US Laws, Codes, Statutes & Cases

From the U.S. Code Online via GPO Access
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[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
  January 24, 2002 and December 19, 2002]
[CITE: 5USC4314]

 
             TITLE 5--GOVERNMENT ORGANIZATION AND EMPLOYEES
 
                           PART III--EMPLOYEES
 
                     Subpart C--Employee Performance
 
                    CHAPTER 43--PERFORMANCE APPRAISAL
 
  SUBCHAPTER II--PERFORMANCE APPRAISAL IN THE SENIOR EXECUTIVE SERVICE
 
Sec. 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--
            (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;
        (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.

(Added Pub. L. 95-454, title IV, Sec. 405(a), Oct. 13, 1978, 92 Stat. 
1169; amended Pub. L. 104-66, title II, Sec. 2181(b), Dec. 21, 1995, 109 
Stat. 732.)


                               Amendments

    1995--Subsec. (d). Pub. L. 104-66 struck out subsec. (d) which 
related to reports to Congress.

                  Section Referred to in Other Sections

    This section is referred to in sections 3395, 3592, 4312, 5384 of 
this title.