[Federal Register Volume 61, Number 93 (Monday, May 13, 1996)]
[Rules and Regulations]
[Pages 21947-21953]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-11863]
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Rules and Regulations
Federal Register
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Federal Register / Vol. 61, No. 93 / Monday, May 13, 1996 / Rules and
Regulations
[[Page 21947]]
OFFICE OF PERSONNEL MANAGEMENT
5 CFR Part 410
RIN 3206-AF99
Training
AGENCY: Office of Personnel Management.
ACTION: Interim rule with request for comments.
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SUMMARY: The Office of Personnel Management (OPM) is issuing interim
regulations governing Federal employee training. The regulations
implement provisions of the Federal Workforce Restructuring Act, dated
March 30, 1994 and provisions of the Federal Reports Elimination and
Sunset Act of 1995, dated December 21, 1995; incorporate former
provisionally retained FPM Letters; and reflect OPM's response to
agency requests to restructure 5 CFR part 410. The interim rules
provide agencies additional flexibility by implementing the National
Performance Review recommendations to reduce restrictions on training
and make it a more responsive management tool.
DATES: This interim rule becomes effective on May 13, 1996. Comments
must be received on or before June 12, 1996.
ADDRESSES: Send or deliver written comments to Allan D. Heuerman,
Associate Director, Human Resources Systems Service, Office of
Personnel Management, Room 7412, 1900 E Street, NW., Washington, DC,
20415-0001.
FOR FURTHER INFORMATION CONTACT:
Judith Lombard, 202-606-2431, FAX 202-606-2394.
SUPPLEMENTARY INFORMATION: These interim regulations affect the
training of Government employees. They incorporate (1) Public Law 103-
226 amendments to chapter 41 of title 5, United States Code; (2) Public
Law 104-66 amendments to chapter 41 of title 5, United States Code; (3)
former provisionally retained FMP Letters; and (4) flexibilities
requested by agencies. Decisions on what to include in the regulations
were based on whether the requirement or authority was necessary to
assure uniformity in training Federal employees and/or to protect
employee rights.
Amendments to the Government Employees Training Act
The September 1993 Report of the National Performance Review (NPR)
recommended (1) eliminating the distinction between Government and non-
Government training to make training more market driven and (2)
removing the restrictions on employee training to help develop a multi-
skilled workforce in the Federal Government. These recommendations were
included in Public Law 103-226 (Federal Workforce Restructuring Act of
1994) dated March 31, 1994, which amended 5 U.S.C. chapter 41 in the
following ways.
In 5 U.S.C. 4101, the definition of training expands from training
directly related to the performance of official duties to any training
that improves individual and organizational performance and assists an
agency in achieving its mission and performance goals.
5 U.S.C. 4103(a) requires the head of an agency to relate training
programs and plans to agency mission and performance goals and to
provide employees information about training selection and assignment
and applicable training limitations and restrictions.
5 U.S.C. 4103(b)(1) allows agencies to train employees for
placement in another agency when such training is in the interest of
the Government.
5 U.S.C. 4105 eliminates the distinction between ``Government'' and
``non-Government'' training, thereby allowing managers to take full
advantage of available training sources. Previously agencies had to use
Government training facilities where possible.
5 U.S.C. 4106 is deleted, thereby eliminating both service
requirements for non-Government training and restrictions on time-in-
training. Previously, an employee had to have 1 year of current,
continuous civilian service to be eligible for non-Government training.
Previously, an employee could spend only 1 year in training for every
10 years of Government service.
Section 2181(c) of Public Law 104-66 (Federal Reports Elimination
and Sunset Act of 1995), dated December 21, 1995, repealed section 4113
of title 5, United States Code, eliminating the requirements for
agencies to review the training needs of employees and to report their
training programs and plans to OPM at least once every 3 years.
These interim regulations revise 5 CFR part 410 to reflect the
changes in 5 U.S.C. chapter 41.
Former Provisionally Retained FPM Letters
One of the recommendations of the September 1993 Report of the
National Performance Review was that the Federal Personnel Manual (FPM)
should be ``sunset.'' The Director of OPM abolished the FPM on December
31, 1993. Two FPM Letters on training were provisionally retained
through December 31, 1994.
1. Training of Civilian Officials Appointed by the President
Provisionally retained FPM Letter 410-34, Training of Civilian
Officials Appointed by the President, delegated to the heads of
agencies the authority to designate Presidential appointees, other than
themselves, for training. The interim regulation puts this delegation
of authority into Sec. 410.302(b).
2. Conferences as Training Activities
Provisionally retained FPM Letter 410-35, Conferences as Training
Activities, implemented the February 10, 1993, Presidential memorandum
and OMB Bulletin 93-11 on ``Government Fiscal Responsibility and
Reducing Perquisites,'' and the Federal Travel Regulations on
``Conference Planning'' (41 CFR part 301-16). They require that
agencies exercise strict fiscal responsibility when selecting
conference sites to minimize costs and to keep employee attendance to a
minimum consistent with serving the public's interest. The interim
regulations put language into 5 CFR 410 to assist agencies in
determining if a conference is a training activity (Sec. 410.404). This
will reduce Government costs by limiting Federal employee attendance to
appropriate training conferences where participation fosters the
achievement of agency
[[Page 21948]]
missions while enhancing employees' professional growth.
Summary of Major Proposed Changes to Training Regulations
OPM also is revising its training regulations in other ways to
provide additional flexibilities, eliminate burdensome requirements,
and clarify ambiguous language. The following list summarizes the
substantive changes, including those discussed above.
Added Flexibilities and Reduced Requirements
1. The head of an agency has increased flexibility and authority in
planning, implementing and evaluating training to meet mission-related
needs. (Sec. 410.101(4), Sec. 410.201)
2. Each agency determines what constitutes its mission-related
training needs. (Sec. 410.101(4))
3. Each agency has increased flexibility for training employees for
placement in other agencies. (Sec. 410.308)
4. Each agency determines when continued service agreements will be
required. (Sec. 410.310)
5. Constraints on the use of non-Government training are
eliminated.
6. Limitations on training employees through non-Government
facilities are eliminated.
7. Limitations on subsistence payments for extended training
assignments are eliminated. (Sec. 410.403)
8. Annual reporting requirements are eliminated and other reporting
requirements are significantly reduced. (Sec. 410.701)
New Provisions
1. Authority to approve training of Presidential appointees is
delegated to heads of agencies. (Sec. 410.302(b))
2. Integrating employee training and development with agency
mission and performance goals is added and clarified. (Sec. 410.202)
3. Training related career transition assistance for displaced and
surplus employees is added and clarified. (Sec. 410.308(d))
4. Criteria for determining if a conference is a training activity
is added. (Sec. 410.404)
Waiver of Notice of Proposed Rulemaking
Pursuant to 5 U.S.C. 553(b)(3)(b), I find that good cause exists
for waiving the general notice of proposed rulemaking. The notice is
being waived and the regulation is being made effective in less than 30
days. Inconsistencies between the law and the currently published
regulations have caused confusion and led Federal managers, employees,
and training officials to operate under outdated, and unnecessary,
regulations. We find that delay in issuing updated regulations would be
contrary to public interest and to National Performance Review
recommendations.
Regulatory Flexibility Act
I certify that these regulations will not have significant economic
impact on a substantial number of small entities because they affect
only Federal employees and agencies.
List of Subjects in 5 CFR Part 410
Education, Government employees.
U.S. Office of Personnel Management.
James B. King,
Director.
Accordingly, the Office of Personnel Management is revising 5 CFR
part 410 as follows:
PART 410--TRAINING
Subpart A--General Provisions
Sec.
410.101 Definitions.
Subpart B--Planning for Training
Sec.
410.201 Responsibilities of the head of an agency.
410.202 Integrating employee training and development with agency
strategic plans.
410.203 Assessing organizational, occupation, and individual needs.
410.204 Options for developing employees.
Subpart C--Establishing and Implementing Training Programs
Sec.
410.301 Scope and general conduct of training programs.
410.302 Responsibilities of the head of an agency.
410.303 Employee responsibilities.
410.304 Funding training programs.
410.305 Establihsing and using interagency training.
410.306 Selecting and assigning employees to training.
410.307 Training for promotion.
410.308 Training for placement in other agency positions, in other
agencies, or outside Government.
410.309 Training to obtain an academic degree.
410.310 Agreements to continue in service.
410.311 Computing time in training.
410.312 Records.
Subpart D--Paying for Training Expenses
Sec.
410.401 Determining necessary training expenses.
410.402 Paying premium pay.
410.403 Subsistence payments for extended training assignments.
410.404 Determining if a conference is a training activity.
410.405 Protection of Government interest.
410.406 Records of training expenses.
Subpart E--Accepting Contributions, Awards, and Payments From Non-
Government Organizations
Sec.
410.501 Scope.
410.502 Authority of the head of an agency.
410.503 Records.
Subpart F--Evaluating Training
Sec.
410.601 Responsibility of the head of an agency.
410.602 Records.
Subpart G--Reports
Sec.
410.701 Reports.
Authority: 5 U.S.C. 4101, et seq.; E.O. 11348, 3 CFR, 1967
Comp., p. 275.
Subpart A--General Provisions
Sec. 410.101 Definitions.
In this part:
(a) Agency, employee, Government facility, and non-Government
facility have the meanings given these terms in section 4101 of title
5, United States Code.
(b) Exceptions to organizations and employees covered by this
subpart include:
(1) Those named in section 4102 of title 5, United States Code, and
(2) The U.S. Postal Service and Postal Rate Commission and their
employees, as provided in Public Law 91-375, enacted August 12, 1970.
(c) Training has the meaning given to the term in section 4101 of
title 5, United States Code, and includes planned activities which
support and improve individual and organizational performance and
effectiveness, such as on-the-job training, career development
programs, professional development activities, or developmental
assignments.
(d) Mission-related training is training that supports agency
goals by improving organizational performance at any appropriate level
in the agency, as determined by the head of the agency. This includes
training that:
(1) Supports the agency's strategic plan and performance
objectives;
(2) Improves an employee's current job performance;
(3) Allows for expansion or enhancement of an employee's current
job;
(4) Enables an employee to perform needed or potentially needed
duties outside the current job at the same level of responsibility; or
(5) Meets organizational needs in response to human resource plans
and re-engineering, downsizing, restructuring, and program changes.
[[Page 21949]]
(e) Retraining means training and development provided to address
an individual's skills obsolescence in the current position and/or
training and development to prepare an individual for a different
occupation, in the same agency, in another Government agency, or in the
private sector.
(f) Continued service agreement has the meaning given to service
agreements in section 4108 of title 5, United States Code.
(g) Interagency training means training provided by one agency for
other agencies or shared by two or more agencies.
(h) State and local government have the meanings given to these
terms by section 4762 of title 42, United States Code.
Subpart B--Planning for Training
Sec. 410.201 Responsibilities of the head of an agency.
As stated in section 4103 of title 5, United States Code, and in
Executive Order 11348, the head of each agency shall:
(a) Establish, budget for, operate, maintain, and evaluate a
program or programs, and a plan or plans thereunder, for training
agency employees by, in, and through Government and non-Government
facilities;
(b) Determine policies governing employee training, including a
statement of broad purposes for agency training, the assignment of
responsibility for seeing that these purposes are achieved, and the
delegation of training approval authority to the lowest possible level;
and
(c) Establish priorities for training employees and provide for
funds and staff according to these priorities.
Sec. 410.202 Integrating employee training and development with agency
strategic plans.
(a) Agencies shall include training and development in agency
strategic planning to ensure that:
(1) Agency training strategies and activities contribute to mission
accomplishment; and
(2) Organizational performance goals are met.
(b) Agency human resource development programs and plans should:
(1) Improve employee and organizational performance; and
(2) Build and support an agency workforce capable of achieving
agency mission and performance goals.
Sec. 410.203 Assessing organizational, occupational, and individual
needs.
(a) Assessment. Executive Order 11348 specifies the responsibility
of heads of agencies to assess agency training needs.
(b) Method. The method an agency uses to conduct training needs
assessment shall meet the requirements of chapter 41 of title 5, United
States Code, Executive Order 11348, and this subpart.
Sec. 410.204 Options for developing employees.
Agencies may use a full range of options to meet their
organizational and employee development needs, including classroom
training, on-the-job training, technology-based training, satellite
training, employees' self-development activities, coaching, mentoring,
career development counseling, details, rotational assignments, cross
training, and developmental activities at retreats and conferences.
Subpart C--Establishing and Implementing Training Programs
Sec. 410.301 Scope and general conduct of training programs.
(a) Authority. The requirements for establishing training programs
and plans are found in section 4103(a) of title 5, United States Code,
and Executive Order 11348.
(b) Alignment with other human resource functions. Training
programs established by agencies under chapter 41 of title 5, United
States Code, should be integrated with other personnel management and
operating activities, to the maximum possible extent.
Sec. 410.302 Responsibilities of the head of an agency.
(a) Specific responsibilities. (1) The head of each agency shall
prescribe procedures to ensure that the selection of employees for
training is made without regard to political preference, race, color,
religion, national origin, sex, marital status, age, or handicapping
condition, and with proper regard for their privacy and constitutional
rights as provided by merit system principles set forth in 5 U.S.C.
2301(b)(2).
(2) The head of each agency shall prescribe procedures to ensure
that the training facility and curriculum are accessible to employees
with disabilities.
(3) The head of each agency shall not allow training in a facility
that discriminates in the admission or treatment of students.
(b)(1) Training of Presidential appointees. The Office of Personnel
Management delegates to the head of each agency authority to authorize
training for officials appointed by the President. In exercising this
authority, the head of an agency must ensure that the training is in
compliance with chapter 41 of title 5, United States Code, and with
this part. This authority may not be delegated to a subordinate.
(2) Records. When exercising this delegation of authority, the head
of an agency must maintain records that include:
(i) The name and position title of the official;
(ii) A description of the training, its location, vendor, cost, and
duration; and
(iii) A statement justifying the training and describing how the
official will apply it during his or her term of office.
(3) Review of delegation. Exercise of this authority is subject to
U.S. Office of Personnel Management review.
(c) Training for the head of an agency. Since self-review
constitutes a conflict of interest, heads of agencies must submit their
own requests for training to the U.S. Office of Personnel Management
for approval.
Sec. 410.303 Employee responsibilities.
Employees are responsible for self-development, for successfully
completing and applying authorized training, and for fulfilling
continued service agreements. In addition, they share with their
agencies the responsibility to identify training needed to improve
individual and organizational performance and identify methods to meet
those needs, effectively and efficiently.
Sec. 410.304 Funding training programs.
Section 4112 of title 5, United States Code, provides for agencies
paying the costs of their training programs and plans from applicable
appropriations or funds available. Training costs associated with
program accomplishment may be funded by appropriations applicable to
that program area. In addition, section 4109(a)(2) of title 5, United
States Code, provides authority for agencies and employees to share the
expenses of training.
Sec. 410.305 Establishing and using interagency training.
An agency may extend training programs developed for its employees
to employees of other agencies (and to employees of Federal
organizations excepted by section 4102 of title 5, United States Code)
when this would result in better training, improved service, or savings
to the Government.
[[Page 21950]]
Sec. 410.306 Selecting and assigning employees to training.
(a) Each agency shall establish criteria for the fair and equitable
selection and assignment of employees to training consistent with merit
system principles specified in 5 U.S.C. 2301(b) (1) and (2).
(b) Persons on Intergovernmental Personnel Act mobility assignments
may be assigned to training if that training is in the interest of the
Government.
(c) Under the provisions of Sec. 410.309(a) of this part, an agency
may pay all or part of the training expenses of students hired under
the Student Career Experience Program (see 5 CFR 213.3202(d)(10)).
Sec. 410.307 Training for promotion.
Under the authority of 5 U.S.C. 4103, and consistent with merit
system principles set forth in 5 U.S.C. 2301(b) (1) and (2), an agency
may provide training to career or career-conditional employees that in
certain instances may lead to promotion. An agency must follow its
competitive procedures under part 335 of this chapter when selecting a
career or career-conditional employee for training that permits
noncompetitive promotion after successful completion of the training.
Sec. 410.308 Training for placement in other agency positions, in
other agencies, or outside Government.
(a) Under the authority of 5 U.S.C. 4103 and 5 U.S.C. 5364, an
agency may train an employee to meet the qualification requirements of
another position in the agency if the new position is at or below the
grade the employee held before grade or pay retention.
(b) Under the authority of 5 U.S.C. 4103(b), and consistent with
merit system principles set forth in 5 U.S.C. 2301, an agency may train
an employee to meet the qualification requirements of a position in
another agency if the head of the agency determines that such training
would be in the interests of the Government.
(1) Before undertaking any training under this section, the head of
the agency shall obtain verification that there exists a reasonable
expectation of placement in another agency.
(2) When selecting an employee for training under this section, the
head of the agency shall consider:
(i) The extent to which the employee's current skills, knowledge,
and abilities may be utilized in the new position;
(ii) The employee's capability to learn skills and acquire
knowledge and abilities needed in the new position; and
(iii) The benefits to the Government which would result from
retaining the employee in the Federal service.
(c) Displaced or surplus employees as defined in 5 CFR 330.604 (b)
and (f) may be eligible for training or retraining for positions
outside Government through programs provided under 29 U.S.C. 1651, or
similar authorities. An agency may use its appropriated funds for
training displaced or surplus employees for positions outside
Government only when specifically authorized by legislation to do so.
(d) Under 5 CFR 330.602, agencies are required to establish career
transition assistance plans (CTAP) to provide career transition
services to displaced and surplus employees.
(1) Under the authority of 5 U.S.C. 4109, an agency may:
(i) Train employees in the use of the CTAP services;
(ii) Provide vocational and career assessment and counseling
services;
(iii) Train employees in job search skills, techniques, and
strategies; and
(iv) Pay for training related expenses as provided in 5 U.S.C.
4109(a)(2).
(2) Agency CTAP's will include plans for retraining displaced or
surplus employees covered by this part.
Sec. 410.309 Training to obtain an academic degree.
(a) Prohibition. (1) Under 5 U.S.C. 4107(a), an agency may not
authorize training for an employee to obtain an academic degree, except
for shortage occupations as defined in Sec. 410.309(b).
(2) An agency may assign employees to academic training on a
course-by-course basis. If, in the accomplishment of this training, an
employee receives an academic degree, the degree is an incidental by-
product of the training.
(b) Degree training to relieve recruitment and retention problems.
(1) An agency may authorize academic degree training if the training:
(i) Is necessary to assist in recruiting or retaining employees in
occupations in which the agency has or anticipates a shortage of
qualified personnel, especially in occupations which it has determined
involve skills critical to its mission, and
(ii) Meets the conditions of this section.
(2) In reviewing the need to provide training under this section,
an agency shall give appropriate consideration to any special salary
rate, student loan repayment, retention allowance, or other monetary
inducement authorized by law already provided or being provided which
contributes to the alleviation of the staffing problem in the
occupation targeted by that training.
(3) In exercising the authority in this section, an agency shall,
consistent with the merit system principles set forth in 5 U.S.C.
2301(b) (1) and (2), take into consideration the need to maintain a
balanced workforce in which women and members of racial and ethnic
minority groups are appropriately represented in the agency.
(4) The authority in this section shall not be exercised on behalf
of any employee occupying, or seeking to qualify for appointment to,
any position which is excepted from the competitive service because of
its confidential, policy-determining, policy-making, or policy-
advocating character.
(5) An agency's policies established under Sec. 410.201 of this
part shall cover decisions to authorize training under this section, to
ensure that:
(i) The determination to pay for degree training is made at a
sufficiently high level so as to protect the Government's interest; and
(ii) The authority is used to address the agency's recruitment and
retention problems expeditiously through appropriate delegations of
authority.
(c) Determining recruitment and retention problems. For the
purposes of this section, a recruitment or retention problem exists if
the criteria for a recruitment bonus under 5 CFR Sec. 575.104(c)(2) or
for a retention allowance under 5 CFR Sec. 575.305(c)(3) applies.
(1) Recruitment problem. Before determining that an agency has or
anticipates a problem in the recruitment of qualified personnel for a
particular position, an agency shall make a reasonable recruitment
effort, including factors in 5 CFR Sec. 575.104(c)(2). In making a
reasonable recruitment effort, an agency will consider the following:
(i) For a position in the competitive service, the results of
requests for referral of eligibles from the appropriate competitive
examination. For a position in the excepted service, the agency's
objectives and staffing procedures.
(ii) Contacts with State Employment Service office(s) serving the
locality concerned.
(iii) Contacts with academic institutions, technical and
professional organizations, and other organizations likely to produce
qualified candidates for the position, including women's and minority-
group organizations.
(iv) The possibility of relieving the shortage through broader
publicity and recruitment.
(v) The availability of qualified candidates within the agency's
current work force.
[[Page 21951]]
(vi) The possibility of relieving the shortage through job
engineering or training of current employees.
(2) Retention problem. Before determining that an agency has or
anticipates a problem in the retention of qualified personnel in a
particular occupation, an agency shall consider the factors in 5 CFR
Sec. 575.305(c)(3) and:
(i) The ease with which an agency could replace the employee with
someone of comparable background;
(ii) The current and projected vacancy rates in the occupation;
(iii) The rate of turnover in the occupation; and
(iv) Technological changes affecting the occupation and long-range
predictions affecting staffing for the occupation.
(d) Assessing continuing problems. A reassessment of a
``continuing'' recruitment or retention problem shall be made
periodically.
(e) Authorizing training. (1) An agency may authorize full or part-
time training to address a recruitment problem if--
(i) The training qualifies an employee for a shortage position
identified under paragraph (c)(1) of this section; and
(ii) The agency expects to place the employee in the shortage
position after the training.
(2) Training may be authorized under this section for the purpose
of retaining an employee in a shortage occupation identified under
paragraph(c)(2) of this section, if it involves a course of study
selected mainly or its potential contribution to effective performance
in that occupation.
(3) Agencies shall select employees for academic degree training
according to competitive procedures as specified in Sec. 410.307.
(f) Monitoring training. An Agency shall assess the contribution of
training assignments under this section to resolving recruitment or
retention problems in its shortage occupations.
(g) Documentation. (1) In exercising the authority in this section,
an agency shall retain for a reasonable period:
(i) A record of employees assigned to training under this section
and
(ii) A record of findings that the recruitment or retention problem
is a continuing one.
(2) As a separate record, the servicing personnel office shall keep
the following information for each employee assigned to training under
this section:
(i) Nature and justification for the shortage determination;
(ii) Kind of training (e.g., career experience program, continuing
professional and technical education, retraining for occupational
change); a description of the field of study; and the nature of any
degree pursued under the training program; and
(iii) A written continued service agreement, if required.
Sec. 410.310 Agreements to continue in service.
(a) Authority. Continued service agreements are provided for in
section 4108 of title 5, United States Code. Agencies have the
authority to determine when such agreements will be required.
(b) Requirements. (1) The Head of the agency shall establish
written procedures which cover the minimum requirements for continued
service agreements. These requirements shall include procedures the
agency considers necessary to protect the Government's interest should
the employee fail to successfully complete training.
(2) An employee selected for training subject to an agency
continued service agreement must sign an agreement to continue in
service after training prior to starting the training. The period of
service will equal three times the length of the training.
(c) Failure to fulfill agreements. With a signed agreement, the
agency has a right to recover training costs, except for pay or other
compensation, if the employee voluntarily separates from Government
service. The agency shall provide procedures to enable the employee to
obtain a reconsideration of the recovery amount or to appeal for a
waiver of the agency's right to recover.
Sec. 410.311 Computing time in training.
For the purpose of chapter 41 of title 5, United States Code, and
this subpart:
(a) An employee on an 8-hour day work schedule assigned to training
is counted as being in training for the same number of hours he or she
is in pay status during the training assignment. If the employee is not
in pay status during the training, the employee is counted as being in
training for the number of hours he or she is granted leave without pay
for the purpose of the training.
(b) For any employee on an alternative work schedule, the agency is
responsible for determining the number of hours the employees is in pay
status during the training assignment. If the employee is not in pay
status during the training, the employee is counted as being in
training for the number of hours he or she is granted leave without pay
for the purpose of the training.
(c) An employee on a 8-hour or an alternative work schedule
assigned to training on less than a full-time basis is counted as being
in training for the number of hours he or she spends in class, in
formal computer-based training, in satellite training, in formal self-
study programs, or with the training instructor, unless a different
method is determined by the agency.
Sec. 410.312 Records.
Agencies shall keep a record of training events authorized for each
employee under this subpart.
Subpart D--Paying for Training Expenses
Sec. 410.401 Determining necessary training expenses.
(a) The head of an agency determines which expenses constitute
necessary training expenses under section 4109 of title 5, United
States Code.
(b) An agency may pay, or reimburse an employee, for necessary
expenses incurred in connection with approved training as provided in
section 4109(a)(2) of title 5, United States Code. Necessary training
expenses do not include an employee's pay or other compensation.
Sec. 410.402 Paying premium pay.
(a) Prohibitions. Except as provided by paragraph (b) of this
section, an agency may not use its funds, appropriated or otherwise
available, to pay premium pay to an employee engaged in training by, in
or through Government or non-government facilities.
(b) Exceptions. The following are excepted from the provision in
paragraph (a) of this section prohibiting the payment of premium pay:
(1) Continuation of premium pay. An employee given training during
a period of duty for which he or she is already receiving premium pay
for overtime, night, holiday, or Sunday work shall continue to receive
that premium pay. This exception does not apply to an employee assigned
to full-time training at institutions of higher learning.
(2) Training at night. An employee given training at night because
situations that he or she must learn to handle occur only at night
shall be paid night pay.
(3) Cost savings. An employee given training on overtime, on a
holiday, or on a Sunday because the costs of the training, premium pay
included, are less than the costs of the same training confined to
regular work hours shall be paid the applicable premium pay.
(4) Availability pay. An agency shall continue to pay availability
pay during agency-sanctioned training to a criminal investigator who is
eligible for it under
[[Page 21952]]
5 U.S.C. 5545(a) and implementing regulations. Agencies may, at their
discretion, provide availability pay to investigators during periods of
initial, basic training. (See 5 CFR Sec. 550.185 (b) and (c).)
(5) Standby and administratively uncontrollable duty. An agency may
continue to pay annual premium pay for regularly scheduled standby duty
or administratively uncontrollable overtime work, during periods of
temporary assignment for training as provided by 5 CFR Sec. 550.162(c).
(6) Agency exemption. An employee given training during a period
not otherwise covered by a provision of this paragraph may be paid
premium pay when the employing agency has been granted an exception to
paragraph (a) of this section by the U.S. Office of Personnel
Management.
(c) An employee who is excepted under paragraph (b) of this section
is eligible to receive premium pay in accordance with the applicable
pay authorities.
(d) Overtime pay under the Fair Labor Standards Act (FLSA). (1)
Time spent in training or preparing for training outside regular
working hours shall be considered hours of work for the purpose of
computing FLSA overtime if an agency requires the training to bring
performance up to a fully successful, or equivalent, level or to
provide knowledge or skills to perform new duties and responsibilities
in the employee's current position. (Also see 5 CFR Sec. 551.423.)
(2) The requirement of paragraph (d)(1) of this section does not
pertain to training or preparing for training to:
(i) Improve a nonexempt employee's performance in his or her
current position above a fully successful, or equivalent, level,
provided such training is undertaken with the knowledge that the
employee's performance or continued retention in his or her current
position will not be adversely affected by nonenrollment in the
training program; or
(ii) Provide a nonexempt employee with additional knowledge or
skills for reassignment to another position or advancement to a higher
grade. This includes any developmental training, even if such training
is directed by the agency.
Sec. 410.403 Subsistence payments for extended training assignments.
An agency has the authority to pay all or part (if agreed to by the
employee) of actual subsistence expenses of an employee assigned to
training at a temporary duty station lasting more than 30 calendar
days. The agreed rate of payment shall be applicable from the 1st day
of the assignment. An agency may adjust an agreed rate of payment when
circumstances so justify, provided the employee agrees to any decrease.
If the fees paid to the training institution include lodging or meal
costs, an appropriate reduction shall be made from any standardized
subsistence payments.
Sec. 410.404 Determining if a conference is a training activity.
Agencies may sponsor an employee's attendance at a conference as a
developmental assignment under section 4110 of title 5, United States
Code, when--
(a) The content of the conference is germane to improving
individual and/or organizational performance, and
(b) Developmental benefits will be derived through the employee's
attendance.
Sec. 410.405 Protection of Government interest.
The head of an agency shall establish such procedures as he or she
considers necessary to protect the Government's interest when employees
fail to complete, or to successfully complete, training for which the
agency pays the expenses.
Sec. 410.406 Records of training expenses.
An agency shall maintain records of payments made for travel,
tuition and fees, and other necessary training expenses.
Subpart E--Accepting Contributions, Awards, and Payments From Non-
Government Organizations
Sec. 410.501 Scope.
(a) Section 4111 of title 5, United States Code, describes
conditions for employee acceptance of contributions, awards, and
payments made in connection with non-Government sponsored training or
meetings which an employee attends while on duty or when the agency
pays the training or meeting attendance expenses, in whole or in part.
(b) This subpart does not limit the authority of an agency head to
establish procedures on the acceptance of contributions, awards, and
payments in connection with any training and meetings that are outside
the scope of this subpart in accordance with laws and regulations
governing Government ethics and governing acceptance of travel
reimbursements from non-Federal sources.
Sec. 410.502 Authority of the head of an agency.
(a) In writing, the head of an agency may authorize an agency
employee to accept a contribution or award (in cash or in kind)
incident to training or to accept payment (in cash or in kind) of
travel, subsistence, and other expenses incident to attendance at
meetings if
(1) The conditions specified in section 4111 of title 5, United
States Code, are met; and
(2) In the judgment of the agency head, the following two
conditions are met:
(i) The contribution, award, or payment is not a reward for
services to the organization prior to the training or meeting; and
(ii) Acceptance of the contribution, award, or payment:
(A) Would not reflect unfavorably on the employee's ability to
carry out official duties in a fair and objective manner;
(B) Would not compromise the honesty and integrity of Government
programs or of Government employees and their official actions or
decisions;
(C) Would be compatible with the Ethics in Government Act of 1978,
as amended; and
(D) Would otherwise be proper and ethical for the employee
concerned given the circumstances of the particular case.
(b) Delegation of authority. An agency head may delegate authority
to authorize the acceptance of contributions, awards, and payments
under this section. The designated official must ensure that--
(1) The policies of the agency head are reflected in each decision;
and
(2) The circumstances of each case are fully evaluated under
conditions set forth in Sec. 410.502(a).
(c) Acceptance of contributions, awards, and payments. An employee
may accept a contribution, award, or payment (whether made in cash or
in kind) that falls within the scope of this section only when he or
she has specific written authorization.
(d) When more than one non-Government organization participates in
making a single contribution, award, or payment, the ``organization''
referred to in this subsection is the one that:
(1) selects the recipient; and
(2) administers the funds from which the contribution, award, or
payment is made.
Sec. 410.503 Records.
An agency shall maintain, in such form and manner as the agency
head considers appropriate, the following records in connection with
each
[[Page 21953]]
contribution, award, or payment made and accepted under authority of
this section: The recipient's name; the organization's name; the amount
and nature of the contribution, award, or payment and the purpose for
which it is to be used; and a copy of the written authorization
required by Sec. 410.502(a).
Subpart F--Evaluating Training
Sec. 410.601 Responsibility of the head of an agency.
Under provisions of chapter 41 of title 5, United States Code, and
Executive Order 11348, the agency head shall evaluate training to
determine how well it meets short and long-range program needs by
occupations, organizations, or other appropriate groups. The agency
head may conduct the evaluation in the manner and frequency he or she
considers appropriate.
Sec. 410.602 Records.
An agency head shall keep records of these evaluations as he or she
considers appropriate.
Subpart G--Reports
Sec. 410.701 Reports.
Each agency shall maintain records of its training plans,
expenditures and activities and report its plans, expenditures and
activities to the Office of Personnel Management and at such times and
in such form as the Office prescribes.
[FR Doc. 96-11863 Filed 5-10-96; 8:45 am]
BILLING CODE 6325-01-M
