United States Department of Agriculture 

AgriculturalMarketing Service

Directive 4120.2 11/29/2016 

TRAINING AND DEVELOPMENT POLICY FOR AMS SUPERVISORS, MANAGERS,

AND EXECUTIVES

1. PURPOSE

This Directive establishes the AMS training and development policy for supervisors, 

managers, and executives.

2. REPLACEMENT HIGHLIGHTS 

This Directive replaces the AMS Directive 4120.2, dated 06/19/09. 

3. BACKGROUND

a. This Directive describes how AMS will meet supervisory training requirements. 

The goals are to:

(1) Build a positive and productive work environment with engaged 

employees; 

(2) Build a supervisor workforce that supports long-term organizational 

performance;

(3) Ensure that supervisory training is consistent throughout AMS; and

(4) Reduce and eliminate problems created by untrained supervisors. 

b. The heightened emphasis placed on leadership and USDA’s belief in ongoing 

employee development leads to our recommitment in this Directive to ensuring 

the development of effective leaders in AMS. AMS considers supervisory 

competence and leadership development to be mission critical. Genuine 

partnerships and information sharing between managers and employees create a 

strong foundation for personal and organizational success. They create synergy 

and outcomes that allow creativity, flexibility and productivity to thrive. 

Distribution: AMS Originating Office: MRPHR-AMS
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The intention of this Directive is to drive a supervisory culture that supports AMS

employees’ diverse needs by equipping supervisors, managers, and executives 

with the tools and resources they need to carry out their mission. 

c. The Federal Government considers supervision and management as occupations

critical to the effective organization and delivery of its services to the public. The

need for supervisors and managers to develop and maintain current and effective

human resources management and other leadership competencies is continually

emphasized by OPM. As a result, OPM has identified core leadership

competencies for all Federal supervisors, managers, and executives to address on

their developmental path to outstanding leadership.

4. AUTHORITIES/REFERENCES

a. http://www.gpo.gov/fdsys/granule/USCODE-2011-title5/USCODE-2011-title5-

partIII-subpartC-chap41, and related guidance issued by the Office of Personnel

Management; 

b. Title 5, Code of Federal Regulations (CFR), Part 315, Subpart I, Probation on

Initial Appointment to a Supervisory or Managerial Position;

c. Title 5, Code of Federal Regulations (CFR), Part 410, Training;

http://www.ecfr.gov/cgibin/retrieveECFR?gp=&SID=47b4b73f3b0d50ee03cee88a18a8764f&mc=true&n

=pt5.1.410&r=PART&ty=HTML#se5.1.410_1306

d. Title 5, CFR, Part 412, Executive, Management, and Supervisory Development;

http://www.ecfr.gov/cgi-bin/text-idx?rgn=div5&node=5:1.0.1.2.59

e. Departmental Regulation 4040-412-001, Leadership Competency Framework;

and

f. Departmental Regulation 4040-430, Performance Management, Section 9.a.(7);

and 9.c.; 

g. Departmental Regulation 4040-412-002, Training and Development for

Supervisors http://www.ocio.usda.gov/document/departmental-regulation-4040-

412-002; and

h. Departmental Regulation 4740-003, Executive Continual Learning Program.

http://www.ocio.usda.gov/document/departmental-regulation-4740-003
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5. DEFINITIONS

a. Experienced Supervisors. Employees who meet the definition of “Supervisor” in 

provision 6.f. with more than one year of experience as a supervisor in Federal 

government.

b. Managers. Employees who accomplish work by directing the duties of an 

organizational unit with accountability for the success of specific line or staff 

functions. Managers also monitor and evaluate the progress of the organizational 

unit toward meeting goals and making adjustments in objectives, work plans, 

schedules, and commitment of resources. Generally, managers supervise 

supervisors.

c. New Supervisors. Employees who meet the definition of “Supervisor” with less 

than 1 year of experience as a supervisor in the Federal government.

d. Probationary Supervisors. Employees who meet the definition of “Supervisor” 

and are in probationary status subject to 5 CFR Part 315, Subpart I.

e. Subordinate Supervisors. Employees who meet the definition of “Supervisor” and 

who are the direct reports of a manager or executive. Subordinate supervisors may 

be frontline supervisors, managers, or executives.

f. Supervisor. Supervisors are permanent, full-time Federal employees who are 

responsible for delivering at least one employee’s performance review. For the 

purposes of this regulation, only employees who are coded as “2” or “4” in the 

USDA Enterprise Human Resources data system are subject to this policy’s 

training requirement.

g. Training Officers Consortium. The USDA decision-making body for nontechnical 

training and employee development.

6. POLICY

a. AMS complies with the requirements in Departmental Regulations 4040-412-

001, Leadership Competency Framework; 4040-412-002, Training and 

Development for Supervisors, and 4740-003, Executive Continual Learning 

Program.

b. In addition to the requirements in the Departmental Regulations, AMS will 

require supervisory training in matters involving Civil Rights, Diversity and 
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Inclusion, Employee Engagement, Equal Employment Opportunity, and other 

Agency priorities.

c. For more information on the Departmental Regulation for Supervisors, 

Managers, and Executives, click on the link below for the APHIS Center for 

Training and Organization Development’s SharePoint site. 

https://ems-team.usda.gov/sites/aphis-svc-ctod/SitePages/Home.aspx

7. RESPONSIBILITIES

a. The Administrator, Associate Administrators, and Deputy Administrators will 

provide adequate support for implementing Agency-specific policies and to train 

all new supervisors to meet the requirements outlined in the Departmental 

Regulations.

b. The MRPBS-Human Resources Division Director will:

(1) Work with the AMS leadership team to establish policies and procedures 

as necessary to ensure that all supervisors meet training standards and 

steps are taken to address any new supervisor’s failure to complete the 

new supervisor training program.

(2) Report annually to USDA’s Virtual University on compliance with 

supervisor training requirements.

(3) Grant and document extensions to the requirement to complete training in 

compliance with provision 5.b. (4) (a).

(4) Provide a training agreement within 14 days of employment to all newly 

hired supervisors that outlines the mutual obligations of the Agency and 

trainee.

c. Executives and Managers will:

(1) Ensure and confirm that all new supervisors complete required training 

before the end of the new supervisor probationary period.

(2) Evaluate the developmental needs of subordinate supervisors and ensure 

that their IDPs reflect those development needs.
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(3) Certify that subordinate supervisors have completed their annual 

supervisor training requirements as part of the performance review 

process.

d. The APHIS-MRPBS-HRD-Center for Training and Organization Development

will:

(1) Develop, maintain, market, and manage courses and programs to 

support supervisors, managers, and executives in meeting the 

requirements.

(2) Track completion of training to meet the requirements.

(3) Report compliance with requirements in accordance with the regulations. 

e. All AMS supervisors, managers, and executives will identify and complete

training and development activities that enhance their ability to effectively engage 

and manage the performance of their employees.

8. INQUIRIES

a. Clarification or assistance concerning these requirements should be directed to the 

APHIS-MRPBS-Human Resources Division-Center for Training and 

Organization Development Branch, at 301-851-2947.

b. This Directive is available on the Internet at http://www.ams.usda.gov/aboutams/policies/ams-issuances and on the MRPBS-HRD-CTOD SharePoint site at 

https://ems-team.usda.gov/sites/aphis-svc-ctod/SitePages/Home.aspx

/s/

Elanor Starmer

Administrator

Agricultural Marketing Service

Attachment
Attachment 1:

The table below: 

• Provides information on the supervisory training requirements in USDA Departmental 

Regulations (DRs) 4040-412-001, 4040-412-002, and 4740-003. 

• Indicates how AMS complies with the requirements. 

Coverage:

• Employees who are coded with position code “2” or “4” in the USDA Enterprise Human 

Resources data system are subject to this policy’s training requirement.

• The term “supervisor” in this document refers to supervisors, managers, and executives.

• A new supervisor, manager, or executive, hired after the implementation of this 

Regulation, who has never held a supervisory appointment in the USDA, or documented 

successful completion of either a USDA agency or Department-level approved new 

supervisor program must complete the USDAwide approved new supervisor training 

program. 

Regulation Requirement How AMS Meets the DR requirements

5 CFR 

412.202 (a) 

Design and implement leadership 

development programs integrated 

with the employee development 

plans, programs, and strategies 

required by 5 CFR 410.201, and that 

foster a broad Agency and 

Governmentwide perspective.

• USDA Virtual University.

• Professional Skills & Tools (PST) or 

comparable Agency leadership development 

program. 

5 CFR 

412.202 (b) 

Provide training within 1 year of an 

employee’s initial appointment to a 

supervisory position ... 

Probationary supervisors and supervisors who have 

never held a supervisory appointment in USDA or 

documented completion of either a USDA agency 

or Department-level approved new supervisor 

program complete the courses in the APHIS

Fundamentals of Human Resources Management 

(FHRM) curriculum.

...and follow up periodically, but at 

least once every 3 years, by 

providing each supervisor and 

manager additional training on the 

use of appropriate actions, options, 

and strategies to:

1) Mentor employees;

2) Improve employee 

performance and productivity; 

3) Conduct employee 

performance appraisals in 

accordance with agency 

appraisal systems; and

4) Identify and assist employees 

with unacceptable performance. 

Approach: Experienced supervisors select courses

from the list shown on the APHIS CTOD 

SharePoint site and that best suit their needs and 

help them fully meet the 5 CFR 412.202(b) 

requirements:

Supervisors need to pick one or more courses that, 

in combination, address all four required topics 

every 3 years.

Supervisors can identify their needs through the 

required 360 assessment, individual development 

goals, and feedback from others.

CTOD will track supervisors’ training to help 
ensure that, over the 3-year period, experienced 

supervisors meet the CFR requirement. 

5 CFR 

412.202 (c) 

Provide training when individuals 

make critical career transitions, for 

instance from non-supervisory to 

manager or from manager to 

executive. This training should be 

consistent with assessments of the 

Agency’s and the individual’s needs.

Through courses and approaches reflected in the 

annual AMS Experienced Supervisor Training Plan, 

facilitated 360-degree feedback sessions, coaching, 

mentoring, and other support services targeted to 

Manager and Executive competencies.

DR 4040-

412-001 

USDA will use a standard 

competency model for leadership 

development called the Leadership 

Competency Framework.

a. The Leadership Competency 

Framework will be based on the 

OPM Executive Core 

Qualifications and leadership 

competencies to serve as a 

guide in developing approaches 

and tools for expanding the 

workforce’s capacity and 

capabilities.

b. The Leadership Competency 

Framework has been approved 

by the USDA Training Officers 

Consortium pursuant to Section 

10.1 in this DR. 

c. All USDA mission areas, 

agencies, and staff offices will 

use the USDA Leadership 

Competency Framework as the 

basis for leadership 

development activities.

AMS uses the USDA Leadership Competency 

Framework in the form of the AMS Leadership 

Roadmap. 

DR 4040-

412-001 

All supervisors, managers, and 

executives who are full-time, career 

or career-conditional employees are 

required to take a 360-degree

assessment at least every 3 years to 

guide their leadership development. 

Supervisors, managers, and executives are required 

to take a 360-degree assessment and participate in a 

feedback session every 3 years. CTOD oversees the 

AMS 360 Assessment Program that supports 

compliance with this requirement. The AMS 360 

Assessment Program is approved by the 

Department.

Probationary supervisors must start a 360 

assessment after completing 6 months in their new 

position. The due date is 240 days from the date of 

their Entry on Management date, i.e. the date they 

began their supervisory position. 
DR4040-

412-002 

A new supervisor, manager, or 

executive, hired after the 

implementation of this regulation, 

who has never held a supervisory 

appointment in the USDA, or 

documented successful completion 

of either a USDA Agency or 

Department-level approved new 

supervisor program must complete 

the USDAwide approved new

supervisor training program. 

a) The training should commence 

immediately after appointment but 

no later than the first 90 days

following the appointment. 

b) The training must be completed 

within 1 year of beginning the 

appointment.

FHRM meets this requirement. 

Participants start FHRM NLT 90 days following 

their appointment by beginning the pre-work for 

FHRM as laid out in the document “Understanding 

FHRM” found on the CTOD SharePoint site. 

APHIS-CTOD uses AgLearn to track AMS

compliance of completion of FHRM within 1 year 

of the appointment date.

Each experienced supervisor will 

have an individual development plan 

(IDP) identifying the competencies 

for development and specific 

activities to increase their 

proficiency in those competencies. 

All supervisors are required to complete an IDP 

each year and are encouraged to include activities 

that:

• Address the competencies identified in their 

360 assessment, and 

• Help them meet the topics included in the 

experienced supervisor requirements identified 

above.

Annually, the VU will establish 

mandatory training and development 

requirements for experienced 

supervisors. These annual training 

standards will be approved by the 

Training Officer Consortium (TOC) 

and then implemented across 

USDA.

All supervisors will be expected to meet the 

mandatory training requirements established by the 

VU and approved by the TOC. Each year, the VU 

will send out the required training requirements. 

APHIS annually publishes information on options 

that meet the experienced supervisor requirements 

of 5 CFR 412.202 and any requirements in the AMS

Cultural Transformation Action Plan. 

Completion of the annual 

experienced supervisor training and 

development requirements will be 

certified by the supervisor’s 

manager as part of the annual 

performance review process.

AMS managers are responsible for this role. 

Agencies will report annually to the 

VU on compliance with supervisor 

training requirements. 

APHIS-CTOD uses AgLearn to track specific 

courses that meet 5 CFR 412 and reports 

compliance to the VU. 

DR 4740-

003

Each executive with supervisory 

responsibilities will complete a 360 

Executives are required to take a 360-degree 

assessment and participate in a feedback session 
degree assessment at least once 

every 3 years to gather feedback 

from their supervisor, peers, and 

employees. The results of the 360 

degree assessment will be used by 

the executive in planning 

development efforts.

every 3 years.