---
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"
date: "2026-07-12"
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](/usc/5/8401.md?p=29) 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](/usc/5/8401.md?p=29) shall provide that—
  - (1) any appraisal and any rating under such [system](/usc/5/8401.md?p=29)—
    - (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](/usc/5/3132.md?p=a-4), may not be made within 120 days after the beginning of a new Presidential [administration](/usc/5/9801.md?p=1); and
    - (D) are based on performance during a performance appraisal period the duration of which shall be determined under guidelines established by the [Office](/usc/5/5402.md?p=3) of Personnel Management, but which may be terminated in any case in which the [agency](/usc/5/4301.md?p=1) making an appraisal determines that an adequate basis exists on which to appraise and rate the [senior executive](/usc/5/3132.md?p=a-3)’s performance;
  - (2) any [career appointee](/usc/5/3132.md?p=a-4) 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](/usc/5/3132.md?p=a-3) receiving an unsatisfactory rating under [subsection (a)(3)](#a-3) of this section shall be reassigned or transferred within the [Senior Executive](/usc/5/3132.md?p=a-3) [Service](/usc/5/8401.md?p=26), or removed from the [Senior Executive](/usc/5/3132.md?p=a-3) [Service](/usc/5/8401.md?p=26), but any [senior executive](/usc/5/3132.md?p=a-3) who receives 2 unsatisfactory ratings in any period of 5 consecutive years shall be removed from the [Senior Executive](/usc/5/3132.md?p=a-3) [Service](/usc/5/8401.md?p=26); and
  - (4) any [senior executive](/usc/5/3132.md?p=a-3) who twice in any period of 3 consecutive years receives less than fully successful ratings shall be removed from the [Senior Executive](/usc/5/3132.md?p=a-3) [Service](/usc/5/8401.md?p=26).
- (c)
  - (1) Each [agency](/usc/5/4301.md?p=1) shall establish, in accordance with regulations prescribed by the [Office](/usc/5/5402.md?p=3), 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/5/9201.md?p=2) of the [agency](/usc/5/4301.md?p=1) relating to the performance of [senior executives](/usc/5/3132.md?p=a-3) in the [agency](/usc/5/4301.md?p=1).
  - (2) The supervising official of the [senior executive](/usc/5/3132.md?p=a-3) shall provide to the performance review [board](/usc/5/8401.md?p=5), an initial appraisal of the [senior executive](/usc/5/3132.md?p=a-3)’s performance. Before making any recommendation with respect to the [senior executive](/usc/5/3132.md?p=a-3), the [board](/usc/5/8401.md?p=5) shall review any response by the [senior executive](/usc/5/3132.md?p=a-3) 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](/usc/5/3132.md?p=a-3) shall be made by the [appointing authority](/usc/5/9201.md?p=2) only after considering the recommendations by the performance review [board](/usc/5/8401.md?p=5) with respect to such [senior executive](/usc/5/3132.md?p=a-3) under paragraph (1) of this subsection.
  - (4) [Members](/usc/5/8401.md?p=20) 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/5/8401.md?p=20) shall be published in the Federal Register.
  - (5) In the case of an appraisal of a [career appointee](/usc/5/3132.md?p=a-4), more than one-half of the [members](/usc/5/8401.md?p=20) of the performance review [board](/usc/5/8401.md?p=5) shall consist of [career appointees](/usc/5/3132.md?p=a-4). The requirement of the preceding sentence shall not apply in any case in which the [Office](/usc/5/5402.md?p=3) determines that there exists an insufficient number of [career appointees](/usc/5/3132.md?p=a-4) 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.