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Part 6. Human Resources Management

Chapter 415. Leadership and Organizational Effectiveness

Section 1. Programs, Responsibilities, and Policy

6.415.1  Programs, Responsibilities, and Policy

6.415.1.1  (05-31-2002)
Overview

  1. IRM 6.415 provides Commissioners and their staffs with Information on Leadership Development, Organization Development, and Change Management programs and policy within the Internal Revenue Service (IRS). This document contains information on the functions and responsibilities of the following:

    • Leadership and Organizational Effectiveness Division

    • Leadership Development Executive Council

    • Center for Leadership Development

    • Center for Organizational Effectiveness

    • Center for Organization Development and Client Teams

  2. The mission, roles and responsibilities, programs, and succession planning activities supporting IRS leadership and organization development are covered in this document.

6.415.1.2  (05-31-2002)
Leadership and Organizational Effectiveness Division

  1. The mission of the Leadership and Organizational Effectiveness Division of Strategic Human Resources (SHR) is to design products and services which support leaders at all levels in Operating and Functional Divisions through the following strategic programs:

    • Leadership Development

    • Conflict Management

    • Change Management

    • Corporate Initiatives

    • Organization Development Consulting

    • Succession Planning

6.415.1.2.1  (05-31-2002)
Roles and Responsibilities

  1. The Leadership and Organizational Effectiveness Division collaborates with Operating and Functional Divisions to develop cross-functional leadership core curricula; design and deliver executive development programs; promote organizational effectiveness through performance improvement products; and provide organization development consulting including change management and conflict management. The Leadership and Organizational Effectiveness Division funds development, contract, and instructor cost for corporate initiatives. Consequently, a projected schedule of Leadership courses is published early in the Fiscal Year.

  2. Operating and Functional Divisions identify and send front-line and senior manager candidates to Leadership Core Curriculum classroom training based on slot allocation. Operating and Functional Divisions fund travel costs for the Leadership Core Curricula training.

  3. Operating and Functional Divisions identify Executive Readiness Program candidates. The Leadership and Organizational Effectiveness Division funds all delivery and travel costs for Executive Readiness Programs.

  4. National Headquarters identifies Executive Development candidates. Leadership and Organizational Effectiveness funds travel costs. Operating and Functional Divisions fund Executive Continuing Professional Education (CPE) development or tuition costs.

  5. Functionally specific leadership offerings complement Core Leadership Curricula and support IRS leadership philosophy and competencies. Operating and Functional Divisions fund the development costs including the cost of materials, instructors and travel for their respective functional leadership offerings.

6.415.1.3  (05-31-2002)
Leadership Development Executive Council (LDEC)

  1. The Leadership Development Executive Council (LDEC) provides executive direction, oversight, and support for the development of a strong leadership team within the IRS to meet the challenges of today, as well as to build and lead the organization of the future. This includes the identification and continuous development of leaders at all levels of the organization.

  2. The functions of the Council are to:

    1. Create a vision of leadership for the Service;

    2. Ensure that the Service’s leadership development is world-class;

    3. Champion leaders and leadership actions aligned with the leadership vision;

    4. Balance corporate and divisional responsibility for leadership development;

    5. Ensure that leadership selection and development processes are aligned with the vision;

    6. Ensure that the development process meets immediate needs and anticipates future requirements;

    7. Ensure that the process is comprehensive and integrated;

    8. Support implementation and delivery of the process and its related products and services;

    9. Institutionalize the leadership identification and development processes;

    10. Establish metrics to monitor effectiveness of leadership development; and

    11. Ensure development and implementation of plans that support the strategy.

  3. The Council develops broad recommendations on behalf of the Executive Resources Board (ERB) and designs and implements leadership development processes and programs for the Service.

  4. LDEC membership consists of the Commissioner or Deputy Commissioner from each of the four Operating Divisions. Representatives from all other divisions and functions are invited to attend meetings. One Operating Division Commissioner and/or Assistant Commissioner chair the LDEC. Meetings are scheduled as needed.

6.415.1.4  (05-31-2002)
Center for Leadership Development

  1. The Center for Leadership Development provides general information and guidance on IRS policy on the following programs:

    • Leadership Development Framework

    • Leadership Competency Model

    • The 360 Developmental Process

    • Succession Planning

    • Leadership Curriculum

    • Front-line Manager Readiness Program (FMRP)

    • Senior Manager Readiness Program (SMRP)

    • Executive Readiness Program (XR)

    • Executive Development Program (XD)

6.415.1.4.1  (05-31-2002)
Leadership Development Framework

  1. Leadership Development is vital to the success of the IRS Mission. Operating Divisions and SHR function share responsibility for developing leadership capacity and capability for tomorrow’s leaders. The Leadership Development Framework, designed specifically to meet IRS needs, is a tool to help leaders excel in the IRS. As the Service continues the transition to the modernized structure, leaders need a solid grasp of business issues, education and experience to meet increasingly difficult challenges. A combination of technical, management and leadership skills are essential. The Leadership Development Framework provides a roadmap for learning and development of all leadership levels: pre-management, front-line, senior, and executive.

  2. The foundation for leadership development flows from a leadership philosophy that links excellence in leadership to competencies and related human resources systems such as selection, evaluation, and reward processes. Learning and development at each leadership level is achieved through a life cycle approach that develops, enhances and sustains competencies.

  3. The Leadership Development Framework will guide leaders in their current leadership position and prepare them for the future. It specifies training requirements and outlines how development assignments, special assignments, working on project teams, and coaching/mentoring processes can help them navigate their career.

  4. The Leadership Development Framework addresses all aspects of leadership development and provides guidance, support and resources required of continuous learning and leadership excellence in the modernized IRS. The Framework supports the following principles:

    1. Leadership development flows from the IRS Leadership Philosophy that links to our Mission, Guiding Principles and Strategic Business Goals;

    2. The IRS Leadership Philosophy translates into a set of desired leadership competencies;

    3. Leadership competencies drive the design of the leadership development process and related human resource systems such as selection, evaluation, rewards and career management;

    4. Competencies for effective leadership and performance can be developed, enhanced and sustained through a lifecycle of learning activities from pre-management through the Senior Executive Service;

    5. Leadership development is an SHR responsibility managed in collaboration with the Operating and Functional Divisions;

    6. Learning and competency development is supported by a curriculum; and

    7. Corporate commitment matches personal accountability for continuous learning and development.

  5. Leadership development is a collaborative effort between SHR and the Operating and Functional Divisions, (see Exhibit 6.415.1-1). Generally speaking, the responsibility and role of SHR in the Leadership Development Framework increases at the higher (senior and executive) leadership levels. On the other hand, the Divisions have greater responsibility for supporting the more unique needs of individuals in a pre-management process, and for developing front line leaders. Most importantly, the commitment and efforts of individual leaders at all levels regarding their development must match the IRS commitment as a whole. Exhibit 6.415.1-2 summarizes SHR and Division responsibilities.

  6. A major objective of the Leadership Development Framework is promoting and supporting continuous learning. This is crucial not only for leaders who seek advancement but also for those who prefer to remain within a specific leadership level. Continuous learning is couched within a menu of core and elective learning objectives and activities that are delivered through the Leadership Development Framework.

  7. Special emphasis and focus is placed on transferring leadership theory and knowledge to daily work operations. Thus, learning activities have been designed to enhance learning on the job.

6.415.1.4.2  (05-31-2002)
Leadership Competency Model

  1. The IRS has determined through interviews and external validation that there are twenty-one (21) leadership competencies, which adequately describe the behaviors of successful leaders in the new IRS. These twenty-one (21) leadership competencies establish the IRS brand of leadership. The IRS Leadership Competency Model exists to reflect the necessary behaviors of leaders at all levels in the modernized IRS, from employees to executives. The IRS model uses different competency language than the government-wide Office of Personnel Management (OPM) competency model; however, the competencies are similar. The OPM has approved the IRS leadership competencies for use in human resources processes, including selection, development, evaluation and reward, and recognition. (See Exhibit 6-415.1-3.)

  2. The twenty-one (21) competencies in the IRS Leadership Model can be linked directly to the five Core Responsibilities contained in the Executive and Managerial Performance Agreements, Linking the leadership competencies to the performance plan makes it possible to use competencies to help measure managerial performance. The Executive and Managerial Performance Agreement describes what a manager commits to do. The leadership competencies describe how a successful leader behaves in accomplishing the work. The competencies help further describe leadership in the modernized IRS environment. IRS is integrating the leadership competencies into key HR processes for selection, development, evaluation, and reward and recognition. (See Exhibit 6.415.1-4.)

6.415.1.4.3  (05-31-2002)
The 360 Developmental Process

  1. The 360 assessment is part of a developmental process integrated with formal leadership training and development programs. The 360 assessment provides managers with a mechanism to obtain feedback from peers, employees and supervisors. Using this process, managers are able to analyze their personal development in each of the twenty-one (21) Leadership competencies to provide a baseline of where they are in their skill level. The 360 tool should also be used during the development process to assess the need for training as well as the effectiveness of the training.

6.415.1.4.4  (05-31-2002)
Succession Planning

  1. Succession Planning and Management (SP&M), synonymous with leadership development, is a deliberate and systematic effort by IRS to ensure leadership continuity in key positions, retain and develop intellectual and knowledge capital for the future and encourage individual advancement. SP&M processes are designed and offered by Leadership and Organizational Effectiveness and applied in conjunction with customer organizations and their Resources Boards. The IRS has three steps for Succession Planning.

6.415.1.4.4.1  (05-31-2002)
Succession Planning Step 1

  1. Step 1 in Succession Planning and Management involves the establishment of required positions from both the Modernization Blueprint and those approved by OPM; development of the twenty-one (21) leadership competencies tied to Performance Plan Core Responsibilities used for selection, development, evaluation and reward and recognition; and projection of vacancies based on forecasting and priorities identified by the divisions.

    Note:

    This is a critical step in determining what positions and how many positions will need to be filled today and in the future. This step is clearly linked to Strategic Planning and Budgeting process.

6.415.1.4.4.2  (05-31-2002)
Succession Planning Step 2

  1. Step 2 involves identifying the succession candidates. Once succession needs are determined, the organization and individuals identify the candidates who may meet those needs in the following manner:

    1. Division identifies potential candidates by leadership level and staffing priority;

    2. Executives and individuals identify target positions and match preferences against critical needs by using Succession Planning Resource Center report generation.

      Note:

      The identification of an individual as a potential successor is no guarantee of eventual placement, but this step establishes the pool of candidates who will need further development to meet the demands of target positions. This process will systematize the organization’s investment in employee training and development.

6.415.1.4.4.3  (05-31-2002)
Succession Planning Step 3

  1. Step 3, the final step in succession planning, is to Tailor Succession Strategy. In this step, the organization and the individual work together to meet the organizational succession demands in the following manner:

    1. Identification of critical gaps, looking for immediate successors, and those ready in two to five years. The (ERB) and the Divisions perform those functions, and also identify those positions with no successor in the pipeline;

    2. Development of a position-based succession strategy. This strategy may include internal and external recruiting, deliberate development of successors in the pipeline, reward and retention of those who are performing, and effective and timely transitions between incumbents and successors; and

    3. Creation of individual Leadership Action Plans that focus on deliberate developmental challenges and document accomplishments.

    Note:

    The Succession Planning Resource Center is a web-based, password-protected system linked to individual TIMIS data. This system will allow divisional program managers to access their summary divisional reports for succession pools, depth charts, and positions with succession gaps. The web site can be viewed at http://152.219.170.102/sprc.

6.415.1.4.5  (05-31-2002)
The Leadership Core Curriculum

  1. The Center for Leadership Development offers educational opportunities that emphasize the leadership responsibilities of managers in the New IRS. A few examples of leadership activities are setting direction, building teams, and leading change. These are different from management activities such as planning and budgeting, organizing and staffing, and controlling and problem solving.

  2. Education opportunities in leadership are provided in the Leadership Catalogue. This catalogue lists the IRS Leadership Curriculum for all levels of management: pre-management, front line, senior, and executive. It provides a description of the courses currently available, and can be found at http://shr.web.irs.gov/l&oe.html. At each leadership level there are Core courses for all managers commensurate with their stage of development, (see Exhibit 6.415.1-5).

  3. All leadership-training courses are based on competencies: the skills, knowledge and experience necessary to manage successfully. The courses are categorized by leadership level. A description of each course including the primary competencies, length of course and any required prerequisites are found in the catalogue. The matrix for each management level includes the competencies and lists the existing courses and competencies covered.

  4. Since everyone does not learn the same way, additional resources such as books, audiotapes, publications and Internet websites organized by competency can be found at http://shr.web.irs.gov/. Click on Compendium to the Leadership Catalogue. These resources supplement or substitute for classroom training. Some of the resources may be available from IRS Career Management Learning Centers (CMLC’s). Other potential sources include the embedded Human Resources function and local public libraries.

6.415.1.4.6  (05-31-2002)
Front-line Manager Readiness Program (FMRP)

  1. The Front-line Manager Readiness Program (FMRP) is targeted at interested and motivated employees who have demonstrated a serious interest in becoming future IRS leaders. Students will compete for selection into the program and will participate in classroom and developmental activities collateral with their official duties. This twelve-month program will blend classroom and self-study activity with the goal of developing the twenty-one (21) IRS leadership competencies.

  2. The Front-line Manager Readiness Program includes a strong emphasis on working within teams. Each participant will be part of a four to six member team that will work together throughout the program. Participants will identify, seek approval for, and work on a project that will serve as a learning tool during the program. They will attend formal classroom training and complete some web-based training on official time. In addition, they will be strongly encouraged to pursue individual development on their own time using curriculum-identified resources and/or student identified activities.

  3. Many of the activities will provide value-added benefits to local management by incorporating developmental activities into ongoing business unit needs. For example: students will receive acting manager assignments, work on projects having local impact and become certified as instructors for local technical training.

  4. Applicants will be competitively selected into the Front-line Manager Readiness Program. In order to apply, they must meet the following minimum requirements:

    1. Be at least Fully Successful on their latest evaluation; and

    2. Be eligible for a management position by completion of the (12) twelve-month program.

6.415.1.4.7  (05-31-2002)
Senior Manager Readiness Program (SMRP)

  1. The Senior Manager Readiness Program (SMRP) prepares experienced front-line leaders for senior-level positions (see Exhibit 6.415.1-6). The following principles guide the program:

    1. Program activities are linked to Leadership Competencies;

    2. The program occurs over an extended period of time, likely to be twelve (12) to twenty-four (24) months;

    3. Selection into the program is competitive;

    4. Participants are managers who have several years of experience;

    5. The program is customized to meet individualized needs of participants;

    6. Program components include cross-functional education and performance, team projects, classroom training, distance learning and self-assessments; and

    7. University partnerships help in preparing leaders for increased responsibilities.

6.415.1.4.8  (05-31-2002)
Executive Readiness Program (XR)

  1. The IRS is strongly committed to the identification of experienced, qualified employees who aspire to become executives. To meet this commitment, the Service has developed and implemented the Executive Readiness (XR) program. The program combines core training courses, individual learning activities, assessments and challenging developmental assignments designed to meet the leadership and technical competencies of the IRS.

  2. The XR program is open to GS-14 and GS-15 employees. An executive panel in each business unit with consistent competency-based standards screens applications.

  3. A more detailed explanation of the Executive Readiness (XR) program can be found in 6.920. (Information will be contained in IRM 6.920 which will be published at a future date.)

6.415.1.4.9  (05-31-2002)
Executive Development Program (XD)

  1. The Executive Development (XD) program is a four (4) to six (6) month formal training program that is designed to develop executives who have the necessary core competencies to successfully lead the IRS.

  2. The program combines: general IRS business training; inter-agency exposure; practical case studies; simulations; university partnerships; information technology symposiums; and an array of strategic planning and implementation seminars, as well as individual developmental activities.

  3. The XD program aspires to develop top-level executive candidates into a well-rounded group of proactive, responsive, innovative, and responsible leaders who possess the highest level of integrity and honor.

  4. The XD program is filled through competitive selection. The program is open to internal and external applicants.

  5. A more detailed explanation of the Executive Development (XD) program can be found at IRM 6.920. (Information will be contained in IRM 6.920 which will be published at a future date.)

6.415.1.5  (05-31-2002)
The Center for Organizational Effectiveness

  1. The Center for Organizational Effectiveness provides internal consulting, performance support and project management support to the IRS. Performance support is a user-focused, just-in-time approach designed to provide the means for more efficiently accomplishing jobs or tasks. Performance support tools take many forms, from "go-by" sheets to on-line systems. Project management is a structured, process-driven approach, enabling project teams to coordinate their efforts and thereby create the right product, at the right time, for the right customer, within the resource limits established by the organization. This type of support is provided on the following corporate initiatives:

    • Conflict Management

    • Change Management

    • IRS Modernization initiatives such as Balanced Measures, Managing Statistics, Performance Management System, Stakeholder Relationship Management, Employee Satisfaction Survey, Business Consulting Certification Program, Paybanding

6.415.1.5.1  (05-31-2002)
Conflict Management

  1. The IRS Center for Conflict Management resides within the Center for Organizational Effectiveness. The Center serves as a focal point for the Conflict Management Initiative, a joint venture between IRS management and the National Treasury Employees’ Union (NTEU) to foster and integrate collaboration throughout the organization. The Center consults on conflict management systems, and the design and delivery of customized workshops. Center practitioners use the following strategies to further the initiative:

    1. Systems — consult on the design of interest-based processes, procedures and other essential components of an infrastructure that encourage collaboration;

    2. Leadership — collaborate with IRS and NTEU leaders to sponsor conflict management systems design and interest-based education efforts; and

    3. Education — design, develop and deliver customized interest-based courses to foster widespread understanding and build capacity to collaborate.

6.415.1.5.2  (05-31-2002)
Change Management Program

  1. The goal of the IRS Change Management Program is to provide a Change Management Strategy that guides consulting support to Operating Divisions and Functional Divisions in the areas of organizational transformation and strategic realignment. This is accomplished by:

    1. Managing external consulting contract for Change Management Strategy;

    2. Coordinating projects involving external consultants; and

    3. Supporting development of action learning products. These products provide a method to learn by doing.

  2. Action Learning Products are also a part of the Change Management Program and perform the following functions:

    1. Support transfer of learning by building management capacity;

    2. Using the Action Learning Process, provide education support to assist leaders in the application of a theoretical model to solving a real-time problem or business challenge;

    3. Target behavior changes to specific issues; and

    4. Lead to more successful integration of new job skills by encouraging ownership of both problems and solutions.

6.415.1.5.3  (05-31-2002)
Corporate Initiatives

  1. The Center for Organizational Effectiveness has strategic oversight for the following IRS Modernization education programs:

    1. Balanced Measures Training for New Managers which provides education support for new managers in the application of Balanced Measures management principles, data collection methods and the interpretation of results;

    2. Customer Satisfaction Education Programs, which provide survey design, analysis and related consulting support to the Service’s internal customer satisfaction efforts;

    3. Employee Satisfaction Education Programs which provide education support to the Service’s Employee Satisfaction Survey efforts; and

    4. Performance Management System (PMS) Education Programs which provide education support for strategic initiatives designed to align the Service’s performance management system with IRS Balanced Measures and organizational goals.

6.415.1.6  (05-31-2002)
The Center for Organization-Development and Client Teams

  1. The Center for Organization Development and Client Teams have end-to-end accountability for providing Organization Development (OD) consulting services within the Internal Revenue Service. The Center is a corporate asset through which the business units can access internal and external OD services. Organization Development consultants work with business leaders to help identify and address a variety of organizational issues, they design and support change initiatives, build and maintain management teams and advise leaders on matters relating to their field of expertise.

  2. Organization Development is a system-wide application of behavioral science knowledge (psychology, sociology, cultural anthropology and certain related disciplines) to the planned development and reinforcement of organizational strategies, structures and processes for improving an organization’s effectiveness.

  3. The Center includes a group of internal Organization Development Consultants (ODCs) who serve business leaders providing services such as organizational diagnostics, strategic and tactical planning, and design and execution of interventions and change initiatives. The Center also provides a cadre of collateral duty Facilitators who provide services such as meeting planning, meeting design and group process facilitation.

  4. The Center is a corporate resource for obtaining external consulting services in the areas of Organization Development, Leadership, Group Facilitation support and Alternative Dispute Resolution ADR. The Center assists the business client in the identification of external consulting services through the development of statements of work, the procurement of services, the administration of contracts, and the evaluation of services.

  5. The Center has overall responsibility for marketing and brokering Organization Development, Leadership Development and Organizational Effectiveness products and services with the Commissioner, Division Commissioners and their immediate staffs.

Exhibit 6.415.1-1  (05-31-2002)
Leadership Development Framework

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Exhibit 6.415.1-2  (05-31-2002)
Divisions and SHR Responsibilities

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Exhibit 6.415.1-3  (05-31-2002)
The 21 IRS Leadership competencies are grouped under five Core Responsibilities

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Exhibit 6.415.1-4  (05-31-2002)
IRS Leadership Competencies

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Exhibit 6.415.1-5  (05-31-2002)
Core Leadership Courses

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Exhibit 6.415.1-6  (05-31-2002)
Senior Manager Readiness Program

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