Defense Advanced Research Projects

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DoD 1402.3-H
Chapter 11

FOREWORD

The Senior Executive Service Handbook is issued under the authority of DoD Directive 1402.3, "Administration of the Senior Executive Service   Program in the Office of the Secretary of Defense and the Defense Agencies," August 15. 1984.

The purpose of this new chapter is to provide information to Senior Executive Service (SES) members and management officials on SES recertification.

This chapter applies to the Office of the Secretary of Defense (OSD), the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Uniformed  Services University of the Health Sciences, the U.S. Mission to NATO and the NATO International Staff and operating agencies, the Defense Agencies (except for the Defense Intelligence Agency and the National Security Agency/central Security Service), and the DoD Field Activities.  For this chapter, the Defense Advanced Research Projects Agency is considered a sub-unit of the Office of the Under Secretary of Defense (Acquisition); the Defense Security Assistance Agency and the Defense Investigative Service are considered sub-units of the Office of the Under Secretary of Defense for Policy; and the Defense Legal Services Agency is considered a sub-unit of the Office of the General Counsel of the Department of Defense.

This chapter is effective immediately, and its use is mandatory.

Send recommended changes through channels to:

      Executive Personnel and Classification Division
      Directorate for Personnel and Security
      Washington Headquarters Services
      Room 3C444, The Pentagon
      Washington, DC 20301-1155

OSD Components may obtain copies of this chapter from OSD Publications, Room 3B960, The Pentagon.

CHAPTER 11

SES RECERTIFICATION

TABLE OF CONTENTS

Page

C11.P1. - SES RECERTIFICATION

6

C11.P1.1. - INTRODUCTION

6

C11.P1.2. - DEFINITIONS

6

C11.P1.3. - COVERAGE

7

C11.P1.4. - WHEN RECERTIFICATION TAKES PLACE

8

C11.P1.5. - RELATION OF PERFORMANCE PLANNING AND EVALUATION
TO RECERTIFICATION

8

C11.P2. - STANDARD FOR RECERTIFICATION

10

C11.P2.1. - STANDARD FOR RECERTIFICATION

10

C11.P2.2. - BASIS FOR RECOMMENDATIONS AND DETERMINATIONS

10

C11.P3. - CONDUCTING THE RECERTIFICATION PROCESS

12

C11.3.1. - INTRODUCTION

12

C11.P3.2. - SUPERVISOR AND CAREER APPOINTEE

12

C11.P3.3. - REVIEWING OFFICIAL

14

C11.P3.4. - PERFORMANCE REVIEW BOARD

14

C11.3.P5. - DECIDING OFFICIAL

15

C11.3.P6. - RECORDS

16

C11.P4. - CONDITIONAL RECERTIFICATION

17

C11.P4.1. - STATUS OF CONDITIONALLY RECERTIFIED CAREER
APPOINTEE

17

C11.P4.2. - END OF CONDITIONAL RECERTIFICATION

17

C11.P5. - REMOVAL FOR FAILURE TO BE RECERTIFIED

19

C11.P5.1. - WRITTEN NOTICE

19

C11.P5.2. - MORITORIUM ON REMOVALS

20

APPENDIX

AP1. - PERFORMANCE APPRAISAL/RECERTIFICATION CHECK LIST/DETAILED
INSTRUCTIONS

21

REFERENCES

References:   (a)  Section 506 of Public Law 101-194,
"Ethics Reform Act of 1989," November 30, 1989

(b)  Title 5, Parts 213, 317, 359, and 842 of the Code
of Federal Regulations

C11.P1.  CHAPTER 11, PART I

SES RECERTIFICATION

C11.P1.1.  INTRODUCTION

C11.P1.1.1.  Purpose.   Under Section 506 of the Ethics
Reform Act of 1989 (Pub. L. 101-194, November 30, 1989)
as further regulated in 5 CFR Parts 213, 317, 359, and
842, and amplifying guidance from the Office of Personnel
Management, Senior Executive Service (SES) career appointees
are subject to recertification by their agencies every
third year, beginning in calendar year 1991.   The Act
adds section 3393a to title 5 of the U.S.C.   The section
states that recertification is intended:   "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. . ."

C11.P1.1.2.  Thus, the Act aims at ensuring that the
career members of the SES represent the best that this
country has to offer in managing the public's business.
 It establishes a recertification process that goes
beyond the annual performance appraisal, which remains
as one of the essential features of the SES, to look
at how the executive has performed over a period of
several years and whether the executive's overall performance
during that period has demonstrated the excellence expected
of a senior executive.   It is intended to enhance the
performance of the SES, to set a standard of excellence
for members of the SES, and to ensure that executives
remain in the SES only when they perform at the expected
level of excellence.

C11.P1.2.  DEFINITIONS

C11.P1.2.1.  Defense Agencies.   For purposes of this
chapter, Defense Agencies are those with performance
review boards (PRBs), including the Defense Communications
Agency, Defense Contract Audit Agency, Defense Finance
and Accounting Service, Defense Logistics Agency, Defense
Mapping Agency, and Defense Nuclear Agency.   Other
organizations with their own PRBs will also be included.

C11.P1.2.2.  OSD.   For purposes of this chapter, this
term (i.e., the Office of the Secretary of Defense)
includes the OSD Components and the Defense Agencies.

C11.P1.2.3.  OSD Components.   For purposes of this
chapter, this term is defined as organizations supported
by Washington Headquarters Services including:   the
OSD, the Chairman of the Joint Chiefs of Staff and the
Joint Staff, the Strategic Defense Initiative Organization,
the Uniformed Services University of the Health Sciences,
the U.S. Mission to NATO, the NATO International Staff
and operating agencies, and the DoD Field Activities.
 Currently, the Defense Advanced Research Projects
Agency is considered a sub-unit of the Office of the
Under Secretary of Defense (Acquisition); the Defense
Security Assistance Agency and the Defense Investigative
Service are considered sub-units of the Office of the
Under Secretary of Defense for Policy; and the Defense
Legal Services Agency is considered a sub-unit of the
Office of the General Counsel of the Department of Defense
for appraisals of Defense Agency General Counsels.
Other Defense Agency counsels are subject to the PRB
of the Agency on whose roles they are appointed.

C11.P1.2.4.  OSD Component Head.   For purposes of this
chapter, this term includes the Deputy Secretary of
Defense (for career appointees reporting directly to
him); Chairman of the Joint Chiefs of Staff; Under Secretaries
of Defense; Assistant Secretaries of Defense not reporting
through Under Secretaries; Comptroller of the Department
of Defense; General Counsel of the Department of Defense/Director,
Defense Legal Service Agency; Director, Operational
Test and Evaluation; Assistants to the Secretary of
Defense; and the President of the Uniformed Services
University of the Health Sciences.   The Defense Advisor
to the U.S. Mission to NATO assumes this role for individuals
assigned to the U.S. Mission.   The international supervisors
of all other SES members assigned to NATO assume this
role for these members unless an exception has been
approved by the Director, Administration and Management,
Office of the Secretary of Defense, to ensure that the
objectives of this plan are achieved.

C11.P1.3.  COVERAGE

C11.P1.3.1.  To be subject to recertification in the
OSD, an executive must be an SES career appointee in
an OSD Component or Defense Agency on June 30, 1991,
or at the close of each recertification period thereafter
(e.g., June 30, 1994; June 30, 1997), and must have
been continuously employed in the SES for the preceding
156 weeks (i.e., 3 years), except that breaks in SES
service totaling 6 months or less are not considered
to interrupt the continuous service.   The 156 weeks
include any combination of service as an SES career,
noncareer, or limited appointee.   The 156 weeks also
include SES service in any Federal Executive Agency
as long as the executive is on OSD Component or Defense
Agency rolls at the end of the recertification period
(e.g., on June 30, 1991).   Executives who do not meet
these criteria at the end of a recertification period
are not subject to recertification until the end of
the next cycle (i.e., the recertification period IS
NOT EXTENDED to complete 156 weeks although the performance
appraisal period is extended to complete 90 days).

C11.P1.3.2.  SES noncareer and limited appointees and
former SES career appointees who took Presidential appointments
with Senate confirmation to positions at Executive Level
V or higher and elected to retain SES benefits are not
subject to recertification.   If a career appointee
is recertified in another Agency and then transfers
to the OSD during the recertification period, the appointee
is not subject to recertification in the OSD.

C11.P1.3.3.  If a career appointee who meets the recertification
coverage criteria transfers from another Agency to the
OSD before the end of a recertification year (e.g.,
by December 31, 1991) and a recertification determination
has not been made, the appointee is subject to recertification
in the OSD.   The recertification recommendations and
determination would need to be based on performance,
awards and recognition, development activities, and
other relevant qualitative factors, if appropriate,
that occurred while the appointee was employed at the
losing Agency and would depend on information provided
by the losing Agency and the appointee.   The same recertification
procedures must be followed as are followed for covered
appointees who are in the OSD on June 30 of the recertification
year.

C11.P1.4.  WHEN RECERTIFICATION TAKES PLACE

Career appointees in the OSD on June 30 of the years
in which recertification occurs (e.g., 1991, 1994),
covered in accordance with section C11.P1.3., above,
are subject to recertification following the process
described in this chapter at the same time that the
final steps of the SES Performance Planning and Evaluation
process are completed.   (See Chapter 4 for a description
of the Performance Planning and Evaluation process.)
 At the time the evaluation phase of the performance
appraisal is undertaken, the recertification evaluation
takes place.   The Performance Planning and Evaluation
form, DD Form 2206, is completed concurrently with the
OSD Senior Executive Service Recertification form, DD
Form 2573.   Both processes must be completed before
the end of the calendar year.

C11.P1.5.  RELATION OF PERFORMANCE PLANNING AND EVALUATION
TO RECERTIFICATION PERFORMANCE

C11.P1.5.1.  Performance planning and evaluation is
a continuing year-long process underpinning the SES.
  Perfomance ratings and bonuses have an impact on pay-level
change decisions, Presidential rank award nomination
decisions, and many other aspects of the administration
of the SES.   Starting in 1991, performance ratings
and bonuses are also factors in the recertification
process.

C11.P1.5.2.  The performance planning and evaluation
process in 1991 and ensuing recertification years must
be completed before final recertification determinations
can be made.   Therefore, if the result of the performance
rating is to remove the senior executive from the SES,
the recertification becomes moot and the recertification
process is terminated.

C11.P2.  CHAPTER 11, PART II

STANDARD FOR RECERTIFICATION

C11.P2.1.  STANDARD FOR RECERTIFICATION

  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 (paragraphs C11.P2.1.1. though C11.P2.1.4.
are mandatory):

C11.P2.1.1.  Planning for, substantially advancing and
attaining, Presidential, Agency, or organizational goals
and objectives that required a sustained superior effort;

C11.P2.1.2.  Taking specific initiatives that advance
a major policy and/or significantly improved delivery
of services;

C11.P2.1.3.  Taking the necessary actions to ensure
the achievement of a quality product in a timely manner;

C11.P2.1.4.  Making significant technical, scientific,
or professional contributions; and, as appropriate (paragraphs
C11.P2.1.5. through C11.P2.1.7. must be applied when
they are pertinent to the appointee's position and performance
plan).

C11.P2.1.5.  Achieving substantial savings in the execution
of programs under his or her direction;

C11.P2.1.6.  Maintaining the high quality and effectiveness
of a program under his or her direction with reduced
resources; and/or

C11.P2.1.7.  Providing strong leadership to enhance
the development, utilization and achievements of subordinate
personnel, including achievement of equal employment
opportunity goals.

C11.P2.2.  BASIS FOR RECOMMENDATIONS AND DETERMINATIONS

Recertification decisions may not automatically be the
result of a single factor (e.g., receipt of three Fully
Successful ratings or a rank award in 1990), but are
to be based on the following factors (it is NOT necessary
to meet all the factors, but each should be considered
to the extent relevant):

C11.P2.2.1.  Performance Ratings for the three years
of the recertification period (e.g., in 1991 the ratings
for 1989, 1990, and 1991 are to be taken into account);

C11.P2.2.2.  Awards and Other Recognition, which may
largely consist of the SES performance awards (bonuses)
and Presidential rank awards, though it should be recognized
that less than half of the career appointees can receive
such an award each year.   Other Government awards and
awards from outside the Government should also be considered.
 Awards recognizing performance over a period of years
that are received during the recertification period,
even though some of the achievements recognized may
have occurred before the recertification period, are
included.   Also included are awards received after
the recertification period, but before the recertification
determination, if the award recognizes performance that
took place during the recertification period.

C11.P2.2.3.  Any Developmental Activities of the Appointee.
 These include professional, educational, or self-developmental
activities.   Supervising officials should consider
such factors as funding availability and the stage of
the appointee's career (i.e., long-term executive vs.
newly appointed executive) when evaluating the extent
to which a career appointee participated in developmental
activities.

C11.P2.2.4.  Other Relevant Qualitative Factors.   For
other relevant qualitative factors to be considered
in determining if career appointees in the OSD or any
of the Defense Agencies meet the standard for recertification
in any recertification year, the following steps must
be taken:

C11.P2.2.4.1.  The factors must apply, if appropriate,
to all career appointees covered by a PRB (e.g., all
reviewed by the OSD PRB or all reviewed by one of the
Defense Agency PRBs)

C11.P2.2.4.2.  The factors must be written.

C11.P2.2.4.3.  The written policy establishing the factors
must be distributed to all affected career appointees
before the recertification process begins that year.

C11.P3.  CHAPTER 11, PART III

CONDUCTING THE RECERTIFICATION PROCESS

C11.P3.1.  INTRODUCTION

C11.P3.1.1.  This chapter of the OSD SES Handbook was
developed in consultation with career appointees in
the OSD (including the Defense Agencies) and then approved
by the Office of Personnel Management (OPM).   Copies
of this chapter, as well as all the other chapters and
any changes in any of the chapters, are to be distributed
to all SES members in the OSD.   Reports on the recertification
process in the OSD will be made, as required, to the
OPM.

C11.P3.1.2.  Before the beginning of each recertification
determination process, executives who supervise career
appointees, and members of PRBs, will be given training
on the objectives and procedures of the recertification
process.

C11.P3.2.  SUPERVISOR AND CAREER APPOINTEE

C11.P3.2.1.  As with the performance planning and evaluation
process, the recertification process will follow steps
on a form.   All the steps taken in making recertification
decisions are to be documented on the OSD Senior Executive
Service Recertification form, DD Form 2573.   A Check
List/Detailed Instructions is available (see Appendix
1) and should be used by OSD Components before submitting
the SES performance planning and evaluation and recertification
forms to the OSD PRB through the Executive Personnel
and Classification Division, Personnel and Security
Directorate, Washington Headquarters Services.   This
Check List/Detailed Instructions can also be used in
the Defense Agencies.   Careful use of the Check List/Detailed
Instructions should prevent errors and make the process
work correctly and easily.

C11.P3.2.2.  The first step in the recertification process
is for the career appointee's immediate supervisor to
make a recommendation as to whether the appointee should
be recertified, conditionally recertified, or not recertified.
 (The supervisor of record is responsible for the recertification
of an appointee on detail.)   There is no minimum length
of time that an official must serve as a career appointee's
supervisor before making a recertification recommendation.
 The supervisor should show on the form whether standards
5, 6, and/or 7 are applicable to the responsibilities
of the appointee.   Performance ratings for the previous
2 years and SES bonuses and Presidential rank awards
will be on the form when the supervisor receives it
but the supervisor is responsible for checking the accuracy
of the information.   The additional factors that must
be entered on the form by the supervisor include the
recommended rating for the current performance year
(e.g., July 1, 1990 to June 30, 1991), any significant
awards in addition to SES bonuses and Presidential rank
awards, any developmental activities of the appointee,
and any other relevant qualitative factors established.
 All material supporting the supervisor's recommendation,
whether the recommendation is to recertify, conditionally
recertify, or not to recertify the SES member, must
only cover the previous 3 years (e.g., July 1, 1988
to June 30, 1991).   The recommendation shall be based
on the appointee's overall performance during these
3 years.

C11.P3.2.3.  If the supervisor is recommending that
the career appointee be conditionally recertified or
not recertified, the supervisor must put the reason
in writing.   The reason should be specific enough so
that the appointee will be able to understand why the
action was taken and should be adequate to support the
OSD case if the appointee appeals a removal action to
the merit Systems Protection Board (MSPB).   if recommending
conditional recertification, the supervisor may also
make a recommendation to lower the appointee's pay one
level.   The supervisor must then meet with the career
appointee and give the appointee a copy of the recommendation.
 The appointee has 7 calendar days in which to prepare
a written response.    While all appointees have the
opportunity to respond, it is encouraged by those that
the supervisor recommends be conditionally recertified
or not recertified and is not necessary for other appointees.
 The response will be attached to the form and become
part of the permanent file.   Before the form goes to
the OSD Component Head or equivalent Defense Agency
official, it may go through a second-level review if
one has been designated by the Component Head or Defense
Agency official or requested by the appointee (for some
appointees, there may not be a second level manager
between the supervisor and the Component Head or Defense
Agency official).

1 In addition to making recommendations concerning the
recertification of career appointees of the OSD Components,
the OSD PRB makes recommendations for career civilian
Directors, Deputy Directors, and General Counsels of
Defense Agencies, and other career appointees identified
on a case-by-case basis.

C11.P3.3.  REVIEWING OFFICIAL

The "reviewing official" is the Component Head for career
appointees reviewed by the OSD PRB 1 and the equivalent
Defense Agency official for appointees reviewed by Defense
Agency PRBs (for some appointees, the reviewing official
is also the supervisor).   The reviewing official must
consider all the written information provided and document
a recertification recommendation on the form.   If the
supervisor made a recommendation to recertify the career
appointee and the reviewing official is making a recommendation
to conditionally recertify or not to recertify the career
appointee, the reasons must be put in writing, in the
same manner as described for the supervisor, and the
appointee must be given the written statement and 7
calendar days to provide a written response.   If the
reviewing official's recommendation endorses the supervisor's
recommendation, this must be entered on the recertification
form but additional reasons need not be provided unless
the reviewing official desires to do so.   The reviewing
official may also recommend or endorse a recommendation
to lower the appointee's pay one level if the recommendation
is to conditionally recertify.

C11.P3.4.  PERFORMANCE REVIEW BOARD

C11.P3.4.1.  The OSD PRBs are discussed in detail in
Chapter 5. of the SES Handbook.   This chapter provides
that more than one-half of the membership of any PRB
or any PRB panel reviewing the performance appraisal
of a career appointee shall be career appointees in
the SES and that members may not participate in the
review of their own performance ratings, those that
they have written or reviewed as a supervisor, or those
of executives to whom they are directly subordinate.
 The same PRB that reviews the performance of the career
appointees will make recommendations concerning their
recertification.   If a PRB needs more information to
make a recommendation about recertification, it may
request additional documentation from the supervisor
or request that the supervisor appear before the PRB.

C11.P3.4.2.  If a PRB proposes to recommend that a career
appointee be conditionally recertified or not recertified,
the appointee shall be notified in writing and given
7 calendar days to prepare (additional) written material
or to request an appearance before the PRB (i.e., every
appointee whom the PRB recommends be conditionally recertified
or not recertified will have had an opportunity to appear
before the PRB).   The meeting of the PRB with the affected
career appointee may be scheduled as soon as is convenient
after the appointee's request to appear is received,
once 7 days have elapsed since the first notification.

C11.P3.4.3.  If a PRB recommends that a career appointee
be conditionally recertified or not recertified and
the supervisor and the reviewing official have recommended
recertification, the PRB's reason must be put in writing
(similarly, if the supervisor and the reviewing official
have recommended that an appointee be conditionally
recertified or not recertified and the PRB recommends
recertification, the PRB's reason must be put in writing).
 The reason for recommending that the appointee be
conditionally recertified or not recertified should
be able to support the OSD case if the appointee appeals
a removal action to the MSPB.   If a PRB recommends
conditional recertification, it may make a recommendation
to lower the appointee's pay one level.

C11.P3.4.4.  The recommendations of the PRB will be
documented on the recertification form.   If a PRB recommends
that a career appointee be recertified, it may also
recommend that the appointee's pay level be raised.
 If a PRB makes such a recommendation, the information
will be attached to the recertification form.

C11.P3.5.  DECIDING OFFICIAL

C11.P3.5.1.  For career appointees reviewed by the OSD
PRB, the "deciding official" who will make the final
determination as to whether a career appointee shall
be conditionally recertified or not recertified and
whether the pay of those conditionally recertified should
be lowered one level, is the Secretary of Defense. 2
 The Secretary of Defense has delegated the authority
to make the final determinations (i.e., be the deciding
official) as to whether career appointees reviewed by
the OSD PRB shall be recertified to the Director, Administration
and Management, Office of the Secretary of Defense.
 The Secretary of Defense has delegated the authority
to nake determinations to recertify, conditionally recertify,
or not recertify career appointees reviewed by Defense
Agency PRBs to the Defense Agency Directors, so for
these appointees the deciding official will be the appropriate
Defense Agency Director.

C11.P3.5.2.  The appointee is not provided an opportunity
to make a further presentation in writing or in person
to a deciding official.   Deciding officials will make
recertification determinations for each career appointee
subject to recertification based upon the documentation
and not based on any predetermined number or percentage
of appointees who should be recertified, conditionally
recertified, or not recertified.   The documentation
includes the OSD SES recertification form (DoD Form
2573) and any attachments from the supervisor, appointee,
reviewing official, and PRB.

2  Throughout this chapter, "Secretary of Defense" should
be taken to mean Secretary of Defense or Deputy Secretary
of Defense except in the case of the 120-day moratorium
referred to in section C11.P4.2.

C11.P3.5.3.  A decision must be made about the current
year's (e.g., 1991) performance rating and any bonus
payment before a recertification determination can be
made.   Therefore, the OSD PRB's recommendations about
performance ratings and bonuses will be sent to the
Secretary of Defense for final determination before
the OSD PRB recertification recommendations are sent
to the Director, Administration and Management, Office
of the Secretary of Defense (DA&M, OSD).   The DA&M,
OSD, must consider the current performance rating and
bonus decisions of the Secretary of Defense before making
decisions to recertify career appointees.   The DA&M,
OSD, makes recommendations to the Secretary of Defense
to conditionally recertify or not recertify career appointees
and, if the recommendation is to conditionally recertify,
whether the appointee's pay should be lowered one level.
 These recommendations are made in a cover memorandum
to the Secretary of Defense and not on the recertification
form.

C11.P3.5.4.  The recertification determination and any
decision to lower the pay of any appointee conditionally
recertified must be entered on the recertification form.

C11.P3.5.5.  If the deciding official determines that
the career appointee shall be recertified, the appointee
shall continue in the SES.   Further, the appointee's
rate of basic pay may not be reduced at the time of
recertification.   The actions following a determination
to conditionally recertify or not recertify a career
appointee are described in C11.P4. and C11.P5., below.

C11.P3.6.  RECORDS

Recertification documentation shall be maintained in
the career appointee's Employee Performance Folder (EPF)
in accordance with Office of Personnel Management instructions.
 Maintenance of the EPFs is described in Appendix 2
of Chapter 4 of this SES Handbook.

C11.P4.  CHAPTER 11, PART IV

CONDITIONAL RECERTIFICATION

C11.P4.1.  STATUS OF CONDITIONALLY RECERTIFIED CAREER
APPOINTEE

If a career appointee is conditionally recertified,
the appointee:

C11.P4.1.1.  Must be notified in writing of his or her
status and the actions that will follow and be provided
with a copy of the recertification form and supporting
documentation.

C11.P4.1.2.  Remains a career appointee in the SES.

C11.P4.1.3.  If so determined by the deciding official,
will have his or her pay lowered one level (once 12
months have elapsed since the appointee's last pay level
adjustment).

C11.P4.1.4.  Must have a performance improvement plan,
developed by the appointee's supervisor in consultation
with the appointee and approved by the appropriate Executive
Resources Board (ERB) or an executive development committee
of the ERB.   (Chapter 1 of this SES Handbook discusses
ERBs).   The performance improvement plan should include
a description of the deficiencies in the appointee's
performance, what constitutes satisfactory completion
of the plan, a statement of the support and assistance
to be provided by the supervisor, and any formal training
planned.   The improvement plan shall conform with the
performance standards for the performance year (e.g.,
July 1, 1991 to June 30, 1992).   The plan should be
in place no later than 60 days after the determination
to conditionally recertify the appointee and periodic
progress review discussions shall be held and documented
at least every 120 days.

C11.P4.1.5.  Does not have a right to appeal to the
MSPB.

C11.P4.2.  END OF CONDITIONAL RECERTIFICATION

C11.P4.2.1  At the end of 12 months following conditional
recertification, a new recertification determination
must be made according to the same process that resulted
in the initial determination to conditionally recertify
the career appointee.   The appointee is entitled to
see any documentation to be used in the new determination.
 At this time, only two determinations are possible:   the
appointee must be either recertified or not recertified.

C11.P4.2.2.  If the appointee is recertified, he or
she shall remain a career appointee in the SES.   If
the appointee's pay was lowered one level, it shall
be restored as of the beginning of the first pay period
following recertification provided that at least 12
months have elapsed since the pay reduction.   The appointee's
next recertification period starts at the time he or
she was initially conditionally recertified.

C11.P4.2.3.  If the appointee if not recertified, he
or she shall be removed from the SES according to the
procedures used following an initial determination not
to recertify, as described in C11.P5., below.

C11.P4.2.4.  While a new recertification determination
may be made only after the 12 months have elapsed, an
appointee may be removed under the annual performance
removal procedures, if appropriate, as long as the appointee
has served the minimum appraisal period of 90 days.

C11.P5.  CHAPTER 11, PART V

REMOVAL FOR FAILURE TO BE CERTIFIED

C11.P5.1.  REMOVAL FOR FAILURE TO BE CERTIFIED

If the determination is that a career appointee shall
not be recertified, the appointee shall be removed from
the SES in accordance with 5 U.S.C. 3592 and Subpart
C of 5 CFR Part 359, except that reemployed annuitants
shall be removed in accordance with Subpart I.

C11.P5.2.  WRITTEN NOTICE

C11.P5.2.1.  The appointee shall be notified in writing
before the effective date of the action.   If the appointee
has completed the SES probationary period, or was not
required to serve a probationary period, the notice
shall be at least 30 calendar days before the effective
date of the removal from the SES.   An appointee serving
a probationary period must receive a written notice
at least 1 day in advance.

C11.P5.2.2.  The notice shall include the completed
recertification determination from and supporting documentation
and shall advise the appointee of:

C11.P5.2.2.1.  The basis for the action.

C11.P5.2.2.2.  The appointee's placement rights provided
under 5 CFR 359.701-705.   The position to which the
appointee will be assigned shall be identified either
in the original notice or in a supplementary notice
issued no later than 10 calendar days before the effective
date of the action (1 day if appointee is still serving
a probationary period).

C11.P5.2.2.3.  The appointee's right to appeal to the
MSPB in accordance with 5 U.S.C. 3592(a)(3) under 5
U.S.C. 7701, including the time limit for appeal, the
office to which an appeal should be sent, and that there
is no provision for a stay in the removal action pending
the appeal process.

C11.P5.2.2.4.  The effective date of the removal from
the SES.

C11.P5.2.2.5.  When applicable, the appointee's eligibility
for immediate discontinued service retirement instead
of placement rights, with no annuity reduction based
on age for appointee's covered by the Civil Service
Retirement System (CSRS) and eligibility for an annuity
supplement regardless of age for appointees covered
by the Federal Employees' Retirement System (FERS).

C11.P5.3.  MORATORIUM ON REMOVALS

According to 5 U.S.C. 3592(b)(1), a career appointee
in the OSD may not be involuntarily removed from the
SES within 120 days after the appointment of a Secretary
of Defense, and a career appointee whose performance
is reviewed by a Defense Agency PRB also may not be
involuntarily removed from the SES within 120 days after
the appointment of a noncareer Director of his or her
Defense Agency.   This applies only to the removal action
and does not otherwise delay the recertification process.

C11.AP1.  APPENDIX 1 TO CHAPTER 11

PERFORMANCE PLANNING AND EVALUATION/RECERTIFICATION
CHECK LIST/DETAILED INSTRUCTIONS

For use by OSD Components/Defense Agencies before submitting
the Performance Appraisal Form (DD Form 2206) and the
SES Recertification Form (DD Form 2573) to the Executive
Personnel & Classification Division/Defense Agency personnel
office for transmittal to the Performance Review Board.

A.  Performance Planning and Evaluation, DD Form 2206.
 Must be completed for every SES member, regardless
of type of appointment, who is on board on June 30 of
each performance year.

Steps 1 and 2.   Check for coverage, either in a critical
element or performance standard, of the items listed
below.   EEO/AA must be covered on every form; other
items must be covered where applicable.   Write on the
appropriate line where (e.g., element 1 or standard
2) item is covered.   Indicate if not applicable (i.e.,
"N.A.").

        Meeting EEO/affirmative action goals

        Internal Management Control responsibilities

        Discharge of security responsibilities

        Increasing contract awards to minority institutions

        Achieving cost savings/increasing competition
in acquisition process       _______________

        Resolution of contract audits

        Implementation of Defense Management Report
Decisions                       _______________

Step 3.   Have both SES member and supervisor (rater)
signed and dated the acknowledgment of critical elements
and standards?

Step 4.   Was a progress review accomplished?   Did
both SES member and supervisor sign it?

Step 5.   Does each overall ELEMENT have a narrative
evaluation and 1

check indicating a rating?   EACH STANDARD should NOT
have a check.           _______________

Step 6.   Has SES member signed & dated Acknowledgment
of Evaluation?         _______________

If a higher-level review was requested, has it been
accomplished?                         _______________

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Part A on Page 1.   All identifying items (1, 2, 3,
4, & 6) must be completed?

Item 2 must be title of position of record. Item 5 would be,
for example, 900701 to 910630 for executives in SES
the entire 1990-91 performance year; those appointed to
SES during the 1990-91 period would have their date of
appointment as the "from" date and 910630 or a date 90
days after appointment (whichever is later) as the "to" date.

Are items 1 to 7 correct; is supervisor's signature and
date in item 8?                           _______________

Check for a separate supplemental memorandum if bonus
recommendation in item 9 of Part A is completed.   Both
item 9 and the memorandum must be signed by Component
Head and dated.   Memorandum needed?

 __________ Attached?  _______

B.   Recertification, Form DD 2573.   Must be completed
for every career appointee in the SES on June 30 of a
recertification year who has completed 3 years of
continuous service in the SES except breaks of 6 months
or less.

All information should be for the 3-year period immediately
preceding (e.g., for 7/1/88 to 6/30/91).

SOURCE OF FORMS.   The form will be initialed by the
Executive Personnel & Classification Division, Personnel
and Security Directorate, for covered appointees whose
performance is reviewed by the OSD PRB and given to the
appropriate OSD components for completion.   It will
be initiated in personnel offices of Defense Agencies
for career appointees whose performance is reviewed by
Defense Agency PRBs.   The identifying items at the top
of the form and the following items under "Factors
to be considered in determining if career appointee
meets standard" will already be filled in but must be
checked by the supervisor:

Performance Ratings for previous 2

years, Performance Awards (i.e., bonuses) for previous
2 years, and

Presidential rank awards for previous 3 years.   The
performance rating and

bonus for the CURRENT YEAR may NOT be entered until
the Secretary of Defense or Deputy Secretary of Defense
decides on the rating and bonus.

First.   Make a determination as to which of the last
three parts of the standard apply to the appointee.
Check which apply:

                                        5.   Achieving
savings?

                                        6.   Maintaining
quality with reduced resources?           _____________

                                        7.   Leadership
of subordinates?

Second.   Complete the information on the bottom of
page 1.

        Is information entered in advance correct?

        Have any additional awards of the appointee
been entered?                         _____________

        And any professional, educational, or self-development
activities?           _____________

        Has an entry made under Other Relevant Qualitative
Factors (only if) in accord with written policy?

Third.   Has supervisor recommended whether appointee
should be recertified, conditionally recertified, or
not recertified and, if recommending conditional
recertification, whether the appointee's pay should
be lowered one level?

Attached written justification if not recommending
recertification?                   _____________

Fourth.   Has appointee acknowledged the supervisor's
recommendation and, if he/she wishes to (especially if
recommendation is negative), provide supplemental
written material?

Fifth.   Has a second-level review been made if requested
or required?               _____________

Sixth.   Has reviewing official recommended whether
appointee should be recertified, conditionally recertified,
or not recertified and, if recommending conditional
recertification, whether the appointee's pay level should
be lowered?

Attached written justification if recommendation differs
from supervisor's?      _____________

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