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THE SENIOR EXECUTIVE SERVICE: BOLD J ( ./ I ( EXPERIMENT IN MANAGI~G THE GOVERNMENT
ROMrt I.. Hillin~'
On July U. 1979. the Senior Executin: crvi(c (S S) came into being, fS was created by titk i\' of the Civil Sen'ice Reform A t of 1978 (Act):. "to provide the flexibility needed b~' agencie it) recruit and retain the highly competent and qualified executiH~ need~d to provide more cffecti\ e management * • *, •• . 1 Or. a~ otherwise stated in the Reform Art. it~ purpu. c i~ "to
ensure that the c~ecuti\c managt'ment of the GO\crnment of the U niled tatc~ i. n:~p(ln , i\ e to the n '~'d~ . policies, and goal - of the 'alion and otherwise ; ~ thc highest quality .•• ~ Alan K. Campbdl. l1irel'tur of th ' Ortiec of P'rsonnd \lanagement (OP\11. cal1~ , ' ES "th~corner tone fourdfortst o ln1pr \ethe Federal per onne) management ~~ ~tcm • • • . " ~
These arc high-~ounding phra~~'~ tndced, hut tht: Ie~ i ~lativc hi tory of SES ~ho\\~ that 1H t c\l'ryonc sh;:rcd the e iofty \'ic\\, ' ()f ib purpl e.. mc mem bCI ~ of
Congre~s said that it \\ a, nothing ml ;-C than J de\ in: to politici7c the top car;:er rank l)f tht.' Federal Go\crnml'nt t the au\ antage of the part~ in PO\\ a ." Other~ harkt.'nt:d ba<:~ to th~ dforh 'I )rntc:r Pr~'\ i
dent ~ixon to makl' th~' bJl rl'aunJ ': ~ murt.' "re~p 10-
~i\'l''' to hi~ "i"hr~. Dc'pit~, th(',\\.· mi'gl\ ing:o- .,h Hit
SE., it ,uni\(~d l'halknge~ in hoth till' H Oll'-\.· and th~' ,:nate and "a~ t:nal:h:u <1"1 part 0 1 thl' Rd orrn /\(1.
\\'hat then i the truth ahout thl: tle\\ ~~'t l.' m ·,l I, It a 'ignificant , tl'P fOf\\ard t h.1t \\lIl lmpnl\e the yllal i t~ of puhli(' ~(,f\ ' icc, or i It a nl'\.\ p\llltit:a l "Ipn 'l, '~"Itl.'m th~lt will pr i maril~ imp n n c th\.' patr() na ~' hen \.' it, a\'ailabk to the ad mi nl trat \)n ir p()\\er at a n ~ ~ I \ ' 11
time? Ala", dt.·ar re:ld t'r. J p Ilot l' '\Pt'(t tht.· lin'\' l' l h\.')'\.·
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: .. \' ''' I'I:lI I! (il' ll l'rid ( "11 11' ,'1. 1\'1 ' .nl l~· 1 1.1 ()Ull't' 01 Ill' (' l ' llt' l ,d ('I IU lht' : (, \()
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- llIdl\llual Il·\" ,d I{ql Ik l ll.ll l ll ll(, il l ll. l ll III ' I{q' '\ ,1
Y~- I -lOJ . 45th ('111l ~ . 2d "I.'" -il ~ " .' (1'1 ' I
ST,-\ Tl TOR \' PROl'[CTIO~ FOR C..\R[.~H [X[Cl'TI\'lAS
A~ a fl·:.ldt ~ll th\.· f\.'~~r·, atinn, ~"pr~',~~d "bout SE ... ,a numh(' r 'll \afcguanh ,n,'re ~. uilt into the legislation to plnh.'l't ,,'art.'t'r \.' \ ' (lIti\e~ anu g~ilrd a!!ain~t undue pl )h tl~· i/ati\.ln. 1\: hap~ th~' rno:'\l imp,lrtant ~akguard i~ tha t th-: ( tHa i numh~r ll ' nOlh:ar~'t:r eX~l'uti\ 'e~ IS Iimlt\.'u tn 10 Pl'r<.:Cllt 01 tilt.' lotal S ' S po,itll'flS. :\lthl l Uc.h rn)p'Htion~ 01 norh:arL'a appllintments ma ~ \ ar~ ' I!lhlng ~lgl'n .. :ie~ \\ It hin the )\ \.'fall 10 pl'rcent hnw, Ill) al!~I'\", ma~ ha\t.' llh)r\.' than ~5 p"'n,:cnt non(arl'~'r SFS r()~ttil n~ .~ Tht.' :\I.'t al,o ramits "Iimitl'd tam" aprollltm~'nt~ (Inr J ~cdr~ l)r Ic\~ t i l p(l~iliOIl~
\\ hil.'h \\ III th~'11 t.·"pinn anti "limiH.'J cmt.'rg~'ncy'·
appointm('nt~ f I\ll I" monlh~ Of k~~ to mel:{ h()na tiu~, unJllt ( I P~I1t'U. urg~'nt nt:clh). '1 hc~\.· IrllllteG appotntl!1~nh .tr.: nIl{ r~·lh·\\ •. !hk a nu m;'~ not e \,·i:t.'d 5 p ' r,,'cllt pl thl'hHal 11 l lhl'rot SFSp')~llion'(Jl)\~'rnm~nt-\\i k.
I hn 'I,' r '. at ka,t X5 pt:rl:t.'!1t oftht.· ~l'l1i(lr [Xl' ' ut i \~'~
\\ il l he '\:arCl'1 .tppl intl'~" .. Hut \\ hal i, (l "\.'arl' l.' l' appilin tr..'l· '!" rhl.' .. \":1 dcfin ' h' t 'rm ;1' an lJIdl\ idual \\h lhl' a PI ' ntm \.' nt to Sf S "\\,1 hd ~~d on appn)\ill n~ tilL' Utlll.·l· li t Pl'J'~unnd \1Jna!.!l·m efl t pI tilt.' ~''\t.'l'utl\~' q ua l ti,,'" !on:- III ,1Ich mdl\ iJua l. .. ..
J he ,\,,·t :II u prCl\ iUt''- that q u,ditll'at l lI1 ' tanuanl, tor l· .\( h Sf'S P(" itill ll ~hall t)\" l·,t.lhlt,h ~d h~ tht.' a ~eJ1l' ~
111.' ;111 . t·urthl.·l . IItl t !l1or' th.1Il 30 pl·rc\.'IH tit SLS po,it il m, ma~ at .Ill , irnc bt' lilkd h ~ r~ r IHl~ \ \ ho Jid 110t ha\\.· : l'Ot tln UI)! " ~ear ... In Ihe [ 1\ 11 :-. t'I' \ IlX I III ntl'Jlakl~ pl lll i ttl 11 1.'11' In itial srs appnintll1 l.' llh, unk" t ll~ Pre,ident (l·r tlt'it.· ... to th\.· CungrL'" hat thi' lirnitatll) ll \, quld hln~k l thl' l'Ilill~nl'\ 01 th \.· (i (l\t·rrHl1 ( llt. I Ilt'l al l,,'! e.\ ll' p Ill ll. p\.·rnlittlll ll the I'r~'llkllt til ()\ l 'l
l·1\1111.· Ih t.· " - ~ I,: ;II ' t'l\l l'e II.·Y Il IL·!l1l·nt. \\l'ah'n, thl rlt) I ~' 1 ti l 11 1111 I..dl l· t'l' l' \ Cl'lI tl I.', .
\ 11. 1: 11 , ' 1 IrlI r ClI ,: lI t ";tlt':-:II; lI d I ... thill II · R·· tIl11l1 /\ \.' t
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tin:!y he fo n' the ra!'!'agl 01 th~ Rd'nrm I\~t. OP~1
estimat~~ that appw\lIn~'tl'ly 40 pl'rl'l'nt 01 l'urn:nt SES po~ition"i arc rcquired to he ('arl'~r fl'!'t'f\cd .
OPM will prescribe the criteria and regulJtions governing the designation of career re ervcd p(l~itions. The Act states that the purpose for limiting these positions to career executives i to ensure impartiahty. or the public's confidence in the impartiality. of the Government. I n other words. certain positions must be shielded from the appearance of political influence, The examples given by OPM arc thos invol\,lng the administration of the Internal Rc\ cnue Code and the awarding of public lontrach. Each agency head will designate the carecr rescrved position in such agency. ubject to re\'ic\\ by OPM. and publ i,h a l i ~t of thl se po~itions in the Federal Rq:~istcr earh year. The remaining position:, are "general" po~ition _ and may be held by career or noncan:er per n~, ~uhject to the limitations in th~ Act on thf: numbt:r of noncareer appointees,
Therc are other protections a ' well. he panels (Perform~lnce Re\'iew Boards)" hich \\ ill e\'aluatc the. performance of career cxecllti\'e~ mu t have c.a majority of career membt:r~, Performance l:,~nn o t bc evaluatec within I 20 day~ after a nt~W Pn:sldcnt take~ ll\'er. Each performance apprai~al must bc fully documented and thl: l:xel:uti\'c \\ itl he gi\'Cn an opport unity to re pond hdorc a dcci:-,i( n I n1adc. Finally. the Comptroller GCIll ral is rcqllirl'd frolll timl: to ti mt.: to rl:\ iew agen:~ perrol mancc appl a i ~al ~y~tl'm . to a~ ... urt· l'ompliann with the ~tatut()ry pro\ I,ion~. H~ mu~t report thercon periodically to ()PM and Congrl'~~ ,
The carcl:r olfil'ial i~ abo protcctl'd aga imt imoluntary rca~"ignm~nt~ \\ ith in I ~O day~ alter thl' appuintment vi a 11\.: \\ agl:m:~ hl.:ad 0 1 a ne\\ noni.:an":l: r ~lIpe r
\ ' i~()r. Hc Illa~ nut Ol: i n \ (I \ l1llt.lfIl~ tran'lkrn:d to
an()th~ r agl:llcy ;In I hL' \', l'llIltkd til I ~ day' i.Hhann: notice 01 n:a~,it'111l1l.:llt \\ it hill hl~ (1\\ 11 a !!l' rK ~ .
In 'hl..'~l' "a~, COllgrl..' " oll l!ilt ttl L'n,url' rhat SES \\ 111 he Irl"<..' ot pOIII ICi tllll illl l('lli ld tillll and partl .111 t ~ I\ ()nt
i"m . I \ l' n th L' he\! " rittL'n alq!ll Ltld .... hll \\\:\lT . ,III..' ""Ihi , ·t tllahu ,, 1.." a lld t ill: II tI ' IL, t \d hl' Jl '\\ '~'I L' 1ll \\Ii l hl: hm\ it i ... adllllll l'll'rnl i lfHI 1111\\ \\ 1' 11 ( illlgll' ~'
Illnnlt ll r~ I li t" (ll" lla l IIrl..'l ; \11 \ Ill' IlIl'lhl l '111; 11 I hI' ou il l
III 'tailltol ~ '.t l q!.Udl"lh ;II l: 1111I1 1\\ nl
\\ hl't her t he prl'~l:nt an:l.'f m .. mat!cr~ would elect to join it~ ran"- . l'ndel thl' Rd nrm I\(·t, the mcumbcnts of po~iti'lI\~ Jl'~igllated fur SES "ere gi\cn 9() days alter notllic.ltHln tll dl'l'l tll he _"ppmnted to a SES p'l!'ltion llr to J~'dinl: and rctain hi~ or hcr curr~nt appointment and pay. \\'hen the :\~t \\a~ p~l~~ed thcr~ wa~ much ~peculation that most Federal official \\tluld declinc l"l)",'er~ion to " ES. thu~ ~cuttling th~ ne" ~yst~m bdorc it b~gan . The~c fears ha\'t~ proven grollndlcs~. A 'lfJul~ I~. 1479,~ome5.oI9Ilfferswere
made to incumhl.'nts. of \\ hich 5,o~~t\ ("bout 96 perl'cnt) \\ erc a~cepted .
The rt:a~on~ fllr thi~ o\er\\ helming lll'ccJlt.1nce by career ffici]b are not hard to find . Despite the in~r~'a~ed ri~k~, tht' i\il St'nicl' R~,:form Act and its ; mplrm~nting rq:ulat il1 1l pr'1\ iJt.' trem 'ndou bclacfit to SfS officiab. -I hl.'10 'l )\\ ing li~tlllg \\ ill illu~trate the point.
- The salary of tho. (' ell-loting to join initially wili nl'\ ~r hI. redw.:cd be")" t hl'ir ,alary at the tim\: of cnt!"~ 'thi~ gUJrante~ d ) C~ not apply to tho~c joining latcr).
Once a ~ ~ar, thl.· :-alarie~ of thll~ ' in SES may hl' incrl'a~ed an~ n Imber of rate~, hut it may be lo\\ered ()nl~ one ratl' pn ~ear.
,\11 ann ua l pl.rtnrmanre a\\ard nw~ be givcn h' l·arel.'r 1.·\l'l'lIt i\ e~ \\i h .. tully ~uccc~sful"
lilting' . I hI.' ~t\\a rd may h' up I ) ~O percent of oa'l' pa~ , i.1t i ... hmi h,'d to :'0 fk rl'ent of , ES p(i~iti n, III an Jgen~~ .
·-- Awards of Presidential Ranks may be made to carecr executivcs, A Meritorious Executive rank, carrying a lump-·,um !)tipend of $10,000. may be awarded to up to 5 percent of SES member. A Distinguished Executive rank. with a stipend of S20,OOO, may oe awarded to up to I percent of SES mcmbcr~. However, an CXCi.:utt\ ~\ total agg.regate compensation of ha'ie pa ~. a\,'ard . . and rank may not ex:eed tht., ~ali.tr~ 01 l.evelll)1 tht: I· 'xl'C utl\C Schedule (no" )( A.OO(}) ,
r:a.l.' l" ut i \I..' ~ ma\ n:n:i\l.' ahhaticab of ; i mont h ~ \\ It h pa~ alter ~ yt:ar~ in S ES with a tutalo f yl'ltr'l at thc ~lIpergrade Ien:l (limited to o Ill' I.. ... l'r~ lO ~l"ll"') '
EXe~L1ll\L'''' Illi..l! atl"~llll1latt: UI hmited amount 01 Ullu,cd alllllli..lllt.:a\·c \\ ithout forfeiture.
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On the other hand. an in\."umbent c, cC:lIti e \\ ho dedincd conver ion "ithili the 9O-day per ioo remain in "tatus quo, He retain~ hi~ pre em salary and grad, .. but has \'er~ little chance tur promotion hl'c:au~~ mn~t position ' at that le\'d arc in SES. Furthl'rm~lrl. admis ion to SE at a later date is ~ ubjert to ompl,tition. qualifications appro\al by OPM. and a l-y~'H probationary period, !\one f the 'c re~uircmc:nts apply to tho e who Joined \\ ithin the 9O-da~ period , It is a small w nder that only abnut 240 im:umbent. out of the more tha:l 5,600 eligihk dedin~J the initial con\'er~ion offer,
CO\· f~R..\G[ OF S[S
In ant ic pati n of ~ our tll'xt yU(, tior., I \\;11 ~tat~ her that GA0 i!'- expre ~Iy C:\ Illd~d frpm tht.' Sl'nlor Executi\e Sen i\."c , II A numbl'r of other agerll'lC arc al 0 excluJed b\' ~ tatut\2. 1 1 and th~ Pre id~nt i, auth )riled to exclude ( i) an agenc~ or unit prinllpally en~aged in for.:igr iot lli~~t1ce al,ti\ Itlt.'~ and (2) an~ agcnc~ or unit on the recommendation ot OPM, pr -vided that the agency or unit makes a su ·tained dtort to conform to SES. and, further. th' Pre ident. uporl recommendation (If OPM, ma~ at an~ ti l le n.:\ oh the c:\ lu,i n, : Oth~rwi~c. the l'kar intent 01 C ngr~~~ I' to bring in all executive branch department~ and agen\.:ic, and all p ~ition~ ill t hl' ";..up.:rgfi.ld~!'-·· and in I.t.'\d~ 1\' and \ ' I the Exccuti\l' Srhcdulc, Of l'4UI\aknt po ' ition~, \\ hi(h ij-,\"oh c d irt.' ting , managing, t 1 f ~llrl'r
\ i'lOt! unit, r acti\'itic, \, hic:h C'xcn' I'~ important policymaking functi m.
Determ ' ni!1g \\ hic:h p("it iom hl'long in S[~ anu \\hich ak!enCI('~ hou ld he t'xciutlcd fell to )P~1 , It ha. interprt"ted the Ad hroadl~ a (m aing aim" t all l'xecuti\ c p -.ition, in thl' (jmnnml'n t ~:\l'(' rt thlhl' c\prl'~,I:, l'X 'Il(kd h~ ClIl ll! le", " :\ nllillhl'r 01 agl'ncil'~ nHltl'ndc I that Ihl'~ \'L're nOll'll\Crl'tl h} thl' ~t · ~ tat lite , hut OP\'1 cnnl' Irrl'd () nl~ \, il ll fC'rU· t to t\\()
agl'IH.::l : thl' Smlth"1 1I11<1I1 In'tltllt l()11 alld thl' '\ d'lory Committe.: on I Iltng()\l'1 /1/1 1,:1 t; Ih'l.ltlOl II IL 'ha rt Ot.' ld \\ ,ho\\ ', I hl' ' 1rIl'n! I IItal Pld III~' I'll t· \ L' Il
tl\l' Po Ition ... lIndCI OP\I\ pur 1'\\
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I ~ I he Al't al'll exempt'. " orcign ~l'I\I l'i' p ll. ltll1n" Alln1l nl'lllati\c 1.41\\ Judgc ... , anJ 1,'\.'lIall1 r1h l lilli' III tilt' I> 1I,!!
l-ntorn:mcnt Admlill lIall\1I1 . t ' ~ ( ' '\ ~ ~ I J2~;dt ~l ( 11l79)
~.J94.
~) 'lln-S S Gr:n~ral Sch~dLJle and c.'lJui\ .~knt rO~lt i lH1~ " ~
I','tal allol'~llc.'d positi,m~ 9,196
'h ' Al't t't an o\'crall cClling 01 1 U, 777 po~ition 1.& f r thl Ger.erai Sch~dulc gradt.'s 1 tl. 17, I t< and the enior Executi\ ~ St.'n ice, 0 dJtt.' I AK~ po~ition~ remain unalll)CJled.
.. \, n,)ted ab,)\ t.', th~ C i\ il S~f\ ice Rdorm Ad rt'qllire~ GAO to monit )r the pert rmar,ce appra " ~, ll ~y~ll'm
set up by each Jge~~y for the eOlor executive , In addition. to as~ist Congre !\ in o\'er~ceing the Federal personnel management system. the Reform Act call for GAO to c' nduct audits and review to as~ure complian\,;e with the law and regulations governing employment in the executi\'e branch and to assess the effectiveness and soundne s of Fed~ral per onnel management. The Act also requires GAO to prepare and submit an annual report to the Pre ic!ent and the Congre s on the activitic of the Office of Per onnel !\tanag~ment and the Merit Sy~tems Protect ion Board,
To acccmpli 'h the e statutory requiremenb, the Federal Pcr~oni1el and Compen~ation Di\'i Jon (FP D) ha~ c~tabli s hed ,I new lin -of-df< rt entitkJ "Ci\ il Ser\'icc: Reorgani7ation and Reform Implementation, " \\'ith 'pt'cilil regard to the Senior EXCCl' IH' Sen'ice, I- PC D, wit h t he a~sista nc~ 0 f the \\' a~hi ngt 0 n Regional Office. iii performing scveral majnr re\'iew~ dC\lgncd (I) to a ~C!\!\ the cffecti\ I.:nc ~ of OPM in d i~c harging ib re,pon~ibili ies for SFS and (2) tn rc\"iew agl:nc~ proce ~e!\ in conn:rting to SES and pr()gre~~ to\\ard impro\ ing '~xec llt i\'(: de\clopmcnt and c,tabli,hing rl'quired SF.S performance apprai -.;a l ,y'tcm~ ,
I hl' Cl"'''gnmL'nt " uni411': In plO\ idlng "" "'I, tClncl' to th ' Conl.!re,' at thl' time 01 SFS '\'IL'm impkmL'nta-11(1 11 rather th :!I1 L'\aluat l(lll at 1I1l11' later tla tt: , I hl' Il''' POn'l lhk HlI u,l' ano Senal',' Commlttec, ha H' t..'X
rll"'Il'd thL'ir \ IL'\\' 01 the IITlpllrtillll'l' 01 thl' lIIitlal rl'l lI ld III thl' Sen:Ilr i ' ,\lTlII1\ l ' Sl'n In' and ha\e ... ,kl'd
, I Ill', \.:\tq.'llr~ In ~ l lHk, L' g .. (j:\O, I >,{' (jmTrnml'nt, \ 'A dlll'tll l'l . rarh III atl' Ikp • .lItml'lI1. ,\11>, "'''IQan! t s : \ It (lrllt' ~ ... .
101'\1 hit, IIllpl med '''' thl' 10. ~ Ilgull' ha, h l'l'n I'lI,tllgcd III Ill, ..,~ hl' \.' :llhl' II I .1 Iq!I\'lall\\.' actll1l1 l'rl'atln~ dn addl
Ihlllait', l'\.' lll"l' rll'1I11111
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•
I
GAO to mon!tor Ihi~ paiod d }M~I~ , ~: h~ audit learn:;
have already pnn ided ~ignil i,ant a,~i~lan'''' tll t h~ legislative commiltc~s in carryin~ \)Ul r heir o\'er~ight r~ponsibilities dunn~ ,oO\rr~ion. 1 he r.r~t tormal reports to the ('ongre~~ arc e~rc\.·tt'd 10 he made 10
early 1980.
Afterthe initial impleml'ntatlon rcri d. GAO' role 10
auditing and re\'iewing th~ operalion of ,ES L
expected to become eycn m )re im:,ortant to the Congress. The reason is tnal the Rl'fnrm Act contai ~ a "sunset" pro\'ision for: . in 19, 4. 5 }'ear~ after the beginning of ES on July 13. 1979. the Con~re. ~ \\ill have the opportunity It tel minate, ES by adoptmg u concurrent resolution tn that dfc,t. l nle~s the Congress adopl~ uch a n:~ollltlOn \\ithin the fir~t 60 day~ of continuou , e ~iol1 after J ul~ I J. 19K~. SE \\ ill continue. GA( \ (\'aI1l3Iioll of thl' dice 1H.'nc~~ of SES cO'lld be of major IInportancl' at that tim~
hcl·au,\.· ot 1 ht' 'h lrt IImc t h~lt \\ ill ~, a\ ailahlc tn th,,' ('on~ll' ... III "hi 'h In ~I '1
\\ ill th~ bold Ilt'\\ e~rl'flment in ex~cuti\(' Olanallc. men' for the Federal Gll\'crnment Ii\(' up 10 th~ ~ ,~rectatums 01 Pre~ident Cartl'r lnd OPM Dire tor Camrbcll '~ Or \\ III S S flTO\ C I) be merely a dc\'i c f,lr politic'}1 fa\ oriti!'-nl and ft r a dp!lmantling of the ~an:t:r e~\.'euti\c !'t:ni~c ·.' A!\ \\~ ~Jid at the beginning of th~' artiek'. "lnly timt' \ 'ill tell. But. bccau~e th~ Cungre!'-~ wi~cly ha~ rro\ id\.'d lor a un~ct r\.'\ ic\\ after 5 year 11' SES operation. th\.' expaimcnt an be ' t pped ea~ll~ if it d(lC~ n It \\ urk " I ' I. If it do~~ "ork \\ \.'11. of cour~c. It can be alh \\ l'J t l ' ntinue, fhc ;,\0' role ,hould be: \ cry unrnrtant in detcrminin1! \\ hich cour e of action (ongn .. ~~ dc\.id\.', t< wkc in 19K4.
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If (' nlll" 1/11/ mtJ~(' (/ ' , un ', 'r u ll II//h,' /1/' " ,\( ' /lIl1g If Ii/' If) /t 'lIr /hl' htr.l, ('//'n' I, ,11/,/ /( '111 ~('( '/ ell/t' ,\/W/J(', 11/1 , 't l\llIm m ,1..., ' ;f / It/ ,/,. /'tTl It tllld 1101 I lit ' If' If'n (I I'
~11:\t" SPI '\RI . \11 t\~t I{I lOR \11 '\ "l I{ I , Ad II. SL't' Ill' I. II. 1-4,
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