[Code of Federal Regulations]
[Title 5, Volume 1]
[Revised as of January 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 5CFR317.504]

[Page 184-187]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
                CHAPTER I--OFFICE OF PERSONNEL MANAGEMENT
 
PART 317--EMPLOYMENT IN THE SENIOR EXECUTIVE SERVICE--Table of Contents
 
                     Subpart E--Career Appointments
 
Sec. 317.504  Agency recertification.

    (a) General. (1) Section 3393a of title 5, U.S.C., provides that 
each career SES appointee shall be subject to recertification by his or 
her employing agency ``to ensure that the performance of career 
appointees demonstrates the excellence needed to meet the goals of the 
Senior Executive Service as set forth in section 3131 * * *.''
    (2) For purposes of this section, ``agency'' is an executive agency 
as defined in 5 U.S.C. 105 or a military department as defined in 5 
U.S.C. 102.
    (b) Coverage. (1) This section covers SES career appointees who have 
been continuously employed in the SES for the 156 weeks preceding the 
end of the recertification period. One or more breaks in SES service of 
a total of 6 months or less do not interrupt the 156 weeks of continuous 
employment.
    (2) This section does not apply to SES noncareer, limited emergency, 
or limited term appointees. It also does not apply to former SES career 
appointees who took Presidential appointments with Senate confirmation 
and elected to retain SES benefits under subpart H of this part.
    (c) When recertification takes place. (1) The initial 
recertification shall take place in calendar year 1991. Future 
recertifications shall take place every 3rd calendar year thereafter.
    (2) The agency head shall determine when in the calendar year 
recertification shall take place and shall establish a date for 
calculating the 156-week employment period. Recertification

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may take place at different times during the calendar year for different 
components within the agency. For recertification actions in calendar 
year 1991, agencies must consider performance during the annual 
performance appraisal period ending in calendar year 1991 unless an 
exception is granted by OPM.
    (3) If an individual is recertified in one agency and then transfers 
to another agency during the calendar year, the individual is not 
subject to recertification in the new agency. If an individual transfers 
to another agency during the calendar year and no recertification 
decision was made in the old agency, a recertification decision must be 
made in the new agency.
    (d) Standard for recertification. (1) To be recertified, the career 
appointee must perform at the level of excellence expected of a senior 
executive. Excellence means that the executive has demonstrated over the 
recertification period that he or she has achieved excellence in:
    (i) Planning for, substantially advancing, and attaining 
Presidential, agency, or organizational goals and objectives that 
required a sustained superior effort;
    (ii) Taking specific initiatives that advanced a major policy and/or 
significantly improved delivery of services;
    (iii) Taking the necessary actions to ensure the achievement of a 
quality product in a timely manner;
    (iv) Making significant technical, scientific, or professional 
contributions; and, as appropriate
    (v) Achieving substantial savings in the execution of programs under 
his or her direction;
    (vi) Maintaining the high quality and effectiveness of a program 
under his or her direction with reduced resources; and/or
    (vii) Providing strong leadership to enhance the development, 
utilization and achievements of subordinate personnel, including 
achievement of equal employment opportunity goals.
    (2) Agencies may add other criteria, as appropriate, in their 
written recertification procedures.
    (e) Recommendation by the supervising official. (1) The supervising 
official of the career appointee shall submit to an agency Performance 
Review Board established under 5 U.S.C. 4314 a written recommendation 
whether the career appointee's performance justifies recertification as 
a senior executive. The recommendation shall be based on the executive's 
overall performance over the 3 preceding years in relation to the 
standard for recertification in paragraph (d), including consideration 
of such factors as the career appointee's performance ratings, any award 
or other recognition received by the appointee, any developmental 
activities of the appointee, or other relevant qualitative factors.
    (2) The recommendation shall reflect the official's view whether the 
appointee's overall performance for the preceding 3 years has 
demonstrated the excellence expected of a senior executive as defined in 
paragraph (d) of this section in relation to the written performance 
requirements for the career appointee's senior executive position.
    (3) The appointee shall be given a copy of the recommendation and 
advised of the right to submit to the Performance Review Board a 
statement of accomplishments and other documentation giving evidence of 
the quality of the appointee's performance in relation to the standards 
set forth in paragraph (d) of this section.
    (f) Recommendation by the Performance Review Board. (1) More than 
one-half of the members of the Board shall consist of SES career 
appointees, unless OPM determines that there exists an insufficient 
number of career appointees available to comply with this requirement. 
Board members may not take part in any deliberations or actions 
regarding recommendations on their own recertification.
    (2) After receiving the recommendation of the supervising official 
and any information provided by the career appointee under paragraph 
(e)(3) of this section, the Board shall submit to the appointing 
authority a recommendation whether the appointee should be recertified, 
conditionally recertified, or not recertified for continued employment 
as a senior executive in the SES.
    (3) If the Board proposes to recommend conditional recertification 
or non-recertification, the appointee shall be notified in writing and 
shall have

[[Page 186]]

the opportunity to appear before the Board prior to the forwarding of 
the recommendation to the appointing authority.
    (4) If the Board recommends recertification, it may also recommend 
that the appointee's rate of basic pay be increased to a higher rate 
under 5 U.S.C. 5382. If the Board recommends conditional 
recertification, it may also recommend that the appointee's rate of 
basic pay be reduced to the next lower rate under 5 U.S.C. 5382.
    (5) In addition to its recommendation, the Board shall also provide 
the appointing authority the recommendation from the supervising 
official and any information received from the appointee under paragraph 
(e)(3) or paragraph (f)(3) of this section.
    (6) If the appointing authority is also the agency head, the 
recommendation of the Board shall go directly to the individual as the 
agency head.
    (g) Recommendation by the appointing authority. (1) If the 
appointing authority determines that the appointee's performance during 
the 3 preceding years demonstrates the excellence expected of a senior 
executive, the appointing authority shall recommend to the agency head 
that the appointee be recertified as a senior executive.
    (2) If the appointing authority determines that the appointee's 
performance has not demonstrated the excellence expected of a senior 
executive, the appointing authority shall recommend to the agency head 
that the appointee be conditionally recertified or not be recertified.
    (h) Determination by the agency head. (1) The agency head shall 
determine whether the appointee shall be recertified, conditionally 
recertified, or not recertified as a senior executive. An agency may not 
prescribe a distribution of how many or what percentage of executives 
will be recertified, conditionally recertified, or not recertified.
    (2) If the agency head determines that the appointee's performance 
warrants recertification, the appointee shall continue in the SES. 
Further, the appointee's rate of basic pay may not be reduced at the 
time of recertification.
    (3) If the agency head determines that the appointee's performance 
warrants conditional recertification, the appointee:
    (i) Shall remain a career appointee in the SES;
    (ii) Shall be subject to continuing close review of the appointee's 
performance by the supervising official in coordination with an 
Executive Resources Board established under 5 U.S.C. 3393, in accordance 
with a performance improvement plan developed by the supervising 
official and subject to the approval of the Executive Resources Board;
    (iii) May, if the agency head so determines, be reduced to the next 
lower rate of basic pay established under 5 U.S.C. 5382, once 12 months 
have elapsed since the appointee's last pay adjustment, in accordance 
with Sec. 534.401(c) of this chapter;
    (iv) Shall be removed from the SES if not recertified at the end of 
the 12-month period following the conditional recertification; and
    (v) Shall be retained in the SES if recertified at the end of the 
12-month period following the conditional recertification and shall have 
any reduction in basic pay made under paragraph (h)(3)(iii) of this 
section restored as of the beginning of the first pay period following 
recertification when 12 months have elapsed since the pay reduction.
    (4) The process for determining whether to recertify at the end of 
the 12-month period an individual who has been conditionally recertified 
shall be the same as for the initial recertification decision, including 
review and recommendation by a Performance Review Board.
    (5) If the agency head determines that the appointee's performance 
does not warrant recertification or conditional recertification, the 
appointee shall be removed from the SES in accordance with 5 U.S.C. 3592 
and part 359, subpart C, of this chapter.
    (6) The decision to recertify a senior executive may be delegated by 
the agency head, but no lower than the appointing authority. The 
decision to conditionally recertify, or to not recertify, a senior 
executive must be made by the agency head, the deputy agency head, or 
the head of a major operating

[[Page 187]]

unit within a department; but the individual designated may not be at a 
lower level than the appointing authority. The agency's written 
recertification procedures must indicate who is to make the decision.
    (i) Procedures. Written reasons must be provided for any 
recommendation or decision to conditionally recertify or to not 
recertify a career appointee.
    (j) Agency responsibilities. Each agency that has career appointees 
subject to recertification:
    (1) Shall develop written recertification procedures in consultation 
with its career appointees, shall have the procedures reviewed and 
approved by OPM before the recertification process is initiated, and 
shall provide its senior executives and OPM a copy of the final 
procedures upon issuance and upon any change;
    (2) Shall provide for a program, under guidelines issued by OPM, to 
train its executives who supervise SES career personnel, and members of 
Performance Review Boards who will be making recertification 
recommendations, in the objectives and procedures of the recertification 
process;
    (3) Shall maintain such records as OPM may require;
    (4) Shall report to OPM such information as OPM may request relating 
to recertification actions or the training of SES supervisors; and
    (5) Shall take such corrective action as may be directed by OPM if 
OPM finds that the agency's written procedures, or any actions taken by 
the agency, are contrary to law or regulation.

[56 FR 170, Jan. 3, 1991]