---
kind: "section"
citation: "5 U.S.C. § 4302"
title: "5"
title_heading: "Government Organization and Employees"
number: "4302"
heading: "Establishment of performance appraisal systems"
release: "119-102"
date: "2026-07-12"
url: "https://uscodex.org/usc/5/4302"
units:
  - "Part III — Employees"
  - "Subpart C — Employee Performance"
  - "Chapter 43 — Performance Appraisal"
  - "Subchapter I — General Provisions"
---

# §4302. Establishment of performance appraisal systems

- (a) Each [agency](/usc/5/4301.md?p=1) shall develop one or more performance appraisal [systems](/usc/5/8401.md?p=29) which—
  - (1) provide for periodic appraisals of job performance of [employees](/usc/5/4301.md?p=2);
  - (2) encourage [employee](/usc/5/4301.md?p=2) participation in establishing performance standards; and
  - (3) use the results of performance appraisals as a basis for [training](/usc/5/4101.md?p=4), rewarding, reassigning, promoting, reducing in [grade](/usc/5/5102.md?p=a-5), retaining, and removing [employees](/usc/5/4301.md?p=2).
- (b)
  - (1) The head of each [agency](/usc/5/4301.md?p=1), in consultation with the [Director](/usc/5/8401.md?p=8) of the [Office](/usc/5/5402.md?p=3) of Personnel Management and the Special Counsel, shall develop criteria that—
    - (A) the head of the [agency](/usc/5/4301.md?p=1) shall use as a critical element for establishing the job requirements of a supervisory [employee](/usc/5/4301.md?p=2); and
    - (B) promote the protection of whistleblowers.
  - (2) The criteria required under [paragraph (1)](#b-1) shall include—
    - (A) principles for the protection of whistleblowers, such as the degree to which supervisory [employees](/usc/5/4301.md?p=2)—
      - (i) respond constructively when [employees](/usc/5/4301.md?p=2) of the [agency](/usc/5/4301.md?p=1) make disclosures described in subparagraph [(A)](/usc/5/2302.md?p=b-8-A) or [(B)](/usc/5/2302.md?p=b-8-B) of section 2302(b)(8);
      - (ii) take responsible actions to resolve the disclosures described in [clause (i)](#b-2-A-i); and
      - (iii) foster an environment in which [employees](/usc/5/4301.md?p=2) of the [agency](/usc/5/4301.md?p=1) feel comfortable making disclosures described in [clause (i)](#b-2-A-i) to supervisory [employees](/usc/5/4301.md?p=2) or other appropriate [authorities](/usc/5/7103.md?p=a-6); and
    - (B) for each supervisory [employee](/usc/5/4301.md?p=2)—
      - (i) whether the [agency](/usc/5/4301.md?p=1) entered into an agreement with an individual who alleged that the supervisory [employee](/usc/5/4301.md?p=2) committed a prohibited personnel practice; and
      - (ii) if the [agency](/usc/5/4301.md?p=1) entered into an agreement described in [clause (i)](#b-2-B-i), the number of instances in which the [agency](/usc/5/4301.md?p=1) entered into such an agreement with respect to the supervisory [employee](/usc/5/4301.md?p=2).
  - (3) In this subsection—
    - (A) the term “[agency](/usc/5/4301.md?p=1)” means any entity the [employees](/usc/5/4301.md?p=2) of which are covered under paragraphs [(8)](/usc/5/2302.md?p=b-8) and [(9)](/usc/5/2302.md?p=b-9) of section 2302(b), without regard to whether any other provision of this section is applicable to the entity;
    - (B) the term “prohibited personnel practice” has the meaning given the term in [section 2302(a)(1)](/usc/5/2302.md?p=a-1);
    - (C) the term “supervisory [employee](/usc/5/4301.md?p=2)” means an [employee](/usc/5/4301.md?p=2) who would be a [supervisor](/usc/5/7103.md?p=a-10), as defined in [section 7103(a)](/usc/5/7103.md?p=a), if the [agency](/usc/5/4301.md?p=1) employing the [employee](/usc/5/4301.md?p=2) was an [agency](/usc/5/4301.md?p=1) for purposes of [chapter 71](/usc/5/chptIII/sptF/ch71.md); and
    - (D) the term “whistleblower” means an [employee](/usc/5/4301.md?p=2) who makes a disclosure described in [section 2302(b)(8)](/usc/5/2302.md?p=b-8).
- (c) Under regulations which the [Office](/usc/5/5402.md?p=3) of Personnel Management shall prescribe, each performance appraisal [system](/usc/5/8401.md?p=29) shall provide for—
  - (1) establishing performance standards which will, to the maximum extent feasible, permit the accurate evaluation of job performance on the basis of objective criteria (which may include the extent of courtesy demonstrated to the public) related to the job in question for each [employee](/usc/5/4301.md?p=2) or [position](/usc/5/5102.md?p=a-3) under the [system](/usc/5/8401.md?p=29);
  - (2) as soon as practicable, but not later than October 1, 1981, with respect to initial appraisal periods, and thereafter at the beginning of each following appraisal period, communicating to each [employee](/usc/5/4301.md?p=2) the performance standards and the critical elements of the [employee](/usc/5/4301.md?p=2)’s [position](/usc/5/5102.md?p=a-3);
  - (3) evaluating each [employee](/usc/5/4301.md?p=2) during the appraisal period on such standards;
  - (4) recognizing and rewarding [employees](/usc/5/4301.md?p=2) whose performance so warrants;
  - (5) assisting [employees](/usc/5/4301.md?p=2) in improving [unacceptable performance](/usc/5/4301.md?p=3); and
  - (6) reassigning, reducing in [grade](/usc/5/5102.md?p=a-5), or removing [employees](/usc/5/4301.md?p=2) who continue to have [unacceptable performance](/usc/5/4301.md?p=3) but only after an opportunity to demonstrate acceptable performance.
- (d) In accordance with regulations which the [Office](/usc/5/5402.md?p=3) shall prescribe, the head of an [agency](/usc/5/4301.md?p=1) may administer and maintain a performance appraisal [system](/usc/5/8401.md?p=29) electronically.

## Source credit

(Pub. L. 89–554, Sept. 6, 1966, 80 Stat. 440; Pub. L. 95–454, title II, § 203(a), Oct. 13, 1978, 92 Stat. 1132; Pub. L. 102–378, § 2(18), Oct. 2, 1992, 106 Stat. 1347; Pub. L. 106–398, § 1 [[div. A], title XI, § 1104], Oct. 30, 2000, 114 Stat. 1654, 1654A–311; Pub. L. 115–91, div. A, title X, § 1097(d)(1), Dec. 12, 2017, 131 Stat. 1619.)

## Notes

| Historical and Revision Notes |  |  |
| --- | --- | --- |
| Derivation | U.S. Code | Revised Statutes and<br>Statutes at Large |
|  | 5 U.S.C. 2002. | Sept. 30, 1950, ch. 1123, § 3, 64 Stat. 1098. |

Standard changes are made to conform with the definitions applicable and the style of this title as outlined in the preface to the report.

### Editorial Notes

### Amendments

2017—Subsecs. (b) to (d). Pub. L. 115–91 added subsec. (b) and redesignated former subsecs. (b) and (c) as (c) and (d), respectively.

2000—Subsec. (c). Pub. L. 106–398 added subsec. (c).

1992—Subsec. (a)(3). Pub. L. 102–378 substituted a period for semicolon at end.

1978—Pub. L. 95–454 substituted “Establishment of performance appraisal systems” for “Performance-rating plans; establishment of” in section catchline and in text substituted provisions relating to the establishment of a performance appraisal system, for provisions relating to the establishment of performance-rating plans.

### Statutory Notes and Related Subsidiaries

### Effective Date of 1978 Amendment

Amendment by Pub. L. 95–454 effective 90 days after Oct. 13, 1978, see section 907 of Pub. L. 95–454, set out as a note under section 1101 of this title.

### Annual Report to Congress on Unacceptable Performance in Whistleblower Protection

Pub. L. 115–91, div. A, title X, § 1097(d)(3), Dec. 12, 2017, 131 Stat. 1620, provided that: Definitions.—In this paragraph, the terms ‘agency’ and ‘whistleblower’ have the meanings given the terms in section 4302(b)(3) of title 5, United States Code, as amended by paragraph (1). Report.—Each agency shall annually submit to the Committee on Homeland Security and Governmental Affairs of the Senate, the Committee on Oversight and Government Reform [now Committee on Oversight and Accountability] of the House of Representatives, and each committee of Congress with jurisdiction over the agency a report that details— the number of performance appraisals, for the year covered by the report, that determined that an employee of the agency failed to meet the standards for protecting whistleblowers that were established under section 4302(b) of title 5, United States Code, as amended by paragraph (1); the reasons for the determinations described in clause (i); and each performance-based or corrective action taken by the agency in response to a determination under clause (i).”