5 C.F.R. PART 412—EXECUTIVE, MANAGEMENT, AND SUPERVISORY DEVELOPMENT
Title 5 - Administrative Personnel
Title 5: Administrative Personnel
PART 412—EXECUTIVE, MANAGEMENT, AND SUPERVISORY DEVELOPMENT
Section Contents
§ 412.101 Coverage.
§ 412.102 Purpose.
§ 412.103 Criteria for programs for the systematic training and development of executives, managers, supervisors, and candidates.
§ 412.104 Formal candidate development programs for Senior Executive Service positions.
§ 412.201 Purpose.
§ 412.202 “Status” programs.
§ 412.203 “Non-status” programs.
Authority: 5 U.S.C. 3397, 4101, et seq.
Source: 61 FR 46533, Sept. 4, 1996, unless otherwise noted.
Subpart A—General Provisions
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§ 412.101 Coverage.
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This subpart applies to all incumbents of or candidates for supervisory, managerial, and executive positions in the General Schedule, the Senior Executive Service (SES), or equivalent pay systems who are also covered by part 410 of this chapter.
§ 412.102 Purpose.
top(a) This subpart implements for supervisors, managers, and executives the provisions of chapter 41 of title 5 of the United States Code related to training and section 3396 of title 5 related to the criteria for programs of systematic development of candidates for the SES and the continuing development of SES members.
(b) The subpart identifies a continuum of preparation starting with supervisory positions and proceeding through management and executive positions Governmentwide. For this reason, the subpart establishes a comprehensive system that is intended to:
(1) Provide the competencies needed by supervisors, managers, and executives to perform their current functions at the mastery level of proficiency; and
(2) Provide learning through development and training in the context of succession planning and corporate perspective to prepare individuals for advancement, thus supplying the agency and the government with an adequate number of well prepared and qualified candidates to fill supervisory, managerial, and executive positions Governmentwide.
§ 412.103 Criteria for programs for the systematic training and development of executives, managers, supervisors, and candidates.
topEach agency must provide for the initial and continuing development of individuals in executive, managerial, and supervisory positions, and candidates for those positions. The agency must issue a written policy to assure that their development programs:
(a) Are designed as part of the agency's strategic plan and foster a corporate perspective.
(b) Make assignments to training and development consistent with the merit system principles set forth in 5 U.S.C. 2301(b) (1) and (2).
(c) Provide for:
(1) Initial training as an individual makes critical career transitions to become a new supervisor, a new manager, or a new executive consistent with the results of needs assessments;
(2) Continuing learning experiences, both short- and long-term, throughout an individual's career in order for the individual to achieve the mastery level of proficiency for his or her current management level and position; and
(3) Systematic development of candidates for advancement to a higher management level. Formal candidate development programs leading to noncompetitive placement eligibility represent one, but not the only, type of systematic development.
§ 412.104 Formal candidate development programs for Senior Executive Service positions.
topFormal SES candidate development programs permit the certification of the executive qualifications of graduates by a Qualifications Review Board under the criterion of 5 U.S.C. 3393(c)(2)(B) and selection for the SES without further competition. The agency must have a written policy describing how the program will operate. The agency must obtain OPM approval of the program before it is conducted for the first time under these regulations and whenever there are substantive changes to the program. Agency programs must meet the following criteria.
(a) Recruitment. (1) Recruitment for the program is from all groups of qualified individuals within the civil service, or all groups of qualified individuals whether or not within the civil service.
(2) Agencies may request an exception to the provision in paragraph (a) of this section if they can show that during the 5-year period prior to the announcement of a program they have made at least 15% of their career SES appointments from sources outside the agency. Notwithstanding this exception recruitment must be competitive and be announced at least agencywide. Graduates of these programs who have been certified by a QRB must then compete Governmentwide for entry to the SES, but do not have to obtain a second QRB certification before appointment.
(b) In recruiting, the agency, consistent with the merit system principles in 5 U.S.C. 2301(b) (1) and (2), takes into consideration the goal of achieving a diversified workforce.
(c) All candidates are selected through SES merit staffing procedures. The number selected shall be consistent with the number of expected vacancies.
(d) Each candidate has an SES development plan covering the period of the program. The plan is prepared from a competency-based needs determination. It is approved by the Executive Resources Board.
(e) The minimum program requirements, unless an exception is obtained in advance of the beginning of the candidate's program, for an SES development plan are as follows:
(1) There is a formal training experience that addresses the executive core qualifications and their application to SES positions Governmentwide. The training experience must include interaction with a wide mix of Federal employees outside the candidate's department or agency to foster a corporate perspective but may include managers from the private sector and state and local governments. The nature and scope of the training must have Governmentwide or multi-agency applicability. If formal interagency training is used to meet this requirement, it must total at least 80 hours. If an interagency work experience is used, it must be of significantly longer duration than 80 hours.
(2) There are developmental assignments that total at least 4 months of full-time service outside the candidate's position of record. The purpose of the assignments is to broaden the candidate's experience and/or increase knowledge of the overall functioning of the agency so that the candidate is prepared for a range of agency positions.
(3) There is a member of the Senior Executive Service as a mentor.
(f) Each candidate's performance in the program is evaluated periodically, and there is a written policy for discontinuing a candidate's participation in the program. A candidate can be discontinued or may withdraw from the program without prejudice to his or her ability to apply directly for SES positions.
(g) Each candidate has a documented starting and finishing date in the program.
Subpart B—Senior Executive Service Status and Nonstatus Candidate Development Programs
top§ 412.201 Purpose.
topSection 3393 of title 5, United States Code, requires that career appointees to the SES be recruited either from all groups of qualified individuals within the civil service, or from all groups of qualified individuals whether or not within the civil service. This subpart sets forth regulations establishing two types of SES candidate development programs, “status” and “non-status.”
§ 412.202 “Status” programs.
topOnly employee serving under career appointments, or under career-type appointments as defined in §317.304(a)(2) of this chapter, may participate in “status” candidate development programs.
§ 412.203 “Non-status” programs.
top(a) Eligibility. Candidates are from outside Government and/or from among employees serving on other than career or career-type appointments within the civil service.
(b) Requirements. (1) Candidates must be appointed using the Schedule B authority authorized by §213.3202(j) of this chapter. The appointment may not exceed or be extended beyond 3 years.
(2) Assignments must be to a full-time position created for developmental purposes connected with the SES candidate development program. Candidates serving under Schedule B appointment may not be used to fill an agency's regular positions on a continuing basis.
(3) Schedule B appointments must be made in the same manner as merit staffing requirements prescribed for the SES, except that each agency shall follow the principle of veteran preference as far as administratively feasible. Positions filled through this authority are excluded under §302.101(c)(6) of this chapter from the appointment procedures of part 302.
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