ======= ======= ======= ======= =======
======= ======= ======= =======**

**OTHER 14 92,609 27.3% 32.2% 37.2% 41.9% 47.0% 51.9% 56.7% 61.3% 65.4%
69.5%**

**15 59,240 34.3% 39.8% 45.2% 50.2% 55.4% 60.3% 64.8% 69.3% 73.3%
77.0%**

**SES 5,819 46.4% 53.2% 60.3% 66.4% 72.1% 76.4% 80.9% 84.8% 87.9%
90.3%**

**\-\-\-\-\-\-- \-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--**

**OTHER 157,668 30.6% 35.8% 41.1% 45.9% 51.1% 56.0% 60.6% 65.2% 69.2%
73.1%**

**======= ======== ======= ======= ======= ======= ======= =======
======= ======= ======= =======**

**\-\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\-- \-\-\-\-\-\--
\-\-\-\-\-\-- \-\-\-\-\-\--**

**162,763 30.8% 36.1% 41.4% 46.3% 51.5% 56.5% 61.1% 65.6% 69.6% 73.5%**

**======== ======= ======= ======= ======= ======= ======= =======
======= ======= =======**

**Appendix B**

**Department of the Interior**

**Departmental Manual**

**Effective Date**: 3/5/06

**Series**: Personnel Management

**Part 370**: Departmental Personnel Program

**Chapter 312**: Position Management

**Subchapter 2**: Workforce and Succession Planning

**Originating Office**: Office of Strategic Development of Human Capital

**370 DM 312.2**

2.1 **Purpose**. This chapter provides Departmental requirements for
workforce succession planning which includes responsibilities and
standards for incorporating succession planning as a critical component
of workforce planning. Workforce succession planning ensures that there
is a progression plan for key positions to ensure that the right people
with the right skills are in the right roles at all levels in the
organization.

2.2 **Policy**. All bureaus and offices must develop and maintain
current workforce succession plans for all critical functions associated
with the mission of their organization. The policy in this chapter
enhances the Department's strategic management of human capital by
providing guidelines for the inclusion of succession planning into
workforce plans. Sound workforce planning must include a plan for the
identification, development, and selection of successors for future
leadership and other mission critical positions to ensure a pool of
qualified applicants.

2.3 **Scope**. This policy is applicable to all bureaus and offices.

2.4 **Authority**. This chapter is issued under the authority of the
Federal Workforce Flexibility Act of 2004 \[Public Law 108-411 Title II
Sec 201, Agency Training\] and OMB Circular No. A-11, § 31.11.

2.5 **Responsibilities**.

A. Heads of bureaus and offices must:

\(1\) Establish a comprehensive workforce succession program and ensure
that succession planning is an integral part of the organization's
workforce plan.

\(2\) Ensure that workforce succession plans are developed and
implemented in accordance with the standards established in this
chapter.

\(3\) Develop workforce succession plans to recruit, retain, reassign,
and develop the talent the Department needs to meet the forecasted
quantity and quality of employees in the future.

B. Managers and supervisors must be fully involved in workforce
succession planning by identifying key positions and associated
competencies, developing employees, assessing the results of employee
development and evaluating the workforce succession planning program.

C. Human Resources officers are responsible for reviewing agency
workforce succession plans and implementing actions to assure compliance
with this policy.

2.6 **Workforce Succession Plan Requirements**. Bureau and office
workforce succession plans must be linked to the organization's
strategic plan and meet the mission-critical and leadership needs of the
organization. The workforce succession plan must include an assessment
of current and future competencies and the skills and knowledge that
support the organization's strategic goals and mission accomplishments,
with an emphasis on diversity, leadership capacity, and retention.
Workforce succession plans must include the following standard elements:

A. [Competencies]{.underline}. A competency is an observable, measurable
pattern of skills, knowledge, abilities, behaviors and other
characteristics that an individual needs to perform work roles or
occupational functions successfully and it must encompass attributes
that differentiate performers. Bureau and office workforce succession
plans must relate core competencies to their leadership positions and
mission-critical positions. Bureaus and offices should assess current
and future strategic goals and the organization's mission to identify
the critical competencies required for success. Organizations should use
the Office of Personnel Management's Executive Core Qualifications list
of competencies and/or other valid competency databases when identifying
and defining mission-critical competencies. In addition, bureaus and
offices must implement processes to ensure critical competencies are
available to meet human capital needs.

B. [Learning and Development]{.underline}. Workforce succession plans
must document learning and development programs and methodologies that
have been or will be created to ensure that employees are provided the
opportunity to develop the knowledge, skills and standards of
professional competence to advance to leadership and/or fill mission
critical positions. These plans will ensure the systematic and long-term
development of individuals to acquire mission critical competencies.
Consistent use of individual development plans aligns employee skills,
needs, and individual professional goals with organizational goals and
mission. At least twice each year, supervisors should conduct and guide
conversations with their employees concerning the development of goals
and opportunities. A variety of learning activities can be used to
provide needed competencies, including formal classroom training,
mentorship, developmental assignments, computer-based training, and
other types of distance learning.

C. [Knowledge Management]{.underline}. Knowledge management is capturing
information and work processes as they are created or used so they can
be distributed and shared with the right individuals at the appropriate
time in order to prevent the loss of that knowledge. Bureaus and offices
can facilitate knowledge management by documenting processes, methods,
tools and techniques of people with special skills and responsibilities
to archive and preserve institutional memory. An established
communication system such as mentoring or communities of practice that
encourage sharing of information on organizational operations and
experiences across organizational boundaries must be in place to achieve
succession planning and knowledge management goals.

D. [Talent Management]{.underline}. Applying the Department's diversity
goals, the plan must include strategies for an external recruitment
process, while encouraging the most effective use of employee skills
along with the professional development and advancement of current
employees. Bureaus and offices should identify competency gaps between
talent needs and its availability and develop strategies to close them.

E. [Employee Awareness]{.underline}. All employees should be aware of
their bureau or office workforce succession plan. At the organizational
level, this process should be part of the continuing dialogue between
managers and employees to address strategic or program plans. At the
employee level, workforce succession planning should be addressed during
the employee orientation, discussions within the Individual Development
Plan process and periodic performance reviews as appropriate.

F. [Tiered Approach to Leadership Succession]{.underline}. Workforce
succession plans should have a tiered structure in order to develop
employee skills at progressive stages. It is advantageous to provide
employees with opportunities to develop their leadership skills early in
their careers and, as they demonstrate proficiency, to offer experiences
and training in progressively responsible leadership challenges through
their career.

G. [Assessment]{.underline}. Each bureau and office must assess the
results of their workforce succession plan. The assessment should
include data to demonstrate the attainment of key goals in attracting a
diverse pool of candidates for mission critical positions, competency
based hiring, talent development, and knowledge management. Minimum
elements could include:

\(1\) Identification of mission critical positions;

\(2\) Forecast of future needs for mission critical and leadership
positions;

\(3\) Collection and analysis of attrition data;

\(4\) Results of recruitment strategies; and

\(5\) Results of development strategies.

**Appendix C**

**External and Internal Drivers Impacting**

**The Department of the Interior's Workforce**

**From: US Department of the Interior Strategic Human Capital Management
Plan FY 2003 -- FY 2007, Appendix A**

**External Drivers**

External drivers are those factors outside of the Department and outside
of its control, yet which have a profound effect on how we accomplish
our mission. The following were identified:

Resources Demand

-   Growing pressures on the landscape from human activity such as
    habitat fragmentation, spread of invasive species, higher fuel loads
    in forested lands, erosion and flooding and more severe fires.

-   Increased demand for energy renewable and nonrenewable resources

-   Demand for more protection of our unique natural and cultural
    heritage

-   Increased demand for recreation

-   Greater incidence of endangered species

-   Increased competition for water use

-   Increased competition for power and power generation

Increasing Societal Changes and Pressures

This category of drivers is tied to broader societal pressures that stem
from changing demographics, population shifts, and social developments
that permeate our society. Some of these leading drivers include:

-   Shift in population toward the West, the South, and along the coasts

-   Increasing emphasis on states' rights and private property rights

-   Increased expectations of the public to be involved in decision
    processes

-   Growing numbers of communities at risk of hazards, coastal
    processes, and other forces of nature

-   Globalization (international dealings beyond the U.S. borders)

-   Isolated rural communities (they lack jobs and new technologies)

-   Increased urbanization and dispersed settlements and issues that go
    with it (invasive species, increased human/animal
    interactions/disease transmission)

-   Rising challenges for security and safety (IT/homeland protection)

-   Retirement of a "baby boomer" generation, producing new labor force
    dynamics

-   Changing workforce values, standards and expectations

-   Growth of subgroups/cultures/religious groups impacting public
    policy; more distinct cultures; less homogeneous population

-   Increased use of litigation and the need to track the impacts

-   Overall negative public perception of the government results in lack
    of confidence in government solutions

-   Increasing gap between the "haves" and "have-nots"

-   Rapid changes in technology

-   Greater polarization of viewpoints

Rising Public Expectations and Influences

This category of drivers reflects the changing expectations and
attitudes of the public that we seek to serve. Some of the leading
drivers include:

-   Increasing judicial directives

-   Expectation of more business-like decisions of government

-   Increased oversight by Congress and number of Congressional mandates

-   Growing awareness of implications of trust responsibilities

-   Increased financial scrutiny and financial accountability

-   Public expectations that government agencies will work together to
    solve problems

-   Increased use of technology and associated training needs

-   Increased demand for IT (for instant information/services)

-   Constrained budgets as a result of competing national priorities
    (war on terrorism and homeland security)

-   Aging infrastructure needing renovation or replacement

-   Increased demand for coordinated, "seamless" services

**Internal Drivers**

Internal drivers are those factors inside government or within its
control that will shape the Department's approach to managing programs.
These drivers include:

-   The Secretary's 4C's approach- Conservation through Consultation,
    Cooperation and Communication and the President's Management Agenda

-   Increased communication with the public we serve

-   Greater collaboration within the Department and with local and state
    governments, and outside groups.

-   Increased focus on results and effectiveness.

-   Greater expectation for linkage between performance and budgeting.

-   Increased public response and customer service.

-   Responsiveness and greater reliance on technology for delivering
    services balanced with the need to retain face to face customer
    service.

-   Increased ability to safeguard and protect IT systems and
    information.

-   Increased accountability and transparency to the American people.

-   Greater availability of systems, such as corporate, inter-bureau
    systems to manage and provide information.

-   Use of common business practices (cross-bureau or Department).

-   Increased use of coordination, workforce consolidation, and
    co-location, and de-layering to allow decisions to be made at the
    lowest possible level

Critical Worklife Issues

-   Relocation impact on family

-   Mobility constraints -- need for consideration of both partners'
    careers

-   Ensuring employee security and safety

-   Expectations for greater flexibilities (telework)

-   Expectations of greater balance between work and home-life and the
    use of "family friendly" policies

-   Rising intergenerational challenges

-   Looming retirement "bubble" in key work skills jobs

Human Resources Planning and Management

-   Skewed workforce distribution -- middle management missing (have
    young workers and workers nearing retirement, but not much in
    between)

-   Need for interpersonal skills to build collaborative decision making

-   Desire for equal promotion and development opportunities

-   Ability of the Federal government to offer balanced, competitive
    salaries

**Appendix D**

Excerpts from

*SENIOR EXECUTIVE SERVICE CANDIDATE DEVELOPMENT PROGRAM*

*SESCDP CLASS #14 TEAM PROJECT*

***EXECUTIVE SUCCESSION PLANNING BEST PRACTICES AND ACTION PLAN***

**TEAM MEMBERS**

-   Bryan Arroyo United States Fish and Wildlife Service

-   Jennifer Gimbel Bureau of Reclamation

-   Bruce Loudermilk Office of the Special Trustee for American Indians

-   David Vela National Park Service

-   Michelle Chavez DOI, Director, Strategic Development of Human
    Captial

> (Executive Team Sponsor)

**HUMAN CAPITAL CHALLENGES**

Many Federal agencies have yet to adopt succession planning and
management initiatives. Private industry recognized the importance of
succession planning years ago and implemented many successful strategies
in order to accomplish their plans and interests. In 1997, the National
Academy of Public Administration reported that of the 27 agencies
responding to its survey, 2 agencies had a succession planning program
or process in place; 2 agencies were planning to have one in the coming
year; and 4 agencies were planning one in the next 2 years.

In 1999, a joint Office of Personnel Management (OPM) and Senior
Executive Association survey reported that more than 50 percent of all
career members of the Senior Executive Service (SES) indicated that
their agencies did not have a formal succession planning program for the
SES, and almost 75 percent said that their agencies did not have such a
program for managers. Of those who reported that their agencies did have
succession planning programs for either executives or managers, 54
percent of the career senior executives said that they had not
participated in the executive-level programs, and 65 percent said they
had not participated at the manager level.

The lack of succession planning has contributed to two specific human
capital challenges currently facing the Federal government. The first
challenge is the large percentage of career senior executives who will
reach regular retirement eligibility over the next several years. In
2000, 71 percent of the SES members employed as of October 1998 would
reach regular retirement eligibility by the end of fiscal year 2005. It
is estimated that more than half of the SES members in Federal service
as of October 2000 will have left the government by October 2007.
Without careful planning, these separations pose the threat of an
eventual loss in institutional knowledge, expertise, and leadership
continuity.

The second challenge facing Federal agencies impacted by a lack of
succession planning is the amount of diversity and development of talent
in their executive and managerial ranks. As the demographics of the
public served by the Federal government change, a diverse executive
corps can provide agencies with an increasingly important organizational
advantage that can help them to achieve results. As of 2000, minority
men and women comprised approximately 14 percent of the career SES. If
current promotion and hiring trends continue, the proportions of
minority men and women among senior executives will likely remain
virtually unchanged over the next 4 years.

The literature revealed that public and private sector organizations use
a variety of approaches when planning for, and managing,
succession-related challenges. These approaches span a continuum from
the \"replacement\" approach, which focuses on identifying particular
individuals as possible successors for specific top ranking positions,
to the \"integrated\" succession planning and management approach. Under
the integrated approach, succession planning and management are a
strategic, systematic effort that works to ensure a suitable supply of
potential successors for a variety of leadership and other key
positions.

These two approaches essentially reflect a shift in emphasis of
succession planning from a risk management tool, focused on the
near-term, operational need to ensure backup people are identified in
case a top position becomes vacant, to a strategic planning tool, which
identifies and develops high-potential individuals with the aim of
filling leadership and other key roles in the future.

**[Federal Government Retirement Trends]{.underline}**

Pursuant to a congressional request, the General Accounting Office (GAO)
provided information on the Senior Executive Service\'s (SES) retirement
trends, focusing on:

-   Trends for the SES workforce government wide and for selected
    agencies and occupational series through fiscal year (FY) 2005 and
    how they compared with the trends over the 7-year period ending FY
    1998.

-   The implications of SES retirement trends for SES succession
    planning.

GAO noted the following:

-   The proportion of career SES members employed in selected agencies
    and occupational series that will be eligible to retire by the end
    of FY 2005 varies by agency and occupational series and differs from
    the government wide rate of 71 percent.

-   The Department of Veterans Affairs (VA) will have the highest SES
    regular retirement eligibility rate of the 14 selected agencies in
    GAO\'s review.

-   The VA may have to replace a large number of its career SES members
    as 82 percent of those members, and 81 percent of SES members in
    health system administration, who are primarily employed at VA, will
    be eligible to retire by September 30, 2005.

-   Health system administration will have the second highest retirement
    eligibility rate of the eight selected occupational series included
    in GAO\'s review\--criminal investigation will have the highest.

-   Conversely, the Environmental Protection Agency (EPA), the Nuclear
    Regulatory Commission (NRC), and attorneys will have the lowest SES
    retirement eligibility rates by September 30, 2005; both EPA and the
    attorney series will experience the greatest increase in the
    proportion of the career SES workforce to attain retirement
    eligibility.

-   The SES retirement trends projected for the first few years of this
    decade illustrate that the SES is an aging workforce.

-   Because individuals normally do not enter the SES until well into
    their careers, SES retirement eligibility generally is much higher
    than for the workforce in general, but SES retirement eligibility
    also is growing compared with eligibility early in the 1990s.

-   These trends highlight the importance of SES succession planning as
    SES retirements will result in a loss in leadership continuity,
    institutional knowledge, and expertise among the SES corps with the
    degree of the loss varying among agencies and occupations.

-   Available evidence suggests that formal SES succession planning is
    not being done universally.

-   SES members from more than 24 agencies indicated that their agencies
    do not have a formal succession planning program for the SES.

-   Office of Personnel Management officials indicated that most
    agencies will not likely have formal, comprehensive succession
    plans.

-   Studies by the National Academy of Public Administration in 1994 and
    1997 showed that formal SES succession planning generally was not
    being done in the Federal government.

**[Congressional Interest]{.underline}**

Congress has recognized the important role of succession planning and
management in preparing Federal workers for the future. The Federal
Workforce Flexibility Act of 2004 requires the head of each agency to
establish, in consultation with the Office of Personnel Management, a
comprehensive management succession program to provide training for
employees and develop future managers for the agency. Congress has also
commissioned a variety of human capital surveys, through the General
Accounting Office, to address workforce and succession planning.

**[Operational Realities]{.underline}**

All agencies and organizations are facing the approaching "baby-boomer"
retirement wave and the government is projected to be severely affected.
The next five years will see a tremendous change in the workforce of the
Department of the Interior. The Department employs a workforce that is
considerably older than the general workforce. Attrition rates reflect
changes in jobs due to retirements, transfers between agencies
(including promotions), or departure from the Federal workforce.

The Department's overall attrition rate for the next five years is
expected to be similar to the government average. Most of the
Department's technical career positions are projected to experience
turnover at slightly higher rates. While 20% of Department positions are
projected to turnover in the next four years, attrition will affect
bureaus differently and certain occupations will experience heavy
turnover -- DOI Strategic Human Capital Management Plan (FY 2003-2007).

**[SESCDP Graduate Placements and Survey Results]{.underline}**

An assessment was made on the placement rate of Senior Executive Service
Candidate Development Program graduates into Senior Executive Service
positions and whether they were included in succession planning goals
and interests for the Department and bureaus. Generally, the Department
delegates succession planning to the bureaus.

In a like manner, the Department determines the size of any particular
SESCDP class by the number of candidates each bureau is willing to fund.
There are many perceptions regarding the success of the SESCDP and
whether the Department is making the best use of these candidates.
Although there is much discussion about SESCDP members being
"departmental assets," it appears that the bureaus tend to rely on
promoting in-house in order to fill leadership positions.

As provided by the Executive Resources Division of the Office of Human
Resources, the Department has a total of 289 SES position allocations
(275 permanent and 14 temporary until July 2008). Of those positions, 29
are filled by non-career appointees. Currently, 55 SES positions are
filled by graduates of the Department's SESCDP, approximately 21 percent
of the career SES positions. Since the beginning of the program in 1980,
there have been a total of 266 graduates from the SESCDP with 154 being
placed in SES positions (including limited term and limited emergency
appointments).

Overall, this calculates to a placement rate of 58%. However, the
numbers vary for individual classes from 12.5% placement for Class No.
4A (1986-1987, class size of 8) to 93% placement for class No. 9
(1998-1999, class size of 13). Sizes of classes varied from 8 graduates
(1986-1987) to 37 graduates (Class No. 1, 1980-1981). The average class
size was 22 candidates.

In order to gather information regarding the perception of the success
of the SESCDP and its role in succession planning, an email survey
consisting of four questions was forwarded to SESCDP graduates in the
last 4 classes (SESCDP Classes 9-12). The survey was informal,
non-statistical, and was meant to gain a general impression from former
graduates. Not all of the graduates received the questions. Some are no
longer with the Department and others were not connected to the Internet
or BIA Intranet (Solicitor's office). Of the 88 graduates, surveys were
sent to 53 with 27 responding (13 who currently hold SL or SES
positions).

The survey consisted of the following questions:

-   Were you ever aware of any succession plans for your bureau/office
    as well as how you might fit into those plans/goals as a graduate of
    the SESCDP?

-   Since graduating from the SESCDP, have you had a change in your
    employment status? If so, to what grade level?

-   Have you achieved your personal goals of obtaining a leadership
    position in the DOI as a graduate of the SESCDP?

-   Do you have any comments on ways to enhance the placement rate of
    SESCDP graduates into DOI SES positions and/or have any
    recommendations on DOI succession planning in general?

With a couple of exceptions, the responding graduates indicated that
they were not aware of succession planning in the Department or in their
respective bureau. Some noted how a lot of "lip service" is given to
succession planning, but no real plan, if it exists, was shared with
them. One individual stated that succession planning happens by
accident.

Another consistent theme by those responding (both SES and non-SES) was
that the Department and the bureaus should give more consideration to
the SESCDP graduate pool before hiring or promoting others. A couple of
graduates (who were not in current SES positions) felt that the bureaus
should be required to hire from the SESCDP pool. Most thought that the
bureaus should at least talk to SESCDP graduates in order to obtain a
sense of their experience prior to considering going outside the pool.
One comment suggested that the Department establish a registry of
available graduates each year and supply selecting officials with a list
of qualified applicants.

Another commented that when bureaus ask the Executive Resources Board
(ERB) to advertise for a SES position vacancy, they be required to
inform the ERB that it examined the roster of available graduates, and
explained the reason it was necessary to advertise. In approving an SES
selection, the ERB should require the bureau to indicate whether any
SESCDP graduates applied and justify why a non-graduate was being
selected.

Some commented on the Department's strategy of choosing the right
individuals for the Senior Executive Service Candidate Development
Program. They felt that selections should depend on future needs and
that the number of people trained should be commensurate with the
anticipated retirement rate. One graduate commented that the Department
should readdress the premise of why the SESCDP was created, since there
is a perception that the program is sometimes used to resolve EEO
complaints or increase the number of minorities.

Several graduates thought that the Department should strongly encourage
the bureaus to hire SESCDP graduates or others whose experience stems
from another bureau. This cross-breeding would strengthen the bureaus
and the Department. For example, hire a person from the U.S. Fish and
Wildlife Service for an SES position in the Bureau of Reclamation or the
Bureau of Land Management -- agencies that have very different missions
and tend not to understand each other. The thought being that at this
level, the need is for leadership and management skills rather than
technical expertise. Along the same line, there were a couple of
suggestions in having the bureaus exchange SES leaders for a year or
two.

Some of the respondents expressed a concern for the program overall; it
needs to be more than just another nice training opportunity. One feared
that the program is not well respected throughout the Department, and
the Department's lack of adequately funding the program just adds to
that perspective. Some graduates expressed the concern of being chosen
for the program by one administration and thus being tainted for any SES
position when the administration changes.

Others thought that concentrating on candidate selection would provide
better results as some that were chosen in the past where not adequately
prepared to assume leadership positions (i.e. they did not have
sufficient management and leadership experience). One suggested that the
Department hold the bureau accountable for the candidates that it
recommends. For example, if a bureau has passed over graduates that it
previously recommended for the program, the bureau leadership should be
questioned as to why the candidate was selected for SESCDP at all.

**BEST PRACTICES**

With the above operational realities in mind, we can learn from our
peers and colleagues in both the private and public sectors in order to
shape and apply best-practices to fit our organizational environment
within the Department of the Interior.

**[The Bureaus]{.underline}**

A review of existing bureau and Office of the Special Trustee succession
plans served as a starting point for analyzing the overall state of
succession planning for the Department. Each bureau website was reviewed
in order to assess their goals and interests related to succession
planning. The search revealed that no specific succession plans were
available on their website. Following this review, contact was made with
each bureau human resources office to obtain a copy of their plans. Only
two bureaus (National Park Service (NPS) and Bureau of Land Management
(BLM) provided copies of their plans. The National Park Service provided
a copy of their strategic plan, which incorporated some succession
planning interests however, very little was provided by way of
specifics. We were therefore, unable to determine any clear strategies
as to developmental tools and or processes designed to fill key
leadership position within this bureau.

The Bureau of Land Management provided a copy of their succession plan.
It was evident that a tremendous amount of workforce planning, and more
importantly, needed leadership competencies were incorporated with
specific strategies to address the development of their workforce.
Salient aspects of their plan included, but were not limited to the
following: the targeting of specific positions; reliance on outside
experiences and sources; a focus on the development of excellence to
include targeted training programs (both internal and external); and
analytical components that are data driven, monitored for success, and
incorporate progress and validation methods. Perhaps the most important
aspect of their plan was the methods and procedures used to identify
aspiring and emerging leaders within the context of the future needs of
the bureau.

An important concept was the distinction between front-line employees
and executive leadership. This is a great tool to ensure the right kind
of leaders and to clearly differentiate the two pools of talent from
which to draw from in the future. The BLM should be commended for such a
thorough approach to succession planning and for incorporating the
necessary data upon which to base their strategies and decisions.

**[Other Federal Agencies]{.underline}**

The General Accounting Office (GAO) reviewed how the Census Bureau,
Department of Labor (DOL), the Environmental Protection Agency (EPA),
and the Veterans Health Administration (VHA) are implementing succession
planning and management efforts. The GAO found the following:

-   While all of the agencies have assigned responsibility for their
    succession planning and management efforts to councils or boards,
    VHA has established a subcommittee and high-level positions that are
    directly responsible for its succession efforts. Also, VHA and the
    Census Bureau specifically mention succession planning and
    management as performance expectations in their executives\'
    performance plans.

-   The four agencies have begun to link succession efforts to strategic
    planning. For example, DOL plans to shift from a historical
    enforcement role to a compliance assistance and consulting role,
    requiring stronger skills in communication and analysis. To attract
    and retain employees with such skills, DOL launched the Masters in
    Business Administration Fellows program in 2002, which it considers
    one of its major succession training and development programs.

-   Monitoring mission-critical workforce needs helps make informed
    planning decisions. DOL, EPA, and VHA have identified gaps in
    occupations or competencies, have undertaken strategies to address
    these gaps, and are planning or are taking steps to monitor their
    progress in closing these gaps. The Census Bureau could strengthen
    the monitoring of its mission-critical occupations more closely and
    at a higher level to ensure it is prepared for the 2010 Decennial
    Census.

-   Effective training and development programs can enhance the Federal
    government\'s ability to achieve results. All of the agencies\'
    succession efforts include training and development programs at all
    organizational levels. However, in the current budget environment,
    there are opportunities to coordinate and share these programs and
    create synergies through benchmarking with others, achieving
    economies of scale, limiting duplication of efforts, and enhancing
    the effectiveness of programs, among other things. Performance
    measures for these programs can also help agencies evaluate these
    programs\' effects on organizational capacity and justify their
    value.

-   Finally, agencies have recognized the importance of diversity to a
    successful workforce and use succession planning and management to
    enhance their workforce diversity.

**[A View of the Federal Government -- from the Outside]{.underline}**

In his book [Good to Great]{.underline}[^1] and the accompanying
monograph "Good to Great and the Social Sectors: Why Business Thinking
is Not the Answer,"[^2] Jim Collins makes some comments about leadership
in government that can be applied to succession planning at the
Department. As to leadership in general, he emphasizes: "True leadership
only exists if people follow when they have the freedom not to."[^3] He
notes that government leaders do not get credit for the obstacles that
must be overcome to be a great leader" and describes a "Level 5 leader"
as follows:

> Social sector leaders are not less decisive than business leaders as a
> general rule; they only appear that way to those who fail to grasp the
> complex governance and diffuse power structures common to social
> sectors.[^4]

Collins notes the difference between an effective leader and a great
leader as -- great leaders are ambitious first and foremost for the
mission and the work, but not themselves. They will do what it takes to
make good on their ambition. They are self-disciplined people who engage
in very rigorous thinking. Level 5 leaders display a compelling modesty,
are self-effacing, and understated. They display a workmanlike diligence
-- "more plow horse than show horse.[^5]" "In the social sectors, the
Level 5's compelling combination of personal humility and professional
will is the key factor in creating legitimacy and influence."[^6]
Leaders in the social sector must relay more upon persuasion, political
currency, and shared interests to create the conditions for the right
decisions to happen.

Collins talks about succession planning in the sense of getting the
right people on board. "In the social sectors, where getting the wrong
people off the bus can be more difficult than in a business, early
assessment mechanism turn out to be more important than hiring
mechanisms."[^7] In order to get the right people on board, great
companies placed a greater weight on character attributes than on
education, background, practical skills, specialized knowledge or work
experience. Specific knowledge or skills can be learned, whereas
dimensions like character, work ethic, basic intelligence, dedication to
fulfilling commitments and values are more ingrained. In business,
compensation can be an incentive.

Government can learn from the great companies that don't focus on
monetary incentive, but rather on getting the right person for the right
job. Those are the people who are self-motivated and self-disciplined
and who are compulsively driven to do the best they can. Great leaders
set up their successors for even greater success in the next generation.

**[Foreign Countries]{.underline}**

Agencies in Australia, Canada, New Zealand, and the United Kingdom are
implementing succession planning and management initiatives that are
designed to protect and enhance organizational capacity according to the
U.S. General Accounting Office. These organizations identify, develop,
and select their human capital to ensure an ongoing supply of successors
who are the right people, with the right skills, at the right time for
leadership and other key positions.

While each initiative reflects its specific organizational structure,
culture, and priorities, collectively GAO found that agencies in these
countries use succession planning and management practices to protect
and enhance the organization\'s capacity. Succession planning and
management initiatives were as follows:

-   Receive active support of top leadership;

-   Link to strategic planning;

-   Identify talent from multiple organizational levels, early in
    careers or with critical skills;

-   Emphasize developmental assignments in addition to formal training;

-   Address specific human capital challenges, such as diversity,
    leadership capacity, and retention; and

```{=html}
<!-- -->
```
-   Facilitate broader transformation efforts.

First, to show their support for succession planning and management,
agencies\' top leadership actively participate in, regularly use, and
ensure the needed financial and staff resources for these initiatives.
For example, New Zealand\'s State Services Commissioner developed, with
the assistance of a group of six agency chief executives who met
regularly over a period of 2 years, a new government wide senior
leadership and management development strategy.

In the Ontario Public Service, the government\'s top civil servant and
the heads of every ministry meet for an annual 2-day retreat to discuss
anticipated leadership needs across the government as well as the
high-potential executives who may be able to meet those needs over the
next year or two.

Second, agencies link succession planning and management with their
strategic plans to focus on both current and future needs and provide
leaders with a broader perspective. For the Royal Canadian Mounted
Police, succession planning and management not only figures prominently
in the agency\'s multiyear human capital plan, but it also provides top
agency leaders with an agency wide perspective when making decisions. To
this end, the agency uses a specially designated \"succession room\" to
provide a visual representation of the agency\'s diverse and widely
dispersed operational functions, which assists top leadership in placing
and tracking executives and managers across organizational structures.

Third, agencies use their succession planning and management initiatives
to identify talent at multiple organizational levels, early in their
careers, or with critical skills. For example, the Royal Canadian
Mounted Police has three separate programs to identify and develop
high-potential employees at several organizational levels reaching as
far down as the front-line constable. The United Kingdom\'s Fast Stream
program targets high-potential individuals early in their careers. Other
agencies use their succession management initiatives to identify and
develop successors for employees with critical knowledge and skills.
Transport Canada anticipated that the retirements of key regulatory
inspectors would severely affect the agency\'s ability to carry out its
mandate. The agency encouraged the use of human capital flexibilities,
such as preretirement transitional leave, to help ensure a smooth
transition of knowledge from incumbents to successors.

Fourth**,** agencies\' succession planning and management initiatives
emphasize developmental assignments in addition to formal training to
strengthen high-potential employees\' skills and broaden their
experience. For example, Canada\'s Accelerated Executive Development
Program temporarily assigns executives who have the potential to become
assistant deputy ministers to work in unfamiliar roles or subject areas
and in different agencies. One challenge sometimes encountered with
developmental assignments in general is that agencies resist letting
their high-potential staff leave their current positions to move to
another organization. The Accelerated Executive Development Program has
addressed this challenge by having a central government agency pay
participants\' salaries, which makes executives more willing to allow
talented staff to leave for developmental assignments. New Zealand has
responded to this challenge by appropriating funds to help defray the
costs to backfill positions for individuals on developmental
assignments.

Fifth, agencies use their succession planning and management initiatives
to address specific human capital challenges such as achieving a more
diverse workforce, maintaining leadership capacity, and increasing the
retention of high-potential employees. For example, the United Kingdom
created and has actively marketed a centralized program that targets
minorities with the potential to join the Senior Civil Service. To help
maintain leadership capacity despite the fact those three quarters of
Canada\'s assistant deputy ministers will be retirement eligible by
2008, the Canadian government uses the Accelerated Executive Development
Program to identify and develop executives with the potential to
effectively fill these positions in the future.

To better retain talented employees with the potential to become future
leaders, Canada\'s Office of the Auditor General provides comprehensive
developmental opportunities as part of its succession planning and
management initiative.

Finally, agencies use succession planning and management to facilitate
broader transformation efforts by selecting and developing leaders and
managers who support and champion change. For example, the Family Court
of Australia is using its succession planning and management initiative
to identify and prepare future leaders who will be able to help the
organization successfully adapt to recent changes in how it delivers its
services, and then champion those changes throughout the Court. In the
United Kingdom, an official indicated that the National Health Service
uses its succession planning and management initiative to select and
place executives who will champion broader organizational reform
efforts.

**[The Corporate World]{.underline}**

In the corporate world, their approach to leadership development
includes elements of talent supply and how to ensure that the pool is
filled with the people with the most potential. Other strategies involve
motivating people to step up and pursue leadership development
opportunities in preparation for future promotions, and to deploy their
talent to positions where their talents will maximize the achievement of
goals and priorities (Bird et al, 2004).

The following is an example of a succession planning policy and action
plan for a private company. The purpose is to ensure replacements for
key job incumbents in executive and management positions within the
organization.

Desired Results:

-   Identify high-potential employees capable of rapid advancement to
    positions of higher responsibility than those they presently occupy.

-   Ensure the systematic and long-term development of individuals to
    replace key job incumbents as the need arises due to deaths,
    disabilities, retirements, and other unexpected losses.

-   Provide a continuous flow of talented people to meet the
    organization's management needs.

-   Meet the organization's need to exercise social responsibility by
    providing for the advancement of protected labor groups inside the
    organization.

Procedures:

-   In January of each year, the management development director will
    arrange a meeting with the CEO to review results from the previous
    year's succession planning efforts and to plan for the present
    year's process.

-   In February, senior managers will attend a meeting coordinated by
    the management development director in which:

    -   The CEO will emphasize the importance of succession planning and
        review the previous year's results.

    -   The management development director will distribute forms and
        establish due dates for their completion and return.

    -   The management development director will review the results of a
        computerized analysis to pinpoint areas of the organization in
        which predictable turnover, resulting from retirements or other
        changes, will lead to special needs for management talent.

    -   The results of a computerized analysis will be reviewed to
        demonstrate how successful the organization has been in
        attracting individuals and to plot strategies for improving
        affirmative action practices.

```{=html}
<!-- -->
```
-   In April, the forms will be completed and returned to the management
    development director.

-   Throughout the year, the management development director will
    periodically visit with senior managers to review the progress in
    developing identified successors throughout their areas of
    responsibility.

-   As the need arises, the database will be accessed as a source of
    possible successors in the organization.

Some guiding principles (Bird, 2004; AMA 2005) used by corporations in
developing and implementing successful succession planning efforts
include:

-   The CEO is personally invested and involved.

-   Leadership development is everyone's responsibility.

-   Alignment with corporate strategic plans.

-   Expect and nurture a "winners" culture.

-   Measure to manage progress, adaptation, innovation.

-   Differential investment is made for workforce development.

-   Succession planning effort is continuous and requires the commitment
    from Executives, HR, and basic unit leaders.

Specific tools that corporations mostly rely on are: mentoring,
customized training, developmental opportunities, online learning,
feedback instruments, and external training. These are not at all
inconsistent with the tools identified in BLM's plan.

Part of corporate planning is the identification of the skills that need
to be developed by the individuals populating the talent pool.
Generally, these are coaching skills, cross-organizational knowledge,
financial management, negotiation skills, and business ethics.

One very important corporate approach to succession planning is the use
of measures or metrics to measure the success of any program. Examples
of these include, but are not limited to, numbers of managers promoted,
the success of those promoted managers three years after their
promotions, time required to fill vacant leadership positions, and the
number of external hires. This last measure is of particular interest in
the government sector given the aging of the Federal workforce and the
apparent disinterest of youth towards careers in public service in
recent years.

Any leadership development plan or succession plan must always guard
against barriers that can hinder the success of any program. Among the
many barriers recognized in the literature that we reviewed, we
highlighted the following as the most pertinent and potentially
applicable to the Department:

-   Lack of measurement of leader behaviors.

-   Inadequate leadership development program content.

-   Lack of rewards for leadership behaviors , and

-   Lack of a supportive culture.

**Appendix E**

Federal Personnel Manual -- Interior Supplement (DOI)

EXECUTIVE DEVELOPMENT -- GENERAL PROVISIONS

Document Number: DOI CH 920 9

Personnel 370 DM Addition to FPM

Chapter 920 Senior Executive Service 370 DM 920, 9.1

and Related Systems

Subchapter 9. [Executive Development -- General Provisions.]{.underline}

9.1 [References.]{.underline} Executive Development is one component of
an integrated personnel management system concerned with the effective
utilization of executive personnel. Other provisions on executive
personnel will be found in Position Management, 370 DM 312; Career
Staffing, 370 DM 361; Intergovernmental Personnel Act, 370 DM334; and
Training, 370 DM 410.

This issuance is in accordance with: 5 USC 3396, "Development for and
within the Senior Executive Service"; 5CFR. Part 412, "Executive,
Management, and Supervisory Development"; 29 CFR. Part 1613, and "Equal
Employment Opportunity in the Federal Government".

Provisions for the development of employees below the Executive Level
are contained in Supervisory Development, 370 DM 411, and Management
Development, 370 DM 412.

9.2 [Policy.]{.underline} The development of individuals for and within
the Senior Executive Service (SES) was established as part of the CSRA
of 1978 (P.L. 95-454, Title IV). The Department has adopted the policy
of executive development to ensure continuity in executive leadership.
Programs to provide developmental experiences for all executives
(whether SES, Executive levels or equivalent) and systems for
identifying and developing employees of high potential will receive the
continuing support of the Secretariat, heads of bureaus and offices and
all subordinate executives and managers. All executives and
competitively selected candidate participants will have equal access to
developmental activities without regard to age, race, religion, color,
national origin, handicap, sex, lawful political affiliation, or other
non-job-related factors.

3.  [Objectives.]{.underline} The Department must develop and utilize
    its human resources as effectively as possible in meeting its
    responsibility to the public. The objectives for the Executive
    Development System are as follows:

```{=html}
<!-- -->
```
A.  To promote the recognition of management as a distinct discipline
    which shares a common body of knowledge.

B.  To promote the concept of executive mobility.

C.  To establish budgetary and staffing resources necessary to operate
    the executive development system through such means as securing
    adequate appropriations or reprogramming existing resources.

D.  To establish procedures which will systematically ensure the
    consideration of women, racial minorities, physically handicapped,
    disabled veterans and older workers.

E.  To assure that the Department has a sufficient number of qualified
    executives to meet its present and future need.

F.  To provide for the initial and continuing systematic development of
    highly competent senior executives and to provide for the
    development of high potential candidates preparing for senior
    executive positions.

G.  To establish evaluation procedures which will measure the
    organizational and individual impact of the system.

    3.  [Responsibilities.]{.underline}

```{=html}
<!-- -->
```
A.  [Secretary of the Interior.]{.underline} The Secretary has
    established and will maintain a system for the development of
    candidates for and members of the Senior Executive Service (SES) as
    identified in the Civil Service Reform Act of 1978 and in compliance
    with Office of Personnel Management (OPM) regulations and criteria.

B.  [Executive Resources Board (ERB).]{.underline} The ERB is
    responsible for developing and administering for the Secretary a
    systematic program of managing the Department's executive resources.
    The ERB plans, directs and evaluates the Department's executive
    development effort and reports progress to the Secretary at least
    once annually. Composition and functions of the ERB are contained in
    370 DM 920, 1.4.

C.  [Assistant Secretary -- Policy, Management and Budget
    (PMB).]{.underline} The Assistant Secretary (PMB) discharges the
    duties of the Secretary with respect to budget management,
    comprehensive planning and the allocation of resources related to
    the Department's developmental programs.

D.  [Assistant Secretaries and Equivalent Officials.]{.underline} The
    program Assistant Secretaries and equivalent officials provide fore
    executive development activities in their organizations through
    allocation of adequate resources and review of subordinate level
    performance in meeting requirements of 370 DM 920, 10.2.

E.  [Director of Personnel.]{.underline} The Director of Personnel
    performs the following:

    1.  Coordinates executive development activities in the Department;

    2.  Develops recommendations for Departmentwide policies, systems,
        procedures and standards for executive development;

    3.  Implements Departmentwide executive development programs and
        activities through the Staff, Division of Development and
        Training Management' and

    4.  Provides staff support to the Executive Resources Board.

F.  [Heads of Bureaus and Offices.]{.underline} The head of each bureau
    or office is responsible for his/her respective executive
    development activities described in 370 DM 920, 10.2

G.  [Senior Executives.]{.underline} Each senior executive is
    responsible for the maximum development and use of the human
    resources at his/her disposal, including the development of future
    executives. Where applicable, executives are evaluated on the
    development of their subordinates as part of the performance
    appraisal process. At the same time, executives should recognize
    their responsibilities for planning and continuing their own
    personal self-development through participation in and completion of
    identified annual developmental activities.

    3.  [Definitions.]{.underline} For purposes of this Subchapter, and
        Subchapter 10, the following definitions apply:

```{=html}
<!-- -->
```
A.  [SES Member.]{.underline} A career member of the SES who has
    completed a one-year probationary period. SES members are described
    in 370 DM 920, 1.2.

B.  [SES Probationer.]{.underline} A career member of the SES who has
    not completed a one-year probationary period.

C.  [SES Candidate.]{.underline}

    1.  A high potential GS/GM 14/15 or equivalent employee serving a
        career or career-type appointment who has been competitively
        selected for an SES Candidate Development Program (SESCDP).

    2.  Employee serving on other than career or career-type appointment
        within the Civil Service. This candidate must be appointed using
        the Schedule B authority (5 CFR 213.3202 (j)), and the CDP
        assignment must be to a full-time position created for
        development purposes connected with the SESCDP.

    3.  Individual selected from outside Government. The candidate must
        be appointed using the Schedule B authority, and the CDP
        assignment must be to a full-time position created for
        development purposes connected with the SESCDP.

D.  [SES (Mentor).]{.underline} A selected member of the SES or
    equivalent level executive who assists an SESCDP candidate in the
    design and implementation of individual career development
    strategies that will meet both individual needs and Departmental
    human resource requirements.

E.  [Individual Development Plan (IDP).]{.underline} An annually
    prepared training schedule designed to identify and record specific
    developmental objectives and accomplishments.

F.  [Developmental Assignment.]{.underline} A work-related experience
    used to develop an individual's job competencies and abilities.
    Developmental assignments may be rotational in nature (. e.g.,
    details to other agencies; personnel exchanges) and take place
    outside of a participant's position of record.

G.  [Formalized Training.]{.underline} A program which features a
    structured classroom setting designed to accomplish specific course
    or subject matter objectives and conducted by an individual or
    groups of subject matter experts.

\*\*\*End of Document\*\*\*

Federal Personnel Manual -- Interior Supplement (DOI)

SENIOR EXECUTIVE DEVELOPMENT PROGRAMS

Document Number: DOI CH 920 10

Personnel 370 DM Addition to FPM

Chapter 920 Senior Executive Service 370 DM 920, 10.1

and Related Systems

Subchapter 10. [Senior Executive Development Programs]{.underline}

1.  [Departmental Executive Development Program]{.underline}

A. [Development of SES Members.]{.underline}

The Department system for the continuing development of SES members
will:

1.  Focus primarily upon work related developmental experiences;

2.  Include the preparation and regular updating of an Individual
    Development Plan (IDP) for each SES member; these plans are
    coordinated with the performance appraisal cycle and are to focus
    upon enhancing existing competencies as well as correcting
    deficiencies identified in performance evaluations, expanding
    general executive competencies and preparing members for future
    assignments;

3.  Include a monitoring mechanism to ensure that SES member IDPs are
    prepared and carried out;

4.  Result in developmental experiences for SES members which, through
    continuing short-term opportunities and periodic involvement in more
    extended programs, will:

    a.  Help meet organizational needs for managerial improvement,
        increased performance and productivity;

    b.  Help executives keep up-to-date in professional, technical,
        managerial, social, economic, legislative and Government areas;

    c.  Meet the needs of executives for professional growth and
        development;

5.  Include the involvement of SES members as mentors for their
    subordinates and for individual SES Candidate Development Program
    Candidates, as needed;

6.  Permit participation in Office of Personnel Management (OPM), White
    House or other sponsored special programs and activities for SES
    members; and

7.  Include provisions for participation in executive sabbaticals for
    carefully selected SES members as described in 370 DM 920, 10.1 D.

```{=html}
<!-- -->
```
B.  [Development of Probationers to the Senior Executive
    Service.]{.underline} All new career entrants to the SES serve a
    one-year probation and are to be provided with developmental work
    and formal training experiences necessary to enhance their
    performance in the new work assignments. Appointees will be required
    to attend bureau identified training as soon as practical after
    final appointment and to complete their individualized program prior
    to completion of the probationary period. Performance and
    developmental accomplishments during probation will be monitored.
    Noncareer executives are encouraged to complete a comparable
    program.

C.  [Development of SES Candidate Development Program
    (SESCDP).]{.underline} Candidates. The Departmental SESCDP is a
    formally structured developmental program for individuals who
    demonstrate outstanding executive potential.

    1.  The purposes of the SESCDP are:

        a.  Development of each Candidate's competencies necessary for
            performance in SES positions:

> Executive Core Qualifications

1.  Strategic Vision

2.  Human Resources Management

3.  Program Development and Evaluation

4.  Resources Planning and Management

5.  Organizational Representation and Liaison

```{=html}
<!-- -->
```
b.  Orientation of Candidates to the structure, programs and operation
    of the U.S. Department of the Interior at executive levels;

c.  Preparation of candidates to acquire QRB certification by an OPM
    administered QRB for non-competitive appointment to the SES.

```{=html}
<!-- -->
```
2.  Applicants from all sources will be considered for the SESCDP. In
    order to facilitate the recruitment and selection of SESCDP
    candidates outside Government, OPM has determined that the use of
    the Schedule B appointment authority is appropriate. This is a
    useful merit staffing tool not only to recruit non-Federal
    candidates but also to further the progress of equal employment
    opportunity programs. In order to accommodate possible candidates
    from various sources in the most flexible manner possible, dual
    programs (which will be administered simultaneously and in close
    coordination) are authorized:

    a.  SES Candidate Status Program. A "status" program for the
        development of high-potential GS/GM-14/15 candidates currently
        serving in career and career-type appointments.

    b.  SES Candidate Non-Status Program. A "non-status" outreach and
        recruitment program for the full-time development of candidates
        selected from outside Government and/or from among employees
        serving on other than career or career-type appointments within
        the civil service, utilizing Schedule B appointing authorities.

3.  Following selection, candidates will be placed in the same program
    class. Each individual, however, will be identified by the ERB for
    one of two developmental "tracks" toward eventual certification:

    a.  [The regular track.]{.underline} Most candidates will be
        enrolled in the program's regular track focusing on mastery of
        each of OPM/s five Executive Core Qualifications (ECQ). These
        candidates are those who, in the judgment of the ERB, clearly
        demonstrate the potential to acquire the ECQ's, but whose depth
        of previous experience and/or training requires the benefit of
        the full program. They will be given a substantial amount of
        individualized supplemental activities beyond the basic program
        requirements. These individuals will participate on a part-time
        basis for a period of 12 months from selection.

    b.  [The accelerated track.]{.underline} This highly selective path
        will be provided for those individuals who already possess
        extensive training and experience but who, in the judgment of
        the ERB, still require additional broadening developmental
        activities. Their IDPs will generally contain only minimal
        training beyond the basic requirements; their primary focus will
        be on quality developmental assignments to agencies with which
        they have no previous experience. Creation of the accelerated
        track offers an opportunity to recognize past accomplishments by
        candidates, and to reduce the costs involved in a lengthier
        program. Individuals on this track will spend 6 months in the
        program, participating on a full-time basis.

4.  Program Oversight and Administration

    a.  The Executive Resources Board (ERB) will oversee the SESCDP (See
        370 DM 920, 9.4B on ERB responsibilities) with overall
        responsibility for planning, budgeting and management of the
        program. The ERB will approve and authorize announcements for
        bureaus and offices, make recommendations to the Secretary on
        proposed SESCDP selections, and monitor program operations in
        order to ensure compliance with OPM and DOI policy and to
        recommend program improvements.

    b.  The ERB is responsible for administration of the SESCDP in order
        to maintain a pool of diverse, well-qualified candidates for SES
        positions under their purview. The ERB will perform the
        following operational functions:

        1.  Assessing executive personnel needs at least biennially.

        2.  Recommending initiation of the SESCDP when necessary to
            ensure an adequate supply of candidates for projected SES
            vacancies.

        3.  Evaluating applicants for the SESCDP based on merit staffing
            principles, taking into consideration the need to maintain a
            diversified workforce in whom women, minorities, and persons
            with disabilities are appropriately represented, and
            proposing candidate selections.

        4.  Approving candidates' Individual Development Plans (IDPs\_.

        5.  Monitoring candidates' progress and performance during the
            SESCDP and recommending program modification or termination,
            if appropriate.

        6.  Certifying candidates' successful completion of the SESCDP.

        7.  Ensuring that SESCDP candidates are fully considered when
            executive vacancies occur.

> \(c\) The Office of Personnel will:

1.  Develop and interpret SECDP policies.

2.  Provide technical advice to the ERB and Bureau and Office officials
    on the SESCDP. This includes assisting in the development and
    application of recruitment and assessment process materials, if
    appropriate.

3.  Provide the ERB with succession planning data.

4.  Provide administrative support to the ERB.

5.  Conduct the merit staffing process in concert with participating
    bureaus and offices.

6.  Conduct program operations, which include administration of the
    SESCDP Core Seminars.

7.  Facilitate developmental opportunities that enhance candidate's
    knowledge of the broad range of Departmental programs.

8.  Facilitate participation of candidates in required, non-DOI program
    activities (e.g., executive-level, interagency training).

9.  Maintain SESCDP data and report to DOI and OPM as required.

10. Serve as liaison with OPM on SESCDP activities (e.g., to gain
    approval to announce individual programs and to ensure approval of
    substantive program changes).

11. Periodically evaluate the program and, with ERB approval,
    incorporate the evaluation results into planning for future
    programs.

```{=html}
<!-- -->
```
5.  Program Planning and Funding

    a.  The SESCDP is a critical component of the Department's
        Executive, Management and Supervisory (EMS) Development Plan. As
        such, it directly addresses one of the five goals of the
        Departmental Strategic Plan for Human Resources Management" " To
        develop a framework for the identification, development and
        support of a mobile, highly-skilled, diverse group of
        supervisors, managers, and executives to provide Departmental
        leadership and direction."

    b.  The number of program candidates will be consistent with the
        number of expected SES vacancies. The ERB will establish a
        program size based on the results off succession planning data
        provided by the Office of Personnel, with a target of no more
        than two program candidates for each vacancy expected within the
        time span of the program.

    c.  Program Funding

        1.  The Office of Personnel will bear costs associated with the
            selection process (i.e., assessment process), and fund
            contracts associated with the required Core Seminars, based
            upon the availability of funds. Travel and per diem cost
            associated with the program will be paid by the candidates'
            sponsoring bureaus and offices.

        2.  Generally, candidates' sponsoring bureaus and offices will
            fund all other costs associated with other developmental
            activities.

6.  Program Announcement. After it has determined if an SESCDP should be
    announced during the current calendar year, the ERB will direct the
    Office of Personnel to initiate the program announcement process.

    a.  The Office of Personnel will publish an appropriate CDP
        announcement and announce the CDP in OPM's Governmentwide
        automated employment information system.

    b.  SESCDP announcements will include the following information:

        1.  A summary of program characteristics.

        2.  A brief description of the target positions for which
            candidates will be developed.

        3.  Opening and closing dates (announcements will be open for a
            minimum of 30 days).

        4.  Area of consideration to include all qualified persons.

        5.  Evaluation Criteria.

        6.  A summary of the methods used to evaluate applicants.

        7.  A description of application materials and procedures.

        8.  The name and telephone number of a contact person for
            additional information.

        9.  A statement documenting DOI's commitment to equal employment
            opportunity and to the principle of a diverse executive
            cadre.

7.  Candidate Evaluation and Selection

    a.  Applicants will be evaluated on their education, training,
        demonstrated experience, and potential ability to excel in the
        five executive core qualifications that are common to most SES
        positions.

    b.  Applicants will be required to submit an SF 171 and 171a,
        "Application for Federal Employment, " a Departmental SESCDP
        application form addressing their qualifications and/or
        potential in each of the five executive core qualifications
        areas, two supervisory appraisals (current and second level
        supervisors) addressing the applicant's qualifications and
        potential in relation to the five core qualifications and an
        optional applicant background survey.

    c.  Preliminary qualifications screening, rating and ranking of
        candidates is delegated by the ERB to Departmental evaluation
        panels. Rating categories will include best qualified, qualified
        and not qualified.

    d.  The evaluation process will, at a minimum, include the
        following:

        1.  Screening of applications for basic eligibility by the
            respective bureau or office support staff.

        2.  Evaluation of the applicant's qualifications by a panel of
            individuals familiar with the target positions, and
            identification of those whose experience and education
            demonstrate executive potential.

        3.  A formal assessment of best-qualified applicants using an
            assessment process conducted by the Office of Personnel.

        4.  Final selection of candidates by the ERB based on a review
            of the applications, assessment process results, and the
            results of the respective bureau or office applicant rating
            and ranking processes.

        5.  The Chairperson of the ERB is the approving official for the
            selection of all SESCDP candidates.

    e.  Merit staffing records, including EEO data, will be maintained
        by the Office of Personnel for 2 years following selection.
        Unsuccessful applicants may, on request, review their individual
        records and receive a selection debriefing by Office or
        Personnel staff.

8.  Program Characteristics. The SESCDP will run for a period of 12
    months (part-time) from date of selection for regular track, and 6
    months (full-time) for those in the advanced track. During the
    program, candidates who are from DOI will continue to work in the
    position held at the time of selection, unless assigned to another
    job. Candidates selected from outside DOI will be appointed to
    positions that are established especially for them as candidates in
    the program.

    a.  The program will focus on developmental activities that provide
        candidates specific, significant opportunities to acquire needed
        executive competencies, and enhance those which already exist,
        in order to perform satisfactorily as senior executives. The
        instrument used to assess individual development needs will be
        the Management Excellence Inventory (MEI). The MEI has been
        derived by OPM from the Management Excellence Framework, a
        research-based model which defines Federal managerial excellence
        in terms of 22 competencies. Each candidate will have an
        ERB-approved individual development plan covering the period of
        the program. The plan, prepared on the basis of results from the
        MEI and other diagnostic instruments, will provide for formal
        training, developmental assignments, and other training
        activities.

    b.  The following program requirements have been established by OPM:

        1.  The assignment of a Mentor (i.e., a member of the SES who
            will serve as the candidate's primary advisor with respect
            to identifying his or her developmental needs and ways to
            meet those particular need).

        2.  Completion of developmental assignments that total at least
            4 months of full-time service outside the candidate's
            position of record. The focus will be on developing and
            refining managerial and executive skills.

        3.  Participation in a minimum of 80 hours of a current, formal,
            interagency executive-level training experience addressing
            the executive core qualifications. Training must include a
            wide mix of employees from outside the candidate's agency.
            This may be taken from a variety of private or public
            sources such as the Federal Executive Institute's four-week
            "Leadership for a Democratic Society" program.

> \(c\) The following additional program requirements have been
> established by the Department of the Interior:

1.  Participation in a series of three one-week core seminars which are
    designed to address key executive competencies from a Departmental
    perspective. Topics include "Executive Leadership" (including
    orientation and career development), "Strategic Management
    Practices" and "The Environment of Executive Decision Making." These
    will be scheduled during the first six months of the program to
    ensure participation by both regular and advanced track candidates.

2.  The development of an IDP in consultation with his or her Mentor and
    approval by the ERB.

3.  Completion of additional individualized program activities for each
    candidate based on the results of initial MEI assessment and
    counseling. These activities may include enrollment in the
    Departmental and Interagency SES Forum Series, and attendance at
    formal management and executive development seminars and workshops.
    The latter may be offerings of the Departmental Learning Centers,
    OPM and other Federal agencies, university-based programs or outside
    vendors. Other activities include committee, understudy and "shadow"
    assignments, tailored work projects and coaching by executives.

4.  Completion of quarterly progress reports, to be monitored by the
    Office of Personnel.

    1.  Program Completion and SES Certification

        a.  All program documentation will be coordinated by and through
            the Office of Personnel. The following steps must be
            accomplished prior to SES certification:

            1.  Completion of the IDP (i.e., successful completion of
                all mandatory OPM and DOI requirements, and
                individualized activities contained in the IDP).

            2.  Submission of a narrative "Summary of Program
                Accomplishments," listing program activities designed to
                address each of the five executive core qualifications.

            3.  ERB approval of the candidate's documentations, with a
                subsequent request for certification to an OPM
                administered Qualifications Review Board (QRB) within 9
                months of program completion.

            4.  QRB certification, providing noncompetitive eligibility
                for appointment to the SES.

            5.  Completion of an Executive Personnel Transaction From
                (OPM Form 1390). The form will be used to record program
                commencement and conclusion dates, as well as
                announcement numbers.

        b.  An individual's participation in the program may be
            discontinued by the ERB if he or she requests withdrawal,
            resigns or transfers to another Department, or fails to
            complete all program requirements. A candidate may at the
            discretion of the ERB, have up to 9 months following the
            conclusion of the program to satisfactorily complete all
            requirements for certification.

        c.  A Candidate's certification will be maintained until
            appointment to the SES or separation from the Government,
            provided that the graduate maintains a summary performance
            rating of fully successful or higher.

        d.  While it is anticipated that individuals who successfully
            complete the program will have potential for advancement,
            such advancement to SES positions is not guaranteed. An
            individual's selection for an SES position will depend on
            the existence of a suitable vacancy, the individual's
            overall qualifications, performance in his or her present
            position, and mobility. Accordingly, QRB-certified
            candidates will be a primary, readily available resource for
            meeting DOI executive replacement needs.

> **Senior Executive Service Candidate Development Program (SESCDP)**
>
> ![](media/image4.jpeg){width="3.3333333333333335in"
> height="2.5833333333333335in"}**SESCDP Core Sessions Overview**
>
>  
>
> Participants complete five core training sessions during the SESCDP.
> These core sessions integrate executive leadership theory and concepts
> with practical Department of the Interior (DOI) examples and case
> studies. The content reflects the strategic skills and breadth of
> knowledge required for a DOI senior executive to meet the challenges
> of DOI's multiple constituencies, changing environment, continued
> limited resources, community stewardship, and global, political and
> societal pressures. The DOI perspective is further enhanced throughout
> the program in the rotational assignments and team projects.
>
> The sessions are presented through a variety of instructional
> methodologies (e.g. lecture, small and large group discussion,
> assigned readings, small group activities, role plays, case studies,
> brainstorming, and distance learning), using internal DOI leaders,
> subject matter experts from the field and bureau locations, faculty
> from academic institutions, and guest speakers from the public and
> private sectors. The primary focus of the five core sessions is as
> follows:

-   Organizational Vision, Mission, Culture, & Change

-   Strategic Information Management & Knowledge Management

-   Integrated Budget, Finance, & Performance Management

-   Leadership Strategy & Building Coalitions for Mission Accomplishment

-   Decision-making - Ethics, Values, & Public Perception

**Appendix F**

**Department of the Interior**

**Advanced Leaders Program**

The Department of the Interior Advanced Leaders Program (ALP) is a
proposed new leadership program within the Department of the Interior.
The program is targeted to current GS-14's and GS-15's and is proposed
to be a component of the Department's leadership succession plan. The
program will focus on ensuring that Interior provides continual
development to key leaders at the GS-14 and GS-15 level in order for
them to have the vision, knowledge, and skills needed to meet the
Department's current and future needs. GS-14/15's who want to become
Senior Executives should participate in the Department's Senior
Executive Service Candidate Development Program (SESCDP) rather than the
ALP. The ALP is not intended to be a feeder program for the SESCDP.

**[Anticipated Benefits]{.underline}**:

The program is expected to provide several benefits to both the Bureaus
and the Department which include:

-   Development of a cadre of senior leaders trained in successful
    approaches to developing and managing effective internal and
    external partnerships.

```{=html}
<!-- -->
```
-   A strong internal network developed within the participant community
    that allows more effective communication across Bureau and DOI
    organizational boundaries.

-   Broader exposure to, understanding of, experience and interaction
    with issues confronting Interior. This will leverage skills sets and
    capabilities for the individuals, Bureaus and Department by
    enhancing the impact of this largest segment of our leadership
    population.

```{=html}
<!-- -->
```
-   Strengthened ties between headquarters functions and field
    operations.

```{=html}
<!-- -->
```
-   Opportunity to work on a team project focused on developing
    partnering and collaboration leadership competencies consistent with
    Executive Order 13352, *Facilitation of Cooperative Conservation*,
    and the memorandum dated November 28, 2005, from the Office of
    Personnel Management and the Council on Environmental Quality,
    *Implementing E.O. 13352 Through a Competency Based Approach to
    Collaboration and Partnering*.

**[Background]{.underline}**

In 2002, the Department published its Strategic Human Capital Management
Plan, which called for a review of the training programs within the
Department and the Team Leadership program used in past years. This
review identified a critical gap at the Departmental level in the
leadership training of GS-14's and 15's, many of whom lead some of the
Department's most demanding and challenging operations and exercise
significant responsibility for managing programs and people upon which
the success of the Department depends.

As demands for Interior's programs and resources increase, managers must
find ways to effectively deliver services within budgets that are
remaining level or declining. At the same time, they must manage a
diverse workforce that increasingly includes federal workers, volunteers
and contractors. There is a greater need for partnership and
collaboration skills to work with more stakeholders with interests in
the use of Interior's resources. As urbanization encroaches on the lands
and resources managed by Interior, there is also a greater need for
negotiation and conflict resolution skills. A central tenet of the Human
Capital Plan is that to be effective, Interior's leaders must
increasingly be successful in leading networked organizations that reach
across organizational, institutional, and jurisdictional boundaries,
both within and outside the Department.

As a result of these increased demands, the Department needs to broaden
and build on existing leadership skills and experience for employees at
this level. While the Fish and Wildlife Service currently has a
leadership development program that covers employees up to the GS-14
level, most do not, and only two bureaus, the Bureau of Reclamation and
the U.S. Geological Survey, have programs for continuing development of
their GS-14/15 level employees. The Bureau of Land Management is in the
process of developing a leadership program that includes GS-14/15's.

There is a need for continuing leadership development for individuals at
this senior\
GS 14/15 level.

-   Solutions to the issues the Department faces increasingly require
    the ability to find answers that reach across boundaries. Species,
    water, recreation, land and resource use issues rarely, if ever,
    involve only one bureau or program.

-   Knowledge continues to grow at an ever increasing pace. Many
    employees at these senior levels have only had limited opportunities
    to study, reflect, and synthesize their own thinking in their fast
    paced and demanding jobs.

-   Many employees at this level have had only modest exposure to the
    mission and people in their so called "sister bureaus." And often
    this exposure has occurred at times when missions collide rather
    than coalesce.

The ALP will address these issues. Both the SESCDP and the ALP will
enable participants to develop in all the ECQ areas. The SESCDP is
targeted to developing future Senior Executives, while the purpose of
the ALP is to strengthen competencies of current GS-14/15's. GS-14/15's
who are interested in becoming Senior Executives should participate in
the SESCDP program that enables successful participants to obtain
certification for non-competitive selection into the Senior Executive
Service. The ALP does not confer non-competitive promotion eligibility
upon successful completion of the program and is not intended to be a
feeder program for the SESCDP.

The ALP will provide an opportunity for GS-14/15's to:

-   broaden their knowledge and refine their leadership skills

-   enhance communication and coalition building skills,

-   expand strategic vision, and external awareness competencies.

-   increase experience in effectively representing and negotiating
    organizational priorities to internal and external stakeholders

-   build effective networks for partnerships and alliances.

In order to draw upon a larger pool of more comprehensively trained
leaders, the bureaus and the Department need to develop a cadre of
senior leaders who have achieved a level of trust, understanding and
mutual respect that will enable them to work together across
organizational boundaries to accomplish the mission of the Department.

**[Key Elements of the Program]{.underline}**

The following elements are proposed to be included in the program:

-   The program would be announced through a single Department
    announcement, but participants would apply to their individual
    Bureaus. Bureau/Office Directors would be allocated a specific
    number of slots and be allowed to fill the slots through an internal
    process. All bureaus/offices would use the same set of criteria for
    selecting participants. These criteria would focus on the potential
    for the participant to benefit from a program that provides an
    opportunity to network with the Department's senior leaders and
    peers from across the Department, strengthen leadership
    competencies, and to participate in a team project focused on
    cooperative conservation.

-   Applicants to the program would be required to submit as a minimum
    the following:

    -   Current resume (1-2 pages in length)

    -   List of training courses completed within the past five years

    -   Narrative statement of up to two pages describing the
        applicant's strongest leadership competencies and how the
        program will benefit the participant and their bureau/office.

    -   Narrative statement from supervisor evaluating employee's
        leadership and the benefit of employee's participation in the
        program

-   Similar to the Department's Senior Executive Service Candidate
    Development Program (SESCDP), there will be core sessions led by
    Senior Executives from within the Department that will focus on the
    knowledge GS-14/15's need in order to be successful leaders within
    Interior. The core sessions would focus on building collaboration
    and partnerships, information technology, budget and performance
    integration, change management, conflict resolution, and building
    and sustaining a highly skilled and diverse workforce that includes
    partners, volunteers and contractors. These core sessions would be
    built around the competencies that relate to these six broad subject
    areas.

-   The Director of the Strategic Development of Human Capital would be
    the Program Manager. Developmental assignments will be identified by
    working with the Deputy Bureau and Office Directors. DOI University
    will be the Program Administrator.

-   The program would include approximately 20-24 participants per
    session.

```{=html}
<!-- -->
```
-   In addition to the core sessions, participants would engage in
    individual developmental projects at DOI facilities where they will
    be able to focus on collaborative problem solving. The assignments
    would total 60 days, including at least 30 days outside the
    participant's own bureau/office. The locations would be selected
    based on the nature of the assignment. Assignments would be focused
    on a project that can be accomplished within the timeframe of the
    assignment.

```{=html}
<!-- -->
```
-   Each participant would be assigned to a small team to complete a
    team assignment. Team assignments would address high priority
    issues, such as cooperative conservation, and would be developed
    through the Human Capital Team, MIT and the Interagency Cooperative
    Conservation Team, who would also recommend an executive sponsor to
    work with the team. In most cases, the team assignment would be
    completed while the participant is carrying out their other
    responsibilities, consistent with participation on other
    Department-level teams.

```{=html}
<!-- -->
```
-   Each participant would be assigned a Senior Executive mentor who
    would work with them to develop an Individual Development Plan based
    on their individual needs. The mentor would be assigned to the
    participant for the duration of the program and at least a full year
    following the conclusion of the formal program. The mentor
    relationship can extend longer if desired. This will help provide a
    resource for participants as they apply the competencies gained
    through the program and ensure maximum return on investment for this
    program by successfully managing the participants' re-entry after
    completion of the program.

-   The minimum time requirement to cover the basic curriculum of the
    program would be approximately fourteen weeks in length, including
    core sessions (approximately five weeks), and individual
    developmental assignments (approximately nine weeks). The program
    would begin with three weeks of core sessions. Participants would
    then complete nine weeks of developmental assignments followed by
    the remaining two weeks of core sessions at the end of the program.

```{=html}
<!-- -->
```
-   Participants would be required to have completed 40 hours of senior
    level training within one year prior to selection into the program.
    This would enable participants to build on the classroom training
    that they have received. For those selected into the first two
    sessions of the program, this requirement could be met by having a
    signed training agreement in place for the participant to complete
    the required 40 hours of classroom training within one year of
    completion of the program. This would allow for a transition to the
    new program. Individuals selected into the first two classes may not
    have had the opportunity to complete the training prior to selection
    into the program.

-   Costs for participation in the program would be provided by the
    participant's bureau/office, with the exception of the core training
    sessions which would be provided by funding allocated from the
    Working Capital Fund to DOIU for this purpose. The SESCDP and the
    ALP will both be managed by the Director of Strategic Development of
    Human Capital. The Program Manager will create management controls
    that ensure both programs are optimally managed within available
    working capital resources. For the core training sessions, only
    travel and per diem costs would be required to be provided by the
    participant's bureau/office. The total cost for the ALP would be
    similar, but less than the SESCDP. The requirement for developmental
    assignments, a major cost component, is 60 days for the ALP as
    compared with 120 days for the SESCDP. Costs for developmental
    assignments are based on the location and nature of the assignment.
    The other major difference is the cost for classroom training. The
    ALP requires only 40 hours of classroom training as compared with
    the 80 hours required by the SESCDP.

**[Comparison with SESCDP]{.underline}**

The following chart provides a comparison of the provisions of the
SESCDP with the ALP.

  -----------------------------------------------------------------------
  **Program Element**   **SESCDP**              **ALP**
  --------------------- ----------------------- -------------------------
  Area of consideration Government-wide         DOI-wide

  Selecting official(s) Executive Resources     Bureau/Office Directors
                        Board                   

  Length of program     18 months               12 months

  Developmental         120 days, of which 60   60 days, 30 days of which
  Assignments           days must be outside    must be outside
                        participant's own       participant's own
                        bureau/office           bureau/office

  Team Assignment       Team projects with an   Team projects focused on
                        executive sponsor       partnership and
                                                collaboration with an
                                                executive sponsor.

  Mentoring             Two years               Two years

  Core Sessions         Five weeks              Five weeks

  Classroom training    80 hours                40 hours completed within
                        senior/executive level  a year prior to
                        training                acceptance into the
                                                program (or a signed
                                                training agreement for
                                                first two classes)

  Non-Competitive       Participants who        Successful completion of
  Promotion Eligibility successfully complete   the program does not
                        the program are then    confer any eligibility
                        certified by the Office for non-competitive
                        of Personnel Management promotion.
                        as eligible for         
                        non-competitive         
                        appointment to the      
                        Senior Executive        
                        Service                 

  Individual            Required of all         Required of all
  Development Plan      participants            participants

  Individual            Required of all         Required of all
  Assessments           participants            participants
  -----------------------------------------------------------------------

**Appendix G -- Summaries of Bureau Plans**

**Leadership Development and Succession Plan**

**For BLM's Key Leadership Positions** March 10, 2006

> In Reply Refer To:

1400-900 (WO700)P

EMS Transmission 03/10/06

Instruction Memorandum No. 2006-103

Expires: 09/30/2007

To: All Washington and Field Office Officials

Attn: Human Resources Officers

From: Director

Subject: Leadership Succession Policy

**Program Area:** Human Resources

**Purpose:** This Instruction Memorandum (IM) outlines the BLM policy
for leadership succession. It provides a roadmap for employees wishing
to explore and develop their leadership skills. Attachment 1 shows BLM's
succession planning process.

**Policy:** The BLM is committed to the development and enhancement of
our employees for leadership positions and has adopted a Leadership
Succession Plan (Plan). The Plan identifies key Senior Executive Service
(SES) and non-SES leadership positions within BLM. This Plan is based on
the findings and recommendations in the 2005 Leadership Development and
Succession Planning for BLM's Key Leadership Positions Report (Report)
prepared by the Field Committee. The Plan is in the final revision stage
and will be released shortly. It is important, however, to share the
tenets of the Plan with our employees now.

The Field Committee Report provided a number of recommendations; the
primary one is to use the Leadership Excellence Program (LEP) (see
attachment 2) under the sponsorship of the National Training Center
(NTC) as the basis for the development of our future leaders. The Field
Committee has requested, and the NTC Board of Regents has approved, the
addition of another course to the LEP. The course is the Emerging
Leaders Program, and it is designed to help our employees' transition
from staff to team leaders and first line supervisors. This course is
currently under development and is expected to be piloted in late FY
2006.

The Executive Leadership Team (ELT) has broadened the BLM Leadership
Succession Plan to include a competitive Leadership Track advertised at
the GS-14/15 level. The purpose of the Leadership Track is to continue
the growth and development of leadership skills in the key non-SES
leadership positions at the GS-14 and GS-15 levels. The leadership track
is available to internal and external candidates who have completed the
Leadership Academy, equivalent external training or can show through
experience they meet the Executive Core Qualifications (ECQs) leadership
criteria. The managers selected into the non-SES key leadership
positions will serve as the internal recruitment pool for SES
development and placement, as they exhibit success in these more
challenging positions.

The key components of the Leadership Track program are as follows:

− BLM will advertise all non-SES key positions through one advertisement

− Applicants will self select for the non-SES key upper management
leadership positions in which they have interest:

 **Deputy Assistant Director Washington Office Group Manager**

 **Associate State Director Deputy Group Manager**

 **Center Director District Manager**

 **Deputy Center Director Field Manager**

 **Deputy State Director Area Manager**

 **Special Agent in Charge**

− BLM will advertise the vacancy announcement for the Leadership Track
on Quick Hire as an open continuous announcement for a year.

− The best-qualified applications will be reviewed by panels of subject
matter experts, which will be composed of the ELT members. If you are
among the best qualified, you will be placed on a standing roster for 1
year. Additional names will be added through open continuous
announcements. A successful applicant will remain on the roster for 1
year from the time the applicant's name is placed on the roster.

− When a non-SES key leadership position becomes vacant, the appropriate
roster will be provided to the selecting official for consideration and
selection.

− Once an individual is selected for a vacant position, their new
supervisor will work with them to develop an IDP, which focuses on the
continuing growth of the leadership competencies required of a Leader,
highlighting interpersonal and communications skills.

− Once accepted into this Leadership track, an employee may be promoted
or reassigned to other non-SES key leadership positions without further
competition.

− During or upon completion of the agreed upon development plan, these
employees may be sponsored by the ELT for the SES Candidate Development
Program (SESCDP).

The BLM currently has a number of non-SES key vacancies and will open
Merit Promotion and DEU (external hire) vacancy announcements by March
15, 2006 for the Leadership Track positions. The Special Agent in Charge
positions will be advertised under a separate announcement. This will
establish a standing roster of currently qualified candidates for our
current non-SES key leadership position vacancies.

**All BLM employees competitively selected for key supervisory and
leadership positions will be chosen from successful graduates of the
Leadership Excellence Programs or will have to demonstrate in their
application the equivalent experience. Outside applicants must also
demonstrate comparable training and experience.**

The BLM will encourage all employees to participate in the leadership
excellence program (see attachment 2) under the direction of the NTC.
The NTC will issue specific guidance on the outcomes and requirements of
each segment of the Leadership Excellence Program.

This policy does not affect the yearly training requirements for
supervisory and managerial training.

**Timeframe:** Effective immediately

**Background:** The BLM, like many other agencies and organizations, is
concerned with maintaining organizational effectiveness as it faces a
wave of retirements throughout its workforce, including key leadership
ranks. The BLM Field Committee Report was developed to examine these
workforce issues and to recommend a plan of action to address BLM's
succession needs for key leadership positions. The Report focuses on 12
key leadership positions located in the Washington Office, State
Offices, Centers, and Field Offices encompassing approximately 260 plus
incumbents of which more than 140 will reach retirement eligibility on
or before the year 2009. These key leadership positions are defined
above. All positions covered are currently classified as GS-14 or GS-15.

The recommendations in this Report were developed using numerous data
sources, including existing data in BLM's workforce plan, analysis of
the potential leadership recruitment pool and BLM's existing Leadership
Excellence tools and programs hosted at the NTC. Information was
collected with three survey tools in an attempt to define BLM's
leadership needs at each level of the organization. These surveys
collected data from existing key leaders, Leadership Academy graduates
and a sample of GS-7 through GS-13 personnel in BLM's workforce. The
recommendations also relied on leadership succession planning best
management practices identified in studies and research conducted for
other government agencies and private organizations.

**Manual/Handbook Sections Affected:** MS-1400-335, Promotion and
Internal Placement; MS-1203, Delegation of Authority

**Budget Impacts:** The BLM organizations must commit training dollars
to the development of supervisors, managers and leaders.

**Coordination:** This Instruction Memorandum has been coordinated with
the ELT, Field Committee, WO-700, and NTC.

**Contact:** Questions may be referred to Marilyn H. Johnson, Chief
Human Capital Management Project Director, 202-501-6723.

Signed by: Authenticated by:

Kathleen Clarke Robert M. Williams

Policy and Records Group, WO-560

3 Attachments:

1 - Diagram of Leadership Track (1 p)

2 - Leadership Excellence Program Summary (1 p)

3 - Questions and Answers (5 pp)

![](media/image5.jpeg){width="6.0in" height="8.129861111111111in"}

Attachment - 1

BLM's Leadership Excellence Program

The BLM developed the Leadership Excellence Program in the late 1990s.
The Leadership Excellence Policy, issued in 2003, sets forth the
following tenets:

-   The BLM's mission is important and worth carrying out. It drives
    what we do and how we do it. All employees need to understand and
    see themselves as key to carrying out the BLM mission.

-   Organizational and personal leadership are essential to carry out
    BLM's mission.

-   All BLM employees have leadership potential. Such leadership should
    be encouraged at all levels of our organization, across all
    functional areas, from our newest employee to our most senior
    executive.

-   In order to leverage this leadership potential, BLM needs to be a
    learning organization where the intellectual capital required to
    carry out our mission is recognized, nurtured and protected.

-   Each employee can and ought to take responsibility for his/her
    leadership development.

A series of training courses leads employees throughout their career to
grow their leadership skills. The core curricula are: Pathways,
Leadership Excellence, Emerging Leaders (new) and Leadership Academy.
The underlying tenet of all these classes is to develop leadership and
managerial skills. It is at the emerging leadership level that employees
will begin to self-select for the managerial tracks. Further competition
to participate in the Leadership Academy will identify employees with
strong capabilities in leadership for the organization.

Attachment - 2

**BLM Leadership Succession Management Program Questions & Answers**

**Q1. What is the BLM Key Leadership Succession Management Program?**

As part of the Bureau's workforce planning process, the BLM Field
Committee prepared a leadership succession report to address BLM's
succession needs for key leadership positions. The report focuses on the
key leadership positions located in the Washington Office (WO), State
and Field Offices, and Centers. Approximately 260 employees serve in
these positions. More than 140 employees will reach retirement
eligibility on or before the year 2009, though this does not mean that
all employees will act on their eligibility.

To maintain organizational effectiveness as the BLM faces a possible
wave of retirements in its key leadership positions, the Executive
Leadership Team developed the Key Leadership Succession Management
Program. Through a competitive application process, this program
establishes an applicant pool from which all non-SES (Senior Executive
Service) key leadership positions will be filled. This Program will
allow the BLM to fill vacancies in a timely manner and give management
more flexibility in filling positions as they arise.

The Leadership Succession Management Program will be used to fill the
following GS-14/15 positions:

-   Deputy Assistant Director  Washington Office Group Manager

-   Associate State Director  Deputy Group Manager

-   Center Director  District Manager

-   Deputy Center Director  Field Manager

-   Deputy State Director  Area Manager

-   Special Agent in Charge

**Q 2. Will these positions be filled exclusively from the succession
management program?**

Yes. All key leadership positions in the BLM will be filled from the
applicant pool established from these announcements. This Program will
allow the BLM to fill vacancies in a timely manner and give management
more flexibility in filling positions as they arise.

The BLM recognizes there are many other leadership and staff positions,
which will also become vacant as current employees retire. We will be
looking at other strategies for meeting these workforce needs.

**Q3. I have heard that you must be mobile and sign a mobility and
tenure agreement to apply which allows an employee to be reassigned at
any time to any location. Is this really true?**

**No, it is not true.** There is not mobility agreement requirement.
However, applicants will be asked to identify the three locations where
they are interested in working for each job in which they indicate
interest. Relocation bonuses and other incentives may be used to fill
positions in less popular locations.

**Q4. Not all Area Managers (AM), Field Managers (FM) and District
Managers (DM) are currently GS-14s. Will these positions be upgraded to
the GS-14 level?**

No, there is no intention to upgrade any positions that are currently
below GS-14. The leadership development of GS-12/13 AM, FM and DM
positions will continue to be addressed through the Leadership
Excellence Program at the BLM National Training Center (NTC). The GS-12
and GS-13 positions will be advertised on a position-by-position basis.

**Q5. How will competition for GS-14/15 key leadership positions work?**

The BLM will open vacancy announcements quarterly soliciting
applications for key non-SES leadership positions listed in the answer
to Q1. Internal merit promotion and external announcements will be
advertised. Special Agents in Charge positions will be advertised under
a separate announcement for law enforcement. All non-SES key leadership
positions in the BLM will be filled from the rosters of qualified
candidates established from these vacancy announcements**.** Applicants
will be required to demonstrate their competencies in the critical
Executive Core Qualifications (ECQ) and to describe your area(s) of
technical expertise for 3 positions in which you are interested in their
application. In addition, you will need to identify the 3 locations per
position where you would be willing to live.

The best qualified applications will be reviewed by panels of subject
matter experts, which will be the ELT members. If you are among the best
qualified, you will be placed on a standing roster for 1 year.
Additional names will be added through open continuous announcements.
The expiration date will be 1 year from the time your name is placed on
the roster. When a position becomes vacant, the appropriate roster will
be provided to the selecting official for consideration and selection.
Once you are selected for a position, you will be required to complete a
2-year Individual Development Plan (IDP) delineating how you will
continue to increase your competencies.

**Q6. What if my career goal is to move into a key leadership position;
however, I am not mobile at this time?**

By applying under the vacancy announcements for these positions,
applicants are requested to identify 3 areas to which they would
relocate. We recognize there are some locations to which it may be hard
to attract top leaders. The BLM will employ relocation bonuses and other
incentives to help attract top candidates to these areas. If you are
interested in other leadership positions within your commuting area you
are encouraged to apply even if you are not mobile at this time. In
order to maintain a current pool of applicants, the announcements for
these positions will be open for 1 year. When a position becomes vacant,
the appropriate roster will be provided to the selecting official for
consideration and selection. Regardless of whether you apply under this
vacancy announcement, we suggest that you work with your current
supervisor to develop an IDP for your current position and career goals.

**Q7. What am I committing to if I apply to the Leadership Succession
Program announcements?**

Your application(s) to the leadership vacancy announcement(s) indicates
your interest and willingness to accept a GS-14/15 key leadership
position(s) within the BLM organization now and in the future. In
addition, you are agreeing to future relocations to other key leadership
positions in other locations as determined by the needs of the BLM and
your mobility. By applying, you are also committing to continual
learning and development of your leadership skills. You will be required
to develop and complete an IDP with your new supervisor, which must be
completed within 2 years.

**Q.8 What is the process if I accept a GS-14 key leadership position,
will I have to re-compete?**

This vacancy announcement is advertised as a GS-14/15 positions. Your
application should indicate 3 positions you are interested in and which
you show you are qualified. Once selected into a leadership position
from the roster and your performance and development are on target you
will be eligible for a non-competitive promotion or reassignment to
another non-SES key leadership position.

**Q9. Can I indicate my interest in a position that is currently filled
or does the position have to be vacant?**

When you identify the three positions in which you are interested, they
can either be vacant or currently filled since it is possible that the
position may become vacant in the future.

**Q10: How will this affect me if I currently serve in one of the
positions currently identified under Succession Management? Will I be
forced out of my job?**

You will not be forced out of your job. However, if you are interested
in another key leadership position, non-SES or SES, you must first be
selected into the Leadership Track through the open announcement and
selection process. You may also compete or be reassigned to other
GS-14/15 positions that are not designated key leadership positions.

**Q11. If I am currently a GS-14/15, how does this Program affect my
career?**

This program is designed to recruit and develop the leaders who will be
following behind you. Current GS-14/15 key leaders whose career plans
include other key leadership positions, including SES, may indicate
their interest in these positions by applying under this announcement.
Those current GS-14/15s who wish to remain in their current positions
should not apply. The lists developed under these announcements are only
for current vacant positions and that may become vacant in the future.

**Q12. What kind of advertisements will we see in the future?**

The BLM will no longer publish individual announcements for key
leadership positions. A manager with a key vacancy will ask the
Executive Initiatives Team in Washington Office of Human Capital
management (WO-700) to send them a list of qualified applicants from the
standing roster. The selection will be made from this roster. Other
GS-14/15 supervisory positions, which are not identified as key
leadership positions, will continue to be advertised on an individual
basis.

**Q13. I am interested in a career in management. What do I need to
do?**

Employees interested in a management career are encouraged to work with
their supervisor and mentors to develop an IDP with short-term and
long-term goals and strategies to gain and demonstrate the acquisition
of the OPM Leadership Competencies. The NTC Leadership Excellence
Program is a great training roadmap as you consider developing your
career path.

**Q14. I am a GS-13 nearing the end of my career and would like to try
management. What should I do?**

All employees are encouraged to develop an IDP to outline and help them
plan how to achieve their goals. Please work with your supervisor,
mentors, and the NTC to determine what course of action you need to
attain your goals.

**Q15. Do I have to attend the Leadership Academy before applying for
the GS-14/15 track?**

No, however, employees who have graduated from the Leadership Academy
will have supervisory experience and will have received valuable
development opportunities. Those who are interested in leadership
positions are encouraged to apply since the Leadership Academy provides
critical competency development opportunities. You may determine that
you have had equivalent training external to the BLM and/or experience
which demonstrates your capabilities in this area. Your application must
demonstrate your competencies through experience and training.

**Q16. I worked for the private sector (or other non-Federal government
entity) before coming to work for the Federal government. I am currently
a GS-12 (or a GS-13 or a GS-14) but have no supervisory or management
experience with the Federal government. However, I did have supervisory
or management experience in my previous non-Federal jobs. Am I eligible
to apply for the pool?**

**Which vacancy announcement should I apply to, Merit Promotion or
Delegated Examining Unit (DEU)?**

Yes, you may apply if your experience and training is demonstrated by
your application. BLM recognizes and values the diversity of experiences
our employees bring to our organization. To qualify for the Leadership
Succession Management Program, applicants must have 1 year of
supervisory or managerial experience equivalent to the GS-13 or GS-14
level in the Federal government. This experience may have been gained in
private sector or other non-Federal government positions. An important
part of your application is demonstrating that your equivalent training
and experience gained outside of the Federal government provided you
with the competencies and skills to successfully perform in the
position(s) for which you are applying.

Generally, as a Federal employee you are eligible to apply under both
the Merit Promotion and DEU announcements if you are at the GS-13 level
and above. If you have any questions, contact your servicing Human
Resources Office for clarification. Veterans preference applies for the
DEU announcement. The DEU is the preferred route for those applicants
with no Federal work experience.

**Q17. If the selectee is required to complete an IDP to obtain certain
experience or competencies within two years and they do not comply, what
happens?**

As a leader, you are expected to follow through on all commitments that
you make. Your IDP is designed to improve your leadership competencies
and success as a key leader in the BLM. During the two (2) year period,
you should regularly review your IDP progress with your supervisor and
make any adjustments to ensure that you meet your commitment to
continual learning and leadership growth within the two (2) year
timeframe.

**Q18. If I am placed on the standing roster and my circumstances
change, can I put my status on hold and then reactivate my status at a
later time?**

If for any reason your availability changes, you are required to notify
the WO 700, Executive Initiatives Team and your name will be withdrawn
from consideration. When you are available again, you should reapply to
the next vacancy announcement. The current announcements will be open
continuously for 1 year, at which time they will be re-advertised.

**Bureau of Reclamation**

**Leadership Development Program**---the purpose of this program is to
develop potential and advancing leaders and managers for employees at
the GS-11 through GS-14 level. The program provides a 1-week seminar to
interpret previously administered feedback instruments for an Individual
Development Plan. Senior Executives of Reclamation will teach leadership
skills to the group. Included are one 30-day and one 60-day work
assignments, a 3-day shadowing assignment and two senior level
interviews, as well as any other developmental activities in the IDP.
Each participant will select a mentor/advisor to provide coaching in the
design of the IDP and throughout the program.

The Reclamation Leadership Development Program is an important program
used to develop future leaders. A workgroup will be convened to
determine if some program provisions should be re-engineered to increase
its effectiveness. The review will include a determination if the
program should target skills, specific positions or a combination of
both; can function more equitably if it was funded through a centralized
account; would benefit from using an assessment center for selection of
participants; should include post program training activities; and
whether or not we can better facilitate the placement of program
graduates.

**Reclamation's Senior Executive Development Qualifying Program**.---the
purpose of the program is to develop well-qualified candidates for the
Senior Executive Service (SES). Participants will complete formal
training classes and assignments designed to qualify them to enter the
SES through the competitive process. There is no eligibility for
noncompetitive promotion as a result of program completion. Each
participant will select a senior advisor who is member of the SES;
prepare an IDP specific to his/her needs; and attend the Washington
Executive Seminar, U.S. Department of Agriculture Graduate School, or
equivalent, for 2 weeks in Washington. Participants will attend five
executive seminars that cover core competencies: strategic vision; human
resources management; program development and evaluation; resources
planning and management; and organizational representation and liaison.

**MMS Leadership Planning Efforts**

The Gallup Project

Background: The Minerals Management Service (MMS) prides itself on being
a top-notch organization that focuses on meeting high standards of
performance. The MMS faces a significant challenge as an organization.
Our senior-level executives and managers are eligible to retire in large
numbers over the course of the next five years. To promote continuity of
leadership and a clearly focused vision for the future, the MMS is
implementing a succession management plan for ensuring that managerial
and leadership positions are filled with talented individuals who
possess an innate ability to lead and manage. A contract with multiple
options was awarded to the Gallup organization to aid the MMS in meeting
its succession management for leadership positions.

The first step in implementing the succession management plan is to have
the employees with the Office of the Associate Director for
Administration and Budget participate in the Gallup organization's Q12
survey. Gallup's rigorous research identified 12 questions that measure
employee engagement and link powerfully to relevant business outcomes,
including retention, productivity, profitability, customer engagement,
and safety. The survey was administered in November 2004 and results
were presented in January 2005. The survey identified where there are
units of highly engaged employees and where training and further focus
needs to be accomplished. Overall, the MMS Administration and Budget
group ranked in the 59^th^ percentile in Gallup's inventory of over 13
thousand business units.

Once the units with highly engaged employees were identified, option two
of the contract was implemented. The Gallup organization aided the MMS
in studying and analyzing the leadership style and practices of the
managers of the highly-engaged units. From the extensive study and
analysis, a Web-based assessment tool has been developed, and training
in its use is scheduled for April 2006.

This leadership assessment tool will be used in conjunction with the
task-based competency questionnaire in each vacancy announcement for MMS
management positions to aid in identifying employees and applicants who
possess the potential to be successful leaders. Gallup will administer
the Web-based instrument (option three of the contract) and provide the
Human Resources Office with a numerical score on leadership potential
for each candidate to be shared with the selecting official.

The Gallup organization will conduct the Q12 survey again to track the
progress of engagement within the MMS Administration and Budget group.
Ultimately, the contract may be implemented to include all of the
organizations within the MMS.

**Fish and Wildlife Service Leadership Programs**

**[Employee Foundations:]{.underline}**

This is a one-week basic-skills course for new FWS employees. The main
focus of this course is to provide skills for working with others to
accomplish the mission of the Service. The course provides; an
introduction to the U.S. government, public service, and the U.S. Fish
and Wildlife Service; an overview of FWS-related legislated mandates and
FWS/conservation history; a foundation in valuing diversity,
interpersonal communications, conflict resolution, and career
development.

COURSE OBJECTIVES:

1\. Be well grounded in FWS history, organization, and mission.

2\. Be able to apply interpersonal skills in building professional
relationships

3\. Use the Individual Development Plan (IDP) and career development
tools to guide development over the life of a career.

**[Stepping Up to Leadership:]{.underline}**

U. S. Fish and Wildlife Service (Service) employees currently in grades
GS-11, 12 (including current Project Leaders) are encouraged to apply
for nomination as participants in the Stepping Up to Leadership Program
(Program). This program offers individuals the chance to improve their
leadership skills through skill assessments, coaching, self-paced and
group exercises, and developmental assignments. It is designed for
aspiring mid-level managers. The program includes a two-week session
targeting leadership competencies and a follow-up week after a six-month
interim. The interim requires a commitment to work on your Individual
Development Plan through developmental assignments, coaching, and team
project work. Team project presentations occur during the one-week
follow-up. Areas to be covered include interpersonal skills,
communication skills, team process techniques, and balancing work and
personal life.

COURSE OBJECTIVES:

The course is designed to improve performance in thirteen different
competencies of the Service\'s Leadership Development Guidance. The
overall objectives can be roughly summarized as:

1\. Articulate a personal vision of leadership;

2\. Identify and integrate the Service\'s leadership competencies into
personal development and career planning; and

3\. Exhibit leadership behaviors that actively support the Service\'s
mission.

**[Advanced Leadership Development Program]{.underline}**

U.S. Fish and Wildlife Service employees currently in grades GS-13 and
GS-14 are encouraged to apply for nomination as participants in the
Advanced Leadership Development Program. This program offers
participants an opportunity to explore leadership in the USFWS and to
assess, learn about, and develop themselves as leaders. The program
includes three phases focusing on self, group, and the organization.
Although NCTC will host the classroom sessions for the program, the
primary learning environment is within the organization itself. Detail
assignments, including a 30-day job swap and a 60-day developmental
detail, will be used to explore leadership in the day-to-day environment
of the Service.

COURSE OBJECTIVES

1\. Develop external awareness and value stakeholders;

2\. Assess and adjust organizational goals to achieve the mission;

3\. Build relationships across programs and with stakeholders;

4\. Lead the organization through change; and

5\. Develop personally

**National Park Service**

NPS Fundamentals is a five-part course of study that encompasses a broad
understanding of the mission and goals of the National Park Service. It
is designed to sustain a workforce committed to achieving the NPS
mission.

NPS Fundamentals focuses on the 8 Universal Competencies, which identify
skills and knowledge critical to the success of every employee of the
National Park Service. Because it is critical to ensuring the NPS legacy
of preserving and protecting resources, every new Park Service employee
should complete all five parts of the Fundamentals course. Experienced
employees have found the training program very beneficial as well, and
it is open to all NPS employees.

**Fundamentals I**: Web-based

-   History and Mission

-   Local Orientation

-   Virtual Tour of Government

-   NPS Partnership Programs

**Fundamentals II**

-   Core Values of the National Park Service.

-   Introduction to NPS Operations including Resource Stewardship,
    Planning, Laws and Policies, Interpretation and Education,
    Facilities Management, Administration, and Visitor and Resource
    Protection.

-   Introduction to Partners, Cooperating Associations, and Friends
    Groups.

-   Introduction to Concessions Management.

-   Role, function, and authority of the Superintendent.

-   Role and function of teamwork in achieving the mission of the
    National Park Service.

-   Role and function of interpersonal communication in the workplace.

-   The principles of personal leadership as an employee of the National
    Park Service.

-   Risk Management.

-   Visitor services and recreational opportunities.

**Fundamentals III**: Web-based

-   Career Planning

-   Retirement programs and options

**Fundamentals IV**: Web-based

-   Ethics

-   Diversity

```{=html}
<!-- -->
```
-   Safety, and

**Fundamentals V (***meets 40 hour supervisory requirement***):**

-   Principles of Lifelong Learning

-   Workplace Climate

-   Teamwork

```{=html}
<!-- -->
```
-   Organizational Effectiveness

```{=html}
<!-- -->
```
-   Personal Responsibility

**Leadership Development Courses**

-   Mid-Level Management Development Program

-   Entry-Level Employee Development Program

-   Facilities Management Leadership Program

These Programs advance the DOI management and workforce succession goals
by developing a cadre of highly qualified employees in mission-critical
occupations.

**U.S. Geological Survey**

**[Supervisory Challenge Course]{.underline}**

-   5 day course that meets 40 hour requirement for first year of
    supervision

-   Course model includes ethics, employee relations, staff and
    recruitment, position classification, performance, diversity, EEO,
    conflict resolution, employee development, and is based on a
    leadership foundation

-   4 courses per year rotated among regions

-   Filled by nomination, selected by Regional management based on
    prioritized pre-determined criteria (new supervisors first, etc.)

-   Any grade level, targets new supervisors, but refresher for veterans

**[Leadership 101]{.underline}**

-   5 day course giving wide range of theory and practice for leadership
    principles focusing on individual leadership performance with the
    goal of developing a leadership-centered culture

-   Course model includes 360 feedback, action planning, vision setting,
    leadership versus management, principle-centered leadership,
    leadership through change, conflict resolution and negotiation,
    coaching and mentoring, working through teams

-   One 24 member class/year GS 12 & 13; One 24 member class/year GS
    14-15. Both offered at the National Conservation Training Center

**[Leadership 201]{.underline}**

-   5 day course expands 101 providing a deeper understanding of
    leadership within the organizational context, group interaction,
    application of theory

-   Open to graduates of 101 class, encouraged to take 201 1-2 yrs after
    101.

-   Course model includes creativity and creative problem solving,
    storytelling, science ethics, intra-class action learning challenges
    sponsored by USGS Executive Leadership where participants tackle
    real issues applying their 201 learning, valuing others and
    enhancing interactions

-   Two 24 member classes/year GS 12 -15 offered at the National
    Conservation Training Center

**[Leadership Intensives]{.underline}**

-   2 day course with intense exposure to leadership theories, practices
    and concepts

-   Course Model is a condensed version of selected topics covered in
    101 and 201

-   Taught by a select set of graduates of 201 classes, and other
    external leadership development programs (ELP, FEI, SESCDP, etc.)

-   Open to all USGS employees, regional management selection

-   20-30 member classes held approximately 10 times/year, nationwide

-   Offered in various locations determined by regional management

**[Leadership Intensive Instructor Workshop]{.underline}**

-   3 day workshop that provides additional training, coaching, and
    continued professional development for Leadership Intensive
    Instructors

-   Held once per year, location variable

**[Competencies]{.underline}**

Results of two Organizational Assessment Surveys (1999, 2002) indicated
that USGS was not preparing adequately for the future, including in the
areas of management and leadership. A steering team of senior managers
from across the Bureau was assembled to design our Core Competency Model
for Managers (CCMM) in order to guide us in developing the next
generation of leadership and to help with succession planning. As input,
more than 500 USGS Managers and -Supervisors participated in an on-line
survey in which they were asked to identify those competency behaviors
that are most relevant to them in their positions as Managers or
Supervisors in the USGS. They chose from 28 important competencies for
managers that were derived directly from the OPM competency model for
managers.

In the survey, USGS managers chose 6 specific competencies as the most
important for developing in USGS. Metrics were then drafted to identify
the core behaviors needed for each of these 6 competencies at the team
leader, supervisory, manager, and executive levels. One component of the
model will be a link to potential training and development options to
develop these competencies. Focus groups held across the organization at
all levels of management during summer, 2004, provided input and
"ground-truthing" for the metrics and development recommendations. The
CGMM Steering Committee met in December 2004 to identify the next steps
in model development and implementation. The CCMM will provide a road
map for managerial development across the bureau.

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

-   Program is a very cost-effective training, development and knowledge
    management tools

-   Consists of a one-year guided component for new employees (5 years
    or less in the USGS) and a self-directed component for everyone and
    for any learning and development objectives

-   One-year guided component is offered once per year in each region
    and begins with a two-day shadowing assignment with the mentored
    employee going to the mentor to set a firm foundation for the
    mentoring relationship. Self-directed component is continuous

-   Both components have a web-based mentor/mentored employee
    application process

-   Goals of the program are: professional development, skills and
    knowledge transfer, improved recruitment and retention, faster
    acculturation and engagement of newer employees, leadership
    development, increased collaboration across science disciplines

-   Regular mentoring information exchanges (via web-conferencing) are
    offered to all participants on topics of interest to the
    participants

[^1]: Collins, Jim, [Good to Great: Why Some Companies Make the Leap . .
    . and Others Don't]{.underline}, (HarperCollins Publishers, 2001)
    (Book).

[^2]: Collins, Jim, "Good to Great and the Social Sectors: Why Business
    Thinking is Not the Answer," (2005) (Monograph).

[^3]: Monograph at 13.

[^4]: Monograph at 10.

[^5]: Book at 39.

[^6]: Monograph at 11.

[^7]: Monograph at 15.

    ^8^ Book at 51.