Frequently Asked Questions Senior Executive Service

Each performance element has a minimum required percentage weight, all adding up to a total weight of 100%.  The minimum weight assigned to the “Results-Driven” performance element is 20%.  The minimum weight for each of the other four performance elements is 5%, with no single performance element weighing more than the “Results-Driven” performance element.

Yes, by law (5 U.S.C 4312) agencies with SES members (i.e. subject to 5 U.S.C chapter 43 and 5 CFR 430) must have their SES performance management systems approved by OPM.  Additionally, by law (5 U.S.C. 5307(d)) and regulation (5 CFR 430 subpart D) agencies must have their SES performance management systems certified by OPM, with concurrence by OMB, to set SES member basic pay at a higher rate (i.e. up to the rate for level II of the Executive Schedule) and use a higher aggregate limit (i.e. up to the Vice President’s salary).  Both processes will be streamlined when using the basic system description.

Yes, the basic SES performance appraisal system description and performance plan template require that the performance requirements within the “Results Driven” performance element be strategically aligned.  Agencies have the flexibility to require such alignment within the remaining performance elements.

In January of 2011, 2012, and 2013, these pay adjustments will be precluded by the pay freeze. Under 5 U.S.C. 5376(b)(2) and 5 CFR 534.504, the agency head is required to adjust the rate of pay for SL/ST positions by such amount as the agency head considers appropriate in January of each year at the same time an adjustment is made in the General Schedule. However, section 147(c) of the Continuing Appropriations and Surface Transportation Act applies the pay freeze “notwithstanding any other provision of law” and restricts any senior professional employee from receiving an increase in his or her rate of basic pay during the designated period (which has been extended until December 31, 2013). The Act also includes the criteria for an exception in that section - i.e., an increase based on "a change of position that results in a substantial increase in responsibility, or a promotion." An agency may not grant any pay increase during the pay freeze, including an annual pay adjustment otherwise required by 5 U.S.C. 5376(b)(2), unless the increase meets the stated criteria for this exception.

Under section 147(c) of the Act, an agency may grant a basic pay increase to an SES member who transfers from another agency only if the change of position results in a substantial increase in responsibility and consistent with applicable statutory and regulatory requirements. Once granted, the pay adjustment would initiate a 12-month restriction. The agency determines whether a pay increase is justified under section 147(c) under such procedures as the agency head may establish. The procedures should include, as appropriate, review by an official at a higher level than the agency official otherwise authorized to set pay and must ensure verification and objective comparison of the positions' relative responsibilities.

No. An agency may involuntarily reduce a career senior executive's rate of basic pay under 5 CFR 534.404(j) for performance or disciplinary reasons subject to restrictions on reducing the pay of senior executives in 5 CFR 534.404(b) and 534.404(c) or on setting pay below the minimum rate of the SES rate range in 5 CFR 534.403(a). However, an agency should take the duration of the pay freeze into account when assessing the appropriate reduction for a senior executive. Under 5 CFR 534.404(c), a senior executive whose pay is reduced but who resolves any problems and demonstrates stronger performance has the opportunity for a pay increase after 12 months, but the pay freeze can impose a significantly longer waiting period. For example, a pay reduction done during the period of the pay freeze is fixed until the end of the pay freeze-absent a change of position that meets the criteria in section 147(c) of the Act for an exception.

The pay freeze does not restrict these awards. Agencies are authorized to grant incentive awards and performance awards to SL/ST employees under chapter 45 of title 5.  However, OMB Memorandum 13-05 directs that discretionary monetary awards should not be issued from sequestered funds while sequestration is in place, unless issuance of such awards is legally required. Discretionary monetary awards include annual performance awards, group awards, and special act cash awards.  Agencies should contact their legal counsel to determine whether any awards they are considering are legally required.

Such pay increases are precluded by the pay freeze. Section 147(c) of the Act applies "notwithstanding any other provision of law" to restrict a senior executive from receiving an increase in his or her rate of basic pay during the designated period. The Act also includes the criteria for an exception in that section - i.e., increases based on "a change of position that results in a substantial increase in responsibility, or a promotion." An agency may have its PRBs make recommendations on exceptions consistent with the pay freeze law, but pay adjustments that are based upon the results of a recently completed performance appraisal cycle do not meet the criteria for this exception.