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 system under this sec- tion, and determine whether the agency per- formance appraisal system meets the require- ments 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 re- port its findings to the Office and to each House of the Congress. (3) If the Office determines that an agency per- formance appraisal system does not meet the re- quirements 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 ap- praisal and rating under any performance ap- praisal system under this section. (Added Pub. L. 95–454, title IV, § 405(a), Oct. 13, 1978, 92 Stat. 1167; amended Pub. L. 98–615, title III, § 306(b)(2), Nov. 8, 1984, 98 Stat. 3220.) Editorial Notes AMENDMENTS 1984—Subsec. (b)(3). Pub. L. 98–615 inserted ‘‘, or (with the consent of the senior executive) a commissioned of- ficer in the uniformed services serving on active duty,’’ and directed that ‘‘executive’’ be struck out which was executed by striking ‘‘executive’’ only where it ap- peared before ‘‘level in the agency’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 1984 AMENDMENT Amendment by Pub. L. 98–615 effective following ex- piration of 90-day period beginning on Nov. 8, 1984, see section 307 of Pub. L. 98–615, set out as a note under sec- tion 3393 of this title. EFFECTIVE DATE Section effective 9 months after Oct. 13, 1978, and con- gressional review of provisions of sections 401 through 412 of Pub. L. 95–454, see section 415(a)(1), (b), of Pub. L. 95–454, set out as a note under section 3131 of this title. § 4313. Criteria for performance appraisals Appraisals of performance in the Senior Exec- utive Service shall be based on both individual and organizational performance, taking into ac- count such factors as— (1) improvements in efficiency, productivity, and quality of work or service, including any significant reduction in paperwork; (2) cost efficiency; (3) timeliness of performance; (4) other indications of the effectiveness, productivity, and performance quality of the employees for whom the senior executive is re- sponsible; (5) meeting affirmative action goals, achievement of equal employment opportunity requirements, and compliance with the merit systems principles set forth under section 2301 of this title; and (6) protecting whistleblowers, as described in section 4302(b)(2). (Added Pub. L. 95–454, title IV, § 405(a), Oct. 13, 1978, 92 Stat. 1168; amended Pub. L. 103–424, § 6, Oct. 29, 1994, 108 Stat. 4364; Pub. L. 115–91, div. A, title X, § 1097(d)(2), Dec. 12, 2017, 131 Stat. 1620.) Editorial Notes AMENDMENTS 2017—Par. (6). Pub. L. 115–91 added par. (6). 1994—Par. (5). Pub. L. 103–424 amended par. (5) gen- erally. Prior to amendment, par. (5) read as follows: ‘‘meeting affirmative action goals and achievement of equal employment opportunity requirements.’’ Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective 9 months after Oct. 13, 1978, and con- gressional review of provisions of sections 401 through 412 of Pub. L. 95–454, see section 415(a)(1), (b), of Pub. L. 95–454, set out as a note under section 3131 of this title. § 4314. Ratings for performance appraisals (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— Page 487 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 4315 1 So in original. Probably should not be capitalized. 2 So in original. Does not conform to subchapter heading. (A) are made only after review and evalua- tion by a performance review board estab- lished under subsection (c) of this section; (B) are conducted at least annually, sub- ject 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 begin- ning of a new Presidential administration; and (D) are based on performance during a per- formance appraisal period the duration of which shall be determined under guidelines established by the Office of Personnel Man- agement, but which may be terminated in any case in which the agency making an ap- praisal determines that an adequate basis exists on which to appraise and rate the sen- ior executive’s performance; (2) any career appointee receiving a rating at any of the fully successful levels under sub- section (a)(1) of this section may be given a performance award under section 5384 of this title; (3) any senior executive receiving an unsat- isfactory rating under subsection (a)(3) of this section shall be reassigned or transferred within the Senior Executive Service, or re- moved from the Senior Executive Service, but any senior executive who receives 2 unsatis- factory ratings in any period of 5 consecutive years shall be removed from the Senior Execu- tive Service; and (4) any senior executive who twice in any pe- riod 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 accord- ance with regulations prescribed by the Office, one or more performance review boards, as ap- propriate. It is the function of the boards to make recommendations to the appropriate ap- pointing authority of the agency relating to the performance of senior executives in the agency. (2) The supervising official of the senior execu- tive shall provide to the performance review board, an initial appraisal of the senior execu- tive’s performance. Before making any rec- ommendation with respect to the senior execu- tive, the board shall review any response by the senior executive to the initial appraisal and con- duct such further review as the board finds nec- essary. (3) Performance appraisals under this sub- chapter 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 sub- section. (4) Members of performance review boards shall be appointed in such a manner as to assure consistency, stability, and objectivity in per- formance 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 ap- pointee, more than one-half of the members of the performance review board shall consist of career appointees. The requirement of the pre- ceding sentence shall not apply in any case in which the Office determines that there exists an insufficient number of career appointees avail- able to comply with the requirement. (Added Pub. L. 95–454, title IV, § 405(a), Oct. 13, 1978, 92 Stat. 1169; amended Pub. L. 104–66, title II, § 2181(b), Dec. 21, 1995, 109 Stat. 732.) Editorial Notes AMENDMENTS 1995—Subsec. (d). Pub. L. 104–66 struck out subsec. (d) which related to reports to Congress. Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective 9 months after Oct. 13, 1978, and con- gressional review of provisions of sections 401 through 412 of Pub. L. 95–454, see section 415(a)(1), (b), of Pub. L. 95–454, set out as a note under section 3131 of this title. § 4315. Regulations The Office of Personnel Management shall pre- scribe regulations to carry out the purpose of this subchapter. (Added Pub. L. 95–454, title IV, § 405(a), Oct. 13, 1978, 92 Stat. 1170.) Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective 9 months after Oct. 13, 1978, and con- gressional review of provisions of sections 401 through 412 of Pub. L. 95–454, see section 415(a)(1), (b), of Pub. L. 95–454, set out as a note under section 3131 of this title. CHAPTER 45—INCENTIVE AWARDS SUBCHAPTER I—AWARDS FOR SUPERIOR ACCOMPLISHMENTS Sec. 4501. Definitions. 4502. General provisions. 4503. Agency awards. 4504. Presidential awards. 4505. Awards to former employees. 4505a. Performance-based cash awards. 4506. Regulations. 4507. Awarding of Ranks 1 in the Senior Executive Service. 4507a. Awarding of ranks to other senior career em- ployees. 4508. Limitation of awards during a Presidential election year. 4509. Prohibition of cash award to Executive Schedule officers. SUBCHAPTER II—AWARDS FOR COST SAVINGS DISCLOSURES 4511. Definition and general provisions. 4512. Agency awards for cost savings disclosures. 4513. Presidential awards for cost savings disclo- sures. [4514. Repealed.] SUBCHAPTER III—AWARDS TO LAW ENFORCE- MENT OFFICERS FOR FOREIGN LANGUAGE CA- PABILITIES 2 4521. Definition. 4522. General provision.