NASA Procedural Requirements

NPR 3435.1D Effective Date: December 07, 2020 Expiration Date: December 07, 2025

Subject: NASA Performance Management System for the Senior Executive Service (Updated with Change 1, on August 3, 2023)

Responsible Office: Office of the Chief Human Capital Officer

Chapter 4. Performance, Training, and Other System Requirements

4.1 Dealing with Poor Performance

4.1.1 In accordance with Removal from the Senior Executive Service: Guaranteed Placement in Other Personnel Systems, 5 CFR pt. 359, the delegated official shall:

a. Reassign, transfer, or remove from the SES a senior executive who has been assigned a Level 1 (Unsatisfactory) final rating.

b. Remove from the SES an executive who has been assigned two final ratings at less than Level 3 (i.e., Level 2 or a combination of Levels 2 and 1) within a 3-year period.

c. Remove from the SES an executive who receives two Level 1 (Unsatisfactory) final ratings within five years.

4.1.2 A senior executive with an Annual Summary Rating of less than Successful may be considered for a reduction in pay.

4.1.3 A senior executive who is removed from the SES for performance and is eligible under 5 CFR pt. 359 is entitled to placement in a position at General Schedule 15 (GS-15) or above (or an equivalent position).

4.1.3.1 An otherwise eligible senior executive removed from the SES for performance may elect discontinued service retirement rather than fall back to a GS-15 position.

4.1.4 Senior executive performance appraisals and ratings may not be appealed to the Merit System Protection Board (MSPB) or grieved under the Agency's administrative grievance system. The executive may file a complaint about any aspect of the rating process the executive believes to involve unlawful discrimination (United States Equal Employment Opportunity Commission) or a prohibited personnel practice (Office of Special Counsel).

4.1.5 A career appointee being removed from the SES for less than fully successfully executive performance under Removal from the Senior Executive Service, 5 U.S.C. § 3592 (a) (2) at least 15 days preceding the date of removal, is entitled, upon request, to an informal hearing before an official designated by the MSPB.

4.2 Training and Evaluation

4.2.1 The delegated official shall provide information and training for executives on the requirements and operation of the Agency's performance management and pay-for-performance system, including the results of the previous appraisal period.

4.2.2 The delegated official shall periodically evaluate the effectiveness of the Performance Management System and implement improvements as needed.

4.3 Other System Requirements

4.3.1 Delegated officials shall use the results of performance appraisals for adjusting pay, granting awards, determining training needs, and making other personnel decisions.

4.3.2 A senior executive with an Annual Summary Rating of Level 3 (Successful) or above is eligible to be considered for a SES performance award (bonus) and an increase in pay.

a. Noncareer SES are not eligible for bonuses.

b. Under Limited Appointments to Senior Executive Service Positions, 5 U.S.C. § 9813, the Administrator may authorize bonuses to limited term appointees in the same manner as career appointees.

4.4 Organization Assessment and Guidelines

4.4.1 The delegated official shall assess organizational performance (overall and with respect to each of its particular missions, components, programs, policy areas, and support functions).

4.4.2 The delegated official shall ensure assessment results and evaluation guidelines are communicated by the Administrator or designee to senior executives' Rating Officials, higher level review officials, and PRB members so that they may be considered in preparing performance appraisals, ratings, and recommendations.

4.4.3 Oversight: the Administrator, or designee, shall provide organizational assessments and evaluation guidelines and is responsible to oversee the system and certify that:

a. The appraisal process makes meaningful distinctions based on relative performance.

b. Executive ratings take into account assessments of organizational performance.

c. Pay adjustments, awards, and pay levels accurately reflect individual and organizational performance.

4.4.4 Performance Distinctions: Rating Officials and PRB members shall make meaningful distinctions based on relative performance that take into account assessment of the Agency's performance against relevant program performance measures.

4.4.5 Differences in Pay Based on Performance: Senior Executives who have demonstrated the highest levels of performance receive the highest Annual Summary Rating, the largest corresponding pay adjustments, cash awards, and levels of pay, and will be appropriately positioned in the pay range.

DISTRIBUTION:
NODIS

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