DOD DIRECTIVE 5105.76
PLANNING FOR PRESIDENTIAL TRANSITIONS AND THE TRANSITION OF POLITICAL APPOINTEES AND OTHER OFFICIALS
Originating Component: Office of the Director of Administration and Management
Effective: August 30, 2022
Change 1 Effective: February 3, 2023
Releasability: Cleared for public release. Available on the Directives Division Website at https://www.esd.whs.mil/DD/.
Reissues and Cancels: DoD Directive 5105.76, “Transition of Administration Appointees and Other Officials,” May 26, 2017
Deputy Secretary of Defense Memorandum, “Designation of a Senior
Career Official (SCO) for Each Office of the Secretary of Defense (OSD)
Principal Staff Assistant (PSA),” December 9, 2010
Approved by: Kathleen H. Hicks, Deputy Secretary of Defense Change 1 Approved by: Kathleen H. Hicks, Deputy Secretary of Defense
Purpose: Pursuant to the authority vested in the Secretary of Defense (SecDef) by Section 113 of Title 10, United States Code (U.S.C.) and the “Presidential Transition Act of 1963,” as amended, published as a note under Section 102 of Title 3, U.S.C., this issuance:
• Establishes policy for the transfer of authority from outgoing to incoming senior officials during the transition between Presidential administrations or in the course of other personnel actions including, but not limited to, reassignment, retirement, or resignation.
• Establishes policy for the departure and arrival of political or certain non-career appointees, including those Presidentially-appointed, Senate-confirmed (PAS) officials; non-career senior executive service (SES) members; Schedule C appointees; and other officials appointed as experts or consultants pursuant to Section 3109 of Title 5, U.S.C. and Section 129b of Title 10, U.S.C.
• Assigns responsibilities for the administration, management, and direction of transition activities pursuant to Executive Order 13727.
DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
TABLE OF CONTENTS
SECTION 1: GENERAL ISSUANCE INFORMATION .............................................................................. 3 1.1. Applicability. .................................................................................................................... 3 1.2. Policy. ............................................................................................................................... 3 1.3. Summary of Change 1. ..................................................................................................... 4
SECTION 2: RESPONSIBILITIES ......................................................................................................... 5 2.1. DA&M. ............................................................................................................................. 5 2.2. Director, WHS. ................................................................................................................. 6 2.3. Director, Pentagon Force Protection Agency (PFPA). ..................................................... 7 2.4. Under Secretary of Defense for Personnel and Readiness. ............................................... 7 2.5. General Counsel of the Department of Defense (GC DoD). ............................................ 8 2.6. Assistant Secretary of Defense for Legislative Affairs. .................................................... 8 2.7. Assistant to the Secretary of Defense for Public Affairs. ................................................. 9 2.8. Special Assistant to the Secretary of Defense for White House Liaison. ......................... 9 2.9. OSD PSAs and DoD Component Heads. ......................................................................... 9 2.10. Secretaries of the Military Departments. ...................................................................... 10
SECTION 3: SUCCESSION PLANS .................................................................................................... 11 SECTION 4: DOD TRANSITION STRUCTURE ................................................................................... 12 4.1. Purpose. ........................................................................................................................... 12 4.2. Transition SSG. ............................................................................................................... 12 4.3. DoD Transition Director. ................................................................................................ 12 4.4. DoD TTF Director. ......................................................................................................... 14 4.5. OSD PSA and DoD Component TACs. ......................................................................... 14 GLOSSARY ..................................................................................................................................... 15 G.1. Acronyms. ...................................................................................................................... 15 G.2. Definitions. ..................................................................................................................... 16 REFERENCES .................................................................................................................................. 18
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SECTION 1: GENERAL ISSUANCE INFORMATION
1.1. APPLICABILITY.
This issuance applies to OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (referred to collectively in this issuance as the “DoD Components”).
1.2. POLICY.
a. The DoD, in coordination with the Executive Office of the President, other Executive Branch departments and agencies, and the transition teams of eligible candidates and the President-Elect and Vice President–Elect, will:
(1) Coordinate and carry out responsibilities required to accomplish an efficient and thorough transition of its political leadership.
(2) Provide for the continuity of the national security activities of the United States. (3) Mitigate unnecessary disruption from such transition in political leadership. (4) Sustain effective and efficient operations within the DoD.
b. Pursuant to Section 113 of Title 10, U.S.C.; the Presidential Transition Act of 1963, as amended; and Executive Order 13727, the SecDef establishes the DoD transition structure, described in Section 4, for the planning, coordination, management, and execution of transition activities. As such:
(1) A Transition Senior Steering Group (SSG), to be chaired by the Deputy Secretary of Defense (DepSecDef), and the DoD Transition Task Force (TTF) are established.
(2) A senior career official (SCO) for Presidential transition is designated and will serve as the DoD’s Transition Director.
(3) OSD Principal Staff Assistants (PSAs) and DoD Component heads must designate transition assistance coordinators (TACs).
c. The DoD will submit updated succession plans to the Federal Transition Coordinator no later than September 15th in a year during which a Presidential election is held, as well as identify and prepare interim agency leadership to ensure the continuity of mission operations and the goals listed in Paragraph 1.2.a. during transition (see Section 3 for additional information.).
d. Instructions from the Assistant to the President for Presidential Personnel direct the DoD in the coordination of all activities relating to Presidential appointments.
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1.3. SUMMARY OF CHANGE 1.
This change:
a. Clarifies the Director of Administration and Management (DA&M) responsibility in Paragraph 2.1.a. regarding designating the DoD Transition Director.
b. Corrects terminology in Paragraph 4.2.
SECTION 1: GENERAL ISSUANCE INFORMATION 4
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SECTION 2: RESPONSIBILITIES
2.1. DA&M.
In addition to the responsibilities in Paragraph 2.9., the DA&M:
a. Serves as the DoD Transition Director if a career executive. If the DA&M is a political appointee, an SCO will be designated to serve as the DoD Transition Director.
b. Ensures the DoD Transition Director (or performs these duties if serving as the DoD Transition Director):
(1) Manages and coordinates transition activities for PAS officials and other non-career senior officials and employees entering or departing from the DoD due to a Presidential transition and in conjunction with the DoD transition structure.
(2) Publishes implementation procedures and guidelines for transition activities.
(3) Represents the DoD on the Federal-level Agency Transition Directors Council and any other interagency transition meetings as the DoD representative for Presidential inaugural matters.
(4) Oversees assigned personnel, administrative, and logistical functions, in accordance with DoD Directive (DoDD) 5105.53, to provide for the orderly departure and arrival of officials assigned to serve within the DoD.
(5) Coordinates with the DoD TTF Director and the Special Assistant to the Secretary of Defense for White House Liaison for personnel and administrative matters pertaining to departing and incoming personnel.
(6) Upon request, coordinates engagement on transition activities, before the election, with authorized representatives of eligible candidates in support of effective transition planning in accordance with the Presidential Transition Act of 1963, as amended, and Executive Order 13727.
(7) Coordinates with the DoD TTF Director and the President-Elect’s DoD focal point to facilitate support for the incoming administration’s nominees for the SecDef and DepSecDef.
(8) Integrates security disciplines, as appropriate, to protect associated DoD information, personnel, facilities, and equipment.
c. During Presidential transitions or any other transition of PAS officials and other political appointees:
(1) In coordination with the Special Assistant to the Secretary of Defense for White House Liaison, provides guidance to OSD PSAs and the Secretaries of the Military Departments regarding the arrival and departure of political appointees and other officials.
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(2) Maintains a central repository of Military Department Secretariat and OSD Component succession plan information, including a current list of SCOs, and ensures reporting on vacancies pursuant to Sections 3345–3349d of Title 5, U.S.C., also known as and referred to in this issuance as the “Federal Vacancies Reform Act of 1998,” as amended (FVRA), is done in a timely fashion. Pursuant to Public Law 113-187; Sections 1220-1236 of Title 36, Code of Federal Regulations; DoD Instruction (DoDI) 5015.02; and Administrative Instruction 15, the office assigned responsibility by DA&M for development of this repository must coordinate with Washington Headquarters Services (WHS) to identify and submit a record schedule for this repository.
(3) As appropriate, recommends to the DepSecDef assignment of responsibility for the preparation of confirmation books. Provides leadership orientation training to non-career SES members or selected other individuals appointed to positions within the DoD.
(4) Oversees mentoring activities for PAS officials within the DoD.
(5) Designates the OSD Historical Office to coordinate exit interviews with departing PAS officials (including those acting as or performing the duties of) to inform the Secretaries of Defense Historical Series specifically and the historical record generally. Records recommended improvements to operations and processes that may enhance the effectiveness and efficiency of the DoD.
(6) Designates the OSD Historical Office as the entity responsible for arranging additional oral history interviews with current and former PAS officials to inform the Secretaries of Defense Historical Series and other official publications.
(7) Integrates security disciplines, as appropriate, to protect associated DoD information, personnel, facilities, and equipment.
2.2. DIRECTOR, WHS.
Under the authority, direction, and control of the DA&M, the Director, WHS:
a. Provides operational support for the transition of PAS and other senior political appointees for all OSD PSAs and DoD Components, except for the Military Departments and any DoD Components serviced by a Military Department.
b. May provide operational support for the transition of PAS and other senior political appointees entering or departing from the Military Departments, as required. Such services may be provided on a reimbursable or non-reimbursable basis as agreed upon by WHS and the Military Department concerned.
c. Establishes comprehensive operational guidelines and coordinates major activities, within WHS and other appropriate DoD organizations, for administration and support of all transition activities, in accordance with Paragraph 2.1.
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d. Submits required FVRA reports to the Government Accountability Office in a timely manner.
e. Provides other functional support to transitions, as directed by the DA&M.
2.3. DIRECTOR, PENTAGON FORCE PROTECTION AGENCY (PFPA). Under the authority, direction, and control of the DA&M, the Director, PFPA:
a. Oversees all physical security requirements for the transition of political appointees entering or departing the OSD and those political appointees of the Military Departments, Defense Agencies, and DoD Field Activities.
b. Conducts personal security training for newly appointed or assigned officials, as appropriate.
c. Coordinates for and conducts personal security vulnerability assessments for newly confirmed or appointed officials, as appropriate, as outlined in DoDI O-2000.22.
d. Ensures newly appointed or assigned officials are covered by the DoD Counter Insider Threat Program pursuant to DoDD 5205.16, and takes actions necessary to provide for force protection consistent with law and regulations.
e. Establishes comprehensive operational support and appropriate guidelines for the administration of security support of all transition activities within the scope of agency responsibilities. Such operational support and guidelines may include, but are not limited to, physical security access permissions and badging, implementation of operations security and countermeasures, appropriate training, driver support, alarms, and sensors.
2.4. UNDER SECRETARY OF DEFENSE FOR PERSONNEL AND READINESS.
In addition to the responsibilities in Paragraph 2.9., the Under Secretary of Defense for Personnel and Readiness:
a. Provides oversight of and ensures the DoD meets all Office of Personnel Management (OPM) deadlines related to:
(1) Certification of PAS officials’ positions in the DoD in accordance with Section 8403 of Public Law 108-458, also known as the “Intelligence Reform and Terrorism Prevention Act of 2004.”
(2) Submission of information on DoD civil service leadership and support position to be included in the United States Government Policy and Supporting Positions (Plum Book).
b. Provides OPM transition guidance to OSD PSAs and DoD Component heads.
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2.5. GENERAL COUNSEL OF THE DEPARTMENT OF DEFENSE (GC DOD). In addition to the responsibilities in Paragraph 2.9., the GC DoD:
a. Provides advice, counsel, and assistance on all transition activities.
b. Provides information, advice, and counsel concerning applicable standards of conduct laws, regulations, and policies in accordance with Sections 201-209 of Title 18, U.S.C.; Section 101 of Title 5, U.S.C. Appendix, et seq., also known and referred to in this issuance as the “Ethics in Government Act;” and implementing regulations.
c. Coordinates with the Office of Government Ethics to obtain Office of Government Ethics pre-clearance of prospective PAS nominee financial disclosure reports and ethics agreements.
d. Provides Departmental guidance regarding permissible activities for prospective PAS nominees within the DoD before confirmation and appointment.
e. Provides counsel on transition-related matters as required, including:
(1) Legal requirements relating to filling, both permanently and temporarily, PAS.
(2) Applicable standards of conduct laws, regulations, and policies governing the actions of and other matters pertaining to prospective nominees, incoming and outgoing political appointees, or such other officials as may be required.
(3) Use of U.S. Government personnel and equipment, including government transportation.
2.6. ASSISTANT SECRETARY OF DEFENSE FOR LEGISLATIVE AFFAIRS.
In addition to the responsibilities in Paragraph 2.9., the Assistant Secretary of Defense for Legislative Affairs:
a. Monitors activities of the Executive Office of the President with respect to the nomination of DoD PAS officials, including the intent to nominate and the submission of the nomination for Senate confirmation.
b. As appropriate, coordinates the submission of information to and the appearance of DoD PAS nominees before the respective committees considering their nominations.
c. As appropriate, coordinates and oversees official calls or visits by administration officials to members of Congress or with the staffs of such members or oversight committees, including such official calls and visits made before their appointment.
d. Provides support to DoD transition activities and engages in liaison activities with members of Congress and their respective staffs and committees.
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2.7. ASSISTANT TO THE SECRETARY OF DEFENSE FOR PUBLIC AFFAIRS.
In addition to the responsibilities in Paragraph 2.9., the Assistant to the Secretary of Defense for Public Affairs:
a. Reviews and approves all news media requests for engagement with the DoD TTF, in coordination with the DoD Transition Director.
b. Reviews and approves all responses to news media queries regarding DoD transition activities, in coordination with the DoD Transition Director.
c. As appropriate, in coordination with the DoD Transition Director, prepares official statements and announcements for release to the news media regarding DoD transition activities, succession plans, and political appointees arriving in or departing the DoD, and updates and issues public affairs guidance to bases and stations.
d. Receives and manages all news media queries and requests for engagement regarding DoD transition activities and political appointees arriving or departing.
2.8. SPECIAL ASSISTANT TO THE SECRETARY OF DEFENSE FOR WHITE HOUSE LIAISON.
The Special Assistant to the Secretary of Defense for White House Liaison:
a. Serves as the focal point for the arrival to, and departure of, political appointees in the DoD.
b. Coordinates with the DA&M, the DoD Transition Director (if the DA&M is not serving as the DoD Transition Director), and the DoD TTF Director as appropriate on personnel and administrative matters pertaining to departing appointees.
c. Coordinates with the DA&M, OSD PSAs, and Secretaries of the Military Departments, or their designated TACs, to provide guidance regarding the procedures for support to arriving and departing appointees of their respective Components.
d. Coordinates with the GC DoD Standards of Conduct Office to facilitate timely completion of financial disclosure reports and initial ethics training by arriving non-PAS appointees, pursuant to the Ethics in Government Act and implementing regulations.
e. Helps develop and support leadership orientation training for non-career SES members or selected other individuals appointed to positions within the DoD.
f. Helps identify and assign mentors for PAS officials within the DoD.
2.9. OSD PSAS AND DOD COMPONENT HEADS.
The OSD PSAs and DoD Component heads:
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a. Identify an official within their respective Components to serve as the TAC, either as required during a Presidential election cycle or for the departure of senior officials within their Component.
b. Provide timely submission of materials to support agency review team (ART) transition requests for information, briefings, and nomination confirmation books on request.
c. Establish, as appropriate, succession plans for critical non-career positions to provide for continuity of operations, in accordance with DoDD 3020.04 and the FVRA with separate succession plans for PAS officials.
(1) Standing succession plans should include the identification of at least one, either by position or by name, SCO in the order of succession. The SCO will be recognized as the official responsible for the continuity of institutional knowledge.
(2) As officials out-process or on-board, update succession plans as appropriate.
d. Ensure adequate preparation of career employees to serve in critical non-career leadership positions in an acting or other capacity if these positions become vacant. The SCO, as it relates to this designation, maintains awareness concerning the nature and breadth of the Component’s activities.
2.10. SECRETARIES OF THE MILITARY DEPARTMENTS.
In addition to the responsibilities in Paragraph 2.9., the Secretaries of the Military Departments: a. Ensure proper DoD transition of outgoing political appointees.
b. Coordinate with the DA&M and the Special Assistant to the Secretary of Defense for White House Liaison to arrange onboarding and orientation for arriving political appointees.
c. Provide Military Department–specific orientation and support to arriving political appointees.
d. Identify DoD transition support requests to the DA&M.
e. Conduct personal security vulnerability assessments for newly confirmed or appointed officials, as appropriate, as outlined in DoDI O-2000.22.
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SECTION 3: SUCCESSION PLANS
3.1. Individuals awaiting possible Senate confirmation, appointment by the President, and taking the oath of office as PAS officials within the DoD may, at the discretion of the SecDef, be appointed as experts or consultants to the SecDef pursuant to Section 3109 of Title 5, U.S.C.; Section 129b of Title 10, U.S.C.; and Part 304 of Title 5, Code of Federal Regulations, and will be provided the information and, where necessary, such limited training or professional development support to allow them to effectively advise the SecDef.
3.2. Individuals appointed as experts or consultants will not presume to act in any capacity as a PAS. This includes, but is not limited to, making any personnel decisions. These experts or consultants will be appointed and located outside the respective organizations to which they are nominated. They may provide expertise or consult within the DoD on current policy topics, receive briefings, and become familiar with relevant issues but will neither offer nor provide views or guidance on matters pertaining to the PAS offices to which they have been nominated.
3.3. PAS and other non-career officials departing from the DoD may, at the SecDef’s discretion, be appointed as experts or consultants pursuant to Section 3109 of Title 5, U.S.C.; Section 129b of Title 10, U.S.C.; and Part 304 of Title 5, Code of Federal Regulations, following their departure to provide for proper debriefings, disposition of official records, and other transitional activities in the interest of the U.S. Government and the public.
3.4. If an incumbent’s intention to leave, whether through reassignment, retirement, or resignation, has been documented, the DoD may establish a different position in which to employ a designated successor for a brief period pending the incumbent’s departure. For example, when a director plans to leave, a temporary special assistant position may be established for a short period to facilitate orientation of the incoming director to the office’s operations. DoD authority under this paragraph will not affect or extend to positions within the Office of Inspector General of the Department of Defense.
3.5. Qualified career civilian employees from OSD PSAs and DoD Components will serve in an acting status when applicable, and in accordance with the FVRA for all PAS positions, or, alternatively, be delegated the authorities of the position concerned and serve in a “performing the duties of” status, in critical positions vacated by non-career officials during a Presidential transition.
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SECTION 4: DOD TRANSITION STRUCTURE
4.1. PURPOSE.
The DoD transition structure is established before a Presidential election by the SecDef pursuant to Section 113 of Title 10, U.S.C.; the Presidential Transition Act of 1963, as amended; and Executive Order 13727. Its purpose is to plan for, manage, support, and execute DoD transition matters and ensure optimum efficiency, effectiveness, and communication throughout the transition.
4.2. TRANSITION SSG.
Upon establishment of the DoD transition structure by the SecDef, the DepSecDef will convene and chair the SSG. The SSG is composed of the Secretaries of the Military Departments, Chief of the National Guard Bureau, Vice Chairman of the Joint Chiefs of Staff, OSD PSAs, Special Assistant to the Secretary of Defense for White House Liaison, DoD Transition Director, and the DoD TTF Director. The DoD TTF Director will serve as the SSG’s Executive Secretary. The SSG will meet on a periodic basis during an election and transition cycle and provides guidance, oversight, and direction to the DoD Transition Director and DoD TTF Director.
4.3. DOD TRANSITION DIRECTOR.
The DoD Transition Director oversees and implements DoD activities related to the Presidential transition. In the event of a vacancy of the DA&M or if the incumbent DA&M is not a career official, the DoD Transition Director is designated not later than 6 months before the date of the Presidential election. The DoD Transition Director:
a. Coordinates all support of the DoD under the control of the outgoing Presidential administration to the transition of the incoming Presidential administration.
b. Ensures Department compliance with Executive Office of the President guidance and any requirements outlined in the memorandum of understanding (MOU) between the White House and Eligible Candidate Transition Team, which governs the conduct of a transition in accordance with statute.
c. Following the Administrator of the U.S. General Services Administration’s ascertainment of an apparent successful Presidential candidate, the Federal Transition Director will notify the DoD Transition Director of the names for the DoD ART Team. Following the election (i.e., the first Tuesday of November), DoD organizations and transition personnel are not authorized to provide support until the ascertainment of a successful candidate in accordance with the Presidential Transition Act of 1963, as amended, and DoD policies.
d. Coordinates with representatives of eligible candidates before the election and after the ascertainment of the apparent election results with the President-Elect’s DoD focal point to provide guidance for the development and production of Initial Transition Books (ITBs), as well
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as other briefing materials and information provided to the incoming President-Elect Transition Team’s DoD ART.
e. Coordinates with other Federal Agency Transition Directors to support non-DoD ART requested engagements with DoD organizations (e.g., intelligence community ART engagements with defense intelligence agencies).
f. Implements direction and guidance provided by the DepSecDef through the Transition SSG. On a periodic basis, reports status and progress being made to the Transition SSG.
g. Provides instructions and manages and executes assigned tasks pursuant to SecDef and DepSecDef direction.
h. Organizes the DoD TTF from OSD PSA and DoD Component TACs and other staff members from the OSD PSAs and DoD Components as needed. Designates the DoD TTF Director.
i. Supports the transition of outgoing political appointees. Organizes town halls and other briefings to provide outgoing political appointees with important information about Federal benefits, security classification and review, and post-government employment ethics rules.
j. Upon approval of nominations submitted by the OSD PSAs and DoD Component heads, not later than September 15 in each Presidential transition year:
(1) Designates a career official for each PAS position who would be eligible to act in or perform the duties of such position in the event of a vacancy.
(2) Certifies the DoD has completed the broader succession plans for all critical non-career positions.
(3) Ensures career employees designated to temporarily assume the responsibilities of critical non-career vacancies are adequately prepared.
k. Oversees and ensures preparation of ITBs and other briefing materials and information related to a Presidential transition not later than November 1 of a year during which a Presidential election is held.
(1) Ensures materials are disclosed or protected in accordance with statute, policy, and the MOU between the White House and Eligible Candidate Transition Team. Ensures proper marking and safeguarding of any non-public information provided to the President-Elect Transition Team and ART members in the conduct of their duties.
(2) Ensures ITBs do not contain any pre-decisional information.
l. Ensures DoD briefers and interviewees receive adequate preparation ahead of meeting with ART members (e.g., are provided a topic agenda or advance questions, understand what types of information may and may not be shared). ART interviews or briefings should be
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scheduled and conducted with adequate time for preparation and review and approval of read ahead materials by the DoD.
m. Coordinates for any non-career holdovers.
(1) Recommends to the designated representative of the incoming administration the holdover of any non-career officials who are either close to retirement-eligibility, or have medical reasons, or to ensure the continuity of certain projects, programs, and activities.
(2) Upon request of an incoming administration for the President-Elect, notifies and confirms the willingness of certain non-career individuals to serve in certain key positions after the inauguration.
4.4. DOD TTF DIRECTOR.
The DoD TTF Director:
a. Provides staff support to the DoD Transition Director and the outgoing DoD leadership, as well as the incoming leadership, to the extent permitted by law, by executing the broad range of day-to-day functions and activities necessary to efficiently conduct the transition.
b. Leads the DoD TTF and orchestrates the activities of its elements or supporting organizations.
c. Oversees transition matters of OSD and DoD Components internal to the DoD.
d. With the DoD Transition Director, oversees the identification, coordination, and support to transition matters that require interagency coordination or are external to the DoD.
e. Captures best practices and lessons learned throughout the DoD transition process and publishes an after-action report.
4.5. OSD PSA AND DOD COMPONENT TACS.
Each TAC:
a. Serves as the lead representative facilitating and supporting transition matters directly involving their respective OSD PSAs or DoD Components.
b. Serves as a supplemental member of the DoD TTF supporting Department-wide TTF and transition requirements.
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GLOSSARY
G.1. ACRONYMS.
ACRONYM MEANING
ART agency review team
DA&M Director of Administration and Management DepSecDef Deputy Secretary of Defense
DoDD DoD directive
DoDI DoD instruction
FVRA Federal Vacancies Reform Act of 1998, as amended GC DoD General Counsel of the Department of Defense ITB Initial Transition Book
MOU memorandum of understanding
OPM Office of Personnel Management
PAS Presidentially-appointed, Senate-confirmed PFPA Pentagon Force Protection Agency PSA Principal Staff Assistant
SCO senior career official
SecDef Secretary of Defense
SES senior executive service
SSG senior steering group
TAC transition assistance coordinator
TTF transition task force
U.S.C. United States Code
WHS Washington Headquarters Services
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G.2. DEFINITIONS.
Unless otherwise noted, these terms and their definitions are for the purpose of this issuance. TERM DEFINITION
ART The President-Elect Transition Team designated team to build knowledge about specific the DoD and identify critical policy and
program issues, deadlines, and challenges on behalf of the
President-Elect.
confirmation book A collection of material used to prepare a nominee for confirmation hearing(s), usually for a PAS position.
Executive Branch Defined in Part 1, Chapter 1 of Title 5, U.S.C. as an “Executive departments and department” and an “Executive agency.”
agencies
Federal Transition Co-chair of the Agency Transition Directors Council. Serves as Coordinator interagency lead to coordinate Executive Branch activities in support of a presidential transition. The General Services
Administration, through the Federal Transition Coordinator,
ensures the Federal Government has an integrated strategy for
addressing inter-agency challenges and responsibilities around
Presidential transitions and turnover of non-career appointees.
ITB A notebook prepared by each Secretary of a Military Department and OSD PSA (including each PAS official in their organization),
as well as the Chairman of the Joint Chiefs of Staff and the Chief
of the National Guard Bureau. ITBs contain DoD and
organizational background information to assist the incoming
President-Elect Transition Team with planning. At a minimum,
ITBs contain the mission and functions, organization charts,
transition issue papers, existing statutory functions and authorities,
workforce and personnel end-strength, and budgetary information.
Each ITB sets the stage for follow-on, more-detailed meetings and
briefings with an ART.
non-career SES A member of the SES whose appointment is approved by the White House and the OPM and who serves at the pleasure of the
appointing officer. Non-career SES appointments do not require
competition and offer no tenure.
operational support Includes support services as may be provided by WHS in accordance with DoDD 5110.04 and by the PFPA in accordance
with DoDD 5105.68, or as may be provided by other DoD
Components in accordance with DoDI 4000.19. These transition
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TERM DEFINITION
services may include office facilities, building access, badging,
communications, transportation, human resources services,
security, supplies, and administrative support.
OSD Defined in Section 131 of Title 10, U.S.C.
PAS officials Civilian officials appointed by the President, by and with the advice and consent of the Senate.
political appointees Officials who hold positions to which they are appointed: By the President with the advice and consent of the Senate;
By the President without the advice and consent of the Senate;
As non-career members of the SES (including political appointees
in the defense intelligence SES); or
As Schedule C employees (or equivalent political appointees).
Schedule C appointees Political appointees primarily serving as confidential assistants, policy experts, special counsels, and schedulers at grade General
Schedule-15 or below, serving under an appointment pursuant to
Schedule C of Part 213 of Title 5, Code of Federal Regulations.
transition The full spectrum of activities to support the arrival and in-briefing of officials assigned to the DoD, the departure of those
officials at the conclusion of their terms of service, as well as
President-Elect Transition Team and ART activities when there is
a change of administration. Transition activities include, but are
not limited to, the following resources:
Human resources.
General administration of pay and allowances.
Security clearance issuance and access.
Allocation of information technology.
Allocation of office space.
Security review.
Disposition of official records.
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REFERENCES
Administrative Instruction 15, “OSD Records and Information Management Program,” May 3, 2013, as amended
Code of Federal Regulations, Title 5
Code of Federal Regulations, Title 36, Sections 1220-1236
DoD Directive 3020.04, “Order of Succession Pursuant to Executive Order 13533 and the Federal Vacancies Reform Act of 1998,” August 25, 2010
DoD Directive 5105.53, “Director of Administration and Management (DA&M),” February 26, 2008
DoD Directive 5105.68, “Pentagon Force Protection Agency (PFPA),” December 5, 2013, as amended
DoD Directive 5110.04, “Washington Headquarters Services (WHS),” March 27, 2013 DoD Directive 5205.16, “The DoD Insider Threat Program,” September 30, 2014, as amended DoD Instruction O-2000.22, “Designation and Physical Protection of DoD High-Risk Personnel,” June 19, 2014, as amended
DoD Instruction 4000.19, “Support Agreements,” December 16, 2020
DoD Instruction 5015.02, “DoD Records Management Program,” February 24, 2015, as amended
Executive Order 13727, “Facilitation of a Presidential Transition,” May 6, 2016 House Oversight and Government Reform Committee and Senate Committee on Homeland Security and Governmental Affairs, “United States Government Policy and Supporting Positions (Plum Book),” current edition
Public Law 108-458, “Intelligence Reform and Terrorism Prevention Act of 2004,” December 17, 2004, as amended
Public Law 113-187, “Presidential and Federal Records Act Amendments of 2014,” November 26, 2014 (also known as the “Federal Records Act”)
United States Code, Title 3, Section 102, “Statutory Notes and Related Subsidiaries” (also known as the “Presidential Transition Act of 1963,” as amended)
United States Code, Title 5
United States Code, Title 10
United States Code, Title 18
White House-Eligible Candidate Transition Team, “Memorandum of Understanding Regarding Transition Procedures, Identification of Transition Contacts, and Access to Non-public Government and Transition Information,” current edition.1
1 This MOU is published in the September timeframe each presidential election cycle. The Federal Transition Director will provide a copy of the MOU to the DoD Transition Director, who, in turn, will provide the MOU to members of the SSG and TTF.
REFERENCES 18
PLANNING FOR PRESIDENTIAL TRANSITIONS AND THE
TRANSITION OF POLITICAL APPOINTEES AND OTHER OFFICIALS
DOD DIRECTIVE 5105.76
PLANNING FOR PRESIDENTIAL TRANSITIONS AND THE TRANSITION OF POLITICAL APPOINTEES AND OTHER OFFICIALS
Originating Component: Office of the Director of Administration and Management
Effective: August 30, 2022
Change 1 Effective: February 3, 2023
Releasability: Cleared for public release. Available on the Directives Division Website at https://www.esd.whs.mil/DD/.
Reissues and Cancels: DoD Directive 5105.76, “Transition of Administration Appointees and Other Officials,” May 26, 2017
Deputy Secretary of Defense Memorandum, “Designation of a Senior
Career Official (SCO) for Each Office of the Secretary of Defense (OSD)
Principal Staff Assistant (PSA),” December 9, 2010
Approved by: Kathleen H. Hicks, Deputy Secretary of Defense Change 1 Approved by: Kathleen H. Hicks, Deputy Secretary of Defense
Purpose: Pursuant to the authority vested in the Secretary of Defense (SecDef) by Section 113 of Title 10, United States Code (U.S.C.) and the “Presidential Transition Act of 1963,” as amended, published as a note under Section 102 of Title 3, U.S.C., this issuance:
• Establishes policy for the transfer of authority from outgoing to incoming senior officials during the transition between Presidential administrations or in the course of other personnel actions including, but not limited to, reassignment, retirement, or resignation.
• Establishes policy for the departure and arrival of political or certain non-career appointees, including those Presidentially-appointed, Senate-confirmed (PAS) officials; non-career senior executive service (SES) members; Schedule C appointees; and other officials appointed as experts or consultants pursuant to Section 3109 of Title 5, U.S.C. and Section 129b of Title 10, U.S.C.
• Assigns responsibilities for the administration, management, and direction of transition activities pursuant to Executive Order 13727.
DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
TABLE OF CONTENTS
SECTION 1: GENERAL ISSUANCE INFORMATION .............................................................................. 3 1.1. Applicability. .................................................................................................................... 3 1.2. Policy. ............................................................................................................................... 3 1.3. Summary of Change 1. ..................................................................................................... 4
SECTION 2: RESPONSIBILITIES ......................................................................................................... 5 2.1. DA&M. ............................................................................................................................. 5 2.2. Director, WHS. ................................................................................................................. 6 2.3. Director, Pentagon Force Protection Agency (PFPA). ..................................................... 7 2.4. Under Secretary of Defense for Personnel and Readiness. ............................................... 7 2.5. General Counsel of the Department of Defense (GC DoD). ............................................ 8 2.6. Assistant Secretary of Defense for Legislative Affairs. .................................................... 8 2.7. Assistant to the Secretary of Defense for Public Affairs. ................................................. 9 2.8. Special Assistant to the Secretary of Defense for White House Liaison. ......................... 9 2.9. OSD PSAs and DoD Component Heads. ......................................................................... 9 2.10. Secretaries of the Military Departments. ...................................................................... 10
SECTION 3: SUCCESSION PLANS .................................................................................................... 11 SECTION 4: DOD TRANSITION STRUCTURE ................................................................................... 12 4.1. Purpose. ........................................................................................................................... 12 4.2. Transition SSG. ............................................................................................................... 12 4.3. DoD Transition Director. ................................................................................................ 12 4.4. DoD TTF Director. ......................................................................................................... 14 4.5. OSD PSA and DoD Component TACs. ......................................................................... 14 GLOSSARY ..................................................................................................................................... 15 G.1. Acronyms. ...................................................................................................................... 15 G.2. Definitions. ..................................................................................................................... 16 REFERENCES .................................................................................................................................. 18
TABLE OF CONTENTS 2
DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
SECTION 1: GENERAL ISSUANCE INFORMATION
1.1. APPLICABILITY.
This issuance applies to OSD, the Military Departments, the Office of the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the Office of Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (referred to collectively in this issuance as the “DoD Components”).
1.2. POLICY.
a. The DoD, in coordination with the Executive Office of the President, other Executive Branch departments and agencies, and the transition teams of eligible candidates and the President-Elect and Vice President–Elect, will:
(1) Coordinate and carry out responsibilities required to accomplish an efficient and thorough transition of its political leadership.
(2) Provide for the continuity of the national security activities of the United States. (3) Mitigate unnecessary disruption from such transition in political leadership. (4) Sustain effective and efficient operations within the DoD.
b. Pursuant to Section 113 of Title 10, U.S.C.; the Presidential Transition Act of 1963, as amended; and Executive Order 13727, the SecDef establishes the DoD transition structure, described in Section 4, for the planning, coordination, management, and execution of transition activities. As such:
(1) A Transition Senior Steering Group (SSG), to be chaired by the Deputy Secretary of Defense (DepSecDef), and the DoD Transition Task Force (TTF) are established.
(2) A senior career official (SCO) for Presidential transition is designated and will serve as the DoD’s Transition Director.
(3) OSD Principal Staff Assistants (PSAs) and DoD Component heads must designate transition assistance coordinators (TACs).
c. The DoD will submit updated succession plans to the Federal Transition Coordinator no later than September 15th in a year during which a Presidential election is held, as well as identify and prepare interim agency leadership to ensure the continuity of mission operations and the goals listed in Paragraph 1.2.a. during transition (see Section 3 for additional information.).
d. Instructions from the Assistant to the President for Presidential Personnel direct the DoD in the coordination of all activities relating to Presidential appointments.
SECTION 1: GENERAL ISSUANCE INFORMATION 3
DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
1.3. SUMMARY OF CHANGE 1.
This change:
a. Clarifies the Director of Administration and Management (DA&M) responsibility in Paragraph 2.1.a. regarding designating the DoD Transition Director.
b. Corrects terminology in Paragraph 4.2.
SECTION 1: GENERAL ISSUANCE INFORMATION 4
DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
SECTION 2: RESPONSIBILITIES
2.1. DA&M.
In addition to the responsibilities in Paragraph 2.9., the DA&M:
a. Serves as the DoD Transition Director if a career executive. If the DA&M is a political appointee, an SCO will be designated to serve as the DoD Transition Director.
b. Ensures the DoD Transition Director (or performs these duties if serving as the DoD Transition Director):
(1) Manages and coordinates transition activities for PAS officials and other non-career senior officials and employees entering or departing from the DoD due to a Presidential transition and in conjunction with the DoD transition structure.
(2) Publishes implementation procedures and guidelines for transition activities.
(3) Represents the DoD on the Federal-level Agency Transition Directors Council and any other interagency transition meetings as the DoD representative for Presidential inaugural matters.
(4) Oversees assigned personnel, administrative, and logistical functions, in accordance with DoD Directive (DoDD) 5105.53, to provide for the orderly departure and arrival of officials assigned to serve within the DoD.
(5) Coordinates with the DoD TTF Director and the Special Assistant to the Secretary of Defense for White House Liaison for personnel and administrative matters pertaining to departing and incoming personnel.
(6) Upon request, coordinates engagement on transition activities, before the election, with authorized representatives of eligible candidates in support of effective transition planning in accordance with the Presidential Transition Act of 1963, as amended, and Executive Order 13727.
(7) Coordinates with the DoD TTF Director and the President-Elect’s DoD focal point to facilitate support for the incoming administration’s nominees for the SecDef and DepSecDef.
(8) Integrates security disciplines, as appropriate, to protect associated DoD information, personnel, facilities, and equipment.
c. During Presidential transitions or any other transition of PAS officials and other political appointees:
(1) In coordination with the Special Assistant to the Secretary of Defense for White House Liaison, provides guidance to OSD PSAs and the Secretaries of the Military Departments regarding the arrival and departure of political appointees and other officials.
SECTION 2: RESPONSIBILITIES 5
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(2) Maintains a central repository of Military Department Secretariat and OSD Component succession plan information, including a current list of SCOs, and ensures reporting on vacancies pursuant to Sections 3345–3349d of Title 5, U.S.C., also known as and referred to in this issuance as the “Federal Vacancies Reform Act of 1998,” as amended (FVRA), is done in a timely fashion. Pursuant to Public Law 113-187; Sections 1220-1236 of Title 36, Code of Federal Regulations; DoD Instruction (DoDI) 5015.02; and Administrative Instruction 15, the office assigned responsibility by DA&M for development of this repository must coordinate with Washington Headquarters Services (WHS) to identify and submit a record schedule for this repository.
(3) As appropriate, recommends to the DepSecDef assignment of responsibility for the preparation of confirmation books. Provides leadership orientation training to non-career SES members or selected other individuals appointed to positions within the DoD.
(4) Oversees mentoring activities for PAS officials within the DoD.
(5) Designates the OSD Historical Office to coordinate exit interviews with departing PAS officials (including those acting as or performing the duties of) to inform the Secretaries of Defense Historical Series specifically and the historical record generally. Records recommended improvements to operations and processes that may enhance the effectiveness and efficiency of the DoD.
(6) Designates the OSD Historical Office as the entity responsible for arranging additional oral history interviews with current and former PAS officials to inform the Secretaries of Defense Historical Series and other official publications.
(7) Integrates security disciplines, as appropriate, to protect associated DoD information, personnel, facilities, and equipment.
2.2. DIRECTOR, WHS.
Under the authority, direction, and control of the DA&M, the Director, WHS:
a. Provides operational support for the transition of PAS and other senior political appointees for all OSD PSAs and DoD Components, except for the Military Departments and any DoD Components serviced by a Military Department.
b. May provide operational support for the transition of PAS and other senior political appointees entering or departing from the Military Departments, as required. Such services may be provided on a reimbursable or non-reimbursable basis as agreed upon by WHS and the Military Department concerned.
c. Establishes comprehensive operational guidelines and coordinates major activities, within WHS and other appropriate DoD organizations, for administration and support of all transition activities, in accordance with Paragraph 2.1.
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DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
d. Submits required FVRA reports to the Government Accountability Office in a timely manner.
e. Provides other functional support to transitions, as directed by the DA&M.
2.3. DIRECTOR, PENTAGON FORCE PROTECTION AGENCY (PFPA). Under the authority, direction, and control of the DA&M, the Director, PFPA:
a. Oversees all physical security requirements for the transition of political appointees entering or departing the OSD and those political appointees of the Military Departments, Defense Agencies, and DoD Field Activities.
b. Conducts personal security training for newly appointed or assigned officials, as appropriate.
c. Coordinates for and conducts personal security vulnerability assessments for newly confirmed or appointed officials, as appropriate, as outlined in DoDI O-2000.22.
d. Ensures newly appointed or assigned officials are covered by the DoD Counter Insider Threat Program pursuant to DoDD 5205.16, and takes actions necessary to provide for force protection consistent with law and regulations.
e. Establishes comprehensive operational support and appropriate guidelines for the administration of security support of all transition activities within the scope of agency responsibilities. Such operational support and guidelines may include, but are not limited to, physical security access permissions and badging, implementation of operations security and countermeasures, appropriate training, driver support, alarms, and sensors.
2.4. UNDER SECRETARY OF DEFENSE FOR PERSONNEL AND READINESS.
In addition to the responsibilities in Paragraph 2.9., the Under Secretary of Defense for Personnel and Readiness:
a. Provides oversight of and ensures the DoD meets all Office of Personnel Management (OPM) deadlines related to:
(1) Certification of PAS officials’ positions in the DoD in accordance with Section 8403 of Public Law 108-458, also known as the “Intelligence Reform and Terrorism Prevention Act of 2004.”
(2) Submission of information on DoD civil service leadership and support position to be included in the United States Government Policy and Supporting Positions (Plum Book).
b. Provides OPM transition guidance to OSD PSAs and DoD Component heads.
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DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
2.5. GENERAL COUNSEL OF THE DEPARTMENT OF DEFENSE (GC DOD). In addition to the responsibilities in Paragraph 2.9., the GC DoD:
a. Provides advice, counsel, and assistance on all transition activities.
b. Provides information, advice, and counsel concerning applicable standards of conduct laws, regulations, and policies in accordance with Sections 201-209 of Title 18, U.S.C.; Section 101 of Title 5, U.S.C. Appendix, et seq., also known and referred to in this issuance as the “Ethics in Government Act;” and implementing regulations.
c. Coordinates with the Office of Government Ethics to obtain Office of Government Ethics pre-clearance of prospective PAS nominee financial disclosure reports and ethics agreements.
d. Provides Departmental guidance regarding permissible activities for prospective PAS nominees within the DoD before confirmation and appointment.
e. Provides counsel on transition-related matters as required, including:
(1) Legal requirements relating to filling, both permanently and temporarily, PAS.
(2) Applicable standards of conduct laws, regulations, and policies governing the actions of and other matters pertaining to prospective nominees, incoming and outgoing political appointees, or such other officials as may be required.
(3) Use of U.S. Government personnel and equipment, including government transportation.
2.6. ASSISTANT SECRETARY OF DEFENSE FOR LEGISLATIVE AFFAIRS.
In addition to the responsibilities in Paragraph 2.9., the Assistant Secretary of Defense for Legislative Affairs:
a. Monitors activities of the Executive Office of the President with respect to the nomination of DoD PAS officials, including the intent to nominate and the submission of the nomination for Senate confirmation.
b. As appropriate, coordinates the submission of information to and the appearance of DoD PAS nominees before the respective committees considering their nominations.
c. As appropriate, coordinates and oversees official calls or visits by administration officials to members of Congress or with the staffs of such members or oversight committees, including such official calls and visits made before their appointment.
d. Provides support to DoD transition activities and engages in liaison activities with members of Congress and their respective staffs and committees.
SECTION 2: RESPONSIBILITIES 8
DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
2.7. ASSISTANT TO THE SECRETARY OF DEFENSE FOR PUBLIC AFFAIRS.
In addition to the responsibilities in Paragraph 2.9., the Assistant to the Secretary of Defense for Public Affairs:
a. Reviews and approves all news media requests for engagement with the DoD TTF, in coordination with the DoD Transition Director.
b. Reviews and approves all responses to news media queries regarding DoD transition activities, in coordination with the DoD Transition Director.
c. As appropriate, in coordination with the DoD Transition Director, prepares official statements and announcements for release to the news media regarding DoD transition activities, succession plans, and political appointees arriving in or departing the DoD, and updates and issues public affairs guidance to bases and stations.
d. Receives and manages all news media queries and requests for engagement regarding DoD transition activities and political appointees arriving or departing.
2.8. SPECIAL ASSISTANT TO THE SECRETARY OF DEFENSE FOR WHITE HOUSE LIAISON.
The Special Assistant to the Secretary of Defense for White House Liaison:
a. Serves as the focal point for the arrival to, and departure of, political appointees in the DoD.
b. Coordinates with the DA&M, the DoD Transition Director (if the DA&M is not serving as the DoD Transition Director), and the DoD TTF Director as appropriate on personnel and administrative matters pertaining to departing appointees.
c. Coordinates with the DA&M, OSD PSAs, and Secretaries of the Military Departments, or their designated TACs, to provide guidance regarding the procedures for support to arriving and departing appointees of their respective Components.
d. Coordinates with the GC DoD Standards of Conduct Office to facilitate timely completion of financial disclosure reports and initial ethics training by arriving non-PAS appointees, pursuant to the Ethics in Government Act and implementing regulations.
e. Helps develop and support leadership orientation training for non-career SES members or selected other individuals appointed to positions within the DoD.
f. Helps identify and assign mentors for PAS officials within the DoD.
2.9. OSD PSAS AND DOD COMPONENT HEADS.
The OSD PSAs and DoD Component heads:
SECTION 2: RESPONSIBILITIES 9
DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
a. Identify an official within their respective Components to serve as the TAC, either as required during a Presidential election cycle or for the departure of senior officials within their Component.
b. Provide timely submission of materials to support agency review team (ART) transition requests for information, briefings, and nomination confirmation books on request.
c. Establish, as appropriate, succession plans for critical non-career positions to provide for continuity of operations, in accordance with DoDD 3020.04 and the FVRA with separate succession plans for PAS officials.
(1) Standing succession plans should include the identification of at least one, either by position or by name, SCO in the order of succession. The SCO will be recognized as the official responsible for the continuity of institutional knowledge.
(2) As officials out-process or on-board, update succession plans as appropriate.
d. Ensure adequate preparation of career employees to serve in critical non-career leadership positions in an acting or other capacity if these positions become vacant. The SCO, as it relates to this designation, maintains awareness concerning the nature and breadth of the Component’s activities.
2.10. SECRETARIES OF THE MILITARY DEPARTMENTS.
In addition to the responsibilities in Paragraph 2.9., the Secretaries of the Military Departments: a. Ensure proper DoD transition of outgoing political appointees.
b. Coordinate with the DA&M and the Special Assistant to the Secretary of Defense for White House Liaison to arrange onboarding and orientation for arriving political appointees.
c. Provide Military Department–specific orientation and support to arriving political appointees.
d. Identify DoD transition support requests to the DA&M.
e. Conduct personal security vulnerability assessments for newly confirmed or appointed officials, as appropriate, as outlined in DoDI O-2000.22.
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SECTION 3: SUCCESSION PLANS
3.1. Individuals awaiting possible Senate confirmation, appointment by the President, and taking the oath of office as PAS officials within the DoD may, at the discretion of the SecDef, be appointed as experts or consultants to the SecDef pursuant to Section 3109 of Title 5, U.S.C.; Section 129b of Title 10, U.S.C.; and Part 304 of Title 5, Code of Federal Regulations, and will be provided the information and, where necessary, such limited training or professional development support to allow them to effectively advise the SecDef.
3.2. Individuals appointed as experts or consultants will not presume to act in any capacity as a PAS. This includes, but is not limited to, making any personnel decisions. These experts or consultants will be appointed and located outside the respective organizations to which they are nominated. They may provide expertise or consult within the DoD on current policy topics, receive briefings, and become familiar with relevant issues but will neither offer nor provide views or guidance on matters pertaining to the PAS offices to which they have been nominated.
3.3. PAS and other non-career officials departing from the DoD may, at the SecDef’s discretion, be appointed as experts or consultants pursuant to Section 3109 of Title 5, U.S.C.; Section 129b of Title 10, U.S.C.; and Part 304 of Title 5, Code of Federal Regulations, following their departure to provide for proper debriefings, disposition of official records, and other transitional activities in the interest of the U.S. Government and the public.
3.4. If an incumbent’s intention to leave, whether through reassignment, retirement, or resignation, has been documented, the DoD may establish a different position in which to employ a designated successor for a brief period pending the incumbent’s departure. For example, when a director plans to leave, a temporary special assistant position may be established for a short period to facilitate orientation of the incoming director to the office’s operations. DoD authority under this paragraph will not affect or extend to positions within the Office of Inspector General of the Department of Defense.
3.5. Qualified career civilian employees from OSD PSAs and DoD Components will serve in an acting status when applicable, and in accordance with the FVRA for all PAS positions, or, alternatively, be delegated the authorities of the position concerned and serve in a “performing the duties of” status, in critical positions vacated by non-career officials during a Presidential transition.
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SECTION 4: DOD TRANSITION STRUCTURE
4.1. PURPOSE.
The DoD transition structure is established before a Presidential election by the SecDef pursuant to Section 113 of Title 10, U.S.C.; the Presidential Transition Act of 1963, as amended; and Executive Order 13727. Its purpose is to plan for, manage, support, and execute DoD transition matters and ensure optimum efficiency, effectiveness, and communication throughout the transition.
4.2. TRANSITION SSG.
Upon establishment of the DoD transition structure by the SecDef, the DepSecDef will convene and chair the SSG. The SSG is composed of the Secretaries of the Military Departments, Chief of the National Guard Bureau, Vice Chairman of the Joint Chiefs of Staff, OSD PSAs, Special Assistant to the Secretary of Defense for White House Liaison, DoD Transition Director, and the DoD TTF Director. The DoD TTF Director will serve as the SSG’s Executive Secretary. The SSG will meet on a periodic basis during an election and transition cycle and provides guidance, oversight, and direction to the DoD Transition Director and DoD TTF Director.
4.3. DOD TRANSITION DIRECTOR.
The DoD Transition Director oversees and implements DoD activities related to the Presidential transition. In the event of a vacancy of the DA&M or if the incumbent DA&M is not a career official, the DoD Transition Director is designated not later than 6 months before the date of the Presidential election. The DoD Transition Director:
a. Coordinates all support of the DoD under the control of the outgoing Presidential administration to the transition of the incoming Presidential administration.
b. Ensures Department compliance with Executive Office of the President guidance and any requirements outlined in the memorandum of understanding (MOU) between the White House and Eligible Candidate Transition Team, which governs the conduct of a transition in accordance with statute.
c. Following the Administrator of the U.S. General Services Administration’s ascertainment of an apparent successful Presidential candidate, the Federal Transition Director will notify the DoD Transition Director of the names for the DoD ART Team. Following the election (i.e., the first Tuesday of November), DoD organizations and transition personnel are not authorized to provide support until the ascertainment of a successful candidate in accordance with the Presidential Transition Act of 1963, as amended, and DoD policies.
d. Coordinates with representatives of eligible candidates before the election and after the ascertainment of the apparent election results with the President-Elect’s DoD focal point to provide guidance for the development and production of Initial Transition Books (ITBs), as well
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as other briefing materials and information provided to the incoming President-Elect Transition Team’s DoD ART.
e. Coordinates with other Federal Agency Transition Directors to support non-DoD ART requested engagements with DoD organizations (e.g., intelligence community ART engagements with defense intelligence agencies).
f. Implements direction and guidance provided by the DepSecDef through the Transition SSG. On a periodic basis, reports status and progress being made to the Transition SSG.
g. Provides instructions and manages and executes assigned tasks pursuant to SecDef and DepSecDef direction.
h. Organizes the DoD TTF from OSD PSA and DoD Component TACs and other staff members from the OSD PSAs and DoD Components as needed. Designates the DoD TTF Director.
i. Supports the transition of outgoing political appointees. Organizes town halls and other briefings to provide outgoing political appointees with important information about Federal benefits, security classification and review, and post-government employment ethics rules.
j. Upon approval of nominations submitted by the OSD PSAs and DoD Component heads, not later than September 15 in each Presidential transition year:
(1) Designates a career official for each PAS position who would be eligible to act in or perform the duties of such position in the event of a vacancy.
(2) Certifies the DoD has completed the broader succession plans for all critical non-career positions.
(3) Ensures career employees designated to temporarily assume the responsibilities of critical non-career vacancies are adequately prepared.
k. Oversees and ensures preparation of ITBs and other briefing materials and information related to a Presidential transition not later than November 1 of a year during which a Presidential election is held.
(1) Ensures materials are disclosed or protected in accordance with statute, policy, and the MOU between the White House and Eligible Candidate Transition Team. Ensures proper marking and safeguarding of any non-public information provided to the President-Elect Transition Team and ART members in the conduct of their duties.
(2) Ensures ITBs do not contain any pre-decisional information.
l. Ensures DoD briefers and interviewees receive adequate preparation ahead of meeting with ART members (e.g., are provided a topic agenda or advance questions, understand what types of information may and may not be shared). ART interviews or briefings should be
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scheduled and conducted with adequate time for preparation and review and approval of read ahead materials by the DoD.
m. Coordinates for any non-career holdovers.
(1) Recommends to the designated representative of the incoming administration the holdover of any non-career officials who are either close to retirement-eligibility, or have medical reasons, or to ensure the continuity of certain projects, programs, and activities.
(2) Upon request of an incoming administration for the President-Elect, notifies and confirms the willingness of certain non-career individuals to serve in certain key positions after the inauguration.
4.4. DOD TTF DIRECTOR.
The DoD TTF Director:
a. Provides staff support to the DoD Transition Director and the outgoing DoD leadership, as well as the incoming leadership, to the extent permitted by law, by executing the broad range of day-to-day functions and activities necessary to efficiently conduct the transition.
b. Leads the DoD TTF and orchestrates the activities of its elements or supporting organizations.
c. Oversees transition matters of OSD and DoD Components internal to the DoD.
d. With the DoD Transition Director, oversees the identification, coordination, and support to transition matters that require interagency coordination or are external to the DoD.
e. Captures best practices and lessons learned throughout the DoD transition process and publishes an after-action report.
4.5. OSD PSA AND DOD COMPONENT TACS.
Each TAC:
a. Serves as the lead representative facilitating and supporting transition matters directly involving their respective OSD PSAs or DoD Components.
b. Serves as a supplemental member of the DoD TTF supporting Department-wide TTF and transition requirements.
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GLOSSARY
G.1. ACRONYMS.
ACRONYM MEANING
ART agency review team
DA&M Director of Administration and Management DepSecDef Deputy Secretary of Defense
DoDD DoD directive
DoDI DoD instruction
FVRA Federal Vacancies Reform Act of 1998, as amended GC DoD General Counsel of the Department of Defense ITB Initial Transition Book
MOU memorandum of understanding
OPM Office of Personnel Management
PAS Presidentially-appointed, Senate-confirmed PFPA Pentagon Force Protection Agency PSA Principal Staff Assistant
SCO senior career official
SecDef Secretary of Defense
SES senior executive service
SSG senior steering group
TAC transition assistance coordinator
TTF transition task force
U.S.C. United States Code
WHS Washington Headquarters Services
GLOSSARY 15
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G.2. DEFINITIONS.
Unless otherwise noted, these terms and their definitions are for the purpose of this issuance. TERM DEFINITION
ART The President-Elect Transition Team designated team to build knowledge about specific the DoD and identify critical policy and
program issues, deadlines, and challenges on behalf of the
President-Elect.
confirmation book A collection of material used to prepare a nominee for confirmation hearing(s), usually for a PAS position.
Executive Branch Defined in Part 1, Chapter 1 of Title 5, U.S.C. as an “Executive departments and department” and an “Executive agency.”
agencies
Federal Transition Co-chair of the Agency Transition Directors Council. Serves as Coordinator interagency lead to coordinate Executive Branch activities in support of a presidential transition. The General Services
Administration, through the Federal Transition Coordinator,
ensures the Federal Government has an integrated strategy for
addressing inter-agency challenges and responsibilities around
Presidential transitions and turnover of non-career appointees.
ITB A notebook prepared by each Secretary of a Military Department and OSD PSA (including each PAS official in their organization),
as well as the Chairman of the Joint Chiefs of Staff and the Chief
of the National Guard Bureau. ITBs contain DoD and
organizational background information to assist the incoming
President-Elect Transition Team with planning. At a minimum,
ITBs contain the mission and functions, organization charts,
transition issue papers, existing statutory functions and authorities,
workforce and personnel end-strength, and budgetary information.
Each ITB sets the stage for follow-on, more-detailed meetings and
briefings with an ART.
non-career SES A member of the SES whose appointment is approved by the White House and the OPM and who serves at the pleasure of the
appointing officer. Non-career SES appointments do not require
competition and offer no tenure.
operational support Includes support services as may be provided by WHS in accordance with DoDD 5110.04 and by the PFPA in accordance
with DoDD 5105.68, or as may be provided by other DoD
Components in accordance with DoDI 4000.19. These transition
GLOSSARY 16
DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
TERM DEFINITION
services may include office facilities, building access, badging,
communications, transportation, human resources services,
security, supplies, and administrative support.
OSD Defined in Section 131 of Title 10, U.S.C.
PAS officials Civilian officials appointed by the President, by and with the advice and consent of the Senate.
political appointees Officials who hold positions to which they are appointed: By the President with the advice and consent of the Senate;
By the President without the advice and consent of the Senate;
As non-career members of the SES (including political appointees
in the defense intelligence SES); or
As Schedule C employees (or equivalent political appointees).
Schedule C appointees Political appointees primarily serving as confidential assistants, policy experts, special counsels, and schedulers at grade General
Schedule-15 or below, serving under an appointment pursuant to
Schedule C of Part 213 of Title 5, Code of Federal Regulations.
transition The full spectrum of activities to support the arrival and in-briefing of officials assigned to the DoD, the departure of those
officials at the conclusion of their terms of service, as well as
President-Elect Transition Team and ART activities when there is
a change of administration. Transition activities include, but are
not limited to, the following resources:
Human resources.
General administration of pay and allowances.
Security clearance issuance and access.
Allocation of information technology.
Allocation of office space.
Security review.
Disposition of official records.
GLOSSARY 17
DoDD 5105.76, August 30, 2022 Change 1, February 3, 2023
REFERENCES
Administrative Instruction 15, “OSD Records and Information Management Program,” May 3, 2013, as amended
Code of Federal Regulations, Title 5
Code of Federal Regulations, Title 36, Sections 1220-1236
DoD Directive 3020.04, “Order of Succession Pursuant to Executive Order 13533 and the Federal Vacancies Reform Act of 1998,” August 25, 2010
DoD Directive 5105.53, “Director of Administration and Management (DA&M),” February 26, 2008
DoD Directive 5105.68, “Pentagon Force Protection Agency (PFPA),” December 5, 2013, as amended
DoD Directive 5110.04, “Washington Headquarters Services (WHS),” March 27, 2013 DoD Directive 5205.16, “The DoD Insider Threat Program,” September 30, 2014, as amended DoD Instruction O-2000.22, “Designation and Physical Protection of DoD High-Risk Personnel,” June 19, 2014, as amended
DoD Instruction 4000.19, “Support Agreements,” December 16, 2020
DoD Instruction 5015.02, “DoD Records Management Program,” February 24, 2015, as amended
Executive Order 13727, “Facilitation of a Presidential Transition,” May 6, 2016 House Oversight and Government Reform Committee and Senate Committee on Homeland Security and Governmental Affairs, “United States Government Policy and Supporting Positions (Plum Book),” current edition
Public Law 108-458, “Intelligence Reform and Terrorism Prevention Act of 2004,” December 17, 2004, as amended
Public Law 113-187, “Presidential and Federal Records Act Amendments of 2014,” November 26, 2014 (also known as the “Federal Records Act”)
United States Code, Title 3, Section 102, “Statutory Notes and Related Subsidiaries” (also known as the “Presidential Transition Act of 1963,” as amended)
United States Code, Title 5
United States Code, Title 10
United States Code, Title 18
White House-Eligible Candidate Transition Team, “Memorandum of Understanding Regarding Transition Procedures, Identification of Transition Contacts, and Access to Non-public Government and Transition Information,” current edition.1
1 This MOU is published in the September timeframe each presidential election cycle. The Federal Transition Director will provide a copy of the MOU to the DoD Transition Director, who, in turn, will provide the MOU to members of the SSG and TTF.
REFERENCES 18
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