Attachment_B_-_Treasury_SES_CDP_Implementation_Plan_OPM_Oct_2014.pdf

Department of the Treasury Multi-Agency

SES Candidate Development Program Implementation Plan

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This implementation plan is supplemental to Treasury’s Corporate SES Candidate Development Program (CDP) Issuance Notice (TN-11-007), as approved by OPM, and will adhere to the policy set forth in that Notice. The program requirements outlined here are applicable to all Treasury bureaus, Treasury Executive Institute (TEI) partners, and other non-Treasury entities. The Internal Revenue Service operates under an existing OPM-approved SES CDP implementation plan; however, is not prohibited from participation under this plan.

Roles and Responsibilities

Cross-Functional ERB The cross-functional ERB will be composed of members identified by each participating bureau/agency. The Associate CHCO for Executive & Human Capital Services will chair this board. The board will:

(1) identify appropriate developmental assignments, or concur with bureau/agency recommendations (if applicable);

(2) approve candidates executive development plans;

(3) match mentors with candidates;

(4) review, at least every six months, each candidate’s performance and progress in completing EDP activities and document the review in writing;

(5) serve as the final approval prior to OPM QRB submission certifying that candidates have successfully completed all requirements for the CDP program; and

(6) review and respond to requests for termination or a pause in program.

Bureau/Agency Appointing Authority The Treasury Bureau Appointing Authority for this program is the Associate CHCO for Executive & Human Capital Services whom will coordinate with Bureaus to ensure the following are met. Each individual participating Agency Appointing Authority (usually the Agency Head or other designated official) will:

(1) monitor executive staffing levels, assessing the availability of skilled executives, and identifying skills gaps as part of their strategic and succession planning efforts;

(2) determine the role the formal SES Candidate Development Program will play in the systematic development of individuals for executive positions to address needs that are identified through succession planning;

(3) ensure program funding and slots are allocated through the Treasury Executive Institute (TEI);

(4) ensure recruitment efforts take into consideration the goal of achieving a diversified workforce;

(5) identify and select the best qualified candidates consistent with merit system principles and maintain merit staffing records for at least two years after selections are made;

(6) establish a memorandum of understanding (MOU) with agencies for external candidates that remain on their home agency’s roles and providing a copy of the MOU

2 | P a g e to the Associate CHCO for Executive & Human Capital Services; and

(7) consider QRB certified candidates for SES positions as vacancies occur.

Bureau/Agency ERB Each participating Bureau/Agency ERB will:

(1) administer the SES Candidate Development Program consistent with law, regulations, and requirements set forth in this plan and Treasury’s Corporate policy;

(2) conduct the merit staffing process for SES candidate selections and make written recommendations for selections to the bureau/agency appointing authority;

(3) make recommendations to the cross-functional ERB regarding developmental needs of specific candidates (optional); and

(4) submit requests for termination or a pause in program to the Cross-Functional ERB for review and concurrence.

Associate CHCO for Executive & Human Capital Services The Associate CHCO for Executive & HCS will:

(1) establish policies and procedures for conducting a formal SES Candidate Development Program and obtain OPM approval;

(2) periodically evaluate the effectiveness of the SES Candidate Development Program in terms of:

(a) announcement patterns (to ensure QRB certified candidates are considered/placed before new cohorts are created);

(b) successful program completion (to ensure candidates are prepared to assume SES positions and are certified by the Qualifications Review Board);

(c) placement rates (to track percentage of QRB certified candidates placed in SES jobs); and

(d) diversity (to determine impact on underrepresented groups).

Treasury Office of Executive Resources The Treasury Office of Departmental Executive Resources will:

(1) serve as the point of contact on merit staffing issues and partner with TEI on developmental requirements;

(2) provide templates and other materials to be used by all participating bureaus and agencies (e.g., vacancy announcement templates, checklists, QRB material, etc.);

(2) review all candidate requests for Qualifications Review Board (QRB) certification of executive qualifications and submit cases to OPM for action; and

(3) maintain records of QRB actions and provide names (upon request) and resumes of certified candidates to bureaus/agencies for placement consideration.

Treasury Executive Institute (TEI) The TEI will:

(1) ensure candidate developmental training and activities meet the requirements of Treasury’s OPM-approved SES Candidate Development Program;

(2) solicit for and train a pool of SES mentors;

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(3) solicit for and maintain a pool of SES developmental assignments;

(4) solicit agency participation, host stakeholder meetings, manage and assign program slots;

(5) coordinate with non-Treasury partners to develop interagency agreements (or similar documents) as necessary;

(6) manage the program budget including vendor selection as necessary; and

(7) measure participant satisfaction (supervisors, candidates, mentors, etc.) through focus groups and/or surveys.

SES Mentors All SES mentors will:

(1) complete mentor orientation;

(2) provide general career counseling and guidance to candidate(s) throughout the program on preparing for the Senior Executive Service;

(3) recommend developmental activities to be included in the Candidate’s EDP;

(4) serve as a liaison with other executives to facilitate the candidate’s access to training and developmental assignment opportunities; and

(5) provide a brief written evaluation of how the candidate closed his/her competency gaps certifying that the candidate met all CDP program requirements.

Application and Selection Process

REQUIREMENTS

Duration – Participation in Treasury’s SES Candidate Development Program will last a minimum of one year and a maximum of two years. Should a pause in the program (i.e., medical emergency) or extension to the two year max be necessary, see pause procedures under Candidate Development and the Corporate policy (section 9A).

Mobility – Will adhere to the policy set forth in the Corporate Plan.

Recruitment – Open to either, “All groups of qualified individuals within the civil service,” or “All groups of qualified individuals,” for exactly 14 calendar days.

Diversity Outreach – All partners will: Distribute vacancy announcements to their human resources, training, and EEO officers for further distribution. The agency EEO office will identify underrepresented groups for additional targeted outreach.

Additional outreach efforts to diverse affinity groups may include, but are not limited to, the following:

• General and mass distribution of vacancy announcements;

• Access to program and application information via web link;

• Personalized engagement with points of contact at diversity organizations and other targeted groups;

• Upload of vacancy announcements to diverse organizations’ websites; and

• Print-media advertisements.

Vacancy Announcements – CDP Vacancy Announcements must be consistent using the template provided and be advertised via USAjobs. Templates will include

4 | P a g e the evaluation and selection procedures outlined in this plan along with an overview, description of the program, qualifications required, how to apply, forms required, veterans’ preference documentation, benefits, conditions of employment and reasonable accommodations.

Qualification Requirements – Will adhere to the policy set forth in the Corporate Plan.

Recruitment Process Status and Non-Status Candidates All partners will manage a separate recruitment process for sponsored positions using the same evaluation and selection procedures as outlined in this document.

Applicants complete an online application process and submit the required paperwork for consideration. All applicants are responsible for submitting their resume, ECQ narrative (NTE 5 pages; one example per ECQ in CCAR format), appropriate forms, and answering the online questions before the closing date of the announcement.

Applicants are queried on level and quality of experience with core questions determining eligibility. Questions are formulated to identify technical areas of competency (if any), as well as leadership potential. Applicants are evaluated against responses to these questions and their demonstrated experience related to the Executive Core Qualifications (ECQs). At the end of the process, status and non-status candidates will be assigned scores and Veteran’s Preference will be applied.

An applicant’s final score determines what category of Highly Qualified, Qualified or not Qualified groups they are assigned to for the next phase of the recruitment process. All applicants are notified of their status at each stage.

VETERAN’S PREFERENCE

Non-Status applicants who are applying for Veteran’s Preference should submit the appropriate documentation as addressed on the vacancy announcement and www.opm.gov/staffingPortal/Vetguide.asp. Non-status candidates or those on other than career type appointments in the federal government, if selected will be appointed on a Schedule B appointment NTE three years in order to participate in the CDP. Schedule B assignments must be to full-time non-SES positions created for developmental purposes connected with the SESCDP. Candidates serving under Schedule B appointment may not be used to fill an agency’s regular positions on a continuing basis. The Schedule B appointment does not confer civil service status.

Those candidates with veteran’s preference are scored in accordance with the level of preference claimed.

EVALUATION FOR STATUS AND NON-STATUS CANDIDATES

The Bureau/Agency HR office will review the applicant materials to verify applicants’ level of competency to determine those that are minimally qualified and not qualified.

Preference eligible candidates who meet the minimum qualification requirements and have a compensable service connected disability of at least 10 percent are listed in the highest qualified group at this stage and each stage hereafter.

The next level of review requires the Bureau/Agency ERB to conduct an evaluation of the qualified candidates against a crediting plan based on leadership abilities and the http://www.opm.gov/staffingPortal/Vetguide.asp

5 | P a g e quality and extent of their total accomplishments, experience, and potential and capacity to master the five executive core qualifications. The Bureau/Agency ERB will determine a cutoff score and then certify in writing the recommendations of the highly qualified candidates to their Bureau/Agency Appointing Authority. For Treasury Bureaus, the Appointing Authority is the Associate Chief Human Capital Officer for Executive and Human Capital Services. Candidates below the cutoff score are notified of their status.

Among non-status candidates, preference eligible candidates will be considered ahead of non-preference eligible candidates. OPM must approve any pass over of any veteran applicant with a 30 percent compensable service-related disability.

Candidates that meet the cutoff score are then interviewed by the Bureau/Agency Appointing Authority. Each candidate will participate in an interview that will focus on the five executive core qualifications. The purpose is to provide an in-depth understanding and assessment of the candidate’s ability to participate successfully in the CDP as well as to function effectively in the SES.

Selectees and non-selectees are respectively notified. All selected candidates are subject to background investigations. Non-status candidates or those on other than career type appointments in the federal government will be appointed on a Schedule B appointment NTE three years in order to participate in the CDP.

Candidate Development

EXECUTIVE DEVELOPMENT PLAN (EDP)

Based on the results of the 360 degree assessment, each candidate will develop an EDP reflecting planned developmental activities to prepare for the SES. The EDP is prepared in coordination with the candidate’s mentor and supervisor of record, and is approved by the cross-functional ERB. The components and developmental activity requirements of the EDP are consistent with Treasury’s Corporate Plan.

SES MENTORS

The cross-functional ERB identifies SES mentors and matches them with the appropriate candidate. The SES mentors will have the knowledge and capacity to advise the candidate, consistent with the goals of the agency SESCDP.

SES Mentors are trained and once matched with their CDP candidates, attend a formal session conducted by Treasury Executive Institute (TEI). During this session, the candidate’s needs are assessed and tools to assist the pair are made available.

The candidate’s developmental gaps are considered and the valued competencies of the mentors and their corporate knowledge help prepare them for their future assignments. The mentor assists the candidate with developing their EDP and forms a productive relationship resulting in the best possible experience in completing the candidate’s executive development. Through interaction with their mentor and/or executive coach (if applicable), feedback and learning opportunities help the candidate gain valuable experience. Continuous dialogue to understand the

6 | P a g e expectations, roles, and responsibilities of what it means to be a Federal executive are delivered to the candidate to achieve personal and organizational goals.

COURSE TRAINING AND DEVELOPMENTAL ACTIVITIES

Candidates attend training that begins with an orientation to supplement their development as they increase their leadership abilities and gain a fuller appreciation of Federal Service. Classes are designed to expose candidates to the competencies associated with the ECQs and to enhance their ability to resolve strategic problems with enterprise-wide solutions. Classes provide a better understanding of the public policy process, building political awareness to enable the best management of relationships across agencies, and with external stakeholders. In addition to the OPM required 80-hour interagency training, classroom study includes but is not limited to discussions, guest speakers, and case studies to examine ethical dilemmas, integrity in public service, and perspective on leading organizational change. As future executives, the participants in CDP will have to develop or execute strategic objectives; therefore, a segment on Strategic Leadership which involves a type of critical thinking that focuses on long-term business goals and objectives was developed to prepare the participants for this role. In doing so, during the training program the candidates may be given a capstone simulations assignment, which they need to prepare throughout the course and present to senior leaders.

DEVELOPMENTAL ASSIGNMENTS

The cross-functional ERB will recommend developmental assignments or concurs with the Bureau/Agency ERB (if applicable), in conjunction with the candidate’s individual needs assessment and their EDP, and the needs of the participating bureau/agency. Per regulation, developmental assignments must total at least 4 months of full-time service outside the candidate’s position of record. One assignment must be at least 90 continuous days in a position other than, and substantially different from, the candidate’s position of record. Developmental assignments are designed to broaden the candidate’s experience and close skills gaps. Assignments include executive-level duties and differ from current and past assignments to ensure the candidate’s experience leads to productive outcomes.

Consideration of succession planning forecasts, addressing skill gap deficiencies, and being mindful to support the needs of the business are primary concerns when placing selectees in developmental assignments. Additional assignments may be considered to develop other areas of the candidate or to improve their functional knowledge of Treasury and participating agencies. Most assignments are within participating bureaus/agencies and opportunities with other government agencies or non-government entities are highly encouraged.

PROGRAM PAUSE PROCEDURES

Participants who experience an emergency (i.e., medical-related) during the Program may request a Program pause. The candidate must provide adequate proof of the emergency to their official manager of record and to the agency/bureau ERB. The agency/bureau ERB will then notify the TEI program manager and submit a request to the Cross-functional ERB who will approve or deny the request and has the discretion

7 | P a g e to either extend the candidate’s time for Program completion or terminate the candidate’s participation in the Program.

Candidate Evaluation

ASSESSING CANDIDATE PROGRESS

Candidate Progress Reviews – At least every six months, the cross-functional ERB reviews each candidate’s progress and performance related to their EDP. A final assessment is done to ensure the candidate closed the gaps identified at the beginning of the program and is prepared for a range of leadership challenges within the SES. For participant termination see the Corporate Policy (section 9M).

QRB Certification – At the end of the program, the cohort reconvenes for guidance on the certification process and QRB submission. The cohort is provided writing tips and guidance on the certification requirements. Recommendations to the cross-functional ERB are submitted by the participating bureaus/agencies and evaluations are provided (as written by the mentor) to substantiate the candidates’ readiness for certification in the SES. A narrative provided by the candidate on their possession of the ECQs, supplemented by a summary of their accomplishments during the developmental period, is packaged with the associated forms and memorandums required by the Corporate Policy to submit to Treasury’s Office of the Associate Chief Human Capital Officer for Executive and Human Capital Services for review and submission to OPM’s Qualifications Review Board (QRB). QRB certification permits candidates to be noncompetitively appointed to career SES positions for an individual who meets the technical qualifications. Advancement into an SES position is not guaranteed.

Other Government Entities

PARTICIPATION

The program will be available to non-Treasury departments/agencies. Interagency agreements or similar documents will be required to address terms of participation, including costs. The agreement fee will cover all program administration - including orientation, interagency training, instructing faculty, training facilities, and necessary training materials. Each participating agency is responsible for all travel, lodging, per diem, labor, and any similar costs. All participants will be required to follow Treasury’s merit staffing policy as outlined in this document and in the Corporate plan.

PROGRAM PAUSE PROCEDURES