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Internal Controls for SES, SL, and ST Performance and Misconduct

Rating Official Guidance

By law, SBA is required to develop a performance appraisal system or systems for its senior executives (SES), senior level employees (SL), and scientific or professional employees (ST).  The rating official for a given SES/SL/ST is required to issue performance requirements for the position that individual is encumbering and to appraise the performance of the individual against those requirements.   The Chief Human Capital Officer (CHCO) will provide rating officials with information regarding misconduct that may have impacted the performance for any SES, SL or ST employee, as appropriate.  Rating officials must consider all available evidence that affects the employee’s level of performance with respect to these requirements or standards, including information about misconduct when it affects that performance.  The annual guidance and call for performance narratives and initial summary ratings will include language to that effect.

Performance Review Board Guidance

The CHCO will provide the Performance Review Board (PRB) with information regarding misconduct that may have impacted the performance for any SES, SL or ST employee, as appropriate.  The PRB must take into account the impact of any documented misconduct on the executive’s performance, within the parameters of the applicable performance requirements or performance standards for the underlying position during the relevant appraisal period when making recommendations on appraisals and performance awards.  The annual guidance to the members of the PRB will include language to that effect.

Training Materials

The Performance Management System training materials have been updated to include specific references to rating official and PRB responsibilities related to the consideration of the impact of documented misconduct on performance, as described above.