November 21, 2003
NOTE: APPLICATIONS FOR THE 2004 CDP ARE NO LONGER BEING ACCEPTED. PLEASE CONTACT MARY R. JONES ON 202 616-3619 FOR INFORMATION ON THE SES CDP PROGRAM OR THE CONTENT IN THIS DOCUMENT.
Introduction
The Senior Executive Service (SES) was established to create a cadre of senior talent with vitality and initiative tempered with leadership skills and organizational ability. Executive development is a process comprised of tools, resources, activities, evaluation of learning and growth, and reflection on learning which when organized and matched to an individual’s needs prepares that individual for a number of executive positions.
An SES Candidate Development Program (CDP) is a competitive program designed to create candidate pools for SES positions. CDPs address the five Executive Core Qualifications (ECQs), the leadership skills needed to succeed in the SES. The ECQs are defined in terms of generic management skills and leadership competencies.
The Department of Justice (DOJ), SES CDP is designed to train, develop and certify, candidates, who exhibit outstanding executive potential for SES positions.
As part of the Department's Human Capital Leadership Development Initiative to address succession planning, the CDP will build upon leadership development that is provided in a series of programs for potential managers and supervisors, newly selected managers and supervisors, and incumbent supervisors.
The goal is to identify outstanding individuals with demonstrated executive potential, to provide opportunities for them to prepare for the assumption of executive duties, to create a quality leadership workforce, and to develop a broader pool from which to select CDP candidates. While the SESCDP is an important source of candidate for SES positions, successful completion of the program does not guarantee selection for such a position.
Program Planning
As part of the program planning process, DOJ will identify the following:Purpose
The DOJ SES CDP has the following purposes:
Objectives
Goal
Executive Core Qualifications (Core Competencies)
(from the “Guide to Senior Executive Service Qualifications”, OPM, 1/98) Reference page 27of the Guide for the behavioral definitions for each core competency.
The Executive Core Qualifications (ECQs) describe the leadership skills needed to succeed in the SES; they also reinforce the concept of an SES “corporate culture”. This concept holds that the Government needs executives who can provide strategic leadership and whose commitment to public policy and administration transcends their commitment to a specific agency mission or an individual profession.
OPM has identified five fundamental executive core qualifications. The ECQs were designed to assess executive experience and potential - not technical expertise. They measure whether an individual has the broad executive skills needed to succeed in a variety of SES positions - not whether he or she is the most superior candidate for a particular position.
Successful performance in the SES requires competence in each ECQ. The ECQs are interdependent; successful executives bring all five to bear when providing service to the nation.
ECQ # 1 - Leading Change
This core qualification encompasses the ability to develop and implement an organizational vision, which integrates key national and program goals, priorities, values, and other factors. Inherent to it is the ability to balance change and continuity - to continually strive to improve customer service and program performance within the basic Government framework, to create a work environment that encourages creative thinking and to maintain focus, intensity and persistence, even under adversity.
Leadership competencies include:
ECQ #2 - Leading People
The core qualification involves the ability to design and implement strategies, which maximize employee potential and foster high ethical standards in meeting the organization’s vision, mission, and goals.
Leadership Competencies include:
ECQ # 3 - Results Driven
This core qualification stresses accountability and continuous improvement. It includes the ability to make timely and effective decisions and produce results through strategic planning and the implementation and evaluation of programs and policies.
Leadership Competencies include:
ECQ #4 - Business Acumen
This core qualification involves the ability to acquire and administer human, financial, material, and information resources in a manner that instills public trust and accomplishes the organization’s mission, and to use new technology to enhance decision-making.
Leadership Competencies include:
ECQ # 5 - Building Coalitions/Communication
This core qualification involves the ability to explain, advocate, and express facts and ideas in a convincing manner, and negotiate with individuals and groups internally and externally. It also involves the ability to develop an expansive professional network with other organizations.
Leadership Competencies include:
Program Requirements
DOJ’s 12 - 18 month program, (length varies depending on the individual developmental needs), integrates the following components:
Although the program will vary for each candidate, the stated structure of tools, resources, activities and learning events will be available for the candidates. Some of these activities necessarily precede others, as one may be needed for prerequisite learning before being able to fully experience the other. Some require work time to occur between learning events so that some application and reflection can occur before going on to another assignment.
The broad areas of candidate development that are integrated into the executive development program are:
The Orientation begins the program and helps build the team spirit and commitment to one another that will be instrumental for learning and development later in the program and to begin developing a network for those who will become DOJ executives. The orientation week will allow each candidate to become familiar with the program requirements, policies, and expectations, and to provide interaction with senior management officials. OPM requires that each candidate document an official starting and finishing date for the program. The orientation week establishes the official starting date for all candidates. Finishing dates will vary for each candidate. (The Orientation Component will be required by DOJ.)
A DOJ prescribed competency-based Individual Needs Assessment will be administered to help future leaders get feedback on a variety of work behaviors and attitudes to determine and identify group and individual strengths and weaknesses. They will understand it, and learn how to put it to work for them. The assessment(s) will also ascertain which executive core qualifications need to be developed or strengthened during the program both for the group and the individual. Such instruments may be the 360°· evaluation which combines input from the individual’s supervisor, subordinates, and peers, identifies “developmental opportunities,” or areas to focus on improving during the program. Each item in the 360°·assessment is based on the 27 competencies that make up the five Executive Core Qualifications – Leading Change, Leading People, Results Driven, Business Acumen, and Building Coalitions/Communication. The instrument should be administered and results delivered to candidates during the Orientation Week. (The Individual Needs Assessment Component is required by OPM.)
Creation of an Individual Development Plan (IDP) or Executive Action Plan is the process by which the candidates benchmark their current skills, prior experience, demonstrated knowledge and perceptions, competencies, and abilities and forecast their potential for growth in each of these areas. The developmental areas are closely tied to the OPM’s five core competencies. The candidate’s individualized plan will be based on results from the identified areas from the assessment.
During the orientation session, each candidate will complete a draft IDP (Executive Action Plan) reflecting education, training, and planned developmental activities. The IDP is to be prepared in coordination with the candidates’ SES mentor and the supervisor of record. The IDPs will be reviewed and approved by the SERB. Candidates will have the opportunity to modify/change their plans before being ‘accepted’ as the official action plan for his/her program. (The Individual Development Plan Component is required by OPM.)
The Mentoring element for the SES CDP will be a collaborative experience with mentor and candidate developing a learning partnership. The mentoring process will be facilitated with assistance from a contractor. Training will be provided to give mentors and mentorees the training and tools they need to engage in successful mentoring relationships. Topics for the mentor and mentoree will include Building Effective Relationships. Mentors will be provided a training session on effective mentoring. The ultimate goal of this partnership is the development of one of our most important resources - effective leaders. Mentors must be a member of the SES.
Mentors must be willing to become:
Mentors will be required to work closely with their candidate throughout the entire program; attend an orientation/training session; and sign a Mentoring Agreement. The mentor is critical to the candidate’s success in the program and instrumental in their success should they become an executive with the DOJ.
The mentoring relationship has as its core purpose the professional and leadership development of the mentoree through the counsel and guidance of the mentor. The mentor program is closely tied to the input and tracking of the candidate’s IDP and will directly assist the mentoree in the development and completion of the IDP. The IDP is most crucial to the candidate’s successful experience in this program and will guide the candidate to the learning activities best suited for their development.
A successful mentoring relationship provides positive outcomes for both the mentor and the mentoree through the expansion of knowledge, skill, energy, and creativity. Candidates are encouraged to select mentors who have a genuine interest in the candidate’s development, sensitivity to others’ needs and development, excellent listening skills, time availability, commitment, confidentiality, coaching and feedback skills and in addition has experiences and expertise which compliment rather than mirror the candidates.
The most successful mentor/candidate relationships are those where the mentor’s natural style and approaches differ significantly. Both need to be open to others’ ways and in this way both learn extensively from the different approaches and styles they encounter from each other.
To optimize the mentor relationship and to ensure candidates are truly matched to a mentor that is best suited for their growth, DOJ will follow a systematic model of mentor matching and training. Each candidate is required to compile a biography profile. Each mentor is required to complete an application and biography profile. Information from both the candidates and the mentors will be placed on-line with a professional consultant, and the matching process begins.
Mentors are asked to complete a detailed application listing their experiences. The purpose of this detailed listing is to enable the candidates to indicate potential mentors with experiences that they lack in their own background. Matches are based not on quantity of experience but type and variety.
Candidates will have the opportunity to access the system and select their five top choices for mentors. Mentors will also be asked to access the system and select their top five candidates based on information from the candidate’s biography profile. Based on the information from the profiles, the consulting company will then determine and advise DOJ on the best matches for the candidate and the mentor. A mid-year progress review will be held to check the progress of the mentoring relationships. Participants will have a chance to ask questions and share their challenges and success stories. Participants will be encouraged to communicate any challenges to the HR specialist at anytime during the program (The Mentor Component is required by OPM.)
One or more Developmental Assignments, totaling four months in duration, will be required by each candidate during the program. All assignments will be full-time service and outside the candidate’s position of record which will broaden the candidate’s practical knowledge of the overall function of DOJ.
The assignments will also increase the candidate’s capacity to affect the delivery of seamless service. Assignments will take into consideration the candidate’s work history, specific developmental objectives as identified in the IDP, strengths and weaknesses and should generally be in an area in which the candidate has limited experience. Assignments may be inside or outside DOJ, government or with private industry.
An example for an assignment could be working with the Federal Executive Institute to help develop a program for the DOJ geared to combine the “Leadership for a Democratic Society” course with a curriculum designed to meet our needs or a new course at FEI entitled, “Leadership for Results” (LR). The LR Program’s format is new and unique for executives. The focus is on thinking about and acting on a specific business issue.
In addition, the candidate has the responsibility to demonstrate that the learning taking place links to his/her IDP. Finally, the candidate will be responsible for designing a recommended strategy for improvement of one process or policy in the developmental assignment. This recommendation will be shared with the Director, the candidate’s mentor, and with other candidates in the SES program. This experience allows the candidate to learn from the developmental assignment/experience but others involved can learn as well, while the Department visited can have an opportunity for improvement. This type of action learning offers a realistic learning experience for the candidate and enhances the productivity and return on investment for the time spent in training. It also optimizes learning for DOJ employees other than the SES CDP candidates (i.e. mentor, director, other managers and other SES candidates in the program).
To assist candidates in identifying potential assignments, the Attorney General and component heads will be asked to define an assignment for the group each program year that will be a suitable developmental assignment for the SES candidates. A composite listing of DOJ assignments will be made available to all candidates. The candidates, along with the mentors, will elect two of the potential assignments. In a collaborative effort between the sponsoring Directors, the mentor and DOJ Senior Executive Resources Board (SERB) developmental assignments will be made. The Director will be asked to summarize the experience and learning that the candidate obtained from the entire experience.
Although assistance will be provided from the AG and component heads, It is the overall responsibility of each candidate to seek out, identify and secure potential developmental assignments that align with their IDP. (The Developmental Assignment Component is required by OPM.)
Each candidate will be required to undertake two 3-5 day Shadowing experiences. The emphasis is upon observing new skills and tasks being carried out in a new line of business or functional area. It also gives the candidate an opportunity to learn, practice and improve their senior staff skills. Candidates will be encouraged to seek out shadowing assignments within other parts of the DOJ and other federal departments. Candidates can choose to shadow their mentors for one of their assignments. (The Shadowing Component will be required by DOJ.)
The Classroom Training for the SES CDP is multifaceted. There are some mandated programs that all candidates must participate in and still others that offer much flexibility and choice for each candidate.
Supplemental Learning Activities (SLA)
Supplemental Learning Activities enhance learning and challenge participants throughout the program. The 25 candidates will be divided into 3 teams and they will select a team project, which will involve conducting secondary research, (benchmarking) on an agency specific challenge, problem, or issue facing US/DOJ. These teams strengthen leadership and interpersonal skills, stimulate commitment to personal development, and provide a forum to explore issues facing US/DOJ leaders and reflect on learning experiences. Each team will have a facilitator who will be actively involved with the team during the program. The participants will meet with their team facilitators at the initial classroom session. At that time, the teams will select one large project or a number of smaller initiatives that were developed by the senior managers/executive leadership team, for the action-learning project they will complete during the program.
The three teams will present their written recommendations to the US/DOJ leadership panel at graduation, with an opportunity for questions and answers concerning the findings and recommendations. The teams will communicate virtually using "Chat Rooms" .
The 25 candidates will utilize an electronic Leadership Journal tracking system to log individual progress on a weekly basis. (The Supplemental Learning Activities Component will be required by DOJ.) Supplemental learning objectives that are covered by this portion of a candidate’s education include but are not limited to the following:
Reading is an underlying element throughout this program. Candidates will be provided with ‘living’ reading lists by core competencies. The lists provide a starting point and suggestions. Formal group reading assignment books will be made; however, the selection is not limited to only those books on the lists. Selection of books will be a joint decision between candidates and mentors. Each candidate will be required to read at least one book that supports a core competency in an area identified as a weakness from the assessment. (The Reading Component will be required by DOJ.)
The 12 - 18 month SES CDP program is a short time for a manager to become qualified to be a leader. The successful leader recognizes that learning is a life long process. Continuous Learning should become second nature to every leader and executive. Continuous learning may include internal or external training in specialized fields e.g., financial management, information technology, media relations; participation on various committees, task forces, or working groups; and/or completion of special case studies, projects and initiatives. Learning will be centered on the application and practice of the core competencies for successful executives. (The Continuous Learning Component will be required by DOJ.)
Candidate Status
Candidates serving under career or career-type appointments will be engaged full-time in the SES CDP during mandatory program activities and they must be available for additional activities required by their developmental plans. However, candidates will continue to occupy their positions of record and perform in those positions when not engaged in SES CDP activities.
Candidates serving in other than career or career-type appointments will be offered a Schedule B appointment in DOJ, at the GS-14 or 15 levels, for the duration of their participation in the program, but not to exceed 3 years. A Schedule B appointment will be made to a full-time position created for SES CDP developmental purposes and may not be used to fill a regular position on a continuing basis.
No SES Position Guarantee
While the SES CDP is an important source of candidates for SES positions, successful completion of the program does not guarantee selection for such a position. There is no guarantee, either implied or stated, that each candidate will be placed in an available SES position. Selection is at the discretion of DOJ and will be based on organizational needs and requirements. Although it is hoped that the DOJ SES CDP candidates will stay within DOJ, there is no restriction on employees leaving DOJ. Employees may search out and apply for SES positions within DOJ, or government-wide.
Mobility
Nationwide mobility is not a prerequisite for selection, a reasonable degree of mobility is expected. A cadre of qualified executives willing to serve where most needed clearly benefits the government. In addition, the willingness to change positions and geographic locations is to the advantage of the individual executive and it provides greater opportunities for development and advancement. (OPM SES CDP Guide)
Termination
Participation may be terminated at the candidate’s request or by action of the ERB. When the DOJ SERB initiates termination, the candidate’s progress must be judged to be deficient, unnecessarily protracted, or otherwise less than satisfactory. This includes determination that his/her performance has been deemed unacceptable or the candidate has failed to complete program requirements in the designated time frame. The candidate must be given a written notice that includes the effective date and reason for program termination. Termination of program participation is not subject to adverse action procedures and does not, in itself, affect the candidate’s employment status.
Documentation
JMD’s Leadership Effectiveness Group will maintain records documenting the date each candidate begins the program, i.e., the beginning date of the DOJ Orientation and Individual Development Plan, and the date each candidate completes the program. In addition to preparing an IDP, the candidate and his/her mentor will be required to submit interim progress reports for developmental assignments of more than 30 days and final reports to LEG which will be forwarded to the SERB for review.
Developmental assignment supervisors will be required to establish expectations and outcomes in discussion with the candidate at the beginning of each developmental assignment and will submit a written report on the performance of the candidate at the end of the assignment period.
These performance reports will be used to assist the SERB in evaluating candidates’ development during the program and will also serve as input to rating officials for the candidate’s annual performance evaluation. The content of the end-of-assignment performance report will include observations about the candidate’s accomplishment of assignment objectives, attainment of executive competencies and an assessment of the candidate’s readiness for placement in the SES.
Mentors will be responsible for a written evaluation of the candidate’s overall progress throughout the program.
Final reports may be submitted to the LEG through the appropriate management official. LEG will assist in preparing the final packages for the SERB and OPM approval.
Certification
Upon the successful completion of a candidate’s development plan, DOJ’s ERB will review and evaluate each candidate’s record and performance. With DOJ’s ERB endorsement and final approval by the Attorney General, records will be sent to an OPM SES Qualifications Review Board (QRB) for certification.
If the candidate is not recommended by the SERB for certification, participation in the SES CDP is terminated and the candidate is notified in writing of the basis for the decision. This (or a candidate’s decision to withdraw from the program at any time) does not preclude the candidate from applying directly for SES positions.
According to (5 CFR 317.502(c)), successful SESCDP graduates who are QRB certified have indefinite eligibility for noncompetitive placement in a SES job. Certified candidates are responsible for seeking out and applying for any SES position they want to pursue. The SES certification received from OPM’s QRB is valid for the life of the holder.
Responsibility
The SES CDP has many facets:
Funding
The Leadership Effectiveness Group will request that centralized funding be provided to administer the program, however, other means of funding may be requested from components of participants.
Evaluation
Evaluation will be on-going throughout the program and will be in several formats:
Conclusion
Once this initial DOJ program is concluded and evaluated, modifications will be incorporated into the overall program. The changes will be based on the evaluations from candidates and mentors, the post program assessments, and other sources. DOJ will then conduct additional sessions of the SES CDP. DOJ will create and maintain a pool of qualified employees for SES positions that coincides with DOJ’s succession planning.
Recommendation
As outlined in the DOJ Human Capital Strategic Plan, “Successful human capital management at the Department may require additional investment of time and resources to ensure that the human capital plan is updated and followed.” It is recommended that a DOJ SES CDP be created, developed and implemented at the DOJ, recruiting up to 25 qualified persons. It is also recommended that centralized funds be allocated to fund the SES CDP based on the total number of SES positions that are available.
Screening and Selection Process
A vacancy announcement for the SES CDP will be prepared in accordance with SES merit staffing requirements, and advertised through the Government-wide automated employment information system, USAJOBS. The audience will be to all qualified persons; (applicants must be US citizens).
Application: The application package will consist of the following:
The SES CDP Announcement will give instructions for submitting applications. The announcement, when opened, may be obtained from OPM’s Website at www.usajobs.opm.gov.
Phase I
LEG and designated employees from designated components and/or a contractor will review each application for completeness and basic qualification. DOJ will verify and certify all contractor determinations. A date will be provided when the basic qualifications review is complete along with the number of applications who did not meet the minimum qualifications. In addition, applicants will be notified that they did not qualify.
Phase II
LEG and designated employees from components and/or a contractor will conduct an Executive Core Qualifications (ECQ) Review of the applications that met basic qualification requirements. During this phase of the process, the applications will be reviewed and rated against the five ECQs (as designated by OPM), and assigned a score. Feedback reports will be mailed to applicants after Phase III is complete.
Phase III
The contractor will provide a list of the top 100 (based on applicant ECQ scores) and a list of applicants that did not make the top 100 to be forwarded to the SES Review panels chaired by the Senior Executive Resources Board (SERB) members or designees. The panel will be provided a copy of the application materials, ECQ report, and reference check data on the top 100 applicants. The panel will use a rating instrument to review the applications and determine the top 50 (+ or -) Best Qualified who will participate in the assessment center. All applicants will be notified of their status. Applicants selected to advance to Phases IV and V will attend a professional assessment center (location to be determined). All other applicants will receive letters thanking them for applying and providing specific feedback regarding their future development.
Phase IV
Up to 50 applicants will participate in a one-day assessment. Prior to the assessment experience, each applicant will be provided materials outlining the assessment process, the assessment center, and their assignments. To ensure fairness and consistency, all applicants will be asked the same questions and evaluated against the same set of criteria. The applicants will take part in simulations that will include written activities, an inbox simulation, a coaching simulation, and an oral presentation. At the conclusion of their assessment, each applicant will be debriefed and assessors will conduct one-to-one feedback sessions. All participants will go on to Phase V.
Phase V
The final phase in the screening process will be a structured interview of the candidates rated “Best Qualified.” The panel will consist of SES led by SERB members or designees. Panel members will be provided a list of structured questions, application materials, ECQ feedback reports, and assessment center reports on each applicant. The panel will recommend the top 25 to the Attorney General and the Deputy Attorney General for final approval.
Finally, the AG and the DAG will approve the SES CDP recommendations and the remaining applicants will be notified of their status. Those who are selected to participate in the SES CDP will begin their developmental training in the fall. Those who are not selected to participate in the SES CDP will be offered a follow-up workshop to provide guidance and recommendations to strengthen their proficiency in the five Executive Core Qualifications required of all SES members. An Agency-wide memo will be prepared and sent out under the AG’s signature announcing the candidates who were selected.
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