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Background and Features of SES

Background and Features of the Senior Executive Service

The Civil Service Reform Act (CSRA) established the Senior Executive Service (SES) in 1979. It was set up as a "third" service, completely separate from the existing competitive and excepted services. Career status in the SES does not confer eligibility for appointment in the competitive service.

The purpose of the SES is to ensure that the executive management of the Government is responsive to the needs, policies, and goals of the nation and otherwise of the highest quality. To achieve this purpose, the CSRA provided greater authority to agencies in managing their executive resources.

Coverage: The SES includes various executive and managerial positions classified above GS-15 of the General Schedule or in level IV or V of the Executive Schedule, or an equivalent position, and which do not require appointment by the President with Senate confirmation. SES members are the major link between the top Presidential appointees and the rest of the Federal work force. The SES excludes positions in the foreign service and SES-type systems authorized by law for certain law enforcement or intelligence programs, and non-managerial positions above grade GS-15 in the Senior Level (SL) and Scientific and Professional (ST) systems.

Size: Agencies can establish positions, within their allocation of position spaces from the Office of Personnel Management (OPM), without further OPM approval. There are about 8,000 positions government-wide.

Structure: There are two types of positions. About half are "career reserved," which must be filled only by career appointees to ensure impartiality, or the publics confidence in impartiality of Government (e.g., law enforcement). The remainder are "general," which may be filled by any SES appointee, whether career, noncareer, or limited (up to three years for "term" and up to 18 months for "emergency").

Appointment: OPM prescribes five Executive Core Qualifications at ttp://www.opm.gov/ses/ecq.asp (leading change, leading people, results driven, business acumen, and building coalitions/communications) for initial career SES appointment. In addition, each agency sets job-specific technical qualification requirements for its SES positions. Veteran preference and the "rule of three" as applied to the selection of candidates for competitive service appointment do not apply. Each agency conducts merit staffing for initial career appointments under the direction of an Executive Resources Board. Vacancies are listed on-line via OPM's WWW listing at http://jobsearch.usajobs.opm.gov/ses.asp. An OPM Qualifications Review Board reviews and certifies the managerial qualifications of new SES career appointees. There is a one-year probationary period following initial career appointment to the SES. Agencies may make noncareer and limited appointments without competition.

Reassignment and Transfer: SES members may be reassigned to any SES position in the same agency for which qualified, but career appointees must have at least 15 days advance written notice (60 days if reassigned between commuting areas). They may be removed from the service for failing to accept a directed reassignment. SES members may transfer to another agency that agrees to employment, but may not be involuntarily transferred. Career appointees are entitled to accompany their position in a transfer of function between agencies.

Compensation: The National Defense Authorization Act (Public Law 108-136, November 24, 2003) approved a new pay system which eliminated the six ES pay levels in favor of an open pay range (that is, a "payband") with a minimum base salary equivalent to 120 percent of the rate for grade 15, step 1, of the General Schedule to a base salary limit of Level III of the Executive Schedule. For more information go to http://www.opm.gov/ses/compensation.html. Career SES members may receive performance awards from 5% to 20% of basic pay, based on performance during the annual appraisal period. The President at http://www.opm.gov/ses/presrankaward.asp may award career members the rank of Distinguished Executive with a lump-sum payment of 35 percent of their base pay, and a Meritorious Executive would receive a lump-sum payment of 20 percent of their base pay annually for sustained accomplishments over a period of at least three years. Basic pay and other compensation (e.g., awards and allowances) during a calendar year may not exceed pay for Executive Schedule Level I. Any excess amount is paid at the start of the next calendar year.

Other Benefits: There is a 90-day (720 hour) limit on the amount of annual leave an SES member may carry over from one leave year to the next. Additional leave accumulated prior to October 1994 is protected under a personal leave ceiling. Agency heads may grant a sabbatical of up to 11 months for career members who have at least seven years of service (at least two years in the SES), are not eligible for retirement, and agree to remain in Government for two years after the sabbatical. Career members are entitled to moving expenses ("last move home") at retirement if they were previously reassigned or transferred geographically when eligible for retirement (optional or discontinued service), or within five years of eligibility for optional retirement.

Performance Evaluation: An agencys appraisal system must have three to five rating levels, including a fully successful level, a minimally satisfactory level, and an unsatisfactory level. The supervisor establishes performance elements and standards in consultation with the executive. The supervisor proposes an annual rating, which is reviewed by the executive before it is forwarded to an agency Performance Review Board. When reviewing a career SES appraisal, a majority of the Board must be career SES. The final rating is by the agency head or designee.

Removal: Noncareer and limited appointees serve at the pleasure of the agency head; there are no appeal rights after removal. Career SES members may be removed for a variety of reasons during the probationary period. Post-probationers may be removed for performance, reduction-in-force (RIF), or disciplinary reasons. They must be placed in another position in the SES or removed from the SES for one unsatisfactory rating; and must be removed from the SES for two unsatisfactory ratings in five years, or two less that fully successful ratings in three years. An SES member may not appeal this removal to the Merit Systems Protection Board (MSPB), but may request an informal hearing. A RIF removal can be appealed to MSPB for agency compliance with competitive RIF procedures. Career SES members removed from the SES are entitled to fallback to GS-15 (unless appointed to the SES from outside Government or from a noncareer-type appointment, and removed during probation). Disciplinary removal procedures and rights are similar to those for competitive service employees, except that "efficiency of the service" is not a basis for action.

References: 5 CFR Ch 1, Pts 214, 317, 359, 412, 430, 451, 534, 630, 752; Title 5 USC, Ch 21, 31, 33, 35, 43, 45, 51, 53, 63 & 75

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