U.S. DEPARTMENT OF AGRICULTURE
WASHINGTON, D.C. 20250
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DEPARTMENTAL REGULATION |
Number: 1061-003 |
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SUBJECT: USDA
Executive Resources Board |
DATE: November 4, 2014 |
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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 3
8 Procedures 6
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 Fellow 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 SES and 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. Title 5 United States Code (U.S.C.)
Section 3393(b), Career Appointments
b. Title 5 Code of Federal Regulations (CFR),
Part 317,
Employment in the Senior Executive Service
c. Title 5 CFR, Part 319, Employment in
the Senior Level and Scientific and Professional Positions
d. Title 5 CFR, Part 362 Subpart D,
Presidential Management Fellow Program
e. Title 5 CFR, Parts 412.302, Senior
Executive Service Candidate Development Program and 412.401, Continuing
Executive Development
f. 5 CFR 430 Subpart C, Managing Senior
Executive Performance
g. OPM SES Desk Guide
h. USDA Desk Guide for Executive Resources
3. SPECIAL INSTRUCTIONS
This replaces
Departmental Regulation 1061-002, dated October 4, 2012.
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, and pay policy, 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
Under
this directive the Secretary reserves the right to delegate, in writing,
additional roles and responsibilities as deemed necessary.
The
Secretary delegates authority to the Chairperson 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; and
(2)
Delegate to the ERB additional
functions and authorities beyond the mandatory responsibilities in 5 U.S.C §
3393(b), 5 CFR § 412.302 (a), and 5 CFR § 362.401, 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)
Ensuring membership is a mix of
career/non-career SES and SL/ST employees and is representative of USDA Mission
Areas;
(4)
Convening ERB meetings;
(5)
Establishing the ERB agenda;
(6)
Serving as ERB point of contact with
the appointing authority, the Office of Personnel Management, and others, as
appropriate;
(7)
Seeking technical and or legal
advice and guidance, as necessary; and
(8)
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 for the Executive
Resources Management Division in the Office of Human Resources Management 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:
(1)
Overseeing the merit staffing process
for career appointment to SES and SL positions;
(2)
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; and
(3)
Communicating with their USDA
Mission Area about the ERB’s recommendations on the various SES and SL/ST
policies under this directive.
The major activities
of ERB members include:
(1)
Position Management/Succession
Planning/Resource Utilization
Ensures that USDA has the appropriate number and types 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 that USDA recruits, selects, and retains SES and SL staff
with the qualifications needed for accomplishing the Department’s present
mission and future program needs.
Under
this directive the Secretary authorizes the ERB to delegate the merit staffing
process for career appointments to the Executive Merit Staffing Board (EMSB)
for:
(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)).
Each
EMSB will have a Chairperson and members will be appointed in accordance with
USDA policy. The Chair of each EMSB will
work closely with the Executive Resources Management Division in the Office of
Human Resources Management to ensure adherence to merit staffing principles in
accordance with 5 CFR § 317 and 319. The
EMSB will:
(c)
Review and evaluate competitive
candidates against the executive core qualifications and any mandatory
technical qualifications identified;
(d)
Ensure that candidates are evaluated
and rated in accordance with
Departmental
procedures and those evaluations are fully documented; and
(e) Certify and refer the “Best Qualified”
group of candidates to the Director, Executive Resources Management Division
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.
The
ERB will approve the SES Career Development Program (SES CDP) Plan for USDA;
certify Individual Development Plans (IDP’s) 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
IDP’s 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 (PMF)
Oversees the
development and certification of USDA’s 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 362.401, the ERB may
delegate these responsibilities to a sub or ad hoc executive group to:
(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 IDP’s 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
(1)
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.
(2)
Consensus shall be the preferred
decision-making process; however, in the absence of consensus, the ERB Chairperson
shall call for majority vote.
(3)
The ERB may establish such
procedures as necessary to carry out its functions.
-END-
/s/
Thomas
J. Vilsack
Secretary