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 5. Documentation of Performance Related Records

5.1 Records Retention

5.1.1 In accordance with the responsibility and requirements as determined by the authorizing official, all performance-related records for a senior executive will be maintained in an Employee Performance File within the NASA EPAS for no less than five years from the date the final Annual Summary Rating is issued and be available to:

a. Agency officials having a need for the information.

b. The senior executive.

c. The OPM in connection with its personnel management evaluation role.

5.2 Records Provided to Executives

5.2.1 The Rating Official shall ensure the senior executive has access to the following documents in EPAS at the time they are prepared:

a. The performance plan.

b. The Initial Summary Rating, including the overall performance assessment narrative for the appraisal period and the performance plan that identifies the performance element ratings upon which the Initial Summary Rating was based.

c. Written notification of the right to request a higher level review.

d. Any written comments and/or recommendations for a different rating by a higher level reviewing official.

e. Final Annual Summary Rating.

5.3 Required Records

5.3.1 Performance-related records will, at a minimum, include:

a. The Annual Summary Rating, including the overall performance assessment narrative and any additional required assessments for the appraisal period, and the performance plan on which the assessment is based.

b. Any written comments and/or recommendations for a different rating by a higher level reviewing official.

c. The written recommendation for the Annual Summary Rating from the PRB.

d. When applicable, any Summary Ratings provided to the executive (including ratings received from other Federal agencies).

e. Other personnel decisions (e.g., removal from the SES), including supporting documentation, based on performance.

5.4 Transfer of Records

5.4.1 When a senior executive moves to another SES position, either within NASA or with another agency, all appropriate performance-related records five years old or less will be forwarded in the Employee Performance File along with the executive's Official Personnel Folder.

5.4.2 When a NASA career senior executive accepts a Presidential appointment under the General Appointment Provisions, 5 U.S.C. § 3392 (c), the Employee Performance File will be forwarded to and maintained by the gaining organization throughout the length of the appointment.

5.4.3 When a senior executive leaves Federal service, performance-related records five years old or less will be included in the official personnel folder and transferred to OPM's National Personnel Records Center.

DISTRIBUTION:
NODIS

This document does not bind the public, except as authorized by law or as incorporated into a contract. This document is uncontrolled when printed. Check the NASA Online Directives Information System (NODIS) Library to verify that this is the correct version before use: https://nodis3.gsfc.nasa.gov.