---
kind: "section"
citation: "5 U.S.C. § 4314"
title: "5"
title_heading: "Government Organization and Employees"
number: "4314"
heading: "Ratings for performance appraisals"
release: "119-102"
url: "https://uscodex.org/usc/5/4314"
units:
  - "Part III — Employees"
  - "Subpart C — Employee Performance"
  - "Chapter 43 — Performance Appraisal"
  - "Subchapter II — Performance Appraisal in the Senior Executive Service"
---

# §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](/usc/5/8401.md?p=5) established under [subsection (c)](#c) of this section;
    - (B) are conducted at least annually, subject to the limitation of [subsection (c)(3)](#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](/usc/5/500.md?p=a-1) 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)](#a-1) of this section may be given a performance award under [section 5384 of this title](/usc/5/5384.md);
  - (3) any senior executive receiving an unsatisfactory rating under [subsection (a)(3)](#a-3) of this section shall be reassigned or transferred within the Senior Executive [Service](/usc/5/8331.md?p=12), or removed from the Senior Executive [Service](/usc/5/8331.md?p=12), but any senior executive who receives 2 unsatisfactory ratings in any period of 5 consecutive years shall be removed from the Senior Executive [Service](/usc/5/8331.md?p=12); 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](/usc/5/8331.md?p=12).
- (c)
  - (1) Each [agency](/usc/5/500.md?p=a-1) shall establish, in accordance with regulations prescribed by the Office, one or more performance review [boards](/usc/5/8401.md?p=5), as appropriate. It is the function of the [boards](/usc/5/8401.md?p=5) to make recommendations to the appropriate appointing [authority](/usc/5/7103.md?p=a-6) of the [agency](/usc/5/500.md?p=a-1) relating to the performance of senior executives in the [agency](/usc/5/500.md?p=a-1).
  - (2) The supervising official of the senior executive shall provide to the performance review [board](/usc/5/8401.md?p=5), an initial appraisal of the senior executive’s performance. Before making any recommendation with respect to the senior executive, the [board](/usc/5/8401.md?p=5) shall review any response by the senior executive to the initial appraisal and conduct such further review as the [board](/usc/5/8401.md?p=5) finds necessary.
  - (3) Performance appraisals under this subchapter with respect to any senior executive shall be made by the appointing [authority](/usc/5/7103.md?p=a-6) only after considering the recommendations by the performance review [board](/usc/5/8401.md?p=5) with respect to such senior executive under paragraph (1) of this subsection.
  - (4) [Members](/usc/5/5531.md?p=1) of performance review [boards](/usc/5/8401.md?p=5) 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](/usc/5/5531.md?p=1) 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](/usc/5/5531.md?p=1) of the performance review [board](/usc/5/8401.md?p=5) 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.

## Source credit

(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.)

## Notes

### 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 congressional 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.