Current Shareware 1994 January

home *** CD-ROM | disk | FTP | other *** search

/ Current Shareware 1994 January / SHAR194.ISO / textfile / ses1006.zip / SESINFO.TXT < prev

Wrap

Text File | 1993-03-05 | 24KB | 672 lines

(If you use the DOS PRINT command, all lines below which are repeated will print in bold.) 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 4 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. 8 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.