Personnel Practices: Career Appointments of Legislative, White House, and
Political Appointees (Letter Report, 10/10/95, GAO/GGD-96-2).

Pursuant to a congressional request, GAO examined the number and
patterns of career appointments to the civil service made between
October 1984 and June 1994.

GAO found that: (1) between October 1984 and June 1994, 1,090 former
political and congressional employees received career appointments,
including 552 noncompetitive appointments under the Ramspeck Act, 502
competitive appointments, and 36 White House service appointments; (2)
42 of the appointments were to the Senior Executive Service (SES), while
the remaining 1,048 appointments were to positions equivalent to GS-15
or below; (3) Ramspeck Act appointments have followed a cyclical trend
over the 10-year period, increasing greatly during the years immediately
following federal elections; (4) these noncompetitive appointments are
generally associated with congressional membership turnover and the
consequent involuntary separation of congressional employees; and (5)
cabinet-level departments accounted for 81 percent of the Ramspeck Act
appointments, 76 percent of former Schedule C and noncareer SES
appointments, and 81 percent of White House service appointments.

--------------------------- Indexing Terms -----------------------------

 REPORTNUM:  GGD-96-2
     TITLE:  Personnel Practices: Career Appointments of Legislative, 
             White House, and Political Appointees
      DATE:  10/10/95
   SUBJECT:  Personnel management
             Congressional employees
             Presidential appointments
             Civil service appointments
             Federal personnel legislation
             GS grade classification
             Presidential transition
             Hiring policies
             Public service employment
IDENTIFIER:  OPM Central Personnel Data File
             Senior Executive Service
             SES
             
**************************************************************************
* This file contains an ASCII representation of the text of a GAO        *
* report.  Delineations within the text indicating chapter titles,       *
* headings, and bullets are preserved.  Major divisions and subdivisions *
* of the text, such as Chapters, Sections, and Appendixes, are           *
* identified by double and single lines.  The numbers on the right end   *
* of these lines indicate the position of each of the subsections in the *
* document outline.  These numbers do NOT correspond with the page       *
* numbers of the printed product.                                        *
*                                                                        *
* No attempt has been made to display graphic images, although figure    *
* captions are reproduced. Tables are included, but may not resemble     *
* those in the printed version.                                          *
*                                                                        *
* A printed copy of this report may be obtained from the GAO Document    *
* Distribution Facility by calling (202) 512-6000, by faxing your        *
* request to (301) 258-4066, or by writing to P.O. Box 6015,             *
* Gaithersburg, MD 20884-6015. We are unable to accept electronic orders *
* for printed documents at this time.                                    *
**************************************************************************


Cover
================================================================ COVER


Report to the Honorable
Patricia Schroeder, House of Representatives

October 1995

PERSONNEL PRACTICES - CAREER
APPOINTMENTS OF LEGISLATIVE, WHITE
HOUSE, AND POLITICAL APPOINTEES

GAO/GGD-96-2

Personnel Practices

(966643)


Abbreviations
=============================================================== ABBREV

  OPM - Office of Personnel Management
  SES - Senior Executive Service

Letter
=============================================================== LETTER


B-261013

October 10, 1995

The Honorable Patricia Schroeder
House of Representatives

Dear Ms.  Schroeder: 

At various times, especially during a presidential transition or a
large turnover of congressional membership, political appointees at
federal departments and agencies and employees of the White House and
Congress sometimes apply for and receive career appointments in the
competitive civil service or Senior Executive Service (SES).  These
appointments are sensitive.  The political nature of the past
assignments of such individuals can create concern about whether they
had an unfair advantage in the merit system selection process, even
the appearance of which could compromise the integrity of the civil
service system. 

To help add historical perspective to this issue, you asked us to
examine the number and patterns, if any, of such appointments made
between October 1, 1984, and June 30, 1994.  This report provides
that information. 


   BACKGROUND
------------------------------------------------------------ Letter :1

Generally, federal employees who serve under noncareer SES or
Schedule C appointments are considered to be political appointees. 
They are appointed by the administration in office to support and
advocate the president's goals and policies.  Noncareer SES
appointees receive noncompetitive appointments to SES positions that
normally involve the advocacy, formulation, and direction of
administration programs and policies.  Schedule C appointees receive
noncompetitive appointments to positions excepted from the
competitive service, normally graded GS/GM-15 or below, that involve
determining policy or that require a close, confidential working
relationship with the agency head or other key agency officials. 

Qualified political appointees are permitted to apply and compete for
career appointments to positions in the competitive service and SES. 
Appointments that are approved are called "conversions" and must
conform to both the merit system principles contained in the Civil
Service Reform Act of 1978, as amended, and Office of Personnel
Management (OPM) regulations. 

Individuals who serve in the Office of the President or Vice
President, on the White House staff, and in the legislative and
judicial branches are permitted to apply for noncompetitive
appointment to career positions in the competitive service.  Under 5
C.F.R.  section 315.602, such appointments are authorized on the
basis of White House service for employees who have served at least 2
years, who are appointed without a break in service, and who meet
applicable qualification requirements for the career positions. 
Similarly, the Ramspeck Act of 1940 (5 U.S.C.  3304(c)) authorizes
noncompetitive appointments based on service in the legislative and
judicial branches for anyone who has served at least 3 years as a
congressional employee or 4 years as a secretary or law clerk in the
judicial branch, who was separated involuntarily and without
prejudice, who is appointed within 1 year from the date of
separation, and who meets the applicable qualification requirements
for the career position. 


   RESULTS IN BRIEF
------------------------------------------------------------ Letter :2

Governmentwide, during the period October 1, 1984, through June 30,
1994, a total of 1,090 former political and congressional/judicial
branch employees received career appointments.\1 Of these, 552
individuals received noncompetitive appointments under the Ramspeck
Act authority, and 502 individuals converted from Schedule C and
noncareer SES positions to competitive appointments.  Another 36
individuals received White House service appointments.  Of the 1,090
appointments, 42 were to the SES level.  The remaining 1,048
appointments were to positions equivalent to GS/GM-15 or below.  The
median grade received for Ramspeck Act and White House appointments
was at the GS-12 level.  The median grade received for conversions
was at the GS-13 level. 

Ramspeck Act appointments have followed a cyclical trend over the
10-year period, increasing significantly during those years
immediately following federal elections.  Our analysis indicates that
this cycle can generally be associated with turnover in congressional
membership and the consequent involuntary separation of congressional
employees.  The pattern of Schedule C and noncareer SES conversions
and White House service appointments is less distinctive. 

Cabinet-level departments accounted for the majority of appointments. 
These departments made 81 percent of the Ramspeck Act appointments,
76 percent of the conversions of former Schedule C and noncareer SES
appointments, and 81 percent of the White House service appointments. 


--------------------
\1 For purposes of perspective, it should be noted that total career
appointments governmentwide far exceeded this number.  For example,
during the period 1990 through 1994, almost 148,000 full-time career
appointments were made governmentwide. 


   RAMSPECK ACT APPOINTMENTS
------------------------------------------------------------ Letter :3

During the period October 1, 1984, through June 30, 1994, a total of
552 former congressional and judicial branch employees received
noncompetitive appointments to career service under Ramspeck Act
authority.  Figure 1 shows the number of appointments on a calendar
year basis. 

   Figure 1:  Ramspeck Act
   Appointments, October 1, 1984,
   Through June 30, 1994

   (See figure in printed
   edition.)

Source:OPM Central Personnel Data File. 

A principal purpose of the Ramspeck Act is to help qualified
congressional staffers obtain career positions in the civil service
if they are involuntarily, and without prejudice, separated from
congressional employment.  This frequently occurs when a Member of
Congress retires, is not reelected, or dies.  As figure 1 shows, each
even-numbered federal election year is followed by an increase in
Ramspeck Act appointment activity.  An apparent explanation is that
an increased number of congressional staff lost employment due to
election returns and subsequently secured employment in the career
service.  The most noticeable increases in Ramspeck Act appointments
during the period covered by our review occurred in 1987 and 1993. 

Under Ramspeck Act authority, qualified candidates may be appointed
only to positions below SES.  Governmentwide, the median GS/GM level
for 548 of the 552 appointments was at the GS-12 level.  We did not
include four appointments that were made to other pay plans. 
Appendix I contains information on the grade levels to which
individuals were appointed. 

The Ramspeck Act appointments during this 10-year period were made by
a total of 36 executive branch agencies.  The cabinet-level
departments accounted for 447, or about 81 percent, of the 552
appointments made.  Appendix II lists the number of Ramspeck Act
appointments made by each of the 36 agencies. 


   CONVERSIONS OF FORMER SCHEDULE
   C AND NONCAREER SES APPOINTEES
------------------------------------------------------------ Letter :4

Figure 2 shows that a total of 502 Schedule C and noncareer SES
appointees were converted to career positions during the period
covered.  (See appendix III for details on the grade levels received
by these political appointees.  Appendix IV lists the number of
career appointments granted to political appointees by each agency
over the 10-year period.)

   Figure 2:  Schedule C and
   Noncareer SES Conversions to
   Career Positions, October 1,
   1984, Through June 30, 1994

   (See figure in printed
   edition.)

Source:OPM Central Personnel Data File. 

A less distinctive pattern emerges from figure 2 than was apparent in
figure 1.  However, it is noticeable that the number of conversions
increased in 1987 and 1988, the last 2 years of the Reagan
administration, and in 1991 and 1992, the last 2 years of the Bush
administration.  A possible explanation is that toward an end of a
president's term of office, some political appointees, seeking to
continue their government service, apply and compete for career
appointments. 

Conversely, the lower numbers of conversions in the first 2 years of
the second Reagan administration (1985 and 1986) and the first 2
years of the Clinton Administration (1993 and 1994) seem to support
the notion that political appointees are less interested in seeking
career status in the competitive service in the early years of a
presidential term.  Further, it is generally recognized that, because
of delays in designating individuals for political appointments,
there are smaller numbers of appointees at the beginning of a new
administration.  The first 2 years of the Bush administration (1989
and 1990) seem to contradict this general truth.  However, some of
the political appointees who sought career status during these 2
years may have been holdovers from the Reagan administration. 

Of the 502 conversions, 42 were to career SES positions.  The
remaining 460 conversions were to GS/GM-15 positions and below.  The
median GS position received was at the GS-13 level.  Cabinet-level
departments accounted for 382, or about 76 percent, of the 502
conversions. 


   WHITE HOUSE SERVICE
   APPOINTMENTS
------------------------------------------------------------ Letter :5

White House service appointments may be made to positions at the
GS/GM-15 level and below.  We identified a total of 36 individuals
who received career appointments based on their White House service. 
These are shown in figure 3 by the calendar year of their career
appointments. 

   Figure 3:  White House Service
   Appointments, October 1, 1984,
   Through June 30, 1994

   (See figure in printed
   edition.)

Source:OPM Central Personnel Data File. 

Of the 36 White House service appointments, 15 were to grades GS-11
and below; 13 were to the GS-12 and GS-13 levels; and 8 were to the
GS-14 and GS-15 levels.  The median grade received was at the GS-12
level.  Appendix V contains a further breakdown of this information. 

The Cabinet-level departments made 81 percent of the appointments. 
The remainder of the appointments were made by the General Services
Administration, the National Aeronautics and Space Administration,
the National Archives and Records Administration, and the Executive
Office of the President.  Appendix VI lists the number of White House
service appointments at each of the agencies.  Finally, appendix VII
presents total Ramspeck Act, conversion to career, and White House
service appointments by agency during the 10-year period. 


   SCOPE AND METHODOLOGY
------------------------------------------------------------ Letter :6

We used OPM's Central Personnel Data File to obtain the information
on employees appointed during the period October 1, 1984, through
June 30, 1994, to executive branch positions (1) under the Ramspeck
Act and (2) based on White House service.  At the time we did our
work, the most recent date for which OPM had appointment information
was June 30, 1994.  The information we obtained included the
employees' grades and occupations, their pay plans and salaries at
appointment, and their appointing agencies.  We obtained similar
information for individuals who served under Schedule C and noncareer
SES appointments and who subsequently received a career or
career-conditional competitive appointment or career SES appointment. 

We compared and analyzed the number of these appointments over the
selected period.  We also compared and analyzed these appointments by
appointing agency and by the grade level received. 

We did not independently verify the data provided by OPM.  We
conducted our review in Washington, D.C., from January 1995 to June
1995 in accordance with generally accepted government auditing
standards. 


   AGENCY COMMENTS
------------------------------------------------------------ Letter :7

We requested comments on a draft of this report from the Director of
OPM or his designee.  On September 1, 1995, we discussed the report
with the Deputy Chief of Staff.  He agreed with the facts presented
and observed that the total number of appointments cited in the
report is relatively small compared to the total appointments made
governmentwide during the same period.  OPM also said that the agency
had not experienced major or systemic problems with agencies misusing
the appointment authorities covered in the report, although there had
been isolated instances of misuse. 


---------------------------------------------------------- Letter :7.1

As agreed, unless you publicly release the contents of this report
earlier, we plan no further distribution until 5 days from its date. 
At that time, we will send copies to the Director of OPM and other
interested parties and make copies available to others upon request. 

This report was developed under the direction of Richard W. 
Caradine, Assistant Director.  Walter E.  Reed, Jr., and Michael H. 
Little analyzed the data and prepared the report.  Please contact me
at (202) 512-8676 if you have questions concerning this report. 

Sincerely yours,

L.  Nye Stevens
Director, Federal Management
 and Workforce Issues


RAMSPECK ACT APPOINTMENTS BY GRADE
RECEIVED, OCTOBER 1, 1984, THROUGH
JUNE 30, 1994
=========================================================== Appendix I



   (See figure in printed
   edition.)

Note:  The figure shows the grade levels received for 548 of the 552
Ramspeck Act appointments.  Four appointments made to other pay
plans, such as that for the Office of the Comptroller of the
Currency, were omitted from this figure. 

Source:  OPM Central Personnel Data File. 


RAMSPECK ACT APPOINTMENTS BY
AGENCY, OCTOBER 1, 1984, THROUGH
JUNE 30, 1994
========================================================== Appendix II

                                                          Ramspeck Act
Agency                                                    appointments
--------------------------------------------------------  ------------
ACTION                                                               5
African Development Foundation                                       3
Agency for International Development                                 2
Department of Agriculture                                           51
Department of Commerce                                              33
Department of Defense                                               40
Department of Education                                             25
Department of Energy                                                23
Department of Health and Human Services                             68
Department of Housing and Urban Development                         19
Department of the Interior                                          55
Department of Justice                                               29
Department of Labor                                                  8
Department of State                                                  9
Department of Transportation                                        21
Department of the Treasury                                          30
Department of Veterans Affairs                                      36
Environmental Protection Agency                                     18
Equal Employment Opportunity Commission                              1
Federal Emergency Management Agency                                  3
General Services Administration                                     15
International Cultural and                                           1
 Trade Center Commission
Interstate Commerce Commission                                       1
National Aeronautics and                                             2
 Space Administration
National Archives and Records Administration                         4
National Credit Union Administration                                 1
National Foundation on the Arts and                                  5
 the Humanities
National Science Foundation                                          2
Office of Management and Budget                                      1
Office of National Drug Control Policy                               2
Office of Personnel Management (OPM)                                 8
Small Business Administration                                       24
Smithsonian Institution                                              2
U.S. Arms Control and Disarmament Agency                             1
U.S. Information Agency                                              3
U.S. International Trade Commission                                  1
======================================================================
Total governmentwide                                               552
----------------------------------------------------------------------

CAREER APPOINTMENTS GRANTED
POLITICAL APPOINTEES BY GRADE
RECEIVED, OCTOBER 1, 1984, THROUGH
JUNE 30, 1994
========================================================= Appendix III



   (See figure in printed
   edition.)

Note:  The figure shows grade levels received for 319 of the 326
career appointments.  Seven appointments made to other pay plans were
omitted. 

Source:  OPM Central Personnel Data File. 


CAREER APPOINTMENTS GRANTED
POLITICAL APPOINTEES BY AGENCY,
OCTOBER 1, 1984, THROUGH JUNE 30,
1994
========================================================== Appendix IV

Agency                                                    Appointments
------------------------------------------------------  --------------
ACTION                                                               1
Agency for International Development                                 2
Appalachian Regional Commission                                      1
Arctic Research Commission                                           1
Board for International Broadcasting                                 1
Consumer Product Safety Commission                                   1
Department of Agriculture                                           23
Department of Commerce                                              38
Department of Defense                                               60
Department of Education                                             30
Department of Energy                                                49
Department of Health and Human Services                             22
Department of Housing and Urban Development                         44
Department of the Interior                                          23
Department of Justice                                               23
Department of Labor                                                  8
Department of State                                                 20
Department of Transportation                                        22
Department of the Treasury                                          13
Department of Veterans Affairs                                       7
Environmental Protection Agency                                     12
Equal Employment Opportunity Commission                              3
Export-Import Bank                                                   4
Federal Communications Commission                                    2
Farm Credit Administration                                           2
Federal Deposit Insurance Corporation                                7
Federal Emergency Management Agency                                  4
Federal Home Loan Bank Board                                         3
Federal Labor Relations Authority                                    1
Federal Mediation and Conciliation Service                           1
Federal Trade Commission                                             4
General Services Administration                                      6
Interstate Commerce Commission                                       1
Merit Systems Protection Board                                       1
National Aeronautics and Space Administration                        5
National Archives and Records Administration                         2
National Council on the Handicapped                                  1
National Credit Union Administration                                 3
National Foundation on the Arts and the Humanities                   1
National Labor Relations Board                                       1
National Regulatory Commission                                       1
National Science Foundation                                          2
National Transportation Safety Board                                 1
Office of Management and Budget                                      1
Office of National Drug Control Policy                               1
Office of Personnel Management (OPM)                                 3
Pension Benefits Guaranty Corporation                                1
Railroad Retirement Board                                            1
Securities and Exchange Commission                                  10
Small Business Administration                                       16
Smithsonian Institution                                              1
U.S. Arms Control and Disarmament Agency                             3
U.S. Information Agency                                              8
======================================================================
Total governmentwide                                               502
----------------------------------------------------------------------

WHITE HOUSE SERVICE APPOINTMENTS
BY GRADE RECEIVED, OCTOBER 1,
1984, THROUGH JUNE 30, 1994
=========================================================== Appendix V



   (See figure in printed
   edition.)

Source:  OPM Central Personnel Data File. 


WHITE HOUSE SERVICE APPOINTMENTS
BY AGENCY, OCTOBER 1, 1984,
THROUGH JUNE 30, 1994
========================================================== Appendix VI

Agency                                                    Appointments
------------------------------------------------------  --------------
Department of Agriculture                                            3
Department of Commerce                                               2
Department of Defense                                                5
Department of Education                                              3
Department of Energy                                                 9
Department of Health and Human Services                              1
Department of the Interior                                           2
Department of Justice                                                2
Department of Transportation                                         5
Department of the Treasury                                           3
General Services Administration                                      3
National Aeronautics and Space Administration                        2
National Archives and Records Administration                         1
Office of Administration, Executive Office                           1
 of the President
Total governmentwide                                                36
----------------------------------------------------------------------

TOTAL RAMSPECK ACT, CONVERSION TO
CAREER, AND WHITE HOUSE SERVICE
APPOINTMENTS BY AGENCY, OCTOBER 1,
1984, THROUGH JUNE 30, 1994
========================================================= Appendix VII


                                              Conversion   White House
Agency                        Ramspeck Act     to career       service     Total
--------------------------  --------------  ------------  ------------  ========
ACTION                                   5             1                       6
African Development                      3                                     3
 Foundation
Agency for International                 2             2                       4
 Development
Appalachian Regional                                   1                       1
 Commission
Arctic Research Commission                             1                       1
Board for International                                1                       1
 Broadcasting
Consumer Product Safety                                1                       1
 Commission
Department of Agriculture               51            23             3        77
Department of Commerce                  33            38             2        73
Department of Defense                   40            60             5       105
Department of Education                 25            30             3        58
Department of Energy                    23            49             3        75
Department of Health and                68            21             1        90
 Human Services
Department of Housing and               19            44                      63
 Urban Development
Department of the Interior              55            23             2        80
Department of Justice                   29            23             2        54
Department of Labor                      8             8                      16
Department of State                      9            20                      29
Department of                           21            22             5        48
 Transportation
Department of the Treasury              30            13             3        46
Department of Veterans                  36             7                      43
 Affairs
Environmental Protection                18            12                      30
 Agency
Equal Employment                         1             3                       4
 Opportunity Commission
Export-Import Bank                                     4                       4
Federal Communications                                 2                       2
 Commission
Farm Credit Administration                             2                       2
Federal Deposit Insurance                              7                       7
 Corporation
Federal Emergency                        3             4                       7
 Management Agency
Federal Home Loan Bank                                 3                       3
 Board
Federal Labor Relations                                1                       1
 Authority
Federal Mediation and                                  1                       1
 Conciliation Service
Federal Trade Commission                               4                       4
General Services                        15             6             3        24
 Administration
International Cultural and               1                                     1
 Trade Center Commission
Interstate Commerce                      1             1                       2
 Commission
Merit Systems Protection                               1                       1
 Board
National Aeronautics and                 2             5             2         9
 Space Administration
National Archives and                    4             2             1         7
 Records Administration
National Council on the                                1                       1
 Handicapped
National Credit Union                    1             2                       3
 Administration
National Foundation on the               5             1                       6
 Arts and the Humanities
National Labor Relations                               1                       1
 Board
National Regulatory                                    1                       1
 Commission
National Science                         2             2                       4
 Foundation
National Transportation                                1                       1
 Safety Board
Office of Administration,                                            1         1
 Executive Office
 of the President
Office of Management and                 1             1                       2
 Budget
Office of National Drug                  2             1                       3
 Control Policy
Office of Personnel                      8             3                      11
 Management (OPM)
Pension Benefits Guaranty                              1                       1
 Corporation
Railroad Retirement Board                              1                       1
Securities and Exchange                               10                      10
 Commission
Small Business                          24            16                      40
 Administration
Smithsonian Institution                  2             1                       3
U.S. Arms Control and                    1             3                       4
 Disarmament Agency
U.S. Information Agency                  3             8                      11
U.S. International Trade                 1                                     1
 Commission
================================================================================
Total governmentwide                   552           502            36     1,090
--------------------------------------------------------------------------------