Statute: 5 U.S.C. 3391- 3395

Regulations: 5 CFR Part 317, Subparts E and F

The Guide to Processing Personnel Actions: Chapter 13 - Senior Executive Service (SES) and Chapter 14 - Promotions, Changes to Lower Grade, Level or Band, Reassignments, Position Changes, and Details

The SES offers agency managers considerable flexibility in filling executive vacancies while still providing fair access to executive jobs based on merit. The SES positions may be filled through competitive or noncompetitive appointment. Examples of noncompetitive appointment are: reassignment or transfer of a current SES appointee; reinstatement of a former SES career appointee; and the appointment of a graduate of an OPM-certified SES Candidate Development Program (CDP). CDP graduates may be noncompetitively appointed if they were selected through civil service-wide competition for the CDP.

AGENCY RESPONSIBILITIES

Written procedures. Each agency is responsible for establishing written procedures to implement the provisions of 5 CFR part 317, Employment in the Senior Executive Service. The merit staffing procedures established to implement 5 CFR 317.501 (Recruitment and selection for initial career SES appointment) should make clear to all parties, including selecting officials and applicants, how SES positions are filled competitively.

Executive Resources Boards (ERB). Agency heads are required to establish one or more ERBs to conduct the merit staffing process for initial career appointments, as stated in 5 CFR 317.501. This includes reviewing the executive qualifications of eligible candidates, making written recommendations to the appointing authority regarding these candidates, and identifying the best qualified candidates from which the selection is to be made. As discussed in Chapter 1, however, an ERB should have a much broader charter to be most effective.  Additionally, staffing requirements of an ERB are covered in Chapter 1.

OPM RESPONSIBILITIES

Staffing requirements. OPM establishes basic staffing requirements and may review an agency’s SES staffing process at any time to determine whether legal and regulatory requirements are being followed. OPM will direct corrective action when necessary to assure compliance with law and regulation.

Qualification Review Boards (QRB). OPM establishes interagency QRBs to certify the executive qualifications of candidates for initial career SES appointment. [More information about QRBs later in this chapter.]

Five years continuous service. OPM monitors the requirement in 5 U.S.C. 3392(b) that as a minimum, at least 70 percent of SES members Governmentwide must have five or more years of current continuous service in the civil service immediately preceding their initial SES appointment. There is no quota set in law or regulation for individual agencies.

CONDITIONS OF EMPLOYMENT

Citizenship. The SES contains no citizenship requirement, but some agencies may have separate controlling legislation requiring citizenship. In addition, a general appropriations act restriction, with some exceptions, prevents agencies from using appropriated funds to pay non-citizens if they work in the continental United States.

Further, an agency may administratively restrict consideration for SES positions to citizens. This decision may be a matter of agency policy or a job determination. No special justification is required.

Employment of Relatives. 5 CFR part 310 and related requirements address the restrictions regarding the employment of relatives, and the exceptions which apply to the SES.

Selective Service Registration. SES appointees are subject to the statutory bar to appointment of persons who fail to register under the Selective Service law. [5 CFR part 300, Subpart G]

Verification of Employment Eligibility. The Immigration Reform and Control Act of 1986 [P.L. 99-603], requires SES appointees coming from outside the Federal service to verify they are eligible to work in the United States.

Employment during Terminal Leave. Members of a uniformed service (Army, Navy, Marines, Air Force, etc.) on terminal leave pending separation may be appointed to and receive pay from another Government position, including an SES position [5 U.S.C. 5534a].

EMPLOYMENT RESTRICTIONS

Dual Incumbency. Agencies cannot employ two individuals in the same position at the same time (“dual incumbency”). Nevertheless, there are options available to agencies to provide continuity in key positions and to meet other transitional needs. When an incumbent’s intention to leave has been documented, an agency may establish a different position to employ a designated successor for a brief period of time pending the incumbent’s departure. For example, when an office director is leaving, a temporary special assistant position could be established for a short period to facilitate orientation of the incoming director to the office’s operations. OPM may authorize the use of SES limited appointment authorities for short periods of time for temporary executive positions established under such circumstances. If the successor is eligible for career appointment (e.g., is a career appointee or was selected through SES merit staffing and has been QRB certified), he or she can be appointed as office director and the departing executive can be assigned to the temporary position to facilitate transition. This does not require OPM involvement since a career executive can serve in a temporary position without a change in type of appointment.

Experts/consultants. Under 5 U.S.C. 3109(c), positions in the SES cannot be filled by expert or consultant appointment.

Independent regulatory commissions. Under 5 U.S.C. 3392(d), the appointment of an individual to any SES position in an independent regulatory commission “shall not be subject, directly or indirectly, to review or approval by any officer or entity within the Executive Office of the President.”

Private sector temporary employees. Under 5 CFR 300.502(b), private sector temporary employees cannot be used to perform SES work.

QUALIFICATIONS REQUIREMENTS

Statue: 5 U.S.C. 3392(a), 3393

Regulations: 5 CFR Part 317, Subpart D

Qualifications Standards

The agency head or a designee (e.g., the ERB) is responsible for establishing qualifications standards for each SES position in the agency. A qualifications standard must be established for a position before any appointment is made to that position. If a position is being filled competitively, the standard must be approved before the position is announced. If the duties and responsibilities of a position are substantially altered, the standard should be reviewed to determine if a new one is needed.

Qualifications standards may be established for individual SES positions or for groups of similar positions. Standards should be set at a high enough quality level so that those who meet the standards are well qualified, not just minimally qualified, to perform the job.

Developing Standards. Under 5 U.S.C. 3392, qualifications standards for Career Reserved positions must be developed in accordance with OPM requirements. Standards for General positions must be developed in consultation with OPM. Qualifications standards requirements for Career Reserved positions are listed below; and may also be used in developing standards for General positions in lieu of consultation with OPM.

The standard(s) must be in writing and must identify the breadth and depth of the professional/technical and executive/managerial knowledge, skills, and abilities, or other qualifications (e.g., certification or licensure), that are essential and desirable for successful performance. Mandatory qualifications must be met for a candidate to be eligible for the position. Desirable qualifications are used to help rate and rank eligible candidates.

The standard(s) must be specific enough to enable the user to identify qualified candidates and to enable the ERB to make qualitative distinctions among candidates for rating and ranking purposes when the position is being filled competitively.

Each qualifications criterion in the standards must be job related. However, the standards may not emphasize agency-related experience to the extent that it precludes well qualified candidates from outside the agency from appointment consideration.

Mandatory qualifications standards may not include any of the following:

• A minimum length of experience requirement beyond that authorized for similar positions in the General Schedule, e.g., generally 1 year of specialized experience at least equivalent to the GS-15 level [OPM’s Operating Manual on Qualifications Standards for General Schedule Positions]. This means that the 1-year experience requirement at the GS-15 level is not required.
• A minimum education requirement beyond that authorized for similar positions in the General Schedule [OPM’s Operating Manual on Qualifications Standards for General Schedule Positions].
• Any criterion prohibited by law or regulation.

[Note: Time in grade requirements does not apply to the SES, so applicants do not need to have spent a certain amount of time at the GS-15 or equivalent level.]

National Security Professional (NSP) Qualification for NSP SES. OPM and the NSP Executive Steering Committee (ESC) encourage agencies to implement a qualification requirement for NSP-designated SES positions for demonstrated ability to lead inter-agency, inter-departmental, inter-governmental activities, or comparable cross- organizational activities. Agencies may exercise discretion and flexibility in defining and elaborating upon the qualification requirement based on their positions and mission demands. OPM and the ESC recommend a multi-agency or equivalent experience for selection into NSP SES positions. OPM and the ESC have defined the qualifying "inter- agency" experience as follows:

Individuals should have "inter-agency" experience related to national security serving in a leadership capacity (formal or otherwise) on a temporary or permanent assignment, on a multi-agency task force, in an inter-agency liaison capacity, and/or as a volunteer. The experience should meet the following criteria:

• extensive involvement (i.e., substantial time commitment or decision-making responsibility);
• tangible results or accomplishments; and
• separate experiences in at least two organizations or a single experience involving multiple organizations.

For additional information see the CHCO memorandum on “National Security Professional Development (NSPD) Interagency Personnel Rotations Program Guidance on Strong Preference” dated July 15, 2016.

Possession of Certification as a Mandatory Technical Qualification. Unless authorized by statute, agencies may not use possession of certification (e.g., Program/Project Management Certification) as a mandatory technical qualification. Individuals who lack the certification yet possess the requisite experience and training to perform the duties of the position should be considered. However, agencies may require future acquisition of certification by specifying a timeframe for obtaining it (e.g., within 18 months from the date of appointment to the position) in a mandatory technical qualification. In their policy document, agencies should specify the consequences for employees who do not acquire certification within the specified timeframe.

The following is an example of an acceptable technical qualification:

Program Management Certification. Applicants must possess or be eligible for Level III Program/Project Management (P/PM) certification in accordance with the Department of Homeland Security (DHS) Program Manager Certification Standards, the Defense Acquisition Workforce Improvement Act (DAWIA), or Federal Acquisition Certification for Program and Project Managers (FACP/PM). Applicants who currently possess or are eligible for Level II Program/Project Management (P/PM) certification and can achieve Level III certification according to DHS, DAWIA, or FAC-P/PM standards within 18 months from the date of appointment to this position will also be considered. Please indicate in your application your level and source (DHS, DAWIA, FAC-P/PM) of certification or eligibility for certification.

Retaining Qualifications Standards. If a qualifications standard is changed or a position is cancelled, the standard shall be retained at least two years.

Executive Core Qualifications (ECQ)

“Executive Qualifications” is the term used in statute [5 U.S.C. 3393] to describe the qualifications required of all agency selectees for the SES and that must also be certified by a QRB for all initial career appointments to the SES. These qualifications are in addition to specific professional/technical qualifications that agencies establish for individual jobs. OPM has defined executive qualifications in terms of five meta-leadership competencies associated with SES-level jobs. These ECQs are Commitment to the Rule of Law and the Principles of the Founding, Driving Efficiency, Merit and Competence, Leading People, and Achieving Results.

ECQ 1: Commitment to the Rule of Law and the Principles of the American Founding Definition: This core qualification requires a demonstrated knowledge of the American system of government, commitment to uphold the Constitution and the rule of law, and commitment to serve the American people.
Competencies
Knowledge of the American System of Government	Demonstrates understanding and appreciation of the American system of government, including the Constitution, the Bill of Rights, separation of powers, federalism, and the historical development of the American Nation.
Commitment to the Rule of Law	Upholds the principles of the American Founding, including equality under the law and democratic self-government. Ensures the law is applied fairly and consistently.
Civic-Mindedness	Stays up-to-date on important developments in American government and aligns organizational objectives and practices with presidential and public interests. Demonstrates a commitment to serve the American people.

 

ECQ 2: Driving Efficiency Definition: This core qualification involves the demonstrated ability to strategically and efficiently manage resources, budget effectively, cut wasteful spending, and pursue efficiency through process and technological upgrades.
Competencies
Fiscal Responsibility	Strategically manages, allocates and monitors financial resources. Aligns priorities and initiatives to justify budget proposals. Monitors expenditures, cuts unnecessary costs, and uses cost-benefit analysis to set priorities.
Managing Resources	Manages resources efficiently and effectively based on current and projected organizational goals, skills, budget considerations, and staffing needs.
Leveraging Technology	Explores emerging technology and potential applications. Incorporates technology to enhance efficiency and achieve results. Ensures access to and security of technology systems.

 

ECQ 3: Merit and Competence Definition: This core qualification involves the demonstrated knowledge, ability, and technical competence to effectively and reliably produce work that is of exceptional quality.
Competencies
Technical Skill	Possesses the requisite technical knowledge and subject matter expertise to consistently produce timely, high-quality work. Is considered a strong contributor in his or her domain.
Problem Solving	Engages in critical and data-driven thinking when diagnosing root causes and evaluating options. Identifies and promptly addresses the most pressing, high-priority problems.
Agility and Resilience	Anticipates and adapts to change, new ideas, new information, and new conditions. Is committed to continuous improvement. Deals effectively with pressure and remains optimistic and persistent, even under adversity.

 

ECQ 4: Leading People Definition: This core qualification involves the demonstrated ability to lead and inspire a group toward meeting the organization’s vision, mission, and goals, and to drive a high-performance, high-accountability culture. This includes, when necessary, the ability to lead people through change and to hold individuals accountable.
Competencies
Accountability	Ensures that employees are appropriately recruited, selected, appraised, trained, and retained. Takes swift action to address performance- or conduct-based deficiencies in employees supervised. Holds self and others accountable for measurable high-quality, timely, and cost-effective results.
Developing Others	Recognizes and rewards outstanding achievement in others. Develops the ability of others to perform and contribute to the organization by providing opportunities to learn through formal and informal methods. Cultivates a dynamic environment in which employees are not afraid to make mistakes.
Executive Judgement	Makes well-reasoned, timely, and effective decisions and considers short-and long-term implications. Communicates effectively with stakeholders across all organizational levels, sharing and guarding information where appropriate.

 

ECQ 5: Achieving Results Definition: This core qualification involves the demonstrated ability to achieve both individual and organizational results, and to align results to stated goals from superiors.
Competencies
Operational Mindset	Effectively translates strategies into actionable steps and processes. Partners effectively with stakeholders to drive adoption and addresses blockers to ensure successful implementation.
Innovation	Applies creativity to improving products and processes, challenges convention, takes measured risks, and considers ways to simplify and remove unnecessary requirements.
Strategic Thinking	Formulates objectives and priorities and implements plans consistent with the long-term interests of the organization by evaluating conditions, resources, capabilities, constraints, and organizational goals and values.

CAREER APPOINTMENTS

Statute: 5 U.S.C. 3393

Regulations: 5 CFR Part 317, Subpart E

Career appointments are made without time limitations and provide certain job protections and benefits not conferred by the other types of SES appointments. Career appointments may be made to either Career Reserved or General positions [SES Position Designations and Appointment Authorities, in Chapter 1]. Tenure and benefits are the same no matter the type of position to which appointed.

Initial career appointments must meet the competitive SES merit staffing provisions in 5 U.S.C. 3393, at the time of selection for the SES or for an SES candidate development program. The individual’s executive qualifications must be certified by an OPM- administered QRB before appointment.

Career appointments may also be made under noncompetitive procedures to reassign or transfer a current career SES appointee or reinstate a former career SES appointee who completed an SES probationary period. These actions do not require QRB approval.

Because the SES is separate from the competitive and excepted services, there is no provision for noncompetitive movement from these services into an SES career appointment, even if an employee’s current position is placed in the SES. (The provisions of 5 CFR 315.602 covering movement from the Office of the President, Vice President, or the White House staff do not apply to SES career appointments. Additionally, Executive Order 11103 addressing the noncompetitive eligibility of returning Peace Corps volunteers does not apply to SES positions.)

Candidate Development Programs (CDP). The merit staffing procedures in this section also apply to the recruitment and selection of individuals for an OPM-approved SES CDP. An individual who successfully completes the program and is certified by a QRB may be appointed to the SES without further competition.

Preferences. While the Civil Service Reform Act (CSRA) excluded the SES from veterans’ preference [5 U.S.C. 2108(3)] it did not exclude the SES from Indian preference. Therefore, vacancy announcements in the very limited number of agencies where Indian preference is applicable should contain the statement: “Preference will be given to American Indians.”

Prohibited personnel practices. Agency records for all competitive actions should clearly show that the actions are proper and legitimate. The actions should fully conform to the spirit and the letter of 5 U.S.C. 2302 on prohibited personnel practices, including the prohibition against political consideration, either favorable or unfavorable. For a list and description of prohibited practices, see osc.gov. Further, in making career SES appointments, agencies should apply the same principles that are in Civil Service Rules 4.2 and 7.1 for filling vacancies in the competitive service, i.e., they should act solely on the basis of merit and fitness and without regard to political or religious affiliations, marital status, or race.

Merit staffing reviews. OPM may review proposed career appointments to ensure they comply with all merit staffing requirements and are free of any impropriety.

Merit staffing plan template. Agencies may review the template in the Executive and Schedule C System (ESCS) to assist with developing an SES Merit Staffing Plan.

Merit staffing checklist. Agencies may use the checklist in ESCS for reviewing the staffing action for an SES vacancy to be filled by career appointment.

RECRUITMENT

Area of Consideration

Under 5 U.S.C. 3393(a), the search for candidates must at a minimum, include “all groups of individuals within the civil service.” Agencies may also recruit from outside the civil service (i.e., all groups of qualified individuals, including the public).

The “civil service” consists of all persons who occupy positions in the executive (includes excepted service), judicial, and legislative branches, except positions in the uniformed services (the armed forces, the Commissioned Corps of the Public Health Service, and the Commissioned Corps of the National Oceanic and Atmospheric Administration). Included are experts and consultants who occupy appointive positions, and individuals in the Postal Service and the Postal Rate Commission. The District of Columbia Government is not part of the Federal civil service. A person is considered to be in the civil service only if occupying a civil service position at the time of application. When competitive recruitment for an SES position is limited to the civil service, SES reinstatement eligibles outside the civil service and SESCDP graduates with noncompetitive eligibility may apply for noncompetitive consideration for that position.

Vacancy Announcements

Agencies are required by law to announce the SES vacancies they intend to fill by initial career appointment to at least all Federal civil service employees. They must also notify the Department of Labor’s United States Employment Service offices of SES vacancies when recruitment for career appointment is extended outside the Federal service [5 U.S.C. 3327]. To meet these legal requirements, agencies are required to publish information about vacancies to be filled by initial career appointment in USAJOBS (usajobs.gov) [5 CFR 317.501(b)(2)].

Agencies are responsible for confirming that their individual SES vacancy announcements have been successfully entered into USAJOBS. If a vacancy to be filled by initial career SES appointment has not been published as required by 5 CFR 317.501(b), the consequences are serious and will affect recruitment actions. The agency must demonstrate that it has met the statutory requirements cited in the preceding paragraph before the proposed selection can be forwarded to a QRB. Evidence that a vacancy announcement has been included in USAJOBS is provided by entering the OPM Control Number into ESCS when creating a QRB case record.

The SES vacancy announcements are available through USAJOBS but can also be available through the respective agency and its website. Vacancy information is disseminated through the Federal Jobs Database to America’s Job Bank and state employment offices. Agencies should re-post links to their USAJOBS announcements to third-party recruitment sites such as LinkedIn, Handshake, and Indeed to reach a wider job seeker audience.

Entering data in USAJOBS. Agencies enter SES vacancy information, including job entries and full text vacancy announcements, directly into USAJOBS. For complete instructions/tutorial, see usajobs.gov/Support.

Closing date. The closing date of a vacancy must allow for a minimum open period of 14 calendar days and must be consistent with closing dates of any agency supplemental announcements [5 CFR 317.501(b)(2)]. Extension of the original closing date must also be entered into USAJOBS.

If there is a break between the closing date of the initial announcement and the beginning date of the new announcement, the new announcement must be open at least 14 calendar days from date of its entry into USAJOBS.

Vacancy announcement content. Agency announcements must include the following:

• name of the issuing agency;
• announcement number;
• position title, series, pay plan;
• duty location;
• number of vacancies;
• opening and closing dates and any other information concerning how receipt of application will be documented and considered;
• brief description of duties;
• area of consideration;
• SES pay ranges;
• ECQ and technical qualification requirements;
• basis of rating;
• what to file;
• equal employment opportunity and reasonable accommodation statements;
• contact person or contact point;
• instructions on how to apply; and
• other required information [see 5 CFR 330.104].

Note, however, that 5 CFR 330.104(a)(13), (14) and (15) regarding veterans’ preference, the career transition assistance program (CTAP) and the interagency career transition assistance program (ICTAP) do not apply to an SES vacancy announcement.

Multiple vacancies. Although rare, agencies may advertise for more than one vacancy for the same SES position (e.g., Regional Director positions in different geographic locations). Example: If three vacancies are announced for three regions (one vacancy per region), the agency may NOT make more than three selections from this vacancy announcement.

Multiple selections. If an agency advertises a position and the vacancy announcement states one vacancy is to be filled, the agency may NOT make multiple selections from that vacancy announcement.

Organization/location. Agencies should ensure the information in department and/or agency fields in USAJOBS is appropriate. Agencies may not fill a position in an organization or location other than that advertised (e.g., The Department of Homeland Security may not fill a position in United States Immigration and Customs Enforcement if the announcement was for a position in United States Customs and Border Protection, a different organizational component, or fill a position in a duty location other than was specified in the announcement.)

Nonprofit Employment Services and Commercial Recruiting Firms

These services and firms may be used in addition to other recruitment sources in accordance with the provisions of 5 CFR part 300, subpart D, when their use is likely to provide well-qualified candidates who would otherwise not be available, or when well-qualified candidates are in short supply. The service or firm must use the agency’s qualification standards and the position must also be included in OPM’s USAJOBS under the SES vacancy listing and be open to “all groups of qualified individuals.”

Candidates applying directly to the agency and those identified by a service or firm must be given equal consideration and must complete the full SES merit staffing process, including ERB referral to the appointing authority and QRB certification, before appointment.

Recruiting for SES Candidate Development Programs (SESCDP)

The recruitment procedures described above also apply to entry into an SESCDP. All candidates are selected through SES merit staffing procedures. [See 5 CFR part 412 and Chapter 7 for information about SESCDPs.]

Area of Consideration. Recruitment for SESCDPs is from either all groups of qualified individuals within the civil service, or all groups of qualified individuals.

Applicants who do not hold career or career-type appointments. If a candidate is not serving on a career or career-type appointment, the candidate must be appointed using the Schedule B authority at 5 CFR 213.3202(j). Schedule B appointments must be made in the same manner as merit staffing requirements prescribed for the SES, except that each agency shall follow the principle of veterans’ preference as far as administratively feasible. Positions filled through this authority are excluded under 5 CFR 412.302(d)(1) from the appointment procedures of part 302, pertaining to employment in the excepted service. Appointment may not exceed or be extended beyond 3 years.

Assignments must be to a full-time non-SES position created for developmental purposes connected with the SESCDP. Candidates serving under Schedule B appointment may not be used to fill an agency’s regular positions on a continuing basis. Agencies must create SESCDP records in ESCS. See ESCS How-To-Guides on the ESCS website.

SES APPLICATION

Agency Initial SES Application Requirements

Agencies are instructed to use the resume-only hiring method (resume limited to 2-pages (1-page double-sided OR 2-page one-sided)). Only the candidate’s resume, which should demonstrate possession of the ECQs and associated competencies as well as other technical qualifications, will be reviewed.

Executive Assessment(s)

Agencies must use validated executive assessments at one or more stages of the SES hiring process.

Use of Technical Qualifications

When recruiting for executive positions, agencies should seek to balance executive skills and technical qualification requirements. OPM encourages agencies to conduct an analysis of qualification requirements to avoid duplicating requirements that may already be reflected in the ECQs. It is strongly recommended that no more than two (2) TQs be noted except in the cases of highly specialized occupational series outside of the 0340 series.

MERIT STAFFING REQUIREMENTS (RATING AND SELECTION)

The procedures an agency uses for rating and ranking candidates and for making the subsequent selection for an SES position or SESCDP must meet the requirements of applicable law, rule, and regulation, including the Uniform Guidelines on Employee Selection Procedures. As a minimum, under 5 CFR 317.501(c), an agency’s procedures must provide the following:

• The ERB may delegate preliminary qualifications screening, rating, and ranking of candidates. An agency should follow its SES merit staffing plan when selecting preliminary rating panel. The ERB, or delegated party, must consider the technical and executive qualifications of each eligible candidate.
• All eligible candidates must be rated and ranked on the same basis. However, if a current SES career appointee or a reinstatement eligible applies in response to a merit staffing vacancy announcement, the agency has the option of including the individual in the competitive process (in which case the individual is rated and ranked in the same manner as other applicants) or considering the individual under noncompetitive appointment procedures (i.e., reassignment, transfer, or reinstatement).
• Candidates may be grouped into broad categories (e.g., highly qualified/Top Group, well qualified/Middle Group, and qualified/Bottom Group). Candidates need not be given numerical ratings, since veterans’ preference and the “rule of many” do not apply to the SES. There must be adequate differentiation among candidates on the basis of the knowledge, skills, abilities, and other job-related factors, as reflected by the position’s qualifications standards to enable the relative ranking of candidates. Experience may be credited only to the closing date of the vacancy announcement to avoid inequities.

• The record must be adequately documented to show the basis for qualifications, rating, and ranking determinations. If the ERB delegates rating and ranking of applicants in a given case, the ERB retains responsibility for the result. Therefore, the ERB must endorse the rating and ranking results as its own or document the basis for any adjustments made by the ERB before certifying the list of best qualified candidates to the appointing authority. The ERB must give the appointing authority written recommendations on all the eligible candidates and identify the best qualified candidates. To avoid additional paperwork, the ERB may provide rating sheets on the candidates instead of preparing separate written recommendations on each candidate. However, the ERB must still certify in writing the list of candidates provided to the appointing authority. The ERB certificate may be sent first to a supervisory official who will make a selection recommendation to the appointing authority. In these instances, the full certificate and the ERB recommendations on all the candidates should be forwarded to the appointing authority along with the name of the proposed appointee.
• The appointing authority must make the selection in accordance with agency prescribed procedures from among the candidates the ERB identified as best qualified. Selection must be based solely on the qualifications of the candidates, not on political or other non- job-related factors.
• The appointing authority must certify in writing that the proposed appointee meets the qualifications requirements of the position. The appointing authority, or the ERB, must also certify that appropriate merit staffing procedures were followed.
• The executive qualifications of the proposed appointee must be sent to OPM for QRB certification.

MERIT STAFFING REQUIREMENTS

The following processes must be used for hiring:

• Incorporate the use of executive assessment tools, rather than solely relying on the candidate resume against crediting plans.
• Interviews, especially structured interviews with standardized questions, should normally be an essential part of the assessment process.
• In some cases, formalized assessment centers may be an appropriate means to assess candidates.

• Reference checks are also useful, to verify information provided by the applicant and to assess competencies such as Integrity/Honesty.

• Use category rather than numeric ratings when rating ECQs, which are comprised of clusters of individual competencies and are therefore difficult to score with a degree of precision supporting numerical rating.
• It is good practice to provide training for members of rating panels. Rater training ensures all raters have a common understanding of the rating process and ECQ definitions. The training can range from short and simple instructions to very detailed
• To increase efficiency, automate the selection process to the greatest extent possible. For example, some agencies provide candidate materials electronically to their ERBs in advance to expedite the assessment process.
• It is good practice to notify applicants of their status at key points in the selection process: 1) application received, 2) application assessed for qualifications, 3) applicant referred for appointment consideration (or not) and, 4) applicant selected (or not).

QUALIFICATIONS REVIEW BOARD

Statute: 5 U.S.C. 3393(c)

Regulations: 5 CFR 317.502

The CSRA stresses that the SES is primarily an executive corps and requires all new career appointees be certified by a QRB. Through independent peer review, QRB members ensure that all new executives have solid executive skills. The QRB process is based on a structured interview to assess the ECQs of agency SES selectees or SES CDP graduates.

Membership

OPM administers QRBs, which includes drawing on members of the SES to participate on the Boards and to advise on QRB policy. OPM works with agencies to solicit names of executives to serve on QRBs. Each Board consists of SES members from three different agencies. A majority of each Board’s members must be SES career appointees. Board members are not permitted to review their own agency’s candidates, and if a member otherwise believes he or she cannot provide an impartial review, the member will be excused from the case.

Functions

The QRB certifies the executive qualifications of candidates for initial career SES appointments. The QRB panel assesses the overall scope, complexity, depth and quality of a candidate’s experiences to determine whether the candidate possesses the executive qualifications required for entry and success in the SES.  The QRB Structured Interview questions are structured to elicit responses regarding the candidate’s executive-level knowledge, skills, and experience in each of the five ECQs.

QRB certification is based on one of the following three criteria:

Criterion A: Demonstrated executive experience.

Criterion B: Successful participation in and graduation from, an OPM approved SESCDP.

Criterion C: Possession of special or unique qualities forecasting executive success. Criterion “C” cases are appropriate when exceptional candidates with demonstrated executive experience have been sought out but are not available. This criterion case applies to candidates whose professional and technical backgrounds suit them particularly well for the SES position despite a lack of demonstrated executive-level knowledge, skills, and experience in one or two of the ECQs. Such candidates must also demonstrate, however, high potential for quickly acquiring full competence in all of the core qualifications. For example, an attorney may have outstanding legal skills and in-depth knowledge of the specialized field for which the SES position is responsible, but he or she may not have managed human, financial, and information resources. In this instance, an agency may propose such a candidate for consideration under Criterion “C”. (Approval of these cases is based on the agency’s entire submission, including the proposed Executive Development Plan (EDP), and imposes an obligation on the agency to carry out the proposed executive development activities). The EDP should be developed for the candidate to accomplish within a 12-month time frame (probationary period).

Criterion D: Only applies to Department of Defense (DoD) in accordance with the 2019 National Defense Authorization Act (NDAA).

It is important to note that regardless of the type of criterion under which a QRB case is submitted (Criterion A, B, or C), there is only one QRB certification.  Agencies are advised to submit cases appropriately, based on the definitions of the criteria above.  For example, agencies should presumptively submit attorney positions, as well other specialized positions, under Criterion C unless there are special circumstances warranting submission under Criterion A.

Operations

An OPM staff member serves as a QRB Administrator for each Board. The QRB Administrator gives instructions on the certification process and Board member roles, answers questions from QRB members, and provides any other guidance and staff support as appropriate. They facilitate the structured interview and record and communicate the Board’s decision to the agency.

The Administrator shares each set of documents (i.e., “case”) pertaining to an individual who has been selected for initial career appointment with the Board members ahead of the scheduled interview (see Submitting Cases for QRB Certification later in this section). QRB members review the package and look for initial evidence of ECQ competencies to validate during the interview.

The Administrator shares interview details, as well as guidance regarding the interview, with the agency to pass on to the candidate.  Agency selectees meet with the QRB virtually. Interview sessions can last up to 90 minutes, which may include a 20-minute “follow up” for the QRB panel members to ask additional follow-up questions (if needed).

After the interview, the Administrator facilitates discussion to reach consensus. The final decision to approve or disapprove is by majority vote.

Case Disposition: Approval.

• Criterion A and B - The QRB must find demonstrated executive-level experience in a majority of competencies across the five ECQs to recommend approval.
  • Criterion B – The QRB may approve a case but recommend formal managerial training to supplement experience in one or more of the ECQs. If that occurs, the agency may make the appointment but must develop an Executive Development Plan (EDP), in consultation with the employee, to assure that the individual receives the recommended training.
• Criterion C – To approve a Criterion C case, the QRB should find demonstrated executive-level knowledge, skills and experience in a significant number of competencies along with evidence provided in a Special and Unique Qualities Memo (signed by the selecting official) highlighting the unique qualities of the selectee that warrant selection to role and appointment to the SES. Additionally, an EDP highlighting the additional development, to be provided to the selectee within the first year of appointment, if the selectee is approved and subsequently appointed (see “PROCEDURES for document submission” section).

[Note: It should be rare that an agency submits a case under Criterion C for a general 0340 occupational series.] 

Case Disposition: Disapproval. First Time: If a QRB case is disapproved, the agency must resubmit the case within 30 calendar days of the OPM notification of QRB disapproval. In a resubmission, the QRB will still only consider experience obtained before the closing date of the announcement. Before resubmitting, the agency is advised to review the case to determine whether additional supporting material can be provided as to the candidate’s executive qualifications. An agency may resubmit a case initially rejected based on Criterion A as a Criterion C case, if appropriate (i.e., the candidate has “special or unique qualities”).

Second Time: If a case is disapproved a second time, a new case on the candidate may not be submitted for the same position until the candidate acquires additional qualifying experience in those deficient areas noted by the QRB. Since qualifying experience is credited only to the closing date of an announcement, OPM requires the agency to hold a new merit staffing competition to credit the additional experience. The closing date of the new announcement will be at least 12 months later than that of the original announcement. There is no appeal for second time disapproval.

If a Criterion B case is disapproved two consecutive times, the candidate is no longer eligible to receive QRB certification under the associated CDP.

Other. The names of QRB members, their organizations, and the records of their individual actions are not subject to release.

SUBMITTING CASES FOR QRB CERTIFICATION

General Requirements

A case will be accepted only from an agency, as a result of the SES merit staffing process or successful completion (as certified by the agency) of an OPM-approved SESCDP. Agency requests for certification of a candidate by a QRB must validate that merit staffing procedures were followed, and that the appointing authority certified the candidate’s qualifications for the position. No individual may request his/her own certification. Furthermore, OPM will not submit for QRB review the conversion of a noncareer or limited term SES employee to a career SES appointment in the employee’s own position or a successor to that position, since there is no bona fide vacancy [CFR 317.502(e)].

The primary basis for submitting a case as Criterion A is “demonstrated executive experience”, however relevant training and development activities may also be cited. Criterion C should not be used in lieu of Criterion A solely because an agency has difficulty proving “demonstrated executive experience.” Therefore, for Criterion C, an agency must document “special or unique” qualities in terms of the agency’s program or mission, or some other directly related SES consideration.

In the rare event that a candidate’s experience is so highly specialized that it would not be possible for someone outside of that field to provide a fair, competent, and objective assessment of the candidate’s executive core qualifications, the submitting agency can request that OPM assign the case to a review board with at least one member with a comparable career background. OPM will review each request on a case-by-case basis, and make a reasonable effort to accommodate the request, if possible. Such requests may cause a delay in reviewing the candidate’s package.

Electronic Submission and Documentation Requirements

All QRB cases must be submitted electronically through ESCS. E-mail submissions will not be accepted unless submission via ESCS is not possible, and the agency has previously communicated the ESCS issue with Executive Services and Workforce Development and received approval to submit the QRB case via e-mail as an exception. Any QRB cases submitted via e-mail must be followed up with an ESCS submission once the ESCS issue has been resolved.

Procedures for document submission are as follows: A labeled cover sheet should be placed to separate each document listed below (in that order) and should be scanned as one document (these are the only documents forwarded to Board members). Additional documents and extension approvals should be emailed to QRB@opm.gov as separate PDF attachments.

Criterion A.

• Vacancy Announcement
• Resume

Criterion B.

• Mentor Evaluation
• Resume
• EDP (signed)

[Note: Agencies will be asked to provide additional documents for Criterion B cases as needed.]

Criterion C.

• Vacancy Announcement
• Resume
• Special & Unique Qualities Memo written by the selecting official or higher, addressing:
1. Why this candidate is so special or unique and will be an effective executive
2. What makes this candidate a superior choice for this SES position over other candidates who demonstrated executive level experience in all five ECQs
3. Which one or two ECQs need further development (weak) for the candidate 
4. How the candidate will acquire full competence in the one or two weak ECQs in the next 12 months (can reference the IDP)

• Signed EDP addressing: A clear plan to ensure that the candidate will acquire executive level knowledge and experience in the one or two weak ECQs and associated competencies in the next 12 months (i.e., the probationary period)

Criterion D (Only applies to the Department of Defense).

• ESCS must be updated with the official offer date.

Submission Timeline

Agencies must submit a case in ESCS not more than 80 calendar days from the closing date of the vacancy announcement (or SESCDP cohort graduation). Cases that exceed this timeframe will be returned to the agency for a new merit staffing process.

Extensions and other exceptions will be rare and must be requested prior to the 80-day timeframe. In addition, agency requests for extension or exception should only be submitted for extenuating circumstances as certified by the Department/Agency ERB Chair. As agencies become aware of the possibility of not meeting the 80-day deadline, they must request an extension for each case by emailing QRB@opm.gov. OPM will verify ERB Chair certification and may grant a brief extension for good cause.

Submission of QRB cases by agencies covered by a QRB moratorium will be reviewed only if an exception to the QRB moratorium processing has been approved.

CERTIFICATION LIMITATION

An individual retains QRB certification unless they are removed from the SES for adverse action(s). Chapter 8 discusses removal from the SES.  OPM’s ESCS is the tool used to validate the QRB certification.

QRB Recommendations for Executive Development. Agencies should advise appointees of any QRB recommendations for additional executive development, and this development should be included in their Executive Development Plans. OPM may ask agencies to provide written verification of progress toward implementing any such QRB recommendations within 18 months of appointment.

Suspension of QRB Case Processing Agency Head Transition: In accordance with its authority under 5 U.S.C. 3393(c) and 3397, and its regulation at 5 CFR 317.502(d), OPM will continue to accept and process new agency QRB cases when an agency head departs, announces his or her departure, or when the President nominates a new agency head, in certain circumstances. OPM guidance, Modified Agency-Specific Senior Executive Service (SES) Qualifications Review Board (QRB) Moratorium during Agency Head Transitions [August 15, 2019] can be found on the CHCOC website. Placement of agency-specific QRB moratoriums will depend upon the means by which the individual serving as the acting agency head received that designation:

• When an acting agency head serves under a Presidential Appointment (with or without Senate confirmation), immediately preceding the designation, the agency is not placed on a QRB moratorium.
• When bi-partisan boards and commissions, and agencies that have acting agency heads that are not currently serving on a Presidential Appointment, that entity may request a blanket exception to the moratorium, which OPM will consider on a case-by-case basis. 

When an agency blanket exception is approved, the agency should fill only positions that are necessary to ensure continuity of critical agency operations. In circumstances where an agency blanket exception is not approved, the agency will still be able to request exceptions for specific positions. Agencies must complete OPM’s moratorium exception template (located in ESCS) which must be signed by the agency head or the official who is designated to act in the agency head’s absence. If OPM declines the request for an exception, the agency must withdraw the case.

Presidential Transition: During a change in Presidential Administration, OPM may issue a Governmentwide QRB moratorium to provide the incoming Administration the ability to determine its executive leadership.

As agencies may already process noncompetitive SES selections (e.g., reassignments, transfers, etc.), the modified QRB moratorium provides similar latitude as to merit staffing selection, in accordance with applicable regulations. This will also reduce burden to agencies and their SES time-to-hire and create a more efficient process for agencies to respond to critical and exigent needs.

Resumption of QRB Case Processing. After an agency head has been sworn in, agencies may request (by email to QRB@opm.gov) that OPM resume the processing of QRB cases. The request must be sent from the agency Chief Human Capital Officer (or Deputy) or Department/Agency level Human Resources Director , and should specifically indicate the new agency head’s intention to resume processing its QRB cases.

Additionally, the information should include the title and name of the new agency head and the date he/she was sworn in. An agency need not wait until it has a QRB case to submit to request the moratorium be ended; however, it is required that the agency head be sworn in and approve the request. OPM will respond via email regarding the agency’s request.

INQUIRIES, APPEALS, AND CORRECTIVE ACTION

Applicant Inquiries and Appeals

Individuals are entitled to information about the nature of the procedures used in recruiting and selecting candidates for any position. Applicants are also entitled, upon request, to know if they were found qualified for the position and if they were referred to the selecting official for consideration for appointment. They may have access to qualifications questionnaires or reports of qualifications inquiries about themselves, except for information that would identify a confidential source.

Agencies may provide other procedures tailored to their needs to handle complaints about the staffing process. An applicant has no right of appeal to OPM against actions taken by the ERB, QRB, or appointing official. Other avenues afforded by law or regulation (e.g., the Office of the Special Counsel or the Equal Employment Opportunity Commission) may be appropriate (e.g., prohibited personnel practice allegations). For additional information, see osc.gov/.

Corrective Actions

If it is determined that an individual was not placed on a selection certificate of best qualified candidates as a result of a statutory, regulatory, or procedural violation, the agency may, as a corrective action, select the individual for career appointment to another SES position without conducting a new merit staffing action. However, the individual must meet the technical and executive qualifications for the new position and must be approved by a QRB.

[Note: The corrective action authority does not require, but does permit, the agency to select the individual noncompetitively.]

Documenting Merit Staffing Actions

Under 5 CFR 317.501(d), an agency must keep sufficient records to allow reconstruction of the merit staffing process for two years after an initial career appointment. (If no appointment results from a vacancy announcement, the records must be kept for two years from the closing date of the announcement.) At a minimum, the records should include:

• the OPM Control Number for the vacancy listing in the automated USAJOBS and copies of any separate agency announcements (The control number is assigned when entering a vacancy announcement);
• list of recruitment sources used (e.g., agency vacancy announcement distribution list, any newspaper or journal advertisements, any use of nonprofit employment services or commercial recruiting firms);
• copy of qualifications standard and position description;
• originals of all applications received by the agency;
• the rating and ranking procedures (rating plan), and names and organizational titles of rating panel members;
• written recommendations of the panel/ERB (signed and dated), including a list of the groupings of all applicants and the supporting rationale, or rating sheets;
• any references, or qualifications questionnaires or inquiries, obtained on the candidates;
• record of which, if any, candidates were interviewed;
• any recommendation by a selecting official to the appointing authority if the two are different individuals;
• the appointment action (signed and dated);
• appointing authority certification that the appointee meets the qualifications requirements of the position;
• appointing authority or ERB certification that appropriate merit staffing procedures were followed; and
• copies of any complaints about the staffing process and agency findings and response. 

PROBATIONARY PERIOD

Statute: 5 U.S.C. 3393(d), 3592, 

Regulations: 5 CFR 317.503

An individual’s initial SES career appointment becomes final only after the individual successfully completes a one-year probationary period. This probationary period begins on the effective date of the personnel action initially appointing the individual to the SES as a career appointee and ends one calendar year later. For example, if an individual was appointed to the SES on June 1^st, the probationary period ends on May 31^st of the following year. However, a probationary appointee is considered to have completed probation at the end of his/her last tour of duty within the probationary period.

Supervisory Responsibilities During the Probationary Period

Executive Order (EO) entitled Strengthening Probationary Periods in the Federal Service established rules and policies for managing probationary and trial periods.  The EO underscores the expectation of a high-performing Federal workforce and affirms the principle that continued employment in the Federal service must advance the interests of the Federal Government and the American people. SES members serve at the most senior level of government charged with advancing an Administration's priorities.  As such, supervisors should exercise due diligence in ensuring that probationary individuals are equipped to successfully continue employment in the SES.

• Follow through on agency initiated or QRB recommended training.
• Observe the employee’s performance and conduct.
• Hold quarterly, documented discussions of progress with the employee, clearly outlining the strengths and weaknesses of the employee in relation to the position’s performance requirements. 
• Complete a probationary assessment of the individual’s performance before the probationary period. If QRB certification was based upon special or unique qualities (criterion C), document results of executive developmental activities undertaken based upon agency commitments or QRB recommendations related to that certification.
• Certify that the appointee performed at the level of excellence expected of a senior executive during the probationary period or, if it becomes apparent after full and fair consideration that the employee’s performance is not suitable for satisfactory executive work, initiate action to remove the employee from the SES. An employee’s probationary period may not be extended beyond 1 year solely for the purpose of providing the employee an opportunity to improve performance. Note that an agency’s failure to meet its regulatory obligation to timely certify a probationer’s performance does not prevent the probationary period from ending. [See Chapter 8 for notice and timing requirements that must be met to affect removal under probationary procedures.]

Crediting Service

The following conditions apply to credit service towards completing the probationary period, as stated in 5 CFR 317.503(d):

• time on leave with pay while in an SES position is Earned leave for which the employee is compensated by lump-sum payment on separation is not credited;
• time in a non-pay status (e.g., Leave Without Pay and furlough) while in an SES position is credited up to a total of 30-calendar days (or 22-workdays). After 30-calendar days, the probationary period is extended by adding time equal to that served in a non-pay status (e.g., if the individual was absent for 50-calendar days, the probationary period is extended by 20-calendar days);
• time following transfer to an SES position in another agency is credited (i.e., the employee does not have to start a new probationary period). Credit is given for time served during a probation period prior to transfer; and
• time absent on military duty or due to compensable injury is credited upon restoration to the SES when no other break in SES service has occurred [5 CFR part 353].

Moratorium on Removal During Probation

The provisions of 5 U.S.C. 3592 restricting the removal of individuals from the SES for 120 days after the appointment of a new agency head or noncareer supervisor also apply to probationary removals. If an individual completes the probationary period while the restriction is in force, removal when the restriction ends must be affected under procedures that apply to post- probationers. [See Chapter 8 for information on removal during probation and additional information on the moratorium.] There is no provision for extending the probationary period.

Reappointment to the SES When Probation is Not Completed

A career appointee who leaves the SES before completing the probationary period must undergo a new merit staffing competition to be reappointed. However, the individual need not be recertified by a QRB unless the individual had been removed for performance or disciplinary reasons.

An individual who separated from the SES during the probationary period and has been out of the SES more than 30 calendar days must serve a new 1-year probationary period upon reappointment, except as provided in the next paragraph. Previous time in a probationary period may not be credited toward completion of the new probationary period when the separation exceeds the 30-day limit.

A new one-year probationary period is not required in the following situations:

• The individual left the SES without a break in service for a Presidential appointment and is exercising reinstatement rights under 5 U.S.C. 3593(b) and 5 CFR 317.703;
• The individual left the SES without a break in service for other civilian employment that provides a statutory or regulatory reemployment right to the SES (e.g., service with an international organization) when no other break in service has occurred; or
• the break in SES service was the result of military duty or compensable injury, and the time credited was insufficient to complete the probationary period [See Crediting Service earlier in this chapter.]

Other Guidance

A new one-year probationary period is not required if the individual left the career SES without a break in service for a noncareer-SES appointment and is selected for another career SES appointment under merit staffing procedures, when no other break in service has occurred. The individual is only required to complete the remainder of the probationary period if it was not previously completed.