Personnel Practices: Career and Other Appointments of Former
Political Appointees, October 1998-April 2001 (26-FEB-02,
GAO-02-326).
Political appointees in the federal government sometimes seek
appointments to career positions, which do not end with an
administration. Although merit system principles require that
selections be determined solely on the basis of merit after fair
and open competition, questions have been raised about whether
some individuals have received political favoritism or an unfair
advantage, even the appearance of which could adversely
compromise the integrity of the system. The 45 agencies GAO
surveyed responded that 100 employees converted from political
appointments and 11 converted from congressional staff positions
from October 1998, through April 2001. All the conversions took
place at 21 agencies. Ninety-five of the 111 conversions were to
positions at the GS-12 level and above. GAO found that the 21
agencies used appropriate appointment authorities, such as civil
service certificates from the competitive selection process, and
generally followed merit system procedures. In 17 instances,
however, the appointments could give the appearance that
individuals had received political favoritism or preferences.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-02-326
ACCNO: A02790
TITLE: Personnel Practices: Career and Other Appointments of
Former Political Appointees, October 1998-April 2001
DATE: 02/26/2002
SUBJECT: Civil service appointments
Federal employees
Hiring policies
General Schedule System
Senior Executive Service
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GAO-02-326
A
Report to Congressional Requesters
February 2002 PERSONNEL PRACTICES Career and Other Appointments of Former
Political Appointees, October 1998 - April 2001
GAO- 02- 326
Letter 1 Results in Brief 2 Background 3 Over a Hundred Political Appointees
and Congressional Employees
Converted to Career and Other Positions 6 Appropriate Authorities Used, but
17 Conversions Gave the
Appearance of Political Favoritism 6 Conclusions 9 Agency Comments 10
Appendixes
Appendix I: Executive Branch Agencies and Departments and Their Conversions
12
Appendix II: Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001 15
Appendix III: Appointment Authorities Used in the Appointments We Reviewed
26
Appendix IV: Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment 28
Appendix V: Eight Conversions to Excepted Service Positions under Schedule A
or 28 U. S. C. 542 Authority with the Appearance of Political Favoritism 43
Appendix VI: Scope and Methodology 44
Appendix VII: Comments from the Office of Personnel Management 46 Related
GAO Products 47
Lett er
February 26, 2002 The Honorable Christopher S. Bond Ranking Minority Member
Committee on Small Business and Entrepreneurship United States Senate
The Honorable Dave Weldon Chairman, Subcommittee on Civil Service
and Agency Organization Committee on Government Reform House of
Representatives
The Honorable F. James Sensenbrenner, Jr. Chairman, Committee on the
Judiciary House of Representatives
Political appointees in the federal government sometimes seek appointments
to career competitive and other positions which, unlike political
appointments, do not terminate at the end of an administration. When such
appointments occur, they are called ?conversions.? Conversions of political
appointees to career positions must conform to
merit system principles requiring that selection be determined solely on the
basis of merit after fair and open competition. Sometimes, however,
circumstances surrounding conversions can raise questions as to whether the
individuals received political favoritism or an unfair advantage in the
merit system selection process, even the appearance of which could adversely
compromise the integrity of the system. As requested we (1) identified the
number of conversions of political appointees to career and other positions
as reported to us by 45 executive branch agencies from October 1, 1998,
through April 30, 2001, and (2) for the conversions at the General Schedule
(GS) pay grade 12 and above and their equivalents, (a) determined whether
the agencies used appropriate appointment authorities and followed proper
procedures consistent with
merit system principles or (b) whether there was any appearance of
favoritism or political preference, even if proper procedures were followed.
1 We were also asked to identify the characteristics, such as the 1 When a
person was converted to a pay plan that did not have a GS grade level, we
used the annual basic pay to classify that person into a grade level.
titles, grades, and salaries, of the political and career positions for
conversions that occurred during that period. We provide that information by
agency in appendix II. For purposes of this review, we defined political
appointees as those who obtained noncareer appointments to the Senior
Executive Services (SES), Schedule C appointments, or presidential
appointments. As consistent with the requests, we also included
congressional employees who converted to career and other positions at those
same agencies. Results in Brief The 45 agencies we surveyed as part of our
review responded that 111
former political appointees and congressional employees converted to career
and other positions from October 1, 1998, through April 30, 2001. 2
According to the agencies, 100 of these employees converted from political
appointments and 11 employees converted from congressional staff
positions. Twenty- one agencies accounted for all of the conversions. The
other 24 agencies reported no such conversions during that period. The most
conversions by agency were at the Departments of Justice (24),
Energy (11), Labor (8), Commerce (7), and Defense (7). The 111 conversions
represented far less than 1 percent of the total number of career
appointments the agencies made during that time. Ninety- five of the 111
conversions were to positions at the GS- 12 level and above. The 21 agencies
making these conversions used appropriate appointment authorities, such as
civil service certificates from the competitive selection process, and
generally followed merit system procedures. However, in 17 instances, the
circumstances surrounding the
appointments could, in our opinion, give the appearance that the appointees
had received political favoritism or preferences that enhanced their
prospects for appointment. Nine of these 17 appointments were career
competitive appointments; eight were noncompetitive appointments
to the excepted service. Of the nine career appointments, four cases gave
the appearance of what is referred to as a ?conversion in place,? i. e., the
career positions
2 In addition to the 111 conversions, agencies reported 15 appointments of
limited- term SES employees to career SES positions based on our request for
them to include career appointments whenever limited- term SES positions
were involved. However, in these 15 cases, we found after further review
that the 15 appointees were career employees rather than political
appointees and therefore we did not include them in our review.
had quite similar, and in some cases, identical roles and responsibilities
as well as the same supervisors as the former political positions. In all
four cases, the only major difference between the career and political
positions was the deletion of the Schedule C element requiring a close
and confidential relationship with an appointed official from the career
position. For another conversion, the agency allowed a political appointee
to provide input to the position description of the career service position
before the vacancy announcement was issued. The political appointee
subsequently applied for and was selected for the
position. Such circumstances create concern about whether the individuals
received an unfair advantage or unauthorized preferences in the merit
system.
For the eight excepted service appointments, individuals were
noncompetitively appointed to positions near the date of the presidential
inauguration. Although the six agencies involved had the
authority to make these appointments noncompetitively, the timing of these
appointments- as a change in administration was occurring- can raise the
appearance of political favoritism. While it is reasonable for individuals
who join the government as political appointees to have the opportunity to
continue a federal career in the competitive or excepted service, the nature
of their previous political appointee positions can create concerns about
whether the individuals received favoritism or improper advantage in the
selection process, even
the appearance of which could compromise the integrity of the merit system.
We referred the 17 conversions to the Office of Personnel Management (OPM)
in its oversight capacity for review and action as appropriate.
Background Political appointments are generally made by the administration
in office to support and advocate the president?s political goals and
policies. They are
noncareer appointments- that is, they are noncompetitive and are therefore
made without regard to the rules for competition that govern career
appointments. Political appointees fill positions in the executive branch
under various types of appointments. For example, they may hold Schedule C
positions, obtain noncareer appointments to SES, or be presidential
appointees.
Schedule C appointees receive noncompetitive appointments to positions
graded GS- 15 and below that involve determining policy or that require a
close, confidential relationship with the agency head or other key
appointed officials of the agency. Noncareer SES appointees can receive
noncompetitive appointments to SES positions that normally involve
advocating, formulating, and directing the programs and policies of the
administration.
Political appointments may be terminated at any time, and appointees
generally leave their positions at the end of an administration. However,
while serving under a political appointment, appointees can also apply and
compete for positions that are filled through career appointments, which do
not end with the change of administrations. Career appointments are usually
made through competitive procedures consistent with the government?s merit
system selection principles. Therefore, conversions to
career competitive positions must conform to the principles contained in the
Civil Service Reform Act of 1978. 3 For example, recruitment should be from
qualified individuals, and selection and advancement should be determined
solely on the basis of relative ability, knowledge, and skills after fair
and open competition that ensures that all receive equal
opportunity. Also, applicants for employment should receive fair and
equitable treatment in all aspects of personnel management.
Political appointees may also convert to other noncompetitive positions. For
example, Schedule A authority allows an agency to noncompetitively appoint
individuals to positions in the excepted service for which it is not
practical to apply the qualification standards and requirements established
for the competitive service. Schedule A positions include attorneys
governmentwide and other positions for which a critical hiring need exists
or for which it is impractical to hold a competitive examination. An agency
may also petition OPM to establish Schedule A appointing authority
specifically applicable to it. Also, under 28 U. S. C. 542, the Attorney
General may noncompetitively appoint individuals to assistant U. S. attorney
positions.
OPM is responsible for implementing the Civil Service Reform Act and other
personnel- related laws and for developing regulations to ensure that all
agency personnel actions are in accordance with merit system
principles. 4 In a February 18, 2000, memorandum to agency heads, OPM
emphasized agencies? responsibilities to ensure that (1) all appointments, 3
5 U. S. C. Sec. 2301( b)( 1).
4 5 U. S. C. 1104.
including conversions, are based on merit, (2) all personnel actions are
based on legitimate management needs, and (3) records pertaining to all
personnel actions clearly show that the actions are proper and legitimate.
The memorandum reminded agencies that once a Schedule C position has been
established, the Schedule C elements (i. e., its confidential and/ or
policy- determining characteristics) may not be unilaterally removed from
the position for the sole purpose of converting the position, along with its
incumbent, into a career position. The memorandum also informed agencies
that appointments of Schedule C and noncareer SES employees to the
competitive service at the GS- 15 level or below during the period from the
issuance of the memo through January 31, 2001, required an OPM
preappointment review. The memorandum listed specific information
items that agencies needed to provide OPM for its preappointment review.
These included a description of the procedures followed to identify
candidates, a copy of the vacancy announcement, and a description of the
relationship between the candidate?s current and former positions. The memo
also reminded agencies that OPM would continue its merit staffing reviews of
selections for SES career appointments before they are presented to
Qualification Review Boards for certification of their executive
qualifications.
According to agency records, OPM received and reviewed 60 proposed
conversions during the period from February 18, 2000, when it notified
agencies that review would be required, through January 31, 2001. Fortynine
of these conversions were to GS or equivalent positions in the career
competitive service and 11 were to career SES. OPM approved all of the
proposed conversions to SES positions and 40 of the 49 proposed
conversions to GS positions. It disapproved one of the proposed conversions
and agencies withdrew their requests for approval for four others. The
remaining four proposed conversions were pending OPM
approval at the time the new administration took office and instituted a
hiring freeze. OPM returned these proposed conversions with no action taken.
GAO has issued a number of reports on personnel practices, such as
conversions. 5 (See Related GAO Products at the end of this report.)
5 For example, in May 1994 we issued our report entitled Personnel
Practices: Presidential Transition Conversions and Appointments- Changes
Needed (GAO/ GGD- 94- 66, May 31, 1994).
Over a Hundred Twenty- one of the 45 executive branch agencies we surveyed
reported
Political Appointees converting 111 former political appointees and
congressional employees to career and other positions from October 1, 1998,
through April 30, 2001. and Congressional The other 24 agencies reported no
conversions during that period. One Employees Converted hundred of these
conversions were former political appointees, and 11 to Career and Other
were congressional employees. Those agencies accounting for most of the
conversions included the Departments of Justice with 24, Energy with 11,
Positions Labor with 8, and Commerce, Defense, and Treasury with 7 each.
Appendix I identifies the 45 agencies surveyed and the number of
conversions for each. Appendix II provides more detail on the
characteristics of the positions to which individuals were converted,
including the grades, salaries, titles of positions, and appointment dates.
The 111 conversions represented far less than 1 percent of the total number
of career appointments the agencies made during fiscal years 1999 and 2000.
Appropriate The 21 agencies that reported making conversions used
appropriate Authorities Used, but
appointment authorities to hire each of the 95 individuals we reviewed (at
the GS- 12 level and above) and generally followed procedural requirements
17 Conversions Gave called for by merit system principles, according to the
records we the Appearance of
reviewed. However, in 17, or about 18 percent, of the cases, circumstances
Political Favoritism
surrounding the appointments could, we believe, give the appearance that the
political appointees had received political favoritism or preferences that
enhanced their prospects for appointment. Such appearances can adversely
compromise the integrity of the merit system.
Agencies Used Appropriate The 21 agencies that reported providing career and
other appointments to
Authorities and Generally the 95 former political appointees and
congressional employees at the Adhered to Merit System GS- 12 level and
above used the appropriate appointment authority to hire Principles in Their
each of them and generally followed merit system principles in doing so.
Agencies can choose from a number of authorities in making career
Conversions appointments and must cite the legal authority under which they
are appointing an individual in the documentation they prepare to make an
appointment. OPM guidance and/ or federal law establishes the conditions
under which the authorities may be used, and the agencies used authorities
in accordance with that guidance or federal law. Using 10 different
authorities in the conversions we reviewed, agencies most often cited civil
service certificates from the competitive selection process. The criteria
for
this authority?s use are identified in the merit staffing plans of each
agency.
Appendix III identifies the specific authorities used and the number of
times each was used. For the conversions we reviewed, agency files indicated
that the agencies generally followed procedural requirements called for by
merit system principles, such as fair and open competition and fair and
equitable treatment of applicants. For example, agencies complied with the
competitive service examination process, which is intended to ensure that
merit system principles are followed. The process includes notifying the
public that the government will accept applications for a job, rating
applications against minimum qualification standards, and assessing
applicants? relative competencies or knowledge, skills, and abilities
against job- related criteria to identify the most qualified applicants. For
the most part, the selection of individuals for conversion appeared to be
done without preferential treatment or favoritism.
Circumstances Surrounding Seventeen of the 111 political appointees were
converted under
17 Appointments Gave the circumstances that appeared to provide them an
advantage or provide the
Appearance of Favoritism appearance of political favoritism. Nine of these
appointments were career or Preferential Treatment competitive ones. The
other eight were noncompetitive appointments to
the excepted service. Four of the nine career competitive appointments
involved Schedule C appointees and gave the appearance of a conversion in
place, i. e., an action that moves the duties and the incumbent of a
Schedule C position from the excepted to the competitive service by
unilaterally removing the position?s Schedule C elements- such as its
confidential or policy- determining characteristics. In each of the four
cases, the career position had almost identical roles and responsibilities
as the former political position; in two
of the cases, the only major difference was that the career position did not
have the Schedule C requirement for a close and confidential working
relationship with an appointed official. Also, in all four instances, the
career positions had the same supervisor and same organizational location as
the former political position.
These circumstances make it appear that the Schedule C employee was merely
converted from a political appointee position to an identical career
position. Under such circumstances, one would expect these applicants to
fare well in the qualifications review portion of the appointment process-
which
they did. A conversion in place with the sole purpose of converting the
position, along with the incumbent, into a career position would violate the
Civil Service Reform Act of 1978 prohibition against granting any
preference or advantage not authorized by law, rule, or regulation to
employees or applicants for the purpose of improving their prospects for
employment. 6 However, proving that the position descriptions were written
for the sole purpose of conversion can be difficult. The agencies that made
these conversions are the Departments of Defense, Energy,
Justice, and Veterans Affairs. In another of the nine career competitive
appointments, the Office of Management and Budget (OMB) date- stamped the
receipt of the appointee?s application a day after the deadline for
submitting the applications. The vacancy announcement not only gave the
deadline but also stated that any one missing that date was ineligible to be
considered
for the position. An OMB personnel officer said that the application may
have been received in the mailroom on the closing date but could produce no
evidence of that. This circumstance gives the appearance that the appointee
received favoritism or preferences that enhanced his prospect of
appointment.
The four remaining career competitive cases had various indications of
possible favoritism or unauthorized preferences. In one case, although the
political appointee?s name appears on the certificate of eligibles, it does
not appear on the list of applicants. A
Department of Labor official said this could have been due to a clerical
error, but could not provide any documentation on when the political
appointee?s application was received.
The Department of the Interior allowed a political appointee to provide
input to the position description of a career service position before the
vacancy announcement was issued. The political appointee applied and was
selected for the position. In another case, the selecting official at the
Department of Labor provided the political appointee a superior performance
rating that 6 5 U. S. C. 2302 (b)( 6)
included narrative similar to the high- rated evaluation factors 4 days
after the opening date of the vacancy announcement. Last, the Small
Business Administration (SBA) canceled a vacancy announcement under
conditions in which multiple qualified candidates were available but under
which it would have been difficult to justify selecting a former political
appointee who was also a candidate because a preference- eligible disabled
veteran was ahead of her on the eligibility list. SBA shortly thereafter
detailed the former political appointee to the
position in a developmental program that she had previously applied for and
had been selected for. Appendix IV provides the details of each of these
nine career appointments.
Finally, four agencies converted a total of eight political appointees to
noncompetitive appointments in close proximity to the presidential
inauguration date of January 20, 2001, after which such political appointees
could have been asked to resign from their positions by the new
administration. While the agencies had the authority to do so, the timing of
these appointments- as a change in administration is occurring- raises the
appearance of political favoritism. For example, the Department of Justice
converted four political appointees to assistant U. S. attorney positions-
three on January 14 and one on January 22, 2001. U. S. attorneys, who are
also political appointees, made these four appointments. The Department of
Treasury also converted two political appointees to noncompetitive positions
on January 14, 2001- one to a law enforcement appropriations officer
position and the other to a strategic trade advisor position. The Department
of the Interior and the Environmental Protection Agency each
noncompetitively converted one political appointee to an attorney advisor
position on January 14 and 18, 2001, respectively.
Noncompetitive appointment authorities are an important tool for agencies to
use as they try to recruit and retain the best employees. GAO has encouraged
agencies to use such tools and other flexibilities in managing their human
capital. As with any tool, however, agencies need to avoid situations and
appearances that could compromise the credibility and
integrity of the merit system. Appendix V provides further details of the
eight noncompetitive appointments. Conclusions The challenges and
responsibilities facing government today require that
federal agencies have the flexibility and independence needed to manage
their operations and achieve results. However, as we have noted in
previous reports, conversions of political appointees from noncareer to
career status presents a dilemma. The number of conversions reported is
small compared to the total number of career appointments made by agencies,
and it is reasonable for individuals who join the government as political
appointees to have the opportunity to continue a federal career in the
competitive or excepted service. However, the nature of their previous
political appointee positions can create concerns about whether the
individuals received favoritism or improper advantage in the selection
process, even the appearance of which could compromise the integrity of the
merit system.
OPM has established a process to help ensure that conversions occurring
during presidential election periods meet merit system principles. While
this process has in fact been successful in identifying and preventing
improper conversions, as we point out in this report, questionable
conversions can sometimes still occur.
We referred these 17 conversions to OPM for review and action as appropriate
because the circumstances surrounding each could give the appearance of
political favoritism or preference. These include those conversions that
were not subject to OPM?s preappointment review because they were exempted,
such as the non- competitive appointments to the excepted service, or
because the timing of the conversion preceded establishment of the
preappointment requirement.
Agency Comments We obtained comments on a draft of this report from the
director, Office of Personnel Management. The director said our draft report
accurately described OPM?s process for preappointment review of conversions
during the presidential election periods. The director also agreed that even
the appearance of favoritism needed to be avoided. The director noted that
the eight cases involving excepted service appointments discussed in the
report would not have come to OPM for review under the criteria spelled out
in OPM?s February 18, 2000, memorandum to agencies on the preappointment
process. In addition, the director responded that the merit staffing
elements of the two SES cases were considered by OPM as part of the standard
processing of cases for initial appointment to the SES. Regarding the seven
Schedule C cases, four occurred before OPM?s review
period began on February 18, 2000, and OPM reviewed the other three. The
director also stated that OPM did review three of the Schedule C cases
listed. Finally, the director stated that she has asked her staff to revisit
the
cases discussed in the report.
We also confirmed the data in appendixes II, IV, and V by sending to the
agencies that reported the data the relevant sections for their review.
OPM?s comments are reprinted in appendix VII. We did our work in Washington,
D. C., from April 1999 through November 2001 in accordance with U. S.
generally accepted government auditing standards. Appendix VI provides the
details of our scope and methodology.
As agreed with your offices, unless you announce the contents of this report
earlier, we plan no further distribution until 30 days after the date of
this report. At that time we will send copies to Representative Danny K.
Davis, Ranking Member, the Subcommittee on Civil Service and Agency
Organization, House Committee on Government Reform; Senator John F. Kerry,
Ranking Minority Member, Senate Committee on Small Business and
Entrepreneurship; Representative Dan Burton, Chairman, and Representative
Henry A. Waxman, Ranking Minority Member, House Committee on Government
Reform; Representative John Conyers, Jr., Ranking Minority Member, Senate
Committee on the Judiciary; and the Honorable Kay Coles James, Director,
Office of Personnel Management. In addition, copies will be sent to other
congressional committees, the heads
of the 45 agencies who reported information to us, and other interested
parties. We will also make copies available to others on request.
Major contributors to this report were Richard Caradine, Carolyn Samuels,
Domingo Nieves, Clifton Douglas, Jr., Steven Berke, and Casandra Joseph.
Please contact me on (202) 512- 6806 if you have any questions.
George H. Stalcup Director, Strategic Issues
Appendi xes Executive Branch Agencies and Departments
Appendi x I
and Their Conversions The criteria used to select the executive branch
agencies and departments were: (1) all cabinet- level departments and
agencies, (2) agencies that had oversight or other regular responsibilities
for federal workforce issues, and (3) departments and agencies of particular
interest to the congressional requesters of the review. The following lists
the 45 agencies and
departments selected and the number of conversions reported. 1. Department
of Agriculture - 6 2. Department of Commerce - 7 3. Department of Defense
(Office of the Secretary, Air Force, Army, and
Navy) - 7 4. Department of Education - 5 5. Department of Energy - 11 6.
Department of Health and Human Services - 5 7. Department of Housing and
Urban Development - 1 8. Department of the Interior - 5 9. Department of
Justice - 24 10. Department of Labor - 8 11. Department of State - 5 12.
Department of Transportation - 2 13. Department of the Treasury - 7 14.
Department of Veterans Affairs - 4 15. African Development Foundation - 0
16. Commission on Civil Rights - 0 17. Consumer Product Safety Commission -
0
18. Corporation for National Service - 0 19. Environmental Protection Agency
- 4 20. Equal Employment Opportunity Commission - 1 21. Export- Import Bank
of the United States - 0 22. Federal Aviation Administration - 0 23. Federal
Labor Relations Authority - 0 24. Federal Maritime Commission - 0 25.
Federal Mediation and Conciliation Service - 0 26. Federal Retirement and
Thrift Investment Board - 0 27. Federal Trade Commission - 0 28. Inter-
American Foundation - 0 29. Merit Systems Protection Board - 0 30. National
Endowment for the Arts - 0 31. National Endowment for the Humanities - 0 32.
National Labor Relations Board - 0 33. National Mediation Board - 0 34.
Occupational Safety and Health Review Commission - 0 35. Office of
Government Ethics - 0 36. Office of Management and Budget - 1 37. Office of
Personnel Management - 0 38. Office of Special Counsel - 1
39. Office of the United States Trade Representative - 1 40. Overseas
Private Investment Corporation - 0 41. Peace Corps - 0 42. Pension Benefit
Guaranty Corporation - 0 43. Small Business Administration - 3 44. United
States Institute of Peace - 0 45. United States International Trade
Commission - 3
Political Appointees Converted to Term, Career, and Other Positions by
Agency from
Appendi x II
October 1, 1998, through April 30, 2001 Date Type of appointed/
appointment, Career or other position title Career grade
entered on Former political position title, office, and
noncareer grade, and office and salary a duty agency
and salary a Department of Agriculture
Deputy Director Operations ES- 0301- 00/ 05
03/ 14/ 99 Deputy Administrator for Management Noncareer SES
Office of Operations $125,900 Farm Service Agency ES- 0301- 00/ 05
Department of Agriculture $125,900
Program Analyst GS- 0343- 13/ 03
06/ 04/ 00 Confidential Assistant to the Chief Schedule C
Natural Resources Conservation $64, 949 Natural Resources Conservation
Service
GS- 0301- 13/ 02 Service Department of Agriculture
$59,961 Outreach Division
Assistant Administrator for GS- 0301- 15/ 10 07/ 02/ 00 Confidential
Assistant to the
Schedule C Public Liaison b
$110,028 Administrator GS- 0301- 15/ 10
Cooperative State Research Agricultural Research Service $110,028
Education, and Extension Department of Agriculture
Service Director GS- 1035- 15/ 10
01/ 14. 01 Special Assistant to the Secretary & White Schedule C
Conservation Communications $114,224 House GS- 0301- 15/ 10
Staff Department of the Interior
$110,028 Natural Resources Conservation Service
Staff Assistant b
GS- 0301- 13/ 03 01/ 14/ 01 Confidential Assistant
Schedule C Risk Management Agency $67, 427 Risk Management Agency
GS- 0301- 12/ 06 Department of Agriculture
$62,013 Management Analyst b
GS- 0343- 13/ 10 04/ 22/ 01 State Executive Director
Schedule C Risk Management Agency $80, 279 Texas State Office
GS- 0301- 14/ 10 Department of Agriculture
$94,862
Department of Commerce
Government Liaison GS- 0301- 14/ 10
11/ 22/ 98 Congressional Affairs Officer Schedule C
Bureau of Census $85, 978 Bureau of Census GM- 0301- 15/ 00
Department of Commerce $90,767
Intergovernmental/ GS- 0301- 13/ 02
01/ 31/ 99 Legislative Affairs Specialist Schedule C
Partnership Specialist b
$59, 961 Office of the Secretary GS- 0301- 13/ 02
Office of the Secretary Department of Commerce
$59,961 Outreach Program Specialist b
ZA- 0301- 04/ 02 05/ 17/ 99 Senior Legislative Assistant
Legislative branch National Oceanic & Atmospheric $82, 000 U. S. Senate
employee Administration
$72,000 Supervisory International GS- 1140- 14/ 02
09/ 27/ 99 Special Assistant Schedule C
Trade Specialist $70, 855 Office of the Deputy Assistant Secretary
GS- 0301- 14/ 02 International Trade
for Technology and Aerospace Industries $66,707
Administration Department of Commerce
(Continued From Previous Page)
Program Analyst b ZA- 0343- III/ 01
10/ 10/ 99 Legislative Affairs Specialist Schedule C
Office of the Director, National $48, 000 Office of the Secretary GS- 0301-
11
Institute of Standards & Department of Commerce $40,714
Technology Regional Director
ES- 0301- 00/ 01 12/ 19/ 99 State Director Schedule C
Economic Development $111,671 Rural Development GM- 0301- 15/ 00
Administration Department of Agriculture
$92, 354 Denver Regional Office
Deputy Under Secretary for ES- 0301- 00/ 06
06/ 04/ 00 Chief Economist Noncareer SES
Economic Affairs $130,200 Economic & Statistics Administration
ES- 0110- 00/ 05 Economic & Statistics Department of Commerce
$120,886 Administration
Department of Defense
Program Analyst b GS- 0343- 14/ 01
05/ 09/ 99 Program Analyst Schedule C
Defense Security Cooperation $68, 570 Defense Security Cooperation Agency
GS- 0343- 13/ 04 Agency
Department of Defense $63,829
Family Support Liaison b GS- 0301- 15/ 10
11/ 21/ 99 Special Assistant for Family Schedule C Defense, Prisoner of
$104,851 Advocacy & External Relations
GS- 0301- 15/ 10 War/ Missing, Personnel Office
Defense, Prisoner of War/ Missing, Personnel $104,851
Office Department of Defense
Program Analyst b NH- 0343- III/ 00
01/ 16/ 00 Staff Specialist Schedule C
Deputy Under Secretary of $60, 830 Deputy Under Secretary of Defense
GS- 0301- 12/ 04 Defense
Department of Defense $56,324
Foreign Affairs Specialist b GS- 0130- 15/ 02
05/ 21/ 00 Defense Fellow Schedule C
Threat Reduction $87, 459 Washington Headquarters Services
GS- 0301- 15/ 02 Nonproliferation Policy
Department of Defense $87,459
Director of Defense ES- 1102- 00/ 06
06/ 04/ 00 Administrator, Office of Federal Presidential Procurement,
Acquisition & $133,477 Procurement Policy
appointee Technology
Office of Management and Budget EX- 0301- 03/ 00
Office of the Under Secretary of $133,477 Defense
Writer- Editor b GS- 1082- 11/ 07
01/ 14/ 01 Staff Assistant Schedule C
Executive Secretariat $53, 221 Office of the Secretary of Defense GS- 0301-
12/ 01
Department of Defense $53,156
Foreign Affairs Specialist b GS- 0130- 12/ 07
01/ 28/ 01 Special Assistant to the Schedule C
Assistant Secretary of Defense $63, 785 Assistant Secretary of Defense GS-
301- 13/ 01
Department of Defense $63,211
Department of Education
Management & Program GS- 0343- 14/ 04 05/ 23/ 99 Special Assistant
Schedule C Analyst b
$75, 427 Office of Intergovernmental, Interagency GS- 0301- 14/ 04 Office of
Intergovernmental,
Affairs $75,427
Interagency Affairs Department of Education
Management Analyst b GS- 0343- 13/ 01
05/ 21/ 00 Special Assistant Schedule C
Office of the Chief Information $60, 890 Office of Elementary & Secondary
GS- 0301- 13/ 01 Officer
Education $60,890
Department of Education
(Continued From Previous Page)
Education Program Analyst b GS- 1720- 14/ 01
06/ 04/ 00 Special Assistant Schedule C Office of Elementary &
$71, 954 Office of Elementary & Secondary GS- 0301- 14/ 01 Secondary
Education
Education $71,954
Department of Education Management Program Analyst b
GS- 0343- 14/ 10 12/ 17/ 00 Deputy Assistant Secretary
Schedule C Office of Special Education
$93, 537 Office of Legislation and Congressional GS- 0301- 15/ 01
and Rehabilitation Services Affairs
$93,101 Department of Education
Program Analyst b GS- 0343- 13/ 07 01/ 14/ 01 Special Assistant
Schedule C Office of Elementary &
$75, 857 Office of Post Secondary Education GS- 0301- 14/ 01
Secondary Education Department of Education
$74,697
Department of Energy
Foreign Affairs Specialist b GS- 0130- 12/ 02
11/ 22/ 98 Staff Assistant Schedule C
Office of Nonproliferation & $48, 635 Office of Intelligence
GS- 0301- 12/ 02 National Security
Department of Energy $48,635
Deputy Director b ES- 0340- 00/ 01
07/ 04/ 99 Professional Staff Member Legislative branch Office of
Counterintelligence $110,351 House Permanent Select Committee on employee
Intelligence $80,000
House of Representatives Director b
ES- 0301- 00/ 01 10/ 01/ 99 Senior Staff Advisor
Schedule C Office of Planning & Analysis $110,351 Office of Science
GS- 0301- 15/ 05 Department of Energy
$91,410 Budget Analyst
GS- 0560- 15/ 02 12/ 19/ 99 Staff Assistant
Schedule C Office of Chief Financial Officer $83, 346 Office of Chief
Financial Officer
GS- 0301- 15/ 02 Department of Energy
$83,346 Program Specialist b
GS- 0301- 13/ 09 02/ 13/ 00 Senior Program Analyst
Schedule C Office of Intelligence $77, 126 Office of Intelligence
GS- 0301- 14/ 03 Department of Energy $75,750
Associate Chief Financial ES- 0301- 00/ 02
6/ 18/ 00 Associate Chief Financial Officer Schedule C
Officer $121,264 Budget, Planning & Financial Management
GS- 0505- 15/ 10 National Nuclear Security Department of Energy
$110,028 Administration
Attorney Advisor b GS- 0905- 13/ 05
02/ 27/ 00 Special Assistant to the General Counsel Schedule C
Immediate Office of the General $69, 008 (Attorney- Advisor)
GS- 0905- 15/ 01 Counsel
Office of the General Counsel $84,638
Department of Energy Senior Advisor for Organizational ES- 0301- 00/ 06
01/ 19/ 01 Principal Deputy Assistant Secretary of Noncareer SES Systems
Development,
$133,700 Operations ES- 0301- 00/ 06
Strategic Planning, & National Nuclear Security Administration
$133,700 Implementation b
Department of Energy National Nuclear Security
Administration Contract Management GS- 0301- 12/ 05
01/ 14/ 01 Confidential Assistant Schedule C
Specialist b $60, 242 Assistant Secretary for Environmental GS- 0301- 12/ 05
Assistant Secretary for Management $60,242
Environmental Management Department of Energy
(Continued From Previous Page)
Director b ES- 0301- 00/ 05
03/ 21/ 01 Consultant Noncareer SES
Policy Planning, Assessment $133,700 National Nuclear Security
Administration
EF- 0301- 00/ 00 & Analysis Staff
Department of Defense $480.00 per diem
Director GS- 0301- 15/ 04
11/ 19/ 00 Special Assistant Schedule C Chicago Regional Office $95, 185
Assistant Secretary for Energy Efficiency GS- 0301- 15/ 04
& Renewable Energy $93,101
Department of Energy
Department of Health and Human Services
Supervisory Tribal Child GS- 0101- 15/ 10 05/ 21/ 00 Commissioner,
Administration for Native Presidential Support Program Specialist
$110,028 Americans, Administration for Children appointee Child Support
Enforcement
& Families EX- 0301- V/ 00
Department of Health and Human Services $114,500
Health Insurance Specialist GS- 107- 09/ 01
01/ 02/ 01 Legislative Correspondent Legislative branch
Office of the Administrator, $35, 310 U. S. Senate employee Office of
Legislation, $25,950 Congressional Affairs Group
Supervisory Program Analysis GS- 0343- 15/ 10 01/ 02/ 01 Executive Assistant
Schedule C Officer
$114,224 Office of the Assistant Secretary, Planning GM- 0301- 15/ 00
Administration for Children &
and Evaluation $80,834
Families Department of Health & Human Services
Public Affairs Specialist GS- 1035- 11/ 02
09/ 10/ 00 Confidential Assistant Schedule C Health Care Financing $44, 148
Executive Association Administrator
GS- 0301- 11/ 02 Administration
Department of Health & Human Services $44,148
Program Analyst GS- 0343- 14/ 08 3/ 11/ 01 Special Assistant DASL- HS
Schedule C National Institutes of Health $92, 128 Office of the Secretary
GS- 0301- 15/ 02 Department of Health & Human Services
$90.793
Department of Housing and Urban Development
Reform Issues Manager b GS- 0301- 15/ 08
02/ 28/ 99 Director Schedule C
Administration $99, 474 Executive Secretariat GS- 0301- 15/ 08
Department of Housing & Urban $99,474 Development
Department of the Interior
Director of Diversity and ES- 0340- 00/ 04
06/ 06/ 99 Deputy Assistant Secretary Noncareer SES
Human Resources b $125,900 Assistant Secretary Policy, Management &
ES- 0301- 00/ 04 Reclamation Service Center Budget
$125,900 Diversity & Human Resources Department of the Interior Office
Special Assistant to the Director GS- 0301- 15/ 10
04/ 09/ 00 Special Assistant Noncareer SES
Office of the Director $110,028 Special Assistant to the Commissioner
ES- 0301- 00/ 04 U. S. Fish and Wildlife Service
Bureau of Reclamation $130,200
Department of the Interior Executive Director
GS- 0301- 15/ 08 07/ 30/ 00 Special Assistant to the Director
Schedule C Invasive Species Council
$104,386 U. S. Fish & Wildlife GS- 0301- 15/ 08
Office of the Secretary Region 9, Office of the Director
$104,386 Department of the Interior
(Continued From Previous Page)
Attorney- Advisor (General) GS- 0905- 15/ 10
01/ 14/ 01 Associate Solicitor - Land and Water Noncareer SES
Southwest Region $111,581 Resources ES- 0905- 00/ 04
Division of Land and Water Resources $133,700
Department of the Interior Communications Officer
GS- 0301- 15/ 10 01/ 21/ 01 Director of Communications
Noncareer SES Office of Surface Mining $114,224 Office of the Secretary
ES- 0301- 00/ 06 Department of the Interior
$133,700
Department of Justice
Assistant U. S. Attorney AD- 0905- 21/ 00
10/ 25/ 98 Deputy Director Schedule C
U. S. Attorney?s Office $67, 234 Violence Against Women Office
GS- 0905- 15/ 02 Central District of California
Office of the Assistant Attorney General $80,391
Department of Justice Secretary
GS- 0318- 09/ 04 11/ 22/ 98 Secretary
Schedule C U. S. Attorney?s Office
$35, 088 Office of Automation GS- 0318- 09/ 04
District of South Dakota Department of Justice
$35,088 Immigration Judge
IJ- 0905- 00/ 04 12/ 06/ 98 U. S. Attorney Presidential Executive Office of
Immigration
$122,065 Northern District of California appointee
Review, Office of the Chief Executive Office of U. S. Attorneys
AD- 0905 -01/ 00 Immigration Judge
Department of Justice $118,300
Web Manager b GS- 0301- 14/ 08
07/ 18/ 99 Special Assistant to the Administrator Schedule C
Office of the Assistant Attorney $84, 570 Bureau of Justice Statistics,
Office of GS- 0301- 15/ 02
General Justice Programs
$83,346 Department of Justice
Assistant U. S. Attorney AD- 0905- 24/ 00
03/ 22/ 99 Legislative Assistant Legislative branch District of New Mexico
$59, 287 United States Senate employee
$46,500 Assistant U. S. Attorney
AD- 0905- 29/ 00 07/ 18/ 99 Deputy Assistant Attorney General
Noncareer SES U. S. Attorney?s Office
$109,113 Office of the Assistant Attorney General ES- 0905- 00/ 04
Eastern District of New York Department of Justice
$125,900 Executive Resources Program GS- 0301- 15/ 02
08/ 01/ 99 Special Assistant to the Secretary for Schedule C
Manager b $83, 346 Scheduling
GS- 0301- 15/ 02 Director, Executive Office for
Office of Management & Administration $83,346
U. S. Attorneys Department of Energy
Policy Analyst b GS- 0301- 14/ 01
11/ 07/ 99 Special Assistant to the Director Schedule C
Office of the Director $68, 570 Community Relations Service
GS- 0301- 14/ 01 Community Relations Service
Department of Justice $68,570
Senior Advisor to the Director b GS- 0905- 15/ 10
03/ 26/ 00 Professional Staff Member Legislative branch Executive Office for
Immigration $110,028 Committee on Appropriations
employee Review, Office of the Director
House of Representatives $124,000
Legal Secretary GS- 0986- 07/ 10
02/ 13/ 00 Secretary Schedule C
U. S. Attorney?s Office $36, 741 U. S. Attorney?s Office
GS- 0318- 10/ 05 Western District of Louisiana
Western District of $43,154 Louisiana Department of Justice
Paralegal Assistant GS- 0986- 08/ 10
02/ 13/ 00 Secretary to the U. S. Attorney Schedule C
U. S. Attorney?s Office $41, 092 U. S. Attorney?s Office, Eastern Division,
GS- 0318- 10/ 05 Eastern Division, Wisconsin
Wisconsin $43,578
Department of Justice
(Continued From Previous Page)
Assistant U. S. Attorney AD- 0905- 21/ 00
04/ 23/ 00 Assistant to the Attorney General Schedule C
U. S. Attorney?s Office $71, 996 Office of the Attorney General GS- 0905-
14/ 01
Northern District of California Department of Justice
$71,954 Assistant Director
GS- 0301- 15/ 01 06/ 18/ 00 Chief of Staff
Schedule C Communications Division
$84, 638 Office of Boards & Divisions GS- 0301- 15/ 01
Office of Community Oriented Office of Community Oriented Policing
$84,638 Policing Service
Service Department of Justice
Assistant United States Attorney AD- 0905- 29/ 00
08/ 13/ 00 Deputy Chief of Staff Noncareer SES
U. S. Attorneys Office $112,490 Office of the Attorney General
ES- 0905- 00/ 01 Southern District of Florida
Department of Justice $115,811
Public Affairs Specialist b GS- 1035- 11/ 07
12/ 17/ 00 Secretary Schedule C
U. S. Attorney?s Office $51, 269 U. S. Attorney?s Office
GS- 0318- 10/ 10 Maryland Department of Justice
$50,554 Assistant U. S. Attorney
AD- 0905- 29/ 00 01/ 14/ 01 Associate Deputy Attorney General
Noncareer SES U. S. Attorney?s Office
$116,017 Office of the Deputy Attorney General ES- 0905- 00/ 04
District of Columbia Department of Justice
$133,700 Assistant U. S. Attorney AD- 0905- 29/ 00
01/ 14/ 01 Associate Deputy Attorney General Noncareer SES
U. S. Attorney?s Office $116,017 Office of the Deputy Attorney General
ES- 0905- 00/ 04 District of Columbia
Department of Justice $133,700
Assistant U. S. Attorney AD- 0905- 21/ 00
01/ 14/ 01 Counsel to the Attorney General Schedule C
U. S. Attorney?s Office $77, 216 Office of the Attorney General
GS- 0905- 14/ 02 District of Columbia
Department of Justice $77,187
Assistant U. S. Attorney AD- 0905- 29/ 00
01/ 22/ 01 Deputy Assistant Attorney General Noncareer SES
U. S. Attorney?s Office $116,017 Criminal Division
ES- 0905- 00/ 04 Eastern District of Virginia
Department of Justice $133,700
Legal Secretary GS- 0986- 07/ 09
02/ 11/ 01 Secretary Schedule C
(Office Automation) $37, 077 U. S. Attorney?s Office GS- 0318- 09/ 02
Nevada Department of Justice
$37,001 Legal Secretary
GS- 0986- 07/ 10 03/ 25/ 01 Secretary
Schedule C (Office Automation)
$38, 053 U. S. Attorney?s Office GS- 0318- 10/ 05
New Hampshire Department of Justice
$44,693 Regional Director
GS- 0340- 15/ 10 11/ 19/ 00 U. S. Marshal
Presidential Community Relations Service $110,180 U. S. Marshals Service
appointee Department of Justice
GS- 0082- 15/ 10 $110,180
Budget Analyst GS- 0303- 07/ 02
01/ 21/ 01 Staff Assistant Schedule C
Justice Management Division $30, 965 Office of Attorney General GS- 0303-
07/ 02
Department of Justice $30,965
Criminal Investigator GS- 1811- 13/ 10
08/ 05/ 00 Deputy Director Noncareer SES
Judicial Security Division, Court $77, 507 U. S. Marshals Service
ES- 0340- 00/ 04 Security
Department of Justice $130,200
U. S. Marshals Service
Department of Labor
General Attorney GS- 0905- 12/ 01
10/ 24/ 99 Special Assistant to the Assistant Schedule C
Office of the Solicitor, Division of $48, 796 Secretary GS- 0301- 12/ 01
Civil Rights Pension & Welfare Benefits Administration
$48,796 Department of Labor
(Continued From Previous Page)
Management Analyst GS- 0343- 14/ 07
12/ 19/ 99 Special Assistant Schedule C
Office of Small Business $82, 284 Office of the Assistant Secretary for GS-
0301- 14/ 07
Programs Administration & Management
$82,284 Department of Labor
Lead Program Analyst GS- 0343- 14/ 04
12/ 05/ 99 Legislative Director Legislative branch Occupational Safety &
Health
$75, 427 House of Representatives employee Administration
$45,000 Program Analyst
GS- 0343- 11/ 01 3/ 12/ 00 Counsel
Legislative branch Occupational Safety & Health $42, 724 Committee on Budget
employee Administration
House of Representatives $72,100
Directorate of Federal/ State Operations, Office of Cooperative Programs
Manpower Analyst b GS- 0140- 15/ 10
04/ 09/ 00 Special Assistant to the President for Executive Office
Employment & Training $110,028 Economic Policy
of the President Administration, Office of the
Office of Policy Development, National AD- 0301- 00/ 00
Assistant Secretary Economic Council
$97,500 Executive Office of the President
Director, Administration & ES- 0341- 00/ 01
09/ 24/ 00 Legislative Assistant Legislative branch Management
$115,811 Appropriations Committee employee
Mine Safety & Health U. S. Senate $123,074
Administration Lead Apprenticeship &
GS- 0243- 14/ 10 07/ 30/ 00 Special Assistant to the Assistant Schedule C
Training Representative b $93, 537 Secretary
GS- 0301- 15/ 05 Employment & Training Occupational Safety and Health
$95, 923 Administration
Administration Department of Labor
Member, Benefits Review Board SL- 0905- 00/ 00
12/ 31/ 00 Assistant Secretary for Mine Safety and Presidential Office of
the Deputy Secretary
$121,264 Health Administration appointee
Office of the Secretary of Labor Office of the Assistant Secretary
EX- 0340- 04/ 00 Department of Labor
$122,400
Department of State
Program Analyst GS- 0343- 13/ 03
09/ 26/ 99 Special Assistant Schedule C
Bureau of Population, Refugees, $61, 895 Office of the Assistant Secretary
GS- 0301- 13/ 03
and Migration Department of State
$61,895 Office of Multilateral & External Relations
Secretary- Stenographer GS- 0343- 09/ 10
10/ 10/ 99 Staff Assistant Schedule C
Bureau of Arms Control $43, 743 Bureau of Arms Control GS- 0303- 10/ 07
Department of State $44,467
Program Analyst GS- 0343- 11/ 10
02/ 13/ 00 Foreign Affairs Officer (Staff Assistant) Schedule C
Office of Europe/ Bureau of $55, 541 Office of Assistant Secretary
GS- 0130- 12/ 03 International Narcotics and
Department of State $54,618
Matters/ Multilateral Programs Foreign Affairs Officer b
GS- 0130- 14/ 08 01/ 14/ 01 Special Advisor
Schedule C Bureau for International
$92, 128 Office of Assistant Secretary GS- 0130- 15/ 02
Narcotics & Law Enforcement Bureau for International Narcotics & Law $90,793
Affairs Enforcement Affairs
Department of State
(Continued From Previous Page)
Foreign Affairs Officer b GS- 0130- 14/ 10
01/ 14/ 01 Special Assistant Schedule C
Bureau for International $97, 108 Office of Assistant Secretary
GS- 0130- 15/ 05 Narcotics & Law Enforcement
Bureau for International Narcotics & Law $99,580 Affairs
Enforcement Affairs Department of State
Department of Transportation
Executive & Legislative GS- 0301- 12/ 07
04/ 11/ 99 Confidential Assistant to the Chairman Schedule C
Assistant b $58, 556 Office of the Chairman, Surface GS- 0301- 12/ 07
Office of the Chairman, Surface Transportation Board $58,556
Transportation Board Department of the Treasury
Director of Human Resource ES- 0340- 00/ 04
08/ 13/ 00 Deputy Assistant Secretary for Human Noncareer SES Management
$133,259 Resources ES- 0301- 00/ 04
Office of the Assistant Secretary Department of the Interior
$130,200 for Administration
Department of the Treasury
Secretary (Typing) OC- 0318- 08/ 00
09/ 26/ 99 Secretary (Typing) Executive Office Bank Supervision (Policy),
Core $33, 074 Office of National Drug Control Policy
of the President Policy, Capital Policy Division
Executive Office of the President GS- 0318- 08/ 05
$34,525 Assistant Director (Artesia ES- 0301- 00/ 03
03/ 19/ 00 Assistant to the Attorney General Noncareer SES
Operations) b $124,185 Immediate Office of Attorney General
ES- 0340- 00/ 05 Federal Law Enforcement
Department of Justice $130,200
Training Center Domestic Counter- Money GS- 0301- 15/ 10
01/ 14/ 01 Senior Policy Advisor Schedule C
Laundering Advisor to the $114,224 Departmental Offices
GS- 0301- 15/ 10 Assistant Secretary b
Under Secretary (Enforcement) $104,851
Under Secretary (Enforcement) Department of the Treasury
Deputy Assistant Secretary ES- 0301- 00/ 04 03/ 25/ 01 Senior Advisor for
Policy
Noncareer SES (Regulatory Affairs)
$133,700 Departmental Offices, Assistant Secretary ES- 0301- 00/ 04
Departmental Offices, Assistant (Tax Policy)
$133,700 Secretary (Tax Policy)
Department of the Treasury Law Enforcement Appropriations GS- 0301- 15/ 10
01/ 14/ 01 Assistant Commissioner Noncareer SES
Officer b $114,224 Congressional Affairs
ES- 0301- 00/ 01 Congressional Affairs
Department of the Treasury $120,261
U. S. Customs Service Strategic Trade Advisor b
GS- 1801- 15/ 10 01/ 14/ 01 Ombudsman
Noncareer SES Strategic Trade $114,224 Office of the Commissioner
ES- 0340- 00/ 01 U. S. Customs Service
$120,261 Department of the Treasury
Director ES- 0340- 00/ 06
03/ 21/ 01 Senior Policy Advisor Noncareer SES
Research, Analysis, and $133,700 Energy Information Administration ES- 0301-
00/ 06
Statistics of Income Department of Energy
$133,700 Internal Revenue Service
Department of Veterans Affairs
Staff Director b GS- 0301- 15/ 07
05/ 07/ 00 Special Assistant Schedule C
Office of the Deputy Under $101,565 VA Central Office, Office of the
Secretary GS- 0301- 15/ 07
Secretary for Memorial Affairs Department of Veterans Affairs
$101,565
(Continued From Previous Page)
Chief Information Officer ES- 0301- 00/ 05
07/ 30/ 00 Senior Advisor for Reserve Components Noncareer SES Veterans
Health Administration,
$130,200 Office of the Secretary of Defense ES- 0301- 00/ 05 Office of Chief
Information
$133,477 Officer VA Central Office
Chief Communications Officer ES- 030- 00/ 04
11/ 05/ 00 Deputy Assistant Secretary for Public Noncareer SES Veterans
Health Administration
$130,200 Affairs ES- 1035- 00/ 03
Office of the Chief VA Central Office
$126, 825 Communications Officer
Department of Veterans Affairs VA Central Office
Program Specialist b GS- 0301- 09/ 10
04/ 22/ 01 Confidential Assistant Schedule C
VA Central Office $47, 648 VA Central Office
GS- 0301- 11/ 06 Assistant Secretary for Public and
Office of the Secretary $51,743
Intergovernmental Affairs Department of Veterans Affairs
Environmental Protection Agency
Director ES- 0905- 00/ 05
11/ 22/ 98 Associate Solicitor Noncareer SES Office of Environmental Justice
$125,900 Division of Conservation & Wildlife ES- 0905- 00/ 05
Office of Enforcement & Department of the Interior
$125,900 Compliance Assurance
Supervisory Environmental GS- 0028- 15/ 00
06/ 18/ 00 Deputy Assistant Administrator Noncareer SES
Protection Specialist $126,825 Office of Solid Waste & Emergency ES- 0340-
00/ 03
Office of Solid Waste & Response, Office of the Assistant $126,825
Emergency Response Administrator
Environmental Protection Agency Attorney Advisor
GS- 0905- 15/ 02 06/ 18/ 00 Congressional Liaison Specialist
Schedule C Administrator for Prevention,
$87, 459 Associate Administrator for Congressional GS- 0301- 15/ 02
Pesticides & Toxic
& Intergovernmental Relations, Office $87,459
Substances, Office of the of Congressional Affairs
Assistant Administrator Environmental Protection Agency
Attorney- Advisor b GS- 0905- 14/ 10
01/ 18/ 01 Environmental Policy Analyst Schedule C
Environmental Accountability $95, 725 Office of the Regional Administrator,
GS- 0301- 15/ 06
Division Immediate Office
$97,485 Environmental Protection Agency
Equal Employment Opportunity Commission
Writer Editor b GS- 1082- 13/ 02
03/ 26/ 00 Media Contact Specialist Schedule C
Office of Communications & $62, 920 Office of the Chairwoman, Office of GS-
0301- 13/ 02
Legislative Affairs Communications & Legislative Affairs
$62,920 Equal Employment Opportunity
Commission
International Trade Commission
International Trade Analyst GS- 1101- 09/ 10
02/ 17/ 99 Legislative Assistant Legislative branch
Office of Investigations, $43, 747 House of Representatives employee
Division C $28,000
General Attorney GS- 0905- 14/ 06
05/ 01/ 99 Legislative Assistant Legislative branch Office of Unfair Import
$79, 999 U. S. Senate employee Investigations
$81,760
(Continued From Previous Page)
Supervisory International GS- 0110- 15/ 07 03/ 11/ 01 Senior Economist
Schedule C Economist
$105,437 Office of Commissioner GS- 0301- 15/ 07
Office of Operations, Office of International Trade Commission
$105,437 Economics
Office of Management and Budget
Chief ES- 0301- 00/ 04
02/ 15/ 00 Majority Clerk and Staff Director Legislative branch
State/ USIA Branch $133, 259 Subcommittee on the Departments of employee
Commerce, Justice, & State
$133,615 Committee on the Judiciary & Related
Agencies House of Representatives
Office of Special Counsel
Deputy Associate Special ES- 0905- 00/ 01
11/ 05/ 00 Attorney Advisor Schedule C
Counsel for Prosecution $115,811 Office of the Special Counsel GS- 0905- 15/
07
Prosecution Division $101,565
Office of U. S. Trade Representative
Policy Analyst (Trade) GS- 0301- 15/ 05
07/ 23/ 00 Director for Policy Planning for Japan Executive Office Executive
Office of the President $95, 923 Executive Office of the President of the
President
AD- 0301- 00/ 00 $95,923
Small Business Administration
Associate Administrator for ES- 0340- 00/ 03 07/ 16/ 00 Director, Small/
Disadvantaged Business Noncareer SES
Government Contracting $126,825 Utilization
ES- 0301- 00/ 02 Office of Government Department of Transportation
$121,264 Contracting
District Director Candidate GS- 0340- 15/ 03
10/ 08/ 00 Regional Administrator Schedule C
Region VIII - Denver, Colorado $91, 514 Region VIII - Denver, Colorado GS-
0340- 15/ 03
Small Business Administration $91,514
Senior Executive Service GS- 0340- 15/ 10 01/ 14/ 01 Counselor to the
Administrator
Noncareer SES Candidate
$114,224 Office of the Administrator ES- 0340- 00/ 02
Associate Deputy Administrator Small Business Administration
$125,883 of Management & Administration
a Salary includes locality pay. b Newly established position.
Legend: AD: Administratively determined rates not elsewhere specified ES:
Senior Executive Service EX: Executive pay FB: Officers (similar to the
SES). Only the FAA uses this code. GM: Employees covered by the Performance
Management and Recognition System GS: General Schedule IJ: Immigration Judge
Schedule. The code is for use by the Department of Justice only.
NH: Business Management and Technical Management Professional. DOD
Acquisition Workforce Demonstration Project. The code is for use by the
departments of Defense, Air Force, Army, and Navy only.
OC: Office of the Comptroller of the Currency. The code is for the use by
the Office of the Comptroller of Currency only.
ZA: Administrative. The code is for use by the Department of Commerce only.
Appointment Authorities Used in the
Appendi x II I Appointments We Reviewed Number of appointments
reviewed in which the authority was Appointment authority Criteria for
authority's use applicable to the appointments reviewed
cited
Civil service certificates Merit staffing plans of each agency. 48
from competitive selection process SES recruitment and career
OPM shall, in consultation with the various qualification review boards,
prescribe 15
appointments criteria for establishing executive qualifications for
appointment of career (5 U. S. C. 3393)
appointees. The criteria shall provide for (1) consideration of demonstrated
executive experience, (2) consideration of successful participation in a
career executive development program that is approved by OPM, and (3)
sufficient flexibility to allow for the appointment of individuals who have
special or unique qualities that indicate a likelihood of executive success
and who would not otherwise be eligible for appointment. Each career
appointee shall meet the executive qualifications of the position to which
appointed, as determined in writing by the appointing authority.
Schedule A Noncompetitive hiring authority for positions other than those of
a confidential or 13
(5 C. F. R. 213.3101) policy- determining character for which it is
impractical to examine. (28 U. S. C. 542) Appointment of assistant US
attorneys, subject to removal by the attorney 8 general. Noncareer and
limited Each noncareer appointee, limited term appointee, and limited
emergency 4 appointments
appointee shall meet the qualifications for the position to which appointed,
as (5 U. S. C. 3394( a)) determined in writing by the appointment authority.
Reinstatement An agency may appoint by reinstatement to a competitive
service position a 3
(5 C. F. R. 315.401) person who previously was employed under a career or
career- conditional appointment (or equivalent). There is no time limit to
the reinstatement eligibility of a preference- eligible or a person who
completed the service requirement for career tenure. An agency may reinstate
a nonpreference- eligible who has not completed the service requirement for
career tenure only within 3 years following the date of separation. This
time limit begins to run from the date of separation from the last position
in which the person served under a career appointment, career- conditional
appointment, indefinite appointment in lieu of reinstatement, or an
appointment under which the person acquired competitive status. The 3- year
limit can be extended for certain intervening service. Schedule B
Executive development positions established in connection with Senior
Executive 1 (5 C. F. R. 213.3202 (j)) Service candidate development
programs, which have been approved by OPM. A federal agency may make new
appointments under this authority for any period of employment not exceeding
3 years for one individual.
Selection of term employees An agency may give a noncompetitive term
appointment to an individual who is 1
(5 U. S. C. 316.302( b)( 4)) qualified for the position and who is eligible
for appointment under 5 U. S. C. 3112 (veterans with compensable service-
connected disability of 30% or more).
SES reinstatement A former career appointee may be reinstated without regard
to 5 U. S. C. 3393( b)
1 (5 U. S. C. 3593 (a)) and (c) of this title, to any Senior Executive
Service position for which the
appointee is qualified under certain conditions.
(Continued From Previous Page)
SES reinstatement A career appointee who is appointed by the president to
any civil service position 1
(5 U. S. C. 3593( b)) outside SES and who leaves the position for reasons
other than misconduct, neglect of duty, or malfeasance shall be entitled to
be placed in the SES if the appointee applies to OPM within 90 days after
separation from the presidential appointment.
Source: SF- 50Bs prepared by appointing agencies and applicable laws and
regulations.
Details of Nine Conversions to Career Positions with the Appearance of
Preferential
Appendi x I V
Treatment Case 1: Conversion in Place Agency: Department of Defense (DOD)
Positions: From Schedule C, GS- 15, Special Assistant for Family Advocacy
and
External Relations, POW/ Missing Personnel Office To GS- 15, Family Support
Liaison, Defense POW/ Missing Personnel Office Details: The incumbent
occupied a Schedule C position as Special Assistant for
Family Advocacy and External Relations, POW/ Missing Personnel Office, at
the GS- 15 level, before the November 1999 career appointment as Family
Support Liaison, Defense POW/ Missing Personnel Office, at the GS- 15 level.
The incumbent had been appointed to the Schedule C position in January 1994.
The Schedule C position?s responsibilities included policy matters and
issues involving advocacy and liaison with POW/ MIA 7 next of kin and
families, veterans organizations, and the Congress. The position required a
close and confidential working relationship with the Deputy Assistant
Secretary of Defense, to whom the incumbent reported.
The Schedule C position?s duties included (1) formulating, developing, and
implementing DOD POW/ MIA family support and advocacy policies, (2) serving
as senior advisor on all aspects of DOD family assistance and advocacy
issues and external relations related to policy and programs, (3) serving as
the focal point for family liaison and public awareness, including
responding to POW/ MIA next of kin and family requests for information and
assistance, and (4) preparing related testimony, attending
closed intelligence hearings, and commenting on POW/ MIA legislation. The
career position reports to the Chief of Staff to the Deputy Assistant
Secretary of Defense for the POW/ Missing Personnel Office. The duties of
this position include (1) formulating, developing, and implementing DOD
POW/ MIA family support and advocacy issues, (2) serving as senior advisor
on all family support matters, (3) ensuring and maintaining direct and
frequent contact with POW/ MIA families, including responding to family
requests for information and assistance, and (4) preparing related
testimony, attending closed intelligence hearings, and commenting on POW/
MIA legislation.
7 POW/ MIA is the acronym for prisoner of war/ missing in action.
Our comparison of the Schedule C and career positions revealed that (1) both
positions were located in the DOD POW/ MIA Personnel Office, (2) the
positions had similar duties, and (3) the Schedule C position included a
requirement for a close and confidential relationship with the Deputy
Assistant Secretary of Defense, but the career position did not. Our review
of the resume that the incumbent submitted for the career position showed
that the employee had apparently been doing the career position?s duties
while serving in the Schedule C position since initially
appointed in January 1994. For example, the vacancy announcement for the
career position included the explicit duty of directing and managing the
activities of four military officers and one senior enlisted person. This
duty was not part of the position description for the Schedule C position.
However, the resume of the incumbent included the performance of this
function under current experience.
The competitive service position was created as a new permanent position in
August 1999 and advertised for 2 weeks in mid- September 1999. Thirty
persons applied for the position and three were found qualified. The
incumbent was ranked as the highest qualified candidate, was selected for
the position, and entered on duty in November 1999.
Conclusion: In our view, this conversion gives the appearance of a
conversion in place- an action that moves a Schedule C position?s duties and
the incumbent from the excepted to the competitive service by unilaterally
removing the position?s Schedule C elements. The incumbent had been
performing the same functions of the newly created career position for about
6 years as a Schedule C appointee. The organizational location of the
positions was the same and their duties were almost identical. The only
major difference between the two positions was the deletion of the Schedule
C element requiring a close and confidential relationship from the
competitive service position. A conversion in place with the sole purpose of
converting the position, along with the incumbent, into a career position
would violate the Civil Service Reform Act of 1978 prohibition against
granting unauthorized advantages, including defining the requirements for
any position for the purpose of improving or injuring the prospects of any
particular person for employment. 8 8 5 U. S. C. 2302( b)( 6)
This conversion was not subject to OPM?s preappointment review because it
occurred before OPM?s February 18, 2000, memorandum to agencies establishing
the pre- appointment review requirement. Case 2: Conversion in Place Agency:
Department of Energy Positions: From Schedule C, GS- 14, Senior Program
Analyst in the Office of
Intelligence To GS- 13, Program Specialist in the Special Programs Staff of
the Office of Intelligence
Details: The incumbent served as a Schedule C employee in the Office of the
Secretary of Energy from March 1994 through September 1998, as executive
assistant first to the chief of staff and the deputy chief of staff, and
then to the secretary. In October 1998, the incumbent was reassigned
to another Schedule C position as a GS- 14 senior program analyst in the
Office of Intelligence. In this position, the incumbent managed the
Department of Energy?s Overseas Radiation Detection Border Installation
(ORDBI) Program. This program was designed to detect and interdict nuclear
material smuggled across international borders into the former Soviet Union
and Eastern European countries. In this position, the incumbent, among other
responsibilities, (1) developed, in conjunction with the State Department,
guidance, priorities, and funding requirements for site survey,
installation, and training, maintenance and coordination,
and logistical operations, (2) assisted with negotiation, establishment,
coordination, and implementation of interagency agreements for collaborative
technology efforts, (3) formulated position requirements, funding
parameters, and selection of qualified personnel for international travel,
(4) conducted special projects, studies and analysis, including preparation
of decision papers, briefing materials and correspondence, and (5)
maintained awareness of applicable R& D efforts throughout DOE and other
federal agencies in order to stay abreast of developments in sensor
technology.
In October of 1999, the Department created and advertised a permanent
competitive position for a GS- 13 program specialist in the Special Programs
Staff of the Office of Intelligence. The duties of the position as listed in
the job announcement were identical to the duties in the incumbent?s
Schedule
C position description. In addition, (1) the announcement required that
applicants have 1 year of specialized experience directly related to
providing expert advice on the selection and deployment of radiation
detection sensors, (2) a selective placement factor was knowledge of the
characteristics, capabilities, and requirements of radiation detection
sensing systems used to monitor or track the movement of radioactive
materials, and (3) the first item in the knowledge, skills, and abilities
was knowledge of U. S. government goals, programs, and activities related to
interdiction of radioactive materials. Three persons applied for the
position. Only one applicant- the incumbent- was found qualified and was
selected February 4, 2000. The selecting official, the director of special
programs in the Office of Intelligence, was the incumbent?s supervisor in
both the most recent
Schedule C position and in the career position. Conclusion: In our view,
this conversion gives the appearance of a conversion in place and that the
competitive position may have been created for the
incumbent. The Schedule C employee had been performing the duties of the
career position for almost a year prior to the creation of the position, and
the responsibilities and duties were almost identical for both positions. In
addition, the specialized experience requirements, as well as the selective
placement factor and one of the knowledge, skills, and abilities appeared to
be tailored to the experience of the incumbent- so much so that only the
incumbent qualified under them. Also, the same official
supervised the incumbent, selected the incumbent for the career position,
and continued to supervise the incumbent following the conversion. And, the
organizational location of both positions was the same. A conversion in
place with the sole purpose of converting the position, along with the
incumbent into a career position would violate the Civil Service Reform Act
of 1978 prohibition against granting unauthorized advantages, including
defining the requirements for any position for the purpose of improving or
injuring the prospects of any particular person for employment. 9 This
conversion was not subject to OPM?s preappointment review because it
occurred before OPM?s February 18, 2000, memorandum to agencies establishing
the pre- appointment review requirement.
9 5 U. S. C. 2302( b)( 6)
Case 3: Conversion in Place Agency: Department of Justice Positions: From
Schedule C, GS- 14, Special Assistant to the Director Community Relations
Service
To GS- 14, Policy Analyst Community Relations Service
Details: Prior to appointment as a GS- 14 policy analyst in November 1999,
the incumbent occupied a Schedule C position as special assistant to the
director, GS- 14, beginning in February 1999. Prior to that appointment, the
incumbent had served as a legislative assistant to a U. S. Senator from
December 1996 to February 1999. Both the Schedule C position and the
career position had the following duties and responsibilities: (1) assist
the director in monitoring and evaluating the policies and programs of the
Community Relations Service (CRS), (2) assist the director in coordination,
development, and management of CRS programs and functions affecting the
entire agency, (3) participate with the director in the formulation of CRS
program initiatives and policies, (4) track status of matters of interest
to the director, and keep the director apprised of the status of issues
affecting CRS, (5) draft correspondence, speeches, and other material for
the director, and (6) review news items, industry journals, and other
sources for trends which may have an impact on policy- making.
These duties were set forth in identical wording in the position
descriptions of the Schedule C and career positions. Other listed duties
were not identical but were similar in wording. The only major difference
between
the career position and the Schedule C position was that the competitive
position did not include a requirement for a close and confidential working
relationship with the director of CRS, as did the Schedule C position. The
director, who was the selecting official for the career position, was also
the
incumbent?s direct supervisor in both the Schedule C position and the career
position.
According to a CRS official, the career position was not a new position in
CRS; however, it had not been filled since a 1996 downsizing. The official
did not say why it was decided to fill the position after this lengthy
interval, and we could not find any documentation for this decision.
The career position was announced in August 1999, with the announcement
being open August 20 through September 3 and applications from all sources
being accepted. CRS received 39 applications for the position. Thirty- three
candidates were found to be qualified for the position and were rated. The
incumbent and three other candidates were determined to be best qualified
and were interviewed by a panel of CRS
employees. The incumbent was selected for the position on October 28.
Conclusion: In our view, this conversion gives the appearance of a
conversion in place.
In this case, the career position?s duties were largely identical to the
Schedule C position?s duties. The only major difference is that the career
position did not include a requirement for a close and confidential working
relationship with the director of CRS, as did the Schedule C position. The
director, who made the selection of the Schedule C employee, was the
employee?s direct supervisor in both positions. A conversion in place
violates the Civil Service Reform Act of 1978 prohibition against granting
unauthorized advantages, including defining the requirements for any
position for the purpose of improving or injuring the prospects of any
particular person for employment. 10 This conversion was not subject to
OPM?s preappointment review because it occurred before OPM?s February 18,
2000, memorandum to agencies establishing the preappointment review
requirement.
Case 4: Conversion in Place Agency: Department of Veterans Affairs
Positions: From Schedule C, GS- 15, Special Assistant, Office of the
Secretary
To GS- 15, Staff Director, Office of the Deputy Under Secretary for Memorial
Affairs Details: Prior to the incumbent?s appointment as a GS- 15 in May
2000, the employee
occupied a position as special assistant in the Office of the Secretary.
Beginning in October 1995, the incumbent held a competitive temporary
appointment in which his duties mostly concerned liaison to veterans? 10 5
U. S. C. 2302( b)( 6)
organizations. The incumbent initially received a Schedule C appointment in
March 1996, serving in the Office of the Secretary of Veterans? Affairs as
liaison to national veterans? organizations. In August 1997, the incumbent
also assumed responsibility for overseeing the department?s participation in
the Korean War 50 th Anniversary Commemoration. In addition, the incumbent
had served in the Marine Corps from 1958 to 1982 and had a 30 percent
disabled veteran status.
In April 2000, the Department of Veterans? Affairs sought preappointment
review approval from OPM to appoint the incumbent to a GS- 15 career
position as a noncompetitive term appointment (permissible under 5 CFR
315.707 because of the incumbent?s disabled veteran status). OPM initially
refused approval because the duties of the competitive position were
basically the same as those of the Schedule C position, and the two
positions would have the same supervisor. However, OPM gave the department 2
days to submit a revised request. The department did so, providing a new
justification that placed the position under the under secretary for
memorial affairs and stated that the primary duties of the position would
relate to the ongoing Korean War commemoration. But, the
incumbent would continue to have veterans? organization liaison duties for
which the incumbent would report to the deputy secretary. Because of these
changes and the incumbent?s disabled veteran status, OPM gave its approval
for the conversion, though still expressing reservations. OPM noted that (1)
there were similarities between the employee?s present duties and the duties
of the permanent position, (2) the
employee would continue some veterans? liaison duties under the current
supervisor, (3) the employee?s Schedule C position would be abolished if the
employee was converted, and (4) there was no active recruitment for
the position. OPM stated that normally these factors would warrant
disapproval; however, in this instance its concerns were offset by the
changes the department had made in the position and by the employee?s status
as a disabled veteran. Because this was a noncompetitive appointment, there
was no merit selection process. The incumbent was
converted to the position in May 2000.
Conclusion: In our view, this conversion gives the appearance of a
conversion in place. Even after revising the justification, OPM noted during
its preappointment review the similarities between the two positions and
that the incumbent would continue some veterans? liaison duties under the
current supervisor. A conversion in place with the sole purpose of
converting the position along with the incumbent into a career position
would violate the Civil Service Reform Act of 1978 prohibition against
granting unauthorized
advantages, including defining the requirements for any position for the
purpose of improving or injuring the prospects of any particular person for
employment. 11 Case 5: Application Received after Closing Date
Agency: Office of Management and Budget (OMB) Positions: From Majority Clerk
and Staff Director, Commerce/ Justice/ State Subcommittee, House Committee
on Appropriations
To ES- 0301- 04, Chief, State/ USIA Branch, International Affairs Division
Details: The incumbent worked for the House Committee on Appropriations as
the
majority clerk on the Commerce/ Justice/ State Subcommittee. The incumbent
applied for an ES- 0301- 04 career position as Chief, State/ USIA Branch,
within its International Affairs Division. The opening date for this
position was April 14 and the closing date was May 5, 1999. The vacancy
announcement notified all applicants that applications received after the
closing date would not be considered. The incumbent?s resume was date
stamped as received by OMB on May 6, 1999- the day after the vacancy
announcement closing date- and was included in the selection process.
The incumbent was selected on December 23, 1999. According to an OMB
official, the application may have been received in the mailroom on the
closing date. However, the OMB official could not provide evidence that this
occurred.
Conclusion: Based on available documentation, it appears that the
incumbent?s application was received the day after the vacancy announcement
closing date. To be eligible for a position, an applicant not only needs the
11 5 U. S. C. 2302( b)( 6)
appropriate experience and skills, but also must meet administrative
requirements, such as meeting the deadline for submitting the application.
Waiving that requirement for some applicants can give an unfair advantage to
them- such applicants have more time to prepare their application and are
not held to the same standard as others- giving the appearance in this case
that the incumbent received favoritism or preferences that enhanced the
incumbent?s prospects for appointment.
This appointment was not subject to OPM?s preappointment review because it
occurred prior to OPM?s February 18, 2000, memorandum. Also, it involved a
congressional employee, rather than a Schedule C or noncareer SES employee,
and was therefore not within OPM?s preappointment review requirements
coverage.
Case 6: Incumbent Not on List of Applicants Agency: U. S. Department of
Labor Positions: From Legislative Assistant, Senate Appropriations Committee
To ES- 0341- 01, Director of Administration and Management, Mine Safety and
Health Administration
Details: The Department of Labor issued a vacancy announcement for a
director of administration and management in its Mine Safety and Health
Administration, Directorate of Administration and Management. The
opening date was January 24, 2000, and the closing date was February 23,
2000. The incumbent, who had previously held a legislative assistant
position to the chairman of Appropriations Committee, U. S. Senate, was
selected on May 26, 2000. Documents indicated that while the incumbent?s
name appears on the certificate of eligibles, it does not appear on the list
of applicants. Further, the date stamp on the incumbent?s cover letter-
which
could show whether the application was received in time for the incumbent to
be put on the applicant list- is illegible. The fact that the individual was
not on the original list of applicants could indicate that the application
was received after the closing date of the vacancy announcement. A Labor
Department official said that the absence of the individual?s name
on the list of applicants could have been due to clerical error. Also, the
official said that while the complete date stamp is illegible, the number
?17? is legible, and the cover letter was dated February 16, 2000. The
official
said that one could conclude that the application was most likely received
prior to the closing date of the vacancy announcement. However, the official
said there is no way to document when the application was received.
Conclusion: The fact that the incumbent was not on the list of applicants
and the date stamp was illegible raises questions as to whether the agency
followed the same procedures for this applicant as for other applicants, i.
e., whether the agency required him to submit an application by the closing
date on the vacancy announcement. We recognize the possibility of the Labor
Department?s explanation. However, without documentary evidence either
that the incumbent?s application was received on time or as to why the
incumbent?s name was not included on the list of applicants, we believe that
this case can give the appearance that the incumbent may have received
favoritism or preferences over other applicants that enhanced the
incumbent?s prospects for appointment. Because the incumbent was not a
former Schedule C or noncareer SES employee, this appointment was not
subject to an OPM preappointment review.
Case 7: Incumbent Provided Input to the Position Description for the
Position for Which He Later Applied Agency: U. S. Department of the Interior
Positions: From SES, Special Assistant to the Commissioner of the Bureau of
Reclamation To GS- 15, Special Assistant to the Director, Fish and
WildlifeService (FWS) Details: Beginning in December 1993, prior to
appointment to a GS- 15 position as Special Assistant to the FWS Director in
April 2000, the incumbent
occupied a noncareer SES position as Special Assistant to the Commissioner
of the Bureau of Reclamation. Before this, the incumbent had been on the
White House Environmental Policy Staff for several months in 1993, coming
there from the National Oceanic and Atmospheric Administration (NOAA), where
the incumbent had been in career positions since 1981.
The career position was announced in December 1999, with the announcement
open from December 14 through December 29. Prior to the announcement, the
incumbent was given the opportunity to review and suggest changes to the
position description. This is indicated in a memorandum that was faxed from
the incumbent to an FWS personnel specialist on November 30 that stated,
?Here are some proposed edits to the PD [position description] you sent. I
also sent the inserts to you via email.
Let me know if you have any questions.? The merit- staffing file did not
contain the specific changes suggested by the employee and we could not
determine whether changes were made to the position description. Although
the position description in final form does not have any wording identical
to the position description for the incumbent?s previous position,
the duties and responsibilities for the two positions are similar, both
dealing with providing advice and supervising projects related to water
resource management. The significant difference is that the previous
position was responsible for departmental liaison to NOAA; the current
position has general liaison duties to other departments and agencies. The
announcement was restricted to current or federal employees or veterans with
preference eligibility, eligible under the Interagency or Agency Transition
Assistance Program. Three persons applied for the position. Two of them were
found unqualified under the terms of the announcement. The third was the
incumbent, who was the only candidate
on the certificate issued January 13, 2000. The Director of the Fish and
Wildlife Service selected the incumbent on January 18, with an effective
date of April 9, 2000.
Conclusion: This conversion gives the appearance of granting an unauthorized
advantage in defining the requirements for a position for the purpose of
improving one?s prospects for employment. Prior to the announcement of the
vacancy, the incumbent was given the opportunity to review and
comment on the position description for the career service position the
incumbent was eventually selected for. The action also gives the appearance
that the incumbent was preselected for the position. Such actions violate
the Civil Service Reform Act of 1978 prohibition against granting
unauthorized advantages to individuals in the employment
process. OPM did a preappointment review and approved this appointment on
April 4, 2000. The fax indicating that the incumbent provided input to the
position description, however, was the type of document requested by OPM for
its review.
Case 8: Selecting Official Gave Incumbent Superior Rating Linked to
Evaluation Factors in the Vacancy Announcement Just after Opening Agency: U.
S. Department of Labor Positions: From Schedule C, GS- 0301- 14, Special
Assistant to the Assistant Secretary
for Administration and Management To GS- 0343- 14, Management Analyst,
Office of Small Business Programs Details: The incumbent received a Schedule
C appointment to the Department of
Labor?s Office of the Assistant Secretary for Administration and Management
in August 1998 and was apparently detailed immediately to the Office of
Small Business Programs from August 1998 to December 1999. The Department of
Labor issued a vacancy announcement for a
management analyst position in its Office of Small Business Programs.
Although the selection official certified the position in April 1998, before
the incumbent joined the Department, the vacancy announcement did not open
until November 1 and closed November 12, 1999. The department reported
receiving about 30 applications, of which 15 were referred to the selecting
official. The incumbent was among the ones whose names were sent to the
selecting official. The incumbent was selected for appointment on December
3, 1999.
Documents regarding the conversion show that the incumbent was given a
performance rating by the selecting official. The duties and
responsibilities and evaluation factors listed in the vacancy announcement
were similar to the narrative explanation attached to the performance
appraisal. And, the incumbent received the highest rating possible on all
rating elements. Further, the selecting official signed the incumbent?s
rating on November 5,
1999- 4 days after the opening date of the vacancy announcement. When asked
for a copy of the incumbent?s duties as a detailee- to compare against the
position description for the position the incumbent was selected to fill- a
Labor official said there was none. She said the only description available
is the one contained in the narrative portion of the incumbent?s rating.
Conclusion: In this case, the incumbent appears to have had the advantage of
working as a detailee in, if not the same, at least a very similar position
to the one the incumbent was selected to fill. The person who provided the
incumbent?s rating was also the selecting official for the career position.
Also, the duties and responsibilities of the two positions were similar.
Thus, this case gives the appearance that the incumbent received favoritism
or preference over other applicants, which enhanced the incumbent?s
prospects for appointment. This conversion was not subject to OPM?s
preappointment review because it occurred before OPM?s February 18, 2000,
memorandum to agencies establishing the preappointment review requirement.
Case 9: Vacancy Announcement Canceled and Appointee Detailed to Position in
Developmental Capacity Agency: Small Business Administration (SBA)
Positions: From Schedule C, GS- 15, Regional Administrator To District
Director, Candidate Development Program Participant Details: The appointee
held a Schedule C appointment in SBA as a GS- 15 Regional
Administrator. On June 27, 2000, SBA issued a vacancy announcement for
positions in its District Director Candidate Development Program. It closed
on July 14, 2000. The objective of the development program is to
train candidates for SBA District Director positions. The vacancy
announcement said that the program varied in length from 6 to 18 months,
depending on the candidate?s prior experience, developmental needs, and
performance in the program. Upon successful completion of the program,
graduates may be noncompetitively appointed to District Director or other
positions.
As set forth in the vacancy announcement, SBA accepted applications from all
sources. A total of 123 individuals, including the incumbent, applied. In
September 2000, SBA selected the incumbent, along with nine others, for the
program with an effective start date of October 8, 2000. As part of the
hiring process, the appointee signed a standard mobility and service
agreement and indicated that South Dakota, her home state, was her preferred
location.
The incumbent also applied for an SBA vacancy announcement for the District
Director position in South Dakota. South Dakota is within the region for
which the appointee was the Schedule C Regional Administrator. The vacancy
announcement was open from August 7 through August 18, 2000, and indicated
that individuals could apply and qualify for the position at either the GS-
14 or the GS- 15 level.
Four certificates of eligible candidates were forwarded for consideration
for the South Dakota District Director position. Two certificates, one for
the position at the GS- 14 level and one at the GS- 15 level, were developed
under SBA?s merit promotion plan and contained the names of 12 and 5
qualified candidates, respectively. Another two certificates, also for the
position at the GS- 14 and GS- 15 levels, were developed under SBA?s
delegated examining authority, which it had received from OPM. Each of these
certificates contained the names of three qualified candidates. The
appointee?s name appeared second on the list of three qualified candidates
at the GS- 15 level developed under SBA?s delegated examining authority. The
applicant ahead of the appointee on the list was a preference eligible
veteran who had a compensable service- connected disability of 30 percent or
more. Under the Veterans? Preference Act, if an agency is to pass over
such a veteran and select someone lower on the list, it would need to
justify such an action and seek OPM?s approval. The agency would also need
to notify the veteran of the action and the agency?s reasons for it. 12 The
veteran would be entitled to comment on the agency?s reasons for passing him
over, and OPM is required by law to consider the veteran?s response in
determining the sufficiency or insufficiency of the agency?s reasons.
SBA?s associate administrator apparently chose not to interview the
candidates and, rather than making a selection for the South Dakota District
Director position, decided in December 2000, to cancel the vacancy
announcement and make no selection. The associate administrator, also a
Schedule C employee, has since left SBA, and we could not determine his
rationale for canceling the vacancy announcement. On January 14, 2001,
SBA detailed the appointee, in the appointee?s capacity as a participant in
the Candidate Development Program, to the South Dakota District Director
position in an acting capacity. From an unsigned and undated hand written
note in SBA?s files, it appears there was interest in graduating the
appointee from the program shortly 12 5 U. S. C. 3318( b)
after she entered into it in October 2000 and placing her noncompetitively
in the South Dakota District Director position. This note contained a phrase
that suggested the former political appointee and two other candidates (who
were career employees) were to graduate after 2 months and be put in
District Director positions before January 20, 2001. The note
also indicated that someone called OPM to check to ?see if [there was a] way
to place [the candidates]. . . .? SBA officials that we spoke with believed
the note was written by a former SBA political appointee. They
said the intended actions did not occur, however, possibly because it would
have contradicted the announced 6 to 18 month duration of the Candidate
Development Program. According to these officials, the incumbent, as well as
the other two candidates, were still in the Candidate Development
Program as of December 6, 2001. The district director position in South
Dakota has recently been readvertised and a different person has been
selected for it.
Conclusion: This conversion gives the appearance of granting an unauthorized
preference for the purpose of improving the prospects for employment. SBA
canceled a vacancy announcement under conditions in which multiple qualified
candidates were available but under which it would have been difficult to
justify selecting the appointee who was also a candidate. SBA
then detailed the appointee, in the appointee?s capacity as a participant in
SBA?s District Director Candidate Development Program, to the same position
as acting district director. Hand written notes in SBA?s file also indicate
that the appointee may have been pre- selected for the position. While the
candidate program normally lasts for 6 to 18 months, these notes suggest
that someone at SBA planned to have the appointee graduate from the program
after about 2 months and be permanently placed noncompetitively in the
position in less than 1 month after the vacancy announcement was canceled
and just before the presidential inauguration. Such actions give the
appearance of unauthorized preference, which would violate the Civil Service
Reform Act of 1978 prohibition against granting unauthorized advantages to
individuals for the purpose of improving or injuring the prospects of any
person for employment.
OPM did a preappointment review and approved the incumbent?s appointment to
the District Director Candidate Program on December 18, 2000. The
circumstances surrounding this conversion, which raised our concern are
outside of the selection process for the candidate program and would not
have been part of OPM?s review.
Eight Conversions to Excepted Service Positions under Schedule A or 28 U. S.
C. 542 Authority with the Appearance of Political
Appendi x V
Favoritism Excepted Service position title, office, and hiring Date
appointed/ authority Noncareer position title and office entered on duty
Department of the Interior
Attorney- Advisor (General) Associate Solicitor - Land and Water Resources
01/ 14/ 01 Southwest Region
Division of Land and Water Resources Schedule A 213.3102( d)
Department of Justice
Assistant U. S. Attorney Associate Deputy Attorney General
01/ 14/ 01 U. S. Attorney?s Office
Office of the Deputy Attorney General 28 U. S. C. 542 Assistant U. S.
Attorney Associate Deputy Attorney General
01/ 14/ 01 U. S. Attorney?s Office
Office of the Deputy Attorney General 28 U. S. C. 542 Assistant U. S.
Attorney
Counsel to the Attorney General 01/ 14/ 01
U. S. Attorney?s Office Office of the Attorney General 28 U. S. C. 542
Assistant U. S. Attorney Deputy Assistant Attorney General
01/ 22/ 01 U. S. Attorney?s Office
Criminal Division 28 U. S. C. 542
Department of the Treasury
Law Enforcement Appropriations Officer Assistant Commissioner
01/ 14/ 01 U. S. Customs Service
Congressional Affairs Schedule A 213.3105( b)( 6)
U. S. Customs Service Strategic Trade Advisor
Ombudsman 01/ 14/ 01
Strategic Trade Office of the Commissioner
U. S. Customs Service U. S. Customs Service
Schedule A 213.3105( b)( 6)
Environmental Protection Agency
Attorney- Advisor Environmental Policy Analyst
01/ 17/ 01 Environmental Accountability Division
Office of the Regional Administrator Schedule A 213.3102( d)
Immediate Office
Appendi x VI
Scope and Methodology To ascertain the number of conversions from political
positions to career positions, we asked 45 federal agencies (see appendix
II) to complete our data collection instrument (DCI) indicating the career
appointments they made to former political appointees or congressional
employees from October 1, 1998, through April 30, 2001. We also asked them
to indicate any months in which they did not make a conversion. We
established the October 1998 to April 2001 coverage period, as agreed with
your offices, in order to include conversions that might occur in the months
before and
after the November 2000 presidential and congressional elections. In our
DCI, we defined political appointees as those individuals who received an
appointment to the following positions after April 1, 1997: (1) Schedule C,
(2) noncareer SES, including limited- term SES and limited emergency SES,
and (3) presidential appointees, including executive level, and noncareer
ambassadors. We included in our definition individuals who were employees in
the Executive Office of the president and who were first hired after January
20, 1993. As consistent with your requests, we also asked agencies to report
on the appointment of former congressional
employees to career positions in the executive branch. In completing the
DCI, the 45 agencies provided information about the career positions to
which the individuals were appointed. Specifically, they provided the
position title, the appointee?s pay grade, annual salary, and appointment or
entered- on- duty date. They also provided the title of the appointee?s
former position. In addition, the agencies provided the related Standard
Form 50 for all appointments. These forms provide the official record of a
personnel action, such as an appointment. We used the Form 50s to obtain
information about each appointee?s prior position, such as
annual salary, and to verify information that the agencies provided on the
DCI. To determine whether appropriate appointment authorities were used,
whether merit system principles were adhered to, and whether any of the
appointments gave the appearance of favoritism or political preference (for
all conversions that occurred at the GS- 12 level or higher), we examined
the official personnel files and merit staffing files relevant to each
conversion. In cases where we had questions, we also interviewed officials
from the personnel offices of the appointing agency or other officials
knowledgeable about the specific case. We then compared the procedures used
in the appointment process to the federal personnel laws and regulations
contained in the U. S. Code and the Code of Federal Regulations and to each
department?s or agency?s merit staffing plans, as appropriate.
We did not judge the qualifications of former political appointees and
congressional employees for the career positions to which they were
appointed. There was no specific set of criteria that we could apply to
determine if any of the appointments appeared to involve favoritism or
preferential treatment. Therefore, we applied our professional judgment
after reviewing the appropriate laws and regulations and the circumstances
of each case.
We were aided in this appraisal of the circumstances by the knowledge gained
from past work on the subject; the technical assistance provided by a GAO
personnel specialist; and by our internal review process, which included the
examination of the questionable cases by attorneys experienced in the
application of federal personnel law. In addition, we gave a draft of case
summaries to the respective agencies that made the appointments and asked
them to provide any corrections, clarifications, or
explanations that they believed were appropriate to our understanding of the
circumstances. We incorporated their clarifications to the case summaries as
appropriate.
Comments from the Office of Personnel
Appendi x VII Management
Related GAO Products
Personnel Practices: Career Appointments Granted Political Appointees From
October 1998 through June 2000 (GAO/ GGD- 00- 205, Sept. 18, 2000).
Personnel Practices: Career Appointments of Former Political and
Congressional Employees (GAO/ GGD- 97- 165, Sept. 2, 1997).
Personnel Practices: Improper Personnel Actions on Selected CPSC
Appointments (GAO/ GGD- 97- 131, June 27, 1997).
Hiring of Former IRS Employees by PBGC (GAO/ GGD- 97- 9R, Oct. 2, 1996).
Personnel Practices: Career Appointments of Legislative, White House, and
Political Appointees (GAO/ GGD- 96- 2, Oct. 10, 1995).
Personnel Practices: Selected Characteristics of Recent Ramspeck Act
Appointments (GAO/ T- GGD- 95- 173, May 24, 1995).
An Overview of Ramspeck Act Appointments (GAO/ T- GGD- 95- 155, May 8,
1995).
Personnel Practices: Presidential Transition Conversions and Appointments:
Changes Needed (GAO/ GGD- 94- 66, May 31, 1994).
Political Appointees: Turnover Rates in Executive Schedule Positions
Requiring Senate Confirmation (GAO/ GGD- 94- 115FS, Apr. 21, 1994).
Political Appointees: 10- Year Staffing Trends at 30 Federal Agencies (GAO/
GGD- 93- 74FS, Apr. 30, 1993).
Personnel Practices: Career Appointments Granted Political Appointees From
Jan. Through Nov. 1992 (GAO/ GGD- 93- 49FS, Jan. 22, 1993).
Personnel Practices: Schedule C and Other Details to the Executive Office of
the President (GAO/ GGD- 93- 14, Nov. 6, 1992).
Political Appointees: Number of Noncareer SES and Schedule C Employees in
Federal Agencies (GAO/ GGD- 92- 101FS, June 8, 1992).
Personnel Practices: Details of Schedule C Employees to the White House
(GAO/ T- GGD- 92- 28, Apr. 19, 1992).
Personnel Practices: Propriety of Career Appointments Granted Former
Political Appointees (GAO/ GGD- 92- 51, Feb. 12, 1992).
Personnel Practices: The Department of Energy?s Use of Schedule C
Appointment Authority (GAO/ GGD- 90- 61, Mar. 8, 1990).
Political Appointees in Federal Agencies (GAO/ T- GGD- 90- 4, Oct. 26,
1989).
Federal Employees: Appointees Converted to Career Positions, January and
February 1989 (GAO/ GGD- 89- 89FS, June 13, 1989).
Federal Employees: Appointees Converted to Career Positions, October through
December 1988 (GAO/ GGD- 89- 66FS, Apr. 24, 1989).
(450002)
a
GAO United States General Accounting Office
Page i GAO- 02- 326 Personnel Practices
Contents
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Page 1 GAO- 02- 326 Personnel Practices United States General Accounting
Office
Washington, D. C. 20548 Page 1 GAO- 02- 326 Personnel Practices
A
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Appendix I
Appendix I Executive Branch Agencies and Departments and Their Conversions
Page 13 GAO- 02- 326 Personnel Practices
Appendix I Executive Branch Agencies and Departments and Their Conversions
Page 14 GAO- 02- 326 Personnel Practices
Page 15 GAO- 02- 326 Personnel Practices
Appendix II
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 16 GAO- 02- 326 Personnel Practices
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 17 GAO- 02- 326 Personnel Practices
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 18 GAO- 02- 326 Personnel Practices
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 19 GAO- 02- 326 Personnel Practices
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 20 GAO- 02- 326 Personnel Practices
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 21 GAO- 02- 326 Personnel Practices
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 22 GAO- 02- 326 Personnel Practices
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 23 GAO- 02- 326 Personnel Practices
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 24 GAO- 02- 326 Personnel Practices
Appendix II Political Appointees Converted to Term, Career, and Other
Positions by Agency from October 1, 1998, through April 30, 2001
Page 25 GAO- 02- 326 Personnel Practices
Page 26 GAO- 02- 326 Personnel Practices
Appendix III
Appendix III Appointment Authorities Used in the Appointments We Reviewed
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Appendix IV
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
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Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
Page 30 GAO- 02- 326 Personnel Practices
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
Page 31 GAO- 02- 326 Personnel Practices
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
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Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
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Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
Page 34 GAO- 02- 326 Personnel Practices
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
Page 35 GAO- 02- 326 Personnel Practices
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
Page 36 GAO- 02- 326 Personnel Practices
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
Page 37 GAO- 02- 326 Personnel Practices
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
Page 38 GAO- 02- 326 Personnel Practices
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
Page 39 GAO- 02- 326 Personnel Practices
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
Page 40 GAO- 02- 326 Personnel Practices
Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
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Appendix IV Details of Nine Conversions to Career Positions with the
Appearance of Preferential Treatment
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Appendix V
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Appendix VI
Appendix VI Scope and Methodology
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Appendix VII
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Related GAO Products Page 48 GAO- 02- 326 Personnel Practices
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