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5 U.S.C. § 4314 — Ratings for performance appraisals

Federal law — U.S. Code and appendices · legal_authorities

5 U.S.C. § 4314 — Ratings for performance appraisals

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Stable record: federal_law:legal_authorities:record_usc_d4f249833cccde30de99c2d5
Source file: Laws/federal/codes/united-states-code/title-5/section-4314-ratings-for-performance-appraisals--f5d24904aa.md
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Source location: Title 5, Chapter 43, § 4314; chapter-043-performance-appraisal.md

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**(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 period of 3 consecutive years receives less than fully successful ratings shall be removed from the Senior Executive Service. **(c)** (1) Each agency shall establish, in accordance with regulations prescribed by the Office, one or more performance review boards, as appropriate. It is the function of the boards to make recommendations to the appropriate appointing authority of the agency relating to the performance of senior executives in the agency. (2) The supervising official of the senior executive shall provide to the performance review board, an initial appraisal of the senior executive’s performance. Before making any recommendation with respect to the senior executive, the board shall review any response by the senior executive to the initial appraisal and conduct such further review as the board finds necessary. (3) Performance appraisals under this subchapter with respect to any senior executive shall be made by the appointing authority only after considering the recommendations by the performance review board with respect to such senior executive under paragraph (1) of this subsection. (4) Members of performance review boards shall be appointed in such a manner as to assure consistency, stability, and objectivity in performance appraisal. Notice of the appointment of an individual to serve as a member shall be published in the Federal Register. (5) In the case of an appraisal of a career appointee, more than one-half of the members of the performance review board shall consist of career appointees. The requirement of the preceding sentence shall not apply in any case in which the Office determines that there exists an insufficient number of career appointees available to comply with the requirement.

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Federal law — U.S. Code and appendices · legal_authorities

5 U.S.C. § 3131 — The Senior Executive Service

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

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Federal law — U.S. Code and appendices · legal_authorities

5 U.S.C. § 5384 — Performance awards in the Senior Executive Service

**(a)** (1) To encourage excellence in performance by career appointees, performance awards shall be paid to career appointees in accordance with the provisions of this section. (2) Such awards shall be paid in a lump sum and shall be in addition to the basic pay paid under [section 5382 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section5382&num=0&edition=prelim) or any award paid under [section 4507 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section4507&num=0&edition=prelim). **(b)** (1) No performance award under this section shall be paid to any career appointee whose performance was determined to be less than fully successful at the time of the appointee’s most recent performance appraisal and rating under subchapter II of chapter 43 of this title. (2) The amount of a performance award under this section shall be determined by the agency head but may not be less than 5 percent nor more than 20 percent of the career appointee’s rate of basic pay. (3) The aggregate amount of performance awards paid under this section by an agency during any fiscal year may not exceed the greater of— (A) an amount equal to 10 percent of the aggregate amount of basic pay paid to career appointees in such agency during the preceding fiscal year; or (B) an amount equal to 20 percent of the average of the annual rates of basic pay paid to career appointees in such agency during the preceding fiscal year. **(c)** (1) Performance awards paid by any agency under this section shall be based on recommendations by performance review boards established by such agency under [section 4314 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section4314&num=0&edition=prelim).

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Federal law — U.S. Code and appendices · legal_authorities

5 U.S.C. § 4312 — Senior Executive Service performance appraisal 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 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

Source: Supplied U.S. Code snapshot — release unconfirmed · 5 U.S.C. § 4312

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Federal law — U.S. Code and appendices · legal_authorities

5 U.S.C. § 4314 — Ratings for performance appraisals

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

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