UNIFORM PROMOTION SYSTEM

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP92-00455R000300090005-9
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 46
• Document Creation Date: December 12, 2016
• Document Release Date: February 8, 2002
• Sequence Number: 5
• Publication Date: October 30, 1978
• Content Type: MF

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"VNININM4 Associate Deputy Director for Operations
PRCE John F. Blake -
Deputy Director for Administration
SUBJECT Uniform Precotiork System
REPIMICE DDO Blind Memo dtd 11 Act 73, sUbjectl,
Uniform Promotion System
John:
The policy not to delay the effective dates of promotions
was rescinded 16 October 1973 in an action unrelated to your memorandum.
A, copy of the Director of Personnel's memorandum is attached. The
original policy was carefully discussed mdth the representatives of the
Directorates, including the DEO, and at the time of the decision not
ATINTL
delay it was a valid procedure in terms of the guidances provided to us.
TIF
In response to the comment in naragraph 5,
addressed the procedures for the new system; it did not address any of
the procedures where it is different from any previous practices. There
was no deliberate omission of information as alluded in parwalih 5.
Insofar as the schedule of promotions is concerned, this
was designed to give the Career Services the full advantage of available
headroom over the fiscal year. I understand it was lotted out with all
the Directorates, including sore minor adjustments for the offices with
particular grade/assignment problems , as the Office of Communications.
I also understand there were some ac tions for your schedules
including the election of either of the seri-annual dates for your
once-a-year exercises. I also understand you have been approved to
retain Fitness Report schedules different from the rest of the Agency.
With reference to the Civil Service Reform Bill, the
Agency has been exempted from most of the previsions, including the two
on Senior Executive Service and the Merit Pay. while we may elect to
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adopt a rodified- version of the "bonus" program, there will be no
decision until after the rules are estaMished by the new Office Of
Personnel Management. Hew it will impact on within-grade increases
we cannot now say. If your staff is interested in the specifics of the
Dill, including the application to ''supervisor and manager", a detailed
summary prepared by CSC is attached
Atts.
As Stated
Distribution:
Orig - Adse
2 - DDA
2 - D/Pers
1 - OP/RS
OP/PC/RSI rmc (20 Oct 78)
/Inraati
John F. Blake
ORIGINATOR:
Director of Personnel
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MINOMUN 5*trty Director for
Deputy Director for
,reputy Diroctar for
Denuty :Director for
Chiirman, Lxecetive
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i 6 6:i.,.)/4)
Mrinistration
National Foreign Assessment
Cieraticals
Science and Technolome
Career Service 'board
F. W. N. Janney
Director of Personnel
: Uniform Proration Syston
munnum /Imo for Dra fr Dirers dtd 3 Jul 78 sane subj.
1. The procedures for tha Uniforn Proration c`,/stetA have been
reviewed and th olicy rnt to aqrty 1:morotions because of Impluent
withire7rae Lacro?as dates is resciriled., effoctive date of a
pronotion for an ere)loyee in any Fra,le ray to cielaved up to 90 days
to take advantape of an uncomin:-,, within-zraie increaso.Th
effective date of a pronotion royals? be dolaved when there are
problems of available J:eadroo4.
2. Comments oreparim the 7orsonne1 actlans are responsible
for establiskling the effective date of promotion.
. F. br. M. Janney
? Distribution:
Orig & 1 - PDA
1 - Each other adse
2 - D/Pers
? 1 - OP/RS
OP/PC/RS kmc (13 Oct 78)
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CIVIL SERVICE REFORM ACT OF 1978
Detailed Summary
October 13, 1978
Note: With some exceptions, provisions of the Act are effective
90 days after enactment, i.e., in January 1979.
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CIVIL SERVICE REFORM ACT OF 1978: DETAILED SUMMARY
ORGANIZATIONAL STRUCTURE FOR FEDERAL PERSONNEL MANAGEMENT
OFFICE OF PERSONNEL MANAGEMENT (Title II) 1
MERIT SYSTEMS PROTECTION BOARD (Title II) 1
SPECIAL COUNSEL (Title II) 2
FEDERAL LABOR RELATIONS AUTHORITY (Title VII) 3
CHANGES IN THE FEDERAL PERSONNEL SYSTEM
MERIT SYSTEM PRINCIPLES AND PROHIBITED
PERSONNEL PRACTICES (Title I) 5
WHISTLEBLOWER PROVISIONS (Title II) 6
PERFORMANCE APPRAISAL SYSTEMS (Title II) 7
APPEALS FROM ACTIONS BASED ON UNACCEPTABLE PERFORMANCE,
PERSONAL CAUSE, AND OTHER REASONS (Title II) 8
APPEALS THAT INCLUDE DISCRIMINATION ISSUES (Title II) 9
DELEGATIONS OF PERSONNEL AUTHORITY (Title II) 11
STAFFING PROVISIONS (Title III) 11
Miscellaneous Staffing Provisions 11
Veterans Preference and Benefits 12
Limitation on Dual Pay for Retired Members of the
Uniformed Services 12
Notification of Vacancies in the Civil Service 12
Minority Recruitment Program 13
Limitation on Executive Branch Employment 13
SENIOR EXECUTIVE SERVICE (Title IV) 13
MERIT PAY AND CASH AWARDS (Title V) 18
RESEARCH AND DEMONSTRATION AUTHORITY (Title VI) 19
STATE AND LOCAL PERSONNEL STANDARDS, INTERGOVERNMENTAL
PERSONNEL ACT MOBILITY PROGRAM (Title VI) 19
LABOR-MANAGEMENT RELATIONS (Title VII) 20
GRADE AND PAY RETENTION (Title VIII) 24
AGENCY AND EMPLOYEE COVERAGE OF THE PROVISIONS OF THE ACT . . . 27
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ORGANIZATIONAL STRUCTURE FOR FEDERAL PERSONNEL MANAGEMENT
OFFICE OF PERSONNEL MANAGEMENT (Title II)
Executive Level II Director (4 year term), Executive Level III Deputy
Director, up to 5 Executive Level V Associate Directors.
Responsible for "positive personnel management" functions:
- Serves as the "President's arm" for Federal personnel management and
labor-management relations
- Helps agencies make effective use of personnel resources to better
accomplish missions and programs
- Executes, administers, and enforces civil service laws,
rules, and regulations
- Delegates personnel authorities subject to standards and oversight.
Rules and regulations of OPM for civil service system:
- Subject to rule-making provisions of Administrative Procedures Act
- Proposed regulations must be posted in agencies and interested
parties notified
- Regulations subject to review and invalidation by MSPB after
issuance if they lead to prohibited personnel practices.
OPM can participate in MSPB proceeding or seek judicial review only if,
in Director's view, MSPB erred and its decision will have substantial
impact on civil service law.
MERIT SYSTEMS PROTECTION BOARD (Title II)
Executive Level III Chairman, two Executive Level IV Board Members
appointed on a bipartisan basis to 7-year nonrenewable terms,
removable only for cause.
Quasi-judicial functions:
- Hears and decides appeals
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- Upon request of the Special Counsel, any Board member may stay a
personnel action in a case involving a prohibited personnel
practice for 15 days, and may grand a.30-day extension; the Board,
with Special Counsel concurrence, may extend stay for any period
which it considers appropriate
- Board may order corrective action as requested by Special Counsel
o when, after a reasonable period, agency does not take action
recommended by Special Counsel to correct a prohibited personnel
practice; or
o where there is a pattern of prohibited personnel practices and
such practices involve matters not otherwise appealable to MSPB.
Merit system oversight functions:
- Conducts special studies of civil service and other merit systems,
and reports findings and recommendations to President and Congress
- Reviews rules and regulations of OPM
- Makes annual report to Congress, including review of OPM
activities.
Enforcement and special authorities:
- MSPB may impose disciplinary action consisting of removal, reduction
in grade, debarment from Federal employment for a period not to
exceed 5 years, suspension, reprimand, or a civil penalty of up to
$1,000 on employees prosecuted by Special Counsel
- May drder withholding of employee's pay for failure to comply with
MSPB order
- May represent itself in court, except Supreme Court
- May award back pay and attorney fees in appropriate cases
- Allows concurrent submission of MSPB budget and legislative
recommendations to Congress and to President.
SPECIAL COUNSEL (Title II)
Executive Level IV Special Counsel to MSPB, term of 5 years, removable
only for cause.
Investigative functions:
- Responsible for investigating allegations of
o prohibited personnel practices, including reprisals against
whistleblowers
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o prohibited political activity
o arbitrary or capricious withholding of information (under Freedom
of Information Act)
o activities prohibited by any other civil service law, rule, or
regulation
o involvement in prohibited discrimination
- May request MSPB to, stay a personnel action in any case involving
commission of a prohibited personnel practice
Involved in processing whistleblower complaints of wrongdoing by
agency officials.
Prosecutory functions:
- May bring disciplinary charges against employees before MSPB
o after any investigation conducted by the Special Counsel
o for refusal to comply with an MSPB order.
Corrective action:
- If Special Counsel finds a prohibited personnel practice which
requires corrective action, reports that need along with
recommendations to MSPB, agency and OPM
- May initiate corrective action before MSPB
o if, after a reasonable period, agency has not taken corrective
action recommended by Special Counsel
o where the Special Counsel believes there is a pattern of
prohibited personnel practices and such practices involve matters
not otherwise appealable to MSPB.
FEDERAL LABOR RELATIONS AUTHORITY (Title VII)
Executive Level IV Chairman, two Executive Level V Members appointed on
a bipartisan basis to staggered 5-year terms, removable only for cause.
Executive Level V General Counsel appointed to a 5-year term.
FLRA functions and authorities:
- Determines appropriate bargaining units
- Supervises elections and certifies exclusive bargaining agents
- Resolves issues relating to the granting of national consultation
rights and Government-wide consultation rights
- Decides appeals from determinations of non-negotiability
- Conducts hearings and resolves complaints of unfair labor practices
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- May require an agency or a labor organization to cease and desist
from violations of the labor-management relations program and
to take any appropriate remedial action
- May go to court to get a compliance or enforcement order, and may
represent itself in court, except Supreme Court.
General Counsel functions:
- Investigates alleged violations of the labor-management relations
program
- Files and prosecutes complaints of unfair labor practices before
FLRA.
Federal Service Impasses Panel continues as separate entity in FLRA to
resolve negotiation impasses.
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CHANGES IN THE FEDERAL PERSONNEL SYSTEM
MERIT SYSTEM PRINCIPLES AND PROHIBITED PERSONNEL PRACTICES (Title I)
Merit system principles are established in law. In summary, these
are:
- Recruitment to achieve a workforce from all segments of society,
with selection and advancement solely on the basis of merit, after
fair and open competition which assures equal opportunity
- Fair treatment for all applicants and employees with no illegal
discrimination, and with proper regard for their privacy and
constitutional rights
- Equal pay for work of equal value, with consideration of local and
national private sector pay rates and with incentives and
recognition for excellence in performance
- Employees to maintain high standards of integrity, conduct, and
concern for the public interest
- Efficient and effective use of the Federal workforce
- Retention based on performance and training to improve performance
- Protection of employees against arbitrary action, personal
favoritism, or coercion for partisan political purposes, and
prohibit them from using office for partisan purposes
- Protection of employees against reprisal for lawful disclosures of
information.
Prohibited personnel practices are established in law. In summary,
these are taking, ordering, recommending, or approving a personnel
action (such as an appointment, removal, suspension, performance
evaluation, or any significant change in duties or responsibilities
inconsistent with an employee's salary or grade level) on the basis of
the following prohibited reasons:
- Illegal discrimination
- Except as authorized, soliciting or considering prohibited
employment recommendations
- Coercing the political activity of any person
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- Deceiving or willfully obstructing any person from competing for
employment
Influencing any person to withdraw from .competition for any position
for the purpose of improving or injuring the prospects of any other
person for employment
Giving unauthorized preferential treatment to any employee or
applicant
- Nepotism (hiring or promoting relatives)
- Taking or failing to take a personnel action as a reprisal against a
whistleblower
- Taking or failing to take a personnel action as a reprisal for the
exercise of any appeal right
- Discriminating on the basis of personal conduct which does not
adversely affect the performance of an employee or applicant or the
performance of others, except in cases of criminal conviction for
the conduct
- Taking or failing to take any other personnel action if the taking
or failure to take such action violates any law, rule, or regulation
implementing or directly concerning the merit system principles.
Agency heads and agency officials who are delegated authority for
personnel management are responsible for preventing prohibited
personnel practices and for complying with and enforcing civil service
laws, rules, and regulations.
Prohibited personnel practices are not to be construed to lessen the
effort to achieve equal employment opportunity through affirmative
action.
GAO responsibility: GAO annual report to the President and Congress to
include review of significant actions of MSPB and OPM.
WHISTLEBLOWER PROVISIONS (Title II)
Protected disclosures - information that an employee or applicant
reasonably believes evidences:
- A violation of any law, rule, or regulation
- Mismanagement, gross waste of funds, abuse of authority, or a
substantial and specific danger to public health or safety.
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Unprotected disclosures: Those disclosures specifically prohibited by
law and required by Executive order to be kept secret in the interest
of national defense or the conduct of foreign affairs.
Special Counsel role in protecting whistleblowers against reprisal:
- Investigate allegation of reprisal without revealing identity of
complainant
- May petition any Board member for stay of personnel action (also
applies to all other cases involving prohibited personnel
practices).
Special Counsel as "ombudsman":
- Reviews the information
- Promptly transmits all disclosed information complaining of improper
action by officials to appropriate agency head or to Attorney
General if criminal matters appear to be involved
- May require an agency investigation and written report
- Copies of the agency report go to the Congress, the President, and
the Special Counsel for transmittal to the complainant
- Must review the agency report to determine whether
o it contains the specific information required by this Act
o the findings of the agency head appear reasonable
- Maintains public list of matters referred to agencies.
PERFORMANCE APPRAISAL SYSTEMS (Title II)
Existing Government-wide performance evaluation system is repealed.
Agencies must establish new performance appraisal systems which:
- Provide for periodic appraisals of job performance
- Encourage employee participation in establishing performance
standards
- Use appraisal results as basis for personnel actions affecting
employees.
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Performance appraisal systems to provide for:
- Establishing performance standards which will permit accurate
evaluation of job performance on the basis of objective criteria
related to the job
- Communicating to each employee the performance standards and
critical elements of the employee's position no later than 10/1/81
with respect to initial appraisal periods, and thereafter at the
beginning of each following appraisal period
- Evaluating each employee on such standards during the appraisal
period
- Recognizing and rewarding employees whose performance so warrants
- Assisting employees in improving unacceptable performance
- Reassigning, demoting, or removing employees who continue to have
unacceptable performance, but only after an opportunity to
demonstrate acceptable performance.
New procedure for removal or reduction in grade based on "unacceptable
performance" (i.e., failure to meet established performance standards
in one or more critical elements of the job). Agency decision required
within 30 days after expiration of notice period. Demotions and
removals based on unacceptable performance are appealable to MSPB (see
next topic).
OPM and GAO (on a selected basis) must review performance evaluation
systems to assess their compliance with the aforementioned
requirements.
APPEALS FROM ACTIONS BASED ON UNACCEPTABLE PERFORMANCE, PERSONAL CAUSE,
AND OTHER REASONS (Title II)
Adverse actions: removal, suspension for more than 14 days, reduction
in grade or pay, and furloughs for 30 days or less are appealable to
MSPB. Concept of "reduction in rank" is abolished as an appealable
matter.
Right to a hearing: employee is entitled to hearing on appeal to MSPB.
Burden of proof: burden of proof rests upon agency.
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Standard of review
Decision of agency to be sustained only if the agency's decision:
- In the case of an action based on unacceptable performance, is
supported by substantial evidence
- In any other case, is supported by a preponderance of the evidence.
Agency's decision may not be sustained if the employee or applicant:
- Shows harmful error in the application of the agency's procedures in
.arriving at such decision;
- Shows that the decision was based on any prohibited personnel
practice; or
- Shows that the decision was not in accordance with law.
Same standards apply whether decision is handled by MSPB or an
arbitrator.
Payment of employee's or applicant's attorney fees by agency may be
required if employee or applicant prevails and MSPB, FLRA or the
arbitrator determines that payment by the agency is warranted in the
interest of justice, including any case in which the agency engaged in
a prohibited personnel practice or any case in which the agency's
action was clearly without merit.
Judicial review of appeal decisions in Court of Claims or U.S. court of
appeals.
APPEALS THAT INCLUDE DISCRIMINATION ISSUES (Title II)
The following procedure applies to all cases involving any action that
is appealable to MSPB and which include an allegation of unlawful
discrimination ("mixed cases"):
- In such a matter before an agency, the agency has 120 days to.
resolve it. The agency decision then becomes judicially reviewable
unless the employee appeals to MSPB within the time limits set by
MSPB.
- MSPB decides both the issue of discrimination and the appealable
action within 120 days of filing of the appeal. No EEOC
participation at this step. Decision and order of MSPB represent
final agency action and shall be judicially reviewable unless
employee petitions EEOC to reconsider within 30 days after notice of
MSPB's decision.
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- EEOC has 30 days to determine whether to consider the decision; if
it decides not to consider the Board's decision, the matter becomes
judicially reviewable as of the date of such decision.
- If EEOC decides to consider the Board decision, it has 60 days to
consider the entire record of the proceedings before MSPB; the EEOC
may supplement the record by holding additional hearings or
remanding case to MSPB for further hearings within the 60 days.
- If EEOC concurs with MSPB, the MSPB decision and order represent
final agency action and are judicially reviewable.
- If EEOC disagrees with the MSPB decision, then the case is referred
back to MSPB. In making a different decision, EEOC must determine
either that
o the MSPB decision constitutes an incorrect interpretation of any
law, rule, regulation or policy directive over which EEOC has
jurisdiction; or
o the decision involving such provision is not supported by the
evidence in the record as a whole.
- MSPB then has 30 days to consider the EEOC decision and may accept
the EEOC order fully or in part, or reaffirm its initial decision
and order if it determines that the EEOC order
o constitutes an incorrect interpretation of any civil service law,
rule, regulation, or policy directive; or
o the decision involving such provision is not supported by the
evidence in the record as a whole.
- If MSPB does not adopt the order of EEOC, the matter will be
certified within 5 days to a special three-member panel, comprised
of one member of EEOC, one member of MSPB, and a chairman who is
from outside the Government, appointed by the President with the
advice and consent of the Senate to a term of 6 years, and removable
only for cause.
- The panel has 45 days to review the entire administrative record of
the proceeding and decide the matter. Its decision will be then be
the final agency action in the matter.
Employees may file a civil action under applicable law if --
- An agency fails to issue its decision within the required 120 days;
- MSPB fails to issue its decision within 120 days of the initial
filing of the appeal with it; or
- There is no final agency action within 180 days of filing of a
petition with EEOC for review of an MSPB decision.
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Employees may appeal. to MSPB when the agency fails to issue a decision
within 120 days.
These provisions do not affect the right to trial de DOVO under
applicable law.
DELEGATIONS OF PERSONNEL AUTHORITY (Title II)
OPM may delegate authority for personnel management functions,
including competitive examinations, to the heads of agencies in the
Executive branch and the heads of other agencies employing persons in
the competitive service, subject to its standards and oversight.
Delegations of authority to conduct competitive examinations not
permitted for positions whose requirements are common to agencies in
the Federal Government, other than in exceptional cases involving
economy and efficiency.
OPM may order corrective action when agency actions taken under
delegated authority are contrary to law, regulation, or standards.
Authority to delegate does not relieve OPM Director of responsibility
to assure compliance with civil service laws and regulations.
STAFFING PROVISIONS (Title III)
Miscellaneous Staffing Provisions
Permits acceptance of unpaid volunteer services by students in
connection with educational programs.
Authorizes employment of interpreters for deaf employees and reading
assistants for blind employees.
Provides new probationary period for first appointment to a supervisory
or managerial position.
Allows retraining of employees who would otherwise be separated due to
reduction in force in order to qualify for jobs in other agencies.
Allows OPM to permit agencies to decide shortage categories for the
purposes of paying travel and transportation to first post of duty.
Expands coverage of early retirement provisions now applicable only to
a major reduction in force, to include a major reorganization or a
major transfer of function, as determined by OPM.
Repeals restriction against e
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Veterans Preference and Benefits
Eliminates preference for non-disabled individuals who retired at or
above the rank of major or its equivalent. Effective 10/1/80.
Additional benefits for veterans who are rated 30% disabled or more:
- New authority for noncompetitive appointments
- Preference over other preference eligibles in reduction in force.
Veterans with 30% disability or more are granted a right to
notification, opportunity to respond, and review of final determination
by OPM:
- When deemed ineligible for position due to physical qualifications
- When passed over on a civil service certificate by an agency in the
course of filling a position
- When deemed ineligible for retention in a position due to physical
disability.
OPM may delegate passover and physical qualifications determinations to
agencies in all cases except those involving veterans with 30%
disability or more.
Limitation on Dual Pay for Retired Members of the Uniformed Services
Combined retired pay (exclusive of disability or other benefits
administered by VA) and civilian salary received by any retired member
of the uniformed services may not exceed the pay for Executive Level V
(currently $47,500). Retired pay to be reduced when combined pay
exceeds this limit. Applies only to Chose who first receive retired
pay after law is enacted. Does not apply, however, to those who are
employed on the date of enactment and are entitled to military retired
pay, but will not receive such retired pay until they meet any
applicable age requirement. Present reduction in retired pay of
regular officers will continue. Grants OPM the authority, for 5 years,
to make exceptions from the pay limitation for medical officers.
Notification of Vacancies in the Civil Service
OPM and examining offices must notify the U.S. Employment Service of
competitive examinations administered by or under OPM. Agencies must
provide OPM and USES employment information about positions in the
competitive service and Senior Executive Service to be filled by
candidates who are from outside the Federal service and are not on
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Minority Recruitment Program
Each agency is to conduct a minority recruitment program, with OPM
assistance, evaluation, and oversight, to eliminate underrepresentation
of minorities within categories of civil service employment. EEOC is
to make determinations of underrepresentation and establish guidelines
for minority recruitment programs.
Temporary Limitation on Executive Branch Employment
On 9/30/79 and the last days of fiscal years 1980 and 1981, the total
number of civilian employees in the Executive Branch (except Postal
Service and Postal Rate Commission) is not to exceed the number of
employees on 9/30/77. The President may authorize a higher number
within the limits of a growth factor based on increases in the U.S.
population. Contracting out is not to be increased by reason of this
limitation. Exception from total employment limit: up to 60,000
employees in special employment categories for students and
disadvantaged youth.
SENIOR EXECUTIVE SERVICE (Title IV)
Covers manager and supervisor positions now in GS-16 through Executive
Level IV or equivalent (about 8000 positions). Effective 9 months
after enactment. After 5 years, Congress will have a 60 day period
during which it may discontinue the SES by adopting a concurrent
resolution.
Size of SES
Based on agency program needs. OPM consults with OMB and allocates
number of SES positions to agencies for 2-year period, with report to
Congress. OPM may adjust allocation upward or downward during that
period.
Total number of SES positions Government-wide at any given time not to
exceed 105% of total number of positions authorized by OPM for the
2-year period.
Special provisions relating to total number of executive positions:
- Puts present supergrade manager positions and "Public Law 313"
scientific manager positions into a common Government-wide pool
- Abolishes many special statutory allocations to individual agencies
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- Sets overall limit of 10,777 on SES and GS supergrade positions
combined, and 517 on nongraded, nonmanagerial scientific and
professional positions outside SES engaged in research and
development
- OPM to determine and publish the number of Executive Level positions
outside SES as of date of enactment (which then becomes a limit on
Executive Level positions); by 1/80, President to send Congress a
plan for authorizing Executive Level positions.
Structure of SES
Two types of positions:
1. Career-reserved --
o based on need to ensure impartiality, or public's confidence of
impartiality, of Government
o may be filled only by career appointees
o OPM determines initial number of total SES positions to be career
reserved; must not be less than number of positions filled by
competitive examination when SES is enacted (estimated about 45%
of total SES strength)
2. General -- may be filled by career or noncareer appointees or by
limited term or limited emergency appointees.
Four types of appointments:
1. Career -- selection by merit staffing process and approval of
managerial qualifications by OPM.
2. Noncareer
o selection without merit staffing process
o no more than 10% of SES positions Government-wide, and no more
than 25% of SES positions in an agency with exception for agencies
now over that limit
o annual allocation by OPM of percentage for each agency.
3. Limited term -- nonrenewable appointment for up to 3 years to
General SES position which will expire.
4. Limited emergency -- nonrenewable appointment for up to 18 months to
new General SES position which must be filled urgently.
- Limits on total number of limited appointments (#3 and #4 above)
no more than 5% of SES positions Government-wide; OPM must approve
use of appointment authority.
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.16
Compensation and Benefits of SES
Basic pay:
- 5 or more levels of basic pay.
o minimum = GS-16 pay at first step
n maximum = Executive Level IV pay
- President adjusts basic pay annually and publishes new levels in
Federal Register and reports them to Congress
- Agency head sets basic pay of individual executives at one of the
levels authorized
- Only one pay adjustment per executive per year
- If career executive's basic pay is to be reduced, must give 15 days
notice.
Performance awards for career executives:
- May be awarded lump sum payment once a year for fully successful
performance, up to 20% of basic pay; noncontinuing (must be earned
each year)
- The maximum number of performance awards in an agency each year is
equal to 50% of SES positions in the agency (if agency has 4 or more
SES positions).
Ranks for career executives:
5% of SES executives per year may be given rank of Meritorious
Executive and get one-time lump sum payment of $10,000
- iZ may be designated Distinguished Executive and get one-time lump
sum payment of $20,000
- Career executives may receive same rank only once within 5 year
period
Agency nominates, OPM recommends, President awards ranks.
Compensation limit: basic pay plus performance awards plus rank
payment may not exceed pay of Executive Level I (currently $66,000).
Sabbaticals for career executives:
- Agency head may grant sabbaticals (employee retains salary and
benefits and agency may grant travel and per diem costs) for up to
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15
Entry Into SES
Qualification standards: established by agency for particular position
in accordance with OPM guidance.
Career appointment:
- Agency recruits and evaluates candidates using executive resource
boards
OPM evaluates managerial qualifications of candidates, using
qualifications review boards with majority career membership
- One year probation for initial career appointment to SES
- Veterans preference not applicable for SES.
Noncareer, limited term, limited emergency appointments: agencies
determine qualifications of appointees.
Service requirement: not more than 30% of SES positions may be filled
by individuals with less than 5 years of current continuous service
immediately before initial appointment to SES.
Initial conversion to SES:
- Agencies designate positions to go into SES
- Employees in designated positions have 90 days to elect to go into
SES or remain in their present appointing authority, retaining
present pay and benefits, but with no eligibility for promotion Or
transfer except to a non-SES position.
- Converted employees do not have to have their managerial
qualifications approved by OPM or serve a probationary period.
Reassignments and Transfers Within SES
Executive may be reassigned to an SES position in same agency, but
career appointee only upon 15 days advance notice. No involuntary
reassignment of career appointee within 120 days of appointment of new
agency head or of new noncareer supervisor. Executives may elect to
transfer to another agency which wishes to employ them, but may not be
transferred involuntarily.
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1.7
11 months during any 10 year period for study or uncompensated work
experience contributing to employee's development and effectiveness
- To be eligible, career executive must have 7 years of service, 2
years in SES, not be eligible for retirement, and agree to remain in
civil service 2 years after sabbatical.
Leave: No limit on leave accumulation for members of SES.
Performance Evaluation in SES
Agencies develop performance appraisal systems. Criteria for
evaluation are based on both individual and organizational performance
and take into account such things as improvement of efficiency,
productivity, quality of work, reduction of paperwork, cost efficiency,
timeliness of performance, meeting affirmative action goals.
Ratings are reviewed by agency performance review boards. For career
executives, majority on review board must be career employees. Annual
ratings, but no rating within 120 days after beginning of new
Administration.
Ratings: one or more fully successful levels of performance
(individual eligible for performance award), minimally satisfactory
level of performance, and unsatisfactory level of performance. Less
than fully successful rating is basis for removal from SES under
conditions specified below.
Removal from SES
Career Executives:
- If removed from SES during probationary period for inadequate
performance, entitled to be placed in non-SES position (if not
originally appointed to SES from outside Government)
- After probationary period, must be reassigned or transferred to
another position within SES or removed from SES for 1 unsatisfactory
rating; must be removed from SES for 2 unsatisfactory ratings in 5
years or for 2 less than fully successful ratings (i.e., minimally
satisfactory or unsatisfactory) in 3 years
- If removed for poor performance after probationary period, may
request informal public hearing before MSPB; is entitled to
placement in non-SES position at GS-15 or above, or may retire if
has 25 years of service or is age 50 with 20 years of service
- No removal for poor performance during 120 days after appointment of
new agency head or of new noncareer supervisor except where removal
is required by rating given prior to appointment
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18
- Disciplinary removal procedures and rights in SES are similar to
those for competitive service employee (30 day notice, right to
reply, may appeal to MSPB, etc.)
Noncareer and limited executives: removal at pleasure of agency head;
no appeal rights.
MERIT PAY AND CASH AWARDS (Title V)
Merit Pay
Coverage: managers and supervisors in grades GS-13 through GS-15.
Major features:
- Merit pay increases awarded in recognition of quality performance
- Within-grade steps eliminated for this group -- can be paid any rate
between the minimum and maximum rates of the grade
- At least 50% of comparability pay raise must be granted
automatically; OPM may grant more
- Source of funding for merit pay pool: remaining comparability pay
funds plus money that would have been spent on within-grade and
quality step increases for managers and supervisors in GS-13 through
GS-15
- All managers to review and evaluate performance of each covered
employee annually and determine what size merit increase is
warranted, if any
- Grants merit pay increases to managers taking into account both
their organizational accomplishments and individual performance,
based on such factors as
o improvements in efficiency, productivity, and quality of work or
service, including any significant reductions in paperwork
o cost efficiency
o timeliness of performance
o other indications of the effectiveness, productivity, and quality
of performance of the employees for whom the manager is
responsible.
Conversion: No one to suffer salary loss.
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19
Effective date: No later than October 1, 1981; earlier Phasing in
permitted.
Cash Awards
Agency head and President each may give cash awards for suggestions,
inventions, superior accomplishments, improving Government operations,
reducing paperwork, special acts or services in the public interest.
Limit is $10,000; OPM may approve awards up to $25,000. Same
accomplishment may win both agency and Presidential award.
RESEARCH AND DEMONSTRATION AUTHORITY (Title VI)
OPM to conduct and support public management research.
OPM also to carry out demonstration projects that test new approaches
to personnel management:
- No more than 10 projects active at any one time
- Size limited to 5,000 employees per project; duration limited to 5
years
- May waive personnel laws to conduct demonstration projects, except
cannot
o waive laws, rules, or regulations relating to political activities
or equal employment opportunity
o affect leave, insurance, or annuity provisions
o be inconsistent with merit system principles or violate prohibited
personnel practices
- OPM to develop, publish, and hold public hearing on project plan
- OPM to notify employees and Congress of the proposed project at
least 6 months prior to implementation
- OPM to report to Congress 3 months prior to implementation
- Requires consultation or negotiation with unions, or where no
negotiated agreement exists, consultation with employees.
STATE AND LOCAL PERSONNEL STANDARDS, INTERGOVERNMENTAL PERSONNEL ACT
MOBILITY PROGRAM (Title VI)
Authorizes Federal agencies to require State and local governments to
have merit personnel systems for positions engaged in administratiop of
Federal assistance programs.
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20
Abolishes a variety of statutory personnel requirements established as
a condition of the receipt of Federal grants-in-aid by State and local
governments.
Extends mobility program to include additional types of organizations
and individuals, and adds an obligated service requirement.
Authorizes Federal agencies to reimburse mobility assignees for certain
miscellaneous relocation expenses.
LABOR-MANAGEMENT RELATIONS (Title VII)
Preamble (Policy)
Labor organizations, and statutory protections of the right to organize
and bargain collectively in the Federal civil service are found to be
in the public interest. Recognizes requirements of Federal sector, and
need for efficient, effective Government operations.
Supervisors
Basic definition of supervisors requires "consistent" exercise of
independent judgment. Supervisors excluded from employee bargaining
units, and may not participate in management or representation of labor
organizations.
Firefighters and nurses must meet tougher, "preponderance of time" test
to qualify as supervisors.
Definitions
"Labor organization" excludes organization which participates in strike
against U.S. Government, or imposes duty or obligation to conduct,
assist, or participate in such strike.
"Conditions of employment" which may be negotiated exclude matters
relating to political activities, position classification, and those
specifically prescribed by law - e.g., pay and benefits. However,
regulations also limit scope of bargaining.
"Grievance" defined broadly to include any matter relating to
employment with an agency and any claimed violation, misinterpretation
or misapplication of any law, rule, or regulation affecting conditions
of employment. (See also Grievance Arbitration below.)
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I.
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21.
Scope of Bargaining
Includes personnel policies, practices and matters affecting working
conditions --limited by laws and excluding Government?wide regulations,
as well as agency regulations for which "compelling need" exists.
Agencies which issue Government?wide regulations must consult with
unions.
Two categories of management rights:
- Bargaining permitted but not required on numbers, types and grades
of employees or positions assigned to a unit, project, or tour of
duty; and on technology, methods, and means of performing work
- Bargaining prohibited on mission, budget, organization, number of
employees, and internal security practices of agency. Also
prohibited on management's right to hire, assign, direct, layoff,
and retain employees as well as suspend, remove, reduce in grade or
pay, or take other disciplinary action; to assign work, make
determinations with respect to contracting out, and determine
personnel by which operations shall be conducted; to make
appointments to fill positions; and to take necessary actions in
emergency.
Special expedited procedure for negotiability disputes which do not
involve allegation of "compelling need", including 30?day period for
agency decision. FLEA to decide whether to hold hearing in compelling
need case.
Representation Rights
Exclusive union is entitled to be present at "formal discussions"
between management and employee(s) in bargaining unit concerning any
grievance or any personnel policy or practices or other general
condition of employment.
Employee has right to union representation at any examination of the
employee in connection with an investigation if employee believes
discipline could result. Agencies required to notify employees of this
right annually.
Provides 30?day period for approval of negotiated agreements by agency
head (or designee) for conformity with law and appropriate regulations.
Grievance Arbitration
Scope of grievance arbitration is defined broadly, covering any matter
within authority of agency but excluding position classification (but
not reduction in grade or pay), political activities, retirement, life
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and health insurance, suspension or removal for national security
reasons, examination, certification and appointment. Scope of
bargaining is automatic, unless parties negotiate a lesser scope.
Negotiated grievance procedure is exclusive forum for bargaining unit
employees to seek redress on matters covered - except in adverse action
and discrimination cases, employee may choose either the negotiated
grievance or statutory appeals procedure, but not both.
Standard of evidence in arbitration cases to be same as in appeals
covered by title II (substantial evidence for performance cases,
preponderance of the evidence for all other cases).
Arbitration awards may be reviewed by FLRA on limited grounds.
Judicial review is available only in adverse action and discrimination
complaint cases. (Final decision in arbitration involving
discrimination is subject to EEOC review or to procedures applicable to
MSPB in such cases.)
Issue of grievability/arbitrability to be decided by arbitrator --
subject to appeal to FLRA.
Greater authority for back-pay remedies in unjustified or unwarranted
personnel actions -- attorney fees awarded in grievances on same
grounds as set forth in title II for MSPB award of attorney fees.
Impasses
If voluntary arrangements, including mediation, fail to resolve
bargaining impasse, either party may request consideration by the
Federal Service Impasses Panel, which can then direct a settlement.
Parties may use arbitration to resolve bargaining impasse only when
authorized or directed by Impasses Panel.
Appropriate Unit and Exclusive Recognition
Three criteria for FLRA determinations of unit appropriateness:
community of interest, effective dealings, and efficiency of
operations.
Provides 45-day "open-season", tied to term of negotiated agreement,
for rival union challenges against incumbent exclusive union.
Secret-ballot election required in all cases to obtain exclusive
recognition (but not for consolidation of existing smaller units).
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.23
Current provisions and conditions for consolidating established
bargaining units continue.
Unfair Labor Practices
Includes:
- Interfering with employee rights under the labor relations program
- Encouraging or discouraging union membership
- Sponsoring or controlling a labor organization (by any agency)
- Taking reprisal against employee for filing a complaint
- Refusing to bargain
- Discriminating for prohibited reasons
- Hindering employee productivity (by union)
- Calling or engaging in a strike, slowdown, or picketing that
interferes with Government operations
- Failing to comply with any provision of the labor relations program
- Failing or refusing (by agency or union) to cooperate in impasse
procedures and decisions
- Enforcing agency regulations conflicting with a negotiated
agreement.
Expressly directs FLRA to withdraw recognition or order Lesser action
if, after hearing, union is found to have violated the unfair labor
practice provision against strikes or slowdowns.
Employees, including supervisors and management officials, expressly
permitted to stage get-out-the-vote campaigns, set record straight on
any false or misleading statements, and state Government's policy
relating to labor relations or representation -- during organizing or
pre-election period.
Standards of conduct for labor organizations are administered and
enforced by the Assistant Secretary of Labor for Labor-Management
Relations.
FLRA is also authorized to seek temporary restraining orders in unfair
labor practice cases. General Counsel of FLRA is authorized to provide
for informal settlement through regulations.
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24
Union Security
Agencies are required to deduct dues at exclusive union's request.
Allotments are voluntary and irrevocable for 1 year; withholding of
? dues is without a service charge to the employee or labor organization.
Dues withholding is authorized for unions with 10 percent or more
.membership in appropriate bargaining units where there is no exclusive
representative.
Official time for employee negotiators is authorized to the same extent
management negotiators are on paid time.
Judicial Review/Enforcement
Final decisions of FLRA are subject to judicial review except for
appropriate unit determinations and arbitration awards (other than
those involving unfair labor practices). FLRA can seek court
enforcement of its orders.
Prevailing Rate Employees
Changes in statute are not to limit the bargaining of wages for Federal
prevailing rate employees covered by section 9(h) of P.L. 92-392, in
accordance with prevailing rates and practices and without regard to
any other provision of law. Also provides for bargaining on other
conditions of employment which had been negotiated prior to the
effective date of P.L. 92-392.
GRADE AND PAY RETENTION (Title VIII)
Employees under the General Schedule, any prevailing rate system, or
the merit pay system who are placed in a lower graded position as a
result of a reduction in force necessitated by any reason or as a
result of job reclassification action are entitled to retain the grade
and pay of the former position for two years from the date they are
placed in the lower graded position.
- May be applied in reduction in force only if employee was in the
position at the higher grade or a grade above for at least one year
prior to action.
- May be applied on reclassification Only if former position was
classified at the higher grade continuously for at least one year.
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25
After two years:
- Employee is placed in lower grade
- Pay is set at appropriate rate of the lower grade or 150% of? the
maximum rate for the grade in which the employee is placed; plus 50%
of any annual comparability adjustment until the rate of the
employees new grade equals or exceeds the individual's pay.
Grade retention terminates when an employee:
- Has a break in service of one workday or more
- Is demoted for personal cause or at the employee's request
- Is placed in or declines a reasonable offer of a position with
or higher grade
- Elects in writing to have the benefits terminate.
Pay retention terminates when an employee:
- Has a break in service of one workday or more
equal
- Is entitled to the rate of pay, or declines a reasonable offer of a
position with a rate of pay which is equal to or higher than the
retained rate
- Is demoted for personal cause or at the employee's request.
OPM may require agencies to:
- Report vacancies available to employees whose positions are
downgraded
- Take steps to assure that employees affected have the opportunity to
acquire qualifications for selection to positions which would
minimize the need to apply these provisions
- Establish a priority placement program for employees affected
- Place affected employees even though they are in another agency.
Employees affected:
- Entitled to appeal to OPM termination of benefits as a result of a
declination of an offer of another position with grade or pay equal
to that prior to the reduction
- Retain classification and reduction in force appeal rights as
provided by law or OPM regulation
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Otherwise, employees are not entitled to appeal actions taken or
termination of benefits under statutory appeals or negotiated
grievance procedures.
These provisions are retroactively effective for actions taken on or
after January 1, 1977 for employees continuously employed since then.
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cr?
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AGENCY COVERAGE/EXCLUSIONS
EMPLOYEE COVERAGE/EXCLUSIONS
.
?
NOTES
- Covered ?
- Excluded
PROVISIONS OF ACT
All Executive Agencies
Except As Noted
Agencies/Units Excluded
By President
CIA. NSA, DIA
m
4,
Government Corporations 1
Postal Service
0
.,c
0
GPO
Library of Congress
Botanic Garden, Architect
of Capitol
Cong. Budget Office
Admin Ofc of US Courts
Fgn Service Personnel
SES Executives
[LEA Appointees
INEA Appointees
ICompetitive Service
ISchedule C Excepted
'Certain DEA Excepted
1 Other Excepted
Other
TITLE I
C
C
C
N/A
E
E
C
E
E
C
E
C
t
CE
EE
EE
CC
EC
EC
E
E
E
E
E
C
C
EEC
CZ
C
C3C
ECEEC
-1 -
-C
- --
--
C
-
?/VA
?
1/Separate whistle
blower provisions
in Sec. 2303.
"All must abide;
only career pro-
tected.
3/Must abide, but
not protected.
?
DMS physicians
dentists, nurses; '
employees outside
US under native
prevailing rate;
Presidential
appointees; excep-
ted by OPM.
Merit System Principles
(5 USC 2301)
Prohibited Personnel Prac-
tices (5 USC 2302) (Vio-
lators subject to Special
Counsel investigation and
prosecution before MSPB
pursuant to 5 USC 1206 -
1208 in Title II)
TITLE II
Performance Appraisal
System (other than SES)
(5 USC 4301-4303).
'
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Approved For Release 2002/05/07 : CIA-RDP92-00455R000300090005-9
)
AGENCY COVERAGE/EXCLUSIONS
EMPLOYEE COVERAGE/EXCLUSIONS
I
PROVISIONS OF ACT
IAll Executive Agencies
Except As Noted
Agencies/Units Excluded
By President
CIA. NSA, DIA
rill
Government Corporations
Postal Service
00
<
a
ILibrary of Congress ---]
IBotanic Garden, Architect
of Capitol
Cong. Budget Office
1
Admin Ofc of US Courts
IFgn Service Personnel
1
ISES Executives
1
ILEA Appointees ---1
1NEA Appointees
--_1
[Competitive Service
1
Schedule C Excepted 7
Certain DEA Excepted ---1
Other Excepted ---1
Other
---1
NOTES
C - Covered IIII
E - Excluded
Adverse Action Procedures
- Suspensions of 14 days
or less (5 USC 7501-7509C
- Removal, suspensions
over 14 days, reductions
in grade or pay, fur-
loughs (5 USC 7511-7513)
TITLE III
C
C
C
EEE
N/A
E
N/A
E
E
E
E6
EE:J
E9/
5
E/
Clq/c/CCEE
ci
EE
ECCEE
CCEC2/E
1
ECEECECEEE--
EC
ECEEEECEEE
CECCECEEC-
elECECEEcV
i
_.,
--
5/-pECCEE
? Depending on
agency's enabling
legislation.
/
? Veteran Preference
eligibles only. FSOs
excluded regardless.
2/Unless in excep-
ted service (e.g.
TVA).
./1 /Others excepte1111
by President or
/ 9
? Unless positions
excepted by statute
Probationary period for
new supervisors (5 USC
3321)
Notification of USES of
vacancies (5 USC 3321)
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Approved For Release 2002/05/07 : CIA-RDP92-00455R000300090005-9
ts)
AGENCY COVERAGE/EXCLUSIONS
I EMPLOYEE COVERAGE/EXCLUSIONS
PROVISIONS OF ACT
1 All Executive Agencies
Except As Noted
I Agencies/Units Excluded
By President
1
<
.8
.c
,
z
ftic
I-1
C..)
1-?
co
44
IGovernment Corporations
IPostal Service
I GAO
Library of Congress
1
Botanic Garden, Architect
of Capitol
Cong. Budget Office,
Admin Ofc of US Courts
Fgn Service Personnel
SES Executives
1
LEA Appointees
NEA Appointees
Competitive Service
Schedule C Excepted
Certain DEA Excepted
Other Excepted 1
Other
NOTES
4110
c _ Covered
E - Excluded
Minority Recruitment
Program (5 USC 7151) '1'
TITLE IV
C
C
.
N/A
C
E
--
C
E
--
CE
EE
CEE
EEE
4
CCCCC'CCC
..,
/
--
-
_ Coverage not clear.
IQ/Career appointees
only.
410
SES Coverage (5 USC 3132)
Removal, reinstatement,
guaranteed placement
provisions (5 USC 3591-
3594)
Performance appraisals in
SES (5 USC 4311-4314)
Award of SES ranks with
cash awards (5 USC 4507)
SES Performance Awards
(5 USC 5384)
SES Disciplinary Actions
(5 USC 7541-7543)
'
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Approved For Release 2002/05/07 : CIA-RDP92-00455R000300090005-9
AGENCY COVERAGE/EXCLUSIONS
EMPLOYEE COVERAGE/EXCLUSIONS
PROVISIONS OF ACT
IAll Executive Agencies
Except As Noted
[
Agencies/Units Excluded I
By President
-4
5
.4
m
z
6
o-4
U
1-4
co
r..1
Government Corporations I
Postal Service
0
6
0
L_Go
Library of Congress
I
Botanic Garden. Architect
of Capitol
Cong. Budget Office
Admin Ofc of US Courts
Fgn Service Personnel
SES Executives
1
LEA Appointees
NEA Appointees
[Competitive Service
1
Schedule C Excepted
Certain DEA Excepted
Other Excepted 1
Other
J
NOTES
c - Covered
E - Excluded
TITLE V
C
C
C
E
N/A
E
C
E
C
EEEC
CCCC
C
C
E
C
C
E
C
E
E
C1
C
C
E
C
C
EE
'CCCCE
C/--CE
ECe
C
CECCCW
C
--
'
1//DIA covered.
_
-- Covers only cor-
porations with posi-
tions under GS, e.g.
TVA, Alaska Railway,
Panama Canal Co. ex-
cluded.
14/
-- Career appointees
only.
WOPM may extend
provisions to other
agencies of legis-
lative and judicial
branches.
Merit Pay for Supervisors
and Managers (GS-13 to 15
under General Schedule13/
only) (5 USC 5401-5404)
TITLE VI
Research and Demonstration
Projects (5 USC 4701-4703)
IPA Mobility Amendments
(Sec. 603)
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c.)
AGENCY COVERAGE/EXCLUSIONS REMPLOYEE COVERAGE/EXCLUSIONS
PROVISIONS OF ACT
IAll Executive Agencies
Except As Noted
IAgencies/Units Excluded
By President
ICIA. NSA, DIA
1.4
IGovernment Corporations
I Postal Service
1
0
1 Library of Congress
I
Botanic Garden. Architect
of Capitol
Cong. Budget Office
Admin Ofc of US Courts
Fgn Service personnel
SES Executives
LEA Appointees
NEA Appointees
Competitive Service
Schedule C Excepted
Certain DEA Excepted
Other Excepted
Other
.
NOTES
C - Covered
E - Excluded
TITLE VII
C
C
.
.
E
N/A
16/
1
E
c4/ECCCC
E
ECC
E
E
E
C--/
E
CC
C
E
CcC-
18/
C--
?
19/
--
?
1.6.1DIA covered,
ii/Except TVA.
'113-/If non-supervi-
sory and non-mana-
gerial,
19/
-- FLRA and FSIP
excluded; NAF and
VA Canteen Service
covered,
-?-O/Applies only to
employees under the
GS, prevailing rate
schedules and merit
pay system,
-1'Government con-
Labor-Management Relations
(5 USC, Chapter 71)
TITLE VIII
Grade and Pay RetentionL)./
(5 USC 5361-5366)
trolled corp. excl.
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Approved i.9111fAg44,99.2/05Pirt?
r tIPARE12-00t5i
A. 1,1.RitIgli1C " tz?;
SUBJECT: Uniform Promotion System
Prtm r75-VW
0300090005-9
12 OCT 1978-
1. This memorandum is being written to direct
attention to a recently adopted policy in the field of
personnel administration which appears to be completely
unnecessary and which is expected to have a strong,
adverse impact on employee morale. A fnrther decline in
employee morale, it is certain all will agree, is some-
thing we do not need when it is perhaps already at the
lowest level in the history of the Agency.
2. The policy referred to in paragraph one is
contained in one provision of the Uniform Promotion System
effective 1 October 1978. Starting on that date, the
policy prohibits any delay in promotions so that recipi-
ents might first receive within-grade salary (or periodic
step) increases which would take them to higher salary
steps when promoted. It appears that this policy may
have been approved without full knowledge of the many ways
in which it would or could impact upon those employees
who will be promoted only one pay period, or a couple of
pay periods, prior to attaining eligibility for within-
grade salary increases at their grade levels prior to pro-
motion.
3. Section I of the attached chart (Tab A) provides
a picture of the impacts which could result from imple-
mentation of the policy in terms of differences in annual
salary alone, utilizing the 1 October 1977 GS salary
schedule. The impacts would, of course, increase over
the years as legislative pay increases are granted. The
chart reflects what could happen to a GS-12 being promoted
to GS-13 and remaining an active employee for approximately
twelve years thereafter. GS-12 to GS-13 promotion was
selected for the illustration because GS-13 is the
journeyman level for a significant number of employment .
categories within the Agency. There are additional actual
or possible impacts of the policy relative to lump-sum
payment for annual leave at time of retirement, retirement
annuity, suvivor benefits under CIARDS, and Federal Employees
Group Life Insurance (FEGLI) benefits, to mention only a
few. For example, in the case described in Section I of
the attached chart, the following impacts would or might
occur:
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SUBJECT: Uniform Promotion System
p?
0300090005-9
a. $210.00 less in lump-sum payment for
annual leave on the books at time of retirement
assuming payment for 500 hours at GS-13/7
($15.01 per hour) rather than at GS-l3/8.($15.43
per hour).
b. Assuming CIARDS retirement with pre-
cisely 30 years of creditable federal govern-
ment service, an annuity of $173.40 less per
year. If the employee were to live for 16 years
after retiring, the total loss in annuity would
be $2, 774.00
c. Less survivor benefits under CIARDS
since such benefits are based upon a percentage
of the employee's annuity entitlement. This
would also apply if the employee were to pa-s-s
away while in service.
d. $1,000 less in FEGLI payment to bene-
ficiaries if death were to occur after retire-
ment. This would also be true if death took
place while an active employee during any year
in which his/her salary was in a $1,000 bracket
lower than it would have been had he/she
originally been promoted to a higher step.
(Allowable basic FEGLI coverage is the next
thousand dollar3 to salary, plus two thousand.)
4. GS-12 to GS-13 promotion may not have been the
best selection for the illustration in the attachment
because, according to one provision of the President's
Civil Service Reform package recently approved by the
Congress, some or maybe all GS-13 to GS-15 personnel
will be able to receive only meritorious increases and no
longer will be eligible for regular within-grade salary
increases. Newspaper accounts as to which GS-13 to
GS-15's are included are confusing because they have
specified GS-13 to GS-15 "supervisors or managers."
Some who might attempt to dissuade management from
rescinding the prohibition on delayed promotions, should it
decide to consider such action, could use this as an
argument. They may be answered with the following state-
ments. First, it is not clear that all GS-13 to GS-15
personnel will be denied regular within-grade increases ?
-2-
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A'Wye
:'- ? "'
SUBJECT: Uniform Promotion System
because of the Civil Service Reform legislation.
Secondly, all of the impacts indicated in paragraph 3 and
the attached chart would or could occur in cases of pro-
motions to grades below GS-13. For most of the impacts
the amounts would, of course, be less and would vary
according to grade level. Also, the lower the level at
which an employee is first denied a within-grade increase
makes chances greater that it could happen again as he/she
progresses up the grade ladder, thus compounding the
impact.
5. It is interesting to note that the attached Head-
quarters Notice (Tab B) contains no mention of the pro-
hibition on delayed promotions. The omission could have
been inadvertent, but there is also a good possibility "
that the Deputy Director for Administration recognized the
potential of the policy to Create a serious morale problem
and purposely omitted it from the notice. In either
event, if -the?poldcy?is_to?stand,-emplOYees should be.
advised of its existence because it is one which could
impact upon some of them for the rest of their lives and
also upon their survisors.
6. The schedule of months for promotions to the
various grade levels approved in connection with the Uniform
Promotion System is, it is believed, also ill-conceived..
It is so designed that it will in many iiffrantes compoUnd.
the impact (impacts) resulting from the prohibition on
delayed promotions. The schedule in the attached Head-
quarters Notice provides for promotions in descending
grade order with those to higher grade levels earlier in
any fiscal year than those to lower levels. For example,
it calls for promotions to GS-14 in November and to GS-13
in December. Therefore, if the individual described in
Section I of the attached chart were to be promoted to
GS-14 in November 1987, a couple of pay periods prior to
receiving a step increase to GS-13/7, the impact (impacts)
on him/her would be still greater as indicated in Section II
of the chart.
7. If the policy prohibiting delayed promotions is
based upon a Civil Service Commission requirement, which
is not believed to be the case, then it should stand. If
there is no such requirement, it is fervently hoped that
it will be rescinded so that the Agency may once more
-3-
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te?
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SUBJECT: Uniform Promotion System
be recognized as one which gives full weight to employee
considerations when formulating its policies in the field
of personnel administration. Recision of the prohibition
does not mean that all promotions to a particular grade
level could not be presented at the same time which '
appears to be the primary aim of the Uniform Promotion
System. There is no valid reason why those whose pro-
motions would be delayed for a reasonable time could
not receive certificates at the same time as all others
being promoted to the same grade.
Approved For Release 2002/05/071:-CIA-RDP92-00455R000300090005-9
Vin;ricilr2tiva c-,n rqv
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?. . Approv cirr,Wligarsvq002/
015197 : cl4TRDP
Section I of the chart which follows indicates the impact
(impacts) on annual salary only, for an individual who might be
promoted from GS-12 to GS-13 on 3 December 1978 and who would
qualify for a higher step at GS-13 if the promotion was delayed
until 17 December when the individual concerned would complete
the 104 week waiting period for advancement from step 4 to step
5 at GS-12. If promoted from GS-12, Step 4,the individual would
go to GS-13, Step 1. If promoted from GS-12, Step 5, the advance
would be to GS-13, Step 2.
Section II of the chart indicates how the impact (impacts)
would increase if the same individual also were to be promoted
to GS-14 in November 1987 just short of nine years later and a
few weeks before receiving a step increase to GS-13, Step 7.
?
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1` diriirthfitfiVe s
Jr}
Section I
Salary Period
If Promoted
To GS-13/1
If Promoted
To GS-13/2
Impact
Dec 78 - Nov
79
$26,022 (Step 1)
$26,889 (Step
2) -$867.00
Dec 79 - Nov
80
$26,889 (Step 2)
$27,756 (Step
3) -$867.00
Dec 80 - Nov
81
$27,756 (Step 3)
$28,623 (Step
4) -$867.00
Dec 81 - Nov
82
$28,623 (Step 4)
$28,623 (Step
4)
Dec 82 - Nov
83
$28,623 (Step 4)
$29,490 (Step
5) -$867.00
Dec 83 - Nov
84
$29,490 (Step 5)
$29,490 (Step
5)
Dec 84 - Nov
85
$29,490 (Step 5)
$30,357 (Step
6) -$867.00
Dec 85 - Nov
86
$30,357 (Step 6)
$30,357 (Step
6)
Dec 86 - Nov
87
$30,357 (Step 6)
$31,224 (Step
7) -$867.00
Dec 87 - Nov
88
$31,224 (Step 7)
$31,224 (Step
7)
Dec 88 - Nov
89
$31,224 (Step 7)
$31,224 (Step
7)
Dec 89 - Nov
90
$31,224 (Step 7)
$32,091 (Step
8) -$867.00
TOTAL IMPACT
IN
12
YEAR PERIOD
-$6,069.00
Section II
If Promoted
If Promoted
Salary Period
to GS-14/3
to GS-14/4
Impact
Nov 87 - Oct
88
$32,800 (Step 3)
$33,825 (Step
4) -$1,025.00
Nov 88 - Oct
89
$33,825 (Step 4)
$33,825 (Step
4)
Nov 89 - Oct
90
$33,825 (Step 4)
$34,850 (Step
5) -$1,025.00
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PERSONNEL
STATI.NTL
Reference: -
ADMINISTRATIVE - INTERNAL USE ONLY
Appr*,
For Release 2002/05/07 : CIA-RDP9ik0455R000300090005-9
Notice Expires 1 September 11,
11 September 1973
DEVELOPMENT OF THE UNIFORM PROMOTION SYSTEM
1. Tnis notice highlights some of the more significant features
of the Uniform Promotion System announced Also provided is
specific information on revised Fitness Report schedules and the dates
established for promotion of all grades. Change has been directed
toward achievement of a primary management goal?increased employee
awareness of promotional opportunities. The new system includes the
following major innovations:
a. Agency-wide uniform promotion schedules by grades-.
b. A minimum annual target for promotion of qualified
employees for each grade, established by appropriate Career
Services or Subgroups and published for the information of
all employees.
c. Specific Career Service criteria for promotion,
published by the Career Service or Career Service Subgroup.
d. An evaluation panel system to be used by all Career
Services in determination of eligibility for promotion. Panel
rankings and recommendations can be changed only by the Director
e. Certificates of Promotion.
2. On 12 July 1978 the Deputy Di,-ector of Central Intelligence
approved a revised Fitness Report schedule and a promotion schedule
keyed to the Fitness Report dates. The promotion exercises may be
annual or semiannual at the option of the Career Services or Career
Service Subgroups.
3. There will be no established schedule for promotion to grades
GS-06 and below. Employees in these grades will be promoted on the basis
of merit, within Career Service criteria for promotion, panel evaluations,
headroom, and the availability of properly graded positions.
- 4. The revised Fitness Report schedules will be operative for all
Career Services, except the D Career Service, as of 1 October 1978. The
D Service will establish its own Fitness Report schedule to meet the
Agency promotion dates. Where the semiannual promotion option is elected;
the first exercise in FY 1979 may be effective with either date noted on
the schedule. To avoid an undue period without an evaluation of performance
for GS-I2 and 13 employees, there will be a one-time out-of-phase
evaluation for the period ending 31 December 1978.
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ADMINISTRATIVE - INTERNAL USE ONLY
TINTL
I' ,
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Approved For
11 September 1978
p.
iM121(Y6/07 :IGIVE-R131292gli)09111p0300090005-9
PERSONNEL
UNIFORM PROMOTION SCHEDULE
New Fitness PROMOTION TO NEXT GRADE
Current Report Period Effective First Pay Period in Month
Grade End Date Annual Option Semiannual Option
GS-15 and above
GS-14
GS-13
GS-12
GS-11
GS-10
GS-09
GS-08
GS-07
GS-06
GS-05 and below
31 March
30 April
30 June
31 July
31 August
30 September
30 September
31 December
31 December
31 January
31 March
DISTRIBUTION: ALL EMPLOYEES
July January
September March
November May
December June
January July
February August
February August
May November
May November
June December
UNSCHEDULED
JOHN F. BLAKE
Deputy Director
for
Administration
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STATINTL Approved For Release 2002/05/07 : CIA-RDP92-00455R000300090005-9
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IF
PIC.01,MUToefil.
JTIN LSUBJECT: (Optional)
FROM:
te01112002/05/07 : CIA-RDF6311_414WM4640005-9
- 0 SECRET
209,7r
ROUTING AND RECORD SHEET
Chief, Review Staff, OP
1006 Ames
EXTENSION
TO: (Officer designation, room number, and
building)
DATE
RECEIVED
FORWARDED
NO.
DATE
20 October 1978
STATO11HR
OFFICER'S
INITIALS
COMMENTS (Number each comment to show from whom
to whom. Draw a line across column after each comment.)
DD/Pers-PeiC
1006 Ames
DD/Pers
SE 58 Hqs.
4.
D/Pers
SE 58 Hqs.
7.
8.
10.
12.
1 3 .
14.
15.
5. Herewith proposed response to
the ADDO from the DDA on the blind
memorandum on Uniform Promotion
System. This is a mild response
for what I would like to write. If
they have the time to produce over-
kill such as this, they have too
many people in CMG . . . and not
very good writers either. Frankly,
if I were the DDA, I would strongly
object to the implications in para
5 that I am being devious. I would
also object to the lecturing tone
of the memorandum as improper and
ill advised. Why is it that the
other Directorates can get away
with this sort of thing and if we,
particularly OP, even grimace, we
are out of order?
I have assumed the "restrictive
language" your note refers to has
to do with grade increases; it was
in the original memorandum to the
DDCI . . . copy attached.
Incidentally, this policy chang
was carefully, and lengthily dis-
cussed with the representatives of
the Directorates at the meeting in
the OP Conference Room when the
whole subject of uniform promotion
procedures first came up and we ere working on the Fitness Report schedules. It
seems a bit odd that it took both DDA and the DDO several months to focus on the
so-called-impact- (it-can-also-have-an-adveTse-impact for future promotions relative
to time-in-grade criteria . . . and it isn't all that much money over a career) and
also that neither NFAC ndr DDSU have registered protest . . . and they do/did
understand it
STATIN TL
FORM 61 0 USE PRE
3-62 EDITIONS
? - - Aciy 1,11 ipu-vi vis -
SECRET IC] CONFIDENTIAL
UNCLASSIFIED