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                        FEATURES OF THE SENIOR EXECUTIVE SERVICE
                        FEATURES OF THE SENIOR EXECUTIVE SERVICE

       I.  Coverage
       I.  Coverage

           A.  Introduction:  The Senior Executive Service (SES) is a separate
               personnel system in the executive branch for more than 7,500
               career and noncareer employees who serve in the key positions
               just below the top Presidential appointees.  SES members are the
               major link between these appointees and the rest of the Federal
               workforce.  They operate and oversee nearly every Federal
               activity--from air traffic safety to social security--in
               approximately 75 agencies.

           B.  Included:  Managerial, supervisory, and policy positions
               classified above GS-15 of the General Schedule or in Level IV or
               V of the Executive Schedule (or equivalent positions).

           C.  Excluded:

             1.  Positions requiring appointment by the President with Senate
                 confirmation.

             2.  Positions in the foreign service, Federal Bureau of
                 Investigation, Drug Enforcement Administration, Central
                 Intelligence Agency, Defense Intelligence Agency and National
                 Security Agency. All of these positions are covered by
                 separate, agency SES-type systems.

             3.  Administrative law judge and board of contract appeals
        positions.

             4.  Positions in Government corporations (e.g., TVA) and certain
                 financial regulatory agencies. 

      II.  Size
      II.  Size

           A.  No statutory limitation on number of positions.  Law, however,
               requires biennial allocation of position spaces to agencies by
               OPM.  OPM allocates based on program needs and utilization of
               spaces by each agency.

           B.  Agencies can establish positions within their allocation without
               further OPM approval.

           C.  Number of SES positions established as of September 30, 1990:  
               8,155

           D.  Number of SES appointees as of September 30, 1990:   7,590

     III.  Structure
     III.  Structure


           A.  Two types of positions

             1.  Career-reserved (about 50%)

               a.  Defined in law: "to ensure impartiality, or public's
                   confidence of impartiality of government" (e.g., law
                   enforcement).
               b.  May be filled by career appointees only.
               c.  Career reserved floor of 3,571 Governmentwide.  Each agency
                   given quota by OPM.

             2.  General (about 50%) - May be filled by any SES appointee,
                 whether career, noncareer, or limited.

           B.  Four types of appointments

             1.  Career - Selection by agency merit staffing process and
                 approval of managerial qualifications by Qualifications Review
                 Board (QRB) run by OPM.


                                             U.S. Office of Personnel Management







                                           3


             2.  Noncareer

               a.  Appointment allocations approved on individual case basis
                   by OPM, and OPM recoups allocation when appointee leaves. 
                   Restoration considered when new noncareer appointment is
                   requested.
               b.  Appointments may not exceed 10% of SES position allocation
                   Governmentwide, and 25% of SES position allocation in any
                   agency.

             3.  Limited term - Nonrenewable appointment for up to 3 years to
                 a general SES position which will expire because of the
                 nature of the work (e.g., special project).

             4.  Limited emergency - Nonrenewable appointment for up to 18
                 months to a general SES position which must be filled
                 urgently.

               Total number of limited term and limited emergency
               appointments may not exceed 5% of SES position allocation
               Governmentwide.  OPM must approve use of appointment
               authority.

      IV.  Entry
      IV.  Entry

           A.  Executive Resources Board (ERB) in each agency conducts merit
               staffing for career appointments.  At least Governmentwide
               competition.  OPM announces vacancies biweekly.  No veterans
               preference.

           B.  Qualifications Review Board (QRB) at OPM reviews and certifies
               managerial qualifications for initial career appointment. 
               Board must have majority career membership.  Approval based
               on:

             a.  Demonstrated executive experience;
             b.  Successful participation in an SES candidate development
                 program; or
             c.  Special or unique qualities which indicate a likelihood of
                 executive success.

           C.  One-year probation following initial career appointment to
               SES.

           D.  Noncareer and limited appointments made without competition. 
               Agency head approves qualifications.

           E.  At least 70% of SES positions must be filled by individuals
               with 5 years or more of current, continuous service
               immediately before initial SES appointment to assure
               experience and continuity.

       V.  Reassignments and Transfers
       V.  Reassignments and Transfers

           A.  May be reassigned to any SES position in same agency for which
               qualified, but career appointee must have 15 days advance









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               written notice (60 days if reassignment between commuting
               areas).

           B.  No involuntary reassignment of career appointee within 120
               days of appointment of new agency head or new noncareer
               supervisor.

           C.  May transfer to another agency which agrees to employment, but
               may not be transferred involuntarily.  Career appointees
               entitled to accompany their positions in a transfer of
               function between agencies.

      VI.  Compensation
      VI.  Compensation

           A.  Basic pay - Six rates.  ES-1 must at least equal 120% of
               GS-15/1, and ES-6 may not exceed Executive Level IV.

             1.  President adjusts rates annually.  Current rates (effective
                 January 1991):

                     ES-1 = $ 92,900   ES-3 = $101,800  ES-5 = $111,800
                     ES-2 = $ 97,400   ES-4 = $107,300  ES-6 = $115,700

             2.  Agency head sets basic pay of executive at one of the six
     rates.  Pay can be adjusted upward any                         number of
     rates once a year, but downward only one rate per year.































     U.S. Office of Personnel Management







                                           5


           B.  Performance awards (career executives)

             1.  Awards are for performance during the previous appraisal
                 period.

             2.  Agency head or designee makes awards following recommendation
                 by Performance Review Board.  OPM regulations and guidelines
                 intended to assure that awards reflect actual performance.

             3.  Individual may be awarded annually lump-sum payment between 5%
                 and 20% of basic pay.

             4.  Total award payments in an agency limited to 3% of aggregate
                 SES career payroll as of the end of the previous fiscal year. 
                 Alternative formula provided for small agencies.

           C.  Presidential rank awards (career executives)

             1.  Awards are for sustained accomplishment over a period of years.

             2.  Agency nominates, OPM recommends, President selects.

             3.  1% annually may be designated Distinguished Executive: 
                 $20,000.
               5% annually may be designated Meritorious Executive:    $10,000.

             4.  May receive same rank only once within 5-year period.

           D.  Other compensation (career or noncareer executives)

             1.  Recruitment and relocation bonuses up to 25% of basic pay when
                 needed to recruit a high quality candidate.  Service agreement
                 required.

             2.  Retention allowances up to 25% of basic pay, if unusually high
                 or unique qualifications of individual or a special need of the
                 agency makes it essential to retain the individual, and
                 individual would likely leave the Government in the absence of
                 an allowance.

             3.  Superior accomplishment incentive awards for suggestion,
                 invention, or special act or service.

             4.  Critical pay up to Executive Level I for NTE 800 SES and other
                 positions to recruit or retain exceptionally well qualified
                 individuals.  OMB approves in consultation with OPM.

           E.  Compensation limit - Basic pay and other compensation during a
               calendar year may not exceed pay of Executive Level I ($138,900,
               effective January 1991).  Any excess amount due to SES
               performance awards, Presidential rank awards, or physicians
               comparability allowances paid at start of next calendar year.

      VII. Other Benefits
      VII. Other Benefits

           A.  Leave - No limit on annual leave accumulation (career or









                                           6


        noncareer executives).

           B.  Sabbaticals (career executives)

             1.  Agency head may grant up to 11 months during any 10-year period
                 for study or uncompensated work experience contributing to
                 employee's development and effectiveness.  Employee retains
                 salary and benefits, and agency may grant travel and per diem
                 costs.

             2.  To be eligible, must have 7 years of executive service (at
                 least 2 years in the SES), not be eligible for retirement, and
                 agree to remain in Government for 2 years after the sabbatical.

           C.  Last move home (career executives) - If reassigned or transferred
               geographically (when eligible for optional or discontinued
               service retirement or within 5 years of eligibility for optional
               retirement), entitled to moving expenses at retirement.

           D.  Retention of SES benefits (career executives) - If appointed to
               position at Executive Level V or higher without a break in
               service, may elect to retain SES benefits.



































                                             U.S. Office of Personnel Management







                                           7


    VIII.  Performance Evaluation
    VIII.  Performance Evaluation

           A.  Agencies develop appraisal system subject to OPM regulations
               and approval.  Agency system must contain three to five rating
               levels, including a fully successful level, a minimally
               satisfactory level, and an unsatisfactory level.  Less than
               fully successful rating is basis for removal from SES.

           B.  Supervisor establishes performance elements and standards in
               consultation with executive, based on both individual and
               organizational performance.

           C.  Supervisor proposes annual rating.  (No rating, however,
               within 120 days after beginning of a new Presidential
               administration.)  Executive can provide written comments and
               request higher level review.

           D.  Proposed rating reviewed by agency Performance Review Board
               (PRB).  For career executives, majority on PRB must be career
               employees.  Final rating by agency head or designee.

      IX.  Removal
      IX.  Removal

           A.  Career executives

             1.  If removed during probationary period for performance
                 reasons, entitled to placement at GS-15 with saved pay
                 (unless originally appointed to SES from outside
                 Government).

             2.  After probationary period, must be placed in another
                 position within SES or removed from SES for 1 unsatisfactory
                 rating.  Must be removed from SES for 2 unsatisfactory
                 ratings in 5 years, or for 2 less than fully successful
                 ratings in 3 years.  May request informal hearing before
                 Merit Systems Protection Board (MSPB).  Entitled to
                 placement at GS-15 with saved pay. 

             3.  Starting in 1991, must be recertified every third year
                 (1991, 1994, etc.) if in SES for 3 preceding years. 
                 Supervisor recommends whether to recertify based on whether
                 executive meets recertification standard and considers such
                 factors as performance ratings during the previous 3 years,
                 awards, and developmental activities.  PRB, composed of a
                 majority of career members, reviews recommendation and any
                 statement by the executive.  Agency head makes final
                 decision whether individual demonstrates the excellence
                 expected of a senior executive.  If conditionally
                 recertified, have 1 year before final determination made. 
                 If not recertified, removed from SES; may appeal to MSPB and
                 entitled to placement at GS-15 with saved pay.

             4.  No removal for performance reasons during 120 days after
                 appointment of new agency head or new noncareer supervisor
                 with removal authority except where removal is based on an
                 unsatisfactory rating given prior to appointment.









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             5.  Reduction-in-force (RIF) procedures based primarily on
                 performance.  Agency must place executive who has completed
                 probationary period in any SES vacancy for which qualified. 
                 If no vacancy, OPM has 45 days to try to place executive
                 elsewhere in the Government.  If cannot be placed in SES,
                 entitled to placement at GS-15 with saved pay.  Appeal right
                 to MSPB on agency compliance with competitive RIF
                 procedures.

             6.  In lieu of fallback to GS-15, may retire if have 25 years
                 service, or have 20 years service and are age 50.  Financial
                 penalty in annuity based on age, unless removal is for
                 failure to be recertified.

             7.  Disciplinary removal procedures and rights similar to those
                 for competitive service employees.  Must receive 30 days
                 notice, have right to reply, and may appeal to MSPB.  No
                 fallback right to GS-15.

           B.  Noncareer and limited executives

             1.  Removal at pleasure of agency head.

             2.  No appeal rights.

     U.S Office of Personnel Management
     Human Resources Development Group
     Executive and Management Policy
     1900 E Street NW
     Washington, DC  20415-0001

     SES-91-04  July 1991



























 
                      EXECUTIVE QUALIFICATIONS/COMPETENCIES
  
      a.  General.  "Executive qualifications" is the term used in statute
 (5 U.S.C. 3393) to describe the qualifications that must be certified by a
 QRB (Qualifications REview Board) for all initial career appointments to
 the SES.  OPM has defined executive qualifications in terms of generic
 management functions and competencies associated with SES-level jobs. 
 These qualifications are in addition to specific, technical
 qualifications established by agencies for their SES positions.
  
      b.  Executive competencies.  Individuals applying for their first
 career appointment in the SES should show with specific examples the scope
 and quality of their work experience, accomplishments, and/or potential
 relevant to exercising leadership in each of the following six activity
 areas.  The six areas identify the generic job activities engaged in by
 Federal executives (i.e., what they do). The competencies give examples of
 the effective levels of performance in these activities.  The term
 "competencies" is used to emphasize that the primary end product of
 selection procedures and training and development of Federal executives
 is acceptable levels of relevant peformance behaviors.  (Illustrations of
 the six areas are in "A Guide to Executive Qualifications," OPM, September
 1982.)
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
  
 
 
 
                                       2
 
 
           (1)  Integration of internal and external program/policy issues. 
 This area involves seeing that key national and agencywide goals,
 priorities, values, and other issues are considered in making program
 decisions.  Major competencies within this activity area are:
  
                (a)  Identifying and integrating key issues affecting the
                     organization.  These issues include political,
 				economic, social, technological, and administrative
 				factors.
  
                (b)  Working with and through the national policy making/
                     implementation structure and procedures (e.g.,
 				Presidential leadership and political positions,
 				legislative processes, judicial review) and, as
 				relevant, other governmental jurisdictions and private
 				sector organizations.
  
           (2)  Organizational representation and liaison.  This area
 focuses upon the external communications aspects of executive positions,
 including being a representative/spokesman for the work unit and/or
 organization and coordinating with other work units and organizations. 
 Major competencies within this activity area are:
  
                (a)  Representing and speaking for the organizational unit
 				and its work (e.g., presenting, explaining, selling,
 				defending, negotiating) to those within and outside the
 				agency (e.g.,  agency heads and other political and
 				career executives, OMB, Congressional members/ staff/
 				committees, the media, clientele  and professional
 				groups).
  
                (b)  Establishing and maintaining working relationships with
 				other organizational units (e.g., other program areas
 				and staff support functions) and external groups and
 				organizations (e.g., other agencies and governments,
 				Congress, clientele groups, etc.).
  
                (c)  Working in groups and teams, conducting briefings and
 				other meetings.
  
                (d)  Seeing that reports, memos, and other documents reflect
 				the position and work of the organizational unit.
  
           (3)  Direction and guidance of programs, projects, or policy
development. This area involves activities related to establishing program /
policy goals and the structure and	processes necessary to carry them out.  
Major competencies within this activity area are:
  
                (a)  Planning processes and decisions; i.e., setting goals,
 				 objectives, and priorities; integrating short and
 				 long-term goals; identifiying contingencies,
 				 strategies, resources needs.
  
                (b)  Assessing program, policy, project feasibility.
  
                (c)  Setting effectiveness, efficiency, and productivity
 				 standards.
  
                (d)  Organizing structure and work.
  
  
  
  
  

  
  
                                       3
  
  
           (4)  Acquisition and administration of financial and material
 resources. This area concerns activities and procedures related to 
obtaining and allocating the financial and material resources necessary
 to support program or policy	implementation.  Major competencies within 
this activity area are:
  
                (a)  Managing the budgetary process; i.e., preparing,
 				justifying, operating through organizational and
 				congressional procedures, administering.
  
                (b)  Overseeing procurement/contracting procedures and
 				processes.
  
                (c)  Directing/coordinating logistical operations.
  
           (5)  Utilization of human resources.  This area involves activities 
and processes for assuring that people are appropriately employed, effectively 
and efficiently utilized, and dealt with in a fair and equitable manner. 
Major competencies within this activity area are:
  
                (a)  Acquiring staff through appropriate staffing processes;
 				i.e., workforce planning, recruitment, and selection,
 				including affirmative action and EEO.
  
                (b)  Delegating work among subordinate groups and
 				individuals.
  
                (c)  Conducting performance appraisals and providing
 				appropriate rewards and/or disciplinary action.
  
                (d)  Assessing individual capabilities and needs and
 				providing coaching, counseling, and career development
 				opportunities.
  
                (e)  Resolving conflicts and attending to morale and
 				organizational climate issues.
  
           (6)  Review of implementation and results.  This area involves
 activities and procedures for seeing that programs and policies are being
 implemented and adjusted as necessary, and that the appropriate results are
 being achieved.  Major competencies within this activity area are:
  
                (a)  Monitoring work status through formal and informal
 				means.
  
                (b)  Diagnosing and consulting on problem areas relating to
                     implementation and goal achievement.
  
                (c)  Evaluating technical and non-technical program outcomes
 				and impacts.
  
                (d)  Assessing overall effectiveness, efficiency, and
 				productivity of the organizational unit.
  
  
  
  
  
  
  
  
  
  
  
  
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