Leadership Knowledge Management

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SECTION III

Leadership and KnowledgeManagement System


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Section III: Leadership and Knowledge Management System

The Leadership and KnowledgeManagement System

Leadership Succession Management

Change Management

Integrity and Inspiring Employee Commitment

Continuous Learning

SECTION III

Leadership andKnowledge Management

System

Knowledge Management

THE LEADERSHIP ANDKNOWLEDGEMANAGEMENTSYSTEM

This section contains information specific to the Leadershipand Knowledge Management system, which focuses onidentifying and addressing agency leadership competencies sothat continuity of leadership is ensured, knowledge is sharedacross the organization, and an environment of continuouslearning is present.

Definit oni A system that ensures continuity of leadership by identifyingand addressing potential gaps in effective leadership andimplements and maintains programs that captureorganizational knowledge and promote learning.

Standard Agency leaders and managers effectively manage people,ensure continuity of leadership, and sustain a learningenvironment that drives continuous improvement inperformance, and provide a means to share critical knowledgeacross the organization. Knowledge management must besupported by an appropriate investment in training andtechnology.

Leaders must assume responsibility for the development offuture leaders as coaches, mentors, teachers, and most ofall exemplars within and without leadership development

programs.

Organizations Growing Leaders: Best Practices and Principlesin the Public Sector

September 2005 Section III - 1


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Critical SuccessFactors

The Leadership and Knowledge Management system iscomprised of five critical success factors:

Leadership Succession Management: The organizationidentifies leadership competencies and establishes

objectives and strategies to ensure there is a continuouspipeline of available leadership within the organization.

Change Management: The agency has in place leaderswho understand what it takes to effectively bring aboutchanges that achieve significant and sustainedimprovements in performance.

tIntegri y and Inspiring Employee Commitment: Leadersmaintain high standards of honesty and ethics that serveas a model for the whole workforce. Leaders promoteteamwork and communicate the organization's sharedvision to all levels of the organization and seek feedbackfrom employees. Employees respond by maintaining highstandards of honesty and ethics.

Continuous Learning: Leaders foster a learning culturethat provides opportunities for continuous developmentand encourages employees to participate. Leaders investin education, training, and other developmentalopportunities to help themselves and their employees build

mission-critical competencies.

Knowledge Management: The organization systematicallyprovides resources, programs, and tools for knowledgesharing across the organization in support of its missionaccomplishment.

Together, these critical success factors ensure:

A constant flow of leaders who can properly direct anagencys efforts to achieve results

A workforce with the competencies required to achieve theagencys mission

That the workforce is motivated to use its competencies inservice of the agencys mission.

Section III - 2 September 2005


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Applicable MeritSystem Principles

The following merit system principle is especially relevant tothe Leadership and Knowledge Management system:

Employees should be provided effective education andtraining in cases in which such education and training

would result in better organizational and individualperformance. (5 U.S.C. 2301(b)(7))

Required OutcomeMetrics

The following are required outcome metrics for theLeadership and Knowledge Management system.

Required Metric Description Purpose

Organization Metric:Competency Gaps Closed forManagement and Leadership

Difference betweencompetencies needed andcompetencies possessed bymanagers and leaders

To determine how the agencyshould target its recruitment,retention, and developmentefforts to bring thecompetencies of its managersand leaders into alignment

with the agencys current andfuture needs

Employee PerspectiveMetric: Questions fromAnnual Employee Surveyabout Satisfaction withLeadership

Items from Annual EmployeeSurvey

To determine the extent towhich employees hold theirleadership in high regard, bothoverall and on specific facetsof leadership

Merit System ComplianceMetric: Merit-BasedExecution of the Leadershipand Knowledge ManagementSystem

An assessment of compliancewith merit system principlesand related laws, rules, andregulations governing theLeadership and KnowledgeManagement system

To determine decisions,policies, processes, andpractices executed under theLeadership and KnowledgeManagement system complywith the merit systemprinciples and related laws,rules, and regulations



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Suggested Metrics In addition to the required outcome metrics, the followingmetrics associated with the Leadership and KnowledgeManagement system are suggested.

Suggested Metric Description Purpose

Bench Strength The relationship between the

number of employees in theleadership pipeline whodemonstrate the required levelof performance on leadershipcompetencies and the numberof critical leadership positions

To ensure enough internal

organizational capacity existsto mitigate leadership attritionand maintain progress towardmission attainment

Time To Hire Critical

Leadership Positions

Average time from date

vacancy closes to date offer isextended (expressed inworking days)

To determine the efficiency of

a critical phase of the Federalhiring process

Succession Sources Percentage of criticalleadership positions filled frominternal sources, otherGovernment sources (includingmilitary), and non-Governmentsources

To determine the extent towhich various successionplanning efforts (includinginternal career developmentprograms) result in theselection of critical leaders

Culture of WorkforceImprovement

Items from Annual EmployeeSurvey

To determine the extent towhich employees believe theirleaders have developed aculture that values personal

growth



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The Leadership and Knowledge ManagementSystem


Change Management


Continuous Learning

SECTION III


System


RESULTS:LEADERSHIPSUCCESSIONMANAGEMENT

When the key elements of the critical success factorLeadership Succession Management are effectivelyimplemented, agencies will realize the following results:

Effectiveness Result

The agency has taken action to ensure continuity ofleadership through succession planning and executivedevelopment programs that result in a diverse pool ofqualified internal, other Government, and non-Governmentsources for all mission-critical leadership positions.

Compliance Result

The agency has established a comprehensive management

succession program that provides training to employees todevelop them as managers for the agency as prescribedby the Federal Workforce Flexibility Act of 2004.

The following pages provide key elements and suggestedperformance indicators for this critical success factor.

RELATED TOOLS The following tools support Leadership SuccessionManagement. Refer to Appendix A for tools.

ToolAppendix APage Number

Succession Planning Process 43

Effective Succession Strategies 49



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LEADERSHIP SUCCESSION MANAGEMENT

KEYELEMENTS SUGGESTED PERFORMANCE INDICATORS

The agency has a leadershipsuccession management system that:

Is based on accurate data onthe current workforce

Is based on accurateprojections of attrition at allleadership levels

Identifies a diverse pool ofhigh-potential leaders througha fair and accurate process

Includes a formal process toaddress management potential

Effectiveness Indicators The agencys leadership development strategy

and policy, which reflect its mission and culture,are developed, documented, and implemented,based on the agencys workforce analysis andsuccession planning process.

The agency performs an ongoing workforceanalysis to identify current and futureworkforce and related leadership needs. Theanalysis includes information concerning:

Workforce size

Workforce deployment by location, function,and occupation

Leadership competencies needed for missionaccomplishment

Trends in hiring, promotion, reassignment,and attrition in leadership positions

Trends in competency needs (e.g., surplusesand gaps in specific skills)

A forecast of future leadership requirementsand changes due to retirement and otherlosses

Inclusion of all demographic groups.

A succession planning process based onworkforce analysis is in place that considerscurrent and future leadership needs to meetstrategic and performance plans. The planincludes:

Specific goals and identification of

leadership positions needed

Target positions and key leadershipcompetencies (i.e., a leadership competencymodel based on the Office of PersonnelManagement (OPM) executive corequalifications (ECQs) plus appropriateagency-specific competencies)



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Potential sources of talent (e.g., internal,other Government, non-Government) thatbest support the agencys mission andculture

Recruitment or development strategiesneeded to ensure availability of wellqualified staff to fill leadership positions atall levels including identification of high-potential employees and establishment of aformal Senior Executive Service (SES)

candidate development program, othermerit-based methods of developing futureexecutives, and/or other appropriatedevelopment programs.

The agency conducts regular assessments ofleadership policies and performance of itsleaders to ensure succession planning goals(e.g., recruitment and retention of high-performing leaders) are being met.

Invests in an SES candidate

development program linked tothe ECQs

Provides mentoring to new andprospective leaders

Invests in first-line supervisorsto ensure they have thecompetencies to direct the day-to-day work of the agency

Includes an employeedevelopment performance

indicator for managers andsenior leaders

Effectiveness Indicators

The agency leadership has demonstrated itscommitment to leadership developmentthrough dedication of resources (e.g.,appropriate percentage of salaries set asidespecifically for leadership development) todevelop current and future leaders.

Trained mentors are available to employeesparticipating in development programs.



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Compliance Indicator As prescribed by 5 CFR 412, the agency has

established a system to provide:

The competencies needed by supervisors,managers, and executives to perform theircurrent functions at the mastery level ofproficiency

Learning through development and trainingin the context of succession planning andcorporate perspective to prepare individuals

for advancement.

Invests in the continuousdevelopment of seniorleadership.


Leadership skill training and developmentprograms address the needs of each level ofmanagement (e.g., supervisors, managers,executives, and potential leaders). Theseprograms have been communicated to all levelsof management and potential leaders and arereflected in Individual Development Plans(IDPs) for this group.

Training and development needs are identifiedin IDPs by obtaining input from multiplesources (e.g., customers, peers, subordinates,supervisors). IDPs are monitored and includetraining and experiential development.Identified needs are generally being met.

The agencys annual training needs assessmentreflects needs identified in IDPs. Training istargeted to meet the most commonly identifiedneeds.

Employee survey results, including the FederalHuman Capital Survey, indicate employeesbelieve leadership development receivesappropriate emphasis and dedicated resourcesand results in effective leaders who are asource of motivation.



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Agency leadership development programs areanalyzed against agency measures of successto determine usage and impact includingstatistical data on average grade or payband/age/length of service, diversity, attrition,and retirement eligibility. The analysis isdocumented and used by senior managementto make decisions about leadershipdevelopment issues and resource allocation.

Compliance Indicator

The agency has a program to provide trainingto managers on actions, options, and strategiesto use in (1) communicating with employeeswhose performance is unacceptable, and (2)mentoring employees and improving employeeperformance and productivity as prescribed bythe Federal Workforce Flexibility Act.



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Change Management


Continuous Learning

SECTION III


System


RESULTS: CHANGEMANAGEMENT

When the key elements of the critical success factor ChangeManagement are effectively implemented, agencies will realizethe following result:

Effectiveness Result

The agency has in place leaders who understand what ittakes to effectively bring about changes that achievesignificant and sustained improvements in performance.

The following page provides key elements and suggestedperformance indicators for this critical success factor.



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CHANGE MANAGEMENT


The agency has a changemanagement system in which leaders:

Provide adequate resources tosupport the change

Take visible actions to supportnew ways of working

Understand there is a need fora change process and facilitatethe change managementprocess by monitoring andaddressing problems in thetransition process

Hold people accountable forperformance results andmeeting their commitments tothe change process

Focus on performance andprogress against changemilestones.


Annual performance plans, budgets, andperformance reports document plans for andprogress toward change goals.

Individual performance plans rate leaders andmanagers on their implementation of changeinitiatives.

Newsletters, intranet, and other agency mediashow efforts to share a vision for change.

The agency has a strategy and plan forcommunication of change.

The Federal Human Capital Survey (FHCS)and/or other climate surveys are conducted andanalyzed and relevant results lead to change instrategy.



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Change Management

Integrity and Inspiring EmployeeCommitment

Continuous Learning

SECTION III


System


RESULTS:INTEGRITYAND INSPIRINGEMPLOYEE

COMMITMENT

When the key elements of the critical success factor Integrityand Inspiring Employee Commitment are effectivelyimplemented, agencies will realize the following results:

Effectiveness Results

Leaders maintain high standards of honesty and ethicsthat serve as a model for the whole workforce; employeesrespond by maintaining high standards of honesty andethics.

Leaders promote teamwork and communicate theorganization's shared vision to all levels of theorganization, and seek feedback from employees.

Compliance Result

The agency complies with the Ethics in Government Act of1978 and other statutory and governing guidancecompiled by the Office of Government Ethics to coverconflict of interest and ethics. The agency also complieswith its own supplemental standards of conduct.




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INTEGRITY AND INSPIRING EMPLOYEE COMMITMENT


Employee integrity and commitment isin evidence when:

Senior leaders foster anenvironment of opencommunication (top-down andbottom-up communication)throughout the agency

Employees view the agency asa desirable place to work

Teamwork is valued andrewarded in the agency

Agency policies reinforce the

Office of Government EthicsStandards of Ethical Conductfor Executive BranchEmployees and, at a minimum,meet the Office's requirementsfor ethics training. Ethicalbehavior and standards areincluded in competencies for allemployees. Programs foridentifying violations exist and

leaders take appropriatedisciplinary actions.


The FHCS and/or other employee climatesurveys reflect a positive, committed workenvironment.

Human resources staff, in partnership withmanagement, seeks and considers continuousfeedback from employees (e.g., focus groups)regarding workplace environment and respondsto feedback with appropriate action.

Agency has been cited in applicant feedback

and media stories as an employer of choice.

Agency awards policy promotes teamworkthrough the use of group awards andcommunication of group successes.

Agency analyzes trends across managementindicators such as per capita overtime, worker'scompensation charges, sick leave usage,forfeiture of annual leave, turnover, removal ofprobationers, disciplinary actions, adverseactions (5 CFR part 752), and exit interviews.

Senior leaders sign statements of conduct oragency-wide declarations.

The FHCS and/or other employee surveysreport an ethical climate exists, employees areaware of their whistleblower rights and otherpersonnel protections, and they are likely toreport wrongdoing.

Agency has a whistleblower support andInspector General hotline program; activitiesare recorded and analyzed.

Communication strategies include a variety ofmedia to convey senior leadership's message tothe workforce.

Agency has a positive record in programreviews and congressional reviews.

Compliance Indicators



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INTEGRITY AND INSPIRING EMPLOYEE COMMITMENT


Employee integrity and commitment isin evidence when:

Agency is certified by the Office of SpecialCounsel to be in compliance with the 5 U.S.C.2302(c) requirement that the workforce beinformed of whistleblower rights and otherpersonnel protections.

Provides current and future leaders with anannual course on Government ethics.



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Change Management


Continuous Learning

SECTION III


System


RESULTS:CONTINUOUSLEARNING

When the key elements of the critical success factorContinuous Learning are effectively implemented, agencieswill realize the following results:


The agency has achieved a culture of continuous learningthrough investments in education, training, and otherdevelopmental opportunities that help employees buildmission-critical competencies.

Training and development initiatives and strategiessupport mission-critical competencies, are linked to theagency mission, and have demonstrated a positive impacton agency mission performance.

The agency uses appropriate learning technology andinnovative learning strategies to meet the training anddevelopment needs of the workforce.

The agency has developed and implemented a process toevaluate its training and development program impact interms of learning, performance, work environment, andcontribution to mission accomplishment. The results ofthe evaluation reflect a positive contribution to missionaccomplishment.



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Compliance Results

As prescribed by the CHCO Act of 2002 (5 U.S.C. 1402),the agency CHCO has developed and advocates a cultureof continuous learning to attract and retain employees

with superior abilities and sets the workforce developmentstrategy.

The agencys training programs comply with the provisionsof 5 U.S.C. 4101 and 5 CFR 410 and 412.

As provided in the CHCO Act of 2002 (5 U.S.C. 1103(c)),the agency:

Sustains a culture that cultivates and develops a high-performing workforce

Develops and implements a knowledge managementstrategy supported by appropriate investment intraining and technology.


RELATED TOOLS The following tools support Continuous Learning. Refer toAppendix A for tools.


Individual Development Planning 53

Learning Strategies for Creating a Continuous Learning Environment 59

Employee Development and Training Flexibilities 71

Evaluating Training: A Primer 81

Strategically Planning Training and Measuring Results 83

Fostering a Learning Organization 87



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CONTINUOUS LEARNING


The agency has a con inuous learningsystem that:

t

Is based on accurateinformation from IDPs and anannual organizational needsanalysis

Focuses on mission-criticaloccupations

Effectiveness Indicators A training needs assessment linked to strategic

and mission-critical competencies is conducted.Based on assessment results, employees aretrained in specific, job-related skills andknowledge.

Training programs are designed andimplemented which build competenciesimportant to strategic goals and objectives andthe agencys performance plan execution.

Competency-based career developmentprograms, including various developmentactivities and learning opportunities, havebeen implemented and documented and arebeing used by employees.

Competency models have been establishedwhich document standards for competencylevels (e.g., entry, journey, expert).

IDPs, or a similar process, are established foremployees in mission-critical occupations. IDP

completion is tracked and review indicates IDPsare being completed in most cases.

Performance evaluations reflect consideration ofemployee developmental training anddevelopmental needs. Review indicates action isusually taken to follow through on meetingthese needs.

Agency policy and practice reflect responsibilityfor employee development is shared betweenemployees and managers.

Compliance Indicators

In accordance with 5 CFR 410, the agencyassesses training needs annually.

The agency closes skill gaps in mission-criticaloccupations in accordance with the CHCO Act (5U.S.C. 1103(c)).



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CONTINUOUS LEARNING


The agency has a continuous learningsystem that:

Uses a wide variety of methodsincluding classroom training,distance learning, mentoring,and experiential learning

Encourages attendance atconferences, workshops, andseminars

Effectiveness Indicators The agency conducts an analysis to select and

implement the best array of learning strategies(e.g., rotational assignment, shadowing,mentoring) for the targeted audience(s) toprovide them with mission-critical competencies.

Learning technology and other alternativelearning strategies are reflected in the agencysstrategic human capital planning documents andtraining plans.

Where appropriate, the agency has implementede-learning activities such as eGov OnlineLearning Center.

The agency has invested in the infrastructurenecessary to leverage learning opportunities thatinclude the application of reasonableaccommodation, where justified by return-on-investment analysis.

Leaders are responsible for leadershipdevelopment and emphasize the value of

learning, foster learning opportunities foremployees, and demonstrate their supportthrough personal involvement and resourceallocation decisions. For example, they:

Set aside a percentage of salary dollars foremployee training and development

Provide tuition assistance for formaleducation

Establish long-term technical developmentprograms

Fund employee certification requirements asauthorized.

Policies, practices, and resource allocationdecisions demonstrate agency support forcontinuous learning.



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CONTINUOUS LEARNING



Is properly funded, monitored,and evaluated

Is administered fairly.

Effectiveness Indicators Employee survey results, including the Federal

Human Capital Survey, indicate employeesbelieve they have appropriate opportunities todevelop skills through training and experience.

Analysis of education, training, and developmentopportunities shows no disparate treatment ofsegments of the workforce (i.e., training isappropriately aligned with workforce planninggoals, priorities are based on available funding,

and opportunities are provided equitably acrossthe employee population).

A training evaluation system has beenimplemented which measures the impact oftraining at the following levels:

Did learning occur?

Was learning applicable to job performanceor other behavior important to theorganization and to results?

Did the employee apply the learning orbehavior to his/her job or work environment?

If the employee applied the learning, did ithave the expected impact on performance orother job-related behavior?

An analysis has been conducted of theevaluation results and this information is used tomake decisions about investments in employeetraining and development. Generally, theevaluation indicates training and developmentinvestments are making a positive impact on theorganizations performance and/or workenvironment and meet the training goals andexpectations established between supervisorsand employees prior to participation in training.



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CONTINUOUS LEARNING



Compliance Indicators As prescribed by the Federal Workforce

Flexibility Act, the agency has evaluated eachtraining program or plan established, operated,or maintained with respect to accomplishingspecific performance plans and strategic goals inperforming the agency mission; and the agencyhas modified such programs or plans toaccomplish goals.

As established by 5 CFR 410.601, the agency

evaluates training to determine how well itmeets short- and long-range program needs byoccupations, organizations, or other appropriategroups.



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Change Management


Continuous Learning

SECTION III


System


RESULTS:KNOWLEDGEMANAGEMENT

When the key elements of the critical success factorKnowledge Management are effectively implemented,agencies will realize the following results:


The agency has developed and implemented a knowledgemanagement process that provides a means to sharecritical knowledge across the organization. Leadershipalso encourages and rewards knowledge sharing.

Information technology tools that facilitate gathering andsharing knowledge within and outside the agency areavailable to employees to improve individual andorganizational performance.

Compliance Result

As prescribed in the Chief Human Capital Officers (CHCO)Act of 2002 (5 U.S.C. 1103(c)), the agency has developedand implemented a knowledge management strategysupported by appropriate investments in training andtechnology.

The following page provides key elements and suggestedperformance indicators for this critical success factor.



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RELATED TOOLS The following tools support Knowledge Management. Referto Appendix A for tools.


Leveraging Knowledge Capital 91

Communities of Practice 97



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KNOWLEDGE MANAGEMENT


The agency has a knowledgemanagement system that:

Captures, indexes, processes,and easily retrieves data thatmay be composed of text,audio, video, and Web-basedelements

Facilitates the sharing ofknowledge and best practicesthroughout the agency

Maintains active participation incommunities of practice outside

the agency Establishes communities of

practice for sharing keyknowledge at all managerialand leadership levels.

Effectiveness Indicators A knowledge management process has been

developed, documented, and systematicallyshared with employees. Training and/ororientation is provided to the workforce. Aninfrastructure which facilitates knowledgecapture, indexing, processing, and retrieval isestablished to support knowledge sharingthrough the use of the intranet, sharednetworks, and communities of practice and/orbest practices.

The agency has analyzed the use of theknowledge-sharing process and established theutility and usage of the process and tools.

Knowledge sharing has been established asan organizational value through managementcommunications and recognition ofemployees who exemplify the practice ofknowledge sharing.

Requirements and specifications for tools

support work performed by employees. The agency has begun codifying knowledge

through the use of the intranet, sharednetworks, and communities of practice and/orbest practices.

Compliance Indicator

As prescribed in the CHCO Act (5 U.S.C.1103(c)), the agency has developed andimplemented a knowledge management strategysupported by appropriate investments in training

and technology.



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Leadership Knowledge Management

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