
From the U.S. Code Online via GPO Access
[wais.access.gpo.gov]
[Laws in effect as of January 2, 2001]
[Document not affected by Public Laws enacted between
  January 2, 2001 and January 28, 2002]
[CITE: 5USC3393a]

 
             TITLE 5--GOVERNMENT ORGANIZATION AND EMPLOYEES
 
                           PART III--EMPLOYEES
 
                   Subpart B--Employment and Retention
 
            CHAPTER 33--EXAMINATION, SELECTION, AND PLACEMENT
 
SUBCHAPTER VIII--APPOINTMENT, REASSIGNMENT, TRANSFER, AND DEVELOPMENT IN 
                      THE SENIOR EXECUTIVE SERVICE
 
Sec. 3393a. Recertification

    (a)(1) In order 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, each career appointee 
shall be subject to recertification by the employing agency in 
accordance with the provisions of this section.
    (2) Beginning in calendar year 1991, and recurring every third 
calendar year thereafter, the head of an agency shall determine a time 
during such calendar year when the performance of career appointees in 
the agency shall be subject to recertification. Recertification shall 
not be required of any career appointee who has not been continuously 
employed as a senior executive for the 156 weeks preceding the time 
determined for the recertification. For the purposes of the previous 
sentence, a break in service of 6 months shall be deemed not to 
interrupt the 156 weeks of continuous employment.
    (b) The supervising official of each career appointee shall submit 
to a performance review board established by the agency under section 
4314 a recommendation as to whether the career appointee's performance 
justifies recertification as a senior executive, based on such factors 
as the career appointee's performance ratings for the 3 preceding years 
under section 4314, any award or other recognition received by the 
career appointee, any developmental activities of the career appointee, 
and any other relevant factors. The supervising official's 
recommendation shall reflect that official's view as to whether the 
career appointee's overall performance over the 3 preceding years has 
demonstrated the excellence expected of a senior executive in relation 
to the written performance requirements for the career appointee's 
senior executive position as established under section 4312(b). The 
career appointee may submit to the performance review board a statement 
of accomplishments and other documentation giving evidence of the 
quality of the career appointee's performance.
    (c)(1) After considering the recommendation and other information 
received under subsection (b), the performance review board shall submit 
to the appointing authority a recommendation as to whether the career 
appointee should be recertified, conditionally recertified, or not 
recertified as a senior executive. If the board proposes to recommend 
conditional recertification or nonrecertification, then the affected 
appointee shall be so notified and shall have the opportunity to appear 
before the performance review board. If the board is recommending that 
the career appointee be recertified, the board may also recommend that 
the career appointee's rate of basic pay be increased to a higher rate 
established under section 5382. If the board is recommending that the 
career appointee be conditionally recertified, the board may recommend 
that the career appointee's pay be reduced to the next lower rate 
established under section 5382. The board shall also provide to the 
appointing authority the recommendation and other information received 
under subsection (b).
    (2) More than one-half of the members of a performance review board 
under this section shall consist of career appointees. The requirement 
of the preceding sentence shall not apply in any case in which the 
Office of Personnel Management determines that there exists an 
insufficient number of career appointees available to comply with the 
requirement.
    (d)(1) If the appointing authority determines that the career 
appointee's performance during the preceding 3 years demonstrates the 
excellence expected of a senior executive, the appointing authority 
shall recommend to the head of the agency that the career appointee be 
recertified as a senior executive.
    (2) If the appointing authority determines that the career 
appointee's performance has not demonstrated the excellence expected of 
a senior executive, the appointing authority shall recommend to the head 
of the agency that the career appointee be conditionally recertified as 
a senior executive or not be recertified as a senior executive.
    (e)(1) If the head of the agency decides that the career appointee's 
performance warrants recertification as a senior executive, the career 
appointee shall continue in the Senior Executive Service. If a career 
appointee is recertified as a senior executive, the career appointee's 
rate of basic pay may not be reduced at the time of recertification.
    (2) If the head of the agency decides that the career appointee's 
performance does not warrant full recertification, but does warrant 
conditional recertification, the career appointee--
        (A) shall remain a career appointee in the Senior Executive 
    Service;
        (B) shall be subject to continuing close review of the career 
    appointee's performance by the supervising official in coordination 
    with an executive resources board established under section 3393, in 
    accordance with a performance improvement plan developed by the 
    supervising official and subject to the approval of the executive 
    resources board;
        (C) may, if the head of the agency so determines, be reduced to 
    the next lower rate of basic pay established under section 5382; and
        (D) shall be removed from the Senior Executive Service if the 
    career appointee is not recertified as a senior executive at the end 
    of the 12-month period following the conditional recertification.

If, at the end of the 12-month period following the conditional 
recertification, the career appointee is recertified as a senior 
executive, any reduction that was made in the career appointee's rate of 
basic pay under subparagraph (C) shall be restored prospectively.
    (3) If the head of the agency decides that the career appointee's 
performance does not demonstrate that the career appointee qualifies for 
recertification or conditional recertification as a senior executive, 
the career appointee shall be removed from the Senior Executive Service 
in accordance with section 3592.
    (f) The Office of Personnel Management shall prescribe standards and 
procedures to ensure consistency and fairness for the process of 
recertification under this section.

(Added Pub. L. 101-194, title V, Sec. 506(a)(1), Nov. 30, 1989, 103 
Stat. 1756.)


                             Effective Date

    Section effective Jan. 1, 1991, see section 506(d) of Pub. L. 101-
194, set out as an Effective Date of 1989 Amendment note under section 
3151 of this title.

                  Section Referred to in Other Sections

    This section is referred to in sections 3151, 3393, 3592, 3593, 
3594, 7701, 8336, 8414 of this title; title 22 section 3945.
