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DEPARTMENTAL REGULATION |
Number: 1061-002 |
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SUBJECT USDA
Executive Resources Board |
DATE: October 4, 2012 |
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OPI: |
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Section Page
1 Purpose 1
2 References 1
3 Special Instructions 2
4 Policy 2
5 Delegations of Authority 2
6 ERB Membership 2
7 Responsibilities
2
8 Procedures 5
1. PURPOSE
Each
Federal agency is required by 5 U.S.C. § 3393(b) to establish one or more
Executive Resources Boards (ERB’s), the members of which shall be appointed by
the Secretary. The ERB will conduct the merit staffing process for career entry
into the Senior Executive Service (SES); entrants into the Presidential
Management Fellows Program (PMF); and other functions relating to the
management of the Department’s executive resources, as delegated by the Secretary,
to include the oversight of human resources matters related to Senior Level
(SL) and Scientific or Professional (ST) employees. The purpose of this directive is to set forth
the Department of Agriculture’s (USDA) policies and procedures for
administering the USDA ERB.
2. REFERENCES
a. 5 U.S.C. §
3393(b)
b. 5 CFR §
317.501(a)
c. 5 CFR §
412.401
d. 5 CFR 430.301(c)
e. 5 CFR §
362
f.
OPM SES Desk Guide
g.
USDA Desk Guide for Executive Resources
3. SPECIAL INSTRUCTIONS
This
replaces Departmental Regulation 1061-001, dated September 8, 2009.
4. POLICY
It
is USDA’s policy to ensure the conduct of proper merit staffing for career
appointment to SES and SL positions and to provide institutional continuity in
executive personnel management in the Department through the general oversight
of the management of the agency’s executive staffing resources, development,
evaluation, pay policy, and various other executive policies through the ERB.
There
shall be one ERB at USDA that serves as the Departmental governing board for executive
resources policy. There will be no
executive resources policy decisions made or delegated to the agencies. The ERB
will provide institutional continuity in executive and senior employee personnel
management for the Department by overseeing the merit staffing process for
career appointment to the SES and to SL positions and providing advice to the
Secretary in executive and senior employee personnel planning, executive
resource utilization, executive development, and other related activities as
the Secretary deems necessary. The Chair
may establish ERB subgroups and committees to facilitate the successful
accomplishment of Board business, as deemed appropriate.
5. DELEGATIONS
OF AUTHORITY
The
Secretary reserves the right to delegate, in writing, additional roles and
responsibilities under this Directive, as the Secretary may, from time to time deem
necessary.
The
Secretary delegates authority under this directive to their Chairperson the authority
to appoint all other Members as outlined in this directive.
6. ERB MEMBERSHIP
ERB
members must be SES and SL/ST employees of the Department. To the extent practicable, ERB membership
should be a cross section of career and non-career appointees and be reflective
of the broad diversity of the Department.
7. RESPONSIBILITIES
a.
The USDA Secretary shall:
(1)
Have the sole discretion to appoint
the Chairperson.
The
USDA Secretary may:
(1)
establish a specific term of service
for ERB members and the ERB Chairperson; and document such discussions in the
ERB Charter.
(2)
delegate to the ERB additional
functions and authorities beyond the mandatory responsibilities in 5 U.S.C § 3393(b) and 5 CFR § 412.401,
as the Secretary deems appropriate.
b. The ERB Chairperson, serves as a
permanent member of the board and is responsible for overseeing the activities
of the ERB, to include, but not limited to the following:
(1)
appointing the Vice chair, who will
serve as a permanent member;
(2)
appointing members as delegated by
the Secretary;
(3)
convening ERB meetings;
(4)
establishing the ERB agenda;
(5)
serving as ERB point of contact with
the appointing authority, the Office of Personnel Management, and others, as
appropriate;
(6)
seeking technical and or legal
advice and guidance, as necessary; and
(7)
distributing work of the ERB among small
groups of members or appointing outside work groups and subcommittees to
efficiently accomplish the work of the ERB.
c. The Director, Office of Human Resources
Management, serves as a permanent member of the board and is responsible for:
(1)
establishing, revising and issuing
Department-wide policy directives and guidance for the ERB and updating such
policy directives as needed;
(2)
serving as Executive Secretary to
the ERB;
(3)
providing staff support to the ERB,
including all administrative, analytical or other services necessary to carry
out the functions of the ERB; and
(4)
conducting all day-to-day operations
pertaining to personnel actions and administration of executive personnel
programs.
d. ERB Members are responsible for
overseeing the merit staffing process for career appointment to SES and SL
positions and for advising the Secretary in executive and senior employee personnel
planning, executive resource utilization, executive development, and other
related activities as the USDA Secretary deems necessary.
The
major responsibilities of ERB members include:
(1)
Position Management/Succession
Planning/Resource Utilization
Ensures
that the USDA has the appropriate number and kinds of SES, SL and ST positions
and appointing authorities needed for accomplishing the Department’s mission,
and structures the work of its executive/senior positions for maximum program
efficiencies and effectiveness.
(2)
Staffing Management
Ensures
the USDA recruits, selects, and retains executive staff with the qualifications
needed for accomplishing the Department’s present mission and future program
needs.
ERB
members are statutorily required to conduct the merit staffing process for
career appointments to the SES, by:
(a)
Reviewing the executive
qualifications of each candidate for a position to be filled by a career appointee
(5 U.S.C § 3393(b)(1); and
(b)
Making written recommendations to
the appropriate appointing authority concerning such candidates (5 U.S.C. §
3393(b)(2);
The
ERB delegates authority to Agency “Executive Merit Staffing Boards” to conduct
the merit staffing process for SES career appointments and other such
responsibilities as the ERB deems necessary.
The Chair of each Executive Merit Staffing Board will work closely with Executive
Resources Management Division, Office of Human Resources Management to ensure
adherence to merit staffing principles.
In addition, the Executive Merit Staffing Board will:
(a)
Review and evaluate competitive candidates for SES vacancies against the
executive core qualifications and any
mandatory technical qualifications
identified;
(b)
Ensure that candidates are evaluated and rated in accordance with
Departmental procedures and that
evaluations are fully documented;
(c)
Certify and refer the “Best Qualified” group of candidates to the servicing
Mission Area Human Resources Director who
refers the certified group and
the non-competitive group of qualified
applicants to the recommending
official.
(3)
Executive Development Management
Ensures
that USDA identifies and prepares its best employees for the future assumption
of executive and management positions and provides opportunities for continuing
growth of its current executive and senior team to enhance accomplishment of
the Department’s mission.
SES
Career Development Program (SES CDP) - The ERB will approve the SES CDP Plan for
USDA; certify Individual Development Plans (IDPs) for each candidate
participating in the program; and certify graduate executive core
qualifications and completion of program requirements prior to submission of a
graduating participant’s packages to OPM.
The
ERB may delegate the review of IDPs and participant packages to a sub or ad hoc
executive group.
(4)
Performance Management
Ensures
the Department’s SES and SL/ST employees have clear work objectives and
performance standards; that progress and accomplishments are reviewed
periodically, with adjustments, as appropriate, to objectives, standards, and
assignments to improve the attainment of Departmental goals.
(5)
Compensation Management
Ensures
that SES and SL/ST employees are compensated equitably for their work and that their
accomplishments are recognized and rewarded, by reviewing and recommending pay
level increases and/or nominations for Presidential Rank Awards; and providing
advice on matters relating to executive/senior compensation (e.g., bonuses,
incentive awards, base pay, etc.).
(6)
Presidential Management Fellows Program
Oversees the development and certification of
USDA’s Presidential Management Fellows (PMF) Program. The ERB provides
oversight of both the Senior component of the Program (GS-13 through GS-15) and
the Fellows component of the Program (GS-9 through GS-12). In accordance with 5 CFR 362, the ERB may
delegate these responsibilities to a
sub or ad hoc executive group:
(a)
Approve initial appointments of Senior Fellows;
(b)
Request appointment extensions from the Office of Personnel
Management (OPM) of up to one additional year for both Fellows and Senior
Fellows;
(c)
Certify Individual Development Plans for Senior Fellows; and
(d)
Certify successful completion of all program requirements and direct the
Executive Secretary to submit certifications to OPM and agency PMF
Coordinators for both Fellows and Senior Fellows.
.
8. PROCEDURES
a.
A quorum is required for ERB
action. A quorum is defined as the ERB
Chairperson or Vice-Chairperson and at least 50 percent of its appointed
members.
b.
Consensus shall be the preferred
decision-making process; however, in the absence of consensus, the ERB
Chairperson shall call for majority vote.
c.
The ERB may establish such
procedures as necessary to carry out its functions.
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