§ 4312. Senior Executive Service performance appraisal systems

Legislative history

Reconstructed from this section’s Code source credit and amendment notes, resolved against the local Statutes at Large. Editorial notes are evidence, not the law that made the change.

1. 1978

   Pub. L. 95–454 title IV § 405(a) · 92 Stat. 1111

   Enacted · 5 U.S.C. § 4312

   Added Pub. L. 95–454, title IV, § 405(a), Oct. 13, 1978, 92 Stat. 1167

   Source evidence

   Code source credit
   Added Pub. L. 95–454, title IV, § 405(a), Oct. 13, 1978, 92 Stat. 1167

   Enacted provision · exact public law section
   (a) Chapter 43 of title 5, United States Code, is amended by adding at the end thereof the following: “SUBCHAPTER II— PERFORMANCE APPRAISAL IN THE SENIOR EXECUTIVE SERVICE “§4311. Definitions “For the purpose of this subchapter, ‘agency’, ‘senior executive’, and ‘career appointee’ have the meanings set forth in section 3132(a) of this title. Ante, p. 1155. “§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 and is given an opportunity to respond in writing and have the rating reviewed by an employee in a higher executive 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 Report to OPM and Congress. 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. “§4313. Criteria for performance appraisals “Appraisals of performance in the Senior Executive Service shall be based on both individual and organizational performance, taking into account 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 responsible; and “(5) meeting affirmative action goals and achievement of equal employment opportunity requirements. “§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; Post, p. 1172. “(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 Performance review boards. Establishment. 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 Membership. such a manner as to assure consistency, stability, and objectivity in performance appraisal. Notice of the appointment of an individual Publication in Federal Register. 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. “(d) The Office shall include in each report submitted to each Report to Congress. House of the Congress under section 3135 of this title a report of— “(1) the performance of any performance review board established Ante, p. 1159. under this section, “(2) the number of individuals removed from the Senior Executive Service under subchapter V of chapter 35 of this title for Ante, p. 1165. less than fully successful executive performance, and “(3) the number of performance awards under section 5384 of this title. Post, p. 1172. “§4315. Regulations “The Office of Personnel Management shall prescribe regulations to carry out the purpose of this subchapter.”.

2. 1984

   Civil Service Retirement Spouse Equity Act of 1984

   Pub. L. 98–615 title III § 306(b)(2) · 98 Stat. 3195

   Struck and inserted · 5 U.S.C. § 4312(b)(3)

   Pub. L. 98–615 inserted “, or (with the consent of the senior executive) a commissioned officer in the uniformed services serving on active duty,” and directed that “executive” be struck out which was executed by striking “executive” only where it appeared before “level in the agency”

   Source evidence

   Code amendment note
   Subsec. (b)(3). Pub. L. 98–615 inserted “, or (with the consent of the senior executive) a commissioned officer in the uniformed services serving on active duty,” and directed that “executive” be struck out which was executed by striking “executive” only where it appeared before “level in the agency”.

   Enacted provision · exact public law section
   (2) Section 4312(b)(3) of such title is amended by inserting “, or (with the consent of the senior executive) a commissioned officer in the uniformed services serving on active duty,” after “employee”, and by striking out “executive”.

   Effective date note
   Amendment by Pub. L. 98–615 effective following expiration of 90-day period beginning on Nov. 8, 1984, see section 307 of Pub. L. 98–615, set out as a note under section 3393 of this title.

2 of 2 references resolved to an enrolled provision