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Volume 10, Part 6 - Senior Executive Service, Senior Level Positions,and JudgesSenior Executive Service (SES) Employment and Staffing ProgramsHandbook 10.135 Parts I - XIKJContents (continued)Part X (continued)Determining Core Competencies (E) .Assessing Executive Potential (F) .Succession Planning Placements (G) .5050-51Part XINRC Senior Executive Service (SES) Candidate DevelopmentProgram .-52Purpose (A) .Primary Target Positions (B) .Requirements Identification (C) .'Recruitment (D) .Evaluation of Candidates (E) .Selection (F) .Notification and Orientation Activities (G) .Senior Advisors (H) .The Individual Development Plan (IDP) Process (I) .Placement of Unsuccessful Candidates (J) .Competitive Selection (K) .Certification (L) .Placement (M) .Withdrawal of Certification (N) ion of Appointment Statement .NRC Form 372, "Certification of Completion of the Senior ExecutiveService (SES) Probationary Period".NRC Form 321, "Individual Development Plan (IDP)".6263NRC Form 356, "Application for the U.S. Regulatory CommissionSenior Executive Service Candidate Development Program" .NRC Form 412, "Non-SES Performance Appraisal System Summary66Rating" .67vi61NRC Form 412A, "Non-SES Performance Appraisal SystemPerformance Plan".NRC Form 750, "Applicant Background Survey" .* 787981Approved: May 27, 1993(Revised: February 20, 1996).Kj

Senior Executive Service, Senior Level Positions,and JudgesProgramsStaffingand-Senior Executive Service (SES) EmploymentVolume 10, Part 6---Handbook 10.135 Part I; ParstI--;Conditions of EmploymentSES appointees are subject to -the statutory bar to appointment ofpersons who fail to register under the Selective Service law. (A)The appointment of an individual to any SES position in anindependent regulatory commission "shall not be subject, directly orindirectly, to review or approval by any officer or entity within theExecutive Office of the President." (B)Positions in the SES may not be filled by experts or consultants.Therefore, it is not appropriate to assign such individuals to thepolicy-making or managerial work that characterizes the SES. (C)Private sector temporaries may not be used to perform SES work. (D)Because the SES is separate from the competitive and the exceptedservices, no provision exists for noncompetitive movement into anSES career appointment from the other services for individuals whodo not have SES reinstatement eligibility, even if an employee'scurrent position is upgraded to the SES. NRC Regular (Excepted)(Conditional), Regular (Excepted), and other types of careerappointments are considered the same as competitive service forpurposes of this requirement. (D)The Ramspeck Act covering movement from the legislative andjudicial branches to the competitive service, is not applicable for SEScareer appointment. NRC career appointments are considered thesame as competitive service for purposes of this requirement. (F)Veterans preference is not applicable to the SES. (G)Federal regulations covering the employment of relatives and relatedrequirements and guidelines are applicable to the SES. (H)Approved: May 27, 1993(Revised: February 20, 1996)

Level Positions,Volume 10, Part 6 - Senior Executive Service, Seniorand JudgesProgramsSenior Executive Service (SES) Employment and StaffingHandbook 10.135 Part I)jmust verifySES appointees coming from outside the Federal servicethat they are eligible to work in the United States. (I)the Office ofThe SES contains no citizenship requirements. However,agencymayPersonnel. Management has stated that anU.S.topositionsadministratively restrict consideration for SESin the NRCcitizens. It is the practice of the NRC to fill SES positionsinwith U.S. citizens, unless the Director, Office of Personnel,Board,consultation with the Chairman of the Executive Resourcesnuclearthedetermines that a noncitizen's potential contribution toprogrambythebenefitregulatory program will materially:anytopossessedcontributing unique or unusual skills or talent notcomparable degree by an available U.S. citizen. (J)2Approved: May 27, 1993(Revised: February 20, 1996)

Senior Executive Service, Senior Level Positions,and JudgesSenior Executive Service (SES) Employment and Staffing Programs-Handbook 10.135 Part IIVolume 10, Part 6-Part IIManagement of Activities and ResourcesThe Executive ResourcesBoard (ERB) (A)The NRC is required to establish an ERB to conduct the merit staffingprocess for career entry into the Senior Executive Service (SES). (1)The ERB is charged with broad oversight and advisory activitiesrelating to the management of activities and resources for executivesystems,' including the SES and the Senior Level System (SLS). (2)The ERB functions as the advisory, review, and program evaluationgroup for all major personnel management policies and programsrelating to the'SES and the SLS. -Advisory responsibilities includeexecutive personnel policy and planning, utilization of executiveresources, executive development, and evaluation and coordination ofexecutive personnel programs. (3)The ERB provides policy guidance, oversight, and evaluation tovarious boards or panels established to manage more day-to-day orspecialized operations and functions, including, but not limited to, theSES Performance Review Board, the Senior Level Review Panel, andthe Executive Developmnent Committee. (4)ERB Membership (B)The Executive Director for Operations (EDO), in consultation withthe 'Chairman;, determines the composition, term of service, andmembership of the NRC ERB and appoints NRC executives as ERB'members. (1)All members are career appointees serving in the SES in the NRC. (2)Approved: May 27, 1993(Revised: February 20, 1996)3

Volume 10, Part 6 - Senior Executive Service, Senior Level Positions,and JudgesSenior Executive Service (SES) Employment and Staffing ProgramsHandbook 10.135 Part IIERB Operations (c)The ERB Chair schedules meetings as necessary to carry out theERB's functions and activities. (1)Responsibilities of the ERB may be handled through subgroups orcommittees established by the Chair. These subgroups or committeesmay be composed of ERB members and/or other NRC managementofficials. (2)The Office of Personnel (OP) provides staff support to the ERB. TheDeputy Director, OP, acts as secretary to the ERB. (3)Management of ExecutiveResources (D)A major function of the ERB is the management of executive positionallocations within the SES and the, SLS. The ERB ensures thatexecutive staffing requirements are tied to major budget decisions andprogram evaluations. (1)The Office of Personnel Management allocates the authorized SESposition ceiling for the NRC, which is reviewed biannually. (2)The ERB periodically-(3)* Reviews executive positions to determine their continued need bythe agency (a)* Reviews requests for new allocations (b)* Recommends appropriate action to the Chairman or the EDOregarding the utilization of SES positions (c)Specific SES positions cannot be established until the Chairman or theEDO has approved the use of the position allocation. (4)OP, closelyThe ERB,' with the advice and assistance of the Director,monitors the SES position float system used to facilitate staffingprocesses, double encumbering positions to facilitate successionplanning recruitment and staffing activities, and other similarexecutive position management strategies. (5)4Approved: May 27, 1993(Revised: February 20, 1996)

Senior Executive Service, Senior Level Positions,and JudgesSenior Executive Service (SES) Employment and Staffing Programs.Handbook 10.135 Part IIVolume 10, Part 6-Management of ExecutiveResources (D) (continued)The ERB periodically reviews and makes recommendations to theChairman and the EDO regarding the propriety of assigned positiondesignations (Career Reserved or General) based on changes inposition allocations, changes in mission and responsibilities, and otherfactors. (6)I.I. ,; I'.t .t!. *fin/1Approved: May 27, 1993(Revised: February 20, 1996).I,,5

Volume 10, Part 6 - Senior Executive Service, Senior Level Positions,and JudgesSenior Executive Service (SES) Employment and Staffing ProgramsHandbook 10.135 Part mJPart IIIAppointment Authorities and Position TypesAppointment Authorities(A)The four types of Senior Executive Service (SES) appointments arecareer, noncareer, limited emergency, and limited term.Career Appointments (1)A career appointment may be given to any individual, whether or notthe individual is employed within the civil service, provided the initialappointment to the position is, or a previous appointment to anotherSES position was, based on competitive SES staffing procedures andthe appointee's executive qualifications were approved by aQualifications Review Board (QRB) of the Office of PersonnelManagement (OPM). (a)Career appointments are made without time limitation. (b)Career appointments provide certain job protections (for example, incases of removal for performance) and certain benefits (such aseligibility for performance awards and Presidential rank awards) thatare not conferred by other types of SES appointments. (c)Career appointments may be made to either Career Reserved orGeneral positions. Tenure and benefits are the same for both types ofpositions. (d)Career appointments may be made under noncompetitive proceduresin the case of the reassignment or transfer of a current career SESappointee, or the reinstatement of a former career SES appointee, aswell as for graduates of the SES Candidate Development Programwho have already been certified by the QRB and whose certificationsare still active. These actions do not require QRB approval. (e)6Approved: May 27, 1993(Revised: February 20, 1996)J

Level Positions,Volume 10, Part 6 -. Senior Executive Service, Seniorand JudgesProgramsSenior Executive Service (SES) Employment and StaffingHandbook 10.135 Part IIIAppointment Authorities(A) (continued)Noncareer Appointments (2)meeting theNoncareer appointments may be given to any individualasappointedisqualifications of the position to which the individual(a)determined in writing by the appointing authority.any GeneralNoncareer appointees may be assigned or reassigned to appointmentposition for which they are qualified. The noncareerattaches to the person, not the position. (b)however,Noricareer appointments are made without time limitation;(c)the appointee serves at the pleasure of the appointing authority.To make a noncareer appointment, the NRC must have poncareerappointing authority from OPM. (d)Limited Emergency and Limited Term Appointments (3)toA limited emergency appointment to an SES positionto establishedany qualifiedmeet an unanticipated, urgent need may be givento exceedindividual as a nonrenewable appointment not18 months. (a)duties willA limited term appointment to an SES position whose individualexpire at the end of the term may be given to any qualifiedless. (b)as a nonrenewable appointment for a term of 3 years oradvance byThe use of limited appointments must be approved in(c)F.OPM except as noted in 5 CFR 317, Subpartposition forA limited appointment may be made only to a Generalwhich the appointee qualifies. (d)to make aCompliance with competitive procedures is not requiredthe Executivelimited appoinrtment'-except as recommended byor theResources Board (ERB) and approved by. the ChairmanExecutive Director for Operations (EDO). (e)the appointeeThe appointing authority must determine in writing thatQRBapprovalmeets the qualifications requirements for the position.is not required. (f)K.).Approved: May27,1993(Revised: February 20,1996)7'7

Volume 10, Part 6 - Senior Executive Service, Senior Level Positions,and JudgesSenior Executive Service (SES) Employment and Staffing ProgramsHandbook 10.135 'Part m-Types of SES Positions (B)An SES position is any position that exceeds the GG-15 level that isnot required to be filled by an appointment by the President, by andwith the advice and consent of the Senate, and in which the employeeeither-(1)* Directs the work of an organizational unit (a)* Is held accountable for the success of one or more specificprograms or projects (b)* Monitors progress toward organizational goals (c)* Supervises the work of employees other than personalassistants (d)* Otherwise exercises important policy-making, policydetermining, or other executive functions (e)The two types of SES positions are Career Reserved and General: (2)* A Career Reserved position is an SES position that must be filledby a career SES appointee. A position is designated as CareerReserved when it is considered necessary to ensure impartiality, orpublic confidence in the impartiality, of the work, product, orservice provided by the position. (a)* A General position is any SES position other than a CareerReserved position. Qualified career, noncareer, limited term, orlimited emergency appointees may fill General positions. (b)Position Type Changes (c)OPM must maintain a minimum number of SES Career Reservedpositions throughout the Government at all times. To ensure that thisfigure is met, OPM allocates to agencies, including the NRC, aminimum number or floor of Career Reserved positions that must beestablished. (1)The NRC can cancel Career Reserved positions and establish newones without OPM's approval as long as the numerical floor allotted tothe NRC is maintained. (2)8Approved: May 27, 1993(Revised: February 20, 1996)

Volume 10, Part 6 - Senior Executive Service, Senior Level Positions,and JudgesSenior Executive Service (SES) Employment and Staffing ProgramsHandbook 10.135 Part mIIPosition Type Changes (C)(continued)Changes in the numerical floor must be approved by OPM. (3).When the designation is made for a particular position, it may not beOPM tochanged without written approval fromn OPM. Requests to positionschange the'designiations of specific'positions or groups ofmust describe' the circumstances that warrant a change in thedesignations. (4)The number of SES positions that may be filled by noncareerappointees may not exceed the greater of either-(5)* 25 percent of the NRC's SES position allocation (a)* the number of positions filled on October 13, 1978, by noncareerexecutive assignment or appointment to Level IV or Level V of theExecutive Schedule (ES) that did not require Senateconfirmation (b) )Career Reserv ed PositionCriteria (D)Career Reserved positions are those that have duties that involveday-to-day operations, without responsibility for, or su

process for SES career * Defines and oversees succession planning activities within the NRC. (b) ;, * Provides overall planning and management for the NRC SES Candidate Developme'nt Program. . Career Reserved Position Criteria (D). 9 Staffing implications for Career Reserved Positions (E) .10