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5 U.S.C. § 4312 — Senior Executive Service performance appraisal systems
Federal law — U.S. Code and appendices · legal_authorities
**(a)** Each agency shall, in accordance with standards established by the Office of Personnel Management, develop one or more performance appraisal systems designed to—
(1) permit the accurate evaluation of performance in any position on the basis of criteria which are related to the position and which specify the critical elements of the position;
(2) provide for systematic appraisals of performance of senior executives;
(3) encourage excellence in performance by senior executives; and
(4) provide a basis for making eligibility determinations for retention in the Senior Executive Service and for Senior Executive Service performance awards.
**(b)** Each performance appraisal system established by an agency under subsection (a) of this section shall provide—
(1) that, on or before the beginning of each rating period, performance requirements for each senior executive in the agency are established in consultation with the senior executive and communicated to the senior executive;
(2) that written appraisals of performance are based on the individual and organizational performance requirements established for the rating period involved; and
(3) that each senior executive in the agency is provided a copy of the appraisal and rating under [section 4314 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section4314&num=0&edition=prelim) and is given an opportunity to respond in writing and have the rating reviewed by an employee, or (with the consent of the senior executive) a commissioned officer in the uniformed services serving on active duty, in a higher level in the agency before the rating becomes final.
**(c)**
(1) The Office shall review each agency’s performance appraisal system under this section, and determine whether the
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Stable record: federal_law:legal_authorities:record_usc_38706dacd40174645c43d0c0
Source file: Laws/federal/codes/united-states-code/title-5/section-4312-senior-executive-service-performance-appraisal-systems--ca1ed1c3f4.md
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Source location: Title 5, Chapter 43, § 4312; chapter-043-performance-appraisal.md
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**(a)** Each agency shall, in accordance with standards established by the Office of Personnel Management, develop one or more performance appraisal systems designed to—
(1) permit the accurate evaluation of performance in any position on the basis of criteria which are related to the position and which specify the critical elements of the position;
(2) provide for systematic appraisals of performance of senior executives;
(3) encourage excellence in performance by senior executives; and
(4) provide a basis for making eligibility determinations for retention in the Senior Executive Service and for Senior Executive Service performance awards.
**(b)** Each performance appraisal system established by an agency under subsection (a) of this section shall provide—
(1) that, on or before the beginning of each rating period, performance requirements for each senior executive in the agency are established in consultation with the senior executive and communicated to the senior executive;
(2) that written appraisals of performance are based on the individual and organizational performance requirements established for the rating period involved; and
(3) that each senior executive in the agency is provided a copy of the appraisal and rating under [section 4314 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section4314&num=0&edition=prelim) and is given an opportunity to respond in writing and have the rating reviewed by an employee, or (with the consent of the senior executive) a commissioned officer in the uniformed services serving on active duty, in a higher level in the agency before the rating becomes final.
**(c)**
(1) The Office shall review each agency’s performance appraisal system under this section, and determine whether the agency performance appraisal system meets the requirements of this subchapter.
(2) The Comptroller General shall from time to time review performance appraisal systems under this section to determine the extent to which any such system meets the requirements under this subchapter and shall periodically report its findings to the Office and to each House of the Congress.
(3) If the Office determines that an agency performance appraisal system does not meet the requirements under this subchapter (including regulations prescribed under section 4315), the agency shall take such corrective action as may be required by the Office.
**(d)** A senior executive may not appeal any appraisal and rating under any performance appraisal system under this section.
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Federal law — U.S. Code and appendices · legal_authorities
It is the purpose of this subchapter to establish a Senior Executive Service to ensure that the executive management of the Government of the United States is responsive to the needs, policies, and goals of the Nation and otherwise is of the highest quality. The Senior Executive Service shall be administered so as to—
(1) provide for a compensation system, including salaries, benefits, and incentives, and for other conditions of employment, designed to attract and retain highly competent senior executives;
(2) ensure that compensation, retention, and tenure are contingent on executive success which is measured on the basis of individual and organizational performance (including such factors as improvements in efficiency, productivity, quality of work or service, cost efficiency, and timeliness of performance and success in meeting equal employment opportunity goals);
(3) assure that senior executives are accountable and responsible for the effectiveness and productivity of employees under them;
(4) recognize exceptional accomplishment;
(5) enable the head of an agency to reassign senior executives to best accomplish the agency’s mission;
(6) provide for severance pay, early retirement, and placement assistance for senior executives who are removed from the Senior Executive Service for nondisciplinary reasons;
(7) protect senior executives from arbitrary or capricious actions;
(8) provide for program continuity and policy advocacy in the management of public programs;
(9) maintain a merit personnel system free of prohibited personnel practices;
(10) ensure accountability for honest, economical, and efficient Government;
(11) ensure compliance with all applicable civil service laws, rules, and regulations, including those related to equal employment opportunity
Source: Supplied U.S. Code snapshot — release unconfirmed · 5 U.S.C. § 3131
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Federal law — U.S. Code and appendices · legal_authorities
**(a)** Each agency shall establish a recruitment program, in accordance with guidelines which shall be issued by the Office of Personnel Management, which provides for recruitment of career appointees from—
(1) all groups of qualified individuals within the civil service; or
(2) all groups of qualified individuals whether or not within the civil service.
**(b)** Each agency shall establish one or more executive resources boards, as appropriate, the members of which shall be appointed by the head of the agency from among employees of the agency or commissioned officers of the uniformed services serving on active duty in such agency. The boards shall, in accordance with merit staffing requirements established by the Office, conduct the merit staffing process for career appointees, including—
(1) reviewing the executive qualifications of each candidate for a position to be filled by a career appointee; and
(2) making written recommendations to the appropriate appointing authority concerning such candidates.
**(c)**
(1) The Office shall establish one or more qualifications review boards, as appropriate. It is the function of the boards to certify the executive qualifications of candidates for initial appointment as career appointees in accordance with regulations prescribed by the Office. Of the members of each board more than one-half shall be appointed from among career appointees. Appointments to such boards shall be made on a non-partisan basis, the sole selection criterion being the professional knowledge of public management and knowledge of the appropriate occupational fields of the intended appointee.
(2) The Office shall, in consultation with the various qualification review boards, prescribe criteria for establishing executive qualifications for appointme
Source: Supplied U.S. Code snapshot — release unconfirmed · 5 U.S.C. § 3393
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Federal law — U.S. Code and appendices · legal_authorities
**(a)** Each performance appraisal system shall provide for annual summary ratings of levels of performance as follows:
(1) one or more fully successful levels,
(2) a minimally satisfactory level, and
(3) an unsatisfactory level.
**(b)** Each performance appraisal system shall provide that—
(1) any appraisal and any rating under such system—
(A) are made only after review and evaluation by a performance review board established under subsection (c) of this section;
(B) are conducted at least annually, subject to the limitation of subsection (c)(3) of this section;
(C) in the case of a career appointee, may not be made within 120 days after the beginning of a new Presidential administration; and
(D) are based on performance during a performance appraisal period the duration of which shall be determined under guidelines established by the Office of Personnel Management, but which may be terminated in any case in which the agency making an appraisal determines that an adequate basis exists on which to appraise and rate the senior executive’s performance;
(2) any career appointee receiving a rating at any of the fully successful levels under subsection (a)(1) of this section may be given a performance award under [section 5384 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section5384&num=0&edition=prelim);
(3) any senior executive receiving an unsatisfactory rating under subsection (a)(3) of this section shall be reassigned or transferred within the Senior Executive Service, or removed from the Senior Executive Service, but any senior executive who receives 2 unsatisfactory ratings in any period of 5 consecutive years shall be removed from the Senior Executive Service; and
(4) any senior executive who twice in any per
Source: Supplied U.S. Code snapshot — release unconfirmed · 5 U.S.C. § 4314
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Federal law — U.S. Code and appendices · legal_authorities
The Office of Management and Budget is an office in the Executive Office of the President.
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Federal law — U.S. Code and appendices · legal_authorities
Page 486
TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES
§ 4312
§ 4312. Senior Executive Service performance ap-
praisal systems
(a) Each agency shall, in accordance with
standards established by the Office of Personnel
Management, develop one or more performance
appraisal systems designed to—
(1) permit the accurate evaluation of per-
formance in any position on the basis of cri-
teria which are related to the position and
which specify the critical elements of the posi-
tion;
(2) provide for systematic appraisals of per-
formance of senior executives;
(3) encourage excellence in performance by
senior executives; and
(4) provide a basis for making eligibility de-
terminations for retention in the Senior Exec-
utive Service and for Senior Executive Service
performance awards.
(b) Each performance appraisal system estab-
lished by an agency under subsection (a) of this
section shall provide—
(1) that, on or before the beginning of each
rating period, performance requirements for
each senior executive in the agency are estab-
lished in consultation with the senior execu-
tive and communicated to the senior execu-
tive;
(2) that written appraisals of performance
are based on the individual and organizational
performance requirements established for the
rating period involved; and
(3) that each senior executive in the agency
is provided a copy of the appraisal and rating
under section 4314 of this title and is given an
opportunity to respond in writing and have
the rating reviewed by an employee, or (with
the consent of the senior executive) a commis-
sioned officer in the uniformed services serv-
ing on active duty, in a higher level in the
agency before the rating becomes final.
(c)(1) The Office shall review each agency’s
performance appraisal syst
Source: Supplied 2024 U.S. Code historical extraction · 5 U.S.C. § 4312
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