Subpart C—Employee Performance
CHAPTER 41 —TRAINING
Editorial Notes
Amendments
2004—
2003—
2002—
1995—
1994—
1982—
§4101. Definitions
For the purpose of this chapter—
(1) "agency", subject to
(A) an Executive department;
(B) an independent establishment;
(C) a Government corporation subject to
(D) the Library of Congress;
(E) the Government Publishing Office; and
(F) the government of the District of Columbia;
(2) "employee", subject to
(A) an individual employed in or under an agency; and
(B) a commissioned officer of the Environmental Science Services Administration;
(3) "Government" means the Government of the United States and the government of the District of Columbia;
(4) "training" means the process of providing for and making available to an employee, and placing or enrolling the employee in, a planned, prepared, and coordinated program, course, curriculum, subject, system, or routine of instruction or education, in scientific, professional, technical, mechanical, trade, clerical, fiscal, administrative, or other fields which will improve individual and organizational performance and assist in achieving the agency's mission and performance goals;
(5) "Government facility" means property owned or substantially controlled by the Government and the services of any civilian and military personnel of the Government; and
(6) "non-Government facility" means—
(A) the government of a State or of a territory or possession of the United States including the Commonwealth of Puerto Rico, and an interstate governmental organization, or a unit, subdivision, or instrumentality of any of the foregoing;
(B) a foreign government or international organization, or instrumentality of either, which is designated by the President as eligible to provide training under this chapter;
(C) a medical, scientific, technical, educational, research, or professional institution, foundation, or organization;
(D) a business, commercial, or industrial firm, corporation, partnership, proprietorship, or other organization;
(E) individuals other than civilian or military personnel of the Government; and
(F) the services and property of any of the foregoing furnishing the training.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
In paragraph (1), the word "agency" is substituted for "department". Reference to the "General Accounting Office" is omitted as included in "independent establishment" because of the definition in section 104.
In paragraph (2)(B), the words "in the Department of Commerce" are omitted as unnecessary.
In paragraph (6)(C), the word "agency" is omitted as unnecessary and to avoid confusion with the word "agency" defined by paragraph (1).
In paragraph (6)(E), the words "individuals other than civilian or military personnel of the Government" are substituted for "an individual not a civilian or military officer or employee of the Government of the United States or of the municipal government of the District of Columbia" to conform to paragraph (5).
The definition of "Commission" in former section 2302(4) is omitted as unnecessary as the title "Civil Service Commission" is fully set out the first time it is used in each section of this chapter.
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
1994—Par. (4).
1982—Par. (1)(C).
1967—Par. (2)(B).
Statutory Notes and Related Subsidiaries
Change of Name
"Government Publishing Office" substituted for "Government Printing Office" in par. (1)(E) on authority of section 1301(b) of
Effective Date of 1967 Amendment
Amendment by
Executive Documents
Transfer of Functions
For transfer of Environmental Science Services Administration to National Oceanic and Atmospheric Administration, see Transfer of Functions note set out under
Delegation of Functions
Functions of President under subsec. (6)(B) of this section delegated to head of each agency concerned, see section 402 of Ex. Ord. No. 11348, Apr. 20, 1967, 32 F.R. 6335, set out as a note under
§4102. Exceptions; Presidential authority
(a)(1) This chapter does not apply to—
(A) a corporation supervised by the Farm Credit Administration if private interests elect or appoint a member of the board of directors;
(B) the Tennessee Valley Authority; or
(C) an individual (except a commissioned officer of the National Oceanic and Atmospheric Administration) who is a member of a uniformed service during a period in which he is entitled to pay under
(2) This chapter (except sections 4110 and 4111) does not apply to—
(A) the Foreign Service of the United States; or
(B) an individual appointed by the President, unless the individual is specifically designated by the President for training under this chapter.
(b) The President, at any time in the public interest, may—
(1) except an agency or part thereof, or an employee or group or class of employees therein, from this chapter or a provision thereof (except this section); and
(2) withdraw an exception made under this subsection.
However, the President may not except the Office of Personnel Management from a provision of this chapter which vests in or imposes on the Office a function, duty, or responsibility concerning any matter except the establishment, operation, and maintenance, in the same capacity as other agencies, of training programs and plans for its employees.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, May 26, 1959, Aug. 2, 1962, |
In subsection (a)(1), the exception for the President and Vice President is omitted as surplusage as these elected officers are not employed in or under an agency and thus are not included in the definition of "employee" in section 4101(2).
In subsection (a)(1)(C), the words "as defined by
In subsection (a)(2)(B), the words "by the President" are coextensive with and substituted for "by the President by and with the advice and consent of the Senate or by the President alone".
In subsection (b)(1), reference to "section 21, and section 22" is omitted as unnecessary since the sections are not carried into this title, but are scheduled for repeal, see Table II.
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
1979—Subsec. (a)(1)(C).
Subsec. (b).
1978—Subsec. (b).
1975—Subsec. (a)(2)(B).
1967—Subsec. (a)(1)(C).
Statutory Notes and Related Subsidiaries
Effective Date of 1979 Amendment
Amendments by
Effective Date of 1978 Amendment
Amendment by
Executive Documents
Delegation of Functions
Functions of President under subsec. (b)(1) of this section delegated to Office of Personnel Management, see section 401(a) of Ex. Ord. No. 11348, Apr. 20, 1967, 32 F.R. 6335, set out as a note under
Ex. Ord. No. 10805. Central Intelligence Agency
Ex. Ord. No. 10805, Feb. 18, 1959, 24 F.R. 1301, provided:
(a) Section 2(4), 6, 9(b)(1), 11, 12, 15, 16, and 18 [sections 4117, 4118, 4105(b)(1), 4108, 4106, 4114, 4115, and 1308(a)(4)(A)–(C), (b) and 4113(b) respectively of this title].
(b) The last sentence of section 5 [
(c) That part of section 7 [
(d) That part of section 10 [
Executive Order No. 11531
Ex. Ord. No. 11531, May 26, 1970, 35 F.R. 8337, which related to the delegation of Presidential authority to designate United States Marshals and United States Attorneys for training, was superseded by Ex. Ord. No. 11895, Jan. 6, 1976, 41 F.R. 1465, set out below.
Ex. Ord. No. 11895. Delegation of Presidential Authority To Designate Individuals Appointed by the President To Receive Training
Ex. Ord. No. 11895, Jan. 6, 1976, 41 F.R. 1465, as amended by Ex. Ord. No. 12107, Dec. 28, 1978, 44 F.R. 1055, provided:
By virtue of the authority vested in me by
§4103. Establishment of training programs
(a) In order to assist in achieving an agency's mission and performance goals by improving employee and organizational performance, the head of each agency, in conformity with this chapter, shall establish, operate, maintain, and evaluate a program or programs, and a plan or plans thereunder, for the training of employees in or under the agency by, in, and through Government facilities and non-Government facilities. Each program, and plan thereunder, shall—
(1) conform to the principles, standards, and related requirements contained in the regulations prescribed under
(2) provide for adequate administrative control by appropriate authority;
(3) provide that information concerning the selection and assignment of employees for training and the applicable training limitations and restrictions be made available to employees of the agency; and
(4) provide for the encouragement of self-training by employees by means of appropriate recognition of resultant increases in proficiency, skill, and capacity.
Two or more agencies jointly may operate under a training program.
(b)(1) Notwithstanding any other provision of this chapter, an agency may train any employee of the agency to prepare the employee for placement in another agency if the head of the agency determines that such training would be in the interests of the Government.
(2) In selecting an employee for training under this subsection, the head of the agency shall consider—
(A) the extent to which the current skills, knowledge, and abilities of the employee may be utilized in the new position;
(B) the employee's capability to learn skills and acquire knowledge and abilities needed in the new position; and
(C) the benefits to the Government which would result from such training.
(c) The head of each agency shall, on a regular basis—
(1) evaluate each program or plan established, operated, or maintained under subsection (a) with respect to accomplishing specific performance plans and strategic goals in performing the agency mission; and
(2) modify such program or plan as needed to accomplish such plans and goals.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
The words "Within two hundred and seventy days after the date of enactment of this Act [July 7, 1958]" are omitted as obsolete.
In paragraph (1), reference to the effective date of the regulations is omitted as obsolete.
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
2004—Subsec. (c).
1994—Subsec. (a).
Subsec. (a)(3), (4).
Subsec. (b)(1).
Subsec. (b)(2).
Subsec. (b)(3).
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Ensuring Anti-Trafficking-In-Persons Trainings and Provisions Into Codes of Conduct of All Federal Departments and Executive Agencies
"(a)
"(1) Human trafficking is inimical to every Federal agency's core values and inherently harmful and dehumanizing.
"(2) Through the adoption of a Code of Conduct, Federal agencies hold their personnel to similar standards that are required of contractors and subcontractors of the agency under Federal law.
"(3) Human trafficking is a violation of human rights and against Federal law.
"(4) The United States Government seeks to deter activities that would facilitate or support trafficking in persons.
"(b)
"(1) beginning not later than 18 months after the date of the enactment of this Act [Jan. 5, 2023], the head of every Federal agency should incorporate a module on human trafficking into its staff training requirements and menu of topics to be covered in the annual ethics training of such agency;
"(2) such staff trainings should teach employees how to prevent, identify, and report trafficking in persons;
"(3) Federal agencies that already provide counter trafficking-in-persons training for staff should share their curricula with agencies that do not have such curricula;
"(4) the head of each agency should inform all candidates for employment about the anti-trafficking provisions in the Code of Conduct of the agency;
"(5) employees of each Federal agency should sign acknowledgment of the agency's Code of Conduct, which should be kept in the file of the employee; and
"(6) a violation of the Code of Conduct should lead to disciplinary action, up to and including termination of employment.
"(c)
"(1) a prohibition from engaging in human trafficking while employed by the Government in a full-time or part-time capacity;
"(2) a requirement that all Federal personnel, without regard to whether the person is stationed abroad, be sensitized to human trafficking and the ethical conduct requirements that prohibit the procurement of trafficking in persons;
"(3) a requirement that all such personnel be equipped with the necessary knowledge and tools to prevent, recognize, report, and address human trafficking offenses through a training for new personnel and through regular refresher courses offered every 2 years; and
"(4) a requirement that all such personnel report to the applicable inspector general and agency trafficking in persons point of contact any suspected cases of misconduct, waste, fraud, or abuse relating to trafficking in persons.
"(d)
"(1) shall be established or integrated into all applicable employee codes of conduct not later than 18 months after the date of the enactment of this Act [Jan. 5, 2023];
"(2) may not replace any preexisting code of conduct that contains more robust requirements than the requirements described in subsection (c); and
"(3) shall be signed by all personnel described in subsection (c) not later than 2 years after such date of enactment.
"(e)
"(1) the number of suspected violations reported;
"(2) the number of investigations;
"(3) the status and outcomes of such investigations; and
"(4) any recommended actions to improve the programs and operations of such agency."
Optional Participation of Federal Employees in AIDS Training Programs
"(a)
"(b)
Experimental Program Relating to Acceptance of Voluntary Services From Participants in Executive Exchange Program
Executive Documents
Department of Homeland Security
Exception from provisions of subsec. (a)(1) of this section of those elements of the Department of Homeland Security that are supervised by the Under Secretary of Homeland Security for Information Analysis and Infrastructure Protection through the Department's Assistant Secretary for Information Analysis, see Ex. Ord. No. 13286, §86, Feb. 28, 2003, 68 F.R. 10632, set out as a note under
Central Intelligence Agency
Exception of Central Intelligence Agency from certain provisions of subsec. (a)(1) of this section, see Ex. Ord. No. 10805, Feb. 18, 1959, 24 F.R. 1301, set out as a note under
Ex. Ord. No. 11348. Further Training of Government Employees
Ex. Ord. No. 11348, Apr. 20, 1967, 32 F.R. 6335, as amended by Ex. Ord. No. 12107, Dec. 28, 1978, 44 F.R. 1055, provided:
By virtue of the authority vested in me by
Part I—General
(b) "Interagency training" means training provided by one agency for other agencies or shared by two or more agencies.
Part II—Office of Personnel Management Responsibilities
(a) Advise the President on means for furthering and strengthening programs of training;
(b) Counsel heads of agencies and other agency officials on the improvement of training;
(c) Assist agencies to develop sound programs and financial plans for training and provide advice, information, and assistance to agencies on planning, programming, budgeting, operating, and evaluating training programs;
(d) Identify functional areas in which new or expanded interagency training activity is needed and either conduct such training or arrange for agencies having the substantive competence to do so;
(e) Coordinate interagency training conducted by and for agencies (including agencies and portions of agencies excepted by
(f) Encourage agencies to make appropriate use of non-Government training resources;
(g) Develop, install, and maintain a system to provide the training data needed to carry out its own functions and to provide staff assistance to the President; and
(h) Provide for identification and dissemination of findings of research into training technology and undertake or assign to other agencies, such research projects as may be needed.
Part III—Agency Responsibilities and Operations
(a) Foster employee self-development by creating a work environment in which self-development is encouraged, by assuring that opportunities for training and self-study materials are reasonably available, where the employee is stationed, and by recognizing self-initiated improvement in performance;
(b) Provide training for employees without regard to race, creed, color, national origin, sex, or other factors unrelated to the need for training;
(c) Establish and make full use of agency facilities for training employees;
(d) Extend agency training programs to employees of other agencies (including agencies and portions of agencies excepted by
(e) Establish interagency training facilities in areas of substantive competence as arranged by the Office of Personnel Management; and
(f) Use non-Government training resources as appropriate.
(a) Review periodically, but not less often than annually, the agency's program to identify training needed to bring about more effective performance at the least possible cost;
(b) Conduct periodic reviews of individual employee's training needs as related to program objectives;
(c) Conduct research related to training objectives and required for program improvement and effectiveness;
(d) Plan, program, and evaluate training for both short and longrange program needs by occupations, organizations, or other appropriate groups;
(e) Establish priorities for needed training, and provide for the use of funds and manhours in accordance with these priorities;
(f) Utilize the flexibility of work assignments to provide work experience which promotes growth leading to higher quality and greater quantity of work done;
(g) Establish training facilities and services as needed;
(h) Monitor the effectiveness with which self-development is encouraged and on-the-job training is provided at all levels; and
(i) Establish criteria for the selection of employees for training; and
(j) Approve the acceptance of any contributions, awards, or payments to employees authorized by section 401(b) of this order and regulations issued by the Office of Personnel Management.
Part IV—Delegations
(a) The authority under
(b) The authority under
Part V—Revocation of Prior Order
Executive Order No. 11451
Ex. Ord. No. 11451, Jan. 19, 1969, 34 F.R. 921, as amended by Ex. Ord. No. 12107, Dec. 28, 1978, 44 F.R. 1055, which established the President's Commission on Personnel Interchange, was superseded by Ex. Ord. No. 12136, May 15, 1979, 44 F.R. 28771, formerly set out below.
Executive Order No. 12136
Ex. Ord. No. 12136, May 15, 1979, 44 F.R. 28771, which continued the President's Commission on Personnel Interchange and renamed it the President's Commission on Executive Exchange, was revoked by Ex. Ord. No. 12493, Dec. 5, 1984, 49 F.R. 47819, formerly set out below.
Executive Order No. 12493
Ex. Ord. No. 12493, Dec. 5, 1984, 49 F.R. 47819, as amended by Ex. Ord. No. 12516, May 21, 1985, 50 F.R. 21417; Ex. Ord. No. 12602, July 15, 1987, 52 F.R. 27187, which continued the President's Commission on Executive Exchange, was revoked by Ex. Ord. No. 12760, §2, May 2, 1991, 56 F.R. 21062, set out below.
Ex. Ord. No. 12574. Establishing Experimental Program Within President's Commission on Executive Exchange
Ex. Ord. No. 12574, Nov. 20, 1986, 51 F.R. 42199, provided:
By the authority vested in me as President by the Constitution and statutes of the United States of America, including the Executive Exchange Program Voluntary Services Act of 1986 (
Ronald Reagan.
Ex. Ord. No. 12760. President's Commission on Executive Exchange
Ex. Ord. No. 12760, May 2, 1991, 56 F.R. 21062, provided:
By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows:
George Bush.
Ex. Ord. No. 13111. Using Technology To Improve Training Opportunities for Federal Government Employees
Ex. Ord. No. 13111, Jan. 12, 1999, 64 F.R. 2793, as amended by Ex. Ord. No. 13188, Jan. 12, 2001, 66 F.R. 5419; Ex. Ord. No. 13218, §3(a), June 20, 2001, 66 F.R. 33628; Ex. Ord. No. 13316, §3(a), Sept. 17, 2003, 68 F.R. 55255, provided:
Advances in technology and increased skills needs are changing the workplace at an ever increasing rate. These advances can make Federal employees more productive and provide improved service to our customers, the American taxpayers. We need to ensure that we continue to train Federal employees to take full advantage of these technological advances and to acquire the skills and learning needed to succeed in a changing workplace. A coordinated Federal effort is needed to provide flexible training opportunities to employees and to explore how Federal training programs, initiatives, and policies can better support lifelong learning through the use of learning technology.
To help us meet these goals, I am creating a task force on Federal training technology, directing Federal agencies to take certain steps to enhance employees' training opportunities through the use of training technology, and an advisory committee on the use of training technology, which also will explore options for financing the training and post-secondary education needed to upgrade skills and gain new knowledge.
Therefore, by the authority vested in me as President by the Constitution and the laws of the United States of America, including the Federal Advisory Committee Act, as amended ([former] 5 U.S.C. App.) [see
(b) Within 30 days of the date of this order, the head of each agency or council shall designate a senior official to serve as a representative to the Task Force. The representative shall report directly to the agency head or the President's Management Council member on the agency's or council's activities under this order.
(c) The Director of the Office of Personnel Management (OPM) shall be the Chair and the representative from the Department of Labor shall be the Vice Chair of the Task Force.
(d) The Chair and Vice Chair shall appoint an Executive Director.
(e) The Task Force member agencies shall provide any required staffing and funding, as appropriate.
(1) develop strategies to improve the efficiency and availability of training opportunities for Federal Government employees;
(2) form partnerships among key Federal agencies, State and local governments, businesses, universities, and other appropriate entities to promote the development and use of high-quality training opportunities;
(3) analyze the use of technology in existing training programs and policies of the Task Force member agencies to determine what changes, modifications, and innovations may be necessary to advance training opportunities;
(4) in consultation with the Department of Defense and the National Institute of Standards and Technology, recommend standards for training software and associated services purchased by Federal agencies and contractors. These standards should be consistent with voluntary industry consensus-based commercial standards. Agencies, where appropriate, should use these standards in procurements to promote reusable training component software and thereby reduce duplication in the development of courseware;
(5) evaluate and, where appropriate, coordinate and collaborate on, research and demonstration activities of Task Force member agencies related to Federal training technology;
(6) identify and support cross-agency training areas that would particularly benefit from new instructional technologies and facilitate multiagency procurement and use of training materials, where appropriate;
(7) in consultation with the General Services Administration, the Office of Personnel Management, and the Office of Federal Procurement Policy of the Office of Management and Budget (OFPP), promote existing and new procurement vehicles that allow agencies to provide innovative training opportunities for Federal employees;
(8) recommend changes that may be needed to existing procurement laws to further the objectives of this order and forward the recommendations to the Administrator of OFPP; and
(b) develop options and recommendations for establishing a Federal Individual Training Account for each Federal worker for training relevant to his or her Federal employment. To the extent permitted by law, such accounts may be established with the funds allocated to the agency for employee training. Approval for training would be within the discretion of the individual employee's manager. Options and recommendations shall be reported no later than 6 months from the date of this order.
(1) include as part of its annual budget process a set of goals to provide the highest quality and most efficient training opportunities possible to its employees, and a set of performance measures of the quality and availability of training opportunities possible to its employees. Such measures should be, where appropriate, based on outcomes related to performance rather than time allocation;
(2) identify the resources necessary to achieve the aforementioned goals and performance measures articulated in its annual performance plan;
(3) and, where practicable, use the standards recommended by the Task Force and published by the Office of Personnel Management for purchasing training software and associated services; and
(4) subject to the availability of appropriations, post training courses, information, and other learning opportunities on the Department of Labor's America's Learning Exchange (ALX), or other appropriate information dissemination vehicles as determined by the Task Force, to make information about Federal training courses, information, and other learning opportunities widely available to Federal employees.
(b) Each Federal agency, to the extent permitted by law, is encouraged to consider how savings achieved through the efficient use of training technology can be reinvested in improved training for their employees.
(1) in consultation with the Task Force, the Department of Defense, the National Institute of Standards and Technology, the Department of Labor, and other appropriate agencies as determined by OPM, publish the standards for training software and associated services recommended by the Task Force; and
(2) ensure that qualification standards for civil service positions, where appropriate, reflect standard industry certification practices.
(b) The Department of Labor or other appropriate agency as determined by the Task Force shall, subject to the availability of appropriations:
(1) establish a specialized database for Federal training within the framework of the Department of Labor's ALX, or other appropriate information dissemination vehicles determined by the Task Force, to make information about Federal training courses, information, and other learning opportunities widely available to Federal employees;
(2) establish and maintain a training technology website for agencies to post training needs and to foster communication among the agencies and between public and private sector organizations to identify and meet common needs; and
(3) establish a staffed help desk and technology resource center to support Federal agencies using training technology and to facilitate the development of online training courses.
(c) The Department of Defense or other appropriate agency as determined by the Task Force shall:
(1) in consultation with the National Institute of Standards and Technology, lead Federal participation in business and university organizations charged with developing consensus standards for training software and associated services and lead the Federal review of the standards; and
(2) provide guidance to Defense agencies and advise the civilian agencies, as appropriate, on how best to use these standards for large-scale development and implementation of efficient and effective distributed learning technologies.
(d) Each Executive department shall designate at least one subject area of training that it will use to demonstrate opportunities in technology-based training and assign an agency leader in the designated area. Leaders in these training technology experiments shall work closely with other agencies with similar training interests. Each Executive department shall develop a plan for measuring and evaluating the effectiveness, cost-effectiveness, and benefits to employees and the agency for each designated subject area.
[
(b) The term "technology," means any equipment or interconnected system or subsystem of equipment that is used in the automatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information, including computers, ancillary equipment, software, firmware and similar procedures, services (including support services), and related resources. For purposes of the preceding sentence, equipment is used by an Executive agency if the equipment is used by the Executive agency directly or is used by a contractor under a contract with the Executive agency that requires the use of such equipment. The term "technology" does not include any equipment that is acquired by a Federal contractor incidental to a Federal contract.
Executive Order No. 13950
Ex. Ord. No. 13950, Sept. 22, 2020, 85 F.R. 60683, which prohibited certain workplace training relating to race and gender in the Federal workforce, Uniformed Services, and Federal contractors, was revoked by Ex. Ord. No. 13985, §10(a), Jan. 20, 2021, 86 F.R. 7012, set out in a note under
§4104. Government facilities; use of
An agency program for the training of employees by, in, and through Government facilities under this chapter shall—
(1) provide for training, insofar as practicable, by, in, and through Government facilities under the jurisdiction or control of the agency; and
(2) provide for the making by the agency, to the extent necessary and appropriate, of agreements with other agencies in any branch of the Government, on a reimbursable basis when requested by the other agencies, for—
(A) use of Government facilities under the jurisdiction or control of the other agencies in any branch of the Government; and
(B) extension to employees of the agency of training programs of other agencies.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
In paragraph (2), the words "other agencies in any branch of the Government" and "the other agencies" are coextensive with and substituted for "other departments, and with other agencies in any branch of the Government" and "such other departments and agencies". This is so because "other agencies in any branch of the Government" is broader than "agency" as defined for the purpose of this chapter in section 4101(1).
Standard changes are made to conform with the definitions applicable and the style of this title as outlined in the preface to the report.
§4105. Non-Government facilities; use of
The head of an agency, without regard to section 6101(b) to (d) of title 41, may make agreements or other arrangements for the training of employees of the agency by, in, or through non-Government facilities under this chapter.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
In subsection (a), the word "appropriate" is omitted as unnecessary.
In subsection (b)(1), the words "by, in, and through non-Government facilities" are omitted as unnecessary in view of the previous reference in the subsection.
In subsection (b)(2), the word "appropriate" is omitted as unnecessary.
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
2011—
1994—
"(b) An agency program for the training of employees by, in, and through non-Government facilities under this chapter shall—
"(1) provide that information concerning the selection and assignment of employees for training and the applicable training limitations and restrictions be made available to employees of the agency; and
"(2) give consideration to the needs and requirements of the agency in recruiting and retaining scientific, professional, technical, and administrative employees.
"(c) In order to protect the Government concerning payment and reimbursement of training expenses, each agency shall prescribe such regulations as it considers necessary to implement the regulations prescribed under
[§4106. Repealed. Pub. L. 103–226, §2(a)(4), Mar. 30, 1994, 108 Stat. 112 ]
Section,
§4107. Academic degree training
(a) Subject to subsection (b), an agency may select and assign an employee to academic degree training and may pay or reimburse the costs of academic degree training from appropriated or other available funds if such training—
(1) contributes significantly to—
(A) meeting an identified agency training need;
(B) resolving an identified agency staffing problem; or
(C) accomplishing goals in the strategic plan of the agency;
(2) is part of a planned, systemic, and coordinated agency employee development program linked to accomplishing the strategic goals of the agency; and
(3) is accredited and is provided by a college or university that is accredited by a nationally recognized body.
(b) In exercising authority under subsection (a), an agency shall—
(1) consistent with the merit system principles set forth in paragraphs (2) and (7) of section 2301(b), take into consideration the need to—
(A) maintain a balanced workforce in which women, members of racial and ethnic minority groups, and persons with disabilities are appropriately represented in Government service; and
(B) provide employees effective education and training to improve organizational and individual performance;
(2) assure that the training is not for the sole purpose of providing an employee an opportunity to obtain an academic degree or qualify for appointment to a particular position for which the academic degree is a basic requirement;
(3) assure that no authority under this subsection is exercised on behalf of any employee occupying or seeking to qualify for—
(A) a noncareer appointment in the senior Executive Service; or
(B) appointment to any position that is excepted from the competitive service because of its confidential policy-determining, policy-making or policy-advocating character; and
(4) to the greatest extent practicable, facilitate the use of online degree training.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| (a) | July 7, 1958, |
|
| (b) | July 7, 1958, |
|
| (c) | July 7, 1958, |
The prohibitions are restated in positive form.
In subsection (a)(2), the words "Executive order" are substituted for "Executive orders of the President".
In subsection (c), the words "under authority of this chapter" and "by the Government" are omitted as unnecessary.
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
2002—
2000—Subsec. (a).
Subsec. (b)(1).
Subsec. (c).
1994—
Subsec. (a).
"(1) by, in or through a non-Government facility which teaches or advocates the overthrow of the Government of the United States by force or violence; or
"(2) by or through an individual concerning whom determination has been made by a proper Government administrative or investigatory authority that, on the basis of information or evidence developed in investigations and procedures authorized by law or Executive order, there exists a reasonable doubt of his loyalty to the United States."
Subsec. (b).
"(1) carrying on propaganda, or otherwise attempting, to influence legislation; or
"(2) participating or intervening, including publishing or distributing statements, in a political campaign on behalf of a candidate for public office."
Subsecs. (c), (d).
1990—Subsec. (c).
Subsec. (d).
Statutory Notes and Related Subsidiaries
Effective Date of 2002 Amendment
Amendment by
§4108. Employee agreements; service after training
(a) An employee selected for training for more than a minimum period prescribed by the head of the agency shall agree in writing with the Government before assignment to training that he will—
(1) continue in the service of his agency after the end of the training period for a period at least equal to three times the length of the training period unless he is involuntarily separated from the service of his agency; and
(2) pay to the Government the amount of the additional expenses incurred by the Government in connection with his training if he is voluntarily separated from the service of his agency before the end of the period for which he has agreed to continue in the service of his agency.
(b) The payment agreed to under subsection (a)(2) of this section may not be required of an employee who leaves the service of his agency to enter into the service of another agency in any branch of the Government unless the head of the agency that authorized the training notifies the employee before the effective date of his entrance into the service of the other agency that payment will be required under this section.
(c) If an employee, except an employee relieved of liability under subsection (b) of this section or
(1) setoff against accrued pay, compensation, amount of retirement credit, or other amount due the employee from the Government; and
(2) such other method as is provided by law for the recovery of amounts owing to the Government.
The head of the agency concerned, under the regulations prescribed under
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
In subsection (a), the last sentence of former section 2310(a) is omitted as included in the first sentence of the revised subsection.
In subsection (b), the words, "another agency in any branch of the Government" are coextensive with and substituted for "another department or of any other agency in any branch of the Government". This is so because "agency in any branch of the Government" is broader than "agency" as defined for the purpose of this chapter in section 4101(1).
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
2002—Subsec. (d).
1994—Subsec. (a).
1984—Subsec. (d).
Statutory Notes and Related Subsidiaries
Effective Date of 2002 Amendment
Amendment by
Department of Homeland Security
Exception from provisions of this section of those elements of the Department of Homeland Security that are supervised by the Under Secretary of Homeland Security for Information Analysis and Infrastructure Protection through the Department's Assistant Secretary for Information Analysis, see Ex. Ord. No. 13286, §86, Feb. 28, 2003, 68 F.R. 10632, set out as a note under
Central Intelligence Agency
Exception of Central Intelligence Agency from provisions of this section, see Ex. Ord. No. 10805, Feb. 18, 1959, 24 F.R. 1301, set out as a note under
§4109. Expenses of training
(a) The head of an agency, under the regulations prescribed under
(1) pay all or a part of the pay (except overtime, holiday, or night differential pay) of an employee of the agency selected and assigned for training under this chapter, for the period of training; and
(2) pay, or reimburse the employee for, all or a part of the necessary expenses of the training, without regard to section 3324(a) and (b) of title 31, including among the expenses the necessary costs of—
(A) travel and per diem instead of subsistence under subchapter I of
(B) transportation of immediate family, household goods and personal effects, packing, crating, temporarily storing, draying, and unpacking under
(C) tuition and matriculation fees;
(D) library and laboratory services;
(E) purchase or rental of books, materials, and supplies; and
(F) other services or facilities directly related to the training of the employee.
(b) The expenses of training do not include membership fees except to the extent that the fee is a necessary cost directly related to the training itself or that payment of the fee is a condition precedent to undergoing the training.
(c) Notwithstanding subsection (a)(1) of this section, the Administrator, Federal Aviation Administration, may pay an individual training to be an air traffic controller of such Administration, and the Secretary of Defense may pay an individual training to be an air traffic controller of the Department of Defense, during the period of such training, at the applicable rate of basic pay for the hours of training officially ordered or approved in excess of forty hours in an administrative workweek.
(d) Notwithstanding subsection (a)(1), a firefighter who is subject to
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
In subsection (a)(1) and (2), the words "training under this chapter" and "the training" are substituted for "training by, in, or through Government facilities or non-Government facilities under authority of this chapter" and "such training", respectively.
In subsection (a)(2)(A), the words "and the Standardized Government Travel Regulations" are omitted as included by the reference to "subchapter I of
In subsection (a)(2)(A) and (B), the words "
In subsection (a)(2)(B), the words "under
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
2022—Subsec. (a)(2)(A).
Subsec. (a)(2)(B).
2013—Subsec. (a)(2)(A), (B).
2011—Subsec. (a)(2)(A), (B).
1998—Subsec. (d).
1992—Subsec. (d).
1984—Subsec. (c).
Subsec. (d).
1982—Subsec. (a)(2).
Subsec. (c).
1979—Subsec. (a)(2).
1967—Subsec. (a)(2).
Statutory Notes and Related Subsidiaries
Effective Date of 2013 Amendment
Effective Date of 1998 Amendment
Effective Date of 1992 Amendment
Amendment by
Effective Date of 1984 Amendment
Effective Date of 1982 Amendment
Amendment by
Effective Date of 1979 Amendment
Amendment by
Executive Documents
Department of Homeland Security
Exception from introductory provisions of subsec. (a) of this section of those elements of the Department of Homeland Security that are supervised by the Under Secretary of Homeland Security for Information Analysis and Infrastructure Protection through the Department's Assistant Secretary for Information Analysis, see Ex. Ord. No. 13286, §86, Feb. 28, 2003, 68 F.R. 10632, set out as a note under
Central Intelligence Agency
Exception of Central Intelligence Agency from certain introductory provisions of subsec. (a) of this section, see Ex. Ord. No. 10805, Feb. 18, 1959, 24 F.R. 1301, set out as a note under
§4110. Expenses of attendance at meetings
Appropriations available to an agency for travel expenses are available for expenses of attendance at meetings which are concerned with the functions or activities for which the appropriation is made or which will contribute to improved conduct, supervision, or management of the functions or activities.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
Standard changes are made to conform with the definitions applicable and the style of this title as outlined in the preface to the report.
§4111. Acceptance of contributions, awards, and other payments
(a) To the extent authorized by regulation of the President, contributions and awards incident to training in non-Government facilities, and payment of travel, subsistence, and other expenses incident to attendance at meetings, may be made to and accepted by an employee, without regard to
(b) When a contribution, award, or payment, in cash or in kind, is made to an employee for travel, subsistence, or other expenses under subsection (a) of this section, an appropriate reduction, under regulations of the President, shall be made from payment by the Government to the employee for travel, subsistence, or other expenses incident to training in a non-Government facility or to attendance at a meeting.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| (a) | July 7, 1958, |
|
| (b) | July 7, 1958, |
In subsection (a), the words "
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
1979—Subsec. (b).
Statutory Notes and Related Subsidiaries
Effective Date of 1979 Amendment
Amendment by
Executive Documents
Transfer of Functions
Functions vested by law (including reorganization plan) in Bureau of the Budget or Director of Bureau of the Budget transferred to President by section 101 of 1970 Reorg. Plan No. 2, eff. July 1, 1970, 35 F.R. 7959,
Delegation of Functions
Functions of President under subsec. (a) of this section delegated to Office of Personnel Management, see section 401(b) of Ex. Ord. No. 11348, Apr. 20, 1967, 32 F.R. 6335, set out as a note under
Functions of President under subsec. (b) of this section delegated to Director of Office of Management and Budget, see Ex. Ord. No. 12152, Aug. 14, 1979, 44 F.R. 48143, set out as a note under
§4112. Absorption of costs within funds available
(a) The President, to the extent he considers practicable, shall provide by regulation for the absorption of the costs of the training programs and plans under this chapter by the respective agencies from applicable appropriations or funds available for each fiscal year.
(b) Subsection (a) of this section may not be held or considered to require—
(1) the separation of an individual from the service by reduction in force or other personnel action; or
(2) the placement of an individual in a leave-without-pay status.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
In subsection (a), the words "for each fiscal year" are substituted for "for the fiscal year in which this chapter is enacted and for each succeeding fiscal year".
In subsection (b), the prohibition is restated in positive form.
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
1979—Subsec. (a).
Statutory Notes and Related Subsidiaries
Effective Date of 1979 Amendment
Amendment by
Executive Documents
Delegation of Functions
Functions of President under subsec. (a) of this section delegated to Director of Office of Management and Budget, see Ex. Ord. No. 12152, Aug. 14, 1979, 44 F.R. 48143, set out as a note under
[§4113. Repealed. Pub. L. 104–66, title II, §2181(c)(1), Dec. 21, 1995, 109 Stat. 732 ]
Section,
[§4114. Repealed. Pub. L. 103–226, §2(a)(8), Mar. 30, 1994, 108 Stat. 112 ]
Section,
§4115. Collection of training information
The Office of Personnel Management, to the extent it considers appropriate in the public interest, may collect information concerning training programs, plans, and the methods inside and outside the Government. The Office, on request, may make the information available to an agency and to Congress.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
In the first sentence, the words "from time to time" are omitted as unnecessary. In the second sentence, the word "appropriate" is omitted as unnecessary.
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
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Executive Documents
Department of Homeland Security
Exception from provisions of this section of those elements of the Department of Homeland Security that are supervised by the Under Secretary of Homeland Security for Information Analysis and Infrastructure Protection through the Department's Assistant Secretary for Information Analysis, see Ex. Ord. No. 13286, §86, Feb. 28, 2003, 68 F.R. 10632, set out as a note under
Central Intelligence Agency
Exception of Central Intelligence Agency from provisions of this section, see Ex. Ord. No. 10805, Feb. 18, 1959, 24 F.R. 1301, set out as a note under
§4116. Training program assistance
The Office of Personnel Management, on request of an agency, shall advise and assist in the establishment, operation, and maintenance of the training programs and plans of the agency under this chapter, to the extent of its facilities and personnel available for that purpose.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
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
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
§4117. Administration
The Office of Personnel Management has the responsibility and authority for effective promotion and coordination of the training programs under this chapter and training operations thereunder. The functions, duties, and responsibilities of the Office under this chapter are subject to supervision and control by the President and review by Congress.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
||
| July 7, 1958, |
Former sections 2301(4) and 2318(e) are combined and restated for clarity.
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
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Executive Documents
Department of Homeland Security
Exception from provisions of this section of those elements of the Department of Homeland Security that are supervised by the Under Secretary of Homeland Security for Information Analysis and Infrastructure Protection through the Department's Assistant Secretary for Information Analysis, see Ex. Ord. No. 13286, §86, Feb. 28, 2003, 68 F.R. 10632, set out as a note under
Central Intelligence Agency
Exception of Central Intelligence Agency from certain provisions of this section, see Ex. Ord. No. 10805, Feb. 18, 1959, 24 F.R. 1301, set out as a note under
§4118. Regulations
(a) The Office of Personnel Management, after considering the needs and requirements of each agency for training its employees and after consulting with the agencies principally concerned, shall prescribe regulations containing the principles, standards, and related requirements for the programs, and plans thereunder, for the training of employees under this chapter, including requirements for coordination of and reasonable uniformity in the agency training programs and plans. The regulations shall provide for the maintenance of necessary information concerning the general conduct of the training activities of each agency, and such other information as is necessary to enable the President and Congress to discharge effectively their respective duties and responsibilities for supervision, control, and review of these training programs. The regulations also shall cover—
(1) requirements concerning the determination and continuing review by each agency of its training needs and requirements;
(2) the scope and conduct of the agency training programs and plans;
(3) the selection and assignment of employees of each agency for training;
(4) the use in each agency of the services of employees who have undergone training;
(5) the evaluation of the results and effects of the training programs and plans;
(6) the interchange of training information among the agencies;
(7) the submission of reports by the agencies on results and effects of training programs and plans and economies resulting therefrom, including estimates of costs of training;
(8) requirements and limitations necessary with respect to payments and reimbursements in accordance with
(9) other matters considered appropriate or necessary by the Office to carry out the provisions of this chapter.
(b) The Office, in accordance with this chapter, may revise, supplement, or abolish regulations prescribed under this section, and prescribe additional regulations.
(c) This section does not authorize the Office to prescribe the types and methods of intra-agency training or to regulate the details of intra-agency training programs.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| July 7, 1958, |
In subsection (a), the word "appropriate" is omitted as unnecessary. The words "with respect to training by, in, and through Government facilities and non-Government facilities" are omitted as unnecessary.
In subsection (b)(2) and (3), the words "by, in, or through a non-Government facility" are omitted as unnecessary in view of the previous reference in the subsection.
In subsection (c), the words "From time to time" are omitted as unnecessary.
In subsection (d), the prohibition is restated in positive form.
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
1994—Subsec. (a)(7).
Subsecs. (b) to (d).
"(1) prescribe general policies governing the selection of a non-Government facility to provide training;
"(2) authorize training of employees only after the head of the agency concerned determines that adequate training for employees by, in, or through a Government facility is not reasonably available, and that consideration has been given to the existing or reasonably foreseeable availability and use of fully trained employees; and
"(3) prohibit training an employee for the purpose of filling a position by promotion if there is in the agency concerned another employee, of equal ability and suitability, fully qualified to fill the position and available at, or within a reasonable distance from, the place where the duties of the position are to be performed."
1978—Subsecs. (a), (c), (d).
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Executive Documents
Department of Homeland Security
Exception from provisions of this section of those elements of the Department of Homeland Security that are supervised by the Under Secretary of Homeland Security for Information Analysis and Infrastructure Protection through the Department's Assistant Secretary for Information Analysis, see Ex. Ord. No. 13286, §86, Feb. 28, 2003, 68 F.R. 10632, set out as a note under
Central Intelligence Agency
Exception of Central Intelligence Agency from provisions of this section, see Ex. Ord. No. 10805, Feb. 18, 1959, 24 F.R. 1301, set out as a note under
§4119. Training for employees under the Office of the Architect of the Capitol and the Botanic Garden
(a) The Architect of the Capitol may, by regulation, make applicable such provisions of this chapter as the Architect determines necessary to provide for training of (1) individuals employed under the Office of the Architect of the Capitol and the Botanic Garden and (2) other congressional employees who are subject to the administrative control of the Architect. The regulations shall provide for training which, in the determination of the Architect, is consistent with the training provided by agencies under the preceding sections of this chapter.
(b) The Office of Personnel Management shall provide the Architect of the Capitol with such advice and assistance as the Architect may request in order to enable the Architect to carry out the purposes of this section.
(Added
§4120. Training for employees of the Capitol Police
(a) The Chief of the Capitol Police may, by regulation, make applicable such provisions of this chapter as the Chief determines necessary to provide for training of employees of the Capitol Police. The regulations shall provide for training which, in the determination of the Chief, is consistent with the training provided by agencies under the preceding sections of this chapter.
(b) The Office of Personnel Management shall provide the Chief of the Capitol Police with such advice and assistance as the Chief may request in order to enable the Chief to carry out the purposes of this section.
(Added
§4121. Specific training programs
In consultation with the Office of Personnel Management, the head of each agency shall establish—
(1) a comprehensive management succession program to provide training to employees to develop managers for the agency; and
(2) a program to provide training to managers on actions, options, and strategies a manager may use in—
(A) relating to employees with unacceptable performance;
(B) mentoring employees and improving employee performance and productivity; and
(C) conducting employee performance appraisals.
(Added
CHAPTER 43 —PERFORMANCE APPRAISAL
SUBCHAPTER I—GENERAL PROVISIONS
SUBCHAPTER II—PERFORMANCE APPRAISAL IN THE SENIOR EXECUTIVE SERVICE
Editorial Notes
Amendments
1993—
1984—
1978—
1 So in original. Does not conform to section catchline.
SUBCHAPTER I—GENERAL PROVISIONS
Editorial Notes
Amendments
1979—
§4301. Definitions
Except as otherwise expressly provided, for the purpose of this subchapter—
(1) "agency" means—
(A) an Executive agency; and
(B) the Government Publishing Office;
but does not include—
(i) a Government corporation;
(ii) the Central Intelligence Agency, the Defense Intelligence Agency, the National Geospatial-Intelligence Agency, the National Security Agency, or any Executive agency or unit thereof which is designated by the President and the principal function of which is the conduct of foreign intelligence or counterintelligence activities; or
(iii) the Government Accountability Office;
(2) "employee" means an individual employed in or under an agency, but does not include—
(A) an employee outside the United States who is paid in accordance with local native prevailing wage rates for the area in which employed;
(B) an individual in the Foreign Service of the United States;
(C) a physician, dentist, nurse, or other employee in the Veterans Health Administration of the Department of Veterans Affairs whose pay is fixed under
(D) an administrative law judge appointed under
(E) an individual in the Senior Executive Service or the Federal Bureau of Investigation and Drug Enforcement Administration Senior Executive Service;
(F) an individual appointed by the President;
(G) an individual occupying a position not in the competitive service excluded from coverage of this subchapter by regulations of the Office of Personnel Management; or
(H) an individual who (i) is serving in a position under a temporary appointment for less than one year, (ii) agrees to serve without a performance evaluation, and (iii) will not be considered for a reappointment or for an increase in pay based in whole or in part on performance; and
(3) "unacceptable performance" means performance of an employee which fails to meet established performance standards in one or more critical elements of such employee's position.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 30, 1950, ch. 1123, §2, |
||
| Sept. 1, 1954, ch. 1208, §601(a), |
||
| June 17, 1957, |
||
| July 11, 1957, |
||
| Sept. 2, 1958, |
||
| Mar. 26, 1964, |
In paragraph (1), the term "Executive agency" is substituted for the reference to "executive departments, the independent establishments and agencies in the executive branch, including corporations wholly owned by the United States" and "the General Accounting Office". The exception of "a Government controlled corporation" is added in subparagraph (vii) to preserve the application of this chapter to "corporations wholly owned by the United States". The exceptions for Production credit corporations and Federal intermediate credit banks in former section 2001(b)(5), (6) are omitted as they are no longer "corporations wholly owned by the United States". Under the Farm Credit Act of 1956,
Paragraph (2) is supplied because the definition of "employee" in section 2105 does not encompass individuals employed by the government of the District of Columbia. The definition in paragraph (2) does not encompass members of the uniformed services as they are not "employed" in or under an agency.
Paragraph (2)(E) is based on the third and fifth sentences, respectively, of former sections 1010 and 1011, which are carried into sections 5362 and 559, respectively, and section 1106(a) of the Act of Oct. 28, 1949, ch. 782,
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—
2008—Par. (1)(ii)
2004—Par. (1)(iii).
1996—Par. (1)(ii).
1994—Par. (1)(ii).
1991—Par. (2)(C).
1990—Par. (1).
Par. (2)(H).
1988—Par. (2)(E).
1978—
Par. (2)(E).
1970—Par. (1)(ii).
Statutory Notes and Related Subsidiaries
Change of Name
"Government Publishing Office" substituted for "Government Printing Office" in par. (1)(B) on authority of section 1301(b) of
Effective Date of 1996 Amendment
Amendment by
Effective Date of 1978 Amendment
Amendment by
Effective Date of 1970 Amendment
Amendment by
§4302. Establishment of performance appraisal systems
(a) Each agency shall develop one or more performance appraisal systems which—
(1) provide for periodic appraisals of job performance of employees;
(2) encourage employee participation in establishing performance standards; and
(3) use the results of performance appraisals as a basis for training, rewarding, reassigning, promoting, reducing in grade, retaining, and removing employees.
(b)(1) The head of each agency, in consultation with the Director of the Office of Personnel Management and the Special Counsel, shall develop criteria that—
(A) the head of the agency shall use as a critical element for establishing the job requirements of a supervisory employee; and
(B) promote the protection of whistleblowers.
(2) The criteria required under paragraph (1) shall include—
(A) principles for the protection of whistleblowers, such as the degree to which supervisory employees—
(i) respond constructively when employees of the agency make disclosures described in subparagraph (A) or (B) of section 2302(b)(8);
(ii) take responsible actions to resolve the disclosures described in clause (i); and
(iii) foster an environment in which employees of the agency feel comfortable making disclosures described in clause (i) to supervisory employees or other appropriate authorities; and
(B) for each supervisory employee—
(i) whether the agency entered into an agreement with an individual who alleged that the supervisory employee committed a prohibited personnel practice; and
(ii) if the agency entered into an agreement described in clause (i), the number of instances in which the agency entered into such an agreement with respect to the supervisory employee.
(3) In this subsection—
(A) the term "agency" means any entity the employees of which are covered under paragraphs (8) and (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);
(C) the term "supervisory employee" means an employee who would be a supervisor, as defined in section 7103(a), if the agency employing the employee was an agency for purposes of
(D) the term "whistleblower" means an employee who makes a disclosure described in section 2302(b)(8).
(c) Under regulations which the Office of Personnel Management shall prescribe, each performance appraisal system 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 or position under the system;
(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 the performance standards and the critical elements of the employee's position;
(3) evaluating each employee during the appraisal period on such standards;
(4) recognizing and rewarding employees whose performance so warrants;
(5) assisting employees in improving unacceptable performance; and
(6) reassigning, reducing in grade, or removing employees who continue to have unacceptable performance but only after an opportunity to demonstrate acceptable performance.
(d) In accordance with regulations which the Office shall prescribe, the head of an agency may administer and maintain a performance appraisal system electronically.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 30, 1950, ch. 1123, §3, |
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).
2000—Subsec. (c).
1992—Subsec. (a)(3).
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
Annual Report to Congress on Unacceptable Performance in Whistleblower Protection
"(A)
"(B)
"(i) 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
"(ii) the reasons for the determinations described in clause (i); and
"(iii) each performance-based or corrective action taken by the agency in response to a determination under clause (i)."
[§4302a. Repealed. Pub. L. 103–89, §3(b)(1)(B)(i), Sept. 30, 1993, 107 Stat. 981 ]
Section, added
Statutory Notes and Related Subsidiaries
Effective Date of Repeal
Repeal effective Nov. 1, 1993, see section 3(c) of
§4303. Actions based on unacceptable performance
(a) Subject to the provisions of this section, an agency may reduce in grade or remove an employee for unacceptable performance.
(b)(1) An employee whose reduction in grade or removal is proposed under this section is entitled to—
(A) 30 days' advance written notice of the proposed action which identifies—
(i) specific instances of unacceptable performance by the employee on which the proposed action is based; and
(ii) the critical elements of the employee's position involved in each instance of unacceptable performance;
(B) be represented by an attorney or other representative;
(C) a reasonable time to answer orally and in writing; and
(D) a written decision which—
(i) in the case of a reduction in grade or removal under this section, specifies the instances of unacceptable performance by the employee on which the reduction in grade or removal is based, and
(ii) unless proposed by the head of the agency, has been concurred in by an employee who is in a higher position than the employee who proposed the action.
(2) An agency may, under regulations prescribed by the head of such agency, extend the notice period under subsection (b)(1)(A) of this section for not more than 30 days. An agency may extend the notice period for more than 30 days only in accordance with regulations issued by the Office of Personnel Management.
(c) The decision to retain, reduce in grade, or remove an employee—
(1) shall be made within 30 days after the date of expiration of the notice period, and
(2) in the case of a reduction in grade or removal, may be based only on those instances of unacceptable performance by the employee—
(A) which occurred during the 1-year period ending on the date of the notice under subsection (b)(1)(A) of this section in connection with the decision; and
(B) for which the notice and other requirements of this section are complied with.
(d) If, because of performance improvement by the employee during the notice period, the employee is not reduced in grade or removed, and the employee's performance continues to be acceptable for 1 year from the date of the advance written notice provided under subsection (b)(1)(A) of this section, any entry or other notation of the unacceptable performance for which the action was proposed under this section shall be removed from any agency record relating to the employee.
(e) Any employee who is—
(1) a preference eligible;
(2) in the competitive service; or
(3) in the excepted service and covered by subchapter II of
and who has been reduced in grade or removed under this section is entitled to appeal the action to the Merit Systems Protection Board under section 7701.
(f) This section does not apply to—
(1) the reduction to the grade previously held of a supervisor or manager who has not completed the probationary period under
(2) the reduction in grade or removal of an employee in the competitive service who is serving a probationary or trial period under an initial appointment or who has not completed 1 year of current continuous employment under other than a temporary appointment limited to 1 year or less,
(3) the reduction in grade or removal of an employee in the excepted service who has not completed 1 year of current continuous employment in the same or similar positions, or
(4) any removal or demotion under
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 30, 1950, ch. 1123, §5, |
The words "required by this chapter" are omitted as unnecessary.
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—Subsec. (f)(4).
1990—Subsec. (e).
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 1990 Amendment
Effective Date of 1978 Amendment
Amendment by
§4304. Responsibilities of the Office of Personnel Management
(a) The Office of Personnel Management shall make technical assistance available to agencies in the development of performance appraisal systems.
(b)(1) The Office shall review each performance appraisal system developed by any agency under this section and determine whether the performance appraisal system meets the requirements of this subchapter.
(2) The Comptroller General shall from time to time review on a selected basis performance appraisal systems established under this subchapter to determine the extent to which any such system meets the requirements of this subchapter and shall periodically report its findings to the Office and to the Congress.
(3) If the Office determines that a system does not meet the requirements of this subchapter (including regulations prescribed under section 4305), the Office shall direct the agency to implement an appropriate system or to correct operations under the system, and any such agency shall take any action so required.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 30, 1950, ch. 1123, §6, |
In subsection (a)(1), the words "corresponding to an efficiency rating of 'good' under the Veterans' Preference Act of 1944, as amended, and under laws superseded by this chapter" in clause (1) of former section 2005 are omitted, but are carried into section 3502.
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
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
§4305. Regulations
The Office of Personnel Management may prescribe regulations to carry out the purpose of this subchapter.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 30, 1950, ch. 1123, §7, |
In subsection (c), the words "as a matter of right" are omitted as unnecessary.
In subsection (d), the words "are entitled" are substituted for "shall be afforded an opportunity". The word "considers" is substituted for "deems to be".
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
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Amendment by
[§§4306 to 4308. Omitted]
Editorial Notes
Codification
Sections 4306 to 4308,
Section 4306 related to inspection of performance-rating plans.
Section 4307 related to prohibition of other rating procedures.
Section 4308 related to regulations for administration of the chapter, and is covered by revised section 4305.
SUBCHAPTER II—PERFORMANCE APPRAISAL IN THE SENIOR EXECUTIVE SERVICE
§4311. Definitions
For the purpose of this subchapter, "agency", "senior executive", and "career appointee" have the meanings set forth in
(Added
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
§4312. Senior Executive Service performance appraisal systems
(a) Each agency shall, in accordance with standards established by the Office of Personnel Management, develop one or more performance appraisal systems designed to—
(1) permit the accurate evaluation of performance in any position on the basis of criteria which are related to the position and which specify the critical elements of the position;
(2) provide for systematic appraisals of performance of senior executives;
(3) encourage excellence in performance by senior executives; and
(4) provide a basis for making eligibility determinations for retention in the Senior Executive Service and for Senior Executive Service performance awards.
(b) Each performance appraisal system established by an agency under subsection (a) of this section shall provide—
(1) that, on or before the beginning of each rating period, performance requirements for each senior executive in the agency are established in consultation with the senior executive and communicated to the senior executive;
(2) that written appraisals of performance are based on the individual and organizational performance requirements established for the rating period involved; and
(3) that each senior executive in the agency is provided a copy of the appraisal and rating under
(c)(1) The Office shall review each agency's performance appraisal system under this section, and determine whether the agency performance appraisal system meets the requirements of this subchapter.
(2) The Comptroller General shall from time to time review performance appraisal systems under this section to determine the extent to which any such system meets the requirements under this subchapter and shall periodically report its findings to the Office and to each House of the Congress.
(3) If the Office determines that an agency performance appraisal system does not meet the requirements under this subchapter (including regulations prescribed under section 4315), the agency shall take such corrective action as may be required by the Office.
(d) A senior executive may not appeal any appraisal and rating under any performance appraisal system under this section.
(Added
Editorial Notes
Amendments
1984—Subsec. (b)(3).
Statutory Notes and Related Subsidiaries
Effective Date of 1984 Amendment
Amendment by
Effective Date
Section effective 9 months after Oct. 13, 1978, and congressional review of provisions of sections 401 through 412 of
§4313. Criteria for performance appraisals
Appraisals of performance in the Senior Executive Service shall be based on both individual and organizational performance, taking into account such factors as—
(1) improvements in efficiency, productivity, and quality of work or service, including any significant reduction in paperwork;
(2) cost efficiency;
(3) timeliness of performance;
(4) other indications of the effectiveness, productivity, and performance quality of the employees for whom the senior executive is responsible;
(5) meeting affirmative action goals, achievement of equal employment opportunity requirements, and compliance with the merit systems principles set forth under
(6) protecting whistleblowers, as described in section 4302(b)(2).
(Added
Editorial Notes
Amendments
2017—Par. (6).
1994—Par. (5).
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
§4314. Ratings for performance appraisals
(a) Each performance appraisal system 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 shall provide that—
(1) any appraisal and any rating under such system—
(A) are made only after review and evaluation by a performance review board established under subsection (c) of this section;
(B) are conducted at least annually, subject to the limitation of subsection (c)(3) of this section;
(C) in the case of a career appointee, may not be made within 120 days after the beginning of a new Presidential administration; and
(D) are based on performance during a performance appraisal period the duration of which shall be determined under guidelines established by the Office of Personnel Management, but which may be terminated in any case in which the agency making an appraisal determines that an adequate basis exists on which to appraise and rate the senior executive's performance;
(2) any career appointee receiving a rating at any of the fully successful levels under subsection (a)(1) of this section may be given a performance award under
(3) any senior executive receiving an unsatisfactory rating under subsection (a)(3) of this section shall be reassigned or transferred within the Senior Executive Service, or removed from the Senior Executive Service, but any senior executive who receives 2 unsatisfactory ratings in any period of 5 consecutive years shall be removed from the Senior Executive Service; and
(4) any senior executive who twice in any period of 3 consecutive years receives less than fully successful ratings shall be removed from the Senior Executive Service.
(c)(1) Each agency shall establish, in accordance with regulations prescribed by the Office, one or more performance review boards, as appropriate. It is the function of the boards to make recommendations to the appropriate appointing authority of the agency relating to the performance of senior executives in the agency.
(2) The supervising official of the senior executive shall provide to the performance review board, an initial appraisal of the senior executive's performance. Before making any recommendation with respect to the senior executive, the board shall review any response by the senior executive to the initial appraisal and conduct such further review as the board finds necessary.
(3) Performance appraisals under this subchapter with respect to any senior executive shall be made by the appointing authority only after considering the recommendations by the performance review board with respect to such senior executive under paragraph (1) of this subsection.
(4) Members of performance review boards 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 shall be published in the Federal Register.
(5) In the case of an appraisal of a career appointee, more than one-half of the members of the performance review board shall consist of career appointees. The requirement of the preceding sentence shall not apply in any case in which the Office determines that there exists an insufficient number of career appointees available to comply with the requirement.
(Added
Editorial Notes
Amendments
1995—Subsec. (d).
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
§4315. Regulations
The Office of Personnel Management shall prescribe regulations to carry out the purpose of this subchapter.
(Added
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
CHAPTER 45 —INCENTIVE AWARDS
SUBCHAPTER I—AWARDS FOR SUPERIOR ACCOMPLISHMENTS
SUBCHAPTER II—AWARDS FOR COST SAVINGS DISCLOSURES
SUBCHAPTER III—AWARDS TO LAW ENFORCEMENT OFFICERS FOR FOREIGN LANGUAGE CAPABILITIES 2
Editorial Notes
Amendments
2001—
1994—
1992—
1990—
1988—
1985—
1981—
1978—
1 So in original. Probably should not be capitalized.
2 So in original. Does not conform to subchapter heading.
SUBCHAPTER I—AWARDS FOR SUPERIOR ACCOMPLISHMENTS
Editorial Notes
Amendments
1981—
§4501. Definitions
For the purpose of this subchapter—
(1) "agency" means—
(A) an Executive agency;
(B) the Library of Congress;
(C) the Office of the Architect of the Capitol;
(D) the Botanic Garden;
(E) the Government Publishing Office;
(F) the government of the District of Columbia; and
(G) the United States Sentencing Commission;
but does not include—
(i) the Tennessee Valley Authority; or
(ii) the Central Bank for Cooperatives;
(2) "employee" means—
(A) an employee as defined by section 2105; and
(B) an individual employed by the government of the District of Columbia; and
(3) "Government" means the Government of the United States and the government of the District of Columbia.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 1, 1954, ch. 1208, §303, Aug. 18, 1959, |
In paragraph (1), the term "Executive agency" is coextensive with and substituted for "executive department or independent agency in the executive branch of the Government including a Government-owned or controlled corporation" in view of the definition of "Executive agency" in section 105. Application to the General Accounting Office (included in the term "Executive agency") is based on former section 933a.
Paragraph (2) is supplied because the definition of "employee" in section 2105 does not encompass individuals employed by the government of the District of Columbia.
Paragraph (3) is supplied for clarity and convenience.
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
1993—Par. (2)(A).
1990—Par. (1).
1988—Par. (1)(H).
1984—Par. (2)(A).
1981—
1978—Par. (2)(A).
Statutory Notes and Related Subsidiaries
Change of Name
"Government Publishing Office" substituted for "Government Printing Office" in par. (1)(E) on authority of section 1301(b) of
Effective Date of 1993 Amendment
Amendment by
Effective Date of 1984 Amendment
Section 205 of
Effective Date of 1981 Amendment
Effective Date of 1978 Amendment
Executive Documents
Ex. Ord. No. 12976. Compensation Practices of Government Corporations
Ex. Ord. No. 12976, Oct. 5, 1995, 60 F.R. 52829, provided:
By the authority vested in me as President by the Constitution and the laws of the United States of America, including
Government corporations subject to this order should not pay bonuses in excess of those authorized by
(b) The Director of OMB shall issue instructions to the corporations subject to this section specifying when information is to be submitted, and the content and form of such information.
(b) Information submitted shall include the following with respect to senior executives of each corporation subject to this section:
(1) the compensation plan, procedures, and structure of such corporation;
(2) base salary levels, annual bonuses, and other compensation; and
(3) information supporting the senior executive compensation plan and levels.
(c) The Director of OMB shall issue instructions to the corporations subject to this section specifying when information is to be submitted, and the content and form of such information.
(1) consistency with statutory requirements;
(2) consistency with corporate mission;
(3) standards of Federal management and efficiency; and
(4) equivalent private sector compensation practices.
William J. Clinton.
§4502. General provisions
(a) Except as provided by subsection (b) of this section, a cash award under this subchapter may not exceed $10,000.
(b) When the head of an agency certifies to the Office of Personnel Management that the suggestion, invention, superior accomplishment, or other meritorious effort for which the award is proposed is highly exceptional and unusually outstanding, a cash award in excess of $10,000 but not in excess of $25,000 may be granted with the approval of the Office.
(c) A cash award under this subchapter is in addition to the regular pay of the recipient. Acceptance of a cash award under this subchapter constitutes an agreement that the use by the Government of an idea, method, or device for which the award is made does not form the basis of a further claim of any nature against the Government by the employee, his heirs, or assigns.
(d) A cash award to, and expense for the honorary recognition of, an employee may be paid from the fund or appropriation available to the activity primarily benefiting or the various activities benefiting. The head of the agency concerned determines the amount to be paid by each activity for an agency award under
(e) The Office of Personnel Management may by regulation permit agencies to grant employees time off from duty, without loss of pay or charge to leave, as an award in recognition of superior accomplishment or other personal effort that contributes to the quality, efficiency, or economy of Government operations.
(f) The Secretary of Defense may grant a cash award under subsection (b) of this section without regard to the requirements for certification and approval provided in that subsection.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 1, 1954, ch. 1208, §304(d), (e), (g), |
In subsections (a) and (b), the words "cash award" are substituted for "monetary award" and "such award" to conform to the remainder of the chapter.
In subsection (c), the word "Government" is substituted for "Government of the United States or the government of the District of Columbia" in view of the definition of "Government" in section 4501.
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
2000—Subsec. (f).
1993—Subsec. (e).
1990—Subsec. (e).
1981—Subsecs. (a), (c).
1978—Subsec. (a).
Subsec. (b).
Statutory Notes and Related Subsidiaries
Effective Date of 1993 Amendment
Amendment by
Effective Date of 1990 Amendment
Amendment by
Effective Date of 1981 Amendment
Amendment by
Effective Date of 1978 Amendment
Executive Documents
Delegation of Functions
Functions of President under former section 2123(e) [now subsec. (d)] of this section delegated to Director of Office of Personnel Management, see section 2 of Ex. Ord. No. 11228, June 14, 1965, 30 F.R. 7739, set out as a note under
§4503. Agency awards
The head of an agency may pay a cash award to, and incur necessary expense for the honorary recognition of, an employee who—
(1) by his suggestion, invention, superior accomplishment, or other personal effort contributes to the efficiency, economy, or other improvement of Government operations or achieves a significant reduction in paperwork; or
(2) performs a special act or service in the public interest in connection with or related to his official employment.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 1, 1954, ch. 1208, §304(a), |
The word "employee" is substituted for "civilian officers and employees of the Government" in view of the definition of "employee" in section 4501.
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
1978—Par. (1).
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
§4504. Presidential awards
The President may pay a cash award to, and incur necessary expense for the honorary recognition of, an employee who—
(1) by his suggestion, invention, superior accomplishment, or other personal effort contributes to the efficiency, economy, or other improvement of Government operations or achieves a significant reduction in paperwork; or
(2) performs an exceptionally meritorious special act or service in the public interest in connection with or related to his official employment.
A Presidential award may be in addition to an agency award under
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 1, 1954, ch. 1208, §304(b), |
The words "In instances determined by the President to warrant such action" are omitted as surplusage. The word "employee" is substituted for "civilian officers and employees of the Government" in view of the definition of "employee" in section 4501.
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
1978—Par. (1).
Statutory Notes and Related Subsidiaries
Effective Date of 1978 Amendment
Executive Documents
Delegation of Functions
Functions vested in Director of Office of Personnel Management under this section insofar as it affects officers and employees in or under executive branch of Government to be performed without approval of President, see section 2 of Ex. Ord. No. 11228, June 14, 1965, 30 F.R. 7739, set out as a note under
Ex. Ord. No. 9586. The Presidential Medal of Freedom
Ex. Ord. No. 9586, July 6, 1945, 10 F.R. 8523, as amended by Ex. Ord. No. 10336, Apr. 3, 1952, 17 F.R. 2957; Ex. Ord. No. 11085, Feb. 22, 1963, 28 F.R. 1759; Ex. Ord. No. 11515, Mar. 13, 1970, 35 F.R. 4543, provided:
By virtue of the authority vested in me as President of the United States and as Commander in Chief of the armed forces of the United States, it is ordered as follows:
(b) The President may select for the award of the Medal any person recommended to the President for award of the Medal or any person selected by the President upon his own initiative.
(c) The principal announcement of awards of the Medal shall normally be made annually, on or about July 4 of each year; but such awards may be made at other times, as the President may deem appropriate.
(d) Subject to the provision of this Order, the Medal may be awarded posthumously.
(b) A chairman of the Board shall be designated by the President from time to time from among the membership of the Board appointed from the Executive Branch.
(c) For purposes of recommending to the President persons to receive the President's Award for Distinguished Federal Civilian Service, and to carry out the other purposes of Executive Order No. 10717, only the members of the Board from the Executive Branch will sit. The names of persons so recommended will be submitted to the President without reference to the other members of the Board.
(b) With due regard for the provisions of Section 2 of this Order, the Board shall screen such recommendations and, on the basis of such recommendations or upon its own motion, shall from time to time submit to the President nominations of individuals for award of the Medal, in appropriate degrees.
Ex. Ord. No. 10717. President's Award for Distinguished Federal Civilian Service
Ex. Ord. No. 10717, June 27, 1957, 22 F.R. 4632, as amended by Ex. Ord. No. 10979, Dec. 12, 1961, 26 F.R. 11937; Ex. Ord. No. 11085, Feb. 22, 1963, 28 F.R. 1759; Ex. Ord. No. 12014, Oct. 19, 1977, 42 F.R. 56105; Ex. Ord. No. 12107, Dec. 28, 1978, 44 F.R. 1055, provided:
(1) Imagination in developing creative solutions to problems of government.
(2) Courage in persevering against great odds and difficulties.
(3) High ability in accomplishing extraordinary scientific or technological achievement, in providing outstanding leadership in planning, organizing, or directing a major program of unusual importance and complexity, or in performing an extraordinary act of credit to the Government and the country.
(4) Long and distinguished career service.
(b) The importance of the achievements to the Government and to the public interest shall be so outstanding that the officer or employee is deserving of greater public recognition than that which can be accorded by the head of the department or agency in which he is employed. Generally, not more than five awards shall be made in any one year. Presentation of the award shall be made at such times as the President may determine.
(a) The Director shall be guided in the performance of this function by the provisions of
(b) The Director shall not recommend any person for the award without the concurrence of the head of the agency in which that person was employed at the time of the achievement for which the award is recommended.
(c) Persons appointed by the President are not eligible for this award unless, in the opinion of the Office, they are currently serving in a career position.
§4505. Awards to former employees
An agency may pay or grant an award under this subchapter notwithstanding the death or separation from the service of the employee concerned, if the suggestion, invention, superior accomplishment, other personal effort, or special act or service in the public interest for which the award is proposed was made or performed while the employee was in the employ of the Government.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 1, 1954, ch. 1208 §304(c), |
The words "or grant" are added for clarity.
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
1981—
Statutory Notes and Related Subsidiaries
Effective Date of 1981 Amendment
Amendment by
§4505a. Performance-based cash awards
(a)(1) An employee whose most recent performance rating was at the fully successful level or higher (or the equivalent thereof) may be paid a cash award under this section.
(2) A cash award under this section shall be equal to an amount determined appropriate by the head of the agency, but may not be more than 10 percent of the employee's annual rate of basic pay. Notwithstanding the preceding sentence, the agency head may authorize a cash award equal to an amount exceeding 10 percent of the employee's annual rate of basic pay if the agency head determines that exceptional performance by the employee justifies such an award, but in no case may an award under this section exceed 20 percent of the employee's annual rate of basic pay.
(b)(1) A cash award under this section shall be paid as a lump sum, and may not be considered to be part of the basic pay of an employee.
(2) The failure to pay a cash award under this section, or the amount of such an award, may not be appealed. The preceding sentence shall not be construed to extinguish or lessen any right or remedy under subchapter II of
(c) The Office of Personnel Management shall prescribe such regulations as it considers necessary for the administration of subsections (a) and (b).
(d) The preceding provisions of this section shall be applicable with respect to any employee to whom subchapter III of
(e) At the request of the head of an Executive agency, the President may authorize the application of subsections (a) through (c) with respect to any category of employees within such agency who would not otherwise be covered by this section.
(Added
Editorial Notes
Amendments
2017—Subsec. (b)(2).
2004—Subsec. (a)(2).
1992—Subsec. (b)(2).
Subsec. (c).
Subsecs. (d), (e).
Statutory Notes and Related Subsidiaries
Effective Date of 2004 Amendment
Amendment by
Effective Date of 1992 Amendment
Amendment by
Effective Date
Section effective on such date as the President shall determine, but not earlier than 90 days, and not later than 180 days, after Nov. 5, 1990, see section 529 [title III, §305] of
Executive Documents
Delegation of Functions
Authority of President under subsec. (e) of this section delegated to Director of Office of Personnel Management by Ex. Ord. No. 12828, §1(2), Jan. 5, 1993, 58 F.R. 2965, set out as a note under
Ex. Ord. No. 13415. Assignment of Certain Pay-Related Functions
Ex. Ord. No. 13415, Dec. 1, 2006, 71 F.R. 70641, provided:
By the authority vested in me as President by the Constitution and the laws of the United States of America, including
(b) [Amended Ex. Ord. No. 12828, set out as a note under
George W. Bush.
§4506. Regulations
The Office of Personnel Management shall prescribe regulations and instructions under which the awards programs set forth by this subchapter shall be carried out.
(
| Derivation | U.S. Code | Revised Statutes and Statutes at Large |
|---|---|---|
| Sept. 1, 1954, ch. 1208, §302 (1st 29 words), |
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
2001—
1981—
1978—
Statutory Notes and Related Subsidiaries
Effective Date of 2001 Amendment
Effective Date of 1981 Amendment
Amendment by
Effective Date of 1978 Amendment
§4507. Awarding of ranks in the Senior Executive Service
(a) For the purpose of this section, "agency", "senior executive", and "career appointee" have the meanings set forth in
(b) Each agency shall submit annually to the Office recommendations of career appointees in the agency to be awarded the rank of Meritorious Executive or Distinguished Executive. The recommendations may take into account the individual's performance over a period of years. The Office shall review such recommendations and provide to the President recommendations as to which of the agency recommended appointees should receive such rank.
(c) During any fiscal year, the President may, subject to subsection (d) of this section, award to any career appointee recommended by the Office the rank of—
(1) Meritorious Executive, for sustained accomplishment, or
(2) Distinguished Executive, for sustained extraordinary accomplishment.
A career appointee awarded a rank under paragraph (1) or (2) of this subsection shall not be entitled to be awarded that rank during the following 4 fiscal years.
(d) During any fiscal year—
(1) the number of career appointees awarded the rank of Meritorious Executive may not exceed 5 percent of the Senior Executive Service; and
(2) the number of career appointees awarded the rank of Distinguished Executive may not exceed 1 percent of the Senior Executive Service.
(e)(1) Receipt by a career appointee of the rank of Meritorious Executive entitles such individual to a lump-sum payment of an amount equal to 20 percent of annual basic pay, which shall be in addition to the basic pay paid under
(2) Receipt by a career appointee of the rank of Distinguished Executive entitles the individual to a lump-sum payment of an amount equal to 35 percent of annual basic pay, which shall be in addition to the basic pay paid under
(Added
Editorial Notes
Amendments
1998—Subsec. (e)(1).
Subsec. (e)(2).
Statutory Notes and Related Subsidiaries
Effective Date of 1998 Amendment
Effective Date
Section effective 9 months after Oct. 13, 1978, and congressional review of provisions of sections 401 through 412 of
§4507a. Awarding of ranks to other senior career employees
(a) For the purpose of this section, the term "senior career employee" means an individual appointed to a position classified above GS–15 and paid under section 5376 who is not serving—
(1) under a time-limited appointment; or
(2) in a position that is excepted from the competitive service because of its confidential or policy-making character.
(b) Each agency employing senior career employees shall submit annually to the Office of Personnel Management recommendations of senior career employees in the agency to be awarded the rank of Meritorious Senior Professional or Distinguished Senior Professional, which may be awarded by the President for sustained accomplishment or sustained extraordinary accomplishment, respectively.
(c) The recommendations shall be made, reviewed, and awarded under the same terms and conditions (to the extent determined by the Office of Personnel Management) that apply to rank awards for members of the Senior Executive Service under section 4507.
(Added
Editorial Notes
References in Text
GS–15, referred to in subsec. (a), is contained in the General Schedule, which is set out under
Statutory Notes and Related Subsidiaries
Effective Date
Section effective for awards granted in 2003, see section 641(d) of
§4508. Limitation of awards during a Presidential election year
(a) For purposes of this section, the term—
(1) "Presidential election period" means any period beginning on June 1 in a calendar year in which the popular election of the President occurs, and ending on January 20 following the date of such election; and
(2) "senior politically appointed officer" means any officer who during a Presidential election period serves—
(A) in a Senior Executive Service position and is not a career appointee as defined under section 3132(a)(4); or
(B) in a position of a confidential or policy-determining character under schedule C of subpart C of part 213 of title 5 of the Code of Federal Regulations.
(b) No senior politically appointed officer may receive an award under the provisions of this subchapter during a Presidential election period.
(Added
§4509. Prohibition of cash award to Executive Schedule officers
No officer may receive a cash award under the provisions of this subchapter, if such officer—
(1) serves in—
(A) an Executive Schedule position under subchapter II of
(B) a position for which the compensation is set in statute by reference to a section or level under subchapter II of
(2) was appointed to such position by the President, by and with the advice and consent of the Senate.
(Added
SUBCHAPTER II—AWARDS FOR COST SAVINGS DISCLOSURES
Editorial Notes
Amendments
1981—
§4511. Definition and general provisions
(a) For purposes of this subchapter, the term "agency" means any Executive agency.
(b) A cash award under this subchapter is in addition to the regular pay of the recipient. Acceptance of a cash award under this subchapter constitutes an agreement that the use by the Government of an idea, method, or device for which the award is made does not form the basis of a further claim of any nature against the Government by the employee, his heirs, or assigns.
(Added
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Oct. 1, 1981, see section 1703(c) of
Authority To Make Awards
§4512. Agency awards for cost savings disclosures
(a) The Inspector General of an agency, or any other agency employee designated under subsection (b), may pay a cash award to any employee of such agency whose disclosure of fraud, waste, or mismanagement to the Inspector General of the agency, or to such other designated agency employee, has resulted in cost savings for the agency. The amount of an award under this section may not exceed the lesser of—
(1) $10,000; or
(2) an amount equal to 1 percent of the agency's cost savings which the Inspector General, or other employee designated under subsection (b), determines to be the total savings attributable to the employee's disclosure.
For purposes of paragraph (2), the Inspector General or other designated employee may take into account agency cost savings projected for subsequent fiscal years which will be attributable to such disclosure.
(b) In the case of an agency for which there is no Inspector General, the head of the agency shall designate an agency employee who shall have the authority to make the determinations and grant the awards permitted under this section.
(Added
Editorial Notes
Amendments
1985—Subsec. (c).
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Oct. 1, 1981, see section 1703(c) of
§4513. Presidential awards for cost savings disclosures
The President may pay a cash award in the amount of $20,000 to any employee whose disclosure of fraud, waste, or mismanagement has resulted in substantial cost savings for the Government. In evaluating the significance of a cost savings disclosure made by an employee for purposes of determining whether to make an award to such employee under this section, the President may take into account cost savings projected for subsequent fiscal years which will be attributable to the disclosure. During any fiscal year, the President may not make more than 50 awards under this section.
(Added
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Oct. 1, 1981, see section 1703(c) of
[§4514. Repealed. Pub. L. 102–487, §1(a), Oct. 24, 1992, 106 Stat. 3134 ]
Section, added
SUBCHAPTER III—AWARD TO LAW ENFORCEMENT OFFICERS FOR FOREIGN LANGUAGE CAPABILITIES
Editorial Notes
Amendments
1992—
§4521. Definition
For the purpose of this subchapter, the term "law enforcement officer" means—
(1) a law enforcement officer within the meaning of section 5541(3) and to whom the provisions of
(2) a member of the United States Secret Service Uniformed Division;
(3) a member of the United States Park Police;
(4) a special agent in the Diplomatic Security Service;
(5) a probation officer (referred to in
(6) a pretrial services officer (referred to in
(Added
Editorial Notes
Amendments
1992—
1991—
Statutory Notes and Related Subsidiaries
Effective Date
Transfer of Functions
For transfer of the functions, personnel, assets, and obligations of the United States Secret Service, including the functions of the Secretary of the Treasury relating thereto, to the Secretary of Homeland Security, and for treatment of related references, see
§4522. General provision
An award under this subchapter is in addition to the basic pay of the recipient.
(Added
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Jan. 1, 1992, see section 529 [title IV, §408(d)] of
§4523. Award authority
(a) An agency may pay a cash award, up to 5 percent of basic pay, to any law enforcement officer employed in or under such agency who possesses and makes substantial use of 1 or more foreign languages in the performance of official duties.
(b) Awards under this section shall be paid under regulations prescribed by the head of the agency involved (or designee thereof). Regulations prescribed by an agency head (or designee) under this subsecton 1 shall include—
(1) procedures under which foreign language proficiency shall be ascertained;
(2) criteria for the selection of individuals for recognition under this section; and
(3) any other provisions which may be necessary to carry out the purposes of this subchapter.
(Added
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Jan. 1, 1992, see section 529 [title IV, §408(d)] of
1 So in original. Probably should be "subsection".
CHAPTER 47 —PERSONNEL RESEARCH PROGRAMS AND DEMONSTRATION PROJECTS
Editorial Notes
Amendments
1998—
§4701. Definitions
(a) For the purpose of this chapter—
(1) "agency" means an Executive agency and the Government Publishing Office, but does not include—
(A) a Government corporation;
(B) the Federal Bureau of Investigation, the Central Intelligence Agency, the Defense Intelligence Agency, the National Geospatial-Intelligence Agency, the National Security Agency, and, as determined by the President, any Executive agency or unit thereof which is designated by the President and which has as its principal function the conduct of foreign intelligence or counterintelligence activities; or
(C) the Government Accountability Office;
(2) "employee" means an individual employed in or under an agency;
(3) "eligible" means an individual who has qualified for appointment in an agency and whose name has been entered on the appropriate register or list of eligibles;
(4) "demonstration project" means a project conducted by the Office of Personnel Management, or under its supervision, to determine whether a specified change in personnel management policies or procedures would result in improved Federal personnel management; and
(5) "research program" means a planned study of the manner in which public management policies and systems are operating, the effects of those policies and systems, the possibilities for change, and comparisons among policies and systems.
(b) This chapter shall not apply to any position in the Drug Enforcement Administration which is excluded from the competitive service under section 201 of the Crime Control Act of 1976 (
(Added
Editorial Notes
Amendments
2008—Subsec. (a)(1)(B).
2004—Subsec. (a)(1)(C).
1996—Subsec. (a)(1)(B).
1994—Subsec. (a)(1)(B).
1990—Subsec. (a)(1).
1979—Subsec. (b).
Statutory Notes and Related Subsidiaries
Change of Name
"Government Publishing Office" substituted for "Government Printing Office" in subsec. (a)(1) on authority of section 1301(b) of
Effective Date of 1996 Amendment
Amendment by
Effective Date of 1979 Amendment
Amendment by
Effective Date
Section effective 90 days after Oct. 13, 1978, see section 907 of
Design Elements of Pay-for-Performance Systems in Demonstration Projects
"(1) Adherence to merit principles set forth in section 2301 of such title.
"(2) A fair, credible, and transparent employee performance appraisal system.
"(3) A link between elements of the pay-for-performance system, the employee performance appraisal system, and the agency's strategic plan.
"(4) A means for ensuring employee involvement in the design and implementation of the system.
"(5) Adequate training and retraining for supervisors, managers, and employees in the implementation and operation of the pay-for-performance system.
"(6) A process for ensuring ongoing performance feedback and dialogue between supervisors, managers, and employees throughout the appraisal period, and setting timetables for review.
"(7) Effective safeguards to ensure that the management of the system is fair and equitable and based on employee performance.
"(8) A means for ensuring that adequate agency resources are allocated for the design, implementation, and administration of the pay-for-performance system."
§4702. Research programs
The Office of Personnel Management shall—
(1) establish and maintain (and assist in the establishment and maintenance of) research programs to study improved methods and technologies in Federal personnel management;
(2) evaluate the research programs established under paragraph (1) of this section;
(3) establish and maintain a program for the collection and public dissemination of information relating to personnel management research and for encouraging and facilitating the exchange of information among interested persons and entities; and
(4) carry out the preceding functions directly or through agreement or contract.
(Added
Statutory Notes and Related Subsidiaries
Effective Date
Section effective 90 days after Oct. 13, 1978, see section 907 of
§4703. Demonstration projects
(a) Except as provided in this section, the Office of Personnel Management may, directly or through agreement or contract with one or more agencies and other public and private organizations, conduct and evaluate demonstration projects. Subject to the provisions of this section, the conducting of demonstration projects shall not be limited by any lack of specific authority under this title to take the action contemplated, or by any provision of this title or any rule or regulation prescribed under this title which is inconsistent with the action, including any law or regulation relating to—
(1) the methods of establishing qualification requirements for, recruitment for, and appointment to positions;
(2) the methods of classifying positions and compensating employees;
(3) the methods of assigning, reassigning, or promoting employees;
(4) the methods of disciplining employees;
(5) the methods of providing incentives to employees, including the provision of group or individual incentive bonuses or pay;
(6) the hours of work per day or per week;
(7) the methods of involving employees, labor organizations, and employee organizations in personnel decisions; and
(8) the methods of reducing overall agency staff and grade levels.
(b) Before conducting or entering into any agreement or contract to conduct a demonstration project, the Office shall—
(1) develop a plan for such project which identifies—
(A) the purposes of the project;
(B) the types of employees or eligibles, categorized by occupational series, grade, or organizational unit;
(C) the number of employees or eligibles to be included, in the aggregate and by category;
(D) the methodology;
(E) the duration;
(F) the training to be provided;
(G) the anticipated costs;
(H) the methodology and criteria for evaluation;
(I) a specific description of any aspect of the project for which there is a lack of specific authority; and
(J) a specific citation to any provision of law, rule, or regulation which, if not waived under this section, would prohibit the conducting of the project, or any part of the project as proposed;
(2) publish the plan in the Federal Register;
(3) submit the plan so published to public hearing;
(4) provide notification of the proposed project, at least 180 days in advance of the date any project proposed under this section is to take effect—
(A) to employees who are likely to be affected by the project; and
(B) to each House of the Congress;
(5) obtain approval from each agency involved of the final version of the plan; and
(6) provide each House of the Congress with a report at least 90 days in advance of the date the project is to take effect setting forth the final version of the plan as so approved.
(c) No demonstration project under this section may provide for a waiver of—
(1) any provision of
(2)(A) any provision of law referred to in
(B) any provision of law implementing any provision of law referred to in
(i) providing for equal employment opportunity through affirmative action; or
(ii) providing any right or remedy available to any employee or applicant for employment in the civil service;
(3) any provision of
(4) any rule or regulation prescribed under any provision of law referred to in paragraph (1), (2), or (3) of this subsection; or
(5) any provision of
(d)(1) Each demonstration project shall—
(A) involve not more than 5,000 individuals other than individuals in any control groups necessary to validate the results of the project; and
(B) terminate before the end of the 5-year period beginning on the date on which the project takes effect, except that the project may continue beyond the date to the extent necessary to validate the results of the project.
(2)(A) Except as provided in subparagraph (B), not more than 10 active demonstration projects may be in effect at any time.
(B) Any demonstration project authorized under this section that is active for a period greater than 10 years shall not count for purposes of applying the limitation in subparagraph (A).
(e) Subject to the terms of any written agreement or contract between the Office and an agency, a demonstration project involving the agency may be terminated by the Office, or the agency, if either determines that the project creates a substantial hardship on, or is not in the best interests of, the public, the Federal Government, employees, or eligibles.
(f) Employees within a unit with respect to which a labor organization is accorded exclusive recognition under
(1) if the project would violate a collective bargaining agreement (as defined in
(2) if the project is not covered by such a collective bargaining agreement, until there has been consultation or negotiation, as appropriate, by the agency with the labor organization.
(g) Employees within any unit with respect to which a labor organization has not been accorded exclusive recognition under
(h) The Office shall provide for an evaluation of the results of each demonstration project and its impact on improving public management.
(i) Upon request of the Director of the Office of Personnel Management, agencies shall cooperate with and assist the Office, to the extent practicable, in any evaluation undertaken under subsection (h) of this section and provide the Office with requested information and reports relating to the conducting of demonstration projects in their respective agencies.
(j) Each agency at which a demonstration project authorized by this section is ongoing shall submit an annual report to the Office of Personnel Management, the Office and 1 Management and Budget, the Committee on Homeland Security and Governmental Affairs of the United States Senate, and the Committee on Oversight and Government Reform of the United States House of Representatives that includes—
(1) the aggregate performance appraisal ratings and compensation costs for employees under a demonstration project;
(2) an assessment of the results of the demonstration project, including its impact on mission goals, employee recruitment, retention, and satisfaction, and which may include the results of the survey authorized under section 1128 of the National Defense Authorization Act for Fiscal Year 2004 (
(3) a comparison of the items listed in (1) and (2) with employees not covered by the demonstration project.
(Added
Editorial Notes
Amendments
2018—Subsec. (d)(2).
Subsec. (j).
Statutory Notes and Related Subsidiaries
Change of Name
Committee on Oversight and Government Reform of House of Representatives changed to Committee on Oversight and Reform of House of Representatives by House Resolution No. 6, One Hundred Sixteenth Congress, Jan. 9, 2019. Committee on Oversight and Reform of House of Representatives changed to Committee on Oversight and Accountability of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.
Effective Date
Section effective 90 days after Oct. 13, 1978, see section 907 of
Authority of Export-Import Bank To Conduct Demonstration Program
1 So in original. Probably should be "of".
§4704. Allocation of funds
Funds appropriated to the Office of Personnel Management for the purpose of this chapter may be allocated by the Office to any agency conducting demonstration projects or assisting the Office in conducting such projects. Funds so allocated shall remain available for such period as may be specified in appropriation Acts. No contract shall be entered into under this chapter unless the contract has been provided for in advance in appropriation Acts.
(Added
Statutory Notes and Related Subsidiaries
Effective Date
Section effective 90 days after Oct. 13, 1978, see section 907 of
§4705. Regulations
The Office of Personnel Management shall prescribe regulations to carry out the purpose of this chapter.
(Added
Editorial Notes
Prior Provisions
A prior section 4705, added
Statutory Notes and Related Subsidiaries
Effective Date
Section effective 90 days after Oct. 13, 1978, see section 907 of
[§4706. Renumbered §4705]
CHAPTER 48 —AGENCY PERSONNEL DEMONSTRATION PROJECT
§4801. Nonapplicability of chapter 47
(Added
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Oct. 1, 2001, see section 11 of
§4802. Securities and Exchange Commission
(a) In this section, the term "Commission" means the Securities and Exchange Commission.
(b) The Commission may appoint and fix the compensation of such officers, attorneys, economists, examiners, and other employees as may be necessary for carrying out its functions under the securities laws as defined under section 3 of the Securities Exchange Act of 1934 (
(c) Rates of basic pay for all employees of the Commission may be set and adjusted by the Commission without regard to the provisions of
(d) The Commission may provide additional compensation and benefits to employees of the Commission if the same type of compensation or benefits are then being provided by any agency referred to under section 1206 of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 (
(e) The Commission shall consult with the Office of Personnel Management in the implementation of this section.
(f) This section shall be administered consistent with merit system principles.
(Added
Statutory Notes and Related Subsidiaries
Effective Date
Section effective Oct. 1, 2001, see section 11 of
Employees Represented by Labor Organizations
Implementation Plan and Report
"(1)
"(A)
"(B)
"(i) the plan developed under this paragraph in the annual program performance plan submitted under
"(ii) the effects of implementing the plan developed under this paragraph in the annual program performance report submitted under
"(2)
"(A)
"(B)
"(i) evidence and supporting documentation justifying the plan; and
"(ii) budgeting projections on costs and benefits resulting from the plan."