SUBCHAPTER II—THE SENIOR EXECUTIVE SERVICE
Subchapter Referred to in Other Sections
This subchapter is referred to in title 7 section 16; title 38 section 7425.
§3131. The Senior Executive Service
It is the purpose of this subchapter to establish a Senior Executive Service to ensure that the executive management of the Government of the United States is responsive to the needs, policies, and goals of the Nation and otherwise is of the highest quality. The Senior Executive Service shall be administered so as to—
(1) provide for a compensation system, including salaries, benefits, and incentives, and for other conditions of employment, designed to attract and retain highly competent senior executives;
(2) ensure that compensation, retention, and tenure are contingent on executive success which is measured on the basis of individual and organizational performance (including such factors as improvements in efficiency, productivity, quality of work or service, cost efficiency, and timeliness of performance and success in meeting equal employment opportunity goals);
(3) assure that senior executives are accountable and responsible for the effectiveness and productivity of employees under them;
(4) recognize exceptional accomplishment;
(5) enable the head of an agency to reassign senior executives to best accomplish the agency's mission;
(6) provide for severance pay, early retirement, and placement assistance for senior executives who are removed from the Senior Executive Service for nondisciplinary reasons;
(7) protect senior executives from arbitrary or capricious actions;
(8) provide for program continuity and policy advocacy in the management of public programs;
(9) maintain a merit personnel system free of prohibited personnel practices;
(10) ensure accountability for honest, economical, and efficient Government;
(11) ensure compliance with all applicable civil service laws, rules, and regulations, including those related to equal employment opportunity, political activity, and conflicts of interest;
(12) provide for the initial and continuing systematic development of highly competent senior executives;
(13) provide for an executive system which is guided by the public interest and free from improper political interference; and
(14) appoint career executives to fill Senior Executive Service positions to the extent practicable, consistent with the effective and efficient implementation of agency policies and responsibilities.
(Added
References in Text
The civil service laws, referred to in par. (11), are set out in this title. See, particularly,
Effective Date
Section 415 of title IV of
"(a)(1) The provisions of this title, other than sections 413 and 414(a) [enacting this subchapter and
"(2) The provisions of
"(3) The provisions of
"(b)(1) The amendments made by
"(2) The continuity of a session is broken only by an adjournment of the Congress sine die, and the days on which either House is not in session because of an adjournment of more than 3 days to a day certain are excluded in the computation of the 60-day period.
"(3) The provisions of subsections (d), (e), (f), (g), (h), (i), (j), and (k) of
"(4) During the 5-year period referred to in paragraph (1) of this subsection, the Director of the Office of Personnel Management shall include in each report required under
Congressional Findings Respecting Continuation of Senior Executive Service
Section Referred to in Other Sections
This section is referred to in
§3132. Definitions and exclusions
(a) For the purpose of this subchapter—
(1) "agency" means an Executive agency, except a Government corporation and the General Accounting Office, but does not include—
(A) any agency or unit thereof excluded from coverage by the President under subsection (c) of this section; or
(B) the Federal Bureau of Investigation, the Drug Enforcement Administration, the Central Intelligence Agency, the Defense Intelligence Agency, the National Imagery and Mapping Agency, the National Security Agency, Department of Defense intelligence activities the civilian employees of which are subject to
(C) the Federal Election Commission; or
(D) the Office of the Comptroller of the Currency, the Office of Thrift Supervision, the Federal Housing Finance Board, the Resolution Trust Corporation, the Farm Credit Administration, the Office of Federal Housing Enterprise Oversight of the Department of Housing and Urban Development, and the National Credit Union Administration;
(2) "Senior Executive Service position" means any position in an agency which is classified above GS–15 pursuant to section 5108 or in level IV or V of the Executive Schedule, or an equivalent position, which is not required to be filled by an appointment by the President by and with the advice and consent of the Senate, and in which an employee—
(A) directs the work of an organizational unit;
(B) is held accountable for the success of one or more specific programs or projects;
(C) monitors progress toward organizational goals and periodically evaluates and makes appropriate adjustments to such goals;
(D) supervises the work of employees other than personal assistants; or
(E) otherwise exercises important policy-making, policy-determining, or other executive functions;
but does not include—
(i) any position in the Foreign Service of the United States; or
(ii) an administrative law judge position under
(3) "senior executive" means a member of the Senior Executive Service;
(4) "career appointee" means an individual in a Senior Executive Service position whose appointment to the position or previous appointment to another Senior Executive Service position was based on approval by the Office of Personnel Management of the executive qualifications of such individual;
(5) "limited term appointee" means an individual appointed under a nonrenewable appointment for a term of 3 years or less to a Senior Executive Service position the duties of which will expire at the end of such term;
(6) "limited emergency appointee" means an individual appointed under a nonrenewable appointment, not to exceed 18 months, to a Senior Executive Service position established to meet a bona fide, unanticipated, urgent need;
(7) "noncareer appointee" means an individual in a Senior Executive Service position who is not a career appointee, a limited term appointee, or a limited emergency appointee;
(8) "career reserved position" means a position which is required to be filled by a career appointee and which is designated under subsection (b) of this section; and
(9) "general position" means any position, other than a career reserved position, which may be filled by either a career appointee, noncareer appointee, limited emergency appointee, or limited term appointee.
(b)(1) For the purpose of paragraph (8) of subsection (a) of this section, the Office shall prescribe the criteria and regulations governing the designation of career reserved positions. The criteria and regulations shall provide that a position shall be designated as a career reserved position only if the filling of the position by a career appointee is necessary to ensure impartiality, or the public's confidence in the impartiality, of the Government. The head of each agency shall be responsible for designating career reserved positions in such agency in accordance with such criteria and regulations.
(2) The Office shall periodically review general positions to determine whether the positions should be designated as career reserved. If the Office determines that any such position should be so designated, it shall order the agency to make the designation.
(3) Notwithstanding the provisions of any other law, any position to be designated as a Senior Executive Service position (except a position in the Executive Office of the President) which—
(A) is under the Executive Schedule, or for which the rate of basic pay is determined by reference to the Executive Schedule, and
(B) on the day before the date of the enactment of the Civil Service Reform Act of 1978 was specifically required under
shall be designated as a career reserved position if the position entails direct responsibility to the public for the management or operation of particular government programs or functions.
(4) Not later than March 1 of each year, the head of each agency shall publish in the Federal Register a list of positions in the agency which were career reserved positions during the preceding calendar year.
(c) An agency may file an application with the Office setting forth reasons why it, or a unit thereof, should be excluded from the coverage of this subchapter. The Office shall—
(1) review the application and stated reasons,
(2) undertake a review to determine whether the agency or unit should be excluded from the coverage of this subchapter, and
(3) upon completion of its review, recommend to the President whether the agency or unit should be excluded from the coverage of this subchapter.
If the Office recommends that an agency or unit thereof be excluded from the coverage of this subchapter, the President may, on written determination, make the exclusion for the period determined by the President to be appropriate.
(d) Any agency or unit which is excluded from coverage under subsection (c) of this section shall make a sustained effort to bring its personnel system into conformity with the Senior Executive Service to the extent practicable.
(e) The Office may at any time recommend to the President that any exclusion previously granted to an agency or unit thereof under subsection (c) of this section be revoked. Upon recommendation of the Office, the President may revoke, by written determination, any exclusion made under subsection (c) of this section.
(f) If—
(1) any agency is excluded under subsection (c) of this section, or
(2) any exclusion is revoked under subsection (e) of this section,
the Office shall, within 30 days after the action, transmit to the Congress written notice of the exclusion or revocation.
(Added
References in Text
Level IV or V of the Executive Schedule, referred to in subsec. (a)(2), are set out in
The date of the enactment of the Civil Service Reform Act of 1978, referred to in subsec. (b)(3), is the date of the enactment of
Amendments
1996—Subsec. (a)(1)(B).
1994—Subsec. (a)(1)(B).
1992—Subsec. (a)(1)(B).
Subsec. (a)(1)(D).
1990—Subsec. (a)(1)(D).
Subsec. (a)(2).
1989—Subsec. (a)(1)(D).
1988—Subsec. (a)(1)(B).
Subsec. (a)(2)(iii).
1980—Subsec. (a)(1)(C).
1979—Subsec. (a)(1)(B).
Effective Date of 1996 Amendment
Amendment by
Effective Date of 1990 Amendment
Amendment by
Effective Date of 1980 Amendment
Amendment by
Effective Date of 1979 Amendment
Amendment by
Section Referred to in Other Sections
This section is referred to in
§3133. Authorization of positions; authority for appointment
(a) During each even-numbered calendar year, each agency shall—
(1) examine its needs for Senior Executive Service positions for each of the 2 fiscal years beginning after such calendar year; and
(2) submit to the Office of Personnel Management a written request for a specific number of Senior Executive Service positions for each of such fiscal years.
(b) Each agency request submitted under subsection (a) of this section shall—
(1) be based on the anticipated type and extent of program activities and budget requests of the agency for each of the 2 fiscal years involved, and such other factors as may be prescribed from time to time by the Office; and
(2) identify, by position title, positions which are proposed to be designated as or removed from designation as career reserved positions, and set forth justifications for such proposed actions.
(c) The Office of Personnel Management, in consultation with the Office of Management and Budget, shall review the request of each agency and shall authorize, for each of the 2 fiscal years covered by requests required under subsection (a) of this section, a specific number of Senior Executive Service positions for each agency.
(d)(1) The Office of Personnel Management may, on a written request of an agency or on its own initiative, make an adjustment in the number of positions authorized for any agency. Each agency request under this paragraph shall be submitted in such form, and shall be based on such factors, as the Office shall prescribe.
(2) The total number of positions in the Senior Executive Service may not at any time during any fiscal year exceed 105 percent of the total number of positions authorized under subsection (c) of this section for such fiscal year.
(e)(1) Not later than July 1, 1979, and from time to time thereafter as the Director of the Office of Personnel Management finds appropriate, the Director shall establish, by rule issued in accordance with
(2) The Director may, by rule, designate a number of career reserved positions which is less than the number required by paragraph (1) of this subsection only if the Director determines such lesser number necessary in order to designate as general positions one or more positions (other than positions described in
(A) involve policymaking responsibilities which require the advocacy or management of programs of the President and support of controversial aspects of such programs;
(B) involve significant participation in the major political policies of the President; or
(C) require the senior executives in the positions to serve as personal assistants of, or advisers to, Presidential appointees.
The Director shall provide a full explanation for his determination in each case.
(Added
References in Text
Section 413 of the Civil Service Reform Act of 1978, referred to in subsec. (e)(1), is set out as a note below.
The date of such Act, referred to in subsec. (e)(1), probably means Oct. 13, 1978, the date of the enactment of the Civil Service Reform Act of 1978.
Conversion to Senior Executive Service
Section 413 of
"(a) For the purpose of this section, 'agency', 'Senior Executive Service position', 'career appointee', 'career reserved position', 'limited term appointee', 'noncareer appointee', and 'general position' have the meanings set forth in
"(b)(1) Under the guidance of the Office of Personnel Management, each agency shall—
"(A) designate those positions which it considers should be Senior Executive Service positions and designate which of those positions it considers should be career reserved positions; and
"(B) submit to the Office a written request for—
"(i) a specific number of Senior Executive Service positions; and
"(ii) authority to employ a specific number of noncareer appointees.
"(2) The Office of Personnel Management shall review the designations and requests of each agency under paragraph (1) of this subsection, and shall establish interim authorizations in accordance with
"(c)(1) Each employee serving in a position at the time it is designated as a Senior Executive Service position under subsection (b) of this section shall elect to—
"(A) decline conversion and be appointed to a position under such employee's current type of appointment and pay system, retaining the grade, seniority, and other rights and benefits associated with such type of appointment and pay system; or
"(B) accept conversion and be appointed to a Senior Executive Service position in accordance with the provisions of subsections (d), (e), (f), (g), and (h) of this section.
The appointment of an employee in an agency because of an election under subparagraph (A) of this paragraph shall not result in the separation or reduction in grade of any other employee in such agency.
"(2) Any employee in a position which has been designated a Senior Executive Service position under this section shall be notified in writing of such designation, the election required under paragraph (1) of this subsection, and the provisions of subsections (d), (e), (f), (g), and (h) of this section. The employee shall be given 90 days from the date of such notification to make the election under paragraph (1) of this subsection.
"(d) Each employee who has elected to accept conversion to a Senior Executive Service position under subsection (c)(1)(B) of this section and who is serving under—
"(1) a career or career-conditional appointment; or
"(2) a similar type of appointment in an excepted service position, as determined by the Office;
in a position which is designated as a Senior Executive Service position shall be appointed as a career appointee to such Senior Executive Service position without regard to section 3393(b)–(e) of
"(e) Each employee who has elected conversion to a Senior Executive Service position under subsection (c)(1)(B) of this section and who is serving under an excepted appointment in a position which is not designated a career reserved position in the Senior Executive Service, but is—
"(1) a position in Schedule C of subpart C of part 213 of title 5, Code of Federal Regulations;
"(2) a position filled by noncareer executive assignment under subpart F of part 305 of title 5, Code of Federal Regulations; or
"(3) a position in the Executive Schedule under subchapter II of
shall be appointed as a noncareer appointee to a Senior Executive Service position.
"(f) Each employee who has elected conversion to a Senior Executive Service position under subsection (c)(1)(B) of this section, who is serving in a position described in paragraph (1), (2), or (3) of subsection (e) of this section, and whose position is designated as a career reserved position under subsection (b) of this section shall be appointed as a noncareer appointee to an appropriate general position in the Senior Executive Service or shall be separated.
"(g) Each employee who has elected conversion to a Senior Executive Service position under subsection (c)(1)(B) of this section, who is serving in a position described in paragraph (1), (2), or (3) of subsection (e) of this section, and whose position is designated as a Senior Executive Service position and who has reinstatement eligibility to a position in the competitive service, may, on request to the Office, be appointed as a career appointee to a Senior Executive Service position. The name of, and basis for reinstatement eligibility for, each employee appointed as a career appointee under this subsection shall be published in the Federal Register.
"(h) Each employee who has elected conversion to a Senior Executive Service position under subsection (c)(1)(B) of this section and who is serving under a limited executive assignment under subpart F of part 305 of title 5, Code of Federal Regulations, shall—
"(1) be appointed as a limited term appointee to a Senior Executive Service position if the position then held by such employee will terminate within 3 years of the date of such appointment;
"(2) be appointed as a noncareer appointee to a Senior Executive Service position if the position then held by such employee is designated as a general position; or
"(3) be appointed as a noncareer appointee to a general position if the position then held by such employee is designated as a career reserved position.
"(i) The rate of basic pay for any employee appointed to a Senior Executive Service position under this section shall be greater than or equal to the rate of basic pay payable for the position held by such employee at the time of such appointment.
"(j) Any employee who is aggrieved by any action by any agency under this section is entitled to appeal to the Merit Systems Protection Board under
"(k) The Office shall prescribe regulations to carry out the purpose of this section."
Section 415(a)(2) of
Cross References
Inspector General as "appointing authority" for members or positions within Senior Executive Service within office of an Inspector General, see Inspector General Act of 1978, §6(d), set out in the Appendix to this title.
Section Referred to in Other Sections
This section is referred to in
§3134. Limitations on noncareer and limited appointments
(a) During each calendar year, each agency shall—
(1) examine its needs for employment of noncareer appointees for the fiscal year beginning in the following year; and
(2) submit to the Office of Personnel Management, in accordance with regulations prescribed by the Office, a written request for authority to employ a specific number of noncareer appointees for such fiscal year.
(b) The number of noncareer appointees in each agency shall be determined annually by the Office on the basis of demonstrated need of the agency. The total number of noncareer appointees in all agencies may not exceed 10 percent of the total number of Senior Executive Service positions in all agencies.
(c) Subject to the 10 percent limitation of subsection (b) of this section, the Office may adjust the number of noncareer positions authorized for any agency under subsection (b) of this section if emergency needs arise that were not anticipated when the original authorizations were made.
(d) The number of Senior Executive Service positions in any agency which are filled by noncareer appointees may not at any time exceed the greater of—
(1) 25 percent of the total number of Senior Executive Service positions in the agency; or
(2) the number of positions in the agency which were filled on the date of the enactment of the Civil Service Reform Act of 1978 by—
(A) noncareer executive assignments under subpart F of part 305 of title 5, Code of Federal Regulations, as in effect on such date, or
(B) appointments to level IV or V of the Executive Schedule which were not required on such date to be made by and with the advice and consent of the Senate.
This subsection shall not apply in the case of any agency having fewer than 4 Senior Executive Service positions.
(e) The total number of limited emergency appointees and limited term appointees in all agencies may not exceed 5 percent of the total number of Senior Executive Service positions in all agencies.
(Added
References in Text
The date of enactment of the Civil Service Reform Act of 1978, referred to in subsec. (d)(2), is the date of enactment of
Level IV or V of the Executive Schedule, referred to in subsec. (d)(2)(B), are set out in
Section Referred to in Other Sections
This section is referred to in title 20 section 3461; title 38 section 709.
[§3135. Repealed. Pub. L. 104–66, title II, §2181(a)(1), Dec. 21, 1995, 109 Stat. 732 ]
Section, added
§3136. Regulations
The Office of Personnel Management shall prescribe regulations to carry out the purpose of this subchapter.
(Added