The Senior Executive Service: An Overview

The Senior Executive Service: An Overview

January 28, 2021
The Senior Executive Service: An Overview
The Senior Executive Service (SES) was established by the
certain government functions. Examples include audits,
Civil Service Reform Act of 1978 (P.L. 95-454) to provide
inspections, civil or criminal law enforcement, grants
a government-wide cadre of high-level managers within
administration, and security mattersthe principal duties of
federal agencies. The SES comprises mostly career
which involve day-to-day government operations.
appointees who are chosen through a merit staffing process
and serve in policy, supervisory, and managerial positions
Career positions may be filled only by career appointees
above grade 15 of the General Schedule (GS). Most
through a merit staffing process, which is discussed below.
agencies have SES members, but some agencies are
OPM publishes an annual list of career reserved SES
exempted by statute, including government corporations
positions in the Federal Register.
and certain intelligence and financial regulatory agencies.
Position Types: General
The SES was intended to create a link between the
General positions are those remaining positions in the SES
politically appointed leadership of agencies and career civil
that do not meet the criteria for a career reserved position.
servants. The SES was to be the solution to frictions caused
General positions may be filled by career appointment,
by sometimes differing objectives that each of these two
noncareer appointment, or limited term appointment.
groups may have, with the focus of political appointees
Because of statutory limitations on the total number of
often on instituting programmatic changes in line with the
noncareer and limited appointees, however, most general
President’s policy goals and the focus of career civil
positions are filled by career appointees.
servants more on the technical details of program
execution. In addition, the creation of the SES was partly
An agency may convert a position from career reserved to
intended to ease the transition period for new Presidents
general or vice versa, but such a switch requires OPM’s
and their political appointees by providing incoming
approval. General positions are listed in the Plum Book
administrations with a flexible, responsive set of
(U.S. Government Policy and Supporting Positions), which
experienced leaders who could ensure that agencies were
is published alternately by the House and Senate each
running smoothly through the change in leadership and
presidential election year and lists all positions to which
beyond.
political appointments can be made.
This In Focus provides a brief overview of the SES,
Appointment Types: Career Appointments
including types of positions, the process for and types of
Most SES positions, including all career reserved positions
appointments to the SES, and compensation.
and most general positions, are filled through career
appointment. The requirements for a merit staffing process
SES Structure: Positions and
apply to all career appointments to the SES regardless of
Appointment Types
whether the underlying position is career reserved or
The SES has two types of positions: career reserved and
general.
general. Approximately half of SES positions are career
reserved and the other half are general. The Civil Service
The process for career appointments is generally as follows:
Reform Act tasked the allocation of SES positions (along
the agency advertises the position; candidates submit
with other responsibilities relating to the SES) to the Office
applications; the agency’s rating panel reviews and ranks
of Personnel Management (OPM).
candidates; the agency’s Executive Resources Board
recommends the best qualified candidates; the appointing
Positions in the SES may be filled using one of three
authority selects a candidate and certifies that he or she
appointment types: career, noncareer, and limited. The type
meets the qualifications for the SES and the position; the
of position determines, in part, what type of appointment
agency submits the candidate’s application package to an
may be made to fill it. Career reserved positions may be
OPM-administered Qualifications Review Board for
filled only by career appointment, while general positions
certification; and, if approved, the agency appoints the
may be filled by any of the three types of appointment
candidate to the position. Agencies may also have some
(career, noncareer, or limited).
ability to reinstate a former career SES member or hire an
individual directly from an SES candidate development
Position Types: Career Reserved
program if certain conditions are met.
Career reserved positions are those that involve day-to-day
functions of government and require impartiality. By law (5
Career appointees typically serve a one-year probationary
U.S.C. §3132(b)(1)) and regulation (5 C.F.R. §214.402),
period and, following the conclusion of the period, may be
certain types of positions must be removed from political
removed from the SES only for cause or poor performance.
influence to ensure public confidence in the impartiality of
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Appointment Types: Noncareer Appointments
Basic Pay
Noncareer SES appointments do not require a merit staffing
Members of the SES are compensated within pay ranges
process. Agencies must obtain approval from OPM and the
that are established by law. The pay ranges are tied to the
White House Office of Presidential Personnel for each
pay for the GS and the Executive Schedule.
noncareer appointment. The appointing official must certify
that the appointee is qualified for the position.
The minimum rate of basic pay for the SES is 120% of the
rate of basic pay for GS-15, step 1. The maximum rate
Noncareer appointments can be made only to general
depends on whether the agency has an OPM-certified
positions. Because noncareer appointments do not require a
performance appraisal system. To obtain OPM certification,
merit staffing process, noncareer appointees to the SES are
the agency must have an appraisal system that, as designed
considered political appointees.
and applied, makes meaningful distinctions based on
relative performance. For agencies without an OPM-
By law, a maximum of 10% of SES positions government-
certified SES performance appraisal system, SES members ’
wide may be filled by noncareer appointees. This
pay may not exceed the rate payable for level III of the
percentage varies across agencies, however, and may be up
Executive Schedule. For agencies with an OPM-certified
to 25% in any individual agency. When a noncareer
SES performance appraisal system, SES members ’ pay may
appointee leaves his or her position, the appointment
not exceed the rate payable for Level II of the Executive
authority reverts to OPM, and OPM must again grant
Schedule.
approval to fill the position. Noncareer appointees serve at
the pleasure of the appointing authority: that is, they lack
The rates of basic pay for 2021 are listed in Table 2.
the removal protections of career appointees.
Members of the SES do not receive locality pay.
Appointment Types: Limited Appointments
Table 2. Rates of Basic Pay for Members of the Senior
Limited appointments are used to head a specific project or
Executive Service (SES), 2021
meet an agency’s unanticipated, urgent need and may be
Structure of the
used only to fill general positions for a specified period of
SES Pay System
Minimum
Maximum
time. Limited appointments are used to fill temporarily
established positions and may last up to three years—or up
Agencies with an
to 18 months for a limited emergency appointment. Limited
OPM-certified SES
$132,552
$199,300
appointments are not renewable.
performance
appraisal system
By law, limited appointments may not exceed 5% of all
SES positions government-wide. OPM generally allocates
Agencies without
limited appointment authority on a case-by-case basis, but
an OPM-certified
$132,552
$183,300
each agency has a small pool of limited authority available
SES performance
(3% of their total SES position allocation) that may be
appraisal system
available under certain circumstances. Limited appointees
Source: Office of Personnel Management.
serve at the pleasure of the appointing authority.
Performance Awards
Career members of the SES may also be eligible for
Table 1 identifies the number of senior executives serving
awards, which are for performance during the most recently
by appointment type as of September 2020.
completed appraisal period. Each agency head approves
Table 1. SES Membership by Appointment Type
performance awards based on recommendations by the
As of September 2020
agency’s Performance Review Board. Typically, the
amount of an individual award must be between 5% and
Appointment Type
Number of Senior Executives
20% of the executive’s basic pay. Agencies are limited in
how much total money they may allocate for performance
Career
7328
awards each year.
Noncareer
755
Career executives can also be nominated for Presidential
Limited
103
Rank Awards to recognize sustained (Meritorious Rank)
and sustained extraordinary (Distinguished Rank)
Total
8,186
accomplishments. Meritorious Rank recipients may earn a
Source: Office of Personnel Management’s FedScope database,
payment of 20% of their annual basic pay, and recipients of
https://www.fedscope.opm.gov/.
the Distinguished Rank may earn a payment of 35% of their
annual basic pay.
SES Pay
The typical compensation package for career senior
Senior executives may also be eligible for other awards
executives is a performance-based pay system that includes
based on a special act or service, suggestion, invention,
salary (basic pay) and performance awards (bonuses).
superior accomplishment, or productivity gain.
Maeve P. Carey, Specialist in Government Organization
and Management
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The Senior Executive Service: An Overview

IF11743

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