
From the U.S. Code Online via GPO Access
[wais.access.gpo.gov]
[Laws in effect as of January 2, 2001]
[Document not affected by Public Laws enacted between
  January 2, 2001 and January 28, 2002]
[CITE: 5USC4301]

 
             TITLE 5--GOVERNMENT ORGANIZATION AND EMPLOYEES
 
                           PART III--EMPLOYEES
 
                     Subpart C--Employee Performance
 
                    CHAPTER 43--PERFORMANCE APPRAISAL
 
                    SUBCHAPTER I--GENERAL PROVISIONS
 
Sec. 4301. Definitions

    For the purpose of this subchapter--
        (1) ``agency'' means--
            (A) an Executive agency; and
            (B) the Government Printing Office;

    but does not include--
            (i) a Government corporation;
            (ii) the Central Intelligence Agency, the Defense 
        Intelligence Agency, the National Imagery and Mapping 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 General Accounting 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 chapter 73 of title 38;
            (D) an administrative law judge appointed under section 3105 
        of this title;
            (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.

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 440; Pub. L. 91-375, 
Sec. 6(c)(8), Aug. 12, 1970, 84 Stat. 776; Pub. L. 95-251, Sec. 2(a)(1), 
Mar. 27, 1978, 92 Stat. 183; Pub. L. 95-454, title II, Sec. 203(a), Oct. 
13, 1978, 92 Stat. 1131; Pub. L. 100-325, Sec. 2(f), May 30, 1988, 102 
Stat. 581; Pub. L. 101-474, Sec. 5(e), Oct. 30, 1990, 104 Stat. 1100; 
Pub. L. 101-510, div. A, title XII, Sec. 1206(e), Nov. 5, 1990, 104 
Stat. 1661; Pub. L. 102-54, Sec. 13(b)(2), June 13, 1991, 105 Stat. 274; 
Pub. L. 103-359, title V, Sec. 501(e), Oct. 14, 1994, 108 Stat. 3429; 
Pub. L. 104-201, div. A, title XI, Sec. 1122(a)(1), Sept. 23, 1996, 110 
Stat. 2687.)

                      Historical and Revision Notes
------------------------------------------------------------------------
                                                    Revised Statutes and
     Derivation                U.S. Code             Statutes at Large
------------------------------------------------------------------------
                     5 U.S.C. 2001.                Sept. 30, 1950, ch.
                                                    1123, Sec.  2, 64
                                                    Stat. 1098.
                     ............................  Sept. 1, 1954, ch.
                                                    1208, Sec.  601(a),
                                                    68 Stat. 1115.
                     ............................  June 17, 1957, Pub.
                                                    L. 85-56, Sec.
                                                    2201(21), 71 Stat.
                                                    159.
                     ............................  July 11, 1957, Pub.
                                                    L. 85-101, 71 Stat.
                                                    293.
                     ............................  Sept. 2, 1958, Pub.
                                                    L. 85-857, Sec.
                                                    13(p), 72 Stat.
                                                    1266.
                     ............................  Mar. 26, 1964, Pub.
                                                    L. 88-290, ``Sec.
                                                    306(b)'', 78 Stat.
                                                    170.
------------------------------------------------------------------------

    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, 70 Stat. 659, the production credit corporations 
were merged in the Federal intermediate credit banks, and pursuant to 
that Act the Federal intermediate credit banks have ceased to be 
corporations owned by the United States. The exceptions for Federal land 
banks and banks for cooperatives in former section 2001(b)(7), (8) are 
omitted as included within the exception of ``a Government controlled 
corporation'' in subparagraph (vii).
    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, 63 Stat. 972.
    Standard changes are made to conform with the definitions applicable 
and the style of this title as outlined in the preface to the report.


                               Amendments

    1996--Par. (1)(ii). Pub. L. 104-201 substituted ``National Imagery 
and Mapping Agency'' for ``Central Imagery Office''.
    1994--Par. (1)(ii). Pub. L. 103-359 inserted ``the Central Imagery 
Office,'' after ``Defense Intelligence Agency,''.
    1991--Par. (2)(C). Pub. L. 102-54 substituted ``Veterans Health 
Administration of the Department of Veterans Affairs'' for ``Department 
of Medicine and Surgery, Veterans' Administration''.
    1990--Par. (1). Pub. L. 101-474 redesignated subpar. (C) as (B) and 
struck out former subpar. (B) which included Administrative Office of 
United States Courts within definition of ``agency''.
    Par. (2)(H). Pub. L. 101-510 added subpar. (H).
    1988--Par. (2)(E). Pub. L. 100-325 inserted reference to Federal 
Bureau of Investigation and Drug Enforcement Administration Senior 
Executive Service.
    1978--Pub. L. 95-454 substituted provisions defining ``agency'', 
``employee'', and ``unacceptable performance'' for provisions defining 
``agency'' and ``employee''.
    Par. (2)(E). Pub. L. 95-251 substituted ``administrative law judge'' 
for ``hearing examiner''.
    1970--Par. (1)(ii). Pub. L. 91-375 repealed cl. (ii) which excluded 
postal field service from definition of ``agency''.


                    Effective Date of 1996 Amendment

    Amendment by Pub. L. 104-201 effective Oct. 1, 1996, see section 
1124 of Pub. L. 104-201, set out as a note under section 193 of Title 
10, Armed Forces.


                    Effective Date of 1978 Amendment

    Amendment by Pub. L. 95-454 effective 90 days after Oct. 13, 1978, 
see section 907 of Pub. L. 95-454, set out as a note under section 1101 
of this title.


                    Effective Date of 1970 Amendment

    Amendment by Pub. L. 91-375 effective within 1 year after Aug. 12, 
1970, on date established therefor by Board of Governors of United 
States Postal Service and published by it in Federal Register, see 
section 15(a) of Pub. L. 91-375, set out as an Effective Date note 
preceding section 101 of Title 39, Postal Service.

                  Section Referred to in Other Sections

    This section is referred to in sections 559, 1305 of this title.
