[Title 5 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2004 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

                    5


          Parts 1 to 699

                         Revised as of January 1, 2004

Administrative Personnel





          Containing a codification of documents of general 
          applicability and future effect
          As of January 1, 2004
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2004



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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 5:
          Chapter I--Office of Personnel Management                  3
  Finding Aids:
      Table of CFR Titles and Chapters........................     757
      Alphabetical List of Agencies Appearing in the CFR......     775
      List of CFR Sections Affected...........................     785



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                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 5 CFR 1.1 refers to 
                       title 5, part 1, section 
                       1.

                     ----------------------------

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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
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    To determine whether a Code volume has been amended since its 
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Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
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Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
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OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
volumes. For the period beginning January 1, 2001, a ``List of CFR 
Sections Affected'' is published at the end of each CFR volume.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
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    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
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the top of odd-numbered pages.
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or write to the Director, Office of the Federal Register, National 
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[[Page vii]]

    The Office of the Federal Register also offers a free service on the 
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                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

January 1, 2004.



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                               THIS TITLE

    Title 5--Administrative Personnel is composed of three volumes. The 
parts in these volumes are arranged in the following order: parts 1-699, 
700-1199 and part 1200-end. The contents of these volumes represent all 
current regulations codified under this title of the CFR as of January 
1, 2004.

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

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                    TITLE 5--ADMINISTRATIVE PERSONNEL




                   (This book contains parts 1 to 699)

  --------------------------------------------------------------------

  Note: Title 5 of the United States Code was revised and enacted into 
positive law by Public Law 89-554, Sept. 6, 1966. New citations for 
obsolete references to sections of 5 U.S.C. appearing in this volume may 
be found in a redesignation table under title 5, Government Organization 
and Employees, United States Code.
                                                                    Part

chapter i--Office of Personnel Management...................           1

[[Page 3]]



                CHAPTER I--OFFICE OF PERSONNEL MANAGEMENT




  --------------------------------------------------------------------

                    SUBCHAPTER A--CIVIL SERVICE RULES
Part                                                                Page
1               Coverage and definitions (Rule I)...........           7
2               Appointment through the competitive system 
                    (Rule II)...............................           8
3               Noncompetitive acquisition of status (Rule 
                    III)....................................           9
4               Prohibited practices (Rule IV)..............          10
5               Regulations, investigation, and enforcement 
                    (Rule V)................................          11
6               Exceptions from the competitive service 
                    (Rule VI)...............................          12
7               General provisions (Rule VII)...............          14
8               Appointments to overseas positions (Rule 
                    VIII)...................................          14
9               Workforce information (Rule IX).............          15
10              Agency accountability systems; OPM authority 
                    to review personnel management programs 
                    (Rule X)................................          15
                 SUBCHAPTER B--CIVIL SERVICE REGULATIONS
110             OPM regulations and information collection 
                    requirements............................          17
151             Political activity of State or local 
                    officers or employees...................          18
175             OPM mandatory review of classified documents          19
177             Administrative claims under Federal Tort 
                    Claims Act..............................          20
178             Procedures for settling claims..............          23
179             Claims collection standards.................          27
180             Employees' personal property claims.........          41
185             Program fraud civil remedies................          48
210             Basic concepts and definitions (general)....          63
211             Veteran preference..........................          65
212             Competitive service and competitive status..          66
213             Excepted service............................          66
214             Senior Executive Service....................          78
230             Organization of the Government for personnel 
                    management..............................          80

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250             Personnel management in agencies............          82
251             Agency relationships with organizations 
                    representing Federal employees and other 
                    organizations...........................          83
293             Personnel records...........................          85
294             Availability of official information........          99
297             Privacy procedures for personnel records....         108
300             Employment (general)........................         120
301             Overseas employment.........................         132
302             Employment in the excepted service..........         134
304             Expert and consultant appointments..........         141
305             [Reserved]

307             Veterans readjustment appointments..........         144
308             Volunteer service...........................         146
310             Employment of relatives.....................         146
315             Career and career-conditional employment....         147
316             Temporary and term employment...............         170
317             Employment in the Senior Executive Service..         176
319             Employment in senior-level and scientific 
                    and professional positions..............         192
330             Recruitment, selection, and placement 
                    (general)...............................         195
332             Recruitment and selection through 
                    competitive examination.................         218
333             [Reserved]

334             Temporary assignment of employees between 
                    Federal agencies and State, local, and 
                    Indian tribal governments, institutions 
                    of higher education, and other eligible 
                    organizations...........................         222
335             Promotion and internal placement............         225
337             Examining system............................         228
338             Qualification requirements (general)........         231
339             Medical qualification determinations........         232
340             Other than full-time career employment 
                    (Part-time, seasonal, on-call, and 
                    intermittent)...........................         236
351             Reduction in force..........................         241
352             Reemployment rights.........................         261
353             Restoration to duty from uniformed service 
                    or compensable injury...................         277
359             Removal from the Senior Executive Service; 
                    guaranteed placement in other personnel 
                    systems.................................         286
362             Presidential management intern program......         295
410             Training....................................         298
412             Executive, management, and supervisory 
                    development.............................         307
430             Performance management......................         309
432             Performance based reduction in grade and 
                    removal actions.........................         319
451             Awards......................................         324

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470             Personnel management research programs and 
                    demonstrations projects.................         329
511             Classification under the General Schedule...         332
530             Pay rates and systems (general).............         338
531             Pay under the General Schedule..............         346
532             Prevailing rate systems.....................         371
534             Pay under other systems.....................         472
536             Grade and pay retention.....................         481
537             Repayment of student loans..................         488
550             Pay administration (general)................         492
551             Pay administration under the Fair Labor 
                    Standards Act...........................         562
553             Reemployment of military and civilian 
                    retirees to meet exceptional employment 
                    needs...................................         587
572             Travel and transportation expenses; new 
                    appointees and interviews...............         590
575             Recruitment and relocation bonuses; 
                    retention allowances; supervisory 
                    differentials...........................         591
576             Voluntary separation incentive payments.....         610
581             Processing garnishment orders for child 
                    support and/or alimony..................         612
582             Commercial garnishment of Federal employees' 
                    pay.....................................         669
591             Allowances and differentials................         677
595             Physicians' comparability allowances........         697
610             Hours of duty...............................         700
630             Absence and leave...........................         705

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                    SUBCHAPTER A--CIVIL SERVICE RULES


PART 1--COVERAGE AND DEFINITIONS (RULE I)--Table of Contents




Sec.
1.1 Positions and employees affected by the rules in this subchapter.
1.2 Extent of the competitive service.
1.3 Definitions.
1.4 Extent of the excepted service.

    Authority: 5 U.S.C. 3301, 3302.

    Source: 28 FR 10022, Sept. 14, 1963, unless otherwise noted.



Sec. 1.1  Positions and employees affected by the rules in this subchapter.

    The rules in this subchapter shall apply to all positions in the 
competitive service and to all incumbents of such positions. Except as 
expressly provided in the rule concerned, the rules in this subchapter 
shall not apply to positions and employees in the excepted service.



Sec. 1.2  Extent of the competitive service.

    The competitive service shall include: (a) All civilian positions in 
the executive branch of the Government unless specifically excepted 
therefrom by or pursuant to statute or by the Office of Personnel 
Management (hereafter referred to in this subchapter as OPM) under 
Sec. 6.1 of this subchapter; and (b) all positions in the legislative 
and judicial branches of the Federal Government and in the Government of 
the District of Columbia which are specifically made subject to the 
civil service laws by statute. OPM is authorized and directed to 
determine finally whether a position is in the competitive service.



Sec. 1.3  Definitions.

    As used in the rules in this subchapter:
    (a) Competitive service shall have the same meaning as the words 
``classified service'', or ``classified (competitive) service'', or 
``classified civil service'' as defined in existing statutes and 
executive orders.
    (b) Competitive position shall mean a position in the competitive 
service.
    (c) Competitive status shall mean basic eligibility to be 
noncompetitively selected to fill a vacancy in a competitive position. A 
competitive status shall be acquired by career-conditional or career 
appointment through open competitive examination upon satisfactory 
completion of a probationary period, or may be granted by statute, 
executive order, or the Civil Service Rules without competitive 
examination. A person with competitive status may be promoted, 
transferred, reassigned, reinstated, or demoted without taking an open 
competitive examination, subject to the conditions prescribed by the 
Civil Service Rules and Regulations.
    (d) An employee shall be considered as being in the competitive 
service when he has a competitive status and occupies a competitive 
position unless he is serving under a temporary appointment: Provided, 
that an employee who is in the competitive service at the time his 
position is first listed under Schedule A, B, or C shall be considered 
as continuing in the competitive service as long as he continues to 
occupy such position.
    (e) Tenure shall mean the period of time an employee may reasonably 
expect to serve under his current appointment. Tenure shall be granted 
and governed by the type of appointment under which an employee is 
currently serving without regard to whether he has a competitive status 
or whether his appointment is to a competitive position or an excepted 
position.



Sec. 1.4  Extent of the excepted service.

    (a) The excepted service shall include all civilian positions in the 
executive branch of the Government which are specifically excepted from 
the requirements of the Civil Service Act or from the competitive 
service by or pursuant to statute or by OPM under Sec. 6.1 of this 
subchapter.
    (b) Excepted service shall have the same meaning as the words 
``unclassified service'', or ``unclassified civil service'', or 
``positions outside the competitive civil service'' as used in existing 
statutes and executive orders.

[[Page 8]]

    (c) Excepted position shall have the same meaning as ``unclassified 
position'', or ``position excepted by law'', or ``position excepted by 
executive order'', or ``position excepted by Civil Service Rule'', or 
``position outside the competitive service'' as used in existing 
statutes and Executive orders.



PART 2--APPOINTMENT THROUGH THE COMPETITIVE SYSTEM (RULE II)--Table of Contents




Sec.
2.1 Competitive examinations and eligible registers.
2.2 Appointments.
2.3 Apportionment.
2.4 Probationary period.

    Authority: 5 U.S.C. 3301, 3302.

    Source: 28 FR 10023, Sept. 14, 1963, unless otherwise noted.



Sec. 2.1  Competitive examinations and eligible registers.

    (a) OPM shall be responsible for open competitive examinations for 
admission to the competitive service which will fairly test the relative 
capacity and fitness of the persons examined for the position to be 
filled. OPM is authorized to establish standards with respect to 
citizenship, age, education, training and experience, suitability, and 
physical and mental fitness, and for residence or other requirements 
which applicants must meet to be admitted to or rated in examinations.
    (b) In addition to the names of persons who qualify in competitive 
examinations, the names of persons who have lost eligibility on a career 
or career-conditional register because of service in the armed forces, 
and the names of persons who lost opportunity for certification or who 
have served under career or career-conditional appointment when OPM 
determines that they should be given certification, may also be entered 
at such places on appropriate registers and under such conditions as OPM 
may prescribe.
    (c) Whenever the Office of Personnel Management (1) is unable to 
certify a sufficient number of names to permit the appointing officer to 
consider three eligibles for appointment to a fourth-class postmaster 
position in accordance with the regular procedure, or (2) finds that a 
particular rate of compensation for fourth-class postmaster positions is 
too low to warrant regular competitive examinations for such positions, 
it may authorize appointment to any such position or positions in 
accordance with such procedure as may be prescribed by OPM. Persons 
appointed under this paragraph may acquire competitive status subject to 
satisfactory completion of a probationary period prescribed by OPM.



Sec. 2.2  Appointments.

    (a) OPM shall establish and administer a career-conditional 
appointment system for positions subject to competitive examinations 
which will permit adjustment of the career service to necessary 
fluctuations in Federal employment, and provide an equitable and orderly 
system for stabilizing the Federal work force. A competitive status 
shall be acquired by a career-conditional appointee upon satisfactory 
completion of a probationary period, but the appointee shall have 
career-conditional tenure for a period of service to be prescribed by 
regulation of OPM. When an employee has completed the required period of 
service his appointment shall be converted to a career appointment 
without time limitation: Provided, That his career-conditional 
appointment shall not be converted to a career appointment if the 
limitation on the number of permanent employees in the Federal civil 
service established under paragraph (b) of this section would be 
exceeded thereby. Persons selected from competitive civil service 
registers for other than temporary appointment shall be given career-
conditional appointments: Provided, That career appointments shall be 
given to the following classes of eligibles:
    (1) Persons whose appointments are required by statute to be made on 
a permanent basis;
    (2) Employees serving under career appointments at the time of 
selection from such registers;
    (3) Former employees who have eligibility for career appointments 
upon reinstatement; and
    (4) To the extent permitted by law, persons appointed to positions 
in the field service of the U.S. Postal Service for which salary rates 
are fixed by the

[[Page 9]]

act of July 6, 1945, 59 Stat. 435, as heretofore or hereafter amended 
and supplemented.
    (b) Under the career-conditional appointment system there shall be a 
limit on the number of permanent employees in the Federal civil service 
which shall be the ceiling established by section 1310 of the 
Supplemental Appropriation Act, 1952 (65 Stat. 757), as amended. In the 
event section 1310, supra, is repealed, OPM is authorized to fix such 
limitation on the number of permanent employees in the Federal civil 
service as it finds necessary to meet the needs of the service.
    (c) OPM may determine the types, duration, and conditions of 
indefinite and temporary appointments, and may prescribe the method for 
replacing persons holding such appointments.



Sec. 2.3  Apportionment.

    Subject to such modifications as OPM finds to be necessary in the 
interest of good administration, appointments to positions in agencies' 
headquarters offices which are located within the metropolitan area of 
Washington, DC, shall be made so as to maintain the apportionment of 
appointments among the several States, Territories, and the District of 
Columbia upon the basis of population.



Sec. 2.4  Probationary period.

    Persons selected from registers of eligibles for career or career-
conditional appointment and employees promoted, transferred, or 
otherwise assigned, for the first time, to supervisory or managerial 
positions shall be required to serve a probationary period under terms 
and conditions prescribed by the Office.

[45 FR 4337, Jan. 22, 1980]



PART 3--NONCOMPETITIVE ACQUISITION OF STATUS (RULE III)--Table of Contents




Sec.
3.1 Classes of persons who may noncompetitively acquire status.
3.2 Appointments without competitive examination in rare cases.
3.3 Conversion of appointments.

    Authority: 5 U.S.C. 3301, 3302.

    Source: 28 FR 10023, Sept. 14, 1963, unless otherwise noted.



Sec. 3.1  Classes of persons who may noncompetitively acquire status.

    (a) Upon recommendation by the agency concerned, and subject to such 
noncompetitive examination, time limits, or other requirements as OPM 
may prescribe the following classes of persons may acquire a competitive 
status without competitive examination:
    (1) A person holding a permanent position when it is placed in the 
competitive service by statute or executive order or is otherwise made 
subject to competitive examination.
    (2) A disabled veteran who, in a manner satisfactory to OPM, has 
completed a course of training in the executive branch of the Government 
prescribed by the Administrator of Veterans' Affairs in accordance with 
the act of March 24, 1943 (57 Stat. 43).
    (3) An employee who has served at least two years in the immediate 
office of the President or on the White House Staff and who is 
transferred to a competitive position at the request of an agency.
    (4) An employee who was serving when his name was reached for 
certification on a civil service register appropriate for the position 
in which he was serving: Provided, That the recommendation for 
competitive status is made prior to expiration of the register on which 
his name appears or is made during a period of continuous service since 
his name was reached: Provided further, That the register was being used 
for appointments conferring competitive status at the time his name was 
reached.
    (b) Upon recommendation by the employing agency, and subject to such 
requirements as the Office of Personnel Management may prescribe, the 
following classes of handicapped employees may acquire competitive 
status without competitive examination:
    (1) A severely physically handicapped employee who completes at 
least two years of satisfactory service in a position excepted from the 
competitive service.
    (2) A mentally retarded employee who completes at least two years of

[[Page 10]]

satisfactory service in a position excepted from the competitive 
service.
    (3) An employee with a psychiatric disability who completes at least 
2 years of satisfactory service in a position excepted from the 
competitive service.

[28 FR 10023, Sept. 14, 1963, as amended by E.O. 12125, 3 CFR, 1979 
Comp., p. 375; 65 FR 41868, July 7, 2000]



Sec. 3.2  Appointments without competitive examination in rare cases.

    Subject to receipt of satisfactory evidence of the qualifications of 
the person to be appointed, OPM may authorize an appointment in the 
competitive service without competitive examination whenever it finds 
that the duties or compensation of the position are such, or that 
qualified persons are so rare, that, in the interest of good civil-
service administration, the position cannot be filled through open 
competitive examination. Any person heretofore or hereafter appointed 
under this section shall acquire a competitive status upon completion of 
at least one year of satisfactory service and compliance with such 
requirements as OPM may prescribe. Detailed statements of the reasons 
for the noncompetitive appointments made under this section shall be 
published in OPM's annual reports.



Sec. 3.3  Conversion of appointments.

    Any person who acquires a competitive status under this part shall 
have his appointment converted to career-conditional appointment unless 
he meets the service requirement for career appointment prescribed under 
Sec. 2.2(a) of this subchapter.



PART 4--PROHIBITED PRACTICES (RULE IV)--Table of Contents




Sec.
4.1 Prohibition against political activity.
4.2 Prohibition against racial, political or religious discrimination.
4.3 Prohibition against securing withdrawal from competition.

    Authority: 5 U.S.C. 3301, 3302.



Sec. 4.1  Prohibition against political activity.

    No person employed in the executive branch of the Federal 
Government, or any agency or department thereof, shall use his official 
authority or influence for the purpose of interfering with an election 
or affecting the result thereof. No person occupying a position in the 
competitive service shall take any active part in political management 
or in political campaigns, except as may be provided by or pursuant to 
statute. All such persons shall retain the right to vote as they may 
choose and to express their opinions on all political subjects and 
candidates.

[28 FR 10024, Sept. 14, 1963]



Sec. 4.2  Prohibition against racial, political or religious discrimination.

    No person employed in the executive branch of the Federal Government 
who has authority to take or recommend any personnel action with respect 
to any person who is an employee in the competitive service or any 
eligible or applicant for a position in the competitive service shall 
make any inquiry concerning the race, political affiliation, or 
religious beliefs of any such employee, eligible, or applicant. All 
disclosures concerning such matters shall be ignored, except as to such 
membership in political parties or organizations as constitutes by law a 
disqualification for Government employment. No discrimination shall be 
exercised, threatened, or promised by any person in the executive branch 
of the Federal Government against or in favor of any employee in the 
competitive service, or any eligible or applicant for a position in the 
competitive service because of his race, political affiliation, or 
religious beliefs, except as may be authorized or required by law.

[28 FR 10024, Sept. 14, 1963]



Sec. 4.3  Prohibition against securing withdrawal from competition.

    No person shall influence another person to withdraw from 
competition for any position in the competitive

[[Page 11]]

service for the purpose of either improving or injuring the prospects of 
any applicant for appointment.

[28 FR 10024, Sept. 14, 1963, as amended at 45 FR 4337, Jan. 22, 1980]



PART 5--REGULATIONS, INVESTIGATION, AND ENFORCEMENT (RULE V)--Table of Contents




Sec.
5.1 Civil Service regulations.
5.2 Investigation and evaluations.
5.3 Enforcement.
5.4 Information and testimony.

    Authority: 5 U.S.C. 3301, 3302; E.O. 12107.

    Source: 45 FR 4337, Jan. 22, 1980, unless otherwise noted.



Sec. 5.1  Civil Service regulations.

    The Director, Office of Personnel Management, shall promulgate and 
enforce regulations necessary to carry out the provisions of the Civil 
Service Act and the Veterans' Preference Act, as reenacted in title 5, 
United States Code, the Civil Service Rules, and all other statutes and 
Executive orders imposing responsibilities on the Office. The Director 
is authorized, whenever there are practical difficulties and unnecessary 
hardships in complying with the strict letter of the regulation, to 
grant a variation from the strict letter of the regulation if such a 
variation is within the spirit of the regulations, and the efficiency of 
the Government and the integrity of the competitive service are 
protected and promoted. Whenever a variation is granted the Director 
shall note the official record to show:
    (a) The particular practical difficulty or hardship involved, (b) 
what is permitted in place of what is required by regulations, (c) the 
circumstances which protect or promote the efficiency of the Government 
and the integrity of the competitive service, and (d) a statement 
limiting the application of the variation to the continuation of the 
conditions which gave rise to it. Like variations shall be granted 
whenever like conditions exist. All such decisions and information 
concerning variations noted in the official record shall be published 
promptly in a Federal Personnel Manual Letter or Bulletin and in the 
Director's next annual report.



Sec. 5.2  Investigation and evaluations.

    The Director may secure effective implementation of the civil 
service laws, rules, and regulations, and all Executive orders imposing 
responsibilities on the Office by:
    (a) Investigating the qualifications and suitability of applicants 
for positions in the competitive service. The Director may require 
appointments to be made subject to investigation to enable the Director 
to determine, after appointment, that the requirements of law or the 
civil service rules and regulations have been met.
    (b) Evaluating the effectiveness of: (1) Personnel policies, 
programs, and operations of Executive and other Federal agencies subject 
to the jurisdiction of the Office, including their effectiveness with 
regard to merit selection and employee development; (2) agency 
compliance with and enforcement of applicable laws, rules, regulations 
and office directives; and (3) agency personnel management evaluation 
systems.
    (c) Investigating, or directing an agency to investigate and report 
on, apparent violations of applicable laws, rules, regulations, or 
directives requiring corrective action, found in the course of an 
evaluation.

[45 FR 4337, Jan. 22, 1980, as amended by E.O. 13197, 66 FR 7853, Jan. 
25, 2001]



Sec. 5.3  Enforcement.

    (a) The Director is authorized to ensure enforcement of the civil 
service laws, rules, and regulations, and all applicable Executive 
orders, by:
    (1) Instructing an agency to separate or take other action against 
an employee serving an appointment subject to investigation when the 
Director finds that the employee is disqualified for Federal employment. 
Where the employee or the agency appeals the Director's finding that a 
separation or other action is necessary, the Director may instruct the 
agency as to whether or not the employee should remain on duty and 
continue to receive pay pending adjudication of the appeal: Provided, 
That when an agency separates

[[Page 12]]

or takes other action against an employee pursuant to the Director's 
instructions, and the Director, on the basis of new evidence, 
subsequently reverses the initial decision as to the employee's 
qualifications and suitability, the agency shall, upon request of the 
Director, restore the employee to duty or otherwise reverse any action 
taken.
    (2) Reporting the results of evaluation or investigations to the 
head of the agency concerned with instructions for any corrective action 
necessary, including cancellation of personnel actions where 
appropriate. The Director's findings resulting from evaluations or 
investigations are binding unless changed as a result of agency evidence 
and arguments against them. If, during the course of any evaluation or 
investigation under this section, the Director finds evidence of matters 
which come within the investigative and prosecutorial jurisdiction of 
the Special Counsel of the Merit Systems Protection Board, the Director 
shall refer this evidence to the Special Counsel for appropriate 
disposition.
    (b) Whenever the Director issues specific instructions as to 
separation or other corrective action with regard to an employee, 
including cancellation of a personnel action, the head of the agency 
concerned shall comply with the Director's instructions.
    (c) If the agency head fails to comply with the specific 
instructions of the Director as to separation or other corrective action 
with regard to an employee, including cancellation of a personnel 
action, the Director may certify to the Comptroller General of the 
United States the agency's failure to act together with such additional 
information as the Comptroller General may require, and shall furnish a 
copy of such certification to the head of the agency concerned. The 
individual with respect to whom such separation or other corrective 
action was instructed shall be entitled thereafter to no pay or only to 
such pay as appropriate to effectuate the Director's instructions.



Sec. 5.4  Information and testimony.

    When required by the Office, the Merit Systems Protection Board, or 
the Special Counsel of the Merit Systems Protection Board, or by 
authorized representatives of these bodies, agencies shall make 
available to them, or to their authorized representatives, employees to 
testify in regard to matters inquired of under the civil service laws, 
rules, and regulations, and records pertinent to these matters. All such 
employees, and all applicants or eligibles for positions covered by 
these rules, shall give to the Office, the Merit Systems Protection 
Board, the Special Counsel, or to their authorized representatives, all 
information, testimony, documents, and material in regard to the above 
matters, the disclosure of which is not otherwise prohibited by law or 
regulation. These employees, applicants, and eligibles shall sign 
testimony given under oath or affirmation before an officer authorized 
by law to administer oaths. Employees are performing official duty when 
testifying or providing evidence pursuant to this section.



PART 6--EXCEPTIONS FROM THE COMPETITIVE SERVICE (RULE VI)--Table of Contents




Sec.
6.1 Authority to except positions from the competitive service.
6.2 Schedules of excepted positions.
6.3 Method of filling excepted positions and status of incumbents.
6.4 Removal of incumbents of excepted positions.
6.5 Assignment of excepted employees.
6.6 Revocation of exceptions.
6.7 Movement of persons between the civil service system and other merit 
          systems.
6.8 Specified exceptions.

    Authority: 5 U.S.C. 3301, 3302.

    Source: 28 FR 10025, Sept. 14, 1963, unless otherwise noted.



Sec. 6.1  Authority to except positions from the competitive service.

    (a) OPM may except positions from the competitive service when it 
determines that appointments thereto through competitive examination are 
not practicable. These positions shall be listed in OPM's annual report 
for the fiscal year in which the exceptions are made.
    (b) OPM shall decide whether the duties of any particular position 
are such that it may be filled as an excepted position under the 
appropriate schedule.

[[Page 13]]

    (c) Notice of OPM's decision granting authority to make appointments 
to an excepted position under the appropriate schedule shall be 
published in the Federal Register.

[28 FR 10025, Sept. 14, 1963, as amended by E.O. 11315, 3 CFR, 1966-1970 
Comp., p. 597; E.O. 12043, 43 FR 9773, Mar. 10, 1978]



Sec. 6.2  Schedules of excepted positions.

    OPM shall list positions that it excepts from the competitive 
service in Schedules A, B, and C, which schedules shall constitute parts 
of this rule, as follows:

    Schedule A. Positions other than those of a confidential or policy-
determining character for which it is not practicable to examine shall 
be listed in Schedule A.
    Schedule B. Positions other than those of a confidential or policy-
determining character for which it is not practicable to hold a 
competitive examination shall be listed in Schedule B. Appointments to 
these positions shall be subject to such noncompetitive examination as 
may be prescribed by OPM.
    Schedule C. Positions of a confidential or policy-determining 
character shall be listed in Schedule C.



Sec. 6.3  Method of filling excepted positions and status of incumbents.

    (a) The head of an agency may fill excepted positions by the 
appointment of persons without civil service eligibility or competitive 
status and such persons shall not acquire competitive status by reason 
of such appointment: Provided, That OPM, in its discretion, may by 
regulation prescribe conditions under which excepted positions may be 
filled in the same manner as competitive positions are filled and 
conditions under which persons so appointed may acquire a competitive 
status in accordance with the Civil Service Rules and Regulations.
    (b) To the extent permitted by law and the provisions of this part, 
appointments and position changes in the excepted service shall be made 
in accordance with such regulations and practices as the head of the 
agency concerned finds necessary.



Sec. 6.4  Removal of incumbents of excepted positions.

    Except as may be required by statute, the Civil Service Rules and 
Regulations shall not apply to removals from positions listed in 
Schedules A and C or from positions excepted from the competitive 
service by statute. The Civil Service Rules and Regulations shall apply 
to removals from positions listed in Schedule B of persons who have 
competitive status.



Sec. 6.5  Assignment of excepted employees.

    No person who is serving under an excepted appointment shall be 
assigned to the work of a position in the competitive service without 
prior approval of OPM.



Sec. 6.6  Revocation of exceptions.

    OPM may remove any position from or may revoke in whole or in part 
any provision of Schedule A, B, or C. Notice of OPM's decision making 
these changes shall be published in the Federal Register.

[E.O. 11315, 3 CFR, 1966-1970 Comp., p. 597, as amended by E.O. 12043, 
43 FR 9773, Mar. 10, 1978]



Sec. 6.7  Movement of persons between the civil service system and other merit systems.

    Whenever OPM and any Federal agency having an established merit 
system determine it to be in the interest of good administration and 
consistent with the intent of the civil service laws and any other 
applicable laws, they may enter into an agreement prescribing conditions 
under which persons may be moved from one system to the other and 
defining the status and tenure that the persons affected shall acquire 
upon such movement.



Sec. 6.8  Specified exceptions.

    (a) Positions in the Department of the Interior and in the 
Department of Commerce whose incumbents serve as the principal 
representative of the Secretary in their respective regions shall be 
listed in Schedule C for grades not exceeding grade GS-15 of the General 
Schedule, and shall be designated Noncareer Executive Assignments for 
positions graded higher than GS-15. Incumbents of these positions who 
are, on February 15, 1975, in the competitive service shall not be 
affected by the foregoing provisions of this section.

[[Page 14]]

    (b) Positions in the Community Services Administration and ACTION 
whose incumbents serve as regional director or regional administrator 
shall be listed in Schedule C for grades not exceeding GS-15 of the 
General Schedule and shall be designated Noncareer Executive Assignments 
for positions graded higher than GS-15. Incumbents of these positions 
who are, on November 29, 1977, in the competitive service shall not be 
affected by the foregoing provisions of this subsection.
    (c) Within the Department of Agriculture, positions in the 
Agriculture Stabilization and Conservation Service the incumbents of 
which serve as State Executive Directors and positions in the Farmers 
Home Administration the incumbents of which serve as State Directors or 
State Directors-at-Large shall be listed in Schedule C for all grades of 
the General Schedule.

[E.O. 11839, 40 FR 7351, Feb. 19, 1975, as amended by E.O. 11887, 40 FR 
51411, Nov. 5, 1975; E.O. 12021, 42 FR 61237, Dec. 2, 1977; 47 FR 4227, 
Jan. 29, 1982]



PART 7--GENERAL PROVISIONS (RULE VII)--Table of Contents




Sec.
7.1 Discretion in filling vacancies.
7.2 Reemployment rights.
7.3 Citizenship.

    Authority: 5 U.S.C. 3301, 3302.

    Source: 28 FR 10025, Sept. 14, 1963, unless otherwise noted.



Sec. 7.1  Discretion in filling vacancies.

    In his discretion, an appointing officer may fill any position in 
the competitive service either by competitive appointment from a civil 
service register or by noncompetitive selection of a present or former 
Federal employee, in accordance with the Civil Service Regulations. He 
shall exercise his discretion in all personnel actions solely on the 
basis of merit and fitness and without regard to political or religious 
affiliations, marital status, or race.



Sec. 7.2  Reemployment rights.

    OPM, whenever it determines it to be necessary, shall prescribe 
regulations governing the release of employees (both within the 
competitive service and the excepted service) by any agency in the 
executive branch of the Government for employment in any other agency, 
and governing the establishment, granting, and exercise of rights to 
reemployment in the agencies from which employees are released.

[28 FR 10025, Sept. 14, 1963. Redesignated by E.O. 13197, 66 FR 7853, 
Jan. 25, 2001]



Sec. 7.3  Citizenship.

    (a) No person shall be admitted to competitive examination unless 
such person is a citizen or national of the United States.
    (b) No person shall be given any appointment in the competitive 
service unless such person is a citizen or national of the United 
States.
    (c) OPM may, as an exception to this rule and to the extent 
permitted by law, authorize the appointment of aliens to positions in 
the competitive service when necessary to promote the efficiency of the 
service in specific cases or for temporary appointments.

[E.O. 11935, 41 FR 37301, Sept. 3, 1976. Redesignated by E.O. 13197, 66 
FR 7853, Jan. 25, 2001]



PART 8--APPOINTMENTS TO OVERSEAS POSITIONS (RULE VIII)--Table of Contents




Sec.
8.1 Additional authority of OPM.
8.2 Appointment of United States citizens.
8.3 Appointment of persons not citizens of the United States.
8.4 Positions excepted from the application of this part.

    Authority: 5 U.S.C. 3301, 3302.

    Source: 28 FR 10025, Sept. 14, 1963, unless otherwise noted.



Sec. 8.1  Additional authority of OPM.

    In addition to authorizing the recruitment and appointment of 
persons to overseas positions under regulations issued under the 
preceding Rules, OPM may, by the regulations prescribed by it, authorize 
the recruitment and appointment of persons to such positions as provided 
in Sec. 8.2. As used in this part, overseas positions means positions in 
foreign countries and in other areas beyond the continental limits of 
the United States, except as provided in Sec. 8.4.

[[Page 15]]



Sec. 8.2  Appointment of United States citizens.

    United States citizens may be recruited overseas for appointment to 
overseas positions in the competitive service without regard to the 
competitive requirements of the Civil Service Act. Persons so recruited 
who meet the qualification standards and other requirements of OPM for 
overseas positions may be given appointments to be known as ``overseas 
limited appointments.'' Such appointments shall be of temporary or 
indefinite duration, and shall not confer the right to acquire a 
competitive status. OPM may authorize overseas limited appointments for 
United States citizens recruited within the continental limits of the 
United States whenever it determines that it is not feasible to appoint 
from a civil-service register. Persons serving under appointments made 
pursuant to this section are hereby excluded from the operation of the 
Civil Service Retirement Act of May 29, 1930, as amended, unless 
eligible for retirement benefits by continuity of service or otherwise.



Sec. 8.3  Appointment of persons not citizens of the United States.

    Persons who are not citizens of the United States may be recruited 
overseas and appointed to overseas positions without regard to the Civil 
Service Act.



Sec. 8.4  Positions excepted from the application of this part.

    This part shall not apply to positions in Hawaii, Puerto Rico, the 
Virgin Islands, and Alaska, and on the Isthmus of Panama.



PART 9--WORKFORCE INFORMATION (RULE IX)--Table of Contents




Sec.
9.1 Definition.
9.2 Reporting workforce information.

    Source: E.O. 13197, 66 FR 7853, Jan. 25, 2001, unless otherwise 
noted.



Sec. 9.1  Definition.

    As used in this rule, 'Executive agency' means an Executive 
department, a Government corporation, and an independent establishment, 
as those terms are defined in chapter 1 of title 5, United States Code, 
but does not include the Federal Bureau of Investigation, the Central 
Intelligence Agency, the Defense Intelligence Agency, the National 
Imagery and Mapping Agency, the National Security Agency, and, as 
determined by the President, any Executive agency or unit within an 
Executive agency which has as its principal function the conduct of 
foreign intelligence or counterintelligence activities.



Sec. 9.2  Reporting workforce information.

    The Director of the Office of Personnel Management may require all 
Executive agencies to report information relating to civilian employees, 
including positions and employees in the competitive, excepted, and 
Senior Executive services, in a manner and at times prescribed by the 
Director. The Director shall establish standards for workforce 
information submissions under this section, and agencies shall ensure 
that their submissions meet these standards consistent with the Privacy 
Act. The Director may exempt from this section a specific agency or 
group of employees when the Director determines that an exemption is 
appropriate because of special circumstances.



PART 10--AGENCY ACCOUNTABILITY SYSTEMS; OPM AUTHORITY TO REVIEW PERSONNEL MANAGEMENT PROGRAMS (RULE X)--Table of Contents




Sec.
10.1 Definitions.
10.2 Accountability systems.
10.3 OPM authority to review personnel management programs and 
          practices.

    Source: E.O. 13197, 66 FR 7853, Jan. 25, 2001, unless otherwise 
noted.



Sec. 10.1  Definitions.

    For purposes of this rule--
    (a) 'Agency' means an Executive agency as defined in Rule IX, but 
does not include a Government corporation or the General Accounting 
Office; and

(b) 'Merit system principles' means the principles for Federal personnel 
management that are set forth in section 2301(b) of title 5, United 
States Code.

[[Page 16]]



Sec. 10.2  Accountability systems.

    The Director of the Office of Personnel Management may require an 
agency to establish and maintain a system of accountability for merit 
system principles that
    (1) Sets standards for applying the merit system principles,
    (2) Measures the agency's effectiveness in meeting these standards, 
and
    (3) Corrects any deficiencies in meeting these standards.



Sec. 10.3  OPM authority to review personnel management programs and practices.

    The Office of Personnel Management may review the human resources 
management programs and practices of any agency and report to the head 
of the agency and the President on the effectiveness of these programs 
and practices, including whether they are consistent with the merit 
system principles.

[[Page 17]]



                 SUBCHAPTER B--CIVIL SERVICE REGULATIONS


PART 110--OPM REGULATIONS AND INFORMATION COLLECTION REQUIREMENTS--Table of Contents




              Subpart A--Posting Notices of New Regulations

Sec.
110.101 OPM responsibilities.
110.102 Agency responsibilities.

             Subpart B--Information Collection Requirements

110.201 OMB control numbers.

    Authority: 5 U.S.C. 1103; Section 110.201 is also issued under 5 
U.S.C. 1104, 5 CFR part 5.2(c) and (d); 44 U.S.C. 3507(f); 5 CFR part 
1320.



              Subpart A--Posting Notices of New Regulations



Sec. 110.101  OPM responsibilities.

    OPM will issue special bulletins to provide notice of its new 
regulations. Each special bulletin will transmit:
    (a) A reprint of the notice of rulemaking which appears in the 
Federal Register.
    (b) A posting notice which briefly explains the nature of the 
change, and provides a place for the receiving office to indicate where 
the full text of the Federal Register notice will be available for 
review locally.

[44 FR 67626, Nov. 27, 1979, as amended at 59 FR 2945, Jan. 20, 1994]



Sec. 110.102  Agency responsibilities.

    (a) Making regulations available for review. Offices receiving the 
reprints of notices of rulemaking described in Sec. 110.101(a) will make 
them available for review upon request. Each office will complete the 
posting notice described in Sec. 110.101(b) to indicate where and how 
requests to review these materials should be made.
    (b) Posting locations and supplemental announcements. Once 
completed, posting notices will be displayed in a prominent place. 
Agencies should choose the posting location which best fits their 
physical layout. Agencies may, at their discretion, supplement these 
postings with announcements of new regulations in employee newsletters 
and use other communication methods to provide notice of regulatory 
changes. The basic requirement to post the notice continues, however, 
even if supplemental announcement methods are used.
    (c) Posting after the Federal Register comment date passes. The 
public comment period on proposed regulations begins when a notice of 
proposed rulemaking is published in the Federal Register, not with the 
posting of the notice described in Sec. 110.101(b). The purpose of the 
Sec. 110.101(b) notice is solely to inform managers and employees of 
changes. Agencies are required to post the Sec. 110.101(b) notice even 
if the formal deadline for comments shown in the preamble of the Federal 
Register notice of rulemaking has passed. Agencies should make every 
reasonable effort to minimize delays in distributing the special 
bulletins described in Sec. 110.101 to their field offices.
    (d) No fixed posting period. There are no minimum or maximum time 
limits on displaying the notice described in Sec. 110.101(b) of this 
section. Each office receiving a notice for posting should choose the 
posting period which provides the best opportunity to inform managers 
and employees of regulatory changes based upon office layout, geographic 
dispersion of employees and other local factors.

[44 FR 67626, Nov. 27, 1979, as amended at 59 FR 2945, Jan. 20, 1994]



             Subpart B--Information Collection Requirements



Sec. 110.201  OMB control numbers.

    (a) Under section 3507(f) of the Paperwork Reduction Act of 1980 
(Pub. L. 96-551), control numbers assigned by the Office of Management 
and Budget must be displayed with agency information collection 
requirements.
    (b) This paragraph displays OMB-assigned control numbers for 
information collection requirements contained within chapter 1 of this 
title.

[[Page 18]]



------------------------------------------------------------------------
                                                                  OMB
                       5 CFR citation                           control
                                                                  No.
------------------------------------------------------------------------
Sec.  213.3102(ii)..........................................   3206-0082
Sec.  300.704(b)............................................   3206-0166
Sec.  530.304...............................................   3206-0100
Sec.  532.105...............................................   3206-0036
Sec.  536.306...............................................   3206-0090
part 734....................................................   3206-0092
part 734....................................................   3206-0098
Sec.  831.101...............................................   3206-0033
Sec.  831.104...............................................   3206-0059
Sec.  831.104...............................................   3206-0061
Sec.  831.501(b)............................................   3206-0121
Sec.  831.502(e)............................................   3206-0034
Sec.  831.601...............................................   3206-0032
Sec.  831.601...............................................   3206-0042
Sec.  831.601...............................................   3206-0088
Sec.  831.601...............................................   3206-0096
Sec.  831.601...............................................   3206-0099
Sec.  831.601...............................................   3206-0103
Sec.  831.1904..............................................   3206-0120
Sec.  831.2002..............................................   3206-0128
Sec.  890.202...............................................   3206-0101
Sec.  891.104(f)............................................   3206-0017
Sec.  891.104(f)............................................   3206-0104
Sec.  891.201...............................................   3206-0102
Sec.  950.105...............................................   3206-0131
Sec.  950.202...............................................   3206-0131
Sec.  950.203...............................................   3206-0131
Sec.  950.204...............................................   3206-0131
Sec.  950.205...............................................   3206-0131
Sec.  950.302...............................................   3206-0131
Sec.  950.303...............................................   3206-0131
Sec.  950.601...............................................   3206-0131
Sec.  950.901...............................................   3206-0131
------------------------------------------------------------------------


[49 FR 7553, Mar. 1, 1984, as amended at 52 FR 7400, Mar. 11, 1987; 52 
FR 16175, May 1, 1987; 53 FR 19147, May 26, 1988]



PART 151--POLITICAL ACTIVITY OF STATE OR LOCAL OFFICERS OR EMPLOYEES--Table of Contents




                           General Provisions

Sec.
151.101 Definitions.

                         Permissible Activities

151.111 Permissible activities.

                          Prohibited Activities

151.121 Use of official authority; coercion; candidacy; prohibitions.
151.122 Candidacy; exceptions.

    Authority: 5 U.S.C. 1302, 1501-1508, as amended.

    Source: 35 FR 16783, Oct. 30, 1970, unless otherwise noted.

                           General Provisions



Sec. 151.101  Definitions.

    In this part:
    (a) State means a State or territory or possession of the United 
States.
    (b) State or local agency means the executive branch of a State, 
municipality, or other political subdivision of a State, or an agency or 
department thereof.
    (c) Federal agency means an executive agency or other agency of the 
United States, but does not include a member bank of the Federal Reserve 
System;
    (d) State or local officer or employee means an individual employed 
by a State or local agency whose principal employment is in connection 
with an activity which is financed in whole or in part by loans or 
grants made by the United States or a Federal agency but does not 
include--
    (1) An individual who exercises no functions in connection with that 
activity.
    (2) An individual employed by an educational or research 
institution, establishment, agency, or system, which is supported in 
whole or in part by a State or political subdivision thereof, or by a 
recognized religious, philanthropic, or cultural organization.
    (e) Political party means a National political party, a State 
political party, and an affiliated organization.
    (f) Election includes a primary, special, and general election.
    (g) Nonpartisan election means an election at which none of the 
candidates is to be nominated or elected as representing a political 
party any of whose candidates for Presidential elector receives votes in 
the last preceding election at which Presidential electors were 
selected.
    (h) Partisan when used as an adjective refers to a political party.
    (i) Elective office means any office which is voted upon at an 
election as defined at Sec. 151.101(f), above, but does not include 
political party office.

[40 FR 42733, Sept. 16, 1975]

                         Permissible Activities



Sec. 151.111  Permissible activities.

    (a) All State or local officers or employees are free to engage in 
political activity to the widest extent consistent with the restrictions 
imposed by law and this part. A State or local officer or employee may 
participate in all political activity not specifically

[[Page 19]]

restricted by law and this part, including candidacy for office in a 
nonpartisan election and candidacy for political party office.

[40 FR 42733, Sept. 16, 1975]

                          Prohibited Activities



Sec. 151.121  Use of official authority; coercion; candidacy; prohibitions.

    A State or local officer or employee may not--
    (a) Use his official authority or influence for the purpose of 
interfering with or affecting the result of an election or a nomination 
for office; or
    (b) Directly or indirectly coerce, attempt to coerce, command, or 
advise a State or local officer or employee to pay, lend, or contribute 
anything of value to a political party, committee, organization, agency, 
or person for a political purpose.
    (c) Be a candidate for elective public office in a partisan 
election.

[40 FR 42733, Sept. 16, 1975]



Sec. 151.122  Candidacy; exceptions.

    Section 151.121(c) does not apply to--
    (a) The Governor or Lieutenant Governor of a State or an individual 
authorized by law to act as Governor;
    (b) The Mayor of a city;
    (c) A duly elected head of an executive department of a State or 
municipality who is not classified under a State or municipal merit or 
civil service system;
    (d) An individual holding elective office;
    (e) Activity in connection with a nonpartisan election; or
    (f) Candidacy for a position of officer of a political party, 
delegate to a political party convention, member of a National, State, 
or local committee of a political party, or any similar position.

[40 FR 42733, Sept. 16, 1975, as amended at 40 FR 47101, Oct. 8, 1975]



PART 175--OPM MANDATORY REVIEW OF CLASSIFIED DOCUMENTS--Table of Contents




Sec.
175.101 Policy.
175.102 Requests for the declassification of documents.

    Authority: E.O. 12065, 43 FR 28949.



Sec. 175.101  Policy.

    The Office of Personnel Management bases its procedures for handling 
national security information on Executive Order 12065, ``National 
Security Information,'' and Information Security Oversight Office 
Directive No. 1 concerning national security information.

[45 FR 995, Jan. 4, 1980]



Sec. 175.102  Requests for the declassification of documents.

    Any Federal agency, Government employee or member of the public has 
the right to request a mandatory review of any classified document, held 
by the Office of Personnel Management, which was classified for national 
security purposes by the Civil Service Commission. The Office of 
Personnel Management does not have the authority to classify documents.
    (a) Requests for mandatory declassification review should be 
addressed to the Director, Office of Management, or the designee of the 
Director, who will act on requests within 60 days. Requests need not be 
made in any special form but shall, as specified in section 3-501 of the 
Executive order, reasonably describe the information.
    (b) Based upon the review, the document, or any reasonably 
segregable portion thereof that no longer requires protection under the 
Executive order, shall be declassified and released unless withholding 
is otherwise warranted under applicable law.
    (c) No OPM official will refuse to confirm the existence or non-
existence of any document requested under the Freedom of Informaton Act 
or the mandatory review provisions of the Executive order, unless the 
fact of its existence or non-existence would itself be classifiable 
under the Executive order. OPM Administrative Manual chapter 22, 
covering OPM policies and procedures relating to classified information 
or material is available for inspection by the public in the OPM 
Library, room 5H27, 1900 E. St., NW., Washington, DC, or in one of the 
10 OPM regional offices in the following cities:

[[Page 20]]

Atlanta, Boston, Chicago, Dallas, Denver, New York, Philadelphia, St. 
Louis, San Francisco and Seattle.

[45 FR 995, Jan. 4, 1980]



PART 177--ADMINISTRATIVE CLAIMS UNDER THE FEDERAL TORT CLAIMS ACT--Table of Contents




Sec.
177.101 Scope of regulations.
177.102 Administrative claim; when presented; appropriate OPM office.
177.103 Administrative claim; who may file.
177.104 Investigations.
177.105 Administrative claim; evidence and information to be submitted.
177.106 Authority to adjust, determine, compromise, and settle.
177.107 Limitations on authority.
177.108 Referral to Department of Justice.
177.109 Final denial of claim.
177.110 Action on approved claim.

    Authority: 28 U.S.C. 2672; 28 CFR 14.11.

    Source: 65 FR 44945, July 20, 2000, unless otherwise noted.



Sec. 177.101  Scope of regulations.

    The regulations in this part apply only to claims presented or filed 
with the Office of Personnel Management (OPM) under the Federal Tort 
Claims Act, as amended, for money damages against the United States for 
injury to or loss of property or personal injury or death caused by the 
negligent or wrongful act or omission of an officer or employee of OPM 
while acting within the scope of his or her office or employment.



Sec. 177.102  Administrative claim; when presented; appropriate OPM office.

    (a) For purposes of the provisions of 28 U.S.C. 2401(b), 2672, and 
2675, a claim is deemed to have been presented when OPM receives from a 
claimant, his or her authorized agent or legal representative, an 
executed Standard Form 95 (Claim for Damage, Injury or Death), or other 
written notification of an incident, accompanied by a claim for money 
damages stating a sum certain (a specific dollar amount) for injury to 
or loss of property, personal injury, or death alleged to have occurred 
as a result of the incident.
    (b) All claims filed under the Federal Tort Claims Act as a result 
of the alleged negligence or wrongdoing of OPM or its employees will be 
mailed or delivered to the Office of the General Counsel, United States 
Office of Personnel Management, 1900 E Street NW, Washington, DC 20415-
1300.
    (c) A claim must be presented to the Federal agency whose activities 
gave rise to the claim. A claim that should have been presented to OPM, 
but was mistakenly addressed to or filed with another Federal agency, is 
presented to OPM, as required by 28 U.S.C. 2401(b), as of the date the 
claim is received by OPM. When a claim is mistakenly presented to OPM, 
OPM will transfer the claim to the appropriate Federal agency, if 
ascertainable, and advise the claimant of the transfer, or return the 
claim to the claimant.
    (d) A claimant whose claim arises from an incident involving OPM and 
one or more other Federal agencies, will identify each agency to which 
the claim has been submitted at the time the claim is presented to OPM. 
OPM will contact all other affected Federal agencies in order to 
designate the single agency that will investigate and decide the merits 
of the claim. In the event a designation cannot be agreed upon by the 
affected agencies, the Department of Justice will be consulted and will 
designate an agency to investigate and determine the merits of the 
claim. The designated agency will notify the claimant that all future 
correspondence concerning the claim must be directed to that Federal 
agency. All involved Federal agencies may agree to conduct their own 
administrative reviews and to coordinate the results, or to have the 
investigation conducted by the designated Federal agency. But, in either 
event, the designated agency will be responsible for the final 
determination of the claim.
    (e) A claim presented in compliance with paragraph (a) of this 
section may be amended by the claimant at any time prior to final agency 
action or prior to the exercise of the claimant's option under 28 U.S.C. 
2675(a). Amendments must be in writing and signed by the claimant or his 
or her authorized agent or legal representative. Upon timely filing of 
an amendment to a pending claim, OPM will have 6 months in which to make 
a final disposition of

[[Page 21]]

the claim as amended and claimant's option under 28 U.S.C. 2675 (a) will 
not accrue until 6 months after the filing of an amendment.



Sec. 177.103  Administrative claim; who may file.

    (a) A claim for injury to or loss of property may be presented by 
the owner of the property, his or her authorized agent or legal 
representative.
    (b) A claim for personal injury may be presented by the injured 
person, his or her authorized agent or legal representative.
    (c) A claim based on death may be presented by the executor or 
administrator of the decedent's estate or by any other person legally 
entitled to assert a claim under the applicable State law.
    (d) A claim for loss totally compensated by an insurer with the 
rights to subrogate may be presented by the insurer. A claim for loss 
partially compensated by an insurer with the rights to subrogate may be 
presented by the insurer or the insured individually, as their 
respective interests appear, or jointly. When an insurer presents a 
claim asserting the rights to subrogate, he or she will present with the 
claim appropriate evidence that he or she has the rights to subrogate.
    (e) A claim presented by an agent or legal representative must be 
presented in the name of the claimant, be signed by the agent or legal 
representative, show the title or legal capacity of the person signing, 
and be accompanied by evidence of his or her authority to present a 
claim on behalf of the claimant as agent, executor, administrator, 
parent, guardian, or other representative.



Sec. 177.104  Investigations.

    OPM may investigate, or may request any other Federal agency to 
investigate, a claim filed under this part.



Sec. 177.105  Administrative claim; evidence and information to be submitted.

    (a) Death. In support of a claim based on death, the claimant may be 
required to submit the following evidence or information:
    (1) An authenticated death certificate or other competent evidence 
showing cause of death, date of death, and age of the decedent.
    (2) Decedent's employment or occupation at time of death, including 
his or her monthly or yearly salary or earnings (if any), and the 
duration of his or her last employment or occupation.
    (3) Full names, addresses, birth date, kinship, and marital status 
of the decedent's survivors, including identification of those survivors 
who were dependent for support from the decedent at the time of death.
    (4) Degree of support afforded by the decedent to each survivor 
dependent on him or her for support at the time of death.
    (5) Decedent's general physical and mental condition before death.
    (6) Itemized bills for medical and burial expenses incurred by 
reason of the incident causing death, or itemized receipts of payment 
for such expenses.
    (7) If damages for pain and suffering before death are claimed, a 
physician's detailed statement specifying the injuries suffered, 
duration of pain and suffering, any drugs administered for pain, and the 
decedent's physical condition in the interval between injuries and 
death.
    (8) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the death or the 
amount of damages claimed.
    (b) Personal injury. In support of a claim for personal injury, 
including pain and suffering, the claimant may be required to submit the 
following evidence or information:
    (1) A written report by the attending physician or dentist setting 
forth the nature and extent of the injury, nature and extent of 
treatment, any degree of temporary or permanent disability, the 
prognosis, period of hospitalization, and any diminished earning 
capacity. In addition, the claimant may be required to submit to a 
physical or mental examination by a physician employed by OPM or another 
Federal agency. On written request, OPM will make available to the 
claimant a copy of the report of the examining physician employed by the 
United States,

[[Page 22]]

provided the claimant has furnished OPM with the report referred to in 
the first sentence of this subparagraph. In addition, the claimant must 
have made or agrees to make available to OPM all other physician's 
reports previously or thereafter made of the physical or mental 
condition that is the subject matter of his or her claim.
    (2) Itemized bills for medical, dental, and hospital expenses 
incurred, or itemized receipts of payment for such expenses.
    (3) If the prognosis reveals the necessity for future treatment, a 
statement of expected expenses for such treatment.
    (4) If a claim is made for loss of time from employment, a written 
statement from his or her employer showing actual time lost from 
employment, whether he or she is a full-or part-time employee, and wages 
or salary actually lost.
    (5) If a claim is made for loss of income and the claimant is self-
employed, documentary evidence showing the amount of earnings actually 
lost.
    (6) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the personal injury 
or the damages claimed.
    (c) Property damage. In support of a claim for injury to or loss of 
property, real or personal, the claimant may be required to submit the 
following evidence or information:
    (1) Proof of ownership of the property.
    (2) A detailed statement of the amount claimed with respect to each 
item of property.
    (3) An itemized receipt of payment for necessary repairs or itemized 
written estimates of the cost of such repairs.
    (4) A statement listing date of purchase, purchase price, and 
salvage value, where repair is economical.
    (5) Any other evidence or information which may have a bearing on 
either the responsibility of the United States for the injury to or loss 
of property or the damages claimed.



Sec. 177.106  Authority to adjust, determine, compromise, and settle.

    (a) The General Counsel of OPM, or his or her designee, is delegated 
authority to consider, ascertain, adjust, determine, compromise, and 
settle claims under the provisions of 28 U.S.C. 2672, and this part. The 
General Counsel, in his or her discretion, has the authority to further 
delegate the responsibility for adjudicating, considering, adjusting, 
compromising, and settling any claim submitted under the provisions of 
28 U.S.C. 2672, and this part, that is based on the alleged negligence 
or wrongful act or omission of an OPM employee, with the exception of 
claims involving personal injury. All claims involving personal injury 
will be adjudicated, considered, adjusted, compromised and settled by 
the Office of the General Counsel.



Sec. 177.107  Limitations on authority.

    (a) An award, compromise, or settlement of a claim under 28 U.S.C. 
2672, and this part, in excess of $25,000 can be effected only with the 
prior written approval of the Attorney General or his or her designee. 
For purposes of this paragraph, a principal claim and any derivative or 
subrogated claim will be treated as a single claim.
    (b) An administrative claim may be adjusted, determined, 
compromised, or settled under this part, only after consultation with 
the Department of Justice when, in the opinion of the General Counsel of 
OPM, or his or her designee:
    (1) A new precedent or a new point of law is involved; or
    (2) A question of policy is or may be involved; or
    (3) The United States is or may be entitled to indemnity or 
contribution from a third party and OPM is unable to adjust the third 
party claim; or
    (4) The compromise of a particular claim, as a practical matter, 
will or may control the disposition of a related claim in which the 
amount to be paid may exceed $25,000.
    (c) An administrative claim may be adjusted, determined, 
compromised, or settled under 28 U.S.C. 2672, and this part, only after 
consultation with the Department of Justice when, OPM is informed or is 
otherwise aware that

[[Page 23]]

the United States or an employee, agent, or cost-type contractor of the 
United States is involved in litigation based on a claim arising out of 
the same incident or transaction.



Sec. 177.108  Referral to Department of Justice.

    When Department of Justice approval or consultation is required, or 
the advice of the Department of Justice is otherwise to be requested, 
under Sec. 177.107, the written referral or request will be transmitted 
to the Department of Justice by the General Counsel of OPM or his or her 
designee.



Sec. 177.109  Final denial of claim.

    Final denial of an administrative claim must be in writing and sent 
to the claimant, his or her attorney, or legal representative by 
certified or registered mail. The notification of final denial may 
include a statement of the reasons for the denial. But, it must include 
a statement that, if the claimant is dissatisfied with the OPM action, 
he or she may file suit in an appropriate United States district court 
not later than 6 months after the date of mailing of the notification.



Sec. 177.110  Action on approved claim.

    (a) Payment of a claim approved under this part is contingent on 
claimant's execution of a Standard Form 95 (Claim for Damage, Injury or 
Death); a claims settlement agreement; and a Standard Form 1145 (Voucher 
for Payment), as appropriate. When a claimant is represented by an 
attorney, the Voucher for Payment will designate both the claimant and 
his or her attorney as payees, and the check will be delivered to the 
attorney, whose address is to appear on the Voucher for Payment.
    (b) Acceptance by the claimant, his or her agent, or legal 
representative, of an award, compromise, or settlement made under 28 
U.S.C. 2672 or 28 U.S.C. 2677 is final and conclusive on the claimant, 
his or her agent or legal representative, and any other person on whose 
behalf or for whose benefit the claim has been presented, and 
constitutes a complete release of any claim against the United States 
and against any employee of the Federal Government whose act or omission 
gave rise to the claim, by reason of the same subject matter.



PART 178--PROCEDURES FOR SETTLING CLAIMS--Table of Contents




   Subpart A--Administrative Claims--Compensation and Leave, Deceased 
   Employees' Accounts and Proceeds of Canceled Checks for Veterans' 
               Benefits Payable to Deceased Beneficiaries

Sec.
178.101 Scope of subpart.
178.102 Procedures for submitting claims.
678.103 Claim filed by a claimant's representative.
178.104 Statutory limitations on claims.
178.105 Basis of claim settlements.
178.106 Form of claim settlements.
178.107 Finality of claim settlements.

  Subpart B--Settlement of Accounts for Deceased Civilian Officers and 
                                Employees

178.201 Scope of subpart.
178.202 Definitions.
178.203 Designation of beneficiary.
178.204 Order of payment precedence.
178.205 Procedures upon death of employee.
178.206 Return of unnegotiated Government checks.
178.207 Claims settlement jurisdiction.
178.208 Applicability of general procedures.

    Source: 62 FR 68139, Dec. 31, 1997, unless otherwise noted.



   Subpart A--Administrative Claims--Compensation and Leave, Deceased 
   Employees' Accounts and Proceeds of Canceled Checks for Veterans' 
               Benefits Payable to Deceased Beneficiaries

    Authority: 31 U.S.C. 3702; 5 U.S.C. 5583; 38 U.S.C. 5122; Pub. L. 
No. 104-53, 211, Nov. 19, 1995; E.O. 12107.



Sec. 178.101  Scope of subpart.

    (a) Claims covered. This subpart prescribes general procedures 
applicable to claims against the United States that may be settled by 
the Director of the Office of Personnel Management pursuant to 31 U.S.C. 
3702, 5 U.S.C. 5583 and 38 U.S.C. 5122. In general, these claims involve 
Federal employees' compensation and leave and claims for

[[Page 24]]

proceeds of canceled checks for veterans' benefits payable to deceased 
beneficiaries.
    (b) Claims not covered. This subpart does not apply to claims that 
are under the exclusive jurisdiction of administrative agencies pursuant 
to specific statutory authority or claims concerning matters that are 
subject to negotiated grievance procedures under collective bargaining 
agreements entered into pursuant to 5 U.S.C. 7121(a). Also, these 
procedures do not apply to claims under the Fair Labor Standards Act 
(FLSA). Procedures for FLSA claims are set out in part 551 of this 
chapter.



Sec. 178.102  Procedures for submitting claims.

    (a) Content of claims. Except as provided in paragraph (b) of this 
section, a claim shall be submitted by the claimant in writing and must 
be signed by the claimant or by the claimant's representative. While no 
specific form is required, the request should describe the basis for the 
claim and state the amount sought. The claim should also include:
    (1) The name, address, telephone number and facsimile machine 
number, if available, of the claimant;
    (2) The name, address, telephone number and facsimile machine 
number, if available, of the agency employee who denied the claim;
    (3) A copy of the denial of the claim; and,
    (4) Any other information which the claimant believes OPM should 
consider.
    (b) Agency submissions of claims. At the discretion of the agency, 
the agency may forward the claim to OPM on the claimant's behalf. The 
claimant is responsible for ensuring that OPM receives all the 
information requested in paragraph (a) of this section.
    (c) Administrative report. At OPM's discretion, OPM may request the 
agency to provide an administrative report. This report should include:
    (1) The agency's factual findings;
    (2) The agency's conclusions of law with relevant citations;
    (3) The agency's recommendation for disposition of the claim;
    (4) A complete copy of any regulation, instruction, memorandum, or 
policy relied upon by the agency in making its determination;
    (5) A statement that the claimant is or is not a member of a 
collective bargaining unit, and if so, a statement that the claim is or 
is not covered by a negotiated grievance procedure that specifically 
excludes the claim from coverage; and
    (6) Any other information that the agency believes OPM should 
consider.
    (d) Canceled checks for veterans' benefits. Claims for the proceeds 
of canceled checks for veterans' benefits payable to deceased 
beneficiaries must be accompanied by evidence that the claimant is the 
duly appointed representative of the decedent's estate and that the 
estate will not escheat.
    (e) Where to submit claims. (1) All claims under this section should 
be sent to the Program Manager, Office of Merit Systems Oversight and 
Effectiveness, Room 7671, Office of Personnel Management, 1900 E Street 
NW., Washington, DC 20415. Telephone inquiries regarding these claims 
may be made to (202) 606-7948.
    (2) FLSA claims should be sent to the appropriate OPM Oversight 
Division as provided in part 551 of this chapter.

[62 FR 68139, Dec. 31, 1997, as amended at 65 FR 40967, July 3, 2000]



Sec. 178.103  Claim filed by a claimant's representative.

    A claim filed by a claimant's representative must be supported by a 
duly executed power of attorney or other documentary evidence of the 
representative's right to act for the claimant.



Sec. 178.104  Statutory limitations on claims.

    (a) Statutory limitations relating to claims generally. Except as 
provided in paragraphs (b) and (c) of this section or as otherwise 
provided by law, all claims against the United States Government are 
subject to the 6-year statute of limitations contained in 31 U.S.C. 
3702(b). To satisfy the statutory limitation, a claim must be received 
by the Office of Personnel Management, or by the department or agency 
out of

[[Page 25]]

whose activities the claim arose, within 6 years from the date the claim 
accrued. The claimant is responsible for proving that the claim was 
filed within the applicable statute of limitations.
    (b) Claims under the Fair Labor Standards Act. Claims arising under 
the FLSA, 29 U.S.C. 207, et seq., must be received by the Office of 
Personnel Management, or by the department or agency out of whose 
activity the claim arose, within the time limitations specified in the 
FLSA.
    (c) Other statutory limitations. Statutes of limitation other than 
that identified in paragraph (a) of this section may apply to certain 
claims. Claimants are responsible for informing themselves regarding 
other possible statutory limitations.



Sec. 178.105  Basis of claim settlements.

    The burden is upon the claimant to establish the timeliness of the 
claim, the liability of the United States, and the claimant's right to 
payment. The settlement of claims is based upon the written record only, 
which will include the submissions by the claimant and the agency. OPM 
will accept the facts asserted by the agency, absent clear and 
convincing evidence to the contrary.



Sec. 178.106  Form of claim settlements.

    OPM will send a settlement to the claimant advising whether the 
claim may be allowed in whole or in part. If OPM requested an agency 
report or if the agency forwarded the claim on behalf of the claimant, 
OPM also will send the agency a copy of the settlement.



Sec. 178.107  Finality of claim settlements.

    (a) The OPM settlement is final; no further administrative review is 
available within OPM.
    (b) Nothing is this subpart limits the right of a claimant to bring 
an action in an appropriate United States court.



  Subpart B--Settlement of Accounts for Deceased Civilian Officers and 
                                Employees

    Authority: 5 U.S.C. 5581, 5582, 5583.



Sec. 178.201  Scope of subpart.

    (a) Accounts covered. This subpart prescribes forms and procedures 
for the prompt settlement of accounts of deceased civilian officers and 
employees of the Federal Government and of the government of the 
District of Columbia (including wholly owned and mixed-ownership 
Government corporations), as stated in 5 U.S.C. 5581, 5582, 5583.
    (b) Accounts not covered. This subpart does not apply to accounts of 
deceased officers and employees of the Federal land banks, Federal 
intermediate credit banks, or regional banks for cooperatives (see 5 
U.S.C. 5581(1)). Also, these procedures do not apply to payment of 
unpaid balance of salary or other sums due deceased Senators or Members 
of the House of Representatives or their officers or employees (see 2 
U.S.C. 36a, 38a).



Sec. 178.202  Definitions.

    (a) The term deceased employees as used in this part includes former 
civilian officers and employees who die subsequent to separation from 
the employing agency.
    (b) The term money due means the pay, salary, or allowances due on 
account of the services of the decedent for the Federal Government or 
the government of the District of Columbia. It includes, but is not 
limited to:
    (1) All per diem instead of subsistence, mileage, and amounts due in 
reimbursement of travel expenses, including incidental and miscellaneous 
expenses which are incurred in connection with the travel and for which 
reimbursement is due;
    (2) All allowances upon change of official station;
    (3) All quarters and cost-of-living allowances and overtime or 
premium pay;
    (4) Amounts due for payment of cash awards for employees' 
suggestions;
    (5) Amounts due as refund of salary deductions for United States 
Savings bonds;
    (6) Payment for all accumulated and current accrued annual or 
vacation leave equal to the pay the decedent would have received had he 
or she lived and remained in the service until the expiration of the 
period of such annual or vacation leave;

[[Page 26]]

    (7) The amounts of all checks drawn in payment of such compensation 
which were not delivered by the Government to the officer or employee 
during his or her lifetime or of any unnegotiated checks returned to the 
Government because of the death of the officer or employee; and
    (8) Retroactive pay under 5 U.S.C. 5344(b)(2).



Sec. 178.203  Designation of beneficiary.

    (a) Agency notification. The employing agency shall notify each 
employee of his or her right to designate a beneficiary or beneficiaries 
to receive money due, and of the disposition of money due if a 
beneficiary is not designated. An employee may change or revoke a 
designation at any time under regulations promulgated by the Director of 
the Office of Personnel Management or his or her designee.
    (b) Designation Form. Standard Form 1152, Designation of 
Beneficiary, Unpaid Compensation of Deceased Civilian Employee, is 
prescribed for use by employees in designating a beneficiary and in 
changing or revoking a previous designation; each agency will furnish 
the employee a Standard Form 1152 upon request. In the absence of the 
prescribed form, however, any designation, change, or cancellation of 
beneficiary witnessed and filed in accordance with the general 
requirements of this part will be acceptable.
    (c) Who may be designated. An employee may designate any person or 
persons as beneficiary. The term person or persons as used in this part 
includes a legal entity or the estate of the deceased employee.
    (d) Executing and filing a designation of beneficiary form. The 
Standard Form 1152 must be executed in duplicate by the employee and 
filed with the employing agency where the proper officer will sign it 
and insert the date of receipt in the space provided on each part, file 
the original, and return the duplicate to the employee. When a 
designation of beneficiary is changed or revoked, the employing agency 
should return the earlier designation to the employee, keeping a copy of 
only the current designation on file.
    (e) Effective period of a designation. A properly executed and filed 
designation of beneficiary will be effective as long as employment by 
the same agency continues. If an employee resigns and is reemployed, or 
is transferred to another agency, the employee must execute another 
designation of beneficiary form in accordance with paragraph (d) of this 
section. A new designation of beneficiary is not required, however, when 
an employee's agency or site, function, records, equipment, and 
personnel are absorbed by another agency.



Sec. 178.204  Order of payment precedence.

    To facilitate the settlement of the accounts of the deceased 
employees, money due an employee at the time of the employee's death 
shall be paid to the person or persons surviving at the date of death, 
in the following order of precedence, and the payment bars recovery by 
another person of amounts so paid:
    (a) First, to the beneficiary or beneficiaries designated by the 
employee in a writing received in the employing agency prior to the 
employee's death;
    (b) Second, if there is no designated beneficiary, to the surviving 
spouse of the employee;
    (c) Third, if none of the above, to the child or children of the 
employee and descendants of deceased children by representation;
    (d) Fourth, if none of the above, to the parents of the deceased 
employee or the survivor of them;
    (e) Fifth, if none of the above, to the duly appointed legal 
representative of the estate of the deceased employee; and
    (f) Sixth, if none of the above, to the person or persons entitled 
under the laws of the domicile of the employee at the time of his or her 
death.



Sec. 178.205  Procedures upon death of employee.

    (a) Claim form. As soon as practicable after the death of an 
employee, the agency in which the employee was last employed will 
request, in the order of precedence outlined in Sec. 178.204, the 
appropriate person or persons to execute Standard Form 1153, Claim for 
Unpaid Compensation of Deceased Civilian Employee.

[[Page 27]]

    (b) Claims involving minors or incompetents. If a guardian or 
committee has been appointed for a minor or incompetent appearing 
entitled to unpaid compensation, the claim should be supported by a 
certificate of the court showing the appointment and qualification of 
the claimant in such capacity. If no guardian or committee has been or 
will be appointed, the initial claim should be supported by a statement 
showing:
    (1) Claimant's relationship to the minor or incompetent, if any;
    (2) The name and address of the person having care and custody of 
the minor or incompetent;
    (3) That any moneys received will be applied to the use and benefit 
of the minor or incompetent; and
    (4) That the appointment of a guardian or committee is not 
contemplated.



Sec. 178.206  Return of unnegotiated Government checks.

    All unnegotiated United States Government checks drawn to the order 
of a decedent representing money due as defined in Sec. 178.202, and in 
the possession of the claimant, should be returned to the employing 
agency concerned. Claimants should be instructed to return any other 
United States Government checks drawn to the order of a decedent, such 
as veterans benefits, social security benefits, or Federal tax refunds, 
to the agency from which the checks were received, with a request for 
further instructions from that agency.



Sec. 178.207  Claims settlement jurisdiction.

    (a) District of Columbia and Government corporations. Claims for 
unpaid compensation due deceased employees of the government of the 
District of Columbia shall be paid by the District of Columbia, and 
those of Government corporations or mixed ownership Government 
corporations may be paid by the corporations.
    (b) Office of Personnel Management. Each agency shall pay undisputed 
claims for the compensation due a deceased employee. Except as provided 
in paragraph (a) of this section, disputed claims for money due deceased 
employees of the Federal Government will be submitted to the Office of 
Merit Systems Oversight and Effectiveness, in accordance with 
Sec. 178.102 of subpart A. For example:
    (1) When doubt exists as to the amount or validity of the claim;
    (2) When doubt exists as to the person(s) properly entitled to 
payment; or
    (3) When the claim involves uncurrent checks. Uncurrent checks are 
unnegotiated and/or undelivered checks for money due the decedent which 
have not been paid by the end of the fiscal year after the fiscal year 
in which the checks were issued. The checks, if available, should 
accompany the claims.
    (c) Payment of claim. Claims for money due will be paid by the 
appropriate agency only after settlement by the Office of Merit Systems 
Oversight and Effectiveness occurs.

[62 FR 68139, Dec. 31, 1997, as amended at 65 FR 40967, July 3, 2000]



Sec. 178.208  Applicability of general procedures.

    When not in conflict with this subpart, the provisions of subpart A 
of this part relating to procedures applicable to claims generally are 
also applicable to the settlement of account of deceased civilian 
officers and employees.



PART 179--CLAIMS COLLECTION STANDARDS--Table of Contents




            Subpart A--General Provisions and Administration

Sec.
179.101 General collection standards.
179.102 Delegation of authority.

                        Subpart B--Salary Offset

179.201 Purpose.
179.202 Scope.
179.203 Definitions.
179.204 Applicability of regulations.
179.205 Waiver requests and claims to the General Accounting Office.
179.206 Notice requirements before offset.
179.207 Hearing.
179.208 Certification.
179.209 Voluntary repayment agreement as alternative to salary offset.
179.210 Special review.
179.211 Notice of salary offset.
179.212 Procedures for salary offset.
179.213 Coordinating salary offset with other agencies.

[[Page 28]]

179.214 Interest, penalties and administrative costs.
179.215 Refunds.
179.216 Request for the services of a hearing official when the creditor 
          agency is not OPM.
179.217 Non-waiver of rights by payments.
179.218 Additional administrative collection action.

                    Subpart C--Administrative Offset

179.301 Scope of regulations.
179.302 Definitions.
179.303 General.
179.304 Notification procedures.
179.305 Agency review.
179.306 Written agreement for repayment.
179.307 Administrative offset.
179.308 Accelerated procedures.
179.309 Additional administrative procedures.

    Authority: 31 U.S.C. 952; 5 U.S.C. 1103; Reorganization Plan No. 2 
of 1978; 5 U.S.C. 5514; 5 CFR part 550 subpart K; 31 U.S.C. 3701; 31 
U.S.C. 3711; 31 U.S.C. 3716; 31 U.S.C. 3720A.



            Subpart A--General Provisions and Administration



Sec. 179.101  General collection standards.

    The general standards and procedures governing the collection, 
compromise, termination, and referral to the Department of Justice of 
claims for money and property that are prescribed in the regulations 
issued jointly by the General Accounting Office and the Department of 
Justice pursuant to the Federal Claims Collection Act of 1966 (4 CFR 
part 101 et seq.), apply to the administrative claim collection 
activities of OPM.

[33 FR 12406, Sept. 4, 1968]



Sec. 179.102  Delegation of authority.

    (a) The Chief Financial Officer and his or her delegates are 
designated by the Director and authorized to perform all the duties for 
which the Director is responsible under the Debt Collection Act of 1982 
and Office of Personnel Management regulations with the exception of 
debts arising from the Civil Service Retirement and Disability Fund, the 
Employees' Life Insurance Fund, the Retired Federal Employees Health 
Benefits Act (74 Stat. 849), and the Employees Health Benefits Fund. 
However, the Chief Financial Officer and his or her delegates will 
request a review by the General Counsel or his or her designee for all 
claims processed (in amounts of $2500 or more) for compromise, 
suspension, and termination of collection action.
    (b) The Associate Director for Retirement and Insurance and his or 
her delegates are designated by the Director and authorized to perform 
all the duties for which the Director is responsible under the Debt 
Collection Act of 1982 and Office of Personnel Management regulations on 
debts caused by payments from the Civil Service Retirement and 
Disability Fund (subchapter III of chapter 83 or chapter 84), claims 
under the provisions of the Federal Employees' Life Insurance Fund 
(chapter 87), the Retired Federal Employees Health Benefits Act (74 
Stat. 849), the Employees Health Benefits Fund (chapter 89), the Panama 
Canal Construction Annuity Act (58 Stat. 257), and, the Lighthouse 
Service Widows' Annuity Act (64 Stat. 465).

[59 FR 35216, July 11, 1994]



                        Subpart B--Salary Offset

    Source: 59 FR 35216, July 11, 1994, unless otherwise noted.



Sec. 179.201  Purpose.

    The purpose of the Debt Collection Act of 1982 (Pub. L. 97-365), is 
to provide a comprehensive statutory approach to the collection of debts 
due the Federal Government. These regulations implement section 5 of the 
Act which authorizes the collection of debts owed by Federal employees 
to the Federal Government by means of salary offset, except that no 
claim may be collected by such means if outstanding for more than 10 
years after the agency's right to collect the debt first accrued, unless 
facts material to the Government's right to collect were not known, and 
could not reasonably have been known, by the official or officials who 
were charged with the responsibility for discovery and collection of 
such debts. These regulations are consistent with the regulations on 
salary offset published by the Office of Personnel Management (OPM) on 
July 3, 1984 (49 FR 27470) in 5 CFR part 550, subpart K.

[[Page 29]]



Sec. 179.202  Scope.

    (a) These regulations provide procedures for the collection of 
monies from a Federal employee's pay by salary offset to satisfy certain 
debts owed the Government.
    (b) These regulations apply to all collections by the Director of 
OPM (except collections involving debts because of payments made from 
the Civil Service Retirement and Disability Fund, payments made under 
the Retired Federal Employees Health Benefits Act (74 Stat. 849), the 
Panama Canal Construction Annuity Act and the Lighthouse Service Widows' 
Annuity Act and payments or premiums relating to the Federal Employees' 
Life Insurance Fund or the Federal Employees Health Benefits Fund) from:
    (1) Federal employees who owe debts to OPM; and
    (2) OPM employees who owe debts to other agencies.
    (c) These regulations do not apply to debts or claims arising under 
the Internal Revenue Code of 1954, as amended (26 U.S.C. 1 et seq.); the 
Social Security Act (42 U.S.C. 301 et seq.); the tariff laws of the 
United States; or to any case where collection of a debt by salary 
offset is explicitly provided for or prohibited by another statute 
(e.g., travel advances in 5 U.S.C. 5705 and employee training expenses 
in 5 U.S.C. 4108).
    (d) Section 179.207 does not apply to any adjustment to pay arising 
from an employee's election of coverage or a change in coverage under a 
Federal benefits program requiring periodic deductions from pay, if the 
amount to be recovered was accumulated over four pay periods or less.
    (e) Nothing in these regulations precludes the compromise, 
suspension, or termination of collection actions, where appropriate, 
under the standards implementing the Federal Claims Collection Act (31 
U.S.C. 3711 et seq., 4 CFR parts 101-105, 38 CFR 1.900 et seq.).
    (f) Nothing in these regulations precludes an employee from 
requesting a waiver of the debt under applicable statute; under the 
standards and procedures specified by the Federal Claims Collection 
Standards (FCCS); or waiver of salary overpayment under 5 U.S.C. 5584, 
10 U.S.C. 2774, or 32 U.S.C. 716, by submitting a subsequent claim to 
the General Accounting Office in accordance with procedures established 
by the General Accounting Office.



Sec. 179.203  Definitions.

    As used in this subpart the following definitions shall apply:
    Agency means:
    (1) An Executive Agency as defined by section 105 of title 5, United 
States Code;
    (2) A military department as defined by section 102 of title 5, 
United States Code;
    (3) An agency or court of the judicial branch including a court as 
defined in section 610 of title 28, United States Code, the District 
Court for the Northern Mariana Islands and the Judicial Panel and 
Multidistrict Litigation;
    (4) An agency of the legislative branch, including the U.S. Senate 
and the U.S. House of Representatives; and
    (5) Other independent establishments that are entities of the 
Federal Government.
    Certification means a written debt claim, as prescribed by 
Sec. 179.209, that is received from a creditor agency and which requests 
the paying agency to offset the salary of an employee.
    Claim See debt.
    Creditor agency means an agency of the Federal Government to which 
the debt is owed. For purposes of this part creditor agency includes 
OPM, unless otherwise noted.
    Debt means money owed by an employee of the Federal Government to an 
agency of the Federal Government, from sources which include loans 
insured or guaranteed by the United States and all other amounts due the 
Government from fees, leases, rents, royalties, services, sales of real 
or personal property, overpayments, penalties, damages, interests, fines 
and forfeitures (except those arising under the Uniform Code of Military 
Justice) and all other similar sources.
    Delinquent means the failure to pay an obligation or debt by the 
date specified in the initial notification or applicable contractual 
agreement, unless other payment arrangements have been agreed to by OPM 
and the debtor by that date, or if, at any time thereafter,

[[Page 30]]

the debtor fails to satisfy the obligations under a payment agreement 
with the creditor agency.
    Director means the Director of OPM or his or her designee.
    Disposable pay means that part of current basic pay, special pay, 
incentive pay, retired pay, retainer pay, or, in the case of an employee 
not entitled to basic pay, other authorized pay remaining after the 
deduction of any amount required by law to be withheld. OPM shall allow 
the following deductions, and any others required by law to be withheld, 
in determining disposable pay subject to salary offset;
    (1) Federal employment taxes;
    (2) Amounts mandatorily withheld for the U.S. Soldiers' and Airmen's 
Home;
    (3) Fines and forfeitures ordered by a court martial or by a 
commanding officer;
    (4) Federal, state or local income taxes no greater than would be 
the case if the employee claimed all dependents to which he or she is 
entitled and such additional amounts for which the employee presents 
evidence of a tax obligation supporting the additional withholding;
    (5) Amounts withheld from benefits payable under title II of the 
Social Security Act where the withholding is required by law;
    (6) Amounts deducted for Medicare;
    (7) Health insurance premiums;
    (8) Normal retirement contributions as explained in 5 CFR 581.105(e) 
(e.g., Civil Service Retirement deductions, Survivor Benefit Plan or 
Retired Serviceman's Family Protection Plan); and
    (9) Normal life insurance premiums (e.g., Serviceman's Group Life 
Insurance and basic Federal Employee's Group Life Insurance premiums) 
exclusive of optional life insurance premiums.
    Employee means a current employee of OPM or other agency, including 
a current member of the Armed Forces or Reserve of the Armed Forces of 
the United States.
    FCCS means the Federal Claims Collection Standards jointly published 
by the Department of Justice and the General Accounting Office of 4 CFR 
101.1 et seq.
    Hearing official means an individual (including an administrative 
law judge) responsible for conducting any hearing with respect to the 
existence or amount of a debt claimed, and rendering a decision on the 
basis of such hearing. A hearing official may not be under the 
supervision or control of the Director of OPM when OPM is the creditor 
agency.
    Notice of intent to offset or notice of intent means a written 
notice from a creditor agency to an employee that states the creditor 
agency's determination that the employee owes a debt to the creditor 
agency and apprises the employee of certain administrative rights.
    Notice of salary offset means a written notice from the paying 
agency to an employee after a certification has been issued by the 
creditor agency, informing the employee that salary offset will begin at 
the next officially established pay interval.
    Office means the central and regional offices of the Office of 
Personnel Management.
    Paying agency means the agency of the Federal Government which 
employs the individual who owes a debt to an agency of the Federal 
Government. In some cases, OPM may be both the creditor agency and the 
paying agency.
    Payroll office means the payroll office in the paying agency which 
is primarily responsible for the payroll records and the coordination of 
pay matters with the appropriate personnel office with respect to an 
employee. Payroll office, with respect to OPM, means the central payroll 
office.
    Salary offset means an administrative offset to collect a debt under 
5 U.S.C. 5514 by deduction(s) at one or more officially established pay 
intervals from the current pay account of an employee, without his or 
her consent.
    Salary Offset Coordinator means an official, designated by the 
Director of OPM, who is responsible for coordinating debt collection 
activities for OPM.
    Waiver means the cancellation, remission, forgiveness, or non-
recovery of a debt allegedly owed by an employee to OPM or another 
agency as permitted or required by 5 U.S.C. 5584,

[[Page 31]]

10 U.S.C. 2774, 32 U.S.C. 716, or any other law.



Sec. 179.204  Applicability of regulations.

    These regulations are to be followed for all OPM collections (except 
those involving retirement, life, and health insurance debts for 
recovery by the Associate Director for Retirement and Insurance) in 
instances where:
    (a) OPM is owed a debt by an individual currently employed by 
another agency;
    (b) OPM is owed a debt by an individual who is a current employee of 
OPM; or
    (c) OPM currently employs an individual who owes a debt to another 
Federal agency. Upon receipt of proper certification from the creditor 
agency, OPM will offset the debtor-employee's salary in accordance with 
these regulations.



Sec. 179.205  Waiver requests and claims to the General Accounting Office.

    These regulations do not preclude an employee from requesting waiver 
of an overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, 32 U.S.C. 716, or 
in any way questioning the amount or validity of a debt by submitting a 
subsequent claim to the General Accounting Office in accordance with the 
procedures prescribed by the General Accounting Office. These 
regulations do not preclude an employee from requesting a waiver 
pursuant to other statutory provisions pertaining to the particular debt 
being collected.



Sec. 179.206  Notice requirements before offset.

    (a) Deductions under the authority of 5 U.S.C. 5514 shall not be 
made unless the creditor agency provides the employee with written 
notice that he/she owes a debt to the Federal government a minimum of 30 
calendar days before salary offset is initiated. When OPM is the 
creditor agency, this notice of intent to offset an employee's salary 
shall be hand-delivered at work, or sent by registered mail, return 
receipt requested, to the employee's most current address that is 
available to the Office and will state:
    (1) That the creditor agency has reviewed the records relating to 
the claim and has determined that a debt is owed, the amount of the 
debt, and the facts giving rise to the debt;
    (2) The creditor agency's intention to collect the debt by means of 
deduction from the employee's current disposable pay account until the 
debt and all accumulated interest are paid in full;
    (3) The amount, frequency, beginning date, and duration of the 
intended deductions;
    (4) An explanation of OPM's policy concerning interest, penalties 
and administrative costs including a statement that such assessments 
must be made unless excused in accordance with the FCCS, 4 CFR 101.1 et 
seq. (Sec. 179.214);
    (5) The employee's right to inspect and copy all records of the 
office pertaining to the debt claimed, or to request and to receive 
copies of such records if personal inspection is impractical;
    (6) If not previously provided, the opportunity to establish a 
schedule for the voluntary repayment of the debt through offset or to 
enter into an agreement to establish a schedule for repayment of the 
debt in lieu of offset (4 CFR 102.2(e)). The agreement must contain 
terms agreeable to the Office and must be in such form that it is 
legally enforceable. The agreement must:
    (i) Be in writing;
    (ii) Be signed by both the employee and the creditor agency;
    (iii) Specify all the terms of the arrangement for payment; and
    (iv) Contain a provision accelerating the debt in the event of a 
default by the debtor, but such an increase may not result in a 
deduction that exceeds 15 percent of the employee's disposable pay 
unless the employee has agreed in writing to the deduction of a greater 
amount (5 CFR 550.1104(i)).
    (7) The right to a hearing conducted by an impartial hearing 
official (an administrative law judge, or alternatively, a hearing 
official not under the supervision or control of the Director) with 
respect to the existence and amount of the debt claimed, or the 
repayment schedule (i.e., the percentage of disposable pay to be 
deducted each pay period), so long as a petition is

[[Page 32]]

filed by the employee as prescribed in Sec. 179.207;
    (8) The method and time period for requesting a hearing;
    (9) The name, address and phone number of an official or employee of 
the Office who may be contacted concerning procedures for requesting a 
hearing;
    (10) The name and address of the office to which the petition for a 
hearing should be sent;
    (11) That a timely and properly filed petition for hearing will stay 
the commencement of collection proceedings (a timely filing must be 
received in the office specified under paragraph (a)(10) of this section 
within 15 calendar days after receipt of such notice of intent to 
offset);
    (12) That the Office will initiate certification procedures to 
implement a salary offset (which may not exceed 15 percent of the 
employee's disposable pay) not less than 30 days from the date of 
receipt of the notice of debt, unless the employee files a timely 
petition for a hearing;
    (13) That a final decision on the hearing (if a hearing is 
requested) will be issued at the earliest practical date, but not later 
than 60 days after the filing of the petition requesting the hearing, 
unless the employee requests and the hearing official grants a delay in 
the proceedings;
    (14) That any knowingly false or frivolous statements, 
representations, or evidence may subject the employee to;
    (i) Disciplinary procedures appropriate under chapter 75 of title 5, 
United States code; part 752 of title 5, Code of Federal Regulations; or 
any other applicable statute or regulations;
    (ii) Penalties under the False Claims Act, sections 3729 through 
3731 of title 31, United States Code, or any other applicable statutory 
authority; and
    (iii) Criminal penalties under sections 286, 287, 1001, and 1002 of 
title 18, United States code, or any other applicable statutory 
authority;
    (15) Any other rights and remedies available to the employee under 
statutes or regulations governing the program for which the collection 
is being made;
    (16) That unless there are applicable contractual or statutory 
provisions to the contrary, amounts paid on or deducted for the debt, 
which are later waived or found not owed to the United States, will be 
promptly refunded to the employee; and
    (17) That proceedings with respect to such debt are governed by 
section 5 of the Debt Collection Act of 1982 (5 U.S.C. 5514).
    (b) The Office is not required to comply with paragraph (a) of this 
section for any adjustment to pay arising from:
    (1) An employee's selection of coverage or a change in coverage 
under a Federal benefits program requiring periodic deductions from pay, 
if the amount to be recovered was accumulated over four pay periods or 
less; or
    (2) An employee's consent to make voluntary withholdings from his or 
her current pay account.



Sec. 179.207  Hearing.

    (a) Request for hearing. Except as provided in paragraph (b) of this 
section, an employee who desires a hearing concerning the existence or 
amount of the debt or the proposed offset schedule must send such a 
request to the office designated in the notice of intent 
(Sec. 179.207(a)(10)). The request (or petition) for hearing must be 
received by the designated office not later than 15 calendar days 
following the employee's receipt of the notice. The employee's request 
(or petition) must:
    (1) Be signed by the employee;
    (2) Fully identify and explain with reasonable specificity all the 
facts, evidence and witnesses, if any, that the employee believes 
support his or her position; and
    (3) Specify whether an oral or paper hearing is requested. If an 
oral hearing is desired, the request should explain why the matter 
cannot be resolved by review of the documentary evidence alone (4 CFR 
102.3(c)).
    (b) Failure to timely submit. (1) If the employee files a petition 
for a hearing after the expiration of the 15 calendar day period 
provided for in paragraph (a) of this section, the Office may accept the 
request if the employee can show that the delay was the result of 
circumstances beyond his of her control or failure to receive actual 
notice

[[Page 33]]

of the filing deadline (unless the employee had actual notice of the 
filing deadline).
    (2) An employee waives the right to a hearing, and will have his or 
her disposable pay offset in accordance with the Office offset schedule, 
if the employee:
    (i) Fails to file a timely request for a hearing unless such failure 
is excused; or
    (ii) Fails to appear at an oral hearing of which he or she was 
notified unless the hearing official determines that failure to appear 
was due to circumstances beyond the employee's control.
    (c) Representation at the hearing. The creditor agency may be 
represented by legal counsel. The employee may represent himself or 
herself or may be represented by an individual of his or her choice and 
at his or her expense.
    (d) Review of Office records related to the debt. (1) An employee 
who intends to inspect or copy creditor agency records related to the 
debt, as provided by Sec. 179.207(a)(5), must send a letter to the 
official designated in the notice of intent to offset stating his or her 
intention. The letter must be received within 15 calendar days after the 
employee's receipt of the notice.
    (2) In response to a timely request submitted by the debtor, the 
designated official will notify the employee of the location and time 
when the employee may inspect and copy records related to the debt.
    (3) If personal inspection is impractical, arrangements shall be 
made to end copies of such records to the employee.
    (e) Hearing official. The Office may request an administrative law 
judge to conduct the hearing, or the Office may obtain a hearing 
official who is not under the supervision or control of the Director of 
OPM.
    (f) Obtaining the services of a hearing official when OPM is the 
creditor agency. (1) When the debtor is not an OPM employee and the 
Office cannot provide a prompt and appropriate hearing before a hearing 
official furnished pursuant to another lawful arrangement, the Office 
may contact an agent of the paying agency designated in 5 CFR part 581, 
appendix A, or other individual designated by the paying agency, and 
request a hearing official.
    (2) When the debtor is an OPM employee, the Office may contact any 
agent of another agency designated in 5 CFR part 581, appendix A, or 
otherwise designated by that agency, to request a hearing official.
    (g) Procedure--(1) General. After the employee requests a hearing, 
the hearing official shall notify the employee of the form of the 
hearing to be provided. If the hearing will be oral, the notice shall 
set forth the date, time and location of the hearing. If the hearing 
will be paper, the employee shall be notified that he or she should 
submit arguments in writing to the hearing official by a specified date 
after which the record shall be closed. This date shall give the 
employee reasonable time to submit documentation.
    (2) Oral hearing. An employee who requests an oral hearing shall be 
provided an oral hearing if the hearing official determines that the 
matter cannot be resolved by review of documentary evidence alone (e.g., 
when an issue of credibility or veracity is involved). The hearing is 
not an adversarial adjudication and need not take the form of an 
evidentiary hearing. Oral hearings may take the form of, but are not 
limited to:
    (i) Informal conferences with the hearing official, in which the 
employee and agency representative will be given full opportunity to 
present evidence, witnesses, and argument;
    (ii) Informal meetings with an interview of the employee; or
    (iii) Formal written submissions with an opportunity for oral 
presentation.
    (3) Paper hearing. If the hearing official determines that an oral 
hearing is not necessary, he or she will make a determination based upon 
a review of the available written record (4 CFR 102.3(c) (2) and (3)).
    (4) Record. The hearing official must maintain a summary record of 
any hearing provided by this subpart (4 CFR 102.3(c)(1)(ii)). Witnesses 
who testify in oral hearings will do so under oath or affirmation.

[[Page 34]]

    (h) Date of decision. The hearing official shall issue a written 
opinion stating his or her decision, based upon documentary evidence and 
information developed at the hearing, as soon as practicable after the 
hearing, but not later than 60 days after the date on which the petition 
was received by the creditor agency, unless the employee requests a 
delay in the proceedings. In such case the 60-day decision period shall 
be extended by the number of days by which the hearing was postponed.
    (i) Content of decision. The written decision shall include:
    (1) A statement of the facts presented to support the origin, 
nature, and amount of the debt;
    (2) The hearing official's findings, analysis, and conclusions 
including a determination whether the debtor's petition for hearing was 
baseless and resulted from an intent to delay creditor agency collection 
activity and whether the Office should pursue other actions against the 
debtor as provided by 5 CFR 550.1104(d)(11); and
    (3) The terms of any repayment schedules, if applicable.
    (j) Failure to appear. In the absence of good cause shown (e.g., 
illness), an employee who fails to appear at a hearing shall be deemed, 
for the purpose of this subpart, to admit the existence and amount of 
the debt as described in the notice of intent. If the representative of 
the creditor agency fails to appear, the hearing official shall proceed 
with the hearing as scheduled and make his/her determination based upon 
the oral testimony presented and the documentary evidence submitted by 
both parties. With the agreement of both parties, the hearing official 
shall schedule a new hearing date. Both parties shall be given 
reasonable notice of the time and place of the new hearing.



Sec. 179.208  Certification.

    (a) OPM salary offset coordinator shall provide a certification to 
the paying agency in all cases where:
    (1) The hearing official determines that a debt exists;
    (2) The employee fails to contest the existence and amount of the 
debt by failing to request a hearing; or
    (3) The employee fails to contest the existence of the debt by 
failing to appear at a hearing.
    (b) The certification must be in writing and must state:
    (1) That the employee owes the debt;
    (2) The amount and basis of the debt;
    (3) The date the Government's right to collect the debt first 
accrued;
    (4) That the Office's regulations have been approved by OPM pursuant 
to 5 CFR part 550, subpart K;
    (5) The date on which payment(s) is due;
    (6) If the collection is to be made in installments, the number of 
installments to be collected, the amount of each installment or 
percentage of disposable pay, and the commencement date of the first 
installment, if a date other than the next officially established pay 
period is required; and
    (7) The date(s) of any action(s) taken under 5 U.S.C. 5514(b).



Sec. 179.209  Voluntary repayment agreement as alternative to salary offset.

    (a)(1) In response to a notice of intent, an employee may propose to 
repay the debt by making voluntary installment payments as an 
alternative to salary offset. An employee who wishes to repay a debt 
without salary offset shall submit in writing a proposed agreement to 
repay the debt. The proposal shall admit the existence of the debt, and 
the agreement must be in such form that it is legally enforceable. The 
agreement must:
    (i) Be in writing;
    (ii) Be signed by both the employee and the creditor agency;
    (iii) Specify all the terms of the arrangement for payment; and
    (iv) Contain a provision accelerating the debt in the event of 
default by the debtor, but such an increase may not result in a 
deduction that exceeds 15 percent of the employee's disposable pay 
unless the employee has agreed in writing to deduction of a greater 
amount (5 CFR 550.1104(i)).
    (2) Any proposal under paragraph (a) of this section must be 
received by the official designated in the notice of intent within 30 
calendar days after receipt of the notice.

[[Page 35]]

    (b) The creditor agency will review a timely and properly submitted 
repayment proposal by the employee debtor and notify the employee 
whether the proposed written agreement for repayment is acceptable. It 
is within the creditor agency's discretion to accept a repayment 
agreement instead of proceeding by offset.
    (c) If the creditor agency decides that the proposed repayment 
agreement is unacceptable, the employee will have 15 days from the date 
he or she received notice of that decision to file a petition for a 
hearing or a special review as provided by Sec. 179.210.
    (d) If the creditor agency decides that the proposed repayment 
agreement is acceptable, the alternative arrangement must be in writing, 
signed by both the employee and the creditor agency designee and meet 
the other requirements of this section for a voluntary repayment 
agreement.



Sec. 179.210  Special review.

    (a) An OPM employee subject to salary offset or a voluntary 
repayment agreement, may, at any time, request a special review by the 
Office of the amount of the salary offset or voluntary payment, based on 
materially changed circumstances such as, but not limited to, 
catastrophic illness, divorce, death, or disability.
    (b) In determining whether an offset would prevent the employee from 
meeting essential subsistence expenses (food, housing, clothing, 
transportation and medical care), the employee shall submit a detailed 
statement and supporting documents for the employee, his or her spouse, 
and dependents indicating:
    (1) Income from all sources;
    (2) Assets;
    (3) Liabilities;
    (4) Number of dependents;
    (5) Expenses for food, housing, clothing and transportation;
    (6) Medical expenses; and
    (7) Exceptional expenses, if any.

If an OPM employee requests a special review under this section, the 
employee shall file an alternative proposed offset or payment schedule 
and a statement, with supporting documents (Sec. 179.210(b)), stating 
why the current salary offset or payments result in an extreme financial 
hardship to the employee.
    (c) The Director shall evaluate the statement and supporting 
documents, and determine whether the original offset or repayment 
schedule imposes an extreme financial hardship on the employee. The 
Director shall notify the employee in writing of such determination, 
including, if appropriate, a revised offset or repayment schedule.
    (d) If the special review results in a revised offset or repayment 
schedule, the OPM salary offset coordinator shall provide a new 
certification to the payroll office.



Sec. 179.211  Notice of salary offset.

    (a) Upon receipt of proper certification from a creditor agency, the 
OPM payroll office will send the OPM employee, identified in the 
certification as the debtor, a written notice of salary offset. Such 
notice shall, at a minimum:
    (1) State that OPM has received a properly certified debt claim from 
a creditor agency;
    (2) Contain a copy of the certification received from the creditor 
agency;
    (3) Advise the employee that salary offset will be initiated at the 
next officially established pay interval; and
    (4) State the amount of the claim and amount of deductions.
    (b) The payroll office shall provide a copy of the notice to the 
creditor agency and advise such agency of the dollar amount to be offset 
and the pay period when the offset will begin.



Sec. 179.212  Procedures for salary offset.

    (a) The Director or his or her designee shall coordinate salary 
deductions under this subpart.
    (b) OPM payroll office shall determine the amount of an employee's 
disposable pay and implement the salary offset.
    (c) Deductions shall begin effective the pay period following 
receipt by OPM's payroll office of proper certification of the debt 
(Sec. 179.208).
    (d) Types of collection--(1) Lump-sum payment. A debt will be 
collected in a lump sum if possible. If an employee is financially 
unable to pay in one lump sum or the amount of the debt exceeds

[[Page 36]]

15 percent of disposable pay for an officially established pay interval, 
collection must be made in installments.
    (2) Installment deductions. Installment deductions will be made over 
a period not greater than the anticipated period of employment and, 
except in rare circumstances, not to exceed 3 years. The size and 
frequency of installment deductions will bear a reasonable relation to 
the size of the debt and the employee's ability to pay. The amount 
deducted for any period will not exceed 15 percent of the disposable pay 
from which the deduction is made unless the employee has agreed in 
writing to the deduction of a greater amount.
    (3) Lump-sum deductions from final check. A lump-sum deduction 
exceeding the 15 percent disposable pay limitation may be made from any 
final salary payment pursuant to 31 U.S.C. 3716 in order to liquidate 
the debt, whether the employee is being separated voluntarily or 
involuntarily.
    (4) Lump-sum deductions from other sources. When an employee subject 
to salary offset is separated from OPM and the balance of the debt 
cannot be liquidated by offset of the final salary check, the Office, 
pursuant to 31 U.S.C. 3716, the FCCS and OPM's implementing regulations, 
may offset the balance of the debt against any financial payment due the 
employee from the U.S. Government.
    (e) Multiple debts. In instances where two or more creditor agencies 
are seeking salary offset, or where two or more debts are owed to a 
single creditor agency, OPM payroll office may, at its discretion, 
determine whether one or more debts should be offset simultaneously 
within the 15 percent limitation.
    (f) Precedence of debts owed to OPM. For OPM employees, debts owed 
to the Office generally take precedence over debts owed to other 
agencies. In the event that a debt to the Office is certified while an 
employee is subject to a salary offset to repay another agency, the OPM 
payroll office may decide whether to have that debt repaid in full 
before collecting its claim or whether changes should be made in the 
salary deduction being sent to the other agency. If debts owed the 
Office can be collected in one pay period, the payroll office may 
suspend the salary offset to the other agency for that pay period in 
order to liquidate the office debt.
    (g) When an employee owes two or more debts, the best interests of 
the Government shall be the primary consideration in determining the 
order of debt collection. The OPM payroll office, in making this 
determination, will be guided primarily by the statute of limitations 
that affects the collection of the debt(s).



Sec. 179.213  Coordinating salary offset with other agencies.

    (a) Responsibility of OPM as the creditor agency. (1) The Director 
or his or her designee shall coordinate debt collections with other 
agencies and shall, as appropriate:
    (i) Arrange for a hearing or special review upon proper petitioning 
by a Federal employee; and
    (ii) Prescribe, upon consultation with the General Counsel, such 
additional practices and procedures as may be necessary to carry out the 
intent of this regulation.
    (2) The designated salary offset coordinator will be responsible 
for:
    (i) Ensuring that each notice of intent to offset is consistent with 
the requirements of Sec. 179.206;
    (ii) Ensuring that each certification of debt that is sent to a 
paying agency is consistent with the requirements of Sec. 179.208;
    (iii) Obtaining hearing officials from other agencies pursuant to 
Sec. 179.207(f); and
    (iv) Ensuring that hearings are properly scheduled.
    (3) Requesting recovery from current paying agency. Upon completion 
of the procedures established in these regulations and pursuant to 5 
U.S.C. 5514, the Office must:
    (i) Certify, in writing, to the paying agency that the employee owes 
the debt, the amount and basis of the debt, the date on which payment(s) 
is due, the date the Government's right to collect the debt first 
accrued, and that the Office's regulations implementing 5 U.S.C. 5514 
have been approved by the Office of Personnel Management;
    (ii) Advise the paying agency of the amount or percentage of 
disposable pay to be collected in each installment and

[[Page 37]]

the number and commencing date of the installments (if a date other than 
the next officially established pay period is required);
    (iii) Advise the paying agency of the action(s) taken under 5 U.S.C. 
5514(b) and give the date(s) and action(s) was taken (unless the 
employee has consented to the salary offset in writing or signed a 
statement acknowledging receipt of the required procedures and the 
written consent or statement is forwarded to the paying agency);
    (iv) Submit a debt claim certification containing the information 
specified in paragraphs (a)(3)(i), (a)(3)(ii) and (a)(3)(iii) of this 
section and an installment agreement (or other instruction on the 
payment schedule), if applicable, to the employee's paying agency; and
    (v) Submit the debt claim, as provided in Sec. 179.208, to the 
employee's paying agency for collection if the employee is in the 
process of separating, and has not received a final salary check, or 
other final payment(s) from the paying agency. The paying agency must 
certify the total amount of its collection on the debt and send a copy 
of the certification to the employee and another copy to the creditor 
agency. If the paying agency's collection does not fully satisfy the 
debt, and the paying agency is aware that the debtor is entitled to 
payments from the Civil Service Retirement and Disability Fund or other 
similar payments that may be due the debtor employee from other Federal 
Government sources, the paying agency will provide written notification 
of the outstanding debt to the agency responsible for making such other 
payments to the debtor employee. The written notification shall state 
that the employee owes a debt (including the amount) and that the 
provisions of this section have been fully complied with. The Office 
must submit a properly certified claim to the agency responsible for 
making such payments before the collection can be made.
    (4) Separated employee. If the employee is already separated and all 
payments due from his or her former paying agency have been paid, the 
Office may request, unless otherwise prohibited, that money due and 
payable to the employee from the Civil Service Retirement and Disability 
Fund (5 CFR 831.1801 et seq. or 5 CFR 845.401 et seq.) or other similar 
funds, be administratively offset to collect the debt (31 U.S.C. 3716 
and the FCCS).
    (5) Employee transfer. When an employee transfers from one paying 
agency to another paying agency, the Office is not required to repeat 
the due process procedures described in 5 U.S.C. 5514 and this subpart 
to resume the collection. The Office will submit a properly certified 
claim to the new paying agency and will subsequently review the debt to 
make sure the collection is resumed by the new paying agency.
    (b) Responsibility of the Office as the paying agency--(1) Complete 
claim. When the Office receives a certified claim from a creditor 
agency, deductions should be scheduled to begin at the next officially 
established pay interval. Before deductions can begin, the employee must 
receive written notice from the Office including:
    (i) A statement that the Office has received a certified debt claim 
from the creditor agency;
    (ii) The amount of the debt claim;
    (iii) The date salary offset deductions will begin, and
    (iv) The amount of such deductions.
    (2) Incomplete claim. When the Office receives an incomplete 
certification of debt from a creditor agency, the Office must return the 
debt claim with notice that procedures under 5 U.S.C. 5514 and 5 CFR 
550.1101 et seq. must be followed and a properly certified debt claim 
received before action will be taken to collect from the employee's 
current pay account.
    (3) Review. The Office is not authorized to review the merits of the 
creditor agency's determination with respect to the amount or validity 
of the debt certified by the creditor agency.
    (4) Employees who transfer from one paying agency to another. If, 
after the creditor agency has submitted the debt claim to the Office, 
the employee transfers from OPM to a different paying agency before the 
debt is collected in full, the Office will certify the total amount 
collected on the debt. One copy of the certification will be furnished 
to

[[Page 38]]

the employee and one copy to the creditor agency along with notice of 
the employee's transfer.



Sec. 179.214  Interest, penalties and administrative costs.

    The office shall assess interest, penalties and administrative costs 
on debts owed pursuant to 31 U.S.C. 3717 and 4 CFR part 101.1 et seq. 
Penalties and administrative costs will be assessed on all delinquent 
debts.
    (a) In cases of default on a previous repayment agreement, the 
Office reserves the right to set a new interest rate which reflects the 
current value of funds to the Treasury at the time a new repayment 
agreement is executed.
    (b) The Office, on a case-by-case basis, may waive all interest 
accrued on debts paid in full within 60 days of the due date if there is 
no indication of fault or lack of good faith on the part of the debtor.
    (c) The Office may waive, in whole or in part, the collection of 
interest, penalties, and/or administrative costs assessed under this 
section under the criteria specified in part 103 of 4 CFR, chapter II, 
relating to the compromise of claims (without regard to the amount of 
the debt).
    (d) The Office may waive, in whole or in part, the collection of 
interest, penalties, and/or administrative costs assessed under this 
section if the Office determines that collection of these charges would 
be against equity and good conscience or not in the best interests of 
the United States.
    (e) The Office shall waive the accrual of interest pending 
consideration of a request for reconsideration, administrative review, 
or waiver of the underlying debt under provisions of a permissive 
statute providing for such review related to the debt.
    (f) The Office shall waive interest on repayment agreements when the 
amount of interest accruing equals or exceeds the amount of installments 
the debtor can reasonably afford and there is no indication of fault or 
lack of good faith on the part of the debtor.



Sec. 179.215  Refunds.

    (a) The Office shall promptly refund any amounts deducted under the 
authority of 5 U.S.C. 5514 when:
    (1) The debt is waived or otherwise found not to be owing the United 
States (unless expressly prohibited by statute or regulation); or
    (2) An administrative or judicial order directs the Office to make a 
refund.
    (b) Unless required or permitted by law or contract, refunds under 
this subsection shall not bear interest.



Sec. 179.216  Request for the services of a hearing official when the creditor agency is not OPM.

    (a) The Office will provide a hearing official upon request of the 
creditor agency when the debtor is employed by the Office and the 
creditor agency cannot provide a prompt and appropriate hearing before a 
hearing official furnished pursuant to another lawful arrangement.
    (b) The salary offset coordinator will secure qualified personnel to 
serve as hearing officials.
    (c) Services rendered under this section will be provided on a fully 
reimbursable basis pursuant to the Economy Act of 1932, as amended, 31 
U.S.C. 1535.



Sec. 179.217  Non-waiver of rights by payments.

    An employee's involuntary payment of all or any portion of a debt 
collected under this subpart must not be construed as a waiver of any 
rights which the employee may have under 5 U.S.C. 5514 or any other 
provision of contract or law unless there are statutory or contractual 
provisions to the contrary.



Sec. 179.218  Additional administrative collection action.

    Nothing contained in this subpart is intended to preclude the use of 
any other administrative remedy which may be appropriate.



                    Subpart C--Administrative Offset

    Source: 59 FR 35214, July 11, 1994, unless otherwise noted.



Sec. 179.301  Scope of regulations.

    These regulations apply to the collection of debts owed to the 
United States arising from transactions with OPM other than those 
involving payments

[[Page 39]]

made from the Civil Service Retirement and Disability Fund (the Fund), 
or where a request for an offset from OPM's administrative accounts--
other than the Fund--is received by OPM from another Federal agency. 
Regulations for other agencies to request OPM's Retirement and Insurance 
Group to recover a debt from the Fund are provided at subpart R of part 
831 and subpart D of part 845 of title 5, Code of Federal Regulations. 
These regulations are consistent with the Federal Claims Collection 
Standards on Administrative Offset issued jointly by the Department of 
Justice and the General Accounting Office as set forth in 4 CFR 102.3.



Sec. 179.302  Definitions.

    Administrative offset, as defined in 31 U.S.C. 3701(a)(1), means 
withholding money payable by the United States Government to, or held by 
the Government for, a person to satisfy a debt the person owes the 
Government.
    Person, includes a natural person or persons, profit or non-profit 
corporation, partnership, association, trust, estate, consortium, or 
other entity which is capable of owing a debt to the United States 
Government except that agencies of the United States, or of any State or 
local government, shall be excluded.



Sec. 179.303  General.

    (a) The Director or his or her designee, after attempting to collect 
a debt from a person under section 3(a) of the Federal Claims Collection 
Act of 1966, as amended (31 U.S.C. 3711(a)), may collect the debt by 
administrative offset subject to the following:
    (1) The debt is certain in amount; and
    (2) It is in the best interest of the United States to collect the 
debt by administrative offset because it is less costly and speeds 
payment of the debt;
    (b) The Director, or his or her designee, may initiate 
administrative offset with regard to debts owed by a person to another 
agency of the United States Government, upon receipt of a request from 
the head of another agency, or his or her designee, and a certification 
that the debt exists and that the person has been afforded the necessary 
due process rights.
    (c) The Director, or his or her designee, may request another agency 
that holds funds payable to an OPM debtor to offset the debt against the 
funds held and will provide certification that:
    (1) The debt exists; and
    (2) The person has been afforded the necessary due process rights.
    (d) If the 6-year period for bringing action on a debt provided in 
28 U.S.C. 2415 has expired, then administrative offset may be used to 
collect the debt only if the costs of bringing such action are likely to 
be less than the amount of the debt.
    (e) No collection by administrative offset shall be made on any debt 
that has been outstanding for more than 10 years unless facts material 
to the Government's right to collect the debt were not known, and 
reasonably could not have been known, by the official or officials 
responsible for discovering and collecting such debt.
    (f) These regulations do not apply to:
    (1) A case in which administrative offset of the type of debt 
involved is explicitly provided for or prohibited by another statute.
    (2) Debts owed to OPM by other agencies of the United States or by 
any State or local government.



Sec. 179.304  Notification procedures.

    Before collecting any debt through administrative offset, a notice 
of intent to offset shall be sent to the debtor by certified mail, 
return receipt requested, at the most current address that is available 
to OPM. The notice shall provide:
    (a) A description of the nature and amount of the debt and the 
intention of OPM to collect the debt through administrative offset;
    (b) An opportunity to inspect and copy the records of OPM with 
respect to the debt;
    (c) An opportunity for review within OPM concerning OPM's 
determinations with respect to the debt; and
    (d) An opportunity to enter into a written agreement for the 
repayment of the amount of the debt.



Sec. 179.305  Agency review.

    (a) A debtor may dispute the existence of the debt, the amount of 
the

[[Page 40]]

debt, or the terms of repayment. The request to review a disputed debt 
must be received by the OPM official identified in the notification 
within 30 calendar days of the debtor's receipt of the written notice 
described in Sec. 179.304.
    (b) If the debtor requests an opportunity to inspect or copy OPM's 
records concerning the disputed claim, 10 business days will be granted 
for the review. The time period will be measured from the time the 
request for inspection is granted or from the time the copy of the 
records is received by the debtor.
    (c) Pending the resolution of a dispute initiated by the debtor, 
transactions in any of the debtor's account(s) maintained in OPM may be 
temporarily suspended to the extent of the debt that is owed. Depending 
on the type of transaction, the suspension could preclude payment, 
removal, or transfer, as well as prevent the payment of interest or 
discount due thereon. Should the dispute be resolved in the debtor's 
favor, the suspension will be lifted immediately.
    (d) During the review period, interest, penalties, and 
administrative costs authorized under the Federal Claims Collection Act 
of 1966, as amended, will continue to accrue.



Sec. 179.306  Written agreement for repayment.

    A debtor who admits liability but elects not to have the debt 
collected by administrative offset will be afforded an opportunity to 
negotiate a written agreement for the repayment of the debt. If the 
financial condition of the debtor does not support the ability to pay in 
one lump-sum, reasonable installments may be considered. No installment 
arrangement will be considered unless the debtor submits a financial 
statement, executed under penalty of perjury, reflecting the debtor's 
assets, liabilities, income, and expenses. The financial statement must 
be submitted within 10 business days of OPM's request for the statement. 
At OPM's option, a confess-judgment note or bond of indemnity with 
surety may be required for the installment agreement. Notwithstanding 
the provisions of this section, any reduction or compromise of a claim 
will be governed by 4 CFR part 103 and 31 U.S.C. 3711.



Sec. 179.307  Administrative offset.

    (a) If the debtor does not exercise the right to request a review 
within the time specified in Sec. 179.305 or, if as a result of the 
review, it is determined that the debt is due and no written agreement 
is executed, then administrative offset shall be ordered in accordance 
with these regulations without further notice.
    (b) Request for offset to a Federal agency: The Director or his or 
her designee may request that funds due and payable to a debtor by a 
Federal agency be administratively offset in order to collect a debt 
owned to OPM by that debtor. In requesting administrative offset OPM, as 
creditor, will certify in writing to the Federal agency holding funds of 
the debtor:
    (1) That the debtor owes the debt;
    (2) The amount and basis of the debt; and
    (3) That OPM has complied with the requirements of 31 U.S.C. 3716, 
its own administrative offset regulations, and the applicable provisions 
of 4 CFR part 102 with respect to providing the debtor with due process.
    (c) Request for offset from a Federal agency: When administrative 
offset is authorized, any Federal creditor agency may request OPM to 
make an administrative offset from any OPM funds that are due and 
payable to a creditor agency's debtor. OPM shall initiate the requested 
administrative offset only upon:
    (1) Receipt of written certification from the creditor agency:
    (i) That the debtor owes the debt;
    (ii) The amount and basis of the debt;
    (iii) That the agency has prescribed regulations for the exercise of 
administrative offset; and
    (iv) That the agency has complied with its own administrative offset 
regulations and with the applicable provisions of 4 CFR part 102, 
including providing any required hearing or review.
    (2) A determination by OPM that collection by offset against funds 
payable by OPM would not otherwise be contrary to law.

[[Page 41]]



Sec. 179.308  Accelerated procedures.

    OPM may make an administrative offset against a payment to be made 
to the debtor prior to the completion of the procedures required by 
Sec. Sec. 179.304 and 179.305 if failure to take the offset would 
substantially jeopardize OPM's ability to collect the debt, and the time 
before the payment is to be made does not reasonably permit the 
completion of those procedures. Such prior offset shall be promptly 
followed by the completion of those procedures. Amounts recovered by 
offset but later found not to be owed to OPM shall be promptly refunded.



Sec. 179.309  Additional administrative procedures.

    Nothing contained in this chapter is intended to preclude the use of 
any other administrative remedy which may be available.



PART 180--EMPLOYEES' PERSONAL PROPERTY CLAIMS--Table of Contents




Sec.
180.101 Scope and purpose.
180.102 Claimants.
180.103 Time limitations.
180.104 Allowable claims.
180.105 Claims not allowed.
180.106 Claims involving carriers and insurers.
180.107 Claims procedure.
180.108 Settlement of claims.

    Authority: Sec. 3, 78 Stat. 767, as amended; 31 U.S.C. 241.

    Source: 43 FR 47163, Oct. 13, 1978, unless otherwise noted.



Sec. 180.101  Scope and purpose.

    (a) The Military Personnel and Civilian Employees' Claims Act of 
1964, 31 U.S.C. 240 to 243, authorizes the Director, Office of Personnel 
Management to settle and pay (including replacement in kind) claims of 
officers and employees of OPM, amounting to not more than $15,000, for 
damage to or loss of personal property incident to their service. Claims 
are payable only for such types, quantities, or amounts of tangible 
personal property (including money) as the approving authority shall 
determine to be reasonable, useful, or proper under the circumstances 
existing at the time and place of the loss. In determining what is 
reasonable, useful, or proper, the approving authority will consider the 
type and quantity of property involved, circumstances attending 
acquistion and use of the property, and whether possession or use by the 
claimant at the time of damage or loss was incident to service.
    (b) The Government does not underwrite all personal property losses 
that a claimant may sustain and it does not underwrite individual 
tastes. While the Government does not attempt to limit possession of 
property by an individual, payment for damage or loss is made only to 
the extent that the possession of the property is determined to be 
reasonable, useful, or proper. If individuals possess excessive 
quantities of items, or expensive items, they should have such property 
privately insured.



Sec. 180.102  Claimants.

    (a) The following are proper claimants:
    (1) Officers and employees of OPM;
    (2) Former officers and employees of OPM whose claims arose out of 
incidents which occurred before their separation;
    (3) The authorized agent or legal representative of persons in 
Secs. 180.102(a)(1) and 180.102(a)(2);
    (4) Survivors of persons in Secs. 180.102(a)(1) and 180.102(a)(2) in 
the following order of precedence:
    (i) Spouse,
    (ii) Children,
    (iii) Father or mother, or both,
    (iv) Brothers or sisters, or both.
    (b) A claim may not be presented by or for the benefit of a 
subrogee, assignee, conditional vendor, or other third party.



Sec. 180.103  Time limitations.

    A claim must be presented in writing within 2 years after it 
accrues, except during war or armed conflict. If war or armed conflict 
occurs within the 2-year period following accrual, when claimant shows 
good cause, the claim may be presented within 2 years after the cause 
ceases to exist but not more than 2 years after termination of the war 
or armed conflict. A claim accrues when loss or damage is or should have 
been discovered by claimant even though

[[Page 42]]

such loss or damage occurred at a prior time.



Sec. 180.104  Allowable claims.

    (a) A claim may be allowed only if:
    (1) The damage or loss was not caused wholly or partly by the 
negligent or wrongful act of the claimant, claimant's agent, a member of 
claimant's family, or claimant's private employee (the standard to be 
applied is that of reasonable care under the circumstances);
    (2) The possession of the property damaged or lost and the quantity 
possessed is determined to have been reasonable, useful, or proper under 
the circumstances; and
    (3) The claim is substantiated by proper and convincing evidence.
    (b) Claims which are otherwise allowable under this part shall not 
be disallowed solely because the property was not in the possession of 
the claimant at the time of the damage or loss or solely because the 
claimant was not legal owner of the property for which the claim is 
made. For example, borrowed property may be the subject of a claim.
    (c) Subject to the conditions in Sec. 180.104(a) and the other 
provisions of this part, any claim for damage to or loss of personal 
property incident to service with OPM may be considered and allowed. The 
following are examples of the principal types of claims which may be 
allowed. These examples are not exclusive and other types of claims may 
be allowed unless excluded by Sec. 180.106:
    (1) Property damaged or lost in quarters. Claims may be allowed for 
damage to or loss of property located at:
    (i) Quarters within the 50 States and the District of Columbia that 
were assigned to the claimant or otherwise provided in kind by the 
United States;
    (ii) Quarters outside the 50 States and the District of Columbia 
that were occupied by the claimant, whether or not they were assigned or 
otherwise provided in kind by the United States, except when the 
claimant is a local inhabitant; or
    (iii) Any warehouse, office, working area, or other place (except 
quarters) authorized or apparently authorized for the reception or 
storage of property.
    (2) Transportation or travel losses. Claims may be allowed for 
damage to or loss of property incident to transportation or storage 
pursuant to orders, or in connection with travel under orders, including 
property in custody of a carrier, an agent or agency of the Government, 
or the claimant.
    (3) Motor vehicles. Claims may be allowed for automobiles and other 
motor vehicles damaged or lost in oversea shipments provided by the 
Government. ``Shipments provided by the Government'' means via 
Government vessels, charter of commercial vessels, or by Government 
bills of lading on commercial vessels, and includes storage, unloading, 
and off-loading incident thereto. Other claims for damage to or loss of 
automobiles and other motor vehicles may be allowed only when use of the 
vehicle on a non-reimbursable basis was required by the claimant's 
supervisor.
    (4) Mobile homes. Claims may be allowed for damage to or loss of 
mobile homes and their contents under the provisions of 
Sec. 180.104(c)(2). Claims for structural damage to mobile homes, other 
than that caused by collision, and damage to contents of mobile homes 
resulting from such structural damage must contain conclusive evidence 
that the damage was not caused by structural deficiency of the mobile 
home and that it was not overloaded. Claims for damage to or loss of 
tires mounted on mobile homes may be allowed only in cases of collision, 
theft, or vandalism.
    (5) Money. Claims for money in an amount that is determined to be 
reasonable for the claimant to possess at the time of the loss are 
payable:
    (i) Where personal funds were accepted by responsible Government 
personnel with apparent authority to receive them for safekeeping 
deposit, transmittal, or other authorized disposition, but were neither 
applied as directed by the owner nor returned;
    (ii) When lost incident to a marine or aircraft disaster;
    (iii) When lost by fire, flood, hurricane, or other natural 
disaster;
    (iv) When stolen from the quarters of the claimant where it is 
conclusively shown that the money was in a locked

[[Page 43]]

container and that the quarters themselves were locked;
    (v) When taken by force from the claimant's person.
    (6) Clothing. Claims may be allowed for clothing and accessories 
worn on the person which are damaged or lost:
    (i) During the performance of official duties in an unusual or 
extraordinary-risk situation;
    (ii) In cases involving emergency action required by natural 
disaster such as fire, flood, hurricane, or by enemy or other 
belligerent action;
    (iii) In cases involving faulty equipment or defective furniture 
maintained by the Government and used by the claimant as required by the 
job situation; or
    (iv) When using a motor vehicle.
    (7) Property used for benefit of the Government. Claims may be 
allowed for damage to or loss of property (except motor vehicles) used 
for the benefit of the Government at the request of, or with the 
knowledge and consent of, superior authority or by reason of necessity.
    (8) Enemy action or public service. Claims may be allowed for damage 
to or loss of property as a direct consequence of:
    (i) Enemy action or threat thereof, or combat, guerilla, brigandage, 
or other belligerent activity, or unjust confiscation by a foreign power 
or its nationals;
    (ii) Action by the claimant to quiet a civil disturbance or to 
alleviate a public disaster; or
    (iii) Efforts by the claimant to save human life or Government 
property.
    (9) Marine or aircraft disaster. Claims may be allowed for personal 
property damaged or lost as a result of marine or aircraft disaster or 
accident.
    (10) Government property. Claims may be allowed for property owned 
by the United States only when the claimant is financially responsible 
to an agency of the Government other than OPM.
    (11) Borrowed property. Claims may be allowed for borrowed property 
that has been damaged or lost.



Sec. 180.105  Claims not allowed.

    (a) A claim is not allowable if:
    (1) The damage or loss was caused wholly or partly by the negligent 
or wrongful act of the claimant, claimant's agent, claimant's employee, 
or a member of claimant's family;
    (2) The damage or loss occurred in quarters occupied by the claimant 
within the 50 States and the District of Columbia that were not assigned 
to the claimant or otherwise provided in kind by the United States;
    (3) Possession of the property lost or damaged was not incident to 
service or not reasonable or proper under the circumstances.
    (b) In addition to claims falling within the categories of 
Sec. 180.105(a), the following are examples of claims which are not 
payable:
    (1) Claims not incident to service. Claims which arose during the 
conduct of personal business are not payable.
    (2) Subrogation claims. Claims based upon payment or other 
consideration to a proper claimant are not payable.
    (3) Assigned claims. Claims based upon assignment of a claim by a 
proper claimant are not payable.
    (4) Conditional vendor claims. Claims asserted by or on behalf of a 
conditional vendor are not payable.
    (5) Claims by improper claimants. Claims by persons not designated 
in Sec. 180.102(a) are not payable.
    (6) Small items of substantial value. Claims are not payable for 
money or for small articles of substantial value, such as watches or 
expensive jewelry, when shipped with household goods or as unaccompanied 
baggage.
    (7) Articles of extraordinary value. Claims are not payable for 
expensive articles of gold, silver, other precious metals, paintings, 
antiques other than bulky furnishings, relics, and other articles of 
extraordinary value when shipped with household goods by ordinary means 
or as unaccompanied baggage at normal released valuation. Claims for 
such articles are payable when their loss is incident to shipment by 
expedited mode in accordance with current joint travel regulations. This 
prohibition does not apply to articles in the personal custody of the 
claimant or articles properly checked, provided that reasonable 
protection or security measures have been taken by the claimant.

[[Page 44]]

    (8) Articles acquired for other persons. Claims are not payable for 
articles intended directly or indirectly for persons other than the 
claimant or members of the claimant's immediate household. This 
prohibition includes articles acquired at the request of others and 
articles for sale.
    (9) Property used for business. Claims are not payable for property 
normally used for business or profit.
    (10) Unserviceable property. Claims are not payable for wornout or 
unserviceable property.
    (11) Violation of law or directive. Claims are not payable for 
property acquired, possessed, or transported in violation of law, 
regulation, or other directive. This does not apply to limitations 
imposed on the weight of shipments of household goods.
    (12) Intangible property. Claims are not payable for intangible 
property such as bank books, checks, promissory notes, stock 
certificates, bonds, bills of lading, warehouse receipts, baggage 
checks, insurance policies, money order, and traveler's checks.
    (13) Government property. Claims are not payable for property owned 
by the United States unless the claimant is financially responsible for 
the property to an agency of the Government other than OPM.
    (14) Motor vehicles. Claims for motor vehicles, except as provided 
for by Sec. 180.104(c)(3), will ordinarily not be paid. However, in 
exceptional cases, meritorius claims for damage to or loss of motor 
vehicles may be recommended to the Office of the General Counsel for 
consideration and approval for payment.
    (15) Enemy property. Claims are not payable for enemy property, 
including war trophies.
    (16) Losses recoverable from carrier. Claims are not payable for 
losses, or any portion thereof, which have been recovered or are 
recoverable from a carrier, except as permitted under Sec. 180.106.
    (17) Losses recoverable from insurer. Claims are not payable for 
losses, or any portion thereof, which have been recovered or are 
recoverable from an insurer, except as permitted under Sec. 180.106.
    (18) Losses recoverable from contractor. Claims are not payable for 
losses, or any portion thereof, which have been recovered or are 
recoverable under contract, except as permitted under Sec. 180.106.
    (19) Fees for estimates. Claims are not normally payable for fees 
paid to obtain estimates of repair in conjuction with submitting a claim 
under this part. However, where, in the opinion of the approving 
authority, the claimant could not obtain an estimate without paying a 
fee, such a claim may be considered in an amount reasonable in relation 
to the value or the cost of repairs of the articles involved, provided 
that the evidence furnished clearly indicates that the amount of the fee 
paid will not be deducted from the cost of repairs if the work is 
accomplished by the estimator.
    (20) Items fraudulently claimed. Claims are not payable for items 
fraudulently claimed. When investigation discloses that a claimant, 
claimant's agent, claimant's employee, or member of claimant's family 
has intentionally misrepresented an item claimed as to cost, condition, 
cost to repair, etc., the item will be disallowed in its entirety even 
though some actual damage has been sustained. However, if the remainder 
of the claim is proper it will be paid. This does not preclude 
appropriate disciplinary action if warranted.



Sec. 180.106  Claims involving carriers and insurers.

    (a) Claimants must comply with the following before presenting 
claims involving a carrier or insurer:
    (1) Whenever property is damaged or lost while being shipped 
pursuant to authorized travel orders, the owner must file a written 
claim for reimbursement with the carrier according to the terms of its 
bill of lading or contract before submitting a claim against the 
Government. The claimant may present a claim to the Government 
immediately after making demand on the carrier.
    (2) Whenever property which is damaged or lost incident to the 
claimant's service is insured in whole or in part,

[[Page 45]]

the claimant must make a written demand against the insurer for 
reimbursement under the terms and conditions of the insurance coverage. 
Such demand should be made within the time limit provided in the policy 
and prior to the filing of a claim against the Government. The claimant 
may present a claim to the Government immediately after making demand on 
the insurer.
    (b) If the claimant fails to make the required demand on the carrier 
or insurer or make reasonable efforts to collect the amount recoverable, 
the amount payable under the provisions of these regulations shall be 
reduced by the maximum amount recoverable. However, no deduction will be 
made if the circumstances of the claimant's service were such as to 
preclude timely filing of the claim with the carrier or insurer and it 
is determined that a demand would have been impracticable or unavailing 
in any event.
    (c) When a claim is paid by OPM, the claimant will assign to the 
United States, to the extent of any payment on the claim accepted by 
claimant, all rights, title, and interest in any claim against any 
carrier, insurer, or other party arising out of the incident on which 
the claim against the United States is based. On request, the claimant 
also will furnish such evidence as may be required to enable the United 
States to enforce the claim.
    (d) After payment of a claim by the United States, if the claimant 
receives any payment from a carrier, contractor, insurer, or other third 
party, the claimant will pay the proceeds to the United States to the 
extent of the payment received by the claimant from the United States.



Sec. 180.107  Claims procedure.

    (a) Filing a claim. Claims not exceeding $500 shall be filed with 
the appropriate bureau or regional director. Claims in excess of $500 
shall be filed with the Office of the General Counsel, Office of 
Personnel Management, 1900 E Street NW., Washington, DC 20415. Claims 
shall be in writing, using G.C. Form 33 when available, and shall 
contain as a minimum:
    (1) Name, address, and place of employment of the claimant;
    (2) Place and date of the damage or loss;
    (3) A brief statement of the facts and circumstances surrounding the 
damage or loss;
    (4) Cost, date, and place of acquisition of each piece of property 
damaged or lost;
    (5) Two itemized repair estimates, or value estimates, whichever is 
applicable;
    (6) Copies of police reports, if applicable;
    (7) A statement from the claimant's supervisor that the loss was 
incident to service;
    (8) A statement that the property was or was not insured;
    (9) With respect to claims involving thefts or losses in quarters or 
other places where the property was reasonably kept, a statement as to 
what security precautions were taken to protect the property involved;
    (10) With respect to claims involving property being used for the 
benefit of the Government, a statement by the claimant's supervisor that 
the claimant was required to provide such property or that the 
claimant's providing it was in the interest of the Government; and
    (11) Other evidence as may be required.
    (b) Single claim. A single claim shall be presented for all lost or 
damaged property resulting from the same incident. If this procedure 
causes a hardship, the claimant may present an initial claim with notice 
that it is a partial claim, an explanation of the circumstances causing 
the hardship, and an estimate of the balance of the claim and the date 
it will be submitted. Payment may be made on a partial claim if the 
approving authority determines that a genuine hardship exists.
    (c) Claims investigator. When a claim is filed, the appropriate 
associate or regional director, or the General Counsel, shall appoint a 
claims investigator to evaluate the claim and make a recommendation as 
to its disposition. Where the cost to repair damaged property does not 
exceed $100 per item and the claims investigator has inspected the 
damaged property, the claimant and the approving authority may agree 
upon a reasonable amount to be

[[Page 46]]

claimed for repair of an individual item in lieu of an independent 
estimate by a qualified repairman. In such a case, the claims 
investigator and the approving authority will certify that the property 
has been examined and that the amount claimed is a reasonable allowance 
for the cost of the repairs.
    (d) Loss in quarters. Claims for property loss in quarters or other 
authorized places should be accompanied by a statement indicating:
    (1) Geographical location;
    (2) Whether the quarters were assigned or provided in kind by the 
Government;
    (3) Whether the quarters are regularly occupied by the claimant;
    (4) Name of the authority, if any, who designated the place of 
storage of the property if other than quarters;
    (5) Measures taken to protect the property; and
    (6) Whether the claimant is a local inhabitant.
    (e) Loss by theft or robbery. Claims for property loss by theft or 
robbery should be accompanied by a statement indicating:
    (1) Geographical location;
    (2) Facts and circumstances surrounding the loss, including evidence 
of the crime such as breaking and entering, capture of the thief or 
robber, or recovery of part of the stolen goods; and
    (3) Evidence that the claimant exercised due care in protecting the 
property prior to the loss, including information as to the degree of 
care normally exercised in the locale of the loss due to any unusual 
risks involved.
    (f) Transportation losses. Claims for transportation losses should 
be accompanied by the following:
    (1) Copies of orders authorizing the travel, transportation, or 
shipment or a certificate explaining the absence of orders and stating 
their substance;
    (2) Statement in cases where property was turned over to a shipping 
officer, supply officer, or contract packer indicating:
    (i) Name (or designation) and address of the shipping officer, 
supply officer, or contract packer;
    (ii) Date the property was turned over;
    (iii) Inventoried condition when the property was turned over;
    (iv) When and where the property was packed and by whom;
    (v) Date of shipment;
    (vi) Copies of all bills of lading, inventories, and other 
applicable shipping documents;
    (vii) Date and place of delivery to the claimant;
    (viii) Date the property was unpacked by the carrier, claimant, or 
Government;
    (ix) Statements of disinterested witnesses as to the condition of 
the property when received and delivered, or as to handling or storage;
    (x) Whether the negligence of any Government employee acting within 
the scope of his employment caused the damage or loss;
    (xi) Whether the last common carrier or local carrier was given a 
clear receipt, except for concealed damages;
    (xii) Total gross, tare, and net weight of shipment;
    (xiii) Insurance certificate or policy if losses are privately 
insured;
    (xiv) Copy of the demand on carrier or insured, or both, when 
required, and the reply, if any;
    (xv) Action taken by the claimant to locate missing baggage or 
household effects, including related correspondence.
    (g) Marine or aircraft disaster. Claims for property losses due to 
marine or aircraft disaster should be accompanied by a copy of orders or 
other evidence to establish the claimant's right to be, or to have 
property, on board.
    (h) Enemy action, public disaster, or public service. Claims for 
property losses due to enemy action, public disaster, or public service 
should be accompanied by:
    (1) Copies of orders or other evidence establishing the claimant's 
required presence in the area involved, and
    (2) A detailed statement of facts and circumstances showing an 
applicable case enumerated in Sec. 180.104(c)(8).
    (i) Property used for benefit of Government. Claims for property 
loss when the property was used for the benefit of the Government should 
be accompanied by:
    (1) A statement from the proper authority that the property was 
supplied by the claimant in the performance of

[[Page 47]]

official business at the request of, or with the knowledge and consent 
of, superior authority or by reason of necessity; and
    (2) If the property being used for the benefit of the Government was 
damaged or lost while not in use, evidence that the loss occurred in an 
authorized storage area.
    (j) Money. Claims for loss of money deposited for safekeeping, 
transmittal, or other authorized disposition, should be accompanied by:
    (1) Name, grade, and address of the person or persons who received 
the money and any others involved;
    (2) Name and designation of the authority who authorized such person 
or persons to accept personal funds, and the disposition required; and
    (3) Receipts and written sworn statements explaining the failure to 
account for funds or return them to the claimant.
    (k) Motor vehicles in transit. Claims for damage to motor vehicles 
in transit should be accompanied by a copy of orders or other available 
evidence to establish the claimant's lawful right to have the property 
shipped and evidence to establish damage in transit.

[43 FR 47163, Oct. 13, 1978, as amended at 44 FR 76747, Dec. 28, 1979]



Sec. 180.108  Settlement of claims.

    (a) Authority. Associate Directors and Regional Directors are 
authorized to settle and pay any claim not exceeding $500 and arising 
under this part. The General Counsel is authorized to settle and pay any 
claim not exceeding $15,000 and arising under this part. Unless 
cognizable under Sec. 180.104(c)(3), claims for damage to or loss of 
motor vehicles may be settled and paid only by the General Counsel.
    (b) Redelegation. The approving authorities may establish such 
procedures and make such redelegations as may be required to fulfill the 
objectives of this part.
    (c) Cost or value. The amount awarded on any item of property will 
not exceed the cost of the item (either the price paid in cash or 
property) or the value at the time of acquisition if not acquired by 
purchase or exchange. The amount payable will be determined by applying 
the principles of depreciation to the adjusted dollar value or other 
base price of property lost or damaged beyond economical repair; by 
allowing the cost of repairs when an item is economically repairable, 
provided the cost of repairs does not exceed the depreciated value of 
the item; and by deducting salvage value, if appropriate.
    (d) Depreciation. Depreciation in value of an item is determined by 
considering the type of article involved, its cost, condition when 
damaged beyond economical repair or lost, and the time elapsed between 
the date of acquisition and the date of damage or loss.
    (e) Appreciation. There will be no allowance for appreciation in the 
value of the property except that the cost of the item may be adjusted 
to reflect changes in the purchasing power of the dollar before 
depreciation is computed. Appreciation will not be allowed solely 
because the loss occurred or the claimant now resides in an area remote 
from the place of purchase of the property.
    (f) Expensive articles. Allowance for expensive items (including 
heirlooms and antiques) or for items purchased at unreasonably high 
prices will be based on the fair and reasonable purchase price for 
substitute articles of a similar nature.
    (g) Acquisition. Allowance for articles acquired by barter will not 
exceed the cost of the articles tendered in barter. No reimbursement 
will be made for articles acquired in black market or other prohibited 
activities.
    (h) Replacement. Replacement of damaged or lost property may be made 
in kind whenever appropriate.
    (i) Amount allowable. Subject to the limitations of Secs. 180.108(c) 
through 180.108(h), the amount allowable in settlement of a claim is 
either:
    (1) The depreciated value immediately prior to damage or loss of 
property damaged beyond economical repair or lost, less any salvage 
value; or
    (2) The reasonable cost of repairs when property is economically 
repairable, provided that the cost of repairs does not exceed the 
depreciated value.
    (j) Notification. The approving authority shall notify the claimant 
in writing of the action taken on the claim and, if the claim is 
disapproved or only partially approved, the reasons therefor.

[[Page 48]]

    (k) Carrier or insurer. In the event a claim submitted against a 
carrier or insurer under Sec. 180.106 had not been settled before 
settlement of a claim against the Government under this part, the 
approving authority shall notify such carrier or insurer to pay the 
proceeds of the claim to OPM to the extent OPM has made payment to the 
claimant.
    (l) Review. The action of the approving authority is final; however, 
the decision may be reconsidered if the claimant so requests and submits 
a written explanation why reconsideration is appropriate.
    (m) Attorney's fees. No more than 10 per centum of the amount paid 
in settlement of each individual claim submitted and settled under this 
subpart shall be paid or delivered to or received by any agent or 
attorney on account of services rendered in connection with that claim 
and the same shall be unlawful, any contract to the contrary 
notwithstanding. Any person violating this or any other provision of 
sections 240 to 243 of title 31, United States Code, shall be deemed 
guilty of a misdemeanor and upon conviction thereof shall be fined in 
any sum not exceeding $1000.

[43 FR 47163, Oct. 13, 1978, as amended at 44 FR 76747, Dec. 28, 1979]



PART 185--PROGRAM FRAUD CIVIL REMEDIES--Table of Contents




Sec.
185.101 Purpose.
185.102 Definitions.
185.103 Basis for civil penalties and assessments.
185.104 Investigation.
185.105 Review by the reviewing official.
185.106 Prerequisites for issuing a complaint.
185.107 Complaint.
185.108 Service of complaint.
185.109 Answer.
185.110 Default upon failure to file an answer.
185.111 Referral of complaint and answer to the ALJ.
185.112 Notice of hearing.
185.113 Location of hearing.
185.114 Parties to the hearing.
185.115 Separation of functions.
185.116 Ex parte contacts.
185.117 Disqualification of reviewing official or ALJ.
185.118 Rights of parties.
185.119 Authority of the ALJ.
185.120 Prehearing conferences.
185.121 Disclosure of documents.
185.122 Discovery.
185.123 Exchange of witness lists, statements and exhibits.
185.124 Subpoenas for attendance at hearing.
185.125 Protective order.
185.126 Evidence.
185.127 Fees.
185.128 Form, filing and service of papers.
185.129 Computation of time.
185.130 Motions.
185.131 Sanctions.
185.132 The hearing and burden of proof.
185.133 Determining the amount of penalties and assessments.
185.134 Witnesses.
185.135 The record.
185.136 Post-hearing briefs.
185.137 Initial decision.
185.138 Reconsideration of initial decision.
185.139 Appeal to authority head.
185.140 Stays ordered by the Department of Justice.
185.141 Stay pending appeal.
185.142 Judicial review.
185.143 Collection of civil penalties and assessments.
185.144 Right to administrative offset.
185.145 Deposit in Treasury of the United States.
185.146 Compromise or settlement.
185.147 Limitations.

    Authority: 31 U.S.C. 3801-3812.

    Source: 60 FR 7891, Feb. 10, 1995, unless otherwise noted.



Sec. 185.101  Purpose.

    This subpart implements the Program Fraud Civil Remedies Act of 
1986, Public Law 99-509, 6101-6104, 100 Stat. 1874 (October 21, 1986), 
codified at 31 U.S.C. 3801-3812. Section 3809 requires each authority 
head to promulgate regulations necessary to implement the provisions of 
the statute. The subpart establishes administrative procedures for 
imposing civil penalties and assessments against persons who make, 
submit, or present, or cause to be made, submitted, or presented, false, 
fictitious, or fraudulent claims or written statements to authorities or 
to their agents, and specifies the hearing and appeal rights of persons 
subject to allegations of liability for such penalties and assessments. 
The moneys collected as a result of these procedures are deposited as 
miscellaneous receipts in the Treasury of the United States.

[[Page 49]]



Sec. 185.102  Definitions.

    For the purposes of this part--
    ALJ means an Administrative Law Judge in the authority appointed 
pursuant to 5 U.S.C. 3105 or detailed to the authority pursuant to 5 
U.S.C. 3344.
    Authority means the Office of Personnel Management (OPM).
    Authority head means the Director of the Office of Personnel 
Management or the Director's designee.
    Benefit is very broad, and is intended to cover anything of value, 
including but not limited to any advantage, preference, privilege, 
license, permit, favorable decision, ruling, status or loan guarantee.
    Claim means any request, demand, or submission--
    (a) Made to the authority for property, services, or money 
(including money representing benefits, grants, loans or insurance);
    (b) Made to a recipient of property, services, or money from the 
authority or to a party to a contract with the authority:
    (1) For property or services if the United States--
    (i) Provided such property or services;
    (ii) Provided any portion of the funds for the purchase of such 
property or services; or
    (iii) Will reimburse such recipient or party for the purchase of 
such property or services; or
    (2) For the payment of money (including money representing grants, 
loans, insurance, or benefits) if the United States:
    (i) Provided any portion of the money requested or demanded; or
    (ii) Will reimburse such recipient or party for any portion of the 
money paid on such request or demand; or
    (c) Made to the authority which has the effect of decreasing an 
obligation to pay or account for property, services, or money.
    Complaint means the administrative complaint served by the reviewing 
official on the defendant under Sec. 185.107.
    Defendant means any person alleged in a complaint under Sec. 185.107 
to be liable for a civil penalty or assessment under Sec. 185.103.
    Government means the United States Government.
    Individual means a natural person.
    Initial decision means the written decision of the ALJ required by 
Sec. 185.110 or Sec. 185.137, and includes a revised initial decision 
issued following a remand or a motion for reconsideration.
    Investigating Official means the Inspector General or the Inspector 
General's designee.
    Knows or has reason to know means that a person, with respect to a 
claim or statement:
    (a) Has actual knowledge that the claim or statement is false, 
fictitious, or fraudulent;
    (b) Acts in deliberate ignorance of the truth or falsity of the 
claim or statement; or
    (c) Acts in reckless disregard of the truth or falsity of the claim 
or statement.
    Makes shall include the terms presents, submits, and causes to be 
made, presented, or submitted. As the context requires, making or made, 
shall likewise include the corresponding forms of such terms.
    Person means any individual, partnership, corporation, association, 
or private organization, and includes the plural of that term.
    Representative means an attorney who is in good standing of the bar 
of any State, Territory, or possession of the United States or of the 
District of Columbia or the Commonwealth of Puerto Rico or other 
individual designated in writing by the defendant.
    Reviewing Official means the General Counsel of OPM or the General 
Counsel's designee. For the purposes of Sec. 185.105 of these rules, the 
General Counsel personally, or members of the General Counsel's 
immediate staff, shall perform the functions of the reviewing official 
provided that such person or persons serve in a position for which the 
rate of basic pay is not less than the minimum rate payable under 
section 5376 of title 5 of the United States Code. All other functions 
of the reviewing official, including administrative prosecution under 
these rules, shall be performed on behalf of the General Counsel by 
members of the Office of the General Counsel.
    Statement means any representation, certification, affirmation, 
document,

[[Page 50]]

record, or accounting or bookkeeping entry made:
    (a) With respect to a claim or to obtain the approval or payment of 
a claim (including relating to eligibility to make a claim); or
    (b) With respect to (including relating to eligibility for):
    (1) A contract with, or a bid or proposal for a contract with; or
    (2) A grant, loan, or benefit from, the authority, or any State, 
political subdivision of a State, or other party, if the United States 
Government provides any portion of the money or property under such 
contract or for such grant, loan, or benefit, or if the Government will 
reimburse such State, political subdivision, or party for any portion of 
the money or property under such contract or for such grant, loan, or 
benefit.



Sec. 185.103  Basis for civil penalties and assessments.

    (a) In addition to any other remedy that may be prescribed by law, 
any person shall be subject to a civil penalty of not more than $5,000, 
where the person makes a claim and knows or has reason to know that the 
claim:
    (1) In false, fictitious, or fraudulent;
    (2) Includes, or is supported by, any written statement which 
asserts a material fact which is false, fictitious, or fraudulent;
    (3) Includes, or is supported by, any written statement that:
    (i) Omits a material fact;
    (ii) Is false, fictitious, or fraudulent as a result of such 
omission; and
    (iii) Is a statement in which the person making such statement has a 
duty to include such material fact; or
    (4) Is for payment for the provision of property or services which 
the person has not provided as claimed.
    (b) Each voucher, invoice, claim form, or other individual request 
or demand for property, services, or money constitutes a separate claim.
    (c) A claim shall be considered made to the authority, recipient, or 
party when such claim is actually made to an agent, fiscal intermediary, 
or other entity, including any State or political subdivision thereof, 
acting for or on behalf of the authority, recipient, or party.
    (d) Each claim for property, services, or money is subject to a 
civil penalty regardless of whether such property, services, or money is 
actually delivered or paid.
    (e) If the Government has made any payment (including transferred 
property or provided services) on a claim, a person subject to a civil 
penalty under paragraph (a)(1) of this section may also be subject to an 
assessment of not more than twice the amount of such claim or that 
portion thereof that is determined to be in violation of paragraph 
(a)(1) of this section. Such assessment shall be in lieu of damages 
sustained by the Government because of such claim.
    (f) Any person who makes a written statement that:
    (1) The person knows or has reason to know:
    (i) Asserts a material fact which is false, fictitious, or 
fraudulent; or
    (ii) Is false, fictitious, or fraudulent because it omits a material 
fact that the person making the statement has a duty to include in such 
statement; and
    (2) Contains, or is accompanied by, an express certification or 
affirmation of the truthfulness and accuracy of the contents of the 
statement may be subject, in addition to any other remedy that may be 
prescribed by law, to a civil penalty of not more than $5,000 for each 
such statement.
    (g) Each written representation, certification, or affirmation 
constitutes a separate statement.
    (h) A statement shall be considered made to the authority when such 
statement is actually made to an agent, fiscal intermediary, or other 
entity, including any State or political subdivision thereof, acting for 
or on behalf of the authority.
    (i) No proof of specific intent to defraud is required to establish 
liability under this section.
    (j) In any case in which it is determined that more than one person 
is liable for making a claim or statement under this section, each such 
person may be held liable for a civil penalty under this section.
    (k) In any case in which it is determined that more than one person 
is liable for making a claim under this section on which the Government 
has

[[Page 51]]

made payment (including transferred property or provided services), an 
assessment may be imposed against any such person or jointly and 
severally against any combination of such persons.



Sec. 185.104  Investigation.

    (a) If an investigating official concludes that a subpoena pursuant 
to the authority conferred by 31 U.S.C. 3804(a) is warranted, he or she 
may issue a subpoena.
    (1) The subpoena so issued shall notify the person to whom it is 
addressed of the authority under which the subpoena is issued and shall 
identify the records or documents sought;
    (2) The investigating official may designate a person to act on his 
or her behalf to receive the documents sought; and
    (3) The person receiving such subpoena shall be required to tender 
to the investigating official, or the person designated to receive the 
documents, a certification that
    (i) The documents sought have been produced;
    (ii) Such documents are not available and the reasons therefor; or
    (iii) Such documents, suitably identified, have been withheld based 
upon the assertion of an identified privilege.
    (b) If the investigating official concludes that an action under the 
Program Fraud Civil Remedies Act may be warranted, the investigating 
official shall submit a report containing the findings and conclusions 
of such investigation to the reviewing official.
    (c) Nothing in this section shall preclude or limit an investigating 
official's discretion to refer allegations directly to the Department of 
Justice for suit under the False Claims Act or other civil relief, or to 
defer or postpone a report or referral to the reviewing official to 
avoid interference with a criminal investigation or prosecution.
    (d) Nothing in this section modifies any responsibility of an 
investigating official to report violations of criminal law to the 
Attorney General.



Sec. 185.105  Review by the reviewing official.

    If, based on the report of the investigating official under 
Sec. 185.104(b), the reviewing official determines that there is 
adequate evidence to believe that a person is liable under Sec. 185.103, 
the reviewing official shall transmit to the Attorney General a written 
notice of the reviewing official's intention to have a complaint issued 
under Sec. 185.107. Such notice shall include:
    (a) A statement of the reviewing official's reasons for issuing a 
complaint;
    (b) A statement specifying the evidence that supports the 
allegations of liability;
    (c) A description of the claims or statements upon which the 
allegations of liability are based;
    (d) An estimate of the amount of money, or the value of property, 
services, or other benefits, requested or demanded in violation of 
Sec. 185.103;
    (e) A statement of any exculpatory or mitigating circumstances that 
may relate to the claims or statements known by the reviewing official 
or the investigating official; and
    (f) A statement that there is a reasonable prospect of collecting an 
appropriate amount of penalties and assessments.



Sec. 185.106  Prerequisites for issuing a complaint.

    (a) The reviewing official may issue a complaint under Sec. 185.107 
only if:
    (1) The Department of Justice approves the issuance of a complaint 
in a written statement described in section 3803(b)(1) of title 31 of 
the United States Code, and
    (2) In the case of allegations of liability under Sec. 185.103(a) 
with respect to a claim, the reviewing official determines that, with 
respect to such claim or a group of related claims submitted at the same 
time such claim is submitted (as defined in paragraph (b) of this 
section), the amount of money, or the value of property or services, 
demanded or requested in violation of Sec. 185.103(a) does not exceed 
$150,000.
    (b) For the purposes of this section, a related group of claims 
submitted at the same time shall include only those claims arising from 
the same transaction (e.g., grant, loan, application, or contract) that 
are submitted simultaneously as part of a single request, demand, or 
submission.

[[Page 52]]

    (c) Nothing in this section shall be construed to limit the 
reviewing official's authority to join in a single complaint against a 
person, claims that are unrelated or were not submitted simultaneously, 
regardless of the amount of money, or the value of property or services, 
demanded or requested.



Sec. 185.107  Complaint.

    (a) On or after the date the Department of Justice approves the 
issuance of a complaint in accordance with section 3803(b)(1) of title 
31 of the United States Code, the reviewing official may serve a 
complaint on the defendant, as provided in Sec. 185.108.
    (b) The complaint shall state the following:
    (1) The allegations of liability against the defendant, including 
the statutory basis for liability, an identification of the claims or 
statements that are the basis for the alleged liability, and the reasons 
why liability allegedly arises from such claims or statements;
    (2) The maximum amount of penalties and assessments for which the 
defendant may be held liable;
    (3) Instructions for filing an answer, including a specific 
statement of the defendant's right to request a hearing and to be 
represented by a representative; and
    (4) The fact that failure to file an answer within 30 days of 
service of the complaint will result in the imposition of the maximum 
amount of penalties and assessments without right to appeal, as provided 
in Sec. 185.110.
    (c) At the same time the reviewing official serves the complaint, he 
or she shall serve the defendant with a copy of these regulations.



Sec. 185.108  Service of complaint.

    (a) Service of a complaint must be made by certified or registered 
mail or by delivery in any manner authorized by Rule 4 of the Federal 
Rules of Civil Procedure. Service is complete upon receipt.
    (b) Proof of service, stating the name and address of the person on 
whom the complaint was served, and the manner and date of service, may 
be made by:
    (1) Affidavit of the individual serving the complaint by delivery;
    (2) A United States Postal Service return receipt card acknowledging 
receipt; or
    (3) Written acknowledgment of receipt by the defendant or his or her 
representative.



Sec. 185.109  Answer.

    (a) The defendant may request a hearing in the answer filed with the 
reviewing official within 30 days of service of the complaint.
    (b) In the answer, the defendant:
    (1) Shall admit or deny each of the allegations of liability made in 
the complaint;
    (2) Shall state any defense on which the defendant intends to rely;
    (3) May state any reasons why the defendant contends that the 
penalties and assessments should be less than the statutory maximum; and
    (4) Shall state the name, address, and telephone number of the 
person authorized by the defendant to act as defendant's representative, 
if any.
    (c) If the defendant is unable to file an answer meeting the 
requirements of paragraph (b) of this section within the time provided, 
the defendant may, before the expiration of 30 days from service of the 
complaint, file with the reviewing official a general answer denying 
liability and requesting a hearing, and a request for an extension of 
time within which to file an answer meeting the requirements of 
paragraph (b) of this section. The reviewing official shall file 
promptly with the ALJ the complaint, the general answer denying 
liability, and the request for an extension of time as provided in 
Sec. 185.110. For good cause shown, the ALJ may grant the defendant up 
to 30 additional days within which to file an answer meeting the 
requirements of paragraph (b) of this section. The ALJ shall decide 
expeditiously whether the dependent shall be granted an additional 
period of time to file such answer.



Sec. 185.110  Default upon failure to file an answer.

    (a) If the defendant does not file an answer within the time 
prescribed in Sec. 185.109(a), the reviewing official may refer the 
complaint to the ALJ.

[[Page 53]]

    (b) Upon the referral of the complaint, the ALJ shall promptly serve 
on the defendant in the manner prescribed in Sec. 185.108, a notice that 
an initial decision will be issued under this section.
    (c) The ALJ shall assume the facts alleged in the complaint to be 
true and, if such facts establish liability under Sec. 185.103, the ALJ 
shall issue an initial decision imposing the maximum amount of penalties 
and assessments allowed under the statute.
    (d) Except as otherwise provided in this section, by failing to file 
a timely answer the defendant waives any right to further review of the 
penalties and assessments imposed under paragraph (c) of this section 
and the initial decision shall become final and binding upon the parties 
30 days after it is issued.
    (e) If, before such an initial decision becomes final, the defendant 
files a motion with the ALJ seeking to reopen on the grounds that 
extraordinary circumstances prevented the defendant from filing an 
answer, the initial decision shall be stayed pending the ALJ's decision 
on the motion.
    (f) If, on such motion, the defendant can demonstrate extraordinary 
circumstances excusing the failure to file a timely answer, the ALJ 
shall withdraw the initial decision in paragraph (c) of this section, if 
such a decision has been issued, and shall grant the defendant an 
opportunity to answer the complaint.
    (g) A decision of the ALJ denying a defendant's motion under 
paragraph (e) of this section is not subject to reconsideration under 
Sec. 185.138.
    (h) The defendant may appeal to the authority head the decision 
denying a motion to reopen by filing a notice of appeal with the 
authority head within 15 days after the ALJ denies the motion. The 
timely filing of a notice of appeal shall stay the initial decision 
until the authority head decides the issue.
    (i) If the defendant files a timely notice of appeal with the 
authority head, the ALJ shall forward the record of the proceeding to 
the authority head.
    (j) The authority head shall decide expeditiously whether 
extraordinary circumstances excuse the defendant's failure to file a 
timely answer based solely on the record before the ALJ.
    (k) If the authority head decides that extraordinary circumstances 
excused the defendant's failure to file a timely answer, the authority 
head shall remand the case to the ALJ with instructions to grant the 
defendant an opportunity to answer.
    (l) If the authority head decides that the defendant's failure to 
file a timely answer is not excused, the authority head shall reinstate 
the initial decision of the ALJ, which shall become final and binding 
upon the parties 30 days after the authority head issues such decision.



Sec. 185.111  Referral of complaint and answer to the ALJ.

    Upon receipt of an answer, the reviewing official shall file the 
complaint and answer with the ALJ.



Sec. 185.112  Notice of hearing.

    (a) When the ALJ receives the complaint and answer, the ALJ shall 
promptly serve a notice of hearing upon the defendant in the manner 
prescribed by Sec. 185.108. At the same time, the ALJ shall send a copy 
of such notice to the reviewing official or his or her designee.
    (b) Such notice shall include:
    (1) The tentative time and place, and the nature of the hearing;
    (2) The legal authority and jurisdiction under which the hearing is 
to be held;
    (3) The matters of fact and law to be asserted;
    (4) A description of the procedures for the conduct of the hearing;
    (5) The name, address, and telephone number of the representative of 
the Government and of the defendant, if any; and
    (6) Such other matters as the ALJ deems appropriate.



Sec. 185.113  Location of hearing.

    (a) The hearing may be held:
    (1) In any judicial district of the United States in which the 
defendant resides or transacts business;
    (2) In any judicial district of the United States in which the claim 
or statement in issue was made; or

[[Page 54]]

    (3) In such other place as may be agreed upon by the parties and the 
ALJ.
    (b) Each party shall have the opportunity to present argument with 
respect to the location of the hearing.
    (c) The hearing shall be held at the place and at the time ordered 
by the ALJ.



Sec. 185.114  Parties to the hearing.

    (a) The parties to the hearing shall be the defendant and OPM.
    (b) Except where the authority head designates another, OPM shall be 
represented by the members of the Office of the General Counsel.
    (c) Pursuant to section 3730(c)(5) of title 31, United States Code, 
a private plaintiff under the False Claims Act may participate in these 
proceedings to the extent authorized by the provisions of that Act.



Sec. 185.115  Separation of functions.

    (a) The investigating official, the reviewing official, and any 
employee or agent of the authority who takes part in investigating, 
preparing, or presenting a particular case may not, in such case or a 
factually related case:
    (1) Participate in the hearing as the ALJ;
    (2) Participate or advise in the initial decision or the review of 
the initial decision by the authority head, except as a witness or a 
representative in public proceedings; or
    (3) Make the collection of penalties and assessments under section 
3806 of title 31, United States Code.
    (b) The ALJ shall not be responsible to or subject to the 
supervision or direction of the investigating official or the reviewing 
official.



Sec. 185.116  Ex parte contacts.

    No party or person (except employees of the ALJ's office) shall 
communicate in any way with the ALJ on any matter at issue in a case, 
unless on notice and opportunity for all parties to participate. This 
provision does not prohibit a person or party from inquiring about the 
status of a case or asking routine questions concerning administrative 
functions or procedures.



Sec. 185.117  Disqualification of reviewing official or ALJ.

    (a) A reviewing official or ALJ in a particular case may disqualify 
himself or herself at any time.
    (b) A party may file with the ALJ a motion for disqualification of a 
reviewing official or an ALJ. Such motion shall be accompanied by an 
affidavit alleging personal bias or other reason for disqualification.
    (c) Such motion and affidavit shall be filed promptly upon the 
party's discovery of reasons requiring disqualification, or such 
objections shall be deemed waived.
    (d) Such affidavit shall state specific facts that support the 
party's belief that personal bias or other reason for disqualification 
exists and the time and circumstances of the party's discovery of such 
facts. It shall be accompanied by a certificate of the representative of 
record that it is made in good faith.
    (e) Upon the filing of such a motion and affidavit, the ALJ shall 
proceed no further in the case until he or she resolves the matter of 
disqualification in accordance with this section.
    (1) If the ALJ determines that a reviewing official is disqualified, 
the ALJ shall dismiss the complaint without prejudice.
    (2) If the ALJ disqualifies himself or herself, the case shall be 
reassigned promptly to another ALJ.
    (3) If the ALJ denies a motion to disqualify, the authority head may 
determine the matter only as part of his or her review of the initial 
decision upon appeal, if any.



Sec. 185.118  Rights of parties.

    Except as otherwise limited by this part, all parties may:
    (a) Be accompanied, represented, and advised by a representative;
    (b) Participate in any conference held by the ALJ;
    (c) Conduct discovery as provided under Sec. 185.122;
    (d) Agree to stipulations of fact or law, which shall be made a part 
of the record;
    (e) Present evidence relevant to the issues at the hearing;
    (f) Present and cross-examine witnesses;

[[Page 55]]

    (g) Present oral arguments at the hearing as permitted by the ALJ; 
and
    (h) Submit written briefs and proposed findings of fact and 
conclusions of law after the hearing.



Sec. 185.119  Authority of the ALJ.

    (a) The ALJ shall conduct a fair and impartial hearing, avoid delay, 
maintain order, and assure that a record of the proceeding is made.
    (b) The ALJ has the authority to:
    (1) Set and change the date, time, and place of the hearing upon 
reasonable notice to the parties;
    (2) Continue or recess the hearing in whole or in part for a 
reasonable period of time;
    (3) Hold conferences to identify or simplify the issues, or to 
consider other matters that may aid in the expeditious disposition of 
the proceeding;
    (4) Administer oaths and affirmations;
    (5) Issue subpoenas requiring the attendance of witnesses and the 
production of documents at depositions or at hearings;
    (6) Rule on motions and other procedural matters;
    (7) Regulate the scope and timing of discovery;
    (8) Regulate the course of the hearing and the conduct of 
representatives and parties;
    (9) Examine witnesses;
    (10) Receive, rule on, exclude, or limit evidence;
    (11) Upon motion of a party, take official notice of facts;
    (12) Upon motion of a party, decide cases, in whole or in part, by 
summary judgment where there is no disputed issue of material fact;
    (13) Conduct any conference, argument, or hearing on motions in 
person or by telephone; and
    (14) Exercise such other authority as is necessary to carry out the 
responsibilities of the ALJ under this part.
    (c) The ALJ does not have the authority to find Federal statutes or 
regulations invalid.



Sec. 185.120  Prehearing conferences.

    (a) The ALJ may schedule prehearing conferences as appropriate.
    (b) Upon the motion of any party, the ALJ shall schedule at least 
one prehearing conference at a reasonable time in advance of the 
hearing.
    (c) The ALJ may use prehearing conferences to discuss the following:
    (1) Simplification of the issues;
    (2) The necessity or desirability of amendments to the pleadings, 
including the need for a more definite statement;
    (3) Stipulations and admissions of fact or as to the contents and 
authenticity of documents;
    (4) Whether the parties can agree to submission of the case on a 
stipulated record;
    (5) Whether a party chooses to waive appearance at an oral hearing 
and to submit only documentary evidence (subject to the objection of 
other parties) and written argument;
    (6) Limitation of the number of witnesses;
    (7) Scheduling dates for the exchange of witness lists and of 
proposed exhibits;
    (8) Discovery;
    (9) The time and place for the hearing; and
    (10) Such other matters as may tend to expedite the fair and just 
disposition of the proceedings.
    (d) The ALJ may issue an order containing all matters agreed upon by 
the parties or ordered by the ALJ at a prehearing conference.



Sec. 185.121  Disclosure of documents.

    (a) Upon written request to the reviewing official, generally prior 
to the filing of an answer, the defendant may review any relevant and 
material documents, transcripts, records, and other materials that 
relate to the allegations set out in the complaint and upon which the 
findings and conclusions of the investigating official under 
Sec. 185.104(b) are based, unless such documents are subject to a 
privilege under Federal law. Upon payment of fees for duplication, the 
defendant may obtain copies of such documents.
    (b) Upon written request to the reviewing official, the defendant, 
may also obtain a copy of all exculpatory information in the possession 
of the reviewing official or investigating official relating to the 
allegations in the complaint, even if it is contained in a document that 
would otherwise be

[[Page 56]]

privileged. If the document would otherwise be privileged, only that 
portion containing exculpatory information must be disclosed.
    (c) The notice sent to the Attorney General from the reviewing 
official as described in Sec. 185.105 is not discoverable under any 
circumstances.
    (d) The defendant may file a motion to compel disclosure of the 
documents subject to the provisions of this section. Such a motion may 
only be filed with the ALJ following the filing of an answer pursuant to 
Sec. 185.109.



Sec. 185.122  Discovery.

    (a) The following types of discovery are authorized:
    (1) Requests for production of documents for inspection and copying;
    (2) Requests for admissions of the authenticity of any relevant 
document or of the truth of any relevant fact;
    (3) Written interrogatories; and
    (4) Depositions.
    (b) For the purpose of this section and Sec. 185.123, the term 
documents includes information, documents, reports, answers, records, 
accounts, papers, and other data and documentary evidence. Nothing 
contained herein shall be interpreted to require the creation of a 
document.
    (c) Unless mutually agreed to by the parties, discovery is available 
only as ordered by the ALJ. The ALJ shall regulate the timing of 
discovery.
    (d) Motions for discovery are to be handled according to the 
following procedures:
    (1) A party seeking discovery may file a motion with the ALJ. Such a 
motion shall be accompanied by a copy of the requested discovery, or in 
the case of depositions, a summary of the scope of the proposed 
deposition.
    (2) Within 10 days of service, a party may file an opposition to the 
motion and/or a motion for protective order as provided in Sec. 185.125.
    (3) The ALJ may grant a motion for discovery only if he or she finds 
that the discovery sought:
    (i) Is necessary for the expeditious, fair, and reasonable 
consideration of the issues;
    (ii) Is not unduly costly or burdensome;
    (iii) Will not unduly delay the proceeding; and
    (iv) Does not seek privileged information.
    (4) The burden of showing that discovery should be allowed is on the 
party seeking discovery.
    (5) The ALJ may grant discovery subject to a protective order under 
Sec. 185.125.
    (e) Depositions are to be handled in the following manner:
    (1) If a motion for deposition is granted, the ALJ shall issue a 
subpoena for the deponent, which may require the deponent to produce 
documents. The subpoena shall specify the time and place at which the 
deposition will be held.
    (2) The party seeking to depose shall serve the subpoena in the 
manner prescribed in Sec. 185.108.
    (3) The deponent may file with the ALJ within 10 days of service a 
motion to quash the subpoena or a motion for a protective order.
    (4) The party seeking to depose shall provide for the taking of a 
verbatim transcript of the deposition, which it shall make available to 
all other parties for inspection and copying.
    (f) Each party shall bear its own costs of discovery.



Sec. 185.123  Exchange of witness lists, statements and exhibits.

    (a) At least 15 days before the hearing or at such other time as may 
be ordered by the ALJ, the parties shall exchange witness lists, copies 
of prior statements of proposed witnesses, and copies of proposed 
hearing exhibits, including copies of any written statements that the 
party intends to offer in lieu of live testimony in accordance with 
Sec. 185.133(b). At the time the above documents are exchanged, any 
party that intends to rely on the transcript or deposition testimony in 
lieu of live testimony at the hearing, if permitted by the ALJ, shall 
provide each party with a copy of the specific pages of the transcript 
it intends to introduce into evidence.
    (b) If a party objects, the ALJ may not admit into evidence the 
testimony of any witness whose name does not appear on the witness list 
or any exhibit not provided to the opposing party as

[[Page 57]]

provided above unless the ALJ finds good cause for the failure or that 
there is no prejudice to the objecting party.
    (c) Unless another party objects within the time set by the ALJ, 
documents exchanged in accordance with paragraph (a) of this section 
shall be deemed to be authentic for the purpose of admissibility at the 
hearing.



Sec. 185.124  Subpoenas for attendance at hearing.

    (a) A party wishing to procure the appearance and testimony of any 
individual at the hearing may request that the ALJ issue a subpoena.
    (b) A subpoena requiring the attendance and testimony of an 
individual may also require the individual to produce documents at the 
hearing.
    (c) A party seeking a subpoena shall file a written request therefor 
not less than 15 days before the date fixed for the hearing unless 
otherwise allowed by the ALJ upon a showing of good cause. Such request 
shall specify any documents to be produced and shall designate the 
witnesses and describe the address and location thereof with sufficient 
particularity to permit such witnesses to be found.
    (d) The subpoena shall specify the time and place at which the 
witness is to appear and any documents the witness is to produce.
    (e) The party seeking the subpoena shall serve it in the manner 
prescribed in Sec. 185.108. A subpoena on a party or upon an individual 
under the control of a party may be served by first class mail.
    (f) A party or the individual to whom the subpoena is directed may 
file with the ALJ a motion to quash the subpoena within 10 days after 
service or on or before the time specified in the subpoena for 
compliance if it is less than 10 days after service.



Sec. 185.125  Protective order.

    (a) A party or a prospective witness or deponent may file a motion 
for a protective order with respect to discovery sought by an opposing 
party or with respect to the hearing, seeking to limit the availability 
or disclosure of evidence.
    (b) In issuing a protective order, the ALJ may make any order which 
justice requires to protect a party or person from annoyance, 
embarrassment, oppression, or undue burden or expense, including one or 
more of the following:
    (1) That the discovery not be had;
    (2) That the discovery may be had only on specified terms and 
conditions, including a designation of the time or place;
    (3) That the discovery may be had only through a method of discovery 
other than that requested;
    (4) That certain matters not be the subject of inquiry, or that the 
scope of discovery be limited to certain matters;
    (5) That discovery be conducted with no one present except persons 
designated by the ALJ;
    (6) That the contents of discovery or evidence be sealed;
    (7) That a sealed deposition be opened only by order of the ALJ;
    (8) That a trade secret or other confidential research, development, 
commercial information, or facts pertaining to any criminal 
investigation, proceeding, or other administrative investigation not be 
disclosed or be disclosed only in a designated way; or
    (9) That the parties simultaneously file specified documents or 
information enclosed in sealed envelopes to be opened as directed by the 
ALJ.



Sec. 185.126  Evidence.

    (a) The ALJ shall determine the admissibility of evidence.
    (b) Except as provided in this part, the ALJ shall not be bound by 
the Federal Rules of Evidence. However, the ALJ may apply the Federal 
Rules of Evidence where appropriate, e.g. to exclude unreliable 
evidence.
    (c) The ALJ shall exclude irrelevant and immaterial evidence.
    (d) Although relevant, evidence may be excluded if its probative 
value is substantially outweighed by the danger of unfair prejudice, 
confusion of the issues, or by considerations of undue delay or needless 
presentation of cumulative evidence.
    (e) Although relevant, evidence may be excluded if it is privileged 
under Federal law.

[[Page 58]]

    (f) Evidence concerning offers of compromise or settlement shall be 
inadmissible to the extent provided in Rule 408 of the Federal Rules of 
Evidence.
    (g) The ALJ shall permit the parties to introduce rebuttal witnesses 
and evidence.
    (h) All documents and other evidence offered or taken for the record 
shall be open to examination by all parties, unless otherwise ordered by 
the ALJ pursuant to Sec. 185.125.



Sec. 185.127  Fees.

    The party requesting a subpoena shall pay the cost of the fees and 
mileage of any witness subpoenaed in the amounts that would be payable 
to a witness in a proceeding in United States District Court. A check 
for witness fees and mileage shall accompany the subpoena when served, 
except that when a subpoena is issued on behalf of the authority, a 
check for witness fees and mileage need not accompany the subpoena.



Sec. 185.128  Form, filing and service of papers.

    (a) Form. Documents filed with the ALJ shall include an original and 
two copies. Every pleading and paper filed in the proceeding shall 
contain a caption setting forth the title of the action, the case number 
assigned by the ALJ, and a designation of the paper (e.g., motion to 
quash subpoena). Every pleading and paper shall be signed by, and shall 
contain the address and telephone number of the party or the person on 
whose behalf the paper was filed, or his or her representative.
    (b) Filing. Papers are considered filed when they are mailed. Date 
of mailing may be established by a certificate from the party or its 
representative or by proof that the document was sent by certified or 
registered mail.
    (c) Service. A party filing a document with the ALJ shall, at the 
time of filing, serve a copy of such document on every other party. 
Service upon any party of any document other than those required to be 
served as prescribed in Sec. 185.108 shall be made by delivering a copy 
or by placing a copy of the document in the United States mail, postage 
prepaid and addressed, to the party's last known address. When a party 
is represented by a representative, service shall be made upon such 
representative in lieu of the actual party.
    (d) Proof of service. A certificate of the individual serving the 
document by personal delivery or by mail, setting forth the manner of 
service, shall be proof of service.



Sec. 185.129  Computation of time.

    (a) In computing any period of time under this part or in an order 
issued thereunder, the time begins with the day following the act, 
event, or default, and includes the last day of the period, unless it is 
a Saturday, Sunday, or legal holiday observed by the Federal Government, 
in which event it includes the next business day.
    (b) When the period of time allowed is less than 7 days, 
intermediate Saturdays, Sundays, and legal holidays observed by the 
Federal Government shall be excluded from the computation.
    (c) Where a document has been served or issued by placing it in the 
mail, an additional 5 days will be added to the time permitted for any 
response.



Sec. 185.130  Motions.

    (a) Any application to the ALJ for an order or ruling shall be by 
motion. Motions shall state the relief sought, the authority relied 
upon, and the facts alleged, and shall be filed with the ALJ and served 
on all other parties.
    (b) Except for motions made during a prehearing conference or at the 
hearing, all motions shall be in writing. The ALJ may require that oral 
motions be reduced to writing.
    (c) Within 15 days after a written motion is served, or such other 
time as may be fixed by the ALJ, any party may file a response to such 
motion.
    (d) The ALJ may not grant a written motion before the time for 
filing responses thereto has expired, except upon consent of the parties 
or following a hearing on the motion, but may overrule or deny such 
motion without awaiting a response.
    (e) The ALJ shall make a reasonable effort to dispose or all 
outstanding motions prior to the beginning of the hearing.

[[Page 59]]



Sec. 185.131  Sanctions.

    (a) The ALJ may sanction a person including any party or 
representative for the following reasons:
    (1) Failure to comply with an order, rule, or procedure governing 
the proceeding;
    (2) Failure to prosecute or defend an action; or
    (3) Engaging in other misconduct that interferes with the speedy, 
orderly, or fair conduct of the proceeding.
    (b) Any such sanction, including but not limited to those listed in 
paragraphs (c), (d), and (e) of this section, shall reasonably relate to 
the severity and nature of the failure or misconduct.
    (c) When a party fails to comply with an order, including an order 
for taking a deposition, the production of evidence within the party's 
control, or a request for admission, the ALJ may
    (1) Draw an inference in favor of the requesting party with regard 
to the information sought;
    (2) In the case of requests for admission, deem each matter of which 
an admission is requested to be admitted;
    (3) Prohibit the party failing to comply with such order from 
introducing evidence concerning, or otherwise relying upon, testimony 
relating to the information sought; and
    (4) Strike any part of the pleadings or other submissions of the 
party failing to comply with such request.
    (d) If a party fails to prosecute or defend an action under this 
part commenced by service of a notice of hearing, the ALJ may dismiss 
the action or may issue an initial decision imposing penalties and 
assessments.
    (e) The ALJ may refuse to consider any motion, request, response, 
brief or other document which is not filed in a timely fashion.



Sec. 185.132  The hearing and burden of proof.

    (a) Where requested in accordance with Sec. 185.109 the ALJ shall 
conduct a hearing on the record in order to determine whether the 
defendant is liable for a civil penalty or assessment under Sec. 185.103 
and, if so, the appropriate amount of any such civil penalty or 
assessment considering any aggravating or mitigating factors.
    (b) The authority shall prove defendant's liability and any 
aggravating factors by a preponderance of the evidence.
    (c) The defendant shall prove any affirmative defenses and any 
mitigating factors by a preponderance of the evidence.
    (d) The hearing shall be open to the public unless otherwise closed 
by the ALJ for good cause shown.



Sec. 185.133  Determining the amount of penalties and assessments.

    (a) In determining an appropriate amount of civil penalties and 
assessments, the ALJ and the authority head, upon appeal, should 
evaluate any circumstances that mitigate or aggravate the violation and 
should articulate in their opinions the reasons that support the 
penalties and assessments they impose. Because of the intangible costs 
of fraud, the expense of investigating such conduct, and the need to 
deter others who might be similarly tempted, double damages and a 
significant civil penalty ordinarily should be imposed.
    (b) Although not exhaustive, the following factors are among those 
that may influence the ALJ and the authority head in determining the 
amount of penalties and assessments to impose with respect to the 
misconduct (i.e., the false, fictitious, or fraudulent claims or 
statements) charged in the complaint;
    (1) The number of false, fictitious or fraudulent claims or 
statements;
    (2) The time period over which such claims or statements were made;
    (3) The degree of the defendant's culpability with respect to the 
misconduct;
    (4) The amount of money or the value of the property, services, or 
benefit falsely claimed;
    (5) The value of the Government's actual loss as a result of the 
misconduct, including foreseeable consequential damages and the costs of 
investigation;
    (6) The relationship of the amount imposed as civil penalties to the 
amount of the Government's loss;
    (7) The potential or actual impact of the misconduct upon public 
confidence

[[Page 60]]

in the management of Government programs and operations;
    (8) Whether the defendant has engaged in a pattern of the same or 
similar misconduct;
    (9) Whether the defendant attempted to conceal the misconduct;
    (10) The degree to which the defendant has involved others in the 
misconduct or in concealing it;
    (11) Where the misconduct of employees or agents is imputed to the 
defendant, the extent to which the defendant's practices fostered or 
attempted to preclude such misconduct;
    (12) Whether the defendant cooperated in or obstructed an 
investigation of the misconduct;
    (13) Whether the defendant assisted in identifying and prosecuting 
other wrongdoers;
    (14) The complexity of the program or transaction, and the degree of 
the defendant's sophistication with respect to it, including the extent 
of the defendant's prior participation in the program or in similar 
transactions;
    (15) Whether the defendant has been found, in any criminal, civil, 
or administrative proceeding to have engaged in similar misconduct or to 
have dealt dishonestly with the Government of the United States or of a 
State, directly or indirectly;
    (16) The need to deter the defendant and others from engaging in the 
same or similar misconduct; and
    (17) The potential impact of the misconduct on the rights of others.
    (c) Nothing in this section shall be construed to limit the ALJ or 
the authority head from considering any other factors that in any given 
case may mitigate or aggravate the offense for which penalties and 
assessments are imposed.



Sec. 185.134  Witnesses.

    (a) Except as provided in paragraph (b) of this section, testimony 
at the hearing shall be given orally by witnesses under oath or 
affirmation.
    (b) At the discretion of the ALJ, testimony may be admitted in the 
form of a written statement or deposition. Any such written statement 
must be provided to all others parties along with the last known address 
of such witness, in a manner which allows sufficient time for other 
parties to subpoena such witness for cross-examination at the hearing. 
Prior written statements of witnesses proposed to testify at the hearing 
and deposition transcripts shall be exchanged as provided in 
Sec. 185.123(a).
    (c) The ALJ shall exercise reasonable control over the mode and 
order of interrogating witnesses and presenting evidence so as to--
    (1) Make the interrogation and presentation effective for the 
ascertainment of the truth,
    (2) Avoid needless consumption of time, and
    (3) Protect witnesses from harassment or undue embarrassment.
    (d) The ALJ shall permit the parties to conduct such cross-
examination as may be required for a full and true disclosure of the 
facts.
    (e) At the discretion of the ALJ, a witness may be cross-examined on 
matters relevant to the proceedings without regard to the scope of his 
or her direct examination. To the extent permitted by the ALJ, cross-
examination on matters outside the scope of direct examination shall be 
conducted in the manner of direct examination and may proceed by leading 
questions only if the witness is a hostile witness, an adverse party, or 
a witness identified with an adverse party.
    (f) Upon motion of any party, the ALJ shall order witnesses excluded 
so that they cannot hear the testimony of other witnesses. This rule 
does not authorize exclusion of the following:
    (1) A party who is an individual;
    (2) In the case of a party that is not an individual, an officer or 
employee of the party designated by the party's representative; or
    (3) An individual whose presence is shown by a party to be essential 
to the presentation of its case, including an individual employed by the 
Government engaged in assisting the representative for the Government.



Sec. 185.135  The record.

    (a) The hearing shall be recorded and transcribed. Transcripts may 
be obtained following the hearing from the ALJ at a cost not to exceed 
the actual cost of duplication.

[[Page 61]]

    (b) The transcript of testimony, exhibits and other evidence 
admitted at the hearing, and all papers and requests filed in the 
proceeding constitute the record for the decision by the ALJ and the 
authority head.
    (c) The record may be inspected and copied (upon payment of a 
reasonable fee) by anyone, unless otherwise ordered by the ALJ pursuant 
to Sec. 185.125.



Sec. 185.136  Post-hearing briefs.

    The ALJ may require the parties to file post-hearing briefs. In any 
event, any party may file a post-hearing brief. The ALJ shall fix the 
time for filing such briefs, not to exceed 60 days from the date the 
parties receive the transcript of the hearing or, if applicable, the 
stipulated record. Such briefs may be accompanied by proposed findings 
of fact and conclusions of law. The ALJ may permit the parties to file 
reply briefs.



Sec. 185.137  Initial decision.

    (a) The ALJ shall issue an initial decision based only on the 
record, which shall contain findings of fact, conclusions of law, and 
the amount of any penalties and assessments imposed.
    (b) The findings of fact shall include a finding on each of the 
following issues:
    (1) Whether the claims or statements identified in the complaint, or 
any portions thereof, violate Sec. 185.103.
    (2) If the person is liable for penalties or assessments, the 
appropriate amount of any such penalties or assessments considering any 
mitigating or aggravating factors that he or she finds in the case, such 
as those described in Sec. 185.133.
    (c) The ALJ shall promptly serve the initial decision on all parties 
within 90 days after the time for submission of post-hearing briefs and 
reply briefs (if permitted) has expired. The ALJ shall at the same time 
serve all parties with a statement describing the right of any defendant 
determined to be liable for a civil penalty or assessment to file a 
motion for reconsideration with the ALJ or a notice of appeal with the 
authority head. If the ALJ fails to meet the deadline contained in this 
paragraph, he or she shall notify the parties of the reason for the 
delay and shall set a new deadline.
    (d) Unless the initial decision of the ALJ is timely appealed to the 
authority head, or a motion for reconsideration of the initial decision 
is timely filed, the initial decision shall constitute the final 
decision of the authority head and shall be final and binding on the 
parties 30 days after it is issued by the ALJ.



Sec. 185.138  Reconsideration of initial decision.

    (a) Except as provided in paragraph (d) of this section, any party 
may file a motion for reconsideration of the initial decision within 20 
days of receipt of the initial decision. If service was made by mail, 
receipt will be presumed to be 5 days from the date of mailing in the 
absence of contrary proof.
    (b) Every such motion must set forth the matters claimed to have 
been erroneously decided and the nature of the alleged errors. Such 
motion shall be accompanied by a supporting brief.
    (c) Responses to such motions shall be allowed only upon request of 
the ALJ.
    (d) No party may file a motion for reconsideration of an initial 
decision that has been revised in response to a previous motion for 
reconsideration.
    (e) The ALJ may dispose of a motion for reconsideration by denying 
it or by issuing a revised initial decision.
    (f) If the ALJ denies a motion for reconsideration, the initial 
decision shall constitute the final decision of the authority head and 
shall be final and binding on all parties 30 days after the ALJ denies 
the motion, unless the initial decision is timely appealed to the 
authority head in accordance with Sec. 185.139.
    (g) If the ALJ issues a revised initial decision, that decision 
shall constitute the final decision of the authority head and shall be 
final and binding on the parties 30 days after it is issued, unless it 
is timely appealed to the authority head in accordance with 
Sec. 185.139.



Sec. 185.139  Appeal to authority head.

    (a) Any defendant who has filed a timely answer and who is 
determined in an initial decision to be liable for a civil penalty or 
assessment may appeal

[[Page 62]]

such decision to the authority head by filing a notice of appeal with 
the authority head in accordance with this section.
    (1) A notice of appeal may be filed at any time within 30 days after 
the ALJ issues an initial decision. However, if another party files a 
motion for reconsideration under Sec. 185.138, consideration of the 
appeal shall be stayed automatically pending resolution of the motion 
for reconsideration.
    (2) If a motion for reconsideration is timely filed, a notice of 
appeal shall be filed within 30 days after the ALJ denies the motion or 
issues a revised initial decision, whichever applies.
    (3) If no motion for reconsideration is timely filed, a notice of 
appeal must be filed within 30 days after the ALJ issues the initial 
decision.
    (4) The authority head may extend the initial 30-day period for an 
additional 30 days if the defendant files with the authority head a 
request for an extension within the initial 30-day period and shows good 
cause.
    (b) If the defendant files a timely notice of appeal with the 
authority head and the time for filing motions for reconsideration under 
Sec. 185.138 has expired, the ALJ shall forward the record of the 
proceeding to the authority head.
    (c) A notice of appeal shall be accompanied by a written brief 
specifying exceptions to the initial decision and reasons supporting the 
exceptions.
    (d) The representative for OPM may file a brief in opposition to 
exceptions within 30 days of receiving the notice of appeal and 
accompanying brief.
    (e) There is no right to appear personally before the authority 
head.
    (f) There is no right to appeal an interlocutory ruling by the ALJ.
    (g) In reviewing the initial decision, the authority head shall not 
consider any objection that was not raised before the ALJ unless the 
objecting party can demonstrate extraordinary circumstances causing the 
failure to raise the objection.
    (h) If any party demonstrates to the satisfaction of the authority 
head that additional evidence not presented at such hearing is material 
and that there were reasonable grounds for the failure to present such 
evidence at such hearing, the authority head shall remand the matter to 
the ALJ for consideration of such additional evidence.
    (i) The authority head may affirm, reduce, reverse, compromise, 
remand or settle any penalty or assessment determined by the ALJ in any 
initial decision.
    (j) The authority head shall promptly serve each party to the appeal 
with a copy of the decision of the authority head and a statement 
describing the right of any person determined to be liable for a penalty 
or assessment to seek judicial review.
    (k) Unless a petition for review is filed as provided in section 
3805 of title 31, United States Code, after a defendant has exhausted 
all administrative remedies under this part and within 60 days after the 
date on which the authority head serves the defendant with a copy of the 
authority head's decision, a determination that a defendant is liable 
under Sec. 185.103 is final and not subject to judicial review.

[60 FR 7891, Feb. 10, 1995; 60 FR 22249, May 5, 1995]



Sec. 185.140  Stays ordered by the Department of Justice.

    If, at any time, the Attorney General or an Assistant Attorney 
General designated by the Attorney General transmits to the authority 
head a written finding that continuation of the administrative process 
described in this part with respect to a claim or statement may 
adversely affect any pending or potential criminal or civil action 
related to such claim or statement, the authority head shall stay the 
process immediately. The authority head may order the process resumed 
only upon receipt of the written authorization of the Attorney General 
or of the Assistant Attorney General who ordered the stay.



Sec. 185.141  Stay pending appeal.

    (a) An initial decision is stayed automatically pending disposition 
of a motion for reconsideration or of an appeal to the authority head.
    (b) No administrative stay is available following a final decision 
of the authority head.

[[Page 63]]



Sec. 185.142  Judicial review.

    Section 3805 of title 31, United States Code, authorizes judicial 
review by an appropriate United States District Court of a final 
decision of the authority head imposing penalties and/or assessments 
under this part and specifies the procedures for such review.



Sec. 185.143  Collection of civil penalties and assessments.

    Sections 3806 and 3808(b) of title 31, United States Code, authorize 
actions for collection of civil penalties and assessments imposed under 
this part and specify the procedures for such actions.



Sec. 185.144  Right to administrative offset.

    The amount of any penalty or assessment which has become final, or 
for which a judgment has been entered under Sec. 185.142 or 
Sec. 185.143, or any amount agreed upon in a compromise or settlement 
under Sec. 185.146, may be collected by administrative offset under 
section 3716 of title 31, United States Code, except that an 
administrative offset may not be made under section 3716 against a 
refund of an overpayment of Federal taxes, then or later owing by the 
United States to the defendant.



Sec. 185.145  Deposit in Treasury of the United States.

    All amounts collected pursuant to this part shall be deposited as 
miscellaneous receipts in the Treasury of the United States, except as 
provided in section 3806(g) of title 31, United States Code.



Sec. 185.146  Compromise or settlement.

    (a) Parties may make offers of compromise or settlement at any time.
    (b) The reviewing official has the exclusive authority to compromise 
or settle a case under this part at any time after the date on which the 
reviewing official is permitted to issue a complaint and before the date 
on which the ALJ issues an initial decision.
    (c) The authority head has exclusive authority to compromise or 
settle a case under this part at any time after the date on which the 
ALJ issues an initial decision, except during the pendency of any review 
under Sec. 185.142 or during the pendency of any action to collect 
penalties and assessments under Sec. 185.143.
    (d) The Attorney General has exclusive authority to compromise or 
settle a case under this part during the pendency of any review under 
Sec. 185.142 or of any action to recover penalties and assessments under 
section 3806 to title 31, United States Code.
    (e) The investigating official may recommend settlement terms to the 
reviewing official, the authority head, or the Attorney General, as 
appropriate. The reviewing official may recommend settlement terms to 
the authority head, or the Attorney General, as appropriate.
    (f) Any compromise or settlement must be in writing.



Sec. 185.147  Limitations.

    (a) The notice of hearing with respect to a claim or statement must 
be served in the manner specified in Sec. 185.108 within 6 years after 
the date on which such a claim or statement is made.
    (b) If the defendant fails to file a timely answer, service of a 
notice under Sec. 185.110(b) shall be deemed a notice of hearing for 
purposes of this section.
    (c) the statute of limitations may be executed by written agreement 
of the parties.



PART 210--BASIC CONCEPTS AND DEFINITIONS (GENERAL)--Table of Contents




          Subpart A--Applicability of Regulations; Definitions

Sec.
210.101 Applicability of various parts of regulations.
210.102 Definitions.

    Authority: 5 U.S.C. 1302, 3301, 3302; E.O. 10577, 3 CFR, 1954-1958 
Comp. p. 218.



          Subpart A--Applicability of Regulations; Definitions



Sec. 210.101  Applicability of various parts of regulations.

    (a) General. In most parts, the applicability of the part is stated 
specifically in the part or is otherwise apparent from the substance of 
the part.

[[Page 64]]

    (b) Parts 315 through 339. Parts 315 through 339 of this chapter 
apply to all positions in the competitive service and to all incumbents 
of those positions; and, except as specified by or in an individual 
part, these parts do not apply to positions in the excepted service or 
to incumbents of those positions.

[33 FR 12407, Sept. 4, 1968, as amended at 44 FR 45587, Aug. 3, 1979]



Sec. 210.102  Definitions.

    (a) The definitions in paragraph (b) of this section apply 
throughout this chapter, except when a defined term is specifically 
modified in or specifically defined for the purpose of a particular 
part.
    (b) In this chapter:
    (1) Appointing officer means a person having power by law, or by 
lawfully delegated authority, to make appointments to positions in the 
service of the Federal Government or the government of the District of 
Columbia.
    (2) OPM means the Office of Personnel Management.
    (3) Days, unless otherwise defined or limited, means calendar days 
and not workdays. In computing a period of time prescribed in this 
chapter, the day of the action or event after which the designated 
period of time begins to run is not to be included. The last day of the 
period so computed is to be included unless it is a Saturday, a Sunday, 
or a legal holiday in which event the period runs until the end of the 
next day which is neither a Saturday, a Sunday, nor a legal holiday.
    (4) Demotion means a change of an employee, while serving 
continuously within the same agency:
    (i) To a lower grade when both the old and the new positions are 
under the General Schedule or under the same type graded wage schedule; 
or
    (ii) To a position with a lower rate of pay when both the old and 
the new positions are under the same type ungraded wage schedule, or are 
in different pay method categories.
    (5) Eligible means an applicant who meets the minimum requirements 
for entrance to an examination and is rated 70 or more in the 
examination by OPM.
    (6) Employee means a civilian officer or employee.
    (7) Metropolitan area of Washington, DC., means the District of 
Columbia; Alexandria, Fairfax, and Falls Church Cities, Va.; Arlington, 
Fairfax, Loudoun, and Prince William Counties, Va.; and Charles, 
Montgomery, and Prince Georges Counties, Md.
    (8) Noncompetitive action means a promotion, demotion, reassignment, 
transfer, reinstatement, or an appointment based on prior service.
    (9) Overseas means outside the continental United States, but does 
not include Alaska, Guam, Hawaii, the Isthmus of Panama, Puerto Rico, or 
the Virgin Islands.
    (10) Position change means a promotion, demotion, or reassignment.
    (11) Promotion means a change of an employee, while serving 
continuously within the same agency:
    (i) To a higher grade when both the old and the new positions are 
under the General Schedule or under the same type graded wage schedule; 
or
    (ii) To a position with a higher rate of pay when both the old and 
the new positions are under the same type ungraded wage schedule, or are 
in different pay method categories.
    (12) Reassignment means a change of an employee, while serving 
continuously within the same agency, from one position to another 
without promotion or demotion.
    (13) Reemployed annuitant means an employee whose annuity under 
subchapter III of chapter 83 of title 5, United States Code, was 
continued on reemployment in an appointive position on or after October 
1, 1956.
    (14) Register means a list of qualified applicants compiled in order 
of relative standing for certification.
    (15) Reinstatement means the noncompetitive reemployment for service 
as a career or career-conditional employee of a person formerly employed 
in the competitive service who had a competitive status or was serving 
probation when he was separated from the service.
    (16) Status quo employee means an employee who failed to acquire a 
competitive status when the position in which he was serving was placed 
in the competitive service by a statute, Executive

[[Page 65]]

order, or Civil Service rule, which permitted his retention without the 
acquisition of status.
    (17) Tenure means the period of time an employee may reasonably 
expect to serve under his current appointment. It is granted and 
governed by the type of appointment under which an employee is currently 
serving without regard to whether he has a competitive status or whether 
his appointment is in a competitive position or in an excepted position.
    (18) Transfer means a change of an employee, without a break in 
service of 1 full workday, from a position in one agency to a position 
in another agency.

[33 FR 12407, Sept. 4, 1968, as amended at 34 FR 19495, Dec. 10, 1969; 
38 FR 22535, Aug. 22, 1973]



PART 211--VETERAN PREFERENCE--Table of Contents




Sec.
211.101 Purpose.
211.102 Definitions.
211.103 Administration of preference.

    Authority: 5 U.S.C. 1302.

    Source: 60 FR 3056, Jan. 13, 1995, unless otherwise noted.



Sec. 211.101  Purpose.

    The purpose of this part is to define veterans' preference and the 
administration of preference in Federal employment. (5 U.S.C. 2108)



Sec. 211.102  Definitions.

    For purposes of preference in Federal employment the following 
definitions apply:
    (a) Veteran means a person who was separated with an honorable 
discharge or under honorable conditions from active duty in the armed 
forces performed--
    (1) In a war; or,
    (2) In a campaign or expedition for which a campaign badge has been 
authorized; or
    (3) During the period beginning April 28, 1952, and ending July 1, 
1955; or,
    (4) For more than 180 consecutive days, other than for training, any 
part of which occurred during the period beginning February 1, 1955, and 
ending October 14, 1976.
    (b) Disabled veteran means a person who was separated under 
honorable conditions from active duty in the armed forces performed at 
any time and who has established the present existence of a service-
connected disability or is receiving compensation, disability retirement 
benefits, or pensions because of a public statute administered by the 
Department of Veterans Affairs or a military department.
    (c) Preference eligible means veterans, spouses, widows, or mothers 
who meet the definition of ``preference eligible'' in 5 U.S.C. 2108. 
Preference eligibles are entitled to have 5 or 10 points added to their 
earned score on a civil service examination (see 5 U.S.C. 3309). They 
are also accorded a higher retention standing in the event of a 
reduction in force (see 5 U.S.C. 3502). Preference does not apply, 
however, to inservice placement actions such as promotions.
    (d) Armed forces means the United States Army, Navy, Air Force, 
Marine Corps, and Coast Guard.
    (e) Uniformed services means the armed forces, the commissioned 
corps of the Public Health Service, and the commissioned corps of the 
National Oceanic and Atmospheric Administration.
    (f) Active duty or active military duty means full-time duty with 
military pay and allowances in the armed forces, except for training or 
for determining physical fitness and except for service in the Reserves 
or National Guard.
    (g) Separated under honorable conditions means either an honorable 
or a general discharge from the armed forces. The Department of Defense 
is responsible for administering and defining military discharges.

[60 FR 3056, Jan. 13, 1995; 60 FR 6595, Feb. 2, 1995]



Sec. 211.103  Administration of preference.

    Agencies are responsible for making all preference determinations 
except for preference based on a common law marriage. Such a claim 
should be referred to OPM's General Counsel for decision.

[[Page 66]]



PART 212--COMPETITIVE SERVICE AND COMPETITIVE STATUS--Table of Contents




                     Subpart A--Competitive Service

Sec.
212.101 Definitions.
212.102 Authority to make determinations.

Subpart B [Reserved]

                      Subpart C--Competitive Status

212.301 Competitive status defined.

           Subpart D--Effect of Competitive Status on Position

212.401 Effect of competitive status on position.

    Authority: 5 U.S.C. 1302, 3301, 3302; E.O. 10577, 3 CFR, 1954-1958 
Comp., p. 218.

    Source: 33 FR 12408, Sept. 4, 1968, unless otherwise noted.



                     Subpart A--Competitive Service



Sec. 212.101  Definitions.

    In this chapter:
    (a) Competitive service has the meaning given that term by section 
2102 of title 5, United States Code, and includes:
    (1) All civilian positions in the executive branch of the Federal 
Government not specifically excepted from the civil service laws by or 
pursuant to statute, by the President, or by the Office of Personnel 
Management, and not in the Senior Executive Service; and
    (2) All positions in the legislative and judicial branches of the 
Federal Government and in the government of the District of Columbia 
specifically made subject to the civil service laws by statute.
    (b) Competitive position means a position in the competitive 
service.

(5 U.S.C. 2102)

[33 FR 12408, Sept. 4, 1968, as amended at 45 FR 62413, Sept. 19, 1980]



Sec. 212.102  Authority to make determinations.

    OPM determines finally whether a position is in the competitive 
service.

Subpart B [Reserved]



                      Subpart C--Competitive Status



Sec. 212.301  Competitive status defined.

    In this chapter, competitive status means an individual's basic 
eligibility for noncompetitive assignment to a competitive position. 
Competitive status is acquired by completion of a probationary period 
under a career-conditional or career appointment, or under a career 
executive assignment in the former executive assignment system, 
following open competitive examination, or by statute, Executive order, 
or the Civil Service rules, without open competitive examination. An 
individual with competitive status may be, without open competitive 
examination, reinstated, transferred, promoted, reassigned, or demoted, 
subject to conditions prescribed by the Civil Service rules and 
regulations.

[33 FR 12408, Sept. 4, 1968, as amended at 57 FR 10123, Mar. 24, 1992]



           Subpart D--Effect of Competitive Status on Position



Sec. 212.401  Effect of competitive status on position.

    (a) An employee is in the competitive service when he has 
competitive status and is in a competitive position under a nontemporary 
appointment.
    (b) An employee in the competitive service at the time his position 
is first listed under Schedule A, B, or C remains in the competitive 
service while he occupies that position.



PART 213--EXCEPTED SERVICE--Table of Contents




                      Subpart A--General Provisions

Sec.
213.101 Definitions.
213.102 Identification of positions in Schedule A, B, or C.
213.103 Publication of excepted appointing authorities in Schedules A, 
          B, and C.
213.104 Special provisions for temporary, intermittent, or seasonal 
          appointments in Schedule A, B, or C.

Subpart B [Reserved]

[[Page 67]]

                      Subpart C--Excepted Schedules

                               Schedule A

213.3101 Positions other than those of a confidential or policy-
          determining character for which it is impracticable to 
          examine.
213.3102 Entire executive civil service.
213.3199 Temporary organizations.

                               Schedule B

213.3201 Positions other than those of a confidential or policy-
          determining character for which it is not practicable to hold 
          a competitive examination.
213.3202 Entire executive civil service.

                               Schedule C

213.3301 Positions of a confidential or policy-determining nature.
213.3302 Temporary transitional Schedule C positions.

    Authority: 5 U.S.C. 3161; 5 U.S.C. 3301 and 3302, E.O. 10577, 3 CFR 
1954-1958 Comp., p. 218; sec. 213.101 also issued under 5 U.S.C. 2103; 
sec. 213.3102 also issued under 5 U.S.C. 3301, 3302, 3307, 8337(h) and 
8456; E.O. 12364, 47 FR 22931, 3 CFR 1982 Comp., p. 185; 38 U.S.C. 4301 
et seq.; Pub. L. 105-339, 112 Stat. 3182-83; and E.O. 13162.

    Source: 46 FR 20147, Apr. 3, 1981, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 213.101  Definitions.

    In this chapter:
    (a) Excepted service has the meaning given that term by section 2103 
of title 5, United States Code, and includes all positions in the 
executive branch of the Federal Government which are specifically 
excepted from the competitive service by or pursuant to statute, by the 
President, or by the Office of Personnel Management, and which are not 
in the Senior Executive Service.
    (b) Excepted position means a position in the excepted service.

(5 U.S.C. 2103)



Sec. 213.102  Identification of positions in Schedule A, B, or C.

    (a) The Office of Personnel Management will decide whether the 
duties and requirements of any particular position justify exception 
from the competitive service. Upon favorable determination, OPM will 
authorize the position to be filled by excepted appointment under 
Schedule A, B, or C. Unless otherwise specified in a particular 
appointing authority, an agency may make Schedule A, B, or C 
appointments on either a permanent or nonpermanent basis, with any 
appropriate work schedule (i.e., full-time, part-time, seasonal, on-
call, or intermittent).
    (b) When OPM establishes eligibility requirements (e.g., residence, 
family income) for appointment under particular Schedule A or B 
exceptions, an individual's eligibility for appointment must be 
determined before appointment and without regard to any conditions that 
will result from the appointment.

[59 FR 46897, Sept. 13, 1994]



Sec. 213.103  Publication of excepted appointing authorities in Schedules A, B, and C.

    (a) Schedule A, B, and C appointing authorities available for use by 
all agencies shall be published as regulations in the Federal Register 
and the Code of Federal Regulations.
    (b) Establishment and revocation of Schedule A, B, and C appointing 
authorities applicable to a single agency shall be published monthly in 
the Notices section of the Federal Register.
    (c) A consolidated listing of all Schedule A, B, and C authorities 
current as of June 30 of each year, with assigned authority numbers, 
shall be published annually as a notice in the Federal Register.

[47 FR 28902, July 2, 1982, as amended at 62 FR 18505, Apr. 16, 1997]



Sec. 213.104  Special provisions for temporary, intermittent, or seasonal appointments in Schedule A, B, or C.

    (a) When OPM specifies that appointments under a particular Schedule 
A, B, or C authority must be temporary, intermittent, or seasonal, or 
when agencies elect to make temporary, intermittent, or seasonal 
appointments in Schedule A, B, or C, those terms have the following 
meanings:
    (1) Temporary appointments, unless otherwise specified in a 
particular Schedule A, B, or C exception, are made for a specified 
period not to exceed 1 year and are subject to the time limits in 
paragraph (b) of this section.

[[Page 68]]

Time-limited appointments made for more than 1 year are not considered 
to be temporary appointments, and are not subject to these time limits.
    (2) Intermittent positions are positions in which work recurs at 
sporadic or irregular intervals so that an employee's tour of duty 
cannot be scheduled in advance of the administrative workweek.
    (3) Seasonal positions involve annually recurring periods of 
employment lasting less than 12 months each year.
    (b) Temporary appointments, as defined in paragraph (a)(1) of this 
section, are subject to the following limits:
    (1) Service limits. Agencies may make temporary appointments for a 
period not to exceed 1 year, unless the applicable Schedule A, B, or C 
authority specifies a shorter period. Except as provided in paragraph 
(b)(3) of this section, agencies may extend temporary appointments for 
no more than 1 additional year (24 months of total service). Appointment 
to a successor position (i.e., a position that replaces and absorbs the 
original position) is considered to be an extension of the original 
appointment. Appointment to a position involving the same basic duties, 
in the same major subdivision of the agency, and in the same local 
commuting area is also considered to be an extension of the original 
appointment.
    (2) Restrictions on refilling positions under temporary 
appointments. Except as provided in paragraph (b)(3) of this section, an 
agency may not fill any position (or its successor) by a temporary 
appointment in Schedule A, B, or C if that position had previously been 
filled by temporary appointment(s) in either the competitive or excepted 
service for an aggregate of 2 years, or 24 months, within the preceding 
3-year period. This limitation does not apply to programs established to 
provide for systematic exchange between a Federal agency and nonfederal 
organizations.
    (3) Exceptions to the general limits. The service limits and 
restrictions on refilling positions set out in this section do not apply 
when:
    (i) Positions involve intermittent or seasonal work, and employment 
in the same or a successor position under one or more appointing 
authorities totals less than 6 months (1,040 hours), excluding overtime, 
in a service year. The service year is the calendar year that begins on 
the date of the employee's initial appointment in the agency. Should 
employment in a position filled under this exception total 6 months or 
more in any service year, the general limits set out in this section 
will apply to subsequent extension or reappointment unless OPM approves 
continued exception under this section. An individual may be employed 
for training for up to 120 days following initial appointment and up to 
2 weeks a year thereafter without regard to the service year limitation.
    (ii) Positions are filled under an authority established for the 
purpose of enabling the appointees to continue or enhance their 
education, or to meet academic or professional qualification 
requirements. These include the authorities set out in paragraphs (r) 
and (s) of Sec. 213.3102 and paragraph (a) of Sec. 213.3202, and 
authorities granted to individual agencies for use in connection with 
internship, fellowship, residency, or student programs.
    (iii) OPM approves extension of specific temporary appointments 
beyond 2 years (24 months total service) when necessitated by major 
reorganizations or base closings or other rare and unusual 
circumstances. Requests based on major reorganization, base closing, 
restructuring, or other unusual circumstances that apply agencywide must 
be made by an official at the headquarters level of the Department or 
agency. Requests involving extension of appointments to a specific 
position or project based on other unusual circumstances may be 
submitted by the employing office to the appropriate OPM service center.

[59 FR 46897, Sept. 13, 1994, as amended at 59 FR 64841, Dec. 16, 1994; 
62 FR 18505, Apr. 16, 1997; 62 FR 55725, Oct. 28, 1997; 62 FR 63628, 
Dec. 2, 1997]

Subpart B [Reserved]

[[Page 69]]



                      Subpart C--Excepted Schedules

                               Schedule A



Sec. 213.3101  Positions other than those of a confidential or policy-determining character for which it is impracticable to examine.

    Upon specific authorization by OPM, agencies may make appointments 
under this section to positions which are not of a confidential or 
policy-determining character, and which are not in the Senior Executive 
Service, for which it is not practicable to examine. Examining for this 
purpose means application of the qualification standards and 
requirements established for the competitive service. Positions filled 
under this authority are excepted from the competitive service and 
constitute Schedule A. For each authorization under this section, OPM 
shall assign an identifying number from 213.3102 through 213.3199 to be 
used by the appointing agency in recording appointments made under that 
authorization.

[46 FR 20147, Apr. 3, 1981, as amended at 46 FR 45323, Sept. 11, 1981, 
59 FR 64841, Dec. 16, 1994; 62 FR 19900, Apr. 24, 1997]



Sec. 213.3102  Entire executive civil service.

    (a) Positions of Chaplain and Chaplain's Assistant.
    (b) [Reserved]
    (c) Positions to which appointments are made by the President 
without confirmation by the Senate.
    (d) Attorneys.
    (e) Law clerk trainee positions. Appointments under this paragraph 
shall be confined to graduates of recognized law schools or persons 
having equivalent experience and shall be for periods not to exceed 14 
months pending admission to the bar. No person shall be given more than 
one appointment under this paragraph. However, an appointment which was 
initially made for less than 14 months may be extended for not to exceed 
14 months in total duration.
    (f)-(h) [Reserved]
    (i) Temporary and less-than-full time positions for which examining 
is impracticable. These are:
    (1) Positions in remote/isolated locations where examination is 
impracticable. A remote/isolated location is outside the local commuting 
area of a population center from which an employee can reasonably be 
expected to travel on short notice under adverse weather and/or road 
conditions which are normal for the area. For this purpose, a population 
center is a town with housing, schools, health care, stores and other 
businesses in which the servicing examining office can schedule tests 
and/or reasonably expect to attract applicants. An individual appointed 
under this authority may not be employed in the same agency under a 
combination of this and any other appointment to positions involving 
related duties and requiring the same qualifications for more than 1,040 
workings hour in a service year. Temporary appointments under this 
authority may be extended in 1-year increments, with no limit on the 
number of such extensions, as an exception to the service limits in 
Sec. 213.104.
    (2) Positions for which a critical hiring need exists. This includes 
both short-term positions and continuing positions that an agency must 
fill on an interim basis pending completion of competitive examining, 
clearances, or other procedures required for a longer appointment. 
Appointments under this authority may not exceed 30 days and may be 
extended for up to an additional 30 days if continued employment is 
essential to the agency's operations. The appointments may not be used 
to extend the service limit of any other appointing authority. An agency 
may not employ the same individual under this authority for more than 60 
days in any 12-month period.
    (3) Other positions for which OPM determines that examining is 
impracticable.
    (j) Positions filled by current or former Federal employees eligible 
for placement under special statutory provisions. Appointments under 
this authority are subject to the following conditions.
    (1) Eligible employees. (i) Persons previously employed as National 
Guard Technicians under 32 U.S.C. 709(a) who are entitled to placement 
under Sec. 353.110 of this chapter, or who are applying for or receiving 
an annuity under the provisions of 5 U.S.C. 8337(h)

[[Page 70]]

or 8456 by reason of a disability that disqualifies them from membership 
in the National Guard or from holding the military grade required as a 
condition of their National Guard employment.
    (ii) Executive branch employees (other than employees of 
intelligence agencies) who are entitled to placement under Sec. 353.110 
but who are not eligible for reinstatement or noncompetitive appointment 
under the provisions of part 315 of this chapter.
    (iii) Legislative and judicial branch employees and employees of the 
intelligence agencies defined in 5 U.S.C. 2302(a)(2)(C)(ii) who are 
entitled to placement under Sec. 353.110.
    (2) Employees excluded. Employees who were last employed in Schedule 
C or under a statutory authority that specified the employee served at 
the discretion, will, or pleasure of the agency are not eligible for 
appointment under this authority.
    (3) Position to which appointed. Employees who are entitled to 
placement under Sec. 353.110 will be appointed to a position that OPM 
determines is equivalent in pay and grade to the one the individual 
left, unless the individual elects to be placed in a position of lower 
grade or pay. National Guard Technicians whose eligibility is based upon 
a disability may be appointed at the same grade, or equivalent, as their 
National Guard Technician position or at any lower grade for which they 
are available.
    (4) Conditions of appointment. (i) Individuals whose placement 
eligibility is based on an appointment without time limit will receive 
appointments without time limit under this authority. These appointees 
may be reassigned, promoted, or demoted to any position within the same 
agency for which they qualify.
    (ii) Individuals who are eligible for placement under Sec. 353.110 
based on a time-limited appointment will be given appointments for a 
time period equal to the unexpired portion of their previous 
appointment.
    (k) Positions without compensation provided appointments thereto 
meet the requirements of applicable laws relating to compensation.
    (l) Positions requiring the temporary or intermittent employment of 
professional, scientific, or technical experts for consultation 
purposes.
    (m) [Reserved]
    (n) Any local physician, surgeon, or dentist employed under contract 
or on a part-time or fee basis.
    (o) Positions of a scientific, professional, or analytical nature 
when filled by bona fide members of the faculty of an accredited college 
or university who have special qualifications for the positions to which 
appointed. Employment under this provision shall not exceed 130 working 
days a year.
    (p)-(q) [Reserved]
    (r) Positions established in support of fellowship and similar 
programs that are filled from limited applicant pools and operate under 
specific criteria developed by the employing agency and/or a non-Federal 
organization. These programs may include: internship or fellowship 
programs that provide developmental or professional experiences to 
individuals who have completed their formal education; training and 
associateship programs designed to increase the pool of qualified 
candidates in a particular occupational specialty; professional/industry 
exchange programs that provide for a cross-fertilization between the 
agency and the private sector to foster mutual understanding, an 
exchange of ideas, or to bring experienced practitioners to the agency; 
residency programs through which participants gain experience in a 
Federal clinical environment; and programs that require a period of 
Government service in exchange for educational, financial or other 
assistance. Appointments under this authority may not exceed 4 years.
    (s) Positions with compensation fixed under 5 U.S.C. 5351-5356 when 
filled by student-employees assigned or attached to Government 
hospitals, clinics or medical or dental laboratories. Employment under 
this authority may not exceed 4 years.
    (t) Positions when filled by mentally retarded persons who have been 
certified by state vocational rehabilitation agencies as likely to 
succeed. Upon completion of 2 years of satisfactory service under this 
authority, the employee may qualify for conversion

[[Page 71]]

to competitive status under the provisions of Executive Order 12125 and 
implementing instructions issued by the Office.
    (u) Positions when filled by severely physically handicapped persons 
who: (1) Under a temporary appointment have demonstrated their ability 
to perform the duties satisfactorily; or (2) have been certified by 
counselors of State vocational rehabilitation agencies or the Veterans 
Administration as likely to succeed in the performance of the duties. 
Upon completion of 2 years of satisfactory service under this authority, 
the employee may qualify for conversion to competitive status under the 
provisions of Executive Order 12125 and implementing regulations issued 
by the Office.
    (v)-(w) [Reserved]
    (x) Positions for which a local recruiting shortage exists when 
filled by inmates of Federal, District of Columbia and State (including 
the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American 
Samoa, and the Trust Territory of the Pacific Islands) penal and 
correctional institutions under work-release programs authorized by the 
Prisoner Rehabilitation Act of 1965, the District of Columbia Work 
Release Act, or under work-release programs authorized by the States. 
Initial appointments under the authority may not exceed 1 year. An 
initial appointment may be extended for one or more periods not to 
exceed 1 additional year each upon a finding that the inmate is still in 
a work-release status and that a local recruiting shortage still exists. 
No person may serve under this authority longer than 1-year beyond the 
date of that person's release from custody.
    (y) [Reserved]
    (z) Not to exceed 30 positions of assistants to top-level Federal 
officials when filled by persons designated by the President as White 
House Fellows.
    (aa) Scientific and professional research associate positions at GS-
11 and above when filled on a temporary basis by persons having a 
doctoral degree in an appropriate field of study for research activities 
of mutual interest to appointees and their agencies. Appointments are 
limited to persons referred by the National Research Council under its 
post-doctoral research associate program, may not exceed 2 years, and 
are subject to satisfactory outcome of evaluation of the associate's 
research during the first year.
    (bb) Positions when filled by aliens in the absence of qualified 
citizens. Appointments under this authority are subject to prior 
approval of the Office except when the authority is specifically 
included in a delegated examining agreement with the Office.
    (cc)-(ee) [Reserved]
    (ff) Not to exceed 24 positions when filled in accordance with an 
agreement between OPM and the Department of Justice by persons in 
programs administered by the Attorney General of the United States under 
Public Law 91-452 and related statutes. A person appointed under this 
authority may continue to be employed under it after he ceases to be in 
a qualifying program only as long as he remains in the same agency 
without a break in service.
    (gg) Positions when filled by persons with psychiatric disabilities 
who have demonstrated their ability to perform satisfactorily under a 
temporary appointment [such as one authorized in 213.3102(i)(3)] or who 
are certified as likely to be able to perform the essential functions of 
the job, with or without reasonable accommodation, by a State vocational 
rehabilitation counselor, a U.S. Department of Veterans Affairs Veterans 
Benefits Administration or Veterans Health Administration psychologist, 
vocational rehabilitation counselor, or psychiatrist. Upon completion of 
2 years of satisfactory service under this authority, the employee can 
be converted, at the discretion of the agency, to competitive status 
under the provisions of Executive Order 12125 as amended by Executive 
Order 13124.
    (hh) [Reserved]
    (ii) Positions of Presidential Intern, GS-9 and 11, in the 
Presidential Management Intern Program. Initial appointments must be 
made at the GS-9 level. No one may serve under this authority for more 
than 2 years, unless extended with OPM approval for up to one additional 
year. Upon completion of 2 years of satisfactory service under

[[Page 72]]

this authority, the employee may qualify for conversion to competitive 
appointment under the provisions of Executive Order 12364, in accordance 
with the provisions of Sec. 315.708 of this chapter and requirements 
prescribed in OPM issuances.
    (jj)-(kk) [Reserved]
    (ll) Positions as needed of readers for blind employees, 
interpreters for deaf employees and personal assistants for handicapped 
employees, filled on a full time, part-time, or intermittent basis.

(5 U.S.C. 3301, 3307, 8337(h); 5 U.S.C. 3301, 3302; EO 12364, 47 FR 
22931)

[47 FR 28902, July 2, 1982, as amended at 47 FR 43634, Oct. 1, 1982; 48 
FR 2115, Jan. 18, 1983; 48 FR 11923, 11924, Mar. 22, 1983; 48 FR 24857, 
June 3, 1983; 50 FR 11145, Mar. 20, 1985; 52 FR 37762, Oct. 9, 1987; 54 
FR 2985, Jan. 23, 1989; 57 FR 17847, Apr. 28, 1992; 59 FR 64841, Dec. 
16, 1994; 60 FR 10006, Feb. 23, 1995; 60 FR 55174, Oct. 30, 1995; 60 FR 
55653, Nov. 2, 1995; 62 FR 55725, Oct. 28, 1997; 65 FR 41868, July 7, 
2000; 66 FR 66709, Dec. 27, 2001; 67 FR 56475, Sept. 4, 2002; 67 FR 
70119, Nov. 21, 2002]



Sec. 213.3199  Temporary organizations.

    Positions on the staffs of temporary organizations, as defined in 5 
U.S.C. 3161(a). Appointments may not exceed 3 years, but temporary 
organizations may extend the appointments for 2 additional years if the 
conditions for extension are related to the completion of the study or 
project.

[68 FR 24605, May 8, 2003]

                               Schedule B



Sec. 213.3201  Positions other than those of a confidential or policy-determining character for which it is not practicable to hold a competitive examination.

    (a) Upon specific authorization by OPM, agencies may make 
appointments under this section to positions which are not of a 
confidential or policy-determining character, and which are not in the 
Senior Executive Service, for which it is impracticable to hold open 
competition or to apply usual competitive examining procedures. 
Appointments under this authority are subject to the basic qualification 
standards established by the Office of Personnel Management for the 
occupation and grade level. Positions filled under this authority are 
excepted from the competitive service and constitute Schedule B. For 
each authorization under this section, OPM shall assign a number from 
213.3202 through 213.3299 to be used by the appointing agency in 
recording appointments made under that authorization.
    (b) [Reserved]

[46 FR 20147, Apr. 3, 1981, as amended at 47 FR 57655, Dec. 28, 1982; 53 
FR 15353, Apr. 29, 1988]



Sec. 213.3202  Entire executive civil service.

    (a) Student Educational Employment Program--Student Temporary 
Employment Program. (1) Students may be appointed to the Student 
Temporary Employment Program if they are pursuing any of the following 
educational programs:
    (i) High school diploma or General Equivalency Diploma (GED);
    (ii) Vocational/Technical certificate;
    (iii) Associate degree;
    (iv) Baccalaureate degree;
    (v) Graduate degree; or
    (vi) Professional degree.
    (2) Definition of student: A student is an individual who has been 
accepted for enrollment, or who is enrolled, as a degree (diploma, 
certificate, etc.) seeking student in an accredited high school, 
technical or vocational school, 2-year or 4-year college or university, 
graduate or professional school. If the student is enrolled, the student 
must be taking at least a half-time academic/vocational/ or technical 
course load. The definition of half-time is the definition provided by 
the school in which the student is enrolled. Students need not be in 
actual physical attendance, so long as all the other requirements are 
met. An individual who needs to complete less than the equivalent of 
half an academic/vocational or technical courseload in the class 
enrollment period immediately prior to graduating is still considered a 
student for purposes of this program.
    (3) Schedules. Students may work full-time or part-time schedules at 
any time during the year. There are no limitations on the number of 
hours a student can work per week, but the student's work schedule 
should not interfere with the student's academic schedule.

[[Page 73]]

    (4) Breaks in program. A break in program is defined as a period of 
time when a program participant is working but is unable to go to 
school, or neither attending classes nor working at the agency. Agencies 
may use their discretion in either approving or denying a break in 
program.
    (5) Employment of minors. Participation in this program must be in 
conformance with Federal, State, or local laws and standards governing 
the employment of minors.
    (6) Citizenship. Agencies may appoint non-citizens provided that:
    (i) The student is lawfully admitted to the United States as a 
permanent resident or otherwise authorized to be employed; and
    (ii) The agency is authorized to pay aliens under the annual 
appropriations act ban and any agency specific enabling and 
appropriation statutes.
    (7) Employment of relatives. In accordance with part 310 of this 
chapter, a student may work in the same agency with a relative when 
there is no direct reporting relationship and the relative is not in a 
position to influence or control the student's appointment, employment, 
promotion or advancement within the agency.
    (8) Financial need. There is no requirement for students to meet any 
specific economic/income criteria to be eligible. However, agencies have 
the option to establish and use financial need as a criteria to select 
students, if they wish. OPM does not develop or distribute annual 
economic guidelines for use in determining financial need. An agency 
wishing to use the Department of Health and Human Services' poverty 
guidelines may call the Department of Health and Human Services, Office 
of the Assistant Secretary for Planning and Evaluation.
    (9) Training expenses: Observing the prohibitions in 5 U.S.C. 4107, 
agencies may use their training authority in 5 U.S.C. chapter 41 and 5 
CFR part 410 to pay all or part of training expenses directly related to 
students' official duties.
    (10) Appointments. (i) Students are appointed to positions not to 
exceed 1 year. Appointments under this authority may be extended in one-
year increments as long as the individual meets the definition of a 
student. Agencies may establish minimum academic requirements and on the 
job performance requirements for continuation in the program. Students 
under this appointment authority are excepted from the limitations under 
Sec. 213.104.
    (ii) The nature of the duties does not have to be related to the 
student's academic/career goals.
    (iii) Students are not eligible for noncompetitive conversion to 
term, career, or career-conditional appointments. They may be converted 
to the Student Career Experience Program (refer to paragraph (a)(15) of 
this section).
    (11) Classification. Classification of students is based on the 
occupational series for which they are hired. Grade level is to be set 
according to the criteria in the appropriate General Schedule (GS) or 
wage grade (WG) classification standard.
    (12) Qualifications. Students may be evaluated either by agency-
developed standards or by the OPM qualification requirements for the 
position to which appointed. Students are eligible for promotions. 
Promotions should be documented as a conversion to another excepted 
appointment, citing the same authority used for the original appointment 
and maintaining the original not-to-exceed (NTE) date.
    (13) Benefits. (i) Students under this program are eligible for 
annual and sick leave and are generally ineligible for retirement 
coverage. Refer to Sec. 831.201 and Sec. 842.105 of this chapter for 
specific information.
    (ii) For rules on health and life insurance coverage refer to 
Sec. 870.202, Sec. 890.102, and Sec. 890.502 of this chapter.
    (14) Reductions-in-Force (RIF). Students are covered by Sec. 351.502 
of this chapter for purposes of RIF. Students, provided they have 
completed at least 1 year of current continuous service, are in excepted 
service Tenure Group III.
    (15) Conversion to Student Career Experience Program. (i) Students 
may be noncompetitively converted to the Student Career Experience 
Program whenever they meet the requirements of that program and the 
agency has an appropriate position available.
    (ii) Work experience related to the student's academic program and 
career

[[Page 74]]

goals, gained while under the Student Temporary Employment Program, may 
be credited towards the 640 hour work experience necessary for 
noncompetitive conversion to a term, career, or career-conditional 
appointment.
    (iii) Conversions are not subject to requirements of subparts C and 
D of part 302 of this chapter.
    (b) Student Educational Employment Program--Student Career 
Experience Program. (1)(i) Students may be appointed to the Student 
Career Experience Program if they are pursuing any of the following 
educational programs:
    (A) High school diploma or General Equivalency Diploma (GED);
    (B) Vocational/Technical certificate;
    (C) Associate degree;
    (D) Baccalaureate degree;
    (E) Graduate degree; or
    (F) Professional degree.
    (ii) Student participants in the Harry S. Truman Foundation 
Scholarship Program under the provision of Public Law 93-842 are 
eligible for appointments under the Student Career Experience Program.
    (2) Definition of student: A student is an individual who has been 
accepted for enrollment, or who is enrolled, as a degree (diploma, 
certificate, etc.) seeking student in an accredited high school, 
technical or vocational school, 2-year or 4-year college or university, 
graduate or professional school. If the student is enrolled, the student 
must be taking at least a half-time academic/vocational/ or technical 
course load. The definition of half-time is the definition provided by 
the school in which the student is enrolled. Students need not be in 
actual physical attendance, so long as all the other requirements are 
met. An individual who needs to complete less than the equivalent of 
half an academic/vocational or technical courseload in the class 
enrollment period immediately prior to graduating is still considered a 
student for purposes of this program.
    (3) Schedules. Students may work full-time or part-time schedules at 
any time during the year. There are no limitations on the number of 
hours a student can work per week, but the student's work schedule 
should not interfere with the student's academic schedule.
    (4) Breaks in program. A break in program is defined as a period of 
time when a program participant is working but is unable to go to 
school, or neither attending classes nor working at the agency. Agencies 
may use their discretion in either approving or denying a break in 
program.
    (5) Employment of minors. Participation in this program must be in 
conformance with Federal, State, or local laws and standards governing 
the employment of minors.
    (6) Citizenship. (i) Agencies may appoint non-citizens provided 
that:
    (A) The student is lawfully admitted to the United States as a 
permanent resident or otherwise authorized to be employed; and
    (B) The agency is authorized to pay aliens under the annual 
appropriations act ban and any agency specific enabling and 
appropriation statutes.
    (ii) All students must be United States citizens at the time they 
are noncompetitively converted to a term, career, or career-conditional 
appointment.
    (7) Employment of relatives. In accordance with part 310 of this 
chapter, a student may work in the same agency with a relative when 
there is no direct reporting relationship and the relative is not in a 
position to influence or control the student's appointment, employment, 
promotion or advancement within the agency.
    (8) Financial need. There is no requirement for students to meet any 
specific economic/income criteria to be eligible. However, agencies have 
the option to establish and use financial need as a criteria to select 
students, if they wish. OPM does not develop or distribute annual 
economic guidelines for use in determining financial need. An agency 
wishing to use the Department of Health and Human Services' poverty 
guidelines may call the Department of Health and Human Services, Office 
of the Assistant Secretary for Planning and Evaluation.
    (9) Training expenses: Observing the prohibitions in 5 U.S.C. 4107, 
agencies may use their training authority in 5 U.S.C. chapter 41 and 5 
CFR part 410 to pay all or part of training expenses directly related to 
students' official duties.

[[Page 75]]

    (10) Appointments. (i) Appointments are subject to all the 
requirements and conditions governing term, career, or career-
conditional employment, including investigation to establish an 
appointee's qualifications and suitability.
    (ii) Appointments of participants who have met all the requirements 
of the program may be noncompetitively converted to term, career, or 
career-conditional appointments at any time within 120 days after 
satisfactory completion of the requirements for his/her diploma, 
certificate, or degree.
    (11) Program requirements for noncompetitive conversion. (i) 
Students, who are U.S. citizens, may be noncompetitively converted from 
the Student Career Experience Program to a term, career or career-
conditional appointment under Executive Order 12015 (as amended by 
Executive Order 13024) when students have:
    (A) Completed within the preceding 120 days, at an accredited 
school, course requirements conferring a diploma, certificate, or 
degree;
    (B) Completed at least 640 hours of career-related work (agencies 
have the option of increasing this requirement for some or all of its 
occupational fields), before completion of, or concurrently with, the 
course requirements;
    (C) Been recommended by the employing agency in which the career-
related work was performed; and
    (D) Met the qualification standards for the targeted position to 
which the student will be appointed.
    (ii) Conversions must be to an occupation related to the student's 
academic training and career related work experience.
    (iii) The noncompetitive conversion may be to a position within the 
same agency or any other agency within the Federal Government.
    (iv) Agencies who noncompetitively convert Student Career Experience 
Program participants to term appointments may also noncompetitively 
convert them to career or career-conditional appointments before the 
term appointments expire.
    (12) Agreement by all parties. (i) The Student Career Experience 
Program is a formally structured program and requires a written 
agreement by all parties (agency, school, student) as to the:
    (A) Nature of work assignments;
    (B) Schedule of work assignments and class attendance;
    (C) Evaluation procedures; and
    (D) Requirements for continuation and successful completion of the 
program.
    (ii) The work experience with the agency must be related to his/her 
academic/career goals.
    (13) Schedule. Agencies, participating educational institutions, and 
students should agree on a formally-arranged schedule of school and work 
to ensure that:
    (i) Work responsibilities do not interfere with academic 
performance;
    (ii) Completion of the educational program (awarding of diploma/
certificate/degree) and the Student Career Experience Program are 
accomplished in a reasonable and appropriate timeframe;
    (iii) The agency is informed and prepared for the student's periods 
of employment; and
    (iv) Requirements for non-competitive conversion to term, career, or 
career-conditional employment are understood by all parties.
    (14) Classification. Students whose positions are covered by the 
General Schedule will be classified as student trainees, to the -99 
series of the appropriate occupational group. Students whose positions 
are covered by the Federal Wage System will be classified as student 
trainees, to the -01 series of the appropriate occupational group.
    (15) Qualifications. Students may be evaluated by either agency-
developed standards or by the OPM qualifications requirements for the 
target position. Any OPM test requirements are waived. Students are 
eligible for promotion.
    (16) Benefits. (i) Students appointed under this program earn annual 
and sick leave and with no prior service or with less than 5 years of 
prior civilian service, are generally covered by the Federal Employees 
Retirement System (FERS) (see part 842 of this chapter).
    (ii) For life insurance and health benefits coverage refer to 
Sec. 870.202 and Sec. 890.102 of this chapter.

[[Page 76]]

    (17) Tuition assistance. Observing the prohibitions in 5 U.S.C. 
4107, agencies may use their training authority in 5 U.S.C. chapter 41 
and 5 CFR part 410 to pay all or part of training expenses directly 
related to students' official duties.
    (18) Travel and transportation. Agencies may pay for other expenses 
directly related to training, such as travel and transportation between 
duty station and school, for participants.
    (19) Reduction-in-force (RIF). (i) Students are in excepted service 
Tenure Group II for purposes of Sec. 351.502. They are accorded the same 
retention rights as excepted service employees.
    (ii) They may qualify for severance pay if involuntarily separated 
under part 550, subpart G of this chapter.
    (c)-(i) [Reserved]
    (j) Special executive development positions established in 
connection with Senior Executive Service candidate development programs 
which have been approved by OPM. A Federal agency may make new 
appointments under this authority for any period of employment not 
exceeding 3 years for one individual.
    (k)-(l) [Reserved]
    (m) Positions when filed under any of the following conditions:
    (1) Appointment at grades GS-15 and above, or equivalent, in the 
same or a different agency without a break in service from a career 
appointment in the Senior Executive Service (SES) of an individual who:
    (i) Has completed the SES probationary period;
    (ii) Has been removed from the SES because of less than fully 
successful executive performance, failure to be recertified, or a 
reduction in force; and
    (iii) Is entitled to be placed in another civil service position 
under 5 U.S.C. 3594(b).
    (2) Appointment in a different agency without a break in service of 
an individual originally appointed under paragraph (m)(l).
    (3) Reassignment, promotion, or demotion within the same agency of 
an individual appointed under this authority. U.S.C.
    (n) Positions when filled by preference eligibles or veterans who 
have been separated from the armed forces under honorable conditions 
after 3 years or more of continuous active military service and who, in 
accordance with the provisions of Pub.L. 105-339, applied for these 
positions under merit promotion procedures when applications were being 
accepted from individuals outside its own workforce. These veterans may 
be promoted, demoted, or reassigned, as appropriate, to other positions 
within the agency but would remain employed under this excepted 
authority as long as there is no break in service. No new appointments 
may be made under this authority after November 30, 1999.
    (o) The Federal Career Intern Program--(1) Appointments. 
Appointments made under the Federal Career Intern Program may not exceed 
2 years, except as described in paragraph (o)(2) of this section. 
Initial appointments shall be made to a position at the grades GS-5, 7, 
or 9 (and equivalent) or other trainee levels appropriate for the 
Program. Agencies must request OPM approval to cover additional grades 
to meet unique or specialized needs. Agencies will use part 302 of this 
chapter when making appointments under this Program.
    (2) Extensions. (i) Agencies must request, in writing, OPM approval 
to extend internships for up to 1 additional year beyond the authorized 
2 years for additional training and/or developmental activities.
    (ii) Agencies are delegated the authority to extend, without prior 
OPM approval, 2-year internships for up to an additional 120 days to 
cover rare or unusual circumstances, and where agencies have established 
criteria for approving extensions.
    (3) Qualifications. Candidates will be evaluated using OPM 
qualification requirements or OPM-approved, agency-specific 
qualification requirements.
    (4) Tenure Group. Career interns are in the excepted service Tenure 
Group II for purposes of Sec. 351.502 of this chapter. Expiration of the 
internship is not subject to part 351 of this chapter.
    (5) Promotions. During the internship period, individuals 
participating in the program may receive promotions as determined by an 
agency's plan. This provision does not confer entitlement to promotion.

[[Page 77]]

    (6) Conversion to Competitive Service. Except as provided in 
paragraph (o)(6)(ii) of this section, service as an intern shall confer 
no rights to further Federal employment in either the competitive or 
excepted service upon the expiration of the internship period.
    (i) Competitive civil service status may be granted to career 
interns who successfully complete their internships and meet all 
qualification, suitability, and performance requirements. These 
noncompetitive conversions will be effective on the date the 2-year 
service requirement is met, or at the end of the extended period.
    (ii) An employee who held a career or career-conditional appointment 
in an agency immediately before entering the Career Intern Program in 
the same agency, and who fails to complete the Career Intern Program for 
reasons unrelated to misconduct or suitability, shall be placed in a 
career or career-conditional position in the current agency at no lower 
grade or pay than the one the employee left to accept the position in 
the Career Intern Program. For purposes of this paragraph, agency means 
an Executive Department, Government corporation, or independent 
establishment as defined in 5 U.S.C. 105. An Executive Department may 
treat each of its bureaus or components (first major subdivision that is 
separately organized and clearly distinguished from other bureaus or 
components in work function and operation) as a separate agency or as 
part of one agency, but must do so by agency directive in establishing 
the program.
    (iii) Service under the Career Intern Program counts toward career 
tenure in the competitive service, if the Career Intern is converted to 
a career-conditional appointment under Sec. 315.712 of this chapter.
    (7) Terminations. The appointment of a career intern expires at the 
end of the 2-year internship period, plus any extensions. The employing 
agency may, with no break in service, convert the intern to a career or 
career-conditional appointment in accordance with Sec. 315.712 of this 
chapter. If an employee is not converted to a career or career-
conditional appointment, the career intern appointment terminates, 
unless specifically eligible for placement under paragraph (o)(6)(ii) of 
this section.
    (8) Career Development. Agencies will provide the career interns 
with formal training and developmental opportunities to acquire the 
appropriate agency-identified competencies needed for conversion. These 
activities may include, but are not limited to, formal training classes, 
rotational or other job assignments, attendance at conferences and 
seminars, interagency assignments, or other activities approved by the 
agency.
    (9) Agency Responsibilities. Each agency will determine the 
appropriate use of the Career Intern Program relating to recruitment 
needs in specific occupational series, grades, and geographical areas, 
ensuring that programs are developed and implemented in accordance with 
the merit system principles. Agencies may adapt the program to meet 
their individual requirements, including, but not limited to such 
aspects as:
    (i) Deciding how to delegate the authority to develop Career Intern 
Programs (e.g., department-wide versus bureaus and agency components);
    (ii) Defining the roles and responsibilities of supervisors and 
other key officials in career intern program administration, such as 
human resources staff, budget and finance staff, career counselors, or 
mentors;
    (iii) Designing, implementing, and documenting formal program(s) for 
the training and development of employees selected under the provisions 
of this Part, including the type and duration of assignments;
    (iv) Deciding how to inform the career interns of what will be 
expected during the internship, including developmental assignments and 
performance requirements; and
    (v) Planning, coordinating, implementing and monitoring program 
activities.

[47 FR 28904, July 2, 1982, as amended at 47 FR 38258, Aug. 31, 1982; 52 
FR 25194, July 6, 1987; 52 FR 43722, Nov. 16, 1987; 54 FR 15371, Apr. 
18, 1989; 54 FR 18875, May 3, 1989; 55 FR 26419, June 28, 1990; 56 FR 
170, Jan. 3, 1991; 59 FR 64841, Dec. 16, 1994; 62 FR 63628, Dec. 2, 
1997; 63 FR 57045, Oct. 26, 1998; 63 FR 66705, Dec. 3, 1998; 65 FR 
14431, Mar. 17, 2000; 65 FR 41868, July 7, 2000; 65 FR 78078, Dec. 14, 
2000]

[[Page 78]]

                               Schedule C



Sec. 213.3301  Positions of a confidential or policy-determining nature.

    (a) Upon specific authorization by OPM, agencies may make 
appointments under this section to positions which are policy-
determining or which involve a close and confidential working 
relationship with the head of an agency or other key appointed 
officials. Positions filled under this authority are excepted from the 
competitive service and constitute Schedule C. Each position will be 
assigned a number from Sec. 213.3302 to Sec. 213.3999, or other 
appropriate number, to be used by the agency in recording appointments 
made under that authorization.
    (b) When requesting Schedule C exception, agencies must submit to 
OPM a statement signed by the agency head certifying that the position 
was not created solely or primarily for the purpose of detailing the 
incumbent to the White House.
    (c) The exception from the competitive service for each position 
listed in Schedule C by OPM is revoked immediately upon the position 
becoming vacant. An agency shall notify OPM within 3 working days after 
a Schedule C position has been vacated.

[60 FR 35120, July 6, 1995]



Sec. 213.3302  Temporary transitional Schedule C positions.

    (a) An agency may establish temporary transitional Schedule C 
positions necessary to assist a department or agency head during the 1-
year period immediately following a change in presidential 
administration, when a new department or agency head has entered on 
duty, or when a new department or agency is created. These positions may 
be established only to meet legitimate needs of the agency in carrying 
out its mission during the period of transition associated with such 
changeovers. They must be of a confidential or policy-determining 
character and are subject to instructions issued by OPM.
    (b) The number of temporary transitional Schedule C positions 
established by an agency cannot exceed either 50 percent of the highest 
number of permanent Schedule C positions filled by that agency at any 
time over the previous 5 years, or three positions, whichever is higher. 
In the event a new department or agency is created, the number of 
temporary transitional positions should reasonable in light of the size 
and program responsibility of that department or agency. OPM may approve 
an increase in an agency's quota to meet a critical need or in unusual 
circumstances.
    (c) Individual appointments under this authority may be made for 120 
days, with one extension of an additional 120 days. They may be deemed 
provisional appointments for purposes of the regulations set out in 
parts 351, 831, 842, 870, and 890 of this chapter if they meet the 
criteria set out in Secs. 316.401 and 316.403 of this chapter.
    (d) An agency shall notify OPM within 5 working days after a 
temporary transitional Schedule C position has been encumbered and 
within 3 working days when it has been vacated. The agency must also 
submit to OPM a statement signed by the agency head certifying that the 
position was not created solely or primarily for the purpose of 
detailing the incumbent to the White House.

[60 FR 35120, July 6, 1995]



PART 214--SENIOR EXECUTIVE SERVICE--Table of Contents




Subpart A [Reserved]

                      Subpart B--General Provisions

Sec.
214.201 Definitions.
214.202 Authority to make determinations.
214.203 Reporting requirements.
214.204 Interchange agreements.

                          Subpart C--Exclusions

214.301 Exclusions.

                      Subpart D--Types of Positions

214.401 Types of positions.
214.402 Career reserved positions.
214.403 Change of position type.

    Authority: 5 U.S.C. 3132.

    Source: 45 FR 62414, Sept. 19, 1980, unless otherwise noted.

Subpart A [Reserved]

[[Page 79]]



                      Subpart B--General Provisions



Sec. 214.201  Definitions.

    For the purposes of this part:
    Agency, Senior Executive Service position, career appointee, limited 
term appointee, limited emergency appointee, and noncareer appointee 
have the meanings set forth in section 3132(a) of title 5, United States 
Code.
    Equivalent position as used in section 3132(a)(2) of title 5, United 
States Code, means a position under any pay system where the level of 
the duties and responsibilities of the position and the rate of pay are 
comparable to that of a position above GS-15 or at Executive Level IV or 
V.
    Senior Executive Service has the meaning given that term by section 
2101a of title 5, United States Code, and includes all positions which 
meet the definition in section 3132(a)(2) of title 5.

[45 FR 62414, Sept. 19, 1980, as amended at 56 FR 18661, Apr. 23, 1991]



Sec. 214.202  Authority to make determinations.

    (a) Each agency is responsible for determining, in accordance with 
Office of Personnel Management guidelines, which of its positions should 
be included in the Senior Executive Service.
    (b) Agency determinations may be reviewed by the Office of Personnel 
Management to ensure adherence with law and regulation.



Sec. 214.203  Reporting requirements.

    Agencies shall report such information as may be requested by OPM 
relating to positions and employees in the Senior Executive Service.

[60 FR 6385, Feb. 2, 1995]



Sec. 214.204  Interchange agreements.

    (a) In accordance with 5 CFR 6.7, OPM and any agency with an 
executive personnel system essentially equivalent to the Senior 
Executive Service (SES) may, pursuant to legislative and regulatory 
authorities, enter into an agreement providing for the movement of 
persons between the SES and the other system. The agreement shall define 
the status and tenure that the persons affected shall acquire upon the 
movement.
    (b) Persons eligible for movement must be serving in permanent, 
continuing positions with career or career-type appointments. They must 
meet the qualifications requirements of any position to which moved.
    (c) An interchange agreement may be discontinued by either party 
under such conditions as provided in the agreement.

[60 FR 6385, Feb. 2, 1995]



                          Subpart C--Exclusions



Sec. 214.301  Exclusions.

    If not excluded from the Senior Executive Service by section 3132(a) 
(1) or (2) of title 5, United States Code, an agency, or unit thereof, 
may be excluded only under the provisions of section 3132 (c) through 
(f) of title 5.



                      Subpart D--Types of Positions



Sec. 214.401  Types of positions.

    There are two types of positions in the Senior Executive Service:
    (a) General positions, which may be filled by a career, noncareer, 
limited emergency, or limited term appointee.
    (b) Career reserved positions, which may be filled only by a career 
appointee.



Sec. 214.402  Career reserved positions.

    (a) The head of each agency is responsible for designating career 
reserved positions in accordance with the regulations in this section.
    (b) A position shall be designated as a career reserved position if:
    (1) The position (except a position in the Executive Office of the 
President):
    (i) Was under the Executive Schedule, or the rate of basic pay was 
determined by reference to the Executive Schedule, on October 12, 1978;
    (ii) Was specifically required under section 2102 of title 5, United 
States Code, or otherwise required by law to be in the competitive 
service; and
    (iii) Entailed direct responsibility to the public for the 
management or operation of particular government programs or functions; 
or

[[Page 80]]

    (2) The position must be filled by a career appointee to ensure 
impartiality, or the public's confidence in the impartiality, of the 
Government.
    (c) The head of an agency shall use the following criteria in 
determining whether paragraph (b)(2) of this section is applicable to an 
individual position:
    (1) Career reserved positions include positions the principal duties 
of which involve day-to-day operations, without responsibility for or 
substantial involvement in the determination or public advocacy of the 
major controversial policies of the Administration or agency, in the 
following occupational disciplines:
    (i) Adjudication and appeals;
    (ii) Audit and inspection;
    (iii) Civil or criminal law enforcement and compliance;
    (iv) Contract administration and procurement;
    (v) Grants administration;
    (vi) Investigation and security matters; and
    (vii) Tax liability, including the assessment or collection of taxes 
and the preparation or review of interpretative opinions.
    (2) Career reserved positions also include:
    (i) Scientific or other highly technical or professional positions 
where the duties and responsibilities of the specific position are such 
that it must be filled by a career appointee to insure impartiality, of 
the Government.
    (ii) Other positions requiring impartiality, or the public's 
confidence in impartiality, as determined by an agency in light of its 
mission.
    (d) The Office of Personnel Management may review agency 
designations of general and career reserved positions. If the Office 
finds that an agency has designated any position as general that should 
be career reserved, it shall direct the agency to make the career 
reserved designation.
    (e) The minimum number of positions in the Senior Executive Service 
Governmentwide that must be career reserved is 3,571 as determined by 
the Director of the Office of Personnel Management under section 3133(e) 
of 5 U.S.C. To assure that this figure is met, the Office may establish 
a minimum number of career reserved positions for individual agencies. 
An agency must maintain or exceed this number unless it is adjusted by 
the Office.

[45 FR 62414, Sept. 19, 1980; 45 FR 83471, Dec. 19, 1980]



Sec. 214.403  Change of position type.

    An agency may not change the designation of an established position 
from career reserved to general, or from general to career reserved, 
without the prior approval of the Office of Personnel Management.



PART 230--ORGANIZATION OF THE GOVERNMENT FOR PERSONNEL MANAGEMENT--Table of Contents




Subparts A-C [Reserved]

  Subpart D--Agency Authority to Take Personnel Actions in a National 
                                Emergency

Sec.
230.401 Agency authority to take personnel actions in a national 
          emergency disaster.
230.402 Agency authority to make emergency-indefinite appointments in a 
          national emergency.

    Authority: 5 U.S.C. 1302, 3301, 3302; E.O. 10577; 3 CFR 1954--1958 
Comp., p. 218; sec. 230.402 also issued under 5 U.S.C. 1104.

Subparts A-C [Reserved]



  Subpart D--Agency Authority To Take Personnel Actions in a National 
                                Emergency



Sec. 230.401  Agency authority to take personnel actions in a national emergency disaster.

    (a) Upon an attack on the United States, agencies are authorized to 
carry out whatever personnel activities may be necessary to the 
effective functioning of their organizations during a period of disaster 
without regard to any regulation or instruction of OPM, except those 
which become effective upon or following an attack on the United States. 
This authority applies only to actions under OPM jurisdiction.
    (b) Actions taken under this section shall be consistent with 
affected regulations and instructions as far as possible under the 
circumstances and shall

[[Page 81]]

be discontinued as soon as conditions permit the reapplication of the 
affected regulations and instructions.
    (c) An employee may not acquire a competitive civil service status 
by virtue of any action taken under this section.
    (d) Actions taken, and authority to take actions, under this section 
may be adjusted or terminated in whole or in part by OPM.
    (e) Agencies shall maintain records of the actions taken under this 
section.

[35 FR 5173, Mar. 27, 1970]



Sec. 230.402  Agency authority to make emergency-indefinite appointments in a national emergency.

    (a) When a national emergency exists--(1) Definition. A national 
emergency must meet all of the following conditions:
    (i) It was declared by the President or Congress.
    (ii) It involves a danger to the United States' safety, security, or 
stability that results from specified circumstances or conditions and 
that is national in scope.
    (iii) It requires a national program specifically intended to combat 
the threat to national safety, security, or stability.
    (2) Termination of a national emergency. A national emergency no 
longer exists if it is officially terminated by the President or 
Congress, or if the specific circumstances, conditions, or program cited 
in the original declaration are terminated or corrected.
    (b) Basic authority. Agencies may make emergency-indefinite 
appointments without OPM approval during any national emergency as 
defined in paragraph (a) of this section. The head of an agency with a 
defense-related mission may request OPM's approval to make emergency-
indefinite appointments without a declared national emergency when the 
President has authorized the call-up of some portion of the military 
reserves for some military purpose. The request must demonstrate that 
normal hiring procedures cannot meet surge employment requirements and 
that use of emergency-indefinite appointments is necessary for economy 
and efficiency. Except as provided by paragraphs (c) and (d) of this 
section, agencies must make emergency-indefinite appointments from 
appropriate registers of eligibles as long as there are available 
eligibles.
    (c) Appointment under direct-hire authority. An agency may make 
emergency-indefinite appointments under this section using the direct-
hire procedures in part 337 of this chapter.
    (d) Appointment noncompetitively. An agency may give emergency-
indefinite appointments under this section to the following classes of 
persons without regard to registers of eligibles and the provisions in 
Sec. 332.102 of this chapter:
    (1) Persons who were recruited on a standby basis prior to the 
national emergency;
    (2) Members of the National Defense Executive Reserve, designated in 
accordance with section 710(e) of the Defense Production Act of 1950, 
Executive Order 11179 of September 22, 1964, and applications issued by 
the agency authorized to implement the law and Executive Order; and
    (3) Former Federal employees eligible for reinstatement.
    (e) Tenure of emergency-indefinite employees. (1) Emergency-
indefinite employees do not acquire a competitive status on the basis of 
their emergency-indefinite appointments.
    (2) An emergency-indefinite appointment may be continued for the 
duration of the emergency for which it is made.
    (f) Trial period. (1) The first year of service of an emergency-
indefinite employee is a trial period.
    (2) The agency may terminate the appointment of an emergency-
indefinite employee at any time during the trial period. The employee is 
entitled to the procedures set forth in Sec. 315.804 or Sec. 315.805 of 
this chapter as appropriate.
    (g) Eligibility for within-grade increases. An emergency-indefinite 
employee serving in a position subject to the General Schedule is 
eligible for within-grade increases in accordance with subpart D of part 
531 of this chapter.
    (h) Applications of other regulations. (1) The term indefinite 
employee includes an emergency-indefinite employee or an employee under 
an emergency appointment as used in the following: Parts 351, 353 of 
this chapter, subpart G

[[Page 82]]

of part 550 of this chapter, and part 752 of this chapter.
    (2) The selection procedures of part 337 of this chapter apply to 
emergency-indefinite appointments that use the direct-hire authority 
under paragraph (c) of this section.
    (3) Despite the provisions in Sec. 831.201(a)(11) of this chapter, 
an employee serving under an emergency-indefinite appointment under 
authority of this section is excluded from retirement coverage, except 
as provided in paragraph (b) of Sec. 831.201 of this chapter.
    (i) Promotion, demotion, or reassignment. An agency may promote, 
demote, or reassign an emergency-indefinite employee to any position for 
which it is making emergency-indefinite appointments.

(5 U.S.C. 1104; Pub. L. 95-454, sec. 3(5))

[44 FR 54691, Sept. 21, 1979, as amended at 60 FR 3057, Jan. 13, 1995; 
68 FR 35268, June 13, 2003]



PART 250--PERSONNEL MANAGEMENT IN AGENCIES--Table of Contents




         Subpart A--Authority for Personnel Actions in Agencies

Sec.
250.101 Standards and requirements for agency personnel actions.
250.102 Delegation agreements.
250.103 Taking corrective action or suspending or withdrawing agency 
          authority.

    Authority: 5 U.S.C. 1101 note, 1104, 1302, 3301, 3302; E.O. 10577, 
12 FR 1259, 3 CFR, 1954-1958 Comp., p. 218.

    Source: 58 FR 36119, July 6, 1993, unless otherwise noted.



         Subpart A--Authority for Personnel Actions in Agencies



Sec. 250.101  Standards and requirements for agency personnel actions.

    In taking a personnel action authorized by this chapter, each agency 
shall comply with the qualification standards and regulations issued by 
the Office of Personnel Management, the instructions published by OPM in 
the Guide to Processing Personnel Actions, and the provisions of any 
agreement development between OPM and the agency in connection with 
delegation of a specific authority. When a personnel action is being 
taken as a result of an order of a Court or a settlement agreement, or a 
decision or order of or a settlement agreement or an arbitral award 
reached under the labor arbitration process or the rules and regulations 
of the Merit Systems Protection Board, the Equal Employment Opportunity 
Commission, the Federal Labor Relations Authority, or OPM, the agency 
shall follow the instructions in the Guide to Processing Personnel 
Actions, and must comply with all other relevant substantive and 
documentary requirements, including those applicable to retirement, life 
insurance, and health benefits.

[58 FR 36119, July 6, 1993, as amended at 66 FR 66709, Dec. 27, 2001]



Sec. 250.102  Delegation agreements.

    In certain circumstances, an agency will receive authorities through 
a delegation agreement developed between the agency and OPM. The 
agreement will set forth the conditions for application of the delegated 
authorities. The agreement will include a description of minimum 
standards of performance and the system of oversight to be used by the 
agency and by OPM in monitoring the use of each delegated authority.



Sec. 250.103  Taking corrective action or suspending or withdrawing agency authority.

    If OPM finds that an agency has taken an action contrary to a law, 
rule, regulation, or standard which OPM administers, it may require the 
agency to take corrective action. OPM may suspend or withdraw any 
authority granted under this chapter to an agency, including any 
authority granted by delegation agreement, when it finds that the agency 
has not complied with qualification standards issued by OPM, the 
instructions published by OPM, or the regulations in this chapter; or 
that the suspension or withdrawal is in the interest of the service for 
any other reason. OPM may suspend or revoke a delegation agreement 
established under Sec. 250.102 at any time,

[[Page 83]]

if it judges that the agency is not adhering to the provisions of the 
agreement.

[58 FR 36119, July 6, 1993, as amended at 66 FR 66709, Dec. 27, 2001]



PART 251--AGENCY RELATIONSHIPS WITH ORGANIZATIONS REPRESENTING FEDERAL EMPLOYEES AND OTHER ORGANIZATIONS--Table of Contents




                      Subpart A--General Provisions

Sec.
251.101 Introduction.
251.102 Coverage.
251.103 Definitions.

    Subpart B--Relationships With Organizations Representing Federal 
                    Employees and Other Organizations

251.201 Associations of management officials and/or supervisors.
251.202 Agency support to organizations representing Federal employees 
          and other organizations.

                       Subpart C--Dues Withholding

251.301 Associations of management officials and/or supervisors.
251.302 All other organizations.

    Authority: 5 U.S.C. 1104; 5 U.S.C. Chap 7; 5 U.S.C. 7135; 5 U.S.C. 
7301; and E.O. 11491.

    Source: 61 FR 32915, June 26, 1996, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 251.101  Introduction.

    (a) The regulations in this part apply to all Federal executive 
branch departments and agencies and their officers and employees.
    (b) This part provides a framework for consulting and communicating 
with non-labor organizations representing Federal employees and with 
other organizations on matters related to agency operations and 
personnel management.
    (c) The purposes of consultation and communication are: the 
improvement of agency operations, personnel management, and employee 
effectiveness; the exchange of information (e.g., ideas, opinions, and 
proposals); and the establishment of policies that best serve the public 
interest in accomplishing the mission of the agency.
    (d) An agency's consultation and communication with organizations 
representing Federal employees and with other organizations under this 
part may not take on the character of negotiations or consultations 
regarding conditions of employment of bargaining unit employees, which 
is reserved exclusively to labor organizations as provided for in 
Chapter 71 of title 5 of the U.S. Code or comparable provisions of other 
laws. The regulations in this part do not authorize any actions 
inconsistent with Chapter 71 of the U.S. Code or comparable provisions 
of other laws.
    (e) The head of a Federal agency may determine that it is in the 
interest of the agency to consult, from time to time, with organizations 
other than labor organizations and associations of management officials 
and/or supervisors to the extent permitted by law. Under section 7(d)(2) 
and (3) of Executive Order 11491, as amended, recognition of a labor 
organization does not preclude an agency from consulting or dealing with 
a veterans organization, or with a religious, social, fraternal, 
professional, or other lawful association, not qualified as a labor 
organization, with respect to matters or policies which involve 
individual members of the organization or association or are of 
particular applicability to it or its members.
    (f) Federal employees, including management officials and 
supervisors, may communicate with any Federal agency, officer, or other 
Federal entity on the employee's own behalf. However, Federal employees 
should be aware that 18 U.S.C. 205, in pertinent part, restricts Federal 
employees from acting, other than in the proper discharge of their 
official duties, as agents or attorneys for any person or organization 
other than a labor organization, before any Federal agency or other 
Federal entity in connection with any matter in which the United States 
is a party or has a direct and substantial interest. An exception to the 
prohibition found in 18 U.S.C. 205 permits Federal employees to 
represent certain nonprofit organizations

[[Page 84]]

before the Government except in connection with specified matters. 
Agency officials and employees are therefore advised to consult with 
their designated agency ethics officials for guidance regarding any 
conflicts of interest that may arise.

[61 FR 32915, June 26, 1996, as amended at 63 FR 2306, Jan. 15, 1998]



Sec. 251.102  Coverage.

    To be covered by this part, an association or organization:
    (a) Must be a lawful, nonprofit organization whose constitution and 
bylaws indicate that it subscribes to minimum standards of fiscal 
responsibility and employs democratic principles in the nomination and 
election of officers;
    (b) Must not discriminate in terms of membership or treatment 
because of race, color, religion, sex, national origin, age, or 
handicapping condition;
    (c) Must not assist or participate in a strike, work stoppage, or 
slowdown against the Government of the United States or any agency 
thereof or impose a duty or obligation to conduct, assist, or 
participate in such strike, work stoppage, or slowdown; and
    (d) Must not advocate the overthrow of the constitutional form of 
Government of the United States.



Sec. 251.103  Definitions.

    (a) Organization representing Federal employees and other 
organizations means an organization other than a labor organization that 
can provide information, views, and services which will contribute to 
improved agency operations, personnel management, and employee 
effectiveness. Such an organization may be an association of Federal 
management officials and/or supervisors, a group representing 
minorities, women or persons with disabilities in connection with the 
agencies' EEO programs and action plans, a professional association, a 
civic or consumer group, and organization concerned with special social 
interests, and the like.
    (b) Association of management officials and/or supervisors means an 
association comprised primarily of Federal management officials and/or 
supervisors, which is not eligible for recognition under Chapter 71 of 
title 5 of the U.S. Code or comparable provisions of other laws, and 
which is not affiliated with a labor organization or federation of labor 
organizations.
    (c) Labor organization means an organization as defined in 5 U.S.C. 
7103(a)(4), which is in compliance with 5 U.S.C. 7120, or as defined in 
comparable provisions of other laws.



    Subpart B--Relationships With Organizations Representing Federal 
                    Employees and Other Organizations



Sec. 251.201  Associations of management officials and/or supervisors.

    (a) As part of agency management, supervisors and managers should be 
included in the decision-making process and notified of executive-level 
decisions on a timely basis. Each agency must establish and maintain a 
system for intra-management communication and consultation with its 
supervisors and managers. Agencies must also establish consultative 
relationships with associations whose membership is primarily composed 
of Federal supervisory and/or managerial personnel, provided that such 
associations are not affiliated with any labor organization and that 
they have sufficient agency membership to assure a worthwhile dialogue 
with executive management. Consultative relationships with other non-
labor organizations representing Federal employees are discretionary.
    (b) Consultations should have as their objectives the improvement of 
managerial effectiveness and the working conditions of supervisors and 
managers, as well as the identification and resolution of problems 
affecting agency operations and employees, including supervisors and 
managers.
    (c) The system of communication and consultation should be designed 
so that individual supervisors and managers are able to participate if 
they are not affiliated with an association of management officials and/
or supervisors. At the same time, the voluntary joining together of 
supervisory and management personnel in groups of associations shall not 
be precluded or discouraged.

[[Page 85]]



Sec. 251.202  Agency support to organizations representing Federal employees and other organizations.

    (a) An agency may provide support services to an organization when 
the agency determines that such action would benefit the agency's 
programs or would be warranted as a service to employees who are members 
of the organization and complies with applicable statutes and 
regulations. Examples of such support services are as follows:
    (1) Permitting employees, in appropriate cases, to use agency 
equipment or administrative support services for preparing papers to be 
presented at conferences or symposia or published in journals;
    (2) Using the authority under 5 U.S.C. 4109 and 4110, as implemented 
by 5 CFR part 410, to pay expenses of employees to attend professional 
organization meetings when such attendance is for the purpose of 
employee development or directly concerned with agency functions or 
activities and the agency can derive benefits from employee attendance 
at such meetings; and
    (3) Following a liberal policy in authorizing excused absence for 
other employees who are willing to pay their own expenses to attend a 
meeting of a professional association or other organization from which 
an agency could derive some benefits.
    (b) Agencies may provide Government resources support to 
organizations (such as space in Government facilities for meeting 
purposes and the use of agency bulletin boards, internal agency mail 
distribution systems, electronic bulletin boards and other means of 
informing agency employees about meetings and activities) in accordance 
with appropriate General Services Administration regulations contained 
in title 41 of the Code of Federal Regulations. The mere provision of 
such support to any organization is not to be construed as Federal 
sponsorship, sanction, or endorsement of the organization or its 
activities.



                       Subpart C--Dues Withholding



Sec. 251.301  Associations of management officials and/or supervisors.

    Dues withholding for associations of management officials and/or 
supervisors is covered in 5 CFR 550.331.



Sec. 251.302  All other organizations.

    Under 5 CFR 550.311(b), an agency may permit an employee to make an 
allotment for any legal purpose deemed appropriate by the head of the 
agency. Agencies may provide for the allotment of dues for organizations 
representing Federal employees under that section.



PART 293--PERSONNEL RECORDS--Table of Contents




      Subpart A--Basic Policies on Maintenance of Personnel Records

Sec.
293.101 Purpose and scope.
293.102 Definitions.
293.103 Recordkeeping standards.
293.104 Collection of information.
293.105 Restrictions on collection and use of information.
293.106 Safeguarding information about individuals.
293.107 Special safeguards for automated records.
293.108 Rules of conduct.

         Subpart B--Personnel Records Subject to the Privacy Act

293.201 Purpose.
293.202 Records subject to Office or agency Privacy Act regulations.
293.203 Review of Office or agency practices.

                  Subpart C--Official Personnel Folder

293.301 Applicability of regulations.
293.302 Establishment of Official Personnel Folder.
293.303 Ownership of folder.
293.304 Maintenance and content of folder.
293.305 Type of folder to be used.
293.306 Use of existing folders upon transfer or reemployment.
293.307 Disposition of folders of former Federal employees.
293.308 Removal of temporary records from OPFs.
293.309 Reconstruction of lost OPFs.

[[Page 86]]

293.310 Response to requests for information.
293.311 Availability of information.

           Subpart D--Employee Performance File System Records

293.401 Applicability of regulations.
293.402 Establishment of separate employee performance record system.
293.403 Contents of employee performance files.
293.404 Retention schedule.
293.405 Disposition of records.
293.406 Disclosure of records.

             Subpart E--Employee Medical File System Records

293.501 Applicability of regulations.
293.502 Definitions.
293.503 Implementing instructions.
293.504 Composition of, and access to, the Employee Medical File System.
293.505 Establishment and protection of Employee Medical Folder.
293.506 Ownership of the Employee Medical Folder.
293.507 Maintenance and content of the Employee Medical Folder.
293.508 Type of folder to be used.
293.509 Use of existing Employee Medical Folders upon transfer or 
          reemployment.
293.510 Disposition of Employee Medical Folders.
293.511 Retention schedule.

    Authority: 5 U.S.C. 552 and 4315; E.O. 12107 (December 28, 1978), 3 
CFR 1954-1958 Comp.; 5 U.S.C. 1103, 1104, and 1302; 5 CFR 7.2; E.O. 
9830; 3 CFR 1943-1948 Comp.; 5 U.S.C. 2951(2) and 3301; and E.O. 12107.

    Source: 44 FR 65033, Nov. 9, 1979, unless otherwise noted.



      Subpart A--Basic Policies on Maintenance of Personnel Records



Sec. 293.101  Purpose and scope.

    (a) This subpart sets forth basic policies governing the creation, 
development, maintenance, processing, use, dissemination, and 
safeguarding of personnel records which the Office of Personnel 
Management requires agencies to maintain in the personnel management or 
personnel policy setting process.
    (b) Agencies in the Executive Branch of the Federal Government are 
subject to specific Office of Personnel Management recordkeeping 
requirements to varying degrees, pursuant to statute, Office regulation, 
or formal agreements between the Office and agencies. This subpart 
applies to any department or independent establishment in the Executive 
Branch of the Federal Government, including a government corporation or 
Government controlled corporation, except those specifically excluded 
from Office recordkeeping requirements by statute, Office regulation, or 
formal agreement between the Office and that agency.



Sec. 293.102  Definitions.

    In this part:
    Agency means any executive department, military department, 
Government corporation, Government controlled corporation, or other 
establishment in the Executive Branch of the Government (including the 
Executive Office of the President), or any independent regulatory 
agency;
    Data subject means the individual about whom the Office or agency is 
maintaining information in a system of records;
    Individual means a citizen of the United States or an alien lawfully 
admitted for permanent residence;
    Information means papers, records, photographs, magnetic storage 
media, micro storage media, and other documentary materials regardless 
of physical form or characteristics, containing data about an individual 
and required by the Office in pursuance of law or in connection with the 
discharge of official business, as defined by statute, regulation, or 
administrative procedure;
    Maintain includes collect, use, or disseminate;
    Office means the Office of Personnel Management;
    Personnel record means any record concerning an individual which is 
maintained an used in the personnel management or personnel 
policysetting process. (For purposes of this part, this term is not 
limited just to those personnel records in a system of records and 
subject to the Privacy Act);
    Record means any item, collection, or grouping of information about 
an individual that is maintained by an agency, including, but not 
limited to, his or her education, financial transactions,

[[Page 87]]

medical history, criminal history, or employment history;
    System of records means a group of records under the control of any 
agency from which information is retrieved by the name of the individual 
or by some identifying number, symbol, or other identifying particular 
assigned to the individual.



Sec. 293.103  Recordkeeping standards.

    (a) The head of each agency shall ensure that persons having access 
to or involved in the creation, development, processing, use, or 
maintenance of personnel records are informed of pertinent recordkeeping 
regulations and requirements of the Office of Personnel Management and 
the agency. Authority to maintain personnel records does not constitute 
authority to maintain information in the record merely because it may be 
useful; both Government-wide and internal agency personnel records shall 
contain only information concerning an individual that is relevant and 
necessary to accomplish the Federal personnel management purposes 
required by statute, Executive order, or Office regulation.
    (b) The Office is responsible for establishing minimum standards of 
accuracy, relevancy, necessity, timeliness, and completeness for 
personnel records it requires agencies to maintain. These standards are 
discussed in appropriate chapters of the Guide to Personnel 
Recordkeeping. Before approval of any agency requests for changes in 
recordkeeping practices governed by the Guide to Personnel 
Recordkeeping, the Office will examine the proposal or request in the 
context of such standards set forth by the agency in support of the 
proposal and in light of the personnel program area that requires these 
records.

[44 FR 65033, Nov. 9, 1979, as amended at 66 FR 66709, Dec. 27, 2001]



Sec. 293.104  Collection of information.

    (a) Any information in personnel records whether or not those 
records are in a system of records, used in whole or in part in making a 
determination about an individual's rights, benefits, or privileges 
under Federal personnel programs should, to the greatest extent 
practicable, be collected directly from the individual concerned. 
Factors to be considered in determining whether to collect the data from 
the individual concerned or a third party are when:
    (1) The nature of the information is such that it can only be 
obtained from another party;
    (2) The cost of collecting the information directly from the 
individual is unreasonable when compared with the cost of collecting it 
from another party;
    (3) There is virtually no risk that information collected from other 
parties, if inaccurate, could result in a determination adverse to the 
individual concerned;
    (4) The information supplied by an individual must be verified by 
another party; or
    (5) There are provisions made, to the greatest extent practicable, 
to vertify information collected from another party with the individual 
concerned.



Sec. 293.105  Restrictions on collection and use of information.

    (a) First Amendment. Personnel records describing how individuals 
exercise rights guaranteed by the First Amendment are prohibited unless 
expressly authorized by statute, or by the individual concerned, or 
unless pertinent to and within the scope of an authorized law 
enforcement activity. These rights include, but are not limited to, free 
exercise of religious and political beliefs, freedom of speech and the 
press, and freedom to assemble and to petition the government.
    (b) Social Security Number.
    (1) Agencies may not require individuals to disclose their Social 
Security Number unless disclosure would be required;
    (i) Under Federal statute; or
    (ii) Under any statute, Executive order, or regulation that 
authorizes any Federal, State, or local agency maintaining a system of 
records that was in existence and operating prior to January 1, 1975, to 
request the Social Security Number as a necessary means of verifying the 
identity of an individual.
    (2) Individuals asked to voluntarily (circumstances not covered by 
paragraph (b)(1) of this section) provide

[[Page 88]]

their Social Security Number shall suffer no penalty or denial of 
benefits for refusing to provide it.



Sec. 293.106  Safeguarding information about individuals.

    (a) To ensure the security and confidentiality of personnel records, 
in whatever form, each agency shall establish administrative, technical, 
and physical controls to protect information in personnel records from 
unauthorized access, use, modification, destruction, or disclosure. As a 
minimum, these controls shall require that all persons whose official 
duties require access to and use of personnel records be responsible and 
accountable for safeguarding those records and for ensuring that the 
records are secured whenever they are not in use or under the direct 
control of authorized persons. Generally, personnel records should be 
held, processed, or stored only where facilities and conditions are 
adequate to prevent unauthorized access.
    (b) Personnel records must be stored in metal filing cabinets which 
are locked when the records are not in use, or in a secured room. 
Alternative storage facilities may be employed provided they furnish an 
equivalent or greater degree of security than these methods. Except for 
access by the data subject, only employees whose official duties require 
access shall be allowed to handle and use personnel records, in whatever 
form or media the records might appear. To the extent feasible, entry 
into personnel record storage areas shall be similarly limited. 
Documentation of the removal of records from storage areas must be kept 
so that adequate control procedures can be established to assure that 
removed records are returned on a timely basis.
    (c) Disposal and destruction of personnel records shall be in 
accordance with the General Record Schedule issued by the General 
Services Administration for the records or, alternatively, with Office 
or agency records control schedules approved by the National Archives 
and Records Service of the General Services Administration.



Sec. 293.107  Special safeguards for automated records.

    (a) In addition to following the security requirements of 
Sec. 293.106 of this part, managers of automated personnel records shall 
establish administrative, technical, physical, and security safeguards 
for data about individuals in automated records, including input and 
output documents, reports, punched cards, magnetic tapes, disks, and on-
line computer storage. The safeguards must be in writing to comply with 
the standards on automated data processing physical security issued by 
the National Bureau of Standards, U.S. Department of Commerce, and, as a 
minimum, must be sufficient to:
    (1) Prevent careless, accidental, or unintentional disclosure, 
modification, or destruction of identifiable personal data;
    (2) Minimize the risk that skilled technicians or knowledgeable 
persons could improperly obtain access to, modify, or destroy 
identifiable personnel data;
    (3) Prevent casual entry by unskilled persons who have no official 
reason for access to such data;
    (4) Minimize the risk of an unauthorized disclosure where use is 
made of identifiable personal data in testing of computer programs;
    (5) Control the flow of data into, through, and from agency computer 
operations;
    (6) Adequately protect identifiable data from environmental hazards 
and unneccessary exposure; and
    (7) Assure adequate internal audit procedures to comply with these 
procedures.
    (b) The disposal of identifiable personal data in automated files is 
to be accomplished in such a manner as to make the data unobtainable to 
unauthorized personnel. Unneeded personal data stored on reusable media 
such as magnetic tapes and disks must be erased prior to release of the 
media for reuse.



Sec. 293.108  Rules of conduct.

    (a) Scope. These rules of conduct apply to all Office and agency 
employees responsible for creation, development, maintenance, 
processing, use,

[[Page 89]]

dissemination, and safeguarding of personnel records. The Office and 
agencies shall require that such employees are familiar with these and 
appropriate supplemental agency internal regulations.
    (b) Standards of conduct. Office and agency employees whose official 
duties involve personnel records shall be sensitive to individual rights 
to personal privacy and shall not disclose information from any 
personnel record unless disclosure is part of their official duties or 
required by executive order, regulation, or statute (e.g., required by 
the Freedom of Information Act, 5 U.S.C. 552).
    (c) Improper uses of personnel information. Any Office or agency 
employee who makes a disclosure of personnel records knowing that such 
disclosure is unauthorized, or otherwise knowingly violates these 
regulations, shall be subject to disciplinary action and may also be 
subject to criminal penalties where the records are subject to the 
Privacy Act (5 U.S.C. 552a). Employees are prohibited from using 
personnel information not available to the public, gained through 
official duties, for commercial solicitation or sale, or for personal 
gain.



         Subpart B--Personnel Records Subject to the Privacy Act



Sec. 293.201  Purpose.

    The purpose of this subpart is to set forth the criteria to be used 
to determine when personnel records on individuals are subject both to 
the regulations contained in this part and to Office or agency 
regulations implementing the Privacy Act of 1974, 5 U.S.C. 552a. When 
personnel records are maintained within a system of records, the records 
are deemed to be within the scope of both the regulations in this part 
and Office or agency regulations implementing the Privacy Act.



Sec. 293.202  Records subject to Office or agency Privacy Act regulations.

    When the Office of Personnel Management publishes in the Federal 
Register a notice of system of records for personnel records which are 
maintained by the agencies or by the Office, that system of records will 
be subject to the regulations in this part and also to the regulations 
in part 297 of this chapter. When agencies publish a notice of system of 
records for personnel records required by the Office that are not 
included in the Office's notices, those agency systems of records will 
be subject both to the regulations contained in this part and to agency 
promulgated regulations that implement the Privacy Act.



Sec. 293.203  Review of Office or agency practices.

    Reviews of agency personnel management policies and practices will 
be conducted to insure compliance with Office regulations. The Office 
may direct agencies to take whatever corrective action is necessary. 
Office or agency officials who have knowledge of violations of these 
regulations shall take whatever corrective action is necessary. Agencies 
shall list officials of the Office of Personnel Management as a routine 
user for personnel records to assist the Office in its oversight 
responsibilities.



                  Subpart C--Official Personnel Folder

    Authority: 5 U.S.C. 552, 5 U.S.C. 552a; E.O. 12107 (December 28, 
1978); 5 U.S.C. 1302, 3 CFR 1954-1958 Compilation; 5 CFR 7.2; E.O. 9830; 
3 CFR 1943-1948 Compilation.

    Source: 50 FR 3309, Jan. 24, 1985, unless otherwise noted.



Sec. 293.301  Applicability of regulations.

    This subpart applies to, and within this subpart agency means, each 
executive department and independent establishment of the Federal 
Government, each corporation wholly owned or controlled by the United 
States, and with respect to positions subject to civil service rules and 
regulations, the legislative and judicial branches of the Federal 
Government.



Sec. 293.302  Establishment of Official Personnel Folder.

    Each agency shall establish an Official Personnel Folder (OPF) for 
each employee occupying a position subject to this part, except as 
provided in Sec. 293.306. Except as provided in the Guide to Personnel 
Recordkeeping,

[[Page 90]]

there will be only one OPF maintained for each employee regardless of 
service in various agencies.

[50 FR 3309, Jan. 24, 1985, as amended at 66 FR 66709, Dec. 27, 2001]



Sec. 293.303  Ownership of folder.

    The OPF of each employee in a position subject to civil service 
rules and regulations is under the jurisdiction and control of, and is 
part of the records of, the Office of Personnel Management (the Office).



Sec. 293.304  Maintenance and content of folder.

    The head of each agency shall maintain in the Official Personnel 
Folder the reports of selection and other personnel actions named in 
section 2951 of title 5, United States Code. The folder shall contain 
long-term records affecting the employee's status and service as 
required by OPM's instructions and as designated in the Guide to 
Personnel Recordkeeping.

[58 FR 65533, Dec. 15, 1993]



Sec. 293.305  Type of folder to be used.

    Each agency shall use only OPFs from Office of Federal Supply and 
Services stock (Standard Form 66) for the folders required by this part.



Sec. 293.306  Use of existing folders upon transfer or reemployment.

    When an agency hires a person who has served on or after April 1, 
1947, in a position subject to this part, it shall request the transfer 
of the OPF pertaining to the person's employment. The folder so obtained 
shall be used in lieu of establishing a new OPF. In the event that the 
prior service occurred wholly before April 1, 1947, the agency shall 
request any files or records that may be located in the Federal records 
storage center. The request shall note that because of the dates of 
service there will likely be no OPF. Any such file or record found for 
this individual shall be incorporated into the OPF being established for 
the employee.
    (a) When a person for whom an OPF has been established transfers 
from one agency to another, the last employing (losing) agency shall, on 
request, transfer the OPF to the new employing agency.
    (b) Before transferring the Official Personnel Folder, the losing 
agency shall:
    (1) Remove those records of a temporary nature filed on the left 
side of the folder, except for PMRS employees' performance ratings of 
record including the performance plan on which the most recent rating 
was based;
    (2) Transfer performance ratings of record and the performance plan 
on which the most recent rating was based from the Employee Performance 
File of PMRS employees to their Official Personnel Folder, if the 
ratings and plans are not maintained by the agency in the Official 
Personnel Folder; and
    (3) Ensure that all permanent documents of the folder are complete, 
correct, and present in the folder in accordance with the Guide to 
Personnel Recordkeeping.

[50 FR 3309, Jan. 24, 1985, as amended at 50 FR 35494, Aug. 30, 1985; 66 
FR 66709, Dec. 27, 2001]



Sec. 293.307  Disposition of folders of former Federal employees.

    (a) Folders of persons separated from Federal employment must be 
retained by the losing agency for 30 working days after separation, and 
may be retained for additional 60 days (90 days where administratively 
necessary, e.g., where an appeal or an allegation of discrimination is 
made or where an employee retires or dies in service). Thereafter, the 
OPF must be transferred to the General Services Administration, National 
Personnel Records Center (Civilian Personnel Records), 111 Winnebago 
Street, St. Louis, Missouri 63118.
    (b) When a former Federal employee is reappointed in the Federal 
service, the National Personnel Records Center (Civilian Personnel 
Records) shall, upon request, transfer the OPF to the new employing 
agency.

[50 FR 3309, Jan. 24, 1985; 50 FR 8993, Mar. 6, 1985]



Sec. 293.308  Removal of temporary records from OPFs.

    The employing agency having possession of an OPF shall remove 
temporary

[[Page 91]]

records from the OPF before it is transferred to another agency. For 
these and also for temporary records of their current employees, 
maintenance of the records shall be in accordance with General Records 
Schedule 1, promulgated by the General Services Administration.



Sec. 293.309  Reconstruction of lost OPFs.

    Agencies will take necessary precautions to safeguard all OPFs. In 
the event of a lost or destroyed OPF, the current (or last, in the case 
of a former Federal employee) employing agency shall take the necessary 
action to reconstruct the essential portions of the OPF as specified in 
the Guide to Personnel Recordkeeping or other Office instructions.

[50 FR 3309, Jan. 24, 1985, as amended at 66 FR 66709, Dec. 27, 2001]



Sec. 293.310  Response to requests for information.

    The Office, or an agency in physical possession of an OPF in 
response to a third party Freedom of Information Act (FOIA) request may 
disclose information as provided in this subpart. A current employee's 
request for access to his/her own OPF (also included are employee 
performance file system folders and files) that cites the FOIA, as with 
all stated Privacy Act requests made by current employees, shall be 
processed in accordance with agency Privacy Act procedures consistent 
with Office regulations in part 297 of this chapter. All requests for 
their OPFs from former employees, and FOIA requests for former employee 
OPFs, shall be referred to the Office's regional or area office nearest 
to the location of the requester.



Sec. 293.311  Availability of information.

    (a) The following information from both the OPF and employee 
performance file system folders, their automated equivalent records, and 
from other personnel record files that constitute an agency record 
within the meaning of the FOIA and which are under the control of the 
Office, about most present and former Federal employees, is available to 
the public:
    (1) Name;
    (2) Present and past position titles and occupational series;
    (3) Present and past grades;
    (4) Present and past annual salary rates (including performance 
awards or bonuses, incentive awards, merit pay amount, Meritorious or 
Distinguished Executive Ranks, and allowances and differentials);
    (5) Present and past duty stations (includes room numbers, shop 
designations, or other identifying information regarding buildings or 
places of employment); and
    (6) Position descriptions, identification of job elements, and those 
performance standards (but not actual performance appraisals) that the 
release of which would not interfere with law enforcement programs or 
severely inhibit agency effectiveness. Performance elements and 
standards (or work expectations) may be withheld when they are so 
interwined with performance appraisals that their disclosure would 
reveal an individual's performance appraisal.
    (b) The Office or agency will generally not disclose information 
where the data sought is a list of names, present or past position 
titles, grades, salaries, performance standards, and/or duty stations of 
Federal employees which, as determined by the official responsible for 
custody of the information:
    (1) Is selected in such a way that would reveal more about the 
employee on whom information is sought than the six enumerated items, 
the disclosure of which would constitute a clearly unwarranted invasion 
of personal privacy; or
    (2) Would otherwise be protected from mandatory disclosure under an 
exemption of the FOIA.
    (c) In addition to the information described in paragraph (a) of 
this section, a Government official may provide other information from 
these records (or automated equivalents) of an employee, to others 
outside of the agency, under a summons, warrant, subpoena, or other 
legal process; as provided by the Privacy Act (5 U.S.C. 552a(b)(4) 
through (b)(11)), under those Privacy Act routine uses promulgated by 
the Office, and as required by the FOIA.

[[Page 92]]



           Subpart D--Employee Performance File System Records

    Authority: 5 U.S.C. 552a and 5 U.S.C. 4305 and 4315; E.O. 12107 
(December 28, 1978); 5 U.S.C. 1103, 1104, and 1302; 3 CFR 1954-1958 
Compilation; 5 CFR 7.2; E.O. 9830, 3 CFR 1943-1948 Compilation.

    Source: 47 FR 3080, Jan. 22, 1982, unless otherewise noted.



Sec. 293.401  Applicability of regulations.

    This subpart applies to Executive agencies as defined in sections 
105, 3132(a)(1) and 4301(1) of title 5, U.S. Code, including Military 
Departments (but not non-appropriated fund employees) as defined in 
section 102 of title 5, U.S. Code, and independent establishments as 
defined in section 104 of title 5, U.S. Code. Within those agencies, the 
requirements of this subpart apply to all employees occupying positions 
subject to civil service rules and regulations, including Senior 
Executive Service positions as defined in 5 U.S.C. 3132(a)(2).



Sec. 293.402  Establishment of separate employee performance record system.

    (a) Copies of employees' performance ratings of record, including 
the performance plans on which the ratings are based, must be placed in 
either the employee's Official Personnel Folder (OPF ) or in the 
Employee Performance File (EPF). However, other performance-related 
documents may be retained in the OPF only when the agency prescribes the 
use of a separate envelope, temporarily located in the OPF, and removed 
whenever the OPF (except as required in Sec. 293.404(b)) is transferred 
to another agency. Performance ratings of record, including the 
performance plans on which the ratings are based, shall be retained on 
the left (temporary) side of the OPF. No other performance-related 
record shall be retained on the left (temporary) or right (long term) 
side of the OPF or shall be transferred to the National Personnel 
Records Center (except as required by Sec. 293.404(b)).
    (b) Except for performance records maintained in the OPF consistent 
with paragraph (a) of this section, each agency having employees 
occupying a position described in Sec. 293.401 shall provide for 
maintenance of performance-related records for such employees in this 
EPF system. The agency may elect to retain records in a separate file 
that is located in the same office with the OPF, or in an envelope kept 
in the OPF itself. If the agency determines that a separate EPF is cost-
effective, such a file may be located in another designated agency 
office (as specified in the agency's performance appraisal plan) 
including with supervisors or managers (hereinafter referred to as 
rating officials) or with Performance Review Boards. Any supporting 
documents that the agency may prescribe as necessary for agency 
officials in performance of their duties shall be kept in these files.
    (c)(1) Agencies shall provide their employees access to their 
performance files (automated and manual). Such a request for access 
shall be processed in accordance with established agency procedures, 
consistent with Office of Personnel Management regulations regarding 
access to records contained in part 297 of this chapter. Such access 
shall be provided to the employee or to the employee's designated 
representative, and such records may also be disclosed to other 
officials of the agency who have a need for the documents in the 
performance of their duties.
    (2) All other requests for performance documents made to agency 
officials (e.g., Freedom of Information Act requests or requests made 
under the ``routine use'' provisions of the Privacy Act) shall be 
processed by the responsible agency official in accordance with agency 
procedures consistent with Office of Personnel Management regulations 
regarding disclosures of such records contained in parts 293 and 297 of 
this chapter.
    (3) Privacy Act requests for amendment of records maintained in this 
system shall be processed by the responsible agency official in 
accordance with agency procedures consistent with Office of Personnel 
Management regulations regarding amendment of records contained in part 
297 of this chapter.
    (d) Agencies maintaining the EPF in an automated or microform system 
shall issue instructions that contain necessary procedures to ensure 
that

[[Page 93]]

the same requirements as in paragraph (c) of this section, relating to 
all manual records, are met.

[47 FR 3080, Jan. 22, 1982, as amended at 51 FR 8410, Mar. 11, 1986]



Sec. 293.403  Contents of employee performance files.

    (a) A decision on what constitutes a performance-related document 
within the meaning of this subpart rests with the agency. Agency 
implementing instructions, for both incumbents of the Senior Executive 
Service and other positions, shall provide specific written guidance of 
the description of what constitutes the agency's official performance-
related forms and documents.
    (b) Agency implementing instructions describing such records shall 
indicate where and for how long they are retained and how and when they 
are to be destroyed. Such instructions shall also describe what records 
are considered to be performance-related (as specifically as is 
feasible) and shall include all performance-related records maintained 
as a system of records within the meaning of the Privacy Act. Such 
records would generally include:
    (1) Any form or other document which records the performance 
appraisal, including appraisals leading to merit pay determinations.
    (2) Any form or other document used by rating officials to recommend 
a personnel action affecting an employee (including a request for 
personnel action document, but only when the action is not effected) 
when the basis for the action (e.g., removal, reassignment, demotion, 
promotion, or merit pay or other performance award) is performance-
related.
    (3) Recommendations for training that are performance-related.
    (4) Any form or other document furnished in support of recommended 
actions such as those listed in paragraph (b)(2) of this section and the 
agency's final decision on the matter (e.g., a recommendation for merit 
pay or an agency decision to grant only one-half the comparability pay 
adjustment).
    (5) Any form or other document which the rating official is required 
by the agency to keep during an appraisal period (e.g., quality control 
records, production records, or similar records used to track employee 
performance during the appraisal period.)
    (6) Any form or other document regarding Performance Review Board 
decisions, including supporting documentation and any transcript of 
hearings or testimony from witnesses.
    (7) Any form or other document regarding decisions or 
recommendations of agency Executive Resources Boards related to 
performance appraisal or actions resulting from performance appraisals.
    (8) Appraisals of potential (e.g., in connection with an agency's 
merit promotion procedures) if agency implementing instructions 
specifically require or permit retention of a copy.
    (9) Individual development plans.
    (10) Copies of licenses, certificates of proficiency, or similar 
documents required of the position.
    (c) General information about the employee, i.e., identification 
data, information concerning Federal and non-Federal employment 
experience, and information about any training programs the employee 
participated in may, if an agency deems it appropriate, be retained in 
this system.

[47 FR 3080, Jan. 22, 1982, as amended at 63 FR 43867, Aug. 17, 1998]



Sec. 293.404  Retention schedule.

    (a)(1) Except as provided in Sec. 293.405(a), performance ratings or 
documents supporting them are generally not permanent records and shall, 
except for appointees to the SES and including incumbents of executive 
positions not covered by SES, be retained as prescribed below:
    (i) Performance ratings of record, including the performance plans 
on which they are based, shall be retained for 4 years;
    (ii) Supporting documents shall be retained for as long as the 
agency deems appropriate (up to 4 years);
    (iii) Performance records superseded (e.g., through an 
administrative or judicial procedure) and performance-related records 
pertaining to a former employee (except as prescribed in 
Sec. 293.405(a)) need not be retained for a minimum of 4 years. Rather, 
in the former case they are to be destroyed

[[Page 94]]

and in the latter case agencies shall determine the retention schedule; 
and
    (iv) Except where prohibited by law, retention of automated records 
longer than the maximum prescribed here is permitted for purposes of 
statistical analysis so long as the data are not used in any action 
affecting the employee when the manual record has been or should have 
been destroyed.
    (2) When an employee is reassigned within the employing agency, 
disposition of records in this system, including transfer with the 
employee who changes positions, shall be as agencies prescribe and 
consistent with Sec. 293.405(a).
    (3) Appraisals of unacceptable performance, where a notice of 
proposed demotion or removal is issued but not effected, and all 
documents related thereto, manual and automated, pursuant to 5 U.S.C. 
4303(d) must be destroyed after the employee completes one year of 
acceptable performance from the date of the written advance notice of 
the proposed removal or reduction in grade notice. Under conditions 
specified by an agency, and earlier destruction date is permitted and 
destruction must be no later than 30 days after the year is up.
    (b) Performance records for Senior Executive Service appointees, 
including those serving under a Presidential appointment under 5 U.S.C. 
3392(c), are to be retained as follows:
    (1) Pursuant to 5 U.S.C. 4314(b) (3) and (4), Senior Executive 
Service appointees shall have their performance-related records 
maintained for five consecutive years (from the date the appraisal is 
issued) beginning with the effective date of appointment, including 
individuals receiving appointments pursuant to 5 U.S.C. 3593(b).
    (2) When an appointee of the Senior Executive Service moves to 
another position in the Service, either with the same or a different 
agency, all appropriate performance-related documents five years old or 
less shall be forwarded in the Employee Performance File along with the 
individual's OPF.
    (3) When an employee in the Senior Executive Service accepts a 
Presidential appointment pursuant to 5 U.S.C. 3392(c), the employee's 
performance file shall be retained as long as the employee remains 
employed under that Presidential appointment. When the appointment ends, 
and the individual does not return to the Senior Executive Service, the 
employee's performance file shall be destroyed in accordance with agency 
procedures.
    (c) Where any performance-related document is needed in connection 
with an ongoing administrative, negotiated, quasi-judicial, or judicial 
proceeding, and it continues to be retained in this system rather than 
another system, it may be retained for as long as necessary beyond the 
retention schedules identified in paragraphs (a) and (b) of this 
section.
    (d) Screening and purging of folders/envelopes and rating official's 
work files for the purpose of compliance with these retention schedules 
shall be through any agency process insuring consistency with the 
requirements.

[47 FR 3080, Jan. 22, 1982, as amended at 51 FR 8411, Mar. 11, 1986; 56 
FR 65416, Dec. 17, 1991]



Sec. 293.405  Disposition of records.

    (a) When the OPF of a non-SES employee is sent to another servicing 
office in the employing agency, to another agency, or to the National 
Personnel Records Center, the ``losing'' servicing office shall include 
in the OPF all performance ratings of record that are 4 years old or 
less, including the performance plan on which the most recent rating was 
based, and the summary rating prepared when the employee changes 
positions, as prescribed in part 430 of this chapter. Also, the 
``losing'' office will purge from the OPF all performance ratings and 
performance plans that are more than 4 years old, and other performance-
related records, according to agency policy established under 
Sec. 293.404(a)(2) and in accordance with the Guide to Personnel 
Recordkeeping.
    (b) Consistent with transfer instructions pertaining to SES 
positions contained in this part, employee performance files shall be 
forwarded to gaining agencies at the same time as the OPF (5 CFR 
293.207).
    (c) Consistent with retention schedules promulgated in Sec. 293.404, 
destruction of performance-related records

[[Page 95]]

shall be in accordance with agency procedures (e.g., by shredding or 
burning).
    (d) If a former employee returns to an agency, a new employee 
performance file will be created unless the prior file for this employee 
is still available. The original file may be reactivated provided that, 
consistent with the retention schedules and destruction requirements 
promulgated in this subpart, the contents are properly disposed of.
    (e)(1) It is the responsibility of the agency Personnel Director to 
insure the maintenance of employee performance files in accordance with 
this subpart and subparts A and B of this part, part 297 of this title, 
and with Office of Personnel Management guidance.
    (2) This responsibility may be delegated in writing to other agency 
officials as appropriate. Implementing guidelines for agency performance 
appraisal systems shall provide written instructions for compliance with 
Office rules and procedures as well as descriptions of the documents and 
where they are retained, and shall ensure that records are retained in 
accordance with the provisions of Sec. 293.402.

[47 FR 3080, Jan. 22, 1982, as amended at 51 FR 8411, Mar. 11, 1986; 56 
FR 65416, Dec. 17, 1991; 66 FR 66709, Dec. 27, 2001]



Sec. 293.406  Disclosure of records.

    Disclosure as used here means the furnishing of the record to 
someone other than the individual to whom the record pertains, his/her 
designated representative, or to an agency official who needs the 
information in the performance of official duties. Disclosure of 
information from this file system shall be made only as permitted by the 
Privacy Act (5 U.S.C. 552a(b)) and, with regard to the routine use 
provisions of that section, only under a routine use published by the 
Office for the system of records covering these records. However, to the 
extent that this system contains the data identified as being available 
to the public in Sec. 293.311, for most Federal employees and under the 
same restrictions listed in that section, that information shall also be 
made available to the public from this system.



             Subpart E--Employee Medical File System Records

    Source: 51 FR 33235, Sept. 19, 1986, unless otherwise noted.



Sec. 293.501  Applicability of regulations.

    The applicability of this subpart is identical to that described in 
Sec. 293.301.



Sec. 293.502  Definitions.

    For the purpose of this Subpart--
    Employee is defined at 5 U.S.C. 2105 and excludes student volunteers 
and contractor employees.
    Employee Assistance and Counseling Record means the record created 
when an employee participates in an agency assistance/counseling program 
(e.g., drug or alcohol abuse or personal counseling programs under Pub. 
L. 91-616, 92-255, and 79-658, respectively).
    Employee Exposure Record (which is to be interpreted consistent with 
the term as it is defined at 29 CFR 1910.20(c)(8)) means a record 
containing any of the following kinds of information concerning employee 
exposure to toxic substances or harmful physical agents (as defined at 
29 CFR 1910.20(c)(11)):
    (a) Environmental (workplace) monitoring or measuring, including 
personal, area, grab, wipe, or other form of sampling, as well as 
related collection and analytical methodologies, calculations, and other 
background data relevant to interpretation of the results obtained;
    (b) Biological monitoring results which directly assess the 
absorption of a substance or agent by body systems (e.g., the level of a 
chemical in the blood, urine, breath, hair, fingernails, etc.) but not 
including results which assess the biological effect of a substance or 
agent;
    (c) Matarial safety data sheets; or
    (d) Any other record, in the absence of the above, which reveals the 
identity (e.g., chemical, common, or trade name) of a toxic substance of 
harmful physical agent.
    Employee Medical File System (EMFS) means the agency's complete 
system (automated, microformed, and paper records) for employee 
occupational medical records.
    Employee Medical Folder (EMF) means a separate file folder (normally 
SF 66-

[[Page 96]]

D) established to contain all of the occupational medical records (both 
long-tern and short-term records) designated for retention, which will 
be maintained by the employing agency during the employee's Federal 
service.
    Epidemiological Record means a record maintained by an agency or 
subelement thereof as a result of an official medical research study 
conducted under the authority of the agency.
    Implementing instructions means any form of internal agency issuance 
that provides the guidance required in Sec. 293.503 and any other 
guidance the agency deems appropriate.
    Occupational Medical Record means an occupation-related, 
chronological, cumulative record, regardless of the form or process by 
which it is maintained (e.g., paper document, microfiche, microfilm, or 
automatic data processing media), of information about health status 
developed on an employee, including personal and occupational health 
histories and the opinions and written evaluations generated in the 
course of diagnosis and/or employment-related treatment/examination by 
medical health care professionals and technicians. This definition 
includes the definition of medical records at 29 CFR 1910.20(c)(6); when 
the term ``Occupational Medical Record'' is used in these regulations, 
it includes ``Employee Exposure Records'' (as that term is defined in 
this section) and occupational illness, accident, and injury records.
    Non-occupational/Patient Record means a record of treatment or 
examination, created and maintained by a health care facility, when the 
person is admitted to or voluntarily seeks treatment at the health care 
facility for non-job-related reasons. Records maintained by an agency 
dispensary are patient records for the purposes of these regulations 
except when such records result as a condition of employment or relate 
to an on-the-job occurrence. In these cases, the records are 
``Occupational Medical Records'' as defined herein.
    Non-personal Record means any agency aggregate or statistical record 
or report resulting from studies covering employees or resulting from 
studies or the work-site environment.



Sec. 293.503  Implementing instructions.

    Agencies must issue written internal instructions describing how 
their EMFS is to be implemented. These instructions must--
    (a) Describe overall operation of the system within the agency 
including the designation of the agency official who will be responsible 
for overall system management. When the agency has a medical officer, 
that individual must be named the system manager. The system manager may 
then designate others within the agency to handle the day-to-day 
management of the records, e.g., the custodian of the records at the 
site where they are maintained;
    (b) Be prepared with joint participation by agency medical, health, 
and safety, and personnel officers;
    (c) Describe where and under whose custody employee occupational 
medical records will be physically maintained;
    (d) Designate which agency office(s) will be responsible for 
deciding when and what occupational medical records are to be disclosed 
either to other agency officials or outside the agency;
    (e) Ensure proper records retention and security, and preserve 
confidentiality of doctor/patient relationships;
    (f) Provide that when the agency is requesting an EMF from the 
National Personnel Records Center (NPRC), the request form will show the 
name, title, and address of that agency's system manager or designee, 
who is the only official authorized to receive the EMF;
    (g) Be consistent with Office regulations relating to personnel 
actions when medical evidence is a factor (5 CFR parts 339, 432, 630, 
752, and 831);
    (h) Provide guidance on how an accounting of any record disclosure, 
as required by the Privacy Act (5 U.S.C. 552a(c)), will be done in a way 
that ensures that the accounting will be available for the life of the 
EMF;
    (i) When long-term occupational medical records exist, provide for 
the creation of an EMF for an employee transferring to another agency or 
leaving Government service, and whether an EMF is to be established at 
the time an employee is being reassigned within the agency;
    (j) Ensure a right of access (consistent with any special Privacy 
Act

[[Page 97]]

handling procedures invoked) to the records, in whatever format they are 
maintained, by the employee or a designated representative;
    (k) Ensure that a knowledgeable official determines that all 
appropriate long-term occupational medical records are in an EMF prior 
to its transfer to another agency, to the NPRC, or to another office 
within the same employing agency;
    (l) Ensure that all long-term occupational medical records an agency 
receives in an EMF are maintained, whether in that same EMF or by some 
other agency procedure, and forwarded to a subsequent employing agency 
or to NPRC;
    (m) Ensure that, if occupational medical records are to be 
physically located in the same office as the Official Personnel Folder 
(OPF), the records are maintained physically apart from each other;
    (n) Sets forth a policy that distinguishes, particularly for 
purposes of records disclosure, records in the nature of physician 
treatment records (which are generally not appropriate for disclosure to 
non-medical officials) from other medical reports properly available to 
officials making management decisions concerning the employee;
    (o) Provide guidance that distinguishes records properly subject to 
this part from those (e.g., Postal Service or Foreign Service employee 
medical records) subject to different rules, particularly in Privacy Act 
and Freedom of Information Act matters;
    (p) Ensure that guidance regarding the processing of Privacy Act 
matters is consistent with Office regulations implementing the Privacy 
Act at 5 CFR parts 293 and 297; and
    (q) Ensure that no security classification is assigned to an EMF by 
including therein any occupational medical record that has such a 
classification. In this regard, the agency creating the classified 
medical record is required to retain it separately from the EMF while 
placing a notice in the EMF of its existence and describing where 
requests for this record are to be submitted.



Sec. 293.504  Composition of, and access to, the Employee Medical File System.

    (a) All employee occupational medical records (which exclude 
employee assistance/counseling, patient, non-personal, and 
epidemiological records) whether they are maintained in an automated, 
microform, or paper mode, and wherever located in the agency, are part 
of the EMFS. The records maintained in the EMFS are part of a 
Governmentwide Privacy Act system of records established by the Office. 
Agencies have the responsibility to ensure that such documents are 
maintained in accordance with the Office's Privacy Act regulations in 
part 297 of this chapter, with the agency's instructions implementing 
those regulations, and with the retention schedule for employee medical 
records stipulated in Sec. 293.511. While non-occupational/patient 
records pertaining to an employee are not required to be included as a 
record within the EMFS, under certain conditions to be discussed in 
subsequent OPM guidance, copies of such records are occupationally-
related and, in those cases, may be included in the system.
    (b) Agencies must provide employees access to their own EMFS records 
consistent with Office regulations contained in Sec. 297.204(c) of this 
chapter. When unexcepted access can be provided directly to the 
employee, such unexcepted access must also be provided to any 
representative specifically designated in writing by the employee to 
receive the record. Disclosure of an employee's occupational medical 
records to agency officials (both medical and non-medical) will be 
granted only when the specific information sought is needed for the 
performance of official duties.
    (c) Other agencies for employee occupational medical records made to 
the custodian of the records must be processed in accordance with the 
disclosure provisions of the Privacy Act (5 U.S.C. 552a(b)) and the 
Office's regulations at part 297 of this chapter.
    (d) Processing of a Privacy Act request for amendment of any EMFS 
record must be consistent with the Office's regulations contained in 
part 297

[[Page 98]]

of this chapter regarding amendment of records.

[51 FR 33235, Sept. 19, 1986, as amended at 66 FR 66709, Dec. 27, 2001]



Sec. 293.505  Establishment and protection of Employee Medical Folder.

    (a) As required by these rules, agencies must establish an EMF when 
the employee leaves the employing agency and occupational medical 
records for that employee exist; agencies may also establish an EMF (if 
none presently exists) for active employees if the agency chooses. An 
agency must request the transfer of an existing EMF (and maintain that 
EMF as received) at the same time it requests the transfer of an 
employee's OPF using the procedures contained in Sec. 293.306.
    (b) Neither the original occupational medical record nor duplicates 
are to be retained in the OPF. Prior to the establishment of an EMF for 
a separating employee, when such records are created, they must be 
maintained physically apart from the OPF, although they may be kept in 
the same office.
    (c) Records in an EMF, whether or not located in an office other 
than where the OPF is maintained, must be properly safeguarded using 
procedures ensuring equal or greater levels of protection as those in 
Sec. 293.106. Disclosures must be made only to those authorized to 
receive them, as described in Sec. 293.504(b), and employees must be 
able to ascertain from agency implementing instructions the location of 
all of their medical records. An EMF must be under the control of a 
specifically designated medical, health, safety, or personnel officer as 
prescribed in the agency's implementing internal procedures.



Sec. 293.506  Ownership of the Employee Medical Folder.

    The EMF of each employee in a position subject to civil service 
rules and regulations is part of the records of the Office. When the EMF 
also contains occupational medical records created during employment in 
a position not subject to the civil service (e.g., with the Postal 
Service), the EMF is then part of the records of both the Office and the 
employing agency.



Sec. 293.507  Maintenance and content of the Employee Medical Folder.

    The agency head must maintain all appropriate employee occupational 
medical records in the EMFS. When an EMF is established for an employee, 
as required in Sec. 293.504, the agency's EMFS must be searched to 
obtain all records designated for retention in the EMF.



Sec. 293.508  Type of folder to be used.

    Each agency must use a folder that (a) has been specifically 
identified as the EMF and issued through Federal Supply Service 
contracts (Standard Form 66 D); (b) has been authorized as an exception 
to this form by the Office for use by a specific agency; or (c) in the 
case of an EMF containing records under joint control of the Office and 
another agency, an exception to the use of this form that has been 
jointly authorized.



Sec. 293.509  Use of existing Employee Medical Folders upon transfer or reemployment.

    The requirements of Sec. 293.306, regarding the use of existing 
OPFs, apply to the use of existing EMFs upon the employee's transfer to 
or reemployment in a new employing agency.



Sec. 293.510  Disposition of Employee Medical Folders.

    (a) When an employee transfers to another Federal agency, the EMF 
must be transferred to the gaining agency at the same time as the 
employee's OPF. The EMF is to be addressed only to the gaining agency's 
designated manager (medical, health, safety, or personnel officer, or 
other designee) of the EMFS.
    (b) When an employee is separated from the Federal service, the EMF 
must be forwarded to the NPRC with the OPF, using the instructions in 
Sec. 293.307 of this part.
    (c) When a former Federal employee is re-employed by an agency, and 
that agency believes that an EMF exists, either at the last employing 
agency or at the NPRC, the agency will request the EMF, but no sooner 
than 30 days after the date of the new appointment. No EMFs will be 
routinely retrieved during the initial review process (as is done with 
the OPF) except when authority exists for the agency to require

[[Page 99]]

a medical evaluation prior to reaching a decision on employability. EMFs 
are to be transferred by the NPRC only to the agency-designated manager 
(medical, health, safety, or personnel, or other designee) shown on the 
request form.



Sec. 293.511  Retention schedule.

    (a) Temporary EMFS records must not be placed in a newly-created EMF 
for a separating employee and must be removed from an already existing 
EMF before its transfer to another agency or to the NPRC. Such records 
must be disposed of in accordance with General Records Schedule (GRS) 1, 
item 21, issued by the National Archives and Records Administration 
(NARA).
    (b) Occupational Medical Records considered to be long-term records 
must be maintained for the duration of employment, plus 30 years or for 
as long as the OPF is maintained, whichever is longer. Therefore, upon 
separation, the records must be provided to the employee's new agency, 
or they must be transferred to the NPRC, which will dispose of them in 
accordance with GRS 1, item 21, issued by NARA.



PART 294--AVAILABILITY OF OFFICIAL INFORMATION--Table of Contents




  Subpart A--Procedures for Disclosure of Records Under the Freedom of 
                             Information Act

Sec.
294.101 Purpose.
294.102 General definitions.
294.103 Definitions of categories and assignment of requests and 
          requesters to categories.
294.104 Clarifying a requester's category.
294.105 Access to the requester's own records.
294.106 Handbook of Publications, Periodicals, and OPM Issuances.
294.107 Places to obtain records.
294.108 Procedures for obtaining records.
294.109 Fees.
294.110 Appeals.
294.111 Custody of records; subpoenas.
294.112 Confidential commercial information.

               Subpart B--The Public Information Function

294.201 Public information policy.

                      Subpart C--Office Operations

294.301 Policy and interpretations.

                       Subpart D--Cross References

294.401 References.

    Authority: 5 U.S.C. 552, Freedom of Information Act, Pub. L. 92-502, 
as amended by the Freedom of Information Reform Act of 1986, Pub. L. 99-
570, and E.O. 12600, 52 FR 23781 (June 25, 1987).



  Subpart A--Procedures for Disclosure of Records Under the Freedom of 
                             Information Act

    Source: 54 FR 25094, June 13, 1989, unless otherwise noted.



Sec. 294.101  Purpose.

    This subpart contains the regulations of the Office of Personnel 
Management (OPM) implementing the Freedom of Information Act (FOIA), 5 
U.S.C. 552. Except as provided by Sec. 294.105, OPM will use the 
provisions of this subpart to process all requests for records.



Sec. 294.102  General definitions.

    All of the terms defined in the Freedom of Information Act, and the 
definitions included in the ``Uniform Freedom of Information Act Fee 
Schedule and Guidelines'' issued by the Office of Management and Budget 
apply, regardless of whether they are defined in this subpart.
    Direct costs means the expenditures that an agency actually incurs 
in searching for, duplicating, and reviewing documents to respond to an 
FOIA request. Overhead expenses (such as the cost of space, and heating 
or lighting the facility in which the records are stored), are not 
included in direct costs.
    Disclose or disclosure means making records available, on request, 
for examination and copying, or furnishing a copy of records.
    Duplication means the process of making a copy of a document 
necessary to respond to an FOIA request. Among the forms that such 
copies can take are paper, microform, audiovisual materials, or machine 
readable documentation (e.g., magnetic tape or disk).

[[Page 100]]

    Records, information, document, and material have the same meaning 
as the term agency records in section 552 of title 5, United States 
Code.
    Review means the process of initially examining documents located in 
response to a request to determine whether any portion of any document 
located may be withheld. It also includes processing documents for 
disclosure; e.g., doing all that is necessary to excise them and 
otherwise prepare them for release. Review does not include time spent 
resolving general legal and policy issues regarding the application of 
exemptions.
    Search means the time spent looking for material that is responsive 
to a request, including page-by-page or line-by-line identification of 
material within documents.

[54 FR 25094, June 13, 1989, as amended at 58 FR 32043, June 8, 1993]



Sec. 294.103  Definitions of categories and assignment of requests and requesters to categories.

    OPM will apply the definitions and procedures contained in this 
section to assign requesters to categories. The four categories 
established by 5 U.S.C. 552(a) are requests for commercial use, requests 
for non-commercial use made by educational or non-commercial scientific 
institutions, requests for non-commercial use made by representatives of 
the news media, and all others.
    (a) Request for commercial use. A ``commercial use request'' is from 
or on behalf of one who seeks information for a use or purpose that 
furthers the commercial, trade, or profit interests of the requester or 
the person or institution on whose behalf the request is made. In 
determining whether a request properly belongs in this category, OPM 
will look first to the intended use of the documents being requested.
    (b) Request for non-commercial use made by an educational or non-
commercial scientific institution. OPM will include requesters in one of 
the two categories described in paragraphs (b) (1) and (2) of this 
section when the request is being made as authorized by, and under the 
auspices of, a qualifying institution; and the records are sought, not 
for a commercial use, but in furtherance of scholarly or scientific 
research.
    (1) Educational institution refers to any public or private, 
preschool, elementary, or secondary school, institution of undergraduate 
or graduate higher education, or institution of professional or 
vocational education, which operates a program or programs of scholarly 
or scientific research.
    (2) A non-commercial scientific institution refers to an institution 
that is not operated on a commercial basis as that term is referenced in 
paragraph (a) of this section, and which is operated solely to conduct 
scientific or scholarly research, the results of which are not intended 
to promote any particular product or industry.
    (c) Request from a representative of the news media. 
``Representative of the news media'' refers to any person actively 
gathering news for an entity that is organized and operated to publish, 
broadcast, or otherwise disseminate news to the public. The term 
``news'' means information that is about current events or that would be 
of current interest to the public. Examples of news media entities 
include television or radio stations broadcasting to the public at 
large, and publishers of periodicals who make their products available 
for purchase or subscription by the general public. Free-lance 
journalists may be regarded as representatives of the news media if they 
demonstrate a solid basis for expecting publication, or some other form 
of dissemination, through a particular organization even though they are 
not actually employed by it. OPM will assign news media officials to 
this category only when a request is not for commercial use. If a person 
meets the other qualifications for inclusion, OPM will not apply the 
term ``commercial use'' to his or her request for records in support of 
a news dissemination function.
    (d) Requests from others. The category ``all others,'' consists of 
any requesters not covered by paragraphs (a), (b), or (c) of this 
section. However, as provided by Sec. 294.105, OPM will use its Privacy 
Act regulations, rather than this subpart, when individuals ask for 
records about themselves that may be filed in OPM systems of records.

[[Page 101]]



Sec. 294.104  Clarifying a requester's category.

    (a) Seeking clarification of a requester's category. OPM may seek 
additional clarification before assigning a person to a specific 
category if--
    (1) There is reasonable cause to doubt the requester's intended use 
of records; or
    (2) The intended use is not clear from the request itself; or
    (3) There is any other reasonable doubt about qualifications that 
may affect the fees applicable or the services rendered under 
Sec. 294.109.
    (b) Prompt notification to requester. When OPM seeks clarification 
as provided by paragraph (a) of this section, it will provide prompt 
notification either by telephone or in writing of the information or 
materials needed.
    (c) Effect of seeking clarification on time limits for responding. 
When applying the time limits in section 552 of title 5, United States 
Code, OPM will not officially consider any request for records as being 
received until the official who is assigned responsibility for making a 
decision on releasing the records has received any additional 
clarification sought under paragraphs (a) and (b) of this section; and 
has determined that the clarifying information is sufficient to 
correctly place the requester in one of the categories prescribed in 
this section. If the requested clarifying information is not received 
within a reasonable time, OPM will, based on the information available, 
determine a final category for the request and calculate applicable 
fees.

[54 FR 25094, June 13, 1989, as amended at 58 FR 32043, June 8, 1993]



Sec. 294.105  Access to the requester's own records.

    When the subject of a record, or a duly authorized representative of 
the subject, requests his or her own records from a Privacy Act system 
of records, as defined by 5 U.S.C. 552a (a)(5), and the record is 
maintained so that it is retrieved by the subject's name or other 
personal identifier, OPM will process the request under the Privacy Act 
procedures in part 297 of this chapter.



Sec. 294.106  Handbook of Publications, Periodicals, and OPM Issuances.

    (a)(1) Annually, OPM publishes OPM-AG-PSD-01, ``Handbook of 
Publications, Periodicals, and Issuances,'' and accompanying addendum. 
This handbook and addendum lists material published and offered for sale 
are available for public inspection or copying. Unless the material is 
published and offered for sale, OPM makes available for public 
inspection and copying:
    (i) Final opinions made by OPM in the adjudication of cases;
    (ii) OPM policy statements and interpretations adopted by OPM but 
not published in the Federal Register; and
    (iii) OPM administrative staff manuals and instructions that affect 
a member of the public.
    (2) To the extent required to prevent a clearly unwarranted invasion 
of personal privacy, OPM may delete identifying details when it makes 
available or publishes an opinion, statement of policy, interpretation, 
or staff manual or instruction.
    (b) A copy of this handbook and addendum is available at no cost 
from the--Publishing Management Branch, Office of Personnel Management, 
room B464, 1900 E Street, NW., Washington, DC 20415-0001.
    (c) OPM indexes material in this handbook and addendum format for 
the convenience of the public. Indexing does not constitute a 
determination that all of the material listed is within the category 
that is required to be indexed by 5 U.S.C. 552(a)(2). Most of OPM's 
publications may be found in OPM's Library in room 5H27 at the address 
listed in paragraph (b) of this section.
    (d) As provided by 5 U.S.C. 552(a)(2), OPM has determined that it is 
unnecessary and impractical to publish the ``Handbook of Publications, 
Periodicals, and Issuances'' and addendum more frequently than annually 
because of the small number of revisions that occur.

[57 FR 32150, July 21, 1992, as amended at 66 FR 66710, Dec. 27, 2001]

[[Page 102]]



Sec. 294.107  Places to obtain records.

    (a) Address requests for OPM records to the officials listed in 
paragraph (b), (c), or (d) of this section.
    (b) The following is a list of key Washington, DC, officials of OPM 
and their principal areas of responsibility. Address requests for 
records to the appropriate official using the official's title and the 
following address: Office of Personnel Management, 1900 E Street, NW., 
Washington, DC 20415.

------------------------------------------------------------------------
                 Send to--                   For subject-matter about--
------------------------------------------------------------------------
Associate Director for Administration.....  Administrative services;
                                             information management,
                                             including automated data
                                             processing; equal
                                             employment opportunity;
                                             procurement; and personnel.
Associate Director for Retirement and       Retirement; life and health
 Insurance.                                  insurance.
Associate Director for Personnel Systems    Personnel management in
 and Oversight.                              agencies; pay; position
                                             classification; wage grade
                                             jobs; performance
                                             management; and employee
                                             and labor relations.
Assistant Director for Workforce            Governmentwide personnel
 Information.                                statistics; official
                                             personnel and employee
                                             medical folders.
Associate Director for Investigations.....  Background investigations
                                             and related records on
                                             individuals.
Associate Director for Career Entry.......  Nationwide examining and
                                             testing for employment;
                                             promotions; administrative
                                             law judges; affirmative
                                             employment programs for
                                             minorities, women,
                                             veterans, and the
                                             handicapped; recruiting and
                                             employment; and staffing
                                             policy.
Chief Financial Officer...................  Financial management.
Director for Human Resources Development..  Training, education, and
                                             development; senior
                                             executive service.
Director, Washington Area Service Center..  Examining, testing, and
                                             training operations in
                                             Washington, DC.
------------------------------------------------------------------------

    (c) Direct requests for records on subjects not specifically 
referred to in this section or in the handbook or addendum, to Plans and 
Policies Division (CHP-500), Office of Information Resources Management, 
Administration Group, Office of Personnel Management, 1900 E Street, 
NW., Washington, DC 20415.
    (d) The following is a list of OPM regional offices. Address 
requests for regional records to the Regional Director, Office of 
Personnel Management in the appropriate region:

    [sbull] Atlanta Region--Richard B. Russell Federal Building, Suite 
904, 75 Spring Street, SW., Atlanta, GA 30303-3019.
    [sbull] Chicago Region--John C. Kluczynski Federal Building, 30th 
Floor, 230 South Dearborn Street, Chicago, IL 60604.
    [sbull] Dallas Region--1100 Commerce Street, Dallas, TX 75242.
    [sbull] Philadelphia Region--William J. Green, Jr., Federal 
Building, 600 Arch Street, Philadelphia, PA 19106-1596.
    [sbull] San Francisco Region--211 Main Street, 7th Floor, San 
Francisco, CA 94105.

    (e) When an organization does not have records in its custody. When 
an OPM organization receives a Freedom of Information Act request for 
OPM records that it does not have in its possession, it will normally 
either--
    (1) Retrieve the records from the organization that has possession 
of them; or
    (2) Promptly forward the request to the appropriate organization. If 
a person has asked to be kept apprised of anything that will delay the 
official receipt of a request, OPM will provide notice of this 
forwarding action. Otherwise, OPM may, at its option, provide such 
notice.
    (f) Applying the time limits. When applying the time limits in 
section 552 of title 5, United States Code, OPM will not officially 
consider any request to be received until it arrives in the OPM 
organization that has responsibility for the records sought.
    (g) Records from other Government agencies. When a person seeks 
records that originated in another Government agency, OPM may refer the 
request to the other agency for response. Ordinarily, OPM will provide 
notice of this type of referral.
    (h) Creating records. If a person seeks information from OPM in a 
format that does not currently exist, OPM will not ordinarily compile 
the information for the purpose of creating a record to respond to the 
request. OPM will advise the individual that it does not have records in 
the format sought. If other existing records would reasonably respond to 
the request or portions of it, OPM may provide these. If fees as 
provided in Sec. 294.109 apply to any alternative records, OPM will 
advise the requester before providing the records.

[54 FR 25094, June 13, 1989, as amended at 57 FR 32150, July 21, 1992; 
58 FR 32044, June 8, 1993]

[[Page 103]]



Sec. 294.108  Procedures for obtaining records.

    (a) Mailing or delivering a request. Any person may ask for records 
under section 552 of title 5, United States Code, by directing a letter 
to one of the organizations listed in Sec. 294.107, or by delivering a 
request in person at the addresses listed in that section during 
business hours on a regular business day.
    (b) Proper marking. Each request for records should have a clear and 
prominent notation on the first page, such as ``Freedom of Information 
Act Request.'' In addition, if sent by mail or otherwise submitted in an 
envelope or other cover, mark the outside clearly and prominently with 
``FOIA Request'' or ``Freedom of Information Act Request.''
    (c) Contents of request letter. A request must describe the records 
sought in sufficient detail to enable OPM personnel to locate the 
records with a reasonable amount of effort.
    (1) OPM will regard a request for a specific category of records as 
fulfilling the requirements of this paragraph, if it enables responsive 
records to be identified by a technique or process that is not 
unreasonably burdensome or disruptive to OPM operations.
    (2) Whenever possible, a request should include specific information 
about each record sought, such as the date, number, title or name, 
author, recipient, and subject matter of the record.
    (3) If an OPM organization determines that a request does not 
reasonably describe the records sought, it will either provide notice of 
any additional information needed or otherwise state why the request is 
insufficient. OPM will also offer the record seeker an opportunity to 
confer, with the objective of reformulating the request so that it meets 
the requirements of this section.
    (d) Medical records. OPM or another Government agency may disclose 
the medical records of an applicant, employee, or annuitant to the 
subject of the record, or to a representative designated in writing. 
However, medical records may contain information about an individual's 
mental or physical condition that a prudent physician would hesitate to 
give to the individual. Under such circumstances, OPM may disclose the 
records, including the exact nature and probable outcome of the 
condition, only to a licensed physician designated in writing for that 
purpose by the individual or his or her designated representative.
    (e) Publications. If the subject matter of a request includes 
material published and offered for sale (e.g., by the Superintendent of 
Documents, Government Printing Office), OPM will explain where a person 
may review and/or purchase the publications.
    (f) Responses within 10 working days. Except in unusual 
circumstances (as defined in 5 U.S.C. 552(a)(6)(B)), OPM will determine 
whether to disclose or deny records within 10 working days after receipt 
of the request (excluding weekends and holidays) and will provide notice 
immediately of its determination and the reasons therefor, and of the 
right to appeal any adverse determination.

[54 FR 25094, June 13, 1989, as amended at 58 FR 32044, June 8, 1993]



Sec. 294.109  Fees.

    (a) Applicability of fees. (1) OPM will furnish, without charge, 
reasonable quantities of material that it has available for free 
distribution to the public.
    (2) OPM may furnish other materials, subject to payment of fees 
intended to recoup the full allowable direct costs of providing 
services. Fees for these materials may be waived if the request meets 
the requirements specified in paragraph (f) of this section.
    (3) If a request does not include an acceptable agreement to pay 
fees and does not otherwise convey a willingness to pay fees, OPM will 
promptly provide notification of the estimated fees. This notice will 
offer an opportunity to confer with OPM staff to reformulate the request 
to meet the requester's needs at a lower cost. Upon agreement to pay the 
required fees, OPM will further process the request.
    (4) As described in Sec. 294.107, OPM ordinarily responds to FOIA 
requests in a decentralized manner. Because of this, OPM may at times 
refer a single request to two or more OPM entities to make separate 
direct responses. In such cases, each responding entity may assess fees 
as provided by this section,

[[Page 104]]

but only for direct costs associated with any response it has prepared.
    (5) If fees for document search are authorized as provided in 
paragraph (c) of this section, OPM may assess charges for employee time 
spent searching for documents and other direct costs of a search, even 
if a search fails to locate records or if records located are determined 
to be exempt from disclosure. Searches should be conducted in the most 
efficient and least expensive manner so as to minimize the cost for both 
the agency and the requester, e.g., personnel should not engage in line-
by-line search when photocopying an entire document would be a less 
expensive and quicker way to comply with a request.
    (6) Services requested and performed but not required under the 
FOIA, such as formal certification of records as true copies, will be 
subject to charges under the Federal User Charge Statute (31 U.S.C. 
483a) or other applicable statutes.
    (b) Rates used to compute fees. The following rates form the basis 
for assessing reasonable, standard charges for document search, 
duplication, and review as required by 5 U.S.C. 552(a)(4). The listing 
of rates below should be used in conjunction with the fee components 
listed in paragraph (c) of this section:

------------------------------------------------------------------------
                  Service                               Rate
------------------------------------------------------------------------
Employee time.............................  Salary rate plus 16% to
                                             cover benefits.
Photocopies (up to 8\1/2\x14).
Printed materials, per 25 pages or          $.025.
 fraction thereof.
Computer time.............................  Actual direct cost.
Supplies and other materials..............  Actual direct cost.
Other costs not identified above..........  Actual direct cost.
------------------------------------------------------------------------

    (c) Assessing fees based on requester's category. Rates are assessed 
differently for the different categories of requesters as defined in 
Sec. 294.103. Requests have three cost components for the purpose of 
assessing fees: the cost of document search, the cost of duplication, 
and the cost of review. OPM will apply the rates in paragraph (b) of 
this section to the cost components that apply to the requester's 
category as follows:

----------------------------------------------------------------------------------------------------------------
         Requester's category                   Search                   Review                Duplication
----------------------------------------------------------------------------------------------------------------
Commercial...........................  Actual direct costs....  Actual direct costs....  Actual direct costs.
Non-commercial (educational or         No charge..............  No charge..............  Actual direct costs.\1\
 scientific institution) or news
 media.
All others...........................  Actual direct costs \2\  No charge..............  Actual direct costs.\1\
----------------------------------------------------------------------------------------------------------------
\1\ First 100 pages of paper copies or reasonable equivalent, such as a microfiche containing the equivalent of
  100 pages, are copied free.
\2\ First 2 hours of manual search time are free. If requested records are maintained in a computerized data
  base, OPM will use the following formula, suggested by OMB, to provide the equivalent of 2 hours manual search
  time free before charging for computer search time: The operator's hourly salary plus 16% will be added to the
  hourly cost of operating the central processing unit that contains the record information.

    (d) Payment of fees. Fees are payable by check or money order to the 
Office of Personnel Management.
    (1) If the total charge for fulfilling the request will be less than 
$25, no fee will be assessed (except as provided in paragraph (d)(3) of 
this section).
    (2) If a request may reasonably result in a fee assessment of more 
than $25, OPM will not release the records unless the requester agrees 
in advance to pay the anticipated charges.
    (3) OPM may aggregate requests and charge fees accordingly, when 
there is a reasonable belief that a requester, or a group of requesters 
acting in concert, is attempting to break down a request into a series 
of requests to evade the assessment of fees.
    (i) If multiple requests of this type occur within a 30-day period, 
OPM may provide notice that it is aggregating the requests and that it 
will apply the fee provisions of this section, including any required 
agreement to pay fees and any advance payment.
    (ii) Before aggregating requests of this type made over a period 
longer than 30 days, OPM will assure that it has a solid basis on which 
to conclude that the requesters are acting in concert and are acting 
specifically to avoid payment of fees.

[[Page 105]]

    (iii) OPM will not aggregate multiple requests on unrelated subjects 
from one person.
    (e) Payment of fees in advance. If OPM estimates or determines that 
fees are likely to exceed $250, OPM may require the payment of 
applicable fees in advance.
    (1) If an OPM official, who is authorized to make a decision on a 
particular request, determines that the requester has a history of 
prompt payment of FOIA fees, OPM will provide notice of the likely cost 
and obtain satisfactory assurance of full payment.
    (2) When a person, or an organization that a person represents, has 
previously failed to pay assessed fees in a timely manner (i.e., payment 
was not made within 30 days of the billing date), OPM will require full 
payment of all fees in advance.
    (3) If a person, or an organization that a person represents, has 
not paid fees previously assessed, OPM will not begin to process any new 
request for records until the requester has paid the full amount owed 
plus any applicable interest, and made a full advance payment for the 
new request.
    (f) Waiver or reduction of fees. OPM will furnish documents without 
any charge, or at a reduced charge, if disclosure of the information is 
in the public interest because it is likely to contribute significantly 
to public understanding of the operations or activities of the 
Government, and release of the material is not primarily in the 
commercial interest of the requester.
    (1) In determining whether disclosure is in the public interest 
because it is likely to contribute significantly to public understanding 
of the operations or activities of the Government, OPM shall consider 
the following factors:
    (i) The subject of the request: Whether the subject of the requested 
records concerns ``the operations or activities of the Government'';
    (ii) The information value of the information to be disclosed: 
Whether the disclosure is ``likely to contribute'' to an understanding 
of Government operations or activities;
    (iii) The contribution to an understanding of the subject by the 
general public likely to result from disclosure: Whether disclosure of 
the requested information will contribute to ``public understanding''; 
and
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute ``significantly'' to 
public understanding of Government operations or activities.
    (2) In determining whether disclosure of the information is or is 
not primarily in the commercial interest of the requester, OPM shall 
consider the following factors:
    (i) The existence and magnitude of a commercial interest. Whether 
the requester has a commercial interest that would be furthered by the 
requested disclosure; and, if so--
    (ii) The primary interest in disclosure. Whether the magnitude of 
the identified commercial interest of the requester is sufficiently 
large, in comparison with the public interest in disclosure, that 
disclosure is ``primarily in the commercial interest of the requester.''
    (3) In all cases the burden of proof shall be on the requester to 
present evidence or information in support of a request for a waiver or 
reduction of fees.
    (g) Denial of waiver request. (1) An OPM official may deny a request 
for a full or partial waiver of fees without further consideration if 
the request does not include:
    (i) A clear statement of the requester's interest in the requested 
information;
    (ii) A clear statement of the use proposed for the information and 
whether the requester will derive income or other benefit from such use;
    (iii) A clear statement of how the public will benefit from OPM's 
release of the requested information; and
    (iv) If specialized use of the documents is contemplated, a clear 
statement of the requester's qualifications that are relevant to the 
specialized use.
    (2) A requester may appeal the denial of a waiver request as 
provided by Sec. 294.110 of this part.
    (h) Fees not paid; penalties; debt collection. (1) If a request, 
which requires the advance payment of fees under the criteria specified 
in this section, is not accompanied by the required payment,

[[Page 106]]

OPM will promptly notify the requester that the required fee must be 
paid within 30 days, and that OPM will not further process the request 
until it receives payment.
    (2) OPM may begin assessing interest charges on an unpaid bill 
starting on the 31st day following the date on which the bill was sent. 
Interest will be charged at the rate prescribed in 31 U.S.C. 3717, and 
will accrue from the date of the billing.
    (3) To encourage the repayment of debts incurred under this subpart, 
OPM may use the procedures authorized by Public Law 97-365, the Debt 
Collection Act of 1982. This may include disclosure to consumer 
reporting agencies and the use of collection agencies.

[58 FR 32044, June 8, 1993]



Sec. 294.110  Appeals.

    (a) When an OPM official denies records or a waiver of fees under 
the Freedom of Information Act, the requester may appeal to the--

Office of the General Counsel, Office of Personnel Management, 
Washington, DC 20415

    (b) A person may appeal denial of a Freedom of Information Act 
request for information maintained by OPM's Office of the General 
Counsel to the--

Deputy Director, Office of Personnel Management Washington, DC 20415

    (c) If an official of another agency denies a Freedom of Information 
Act request for records in one of OPM's Government-wide systems of 
records, the requester should consult that agency's regulations for any 
appeal rights that may apply. An agency may, at its discretion, direct 
these appeals to OPM's Office of the General Counsel.
    (d) An appeal should include a copy of the initial request, a copy 
of the letter denying the request, and a statement explaining why the 
appellant believes the denying official erred.
    (e) The appeals provided for in this section constitute the final 
levels of administrative review that are available. If a denial of 
information or a denial of a fee waiver is affirmed, the requester may 
seek judicial review in the district court of the United States in the 
district in which he or she resides, or has his or her principal place 
of business, or in which the agency records are situated, or in the 
District of Columbia.



Sec. 294.111  Custody of records; subpoenas.

    (a) The Chief, Plans and Policies Division, Administration Group, 
OPM, has official custody of OPM records. A subpoena or other judicial 
order for an official record from OPM should be served on the--

Chief, Plans and Policies Division, Office of Personnel Management, 1900 
E Street NW., Washington, DC 20415

    (b) See 5 CFR part 297, subpart D--Disclosure of Records, of this 
title, for the steps other officials should take on receipt of a 
subpoena or other judicial order for an Office record.

[54 FR 25094, June 13, 1989, as amended at 57 FR 32150, July 21, 1992]



Sec. 294.112  Confidential commercial information.

    (a) In general, OPM will not disclose confidential commercial 
information in response to a Freedom of Information Act request except 
in accordance with this section.
    (b) The following definitions from Executive Order 12600, apply to 
this section:
    (1) Confidential commercial information means records provided to 
the Government by a submitter that arguably contain material exempt from 
release under Exemption 4 of the Freedom of Information Act, 5 U.S.C. 
552(b)(4), because disclosure could reasonably be expected to cause 
substantial competitive harm.
    (2) Submitter means any person or entity who provides confidential 
commercial information, directly or indirectly, to OPM. The term 
includes, but is not limited to, corporations, state governments, and 
foreign governments.
    (c) Submitters of information shall designate by appropriate 
markings, either at the time of submission or at a reasonable time 
thereafter, any portions of their submissions that they consider to be 
confidential commercial information. Such designations shall expire 10 
years after the date of submission unless the submitter requests, and 
provides reasonable justification

[[Page 107]]

for, a designation period of greater duration.
    (d) OPM shall, to the extent permitted by law, provide prompt 
written notice to an information submitter of Freedom of Information 
requests or administrative appeals if:
    (1) The submitter has made a good faith designation that the 
requested material is confidential commercial information, or
    (2) OPM has reason to believe that the requested material may be 
confidential commercial information.
    (e) The written notice required in paragraph (d) of this section 
shall either describe the confidential commercial material requested or 
include as an attachment, copies or pertinent portions of the records.
    (f) Whenever OPM provides the notification and opportunity to object 
required by paragraphs (d) and (h) of this section, it will advise the 
requester that notice and an opportunity to object are being provided to 
the submitter.
    (g) The notice requirements of paragraph (d) of this section shall 
not apply if:
    (1) OPM determines that the information should not be disclosed;
    (2) The information has been lawfully published or officially made 
available to the public;
    (3) Disclosure of the information is required by law (other than 5 
U.S.C. 552);
    (4) The information was submitted on or after August 20, 1992, and 
has not been designated by the submitter as exempt from disclosure in 
accordance with paragraph (c) of this section, unless OPM has 
substantial reason to believe that disclosure of the information would 
result in competitive harm; or
    (5) The designation made by the submitter in accordance with 
paragraph (c) of this section appears obviously frivolous; except that, 
in such a case, OPM shall, within a reasonable number of days prior to a 
specified disclosure date, notify the submitter in writing of any final 
administrative decision to disclose the information.
    (h) The notice described in paragraph (d) of this section shall give 
a submitter a reasonable period from the date of the notice to provide 
OPM with a detailed written statement of any objection to disclosure. 
The statement shall specify all grounds for withholding any of the 
material under any exemption of the Freedom of Information Act. When 
Exemption 4 of the FOIA is cited as the grounds for withholding, the 
specification shall demonstrate the basis for any contention that the 
material is a trade secret or commercial or financial information that 
is privileged or confidential. It must also include a specification of 
any claim of competitive harm, including the degree of such harm, that 
would result from disclosure. Information provided in response to this 
paragraph may itself be subject to disclosure under the FOIA. 
Information provided in response to this paragraph shall also be subject 
to the designation requirements of paragraph (c) of this section. 
Failure to object in a timely manner shall be considered a statement of 
no objection by OPM, unless OPM extends the time for objection upon 
timely request from the submitter and for good cause shown. The 
provisions of this paragraph concerning opportunity to object shall not 
apply to notices of administrative appeals, when the submitter has been 
previously provided an opportunity to object at the time the request was 
initially considered.
    (i) OPM shall consider carefully a submitter's objections and 
specific grounds for nondisclosure, when received within the period of 
time described in paragraph (h) of this section, prior to determining 
whether to disclose the information. Whenever OPM decides to disclose 
the information over the objection of a submitter, OPM shall forward to 
the submitter a written notice, which shall include:
    (1) A statement of the reasons why the submitter's disclosure 
objections were not sustained;
    (2) A description of the information to be disclosed; and
    (3) A specified disclosure date.
    (j) OPM will notify both the submitter and the requester of its 
intent to disclose material a reasonable number of days prior to the 
specified disclosure date.

[[Page 108]]

    (k) Whenever a requester brings suit seeking to compel disclosure of 
confidential commercial information, OPM shall promptly notify the 
submitter.

[57 FR 32150, July 21, 1992]



               Subpart B--The Public Information Function



Sec. 294.201  Public information policy.

    (a) In addition to the basic policies of the Office relative to the 
disclosure of information when requested by a member of the public, the 
Office has an independent public information policy for bringing to the 
attention of the public through news releases, publications of the 
Office, or other methods, information concerning the functions of the 
Office as a Federal agency, and the programs administered by the Office.
    (b) The Assistant Director for Public Affairs carries out the public 
information policy of the Office. In addition, each employee of the 
Office shall cooperate in carrying out this policy.

[50 FR 3310, Jan. 24, 1985]



                      Subpart C--Office Operations



Sec. 294.301  Policy and interpretations.

    (a) Statements of Office policy and interpretations of the laws and 
regulations administered by the Office which the Office has adopted, 
whether or not published in the Federal Register, are available to the 
public.
    (b) Generally, memoranda, correspondence, opinions, data, staff 
studies, information received in confidence, and similar documentary 
material, when prepared for the purpose of internal communication within 
the Office or between the Office and other agencies, organizations, or 
persons, are not available to the public.

[50 FR 3310, Jan. 24, 1985, as amended at 66 FR 66710, Dec. 27, 2001]



                       Subpart D--Cross References



Sec. 294.401  References.

    The table below provides assistance in locating other OPM 
regulations in title 5 of the Code of Federal Regulations that have 
provisions on the disclosure of records:

------------------------------------------------------------------------
            Type of information                       Location
------------------------------------------------------------------------
Classification appeal records.............  511.616.
Classification information................  175.101.
Employee performance folders..............  293.311.
Examination and related subjects records..  300.201.
Grade and pay retention records...........  536.307.
Investigative records.....................  736.104.
Job grading reviews and appeals records...  532.707.
Medical information.......................  297.205 and 293 subpart E.
Official Personnel Folders................  293.311.
Privacy and personnel records.............  297.
Retirement................................  831.106 and 841.108.
------------------------------------------------------------------------


[54 FR 25098, June 13, 1989, as amended at 58 FR 32046, June 8, 1993]



PART 297--PRIVACY PROCEDURES FOR PERSONNEL RECORDS--Table of Contents




                      Subpart A--General Provisions

Sec.
297.101 Purpose and scope.
297.102 Definitions.
297.103 Designations of authority by system manager.
297.104 Types of records.
297.105 Agency and Office responsibilities for systems of records and 
          applicability of the regulations.
297.106 Contact point for Privacy Act matters.

                      Subpart B--Request for Access

297.201 General provisions.
297.202 Methods of access.
297.203 Access by the parent of a minor or by the legal guardian of an 
          individual declared to be incompetent.
297.204 Access by the representative of the data subject.
297.205 Access to medical records.
297.206 Fees charged by the Office.
297.207 Denials of access and appeals with respect to such denials.
297.208 Judicial review.

                     Subpart C--Amendment of Records

297.301 General provisions.
297.302 Time limits.
297.303 Applicability of amendment provisions.
297.304 Approval of requests to amend records.
297.305 Denial of requests to amend records.
297.306 Appeal of a denial of a request to amend a record.
297.307 Statement of disagreement.

[[Page 109]]

297.308 Judicial review.

                    Subpart D--Disclosure of Records

297.401 Conditions of disclosure.
297.402 Disclosure pursuant to a compulsory legal process served on the 
          Office.
297.403 Accounting of disclosure.

                        Subpart E--Exempt Records

297.501 Exemptions.

    Authority: Sec. 3, Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).

    Source: 53 FR 1998, Jan. 26, 1988, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 297.101  Purpose and scope.

    This part sets forth the regulations of the U.S. Office of Personnel 
Management (the Office) to govern the maintenance, protection, 
disclosure, and amendment of records within the systems of records as 
defned by the Privacy Act of 1974 (5 U.S.C. 552a), Public Law 93-579.



Sec. 297.102  Definitions.

    In this part, the terms agency, individual, maintain, record, 
statistical records, and systems of records have the same meanings as 
defined in the Privacy Act, 5 U.S.C. 552a. In addition:
    Access means providing a copy of a record to, or allowing review of 
the original record by, the data subject or the data subject's 
authorized representative, parent, or legal guardian;
    Act means the Privacy Act of 1974, Public Law 93-579, 5 U.S.C. 552a, 
as amended;
    Agency means any department or independent establishment in the 
Executive Branch of the Federal Government, including a Government 
corporation, of Government-controlled corporation, except those 
specifically excluded from the Office recordkeeping requirements by 
statute, this title, or formal agreement between the Office and the 
agency.
    Amendment means the correction, addition, deletion, or destruction 
of a record or specific portions of a record;
    Data subject means the individual to whom the information pertains 
and by whose name or other individual identifier the information is 
retrieved;
    Disclosure means providing personal review of a record, or a copy 
thereof, to someone other than the data subject or the data subject's 
authorized representative, parent, or legal guardian;
    Office means the U.S. Office of Personnel Management;
    Personnel record means any record concerning an individual which is 
maintained and used in the personnel management or personnel policy-
making process; and
    System manager means the Office or agency official, designated by 
the head of the agency, who has the authority to decide Privacy Act 
matters relative to each system of records maintained by the Office.



Sec. 297.103  Designations of authority by system manager.

    The responsible Office system manager having jurisdiction over a 
system of records may designate in writing an Office employee to 
evaluate and issue the Office's decision on Privacy Act matters relating 
to either internal, central, or Governmentwide systems of records.



Sec. 297.104  Types of records.

    The Office manages three generic types of personnel records systems:
    (a) Internal systems of records are under the Office's physical 
control and are established and maintained by the Office solely on its 
own employees and, when appropriate, on others in contact with the 
Office regarding matters within its authority.
    (b) Centralized systems of personnel records are physically 
established and maintained by the Office with regard to most current and 
former Federal employees and some applicants for Federal employment.
    (c) Governmentwide systems of personnel records are maintained by 
the Office, and through Office delegations of authority, by Federal 
agencies with regard to their own employees or applicants for 
employment. Although they are Office records, they are in the physical 
custody of those agencies. Though in the physical custody of agencies, 
the Office retains authority under its record management authority and 
under the Privacy Act to decide appeals of initial agency determinations

[[Page 110]]

regarding access to and amendment of material in these systems.



Sec. 297.105  Agency and Office responsibilities for systems of records and applicability of the regulations.

    (a) These regulations apply to processing requests from both current 
and former Office employees for records contained in internal, central, 
and Governmentwide systems of records managed by the Office.
    (b) Agencies are solely and totally responsible for processing 
requests regarding records maintained in their internal systems of 
records. Agency regulations, and not these Office regulations, govern 
the implementation of the Privacy Act for agency internal systems; there 
is no right of appeal to the Office from an agency's determination 
regarding its internal agency records.
    (c) For records maintained in the Office's central systems of 
records, the data subject should contact the appropriate Office system 
manager concerning Privacy Act matters. These regulations will apply to 
inquiries regarding records located in the central systems of records.
    (d) For records maintained within the Office's Governmentwide 
systems of records, each agency is responsible, unless specifically 
excepted by the Office, for responding to initial Privacy Act access and 
amendment requests from its own current employees. For records in Office 
Governmentwide systems, including those in Official Personnel Folders, 
Employee Performance Folders, and Employee Medical Folders, the Office 
is responsible for responding to initial Privacy Act access and 
amendment requests from former Federal employees.
    (e) The procedures in this part apply to all such requests. The 
procedures in this part also apply to appeals from an agency initial 
determination regarding access to or amendment of records contained in 
the Office's Governmentwide systems of records.
    (f) The Office follows the procedures in this part when--
    (1) Processing initial requests regarding access to or amendment of 
records by its own employees and others that the Office is maintaining 
information on in its systems of records, including requests from former 
employees of an agency whose records properly reside in an Office 
Governmentwide system of records.
    (2) Processing Privacy Act appeals regarding access to and amendment 
of records generated by another Federal agency, but which are contained 
in the Office's Governmentwide systems of records, after an agency has 
issued the initial decision.
    (3) Processing initial requests and appeals concerning access to and 
amendment of records contained in the central systems of records.
    (g) For requests concerning records and material of another agency 
that are in the custody of the Office, but not under its control or 
ownership, the Office reserves the right to either refer the request to 
the agency primarily responsible for the material or to notify the 
individual of the proper agency that should be contacted.



Sec. 297.106  Contact point for Privacy Act matters.

    To determine what records the Office maintains in its system of 
records, requesters must write to the Assistant Director for Workforce 
Information, Personnel Systems and Oversight Group, Office of Personnel 
Management, 1900 E Street, NW., Washington, DC 20415. Using the Office's 
response, requesters can contact the particular system manager indicated 
in the Office's notices of its systems published in the Federal Register 
for further assistance in determining if the Office maintains 
information pertaining to them.



                      Subpart B--Request for Access



Sec. 297.201  General provisions.

    (a) Individual's requesting access to records pertaining to them 
that are maintained in a system of records should submit a written 
request to the appropriate system manager and state that the request is 
being made pursuant to the Privacy Act of 1974.
    (b) The Office or agency will require proof of identity from a 
requester. The Office or agency reserves the right to determine the 
adequacy of any such proof. The general identifying items

[[Page 111]]

the Office will require a requester to provide when a request is made to 
the Office are--
    (1) Full name, signature, and home address;
    (2) Social security number (for systems of records that include this 
identifier);
    (3) Current or last place and dates of Federal employment, when 
appropriate and,
    (4) Date and place of birth.
    (c) An individual may be represented by another when requesting 
access to records.



Sec. 297.202  Methods of access.

    (a) The methods for allowing access to records, when such access has 
been granted by the Office or agency, are:
    (1) Inspection in person in the designated office during the hours 
specified by the Office or agency; or
    (2) Transfer of records at the option of the Office or agency to 
another more convenient Federal facility.
    (b) Generally, Office of Personnel Management offices will not 
furnish certified copies of records. When copies are to be furnished, 
they may be provided as determined by the Office and may require payment 
of any fee levied in accordance with the Office's established fee 
schedule.
    (c) When the requester seeks to obtain original documentation, the 
Office reserves the right to limit the request to copies of the original 
records. Original records should be made available for review only in 
the presence of the system manager or designee. An agency should consult 
with the Office when it receives a request for original documentation. 
Section 2701(a) of title 18 of the United States Code makes it a crime 
to conceal, mutilate, obliterate, or destroy any record filed in a 
public office, or to attempt to do so.



Sec. 297.203  Access by the parent of a minor or by the legal guardian of an individual declared to be incompetent.

    (a) A parent, legal guardian, or custodian of a minor, upon 
presentation of suitable personal identification, may access on behalf 
of a minor any record pertaining to the minor in a system of records 
maintained by the Office.
    (b) A legal guardian, upon presentation of documentation 
establishing guardianship, may access on behalf of an individual 
declared to be incompetent by a court of competent jurisdiction, any 
record pertaining to that individual in a system of records maintained 
by the Office.
    (c) Minors are not precluded from exercising personally those rights 
provided them by the Privacy Act.



Sec. 297.204  Access by the representative of the data subject.

    A record may be disclosed to a representative of the individual to 
whom the record pertains after the system manager receives written 
authorization from the individual who is the subject of the record.



Sec. 297.205  Access to medical records.

    When a request for access involves medical or psychological records 
that the system manager believes requires special handling, the 
requester should be advised that the material will be provided only to a 
physician designated by the data subject. Upon receipt of the 
designation and upon verification of the physician's identity, the 
records will be made available to the physician, who will have full 
authority to disclose those records to the data subject when 
appropriate.



Sec. 297.206  Fees charged by the Office.

    (a) No fees will be charged for search and review time expended by 
the Office to produce a record, or for making a photostatic copy of the 
record, or for having it personally reviewed by the data subject, when a 
record is retrieved from a system of records pertaining to that data 
subject. Additional copies provided may be charged under the Office's 
established fee schedule.
    (b) When the fees chargeable under this section will amount to more 
than $25, the requester will be notified and payment of fees may be 
required before the records are provided.
    (c) Remittance should be made by either a personal check, bank 
draft, or a money order that is made payable to the U.S. Office of 
Personnel Management and addressed to the appropriate system manager.

[[Page 112]]



Sec. 297.207  Denials of access and appeals with respect to such denials.

    (a) If an access request is denied, the Office or agency response 
will be in writing and will include a statement of the reasons for the 
denial and the procedures available to appeal the denial, including the 
name, position title, and address of the Office official responsible for 
the review.
    (b) Nothing in this part should be construed to entitle a data 
subject the right to access any information compiled in reasonable 
anticipation of a civil action or proceeding.
    (c) For denials of access made under this subpart, the following 
procedures apply:
    (1) For initial denials made by an agency, when the record is 
maintained in an Office Governmentwide system of records, a request for 
adminstrative review should be made only to the Assistant Director for 
Workforce Information, Personnel Systems and Oversight Group, U.S. 
Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.
    (2) For denials initially made by an Office official, when a record 
is maintained in an internal or central system of records, a request for 
administrative review should be made to the Information and Privacy 
Appeals Counsel, Office of the General Counsel, U.S. Office of Personnel 
Management, 1900 E Street NW., Washington, DC 20415.
    (3) Any administrative review decision that either partially or 
fully supports the initial decision and denies access to the material 
the individual originally sought should state the requester's right to 
seek judicial review of the final administrative decision.



Sec. 297.208  Judicial review.

    Upon receipt of notification that the denial of access has been 
upheld on administrative review, the requester has the right to judicial 
review of the decision for up to 2 years from the date on which the 
cause of action arose. Judicial review may be sought in the district 
court of the United States in the district in which--
    (a) The requester resides;
    (b) The requester has his or her principal place of business; or
    (c) The agency records are situated; or it may be sought in the 
district court of the District of Columbia.



                     Subpart C--Amendment of Records



Sec. 297.301  General provisions.

    (a) Individuals may request, in writing, the amendment of their 
records maintained in an Office system of records by contacting the 
appropriate system manager. The Office or agency will require proof of 
identity from a requester. The Office or agency reserves the right to 
determine the adequacy of any such proof. The general identifying items 
the Office will require a requester to provide when a request is made to 
the Office are--
    (1) Full name, signature, and home address;
    (2) Social security number (for systems of records that include this 
identifier);
    (3) Current or last place and dates of Federal employment, when 
appropriate; and
    (4) Date and place of birth.
    (b) An individual may be represented by another party when 
requesting amendment of records.
    (c) A request for amendment should include the following:
    (1) The precise identification of the records to be amended;
    (2) The identification of the specific material to be deleted, 
added, or changed; and
    (3) A statement of the reasons for the request, including all 
available material substantiating the request.
    (d) Requests for amendment of records should include the words 
``PRIVACY ACT AMENDMENT REQUEST'' in capital letters on both the 
envelope and at the top of the request letter.
    (e) A request for administrative review of an agency denial to amend 
a record in the Office's systems of records should be addressed to the 
Assistant Director for Workforce Information, Personnel Systems and 
Oversight Group, U.S. Office of Personnel Management, 1900 E Street NW., 
Washington, DC 20415.
    (f) A request for administrative review of a denial to amend a 
record by

[[Page 113]]

an Office official should be addressed to the Information and Privacy 
Appeals Counsel, Office of the General Counsel, U.S. Office of Personnel 
Management, 1900 E Street NW., Washington, DC 20415.
    (g) The burden of proof demonstrating the appropriateness of the 
requested amendment rests with the requester; and, the requester must 
provide relevant and convincing evidence in support of the request.



Sec. 297.302  Time limits.

    The system manager should acknowledge receipt of an amendment 
request within 10 working days and issue a determination as soon as 
practicable. This timeframe begins when the request is received by the 
proper Office or agency official.



Sec. 297.303  Applicability of amendment provisions.

    (a) The amendment procedures are not intended to allow a challenge 
to material that records an event that actually occurred nor are they 
designed to permit a collateral attack upon that which has been or could 
have been the subject of a judicial, quasi-judicial, or administrative 
proceeding. The amendment procedures are also not designed to change 
opinions in records pertaining to the individual.
    (b) The amendment procedures apply to situations when an occurrence 
that is documented was challenged through an established judicial, 
quasi-judicial, or administrative procedure and found to be inaccurately 
described; when the document is not identical to the individual's copy; 
or when the document is not created in accordance with the applicable 
recordkeeping requirements. (For example, the amendment provisions are 
not designed to allow a challenge to the merits of an agency adverse 
action that is documented in an individual's Official Personnel Folder.)



Sec. 297.304  Approval of requests to amend records.

    (a) If the system manager determines that amendment of a record is 
appropriate, the system manager will take the necessary steps to have 
the necessary changes made and will see that the individual receives a 
copy of the amended record.
    (b) When practicable and appropriate, the system manager will advise 
all prior recipients of the fact that an amendment of a record has been 
made.



Sec. 297.305  Denial of requests to amend records.

    (a) If the Office or agency system manager decides not to amend the 
record in the manner sought, the requester should be notified in writing 
of the reasons for the denial.
    (b) The decision letter should also include the requester's right to 
appeal the denial and the procedures for appealing the denial to the 
appropriate official.



Sec. 297.306  Appeal of a denial of a request to amend a record.

    (a) An individual who disagrees with an initial denial to amend a 
record may file a written appeal of that denial to the appropriate 
official. In submitting an appeal, the individual should provide a copy 
of the original request for amendment, a copy of the initial denial 
decision, and a statement of the specific reasons why the initial denial 
is believed to be in error. Any appeal should be submitted to the 
official designated in the initial decision letter. The appeal should 
include the words ``PRIVACY ACT APPEAL'' in capital letters on the 
envelope and at the top of the letter of appeal.
    (b) The reviewing official should complete the review and make a 
final determination in writing no later than 30 working days from the 
date on which the appeal is received. When circumstances warrant, this 
timeframe may be extended.
    (c) If the Office grants the appeal, it will take the necessary 
steps either to amend the record itself or to require the originating 
agency to amend the record. When appropriate and possible, prior 
recipients of the record should be notified of the Office's action.
    (d) The Office reserves the right to hold in abeyance any Privacy 
Act appeal concerning a record when an individual is involved in 
challenging an action involving that record in another administrative, 
judicial, or quasi-judicial forum. At the conclusion of such a

[[Page 114]]

challenge, the individual can resubmit the appeal.
    (e) If the Office denies the appeal, it will include in the decision 
letter notification of the appellant's right to judicial review.



Sec. 297.307  Statement of disagreement.

    (a) Upon receipt of a final administrative determination denying a 
request to amend a record, the requester may file a concise statement of 
disagreement. Such a statement should be filed with the appropriate 
system manager and should include the reasons why the requester believes 
the decision to be incorrect.
    (b) The statement of disagreement should be maintained with the 
record to be amended and any disclosure of the record must include a 
copy of the statement of disagreement.
    (c) When practicable and appropriate, the system manager should 
provide a copy of the statement of disagreement to any individual or 
agency to whom the record was previously disclosed as noted by the 
disclosure accounting.



Sec. 297.308  Judicial review.

    Upon receipt of notification that the denial to amend a record has 
been upheld on administrative review, the requester has the right to 
judicial review of the decision for up to 2 years from the date the 
cause of action arose. Judicial review may be sought in the district 
court of the United States in the district in which--
    (a) The requester resides;
    (b) The requester has his or her principal place of business; or
    (c) The agency records are situated; or it may be sought in the 
district court of the District of Columbia.



                    Subpart D--Disclosure of Records



Sec. 297.401  Conditions of disclosure.

    An official or employee of the Office or agency should not disclose 
a record retrieved from a Governmentwide system of records to any 
person, another agency, or other entity without the express written 
consent of the subject individual unless disclosure is--
    (a) To officers or employees of the Office who have a need for the 
information in the performance of their duties.
    (b) Required by the provisions of the Freedom of Information Act.
    (c) For a routine use as published in the Federal Register.
    (d) To the Bureau of the Census for uses pursuant to title 13 of the 
United States Code.
    (e)(1) To a recipient who has provided the agency with advance 
adequate written assurance that the record will be used solely as a 
statistical research or reporting record. The record will be transferred 
in a form that is not individually identifiable. The written statement 
should include as a minimum:
    (i) A statement of the purpose for requesting the records; and
    (ii) Certification that the records will be used only for 
statistical purposes.
    (2) These written statements should be maintained as records. In 
addition to deleting personal identifying information from records 
released for statistical purposes, the system manager will reasonably 
ensure that the identity of the individual cannot be deduced by 
combining various statistical records.
    (f) To the National Archives of the United States as a record that 
has sufficient historical or other value to warrant its continued 
preservation by the United States Government, or for evaluation by the 
Archivist of the United States or his or her designee to determine 
whether the record has such value.
    (g) To another agency or instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity if the activity is authorized 
by law, and if the head of the agency or instrumentality or his 
designated representative has made a written request to the Office or 
agency that maintains the record specifying the particular portion 
desired and the law enforcement activity for which the record is sought.
    (h) To a person showing compelling circumstances affecting the 
health and safety of an individual, not necessarily the individual to 
whom the record pertains. Upon such disclosure, a notification should be 
sent to the last known address of the subject individual.

[[Page 115]]

    (i) To the Congress or to a Congressional committee, subcommittee, 
or joint committee to the extent that the subject matter falls within 
its established jurisdiction.
    (j) To the Comptroller General or any authorized representatives of 
the Comptroller General in the course of the performance of the duties 
of the General Accounting Office.
    (k) Pursuant to the order of a court of competent jurisdiction.
    (l) To a consumer reporting agency in accordance with section 3711 
(f) of title 31 of the United States Code.



Sec. 297.402  Disclosure pursuant to a compulsory legal process served on the Office.

    For purposes of this section, the Office considers that a subpoena 
signed by a judge is equivalent to a court order.
    (a) The Office may disclose, without prior consent of the data 
subject, specified information from a system of records whenever such 
disclosure is pursuant to an order signed by the appropriate official of 
a court of competent jurisdiction or quasi-judicial agency. In this 
subpart, a court of competent jurisdiction includes the judicial system 
of a state, territory, or possession of the United States.
    (b) Notice of the order will be provided to the data subject by the 
Office as soon as practicable after service of the order. The notice 
should be mailed to the last known address of the individual and state 
the name and number of the case or proceeding, and the nature of the 
information sought.
    (c) Before complying or refusing to comply with the order, an 
official with authority to disclose records under this subpart should 
consult legal counsel to ensure that the response is appropriate.
    (d) Before responding to the order or subpoena signed by a judge, an 
official with authority to disclose records under this subpart in 
consulting with legal counsel will ensure that--
    (1) The requested material is relevant to the subject matter of the 
related judicial or administrative proceeding;
    (2) Motion is made to quash or modify an order that is unreasonable 
or oppressive:
    (3) Motion is made for a protective order when necessary to restrict 
the use or disclosure of any information furnished for purposes other 
than those of the involved proceeding; or
    (4) Request is made for an extension of time allowed for response, 
if necessary.
    (e) If an order or subpoena signed by a judge for production of 
documents also requests appearance of an Office employee, the response 
should be to furnish certified copies of the appropriate records. In 
those situations where the subpoena is not signed by a judge, the Office 
will return the document to the sender and indicate that no action will 
be taken to provide records until the subpoena is signed by a judge.
    (f) If oral testimony is requested by the order or subpoena signed 
by a judge, an explanation that sets forth the testimony desired must be 
furnished to the Office system manager. The individual who has been 
ordered or subpoenaed to testify should consult with counsel to 
determine the matters about which the individual may properly testify.
    (g) In all situations concerning an order, subpoena signed by a 
judge, or other demand for an employee of the Office to produce any 
material or testimony concerning the records that are subject to the 
order, that are contained in the Office's systems of records, and that 
are acquired as part of the employee's official duties, the employee 
shall not provide the information without the prior approval of the 
appropriate Office official.
    (h) If it is determined that the information should not be provided, 
the individual ordered or subpoenaed to do so should respectfully 
decline to comply with the demand based on the instructions from the 
appropriate Office official.
    (i) Notice of the issuance of the ex parte order or subpoena signed 
by a judge is not required if the system of records has been exempted 
from the notice requirement of 5 U.S.C. 552a(e)(8) pursuant to 5 U.S.C. 
552a(j) by a Notice of Exemption published in the Federal Register.

[53 FR 1998, Jan. 26, 1988, as amended at 57 FR 56732, Nov. 30, 1992]

[[Page 116]]



Sec. 297.403  Accounting of disclosure.

    (a) The Office or agency will maintain a record of disclosures in 
cases where records about the individual are disclosed from an Office 
system of records except--
    (1) When the disclosure is made pursuant to the Freedom of 
Information Act, as amended (5 U.S.C. 552); or
    (2) When the disclosure is made to those officers and employees of 
the Office or agency who have a need for the record in the performance 
of their duties.
    (b) This accounting of the disclosures will be retained for at least 
5 years or for the life of the record, whichever is longer, and will 
contain the following information:
    (1) A brief description of the record disclosed;
    (2) The date, nature, and purpose for the disclosure; and
    (3) The name and address of the purpose, agency, or other entity to 
whom the disclosure is made.
    (c) Except for the accounting of disclosure made to agencies, 
individuals, or entities in law enforcement activities or disclosures 
made from the Office's exempt systems of records, the accounting of 
disclosures will be made available to the data subject upon request in 
accordance with the access procedures of this part.

[53 FR 1998, Jan. 26, 1988. Redesignated at 57 FR 56732, Nov. 30, 1992]



                        Subpart E--Exempt Records



Sec. 297.501  Exemptions.

    (a) Several of the Office's internal, central, and Governmentwide 
systems of records contain information for which exemptions appearing at 
5 U.S.C. 552a(k) (1), (2), (3), (5), and (6) may be claimed. The systems 
of records for which the exemptions are claimed, the specific exemptions 
determined to be necessary and proper with respect to these systems of 
records, the records exempted, the provisions of the act from which they 
are exempted, and the justifications for the exemptions are set forth 
below.
    (b) Specific exemptions--(1) Inspector General Investigations Case 
File Records (OPM/CENTRAL-4). All information in these records that 
meets the criteria stated in 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), 
(6), and (7) is exempt from the requirements of 5 U.S.C. 552a(c)(3) and 
(d). These provisions of the Privacy Act relate to making accountings of 
disclosures available to the data subject and access to and amendment of 
records. The specific applicability of the exemptions to this system and 
the reasons for the exemptions are as follows:
    (i) Inspector General investigations may contain properly classified 
information that pertains to national defense and foreign policy 
obtained from other systems or another Federal agency. Application of 
exemption (k)(1) may be necessary to preclude the data subject's access 
to and amendment of such classified information under 5 U.S.C. 552a(d).
    (ii) Inspector General investigations may contain investigatory 
material compiled for law enforcement purposes other than material 
within the scope of 5 U.S.C. 552a(j)(2); e.g., investigations into the 
administration of the merit system. Application of exemption (k)(2) may 
be necessary to preclude the data subject's access to or amendment of 
such records under 5 U.S.C. 552(a)(3) and (d).
    (iii) Inspector General investigations may contain information 
obtained from another system or Federal agency that relates to providing 
protective services to the President of the United States or other 
individuals pursuant to 18 U.S.C. 3056. Application of exemption (k)(3) 
may be necessary to preclude the data subject's access to and amendment 
of such records under 5 U.S.C. 552a(d).
    (iv) Inspector General case files may contain information that, by 
statute, is required to be maintained and used solely as a statistical 
record. Application of exemption (k)(4) may be necessary to ensure 
compliance with such a statutory mandate.
    (v) All information about individuals in these records that meets 
the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the 
requirements of 5 U.S.C. 552a(c)(3) and (d). This exemption is claimed 
because this system contains investigatory material that if disclosed 
may reveal the identity of a source

[[Page 117]]

who furnished information to the Government under an express promise 
that the source's identity would be held in confidence or, prior to 
September 27, 1975, under an implied promise. The application of 
exemption (k)(5) will be required to honor promises of confidentiality 
should the data subject request access to or amendment of the records, 
or access to the accounting of disclosures of the record.
    (vi) All information in these records that meets the criteria stated 
in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 
552a(d) relating to access to and amendment of records by the data 
subject. This exemption is claimed because portions of a case file 
record may relate to testing and examining material used solely to 
determine individual qualifications for appointment or promotion in the 
Federal service. Access to or amendment of this information by the data 
subject would compromise the objectivity and fairness of the testing or 
examining process.
    (vii) Inspector General case files may contain evaluation material 
used to determine potential for promotion in the armed services. 
Application of exemption (k)(7) may be necessary, but only to the extent 
that the disclosure of the data would reveal the identity of a source 
who furnished information to the Government under an express promise 
that the identity of the source would be held in confidence, or, prior 
to September 27, 1975, under an implied promise that the identity of the 
source would be held in confidence.
    (2) Administrative Law Judge Applicant Records (OPM/CENTRAL-6). (i) 
All information about individuals in these records that meets the 
criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirement of 
5 U.S.C. 552(c)(3) and (d). The exemptions are claimed because this 
system contains investigatory material compiled solely for determining 
suitability, eligibility, and qualifications for Federal civilian 
employment. To the extent that the disclosure of such material would 
reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence or, prior to September 27, 1975, under an 
implied promise that the identity of the source would be held in 
confidence, the application of exemption (k)(5) will be required to 
honor promises of confidentialty should the data subject request access 
to the accounting of disclosures of the record, or access to or 
amendment of the record.
    (ii) All information in these records that meets the criteria stated 
in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 
552a(d), relating to access to and amendment of the records by the data 
subject. This exemption is claimed because portions of this system 
relate to testing and examining materials used solely to determine 
individual qualifications for appointment or promotion in the Federal 
service. Access to or amendment of this information by the data subject 
would compromise the objectivity and fairness of the testing or examing 
process.
    (3) Litigation and Claims Records (OPM/CENTRAL-7). (i) When 
litigation or claim cases occur, information from other existing systems 
of records may be incorporated into the case file. This information may 
be material for which exemptions have been claimed by the Office in this 
section. To the extent that such exempt material is incorporated into a 
litigation or claim case file, the appropriate exemption (5 U.S.C. 
552a(k)(1), (2), (3), (4), (5), (6), or (7)) shall also apply to the 
material as it appears in this system. The exemptions will be only from 
those provisions of the Act that were claimed for the systems from which 
the records originated.
    (ii) During the course of litigation or claims cases, it may be 
necessary to conduct investigations to develop information and evidence 
relevant to the case. These investigative records may include material 
meeting the criteria stated in 5 U.S.C. 552a(k)(1), (2), (3), (4), (5), 
(6), and (7). Such material is exempt from the requirement of 5 U.S.C. 
552a(c)(3) and (d). These provisions of the Act relate to making 
accounting of disclosures available to the data subject and access to 
and amendment of records. The specific applicability of the exemptions 
to this system and the reasons for the exemptions are:

[[Page 118]]

    (A) Such investigations may contain properly classified information 
that pertains to national defense and foreign policy obtained from 
another Federal agency. Application of exemption (k)(1) may be necessary 
to preclude the data subject's access to and amendment of suh classified 
information under 5 U.S.C 552a(d).
    (B) Such investigations may contain investigatory material compiled 
for law enforcement purposes othe than material within the scope of 5 
U.S.C. 552a(j)(2), e.g., administration of the merit system, obtained 
from another Federal agency. All information about individuals in these 
records that meets the criteria of 5 U.S.C 552a(k)(2) is exempt from the 
requirements of 5 U.S.C. 552a(c)(3) and (d). Application of exemption 
(k)(2) may be necessary to preclude the data subject's access to or 
amendment of those records.
    (C) Such investigations may contain information obtained from 
another agency that relates to providing protective services to the 
President of the United States or other individuals pursuant to 18 
U.S.C. 3056. All information about individuals in these records that 
meets the criteria of 5 U.S.C. 552a(k)(3) is exempt from the 
requirements of 5 U.S.C. 552a(d), relating to access to or amendment of 
records by the data subject. Application of exemption (k)(3) may be 
necessary to preclude the data subject's access to and amendment of such 
records.
    (D) Such investigations may contain information that, by statute, is 
required to be maintained and used solely as a statistical record. 
Application of exemption (k)(4) may be necessary to ensure compliance 
with such a statutory mandate.
    (E) All information about individuals in these records that meets 
the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the 
requirements of 5 U.S.C. 552a (c)(3) and (d). These exemptions are 
claimed because this system contains investigatory material compiled 
solely for determining suitability, eligibility, and qualifications for 
Federal civilian employment. To the extent that the disclosure of such 
material would reveal the identity of a source who furnished information 
to the Government under an express promise that the identity of the 
source would be held in confidence, or, prior to September 27, 1975, 
under an implied promise that the identity of the source would be held 
in confidence, the application of exemption (k)(5) will be required to 
honor such a promise should the data subject request access to the 
accounting of disclosure, or access to or amendment of the record, that 
would reveal the identity of a confidential source.
    (F) All information in these records that meets the criteria stated 
in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 
552a(d), relating to access to and amendment of the records by the data 
subject. This exemption is claimed because portions of this system 
relate to testing or examining materials used solely to determine 
individual qualifications for appointment or promotion in the Federal 
service. Access to or amendment by the data subject of this information 
would compromise the objectivity and fairness of the testing or 
examining process.
    (G) Such investigations may contain evaluation material used to 
determine potential for promotion in the armed services. Application of 
exemption (k)(7) may be necessary, but only to the extent that the 
disclosure of the data would reveal the identity of a source who 
furnished information to the Government under an express promise that 
the identity of the source would be held in confidence, or, prior to 
September 27, 1975, under an implied promise that the identity of the 
source would be held in confidence.
    (4) Privacy Act/Freedom of Information Case Records (OPM/CENTRAL-8). 
In this subpart, the Office has claimed exemptions for its other systems 
of records where it felt such exemptions are appropriate and necessary. 
These exemptions are claimed under 5 U.S.C. 552a(k) (1), (2), (3), (4), 
(5), (6) and (7). During the processing of a Privacy Act/Freedom of 
Information Act request (which may include access requests, amendment 
requests, and requests for review for initial denials of such requests) 
exempt materials from those other systems may in turn become part of the 
case record in this system. To the extent that copies of exempt records 
from those other systems are entered into

[[Page 119]]

this system, the Office hereby claims the same exemptions for the 
records from those other systems that are entered into this system, as 
claimed for the original primary system of which they are a part.
    (5) Personnel Investigations Records (OPM/CENTRAL-9). All 
information in these records that meets the criteria stated in 5 U.S.C. 
552a(k) (1), (2), (3), (4), (5), (6), and (7) is exempt from the 
requirements of 5 U.S.C. 552a (c)(3) and (d). These provisions of the 
Privacy Act relate to making accountings of disclosures available to the 
data subject and access to and amendment of records. The specific 
applicability of the exemptions to this system and the reasons for the 
exemptions are as follows:
    (i) Personnel investigations may contain properly classified 
information which pertains to national defense and foreign policy 
obtained from another Federal agency. Application of exemption (k)(1) 
may be necessary to preclude the data subject's access to and amendment 
of such classified information under 5 U.S.C. 552a(d).
    (ii) Personnel investigations may contain investigatory material 
compiled for law enforcement purposes other than material within the 
scope of 5 U.S.C. 552a(j)(2); e.g., investigations into the 
administration of the merit system. Application of exemption (k)(2) may 
be necessary to preclude the data subject's access to or amended of such 
records under 5 U.S.C. 552a (c)(3) and (d).
    (iii) Personnel investigations may contain information obtained from 
another Federal agency that relates to providing protective services to 
the President of the United States or other individuals pursuant to 18 
U.S.C. 3056. Application of exemption (k)(3) may be necessary to 
preclude the data subject's access to and amendment of such records 
under 5 U.S.C. 552a(d).
    (iv) Personnel investigations may contain information that, by 
statute, is required to be maintained and used solely as a statistical 
record. Application of exemption (k)(4) may be necessary to ensure 
compliance with such a statutory mandate.
    (v) All information about individuals in these records that meets 
the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the 
requirements of 5 U.S.C. 552a (c)(3) and (d). These exemptions are 
claimed because this system contains investigatory material compiled 
solely for determining suitability, eligibility, and qualifications for 
Federal civilian employment. To the extent that the disclosure of 
material would reveal the identity of a source who furnished information 
to the Government under an express promise that the identity of the 
source would be held in confidence, or, prior to September 27, 1975, 
under an implied promise that the identity of the source would be held 
in confidence, the applicability of exemption (k)(5) will be required to 
honor promises of confidentiality should the data subject request access 
to or amendment of the record, or access to the accounting of 
disclosures of the record.
    (vi) All information in these records that meets the criteria stated 
in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 
552a(d), relating to access to and amendment of records by the data 
subject. This exemption is claimed because portions of this system 
relate to testing or examining materials used solely to determine 
individual qualifications for appointment or promotion in the Federal 
service. Access to or amendment of this information by the data subject 
would compromise the objectivity and fairness of the testing or 
examining process.
    (vii) Personnel Investigations may contain evaluation material used 
to determine potential for promotion in the armed services. Application 
of exemption (k)(7) may be necessary, but only to the extent that the 
disclosure of the data would reveal the identity of a source who 
furnished information to the Government under an express promise that 
the identity of the source would be held in confidence, or, prior to 
September 27, 1975, under an implied promise that the identity of the 
source would be held in confidence.
    (6) Presidential Management Intern Program Records (OPM/CENTRAL-11). 
All information in these records that meets the criteria stated in 5 
U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d), 
relating to access to and amendment of records by the data subject. This 
exemption is

[[Page 120]]

claimed because portions of this system relate to testing or examining 
materials used solely to determine individual qualifications for 
appointment or promotion in the Federal service and access to or 
amendment of this information by the data subject would compromise the 
objectivity and fairness of the testing or examining process.
    (7) Recruiting, Examining, and Placement Records (OPM/GOVT-5). (i) 
All information about individuals in these records that meets the 
criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the requirements 
of 5 U.S.C. 552a(c)(3) and (d). These provisions of the Privacy Act 
relate to making accountings of disclosures available to the data 
subject and access to and amendment of records. These exemptions are 
claimed because this system contains investigative material compiled 
solely for determining the appropriateness of a request for approval of 
an objection to an eligible's qualification for employment in the 
Federal service. To the extent that the disclosure of such material 
would reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, or prior to September 27, 1975, under an 
implied promise that the identity of the source would be held in 
confidence, the application of exemption (k)(5) will be required to 
honor promises of confidentiality should the data subject request access 
to the accounting of disclosures of the record, or access to or 
amendment of the record.
    (ii) All information in these records that meets the criteria stated 
in 5 U.S.C. 552a(K)(6) is exempt from the requirements of 5 U.S.C. 
552a(d), relating to access to an amendment of records by the subject. 
This exemption is claimed because portions of this system relate to 
testing or examining materials used solely to determine individual 
qualifications for appointment or promotion in the Federal service and 
access to or amendment of this information by the data subject would 
compromise the objectivity and fairness of the testing or examining 
process.
    (8) Personnel Research and Test Validation Records (OPM/GOVT-6). (i) 
All information in these records that meets the criteria stated in 5 
U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 552a(d), 
relating to access to and amendment of the records by the data subject. 
This exemption is claimed because portions of this system relate to 
testing or examining materials used solely to determine individual 
qualifications for appointment or promotion in the Federal service. 
Access to or amendment of this information by the data subject would 
compromise the objectivity and fairness of the testing or examining 
process.
    (ii) All information in these records that meets the criteria stated 
in 5 U.S.C. 552a(k)(4) is exempt from the requirements of 5 U.S.C. 
552a(d), relating to access to or amendment of the records by the data 
subject. This exemption is claimed because portions of this system 
relate to records required by statute to be maintained and used solely 
for statistical purposes. Access to or amendment of this information by 
the data subject would compromise the confidentiality of these records 
and their usefulness for statistical research purposes.
    (c) The Office also reserves the right to assert exemptions for 
records received from another agency that could be properly claimed by 
that agency in responding to a request. The Office may refuse access to 
information compiled in reasonable anticipation of a civil action or 
proceeding.

[53 FR 1998, Jan. 26, 1988, as amended at 57 FR 20956, May 18, 1992]



PART 300--EMPLOYMENT (GENERAL)--Table of Contents




                     Subpart A--Employment Practices

Sec.
300.101 Purpose.
300.102 Policy.
300.103 Basic requirements.
300.104 Appeals, grievances and complaints.

              Subpart B--Examinations and Related Subjects

300.201 Examinations.

[[Page 121]]

                     Subpart C--Details of Employees

300.301 Authority.

 Subpart D--Use of Commercial Recruiting Firms and Nonprofit Employment 
                                Services

300.401 Definitions.
300.402 Coverage.
300.403 When commercial recruiting firms and nonprofit employment 
          services may be used.
300.404 Use of fee-charging firms.
300.405 Requirement for contract.
300.406 Agency responsibilities.
300.407 Documentation.
300.408 Corrective action.

              Subpart E--Use of Private Sector Temporaries

300.501 Definitions.
300.502 Coverage.
300.503 Conditions for using private sector temporaries.
300.504 Prohibition on employer-employee relationship.
300.505 Relationship of civil service procedures.
300.506 Requirements of procurement.
300.507 Documentation and oversight.

                  Subpart F--Time-in-Grade Restrictions

300.601 Purpose.
300.602 Definitions.
300.603 Coverage.
300.604 Restrictions.
300.605 Creditable service.
300.606 Agency authority.

Subpart G--Statutory Bar to Appointment of Persons Who Fail to Register 
                       Under Selective Service Law

300.701 Statutory requirement.
300.702 Coverage.
300.703 Definitions.
300.704 Considering individuals for appointment.
300.705 Agency action following statement.
300.706 Office of Personnel Management adjudication.
300.707 Termination of employment.

    Authority: 5 U.S.C. 552, 3301, and 3302; E.O. 10577, 3 CFR 1954-1958 
Comp., page 218, unless otherwise noted.
    Secs. 300.101 through 300.104 also issued under 5 U.S.C. 7201, 7204, 
and 7701; E.O. 11478, 3 CFR 1966-1970 Comp., page 803.
    Secs. 300.401 through 300.408 also issued under 5 U.S.C. 1302(c), 
2301, and 2302.
    Secs. 300.501 through 300.507 also issued under 5 U.S.C. 1103(a)(5).
    Sec. 300.603 also issued under 5 U.S.C. 1104.



                     Subpart A--Employment Practices



Sec. 300.101  Purpose.

    The purpose of this subpart is to establish principles to govern, as 
nearly as is administratively feasible and practical, the employment 
practices of the Federal Government generally, and of individual 
agencies, that affect the recruitment, measurement, ranking, and 
selection of individuals for initial appointment and competitive 
promotion in the competitive service or in positions in the government 
of the District of Columbia required to be filled in the same manner 
that positions in the competitive service are filled. For the purpose of 
this subpart, the term ``employment practices'' includes the development 
and use of examinations, qualification standards, tests, and other 
measurement instruments.

[36 FR 15447, Aug. 14, 1971]



Sec. 300.102  Policy.

    This subpart is directed to implementation of the policy that 
competitive employment practices:
    (a) Be practical in character and as far as possible relate to 
matters that fairly test the relative capacity and fitness of candidates 
for the jobs to be filled;
    (b) Result in selection from among the best qualified candidates;
    (c) Be developed and used without discrimination because of race, 
color, religion, sex, age, national origin, partisan political 
affiliation or other nonmerit grounds; and
    (d) Insure to the candidate opportunity for appeal or administrative 
review, as appropriate.

[40 FR 15379, Apr. 7, 1975]



Sec. 300.103  Basic requirements.

    (a) Job analysis. Each employment practice of the Federal Government 
generally, and of individual agencies, shall be based on a job analysis 
to identify:
    (1) The basic duties and responsibilities;
    (2) The knowledges, skills, and abilities required to perform the 
duties and responsibilities; and
    (3) The factors that are important in evaluating candidates. The job 
analysis

[[Page 122]]

may cover a single position or group of positions, or an occupation or 
group of occupations, having common characteristics.
    (b) Relevance. (1) There shall be a rational relationship between 
performance in the position to be filled (or in the target position in 
the case of an entry position) and the employment practice used. The 
demonstration of rational relationship shall include a showing that the 
employment practice was professionally developed. A minimum educational 
requirement may not be established except as authorized under section 
3308 of title 5, United States Code.
    (2) In the case of an entry position the required relevance may be 
based upon the target position when--
    (i) The entry position is a training position or the first of a 
progressive series of established training and development positions 
leading to a target position at a higher level; and
    (ii) New employees, within a reasonable period of time and in the 
great majority of cases, can expect to progress to a target position at 
a higher level.
    (c) Equal employment opportunity. An employment practice shall not 
discriminate on the basis of race, color, religion, sex, age, national 
origin, partisan political affiliation, or other nonmerit factor. 
Employee selection procedures shall meet the standards established by 
the ``Uniform Guidelines on Employee Selection Procedures'' (1978), 43 
FR 38290 (August 25, 1978).

[40 FR 15380, Apr. 7, 1975, as amended at 43 FR 38310, Aug. 25, 1978]



Sec. 300.104  Appeals, grievances and complaints.

    (a) Employment practices. A candidate who believes that an 
employment practice which was applied to him or her by the Office of 
Personnel Management violates a basic requirement in Sec. 300.103 is 
entitled to appeal to the Merit Systems Protection Board under the 
provisions of its regulations.
    (b) Examination ratings. A candidate may file an appeal with the 
Office from his or her examination rating or the rejection of his or her 
application, except that, where the Office has delegated examining 
authority to an agency, the candidate should appeal directly to that 
agency. The appeal and supporting documents shall be filed with the 
agency office that determined the rating.
    (c) Complaints and grievances to an agency. (1) A candidate may file 
a complaint with an agency when he believes that an employment practice 
which was applied to him and which is administered or required by the 
agency discriminates against him on the basis of race, color, religion, 
sex, or national origin; or age, provided that at the time of the 
alleged discriminatory action the candidate was at least 40 years of age 
but less than 65 years of age. The complaint shall be filed and 
processed in accordance with subparts B and E of part 713 of this 
chapter.
    (2) Except as provided in paragraph (c)(1) of this section, an 
employee may file a grievance with an agency when he or she believes 
that an employment practice which was applied to him or her and which is 
administered or required by the agency violates a basic requirement in 
Sec. 300.103. The grievance shall be filed and processed under an agency 
grievance system, if applicable, or a negotiated grievance system as 
applicable.

[40 FR 15380, Apr. 7, 1975, as amended at 41 FR 51579, Nov. 23, 1976; 44 
FR 48951, Aug. 21, 1979; 60 FR 3057, Jan. 13, 1995; 60 FR 47040, Sept. 
11, 1995]



              Subpart B--Examinations and Related Subjects



Sec. 300.201  Examinations.

    (a) The Office makes available information that will assist members 
of the public in understanding the purpose of, and preparing for, civil 
service examinations. This includes the types of questions and the 
categories of knowledge or skill pertinent to a particular examination. 
The Office does not release the following: (1) Testing and examination 
materials used solely to determine individual qualifications, and (2) 
test material, including test plans, item analysis data, criterion 
instruments, and other material the disclosure of which would compromise 
the objectivity of the testing process.
    (b) The Office maintains control over the security and release of 
testing and

[[Page 123]]

examination materials which it has developed and made available to 
agencies for initial competitive appointment or inservice use unless the 
materials were developed specifically for an agency through a 
reimbursable contractual agreement. These testing and examination 
materials include, and are subject to the same controls as, those 
described in paragraphs (a)(1) and (a)(2) of this section.
    (c) Each employee entrusted with test material has a positive duty 
to protect the confidentiality of that material and to assure release 
only as required to conduct an examination authorized by the Office.
    (d) An applicant may review his or her own answers in a written 
test, but only in the presence of an employee of the Office or, for the 
convenience of the Office and requester, in the presence of an employee 
of another agency designated by OPM. The applicant may not review a test 
booklet in connection with this review.
    (e) The Office will release information concerning the results of 
examinations only to the individual concerned, or to parties explicitly 
designated by the individual.
    (f) The Office will not reveal the names of applicants for civil 
service positions or eligibles on civil service registers, certificates, 
employment lists, or other lists of eligibles, or their ratings or 
relative standings.

[50 FR 3312, Jan. 24, 1985, as amended at 60 FR 3057, Jan. 13, 1995]



                     Subpart C--Details of Employees



Sec. 300.301  Authority.

    (a) In accordance with 5 U.S.C. 3341, an agency may detail an 
employee in the competitive service to a position in either the 
competitive or excepted service.
    (b) In accordance with 5 U.S.C. 3341, an agency may detail an 
employee in the excepted service to a position in the excepted service 
and may also detail an excepted service employee serving under Schedule 
A, Schedule B, or the Veterans Readjustment Act, to a position in the 
competitive service.
    (c) Any other detail of an employee in the excepted service to a 
position in the competitive service may be made only with the prior 
approval of the Office of Personnel Management or under a delegated 
agreement between the agency and OPM.

[60 FR 3057, Jan. 13, 1995]



 Subpart D--Use of Commercial Recruiting Firms and Nonprofit Employment 
                                Services

    Source: 53 FR 51222, Dec. 21, 1988, unless otherwise noted.



Sec. 300.401  Definitions.

    For purposes of this subpart:
    (a) A commercial recruiting firm is a profit-making entity which, by 
contract, supplies individual candidates for consideration for specific 
Federal vacancies, in accordance with the requirements set by the 
Federal agency.
    (b) A nonprofit employment service is one legally established as 
nonprofit under State law. It may be operated, for example, by 
professional societies, organizations of college graduates, social 
agencies, or a State or local government. Federal agencies may not, 
however, use a nonprofit employment service sponsored by a partisan 
political organization. By contract, a nonprofit employment service 
supplies individual candidates for consideration for specific Federal 
vacancies, in accordance with the requirements set by the Federal 
agency.



Sec. 300.402  Coverage.

    This part applies to filling positions in the competitive service; 
positions in the expected service under Schedules A, B, and C; and 
positions in the Senior Executive Service.

[57 FR 10124, Mar. 24, 1992]



Sec. 300.403  When commercial recruiting firms and nonprofit employment services may be used.

    An agency may use a commercial recruiting firm and/or a nonprofit 
employment service in recruiting for vacancies when:
    (a) The agency head or designee determines that such use is likely 
to provide well-qualified candidates who would otherwise not be 
available or that well-qualified candidates are in short supply;

[[Page 124]]

    (b) The agency has provided vacancy notices to appropriate State 
Employment Service and OPM offices; and
    (c) The agency continues its own recruiting efforts.



Sec. 300.404  Use of fee-charging firms.

    (a) Federal agencies are prohibited from using commercial recruiting 
firms and nonprofit employment services which charge fees to individuals 
referred to Federal positions. Federal agencies may not consider a 
candidate referred by a commercial recruiting firm or nonprofit 
employment service if the individual has paid or is expected to pay any 
fee to the firm or service.
    (b) The prohibition in paragraph (a) of this section does not apply 
to registration fees paid by individuals to nonprofit employment 
services operated by professional organizations when the registration 
fee is imposed regardless of whether the registrant is referred for 
employment or placed.



Sec. 300.405  Requirement for contract.

    (a) A written contract awarded in accordance with procedures 
stipulated in the Federal Acquisition Regulations is required between 
the Federal agency and a commercial recruiting firm or nonprofit 
employment service. The contract will satisfy the ``written request'' 
required by 18 U.S.C. 211. That statute prohibits the acceptance of 
payment for aiding an individual to obtain Federal employment except 
when an employment agency renders services pursuant to the written 
request of an executive department or agency.
    (b) The contract must include the qualifications requirements for 
the position(s) to be filled and also provide that the firm or service 
will:
    (1) Screen candidates only against the basic qualifications 
requirements for the position(s) specified by the Federal agency in the 
contract and refer to the agency all candidates who appear to meet those 
requirements;
    (2) Refer to the Federal agency only those applicants from whom the 
firm or service has not accepted fees other than those permitted under 
Sec. 300.404(b) of this part;
    (3) Not imply that it is the sole or primary avenue for employment 
with the Federal Government or a specific Federal agency; and
    (4) Recruit and refer candidates in accordance with applicable merit 
principles and equal opportunity laws.



Sec. 300.406  Agency responsibilities.

    (a) The purpose of a commercial recruiting firm or nonprofit 
employment service is to serve as an additional source of applicants. 
Once recruited, applicants must be evaluated and appointed through 
regular civil service employment procedures.
    (1) For a competitive service position, an individual must be 
appointed in accordance with the terms of applicable competitive service 
procedures.
    (2) For an excepted service position, an individual must be 
appointed in accordance with the terms of the applicable appointing 
authority and the requirements set out in part 302 of this chapter.
    (3) For a Senior Executive Service position filled by career 
appointment, an individual must be appointed in accordance with the 
competitive process described in 5 U.S.C. 3393.
    (b) In order to use commercial recruiting firms or nonprofit 
employment services, agencies are required to:
    (1) Make known that applicants may apply directly to the Government 
and thus need not apply through the commercial recruiting firm or 
nonprofit employment service;
    (2) Give the same consideration to candidates who have applied 
directly and candidates referred from the commercial recruiting firm or 
nonprofit employment service; and
    (3) Follow all requirements for appointment, including veterans 
preference, where applicable.



Sec. 300.407  Documentation.

    (a) Agencies are required to maintain records necessary to determine 
that using commercial recruiting firms or nonprofit employment services 
is cost effective and has not resulted in the violation of merit system 
principles or the commission of any prohibited personnel practice.
    (b) When requested by OPM, agencies will provide reports on the use 
of commercial recruiting firms, based on the

[[Page 125]]

records required in paragraph (a) of this section.

[53 FR 51222, Dec. 21, 1988, as amended at 60 FR 3057, Jan. 13, 1995]



Sec. 300.408  Corrective action.

    Upon evidence of failure to comply with these regulations, OPM may, 
pursuant to its authority, order the agency to take appropriate 
corrective action.



              Subpart E--Use of Private Sector Temporaries

    Source: 54 FR 3766, Jan. 25, 1989, unless otherwise noted.



Sec. 300.501  Definitions.

    For purposes of this subpart:
    (a) A temporary help service firm is a private sector entity which 
quickly provides other organizations with specific services performed by 
its pool of employees, possessing the appropriate work skills, for brief 
or intermittent periods. The firm is the legally responsible employer 
and maintains that relationship during the time its employees are 
assigned to a client. The firm, not the client organization, recruits, 
tests, hires, trains, assigns, pays, provides benefits and leave to, and 
as necessary, addresses performance problems, disciplines, and 
terminates its employees. Among other employer obligations, the firm is 
responsible for payroll deductions and payment of income taxes, social 
security (FICA), unemployment insurance, and workers' compensation, and 
shall provide required liability insurance and bonding.
    (b) Private sector temporaries or outside temporaries are those 
employees of a temporary help service firm who are supervised and paid 
by that firm and whom that firm assigns to various client organizations 
who have contracted for the temporary use of their skills when required.
    (c) Parental and family responsibilities are defined in OPM 
issuances and include situations such as absence for pregnancy, 
childbirth, child care, and care for elderly or infirm parents or other 
dependents.
    (d) A Federal supervisor of Federal employees is defined in 5 U.S.C. 
7103(a)(10) as

an individual employed by an agency having authority in the interest of 
the agency to hire, direct, assign, promote, reward, transfer, furlough, 
layoff, recall, suspend, discipline, or remove employees, to adjust 
their grievances, or to effectively recommend such action, if the 
exercise of the authority is not merely routine or clerical in nature 
but requires the consistent exercise of independent judgment * * *

    (e) A critical need is a sudden or unexpected occurrence; an 
emergency; a pressing necessity; or an exigency. Such occasions are 
characterized by additional work or deadlines required by statute, 
Executive order, court order, regulation, or formal directive from the 
head of an agency or subordinate official authorized to take final 
action on behalf of the agency head. A recurring, cyclical peak 
workload, by itself, is not a critical need.
    (f) A local commuting area is defined in part 351 of this chapter.

[54 FR 3766, Jan. 25, 1989, as amended at 66 FR 66710, Dec. 27, 2001]



Sec. 300.502  Coverage.

    (a) These regulations apply to the competitive service and to 
Schedules A and B in the excepted service.
    (b) Agencies may not use temporary help services for the Senior 
Executive Service or for the work of managerial or supervisory 
positions.

[61 FR 19510, May 2, 1996]



Sec. 300.503  Conditions for using private sector temporaries.

    An agency may enter into a contract or other procurement arrangement 
with a temporary help service firm for the brief or intermittent use of 
the skills of private sector temporaries, when required, and may call 
for those services, subject to these conditions:
    (a) One of the following short-term situations exists--
    (1) An employee is absent for a temporary period because of a 
personal need including emergency, accident, illness, parental or family 
responsibilities, or mandatory jury service, but not including vacations 
or other circumstances which are not shown to be

[[Page 126]]

compelling in the judgment of the agency, or
    (2) An agency must carry out work for a temporary period which 
cannot be delayed in the judgment of the agency because of a critical 
need.
    (b) The need cannot be met with current employees or through the 
direct appointment of temporary employees within the time available by 
the date, and for the duration of time, help is needed. At minimum, this 
should include an agency determination that there are no qualified 
candidates on the applicant supply file and on the reemployment priority 
list (both of which must provide preference for veterans), and no 
qualified disabled veterans with a compensable service-connected 
disability of 30 percent or more under 5 U.S.C. 3112, who are 
immediately available for temporary appointment of the duration 
required, and that employees cannot be reassigned or detailed without 
causing undue delay in their regular work. In instances where a need is 
foreseeable, as when approval of employee absence is requested well in 
advance, an agency may have sufficient time to follow the temporary 
appointment recruiting requirements, including veterans' preference 
found in 5 CFR part 316 to determine whether qualified candidates are 
available by the date needed and for the length of service required.
    (c) These services shall not be used:
    (1) In lieu of the regular recruitment and hiring procedures under 
the civil service laws for permanent appointment in the competitive 
civil service, or
    (2) To displace a Federal employee.
    (3) To circumvent controls on employment levels.
    (4) In lieu of appointing a surplus or displaced Federal employee as 
required by 5 CFR part 330, subpart F (Agency Career Transition 
Assistance Plan for Displaced Employees) and subpart G (Interagency 
Career Transition Assistance Plan for Displaced Employees.)

[54 FR 3766, Jan. 25, 1989, as amended at 61 FR 19510, May 2, 1996; 66 
FR 66710, Dec. 27, 2001]



Sec. 300.504  Prohibition on employer-employee relationship

    No employer-employee relationship is created by an agency's use of 
private sector temporaries under these regulations. Services furnished 
by temporary help firms shall be performed by their employees who shall 
not be considered or treated as Federal employees for any purpose, shall 
not be regarded as performing a personal service, and shall not be 
eligible for civil service employee benefits, including retirement. 
Further, to avoid creating any appearance of such a relationship, 
agencies shall observe the following requirements:
    (a) Time limit on use of temporary help service firm. An agency may 
use a temporary help service firm(s) in a single situation, as defined 
in Sec. 300.503, initially for no more than 120 workdays. Provided the 
situation continues to exist beyond the initial 120 workdays, the agency 
may extend its use of temporary help services up to the maximum limit of 
240 workdays.
    (b) Time limit on use of individual employee of a temporary help 
service firm. (1) An individual employee of any temporary help firm may 
work at a major organizational element (headquarters or field) of an 
agency for up to 120 workdays in a 24-month period. The 24-month period 
begins on the first day of assignment.
    (2) An agency may make an exception for an individual to work up to 
a maximum of 240 workdays only when the agency has determined that using 
the services of the same individual for the same situation will prevent 
significant delay.
    (c) Individual employees of a temporary help firm providing 
temporary service to a Federal agency may be eligible for competitive 
civil service employment only if appropriate civil service hiring 
procedures are applied to them.
    (d) Agencies shall train their employees in appropriate procedures 
for interaction with private sector temporaries to assure that the 
supervisory responsibilities identified in paragraph (a) of Sec. 300.501 
of this subpart are carried out by the temporary help service firm. At 
the same time, agencies must give technical, task-related instructions 
to

[[Page 127]]

private sector temporaries including orientation, assignment of tasks, 
and review of work products, in order that the temporaries may properly 
perform their services under the contract.

[54 FR 3766, Jan. 25, 1989, as amended at 61 FR 19511, May 2, 1996]



Sec. 300.505  Relationship of civil service procedures.

    Agencies continue to have full authority to meet their temporary 
needs by various means, for example, redistributing work, authorizing 
overtime, using in-house pools, and making details or time-limited 
promotions of current employees. In addition, agencies may appoint 
individuals as civil service employees on various work schedules 
appropriate for the work to be performed.

[61 FR 19511, May 2, 1996]



Sec. 300.506  Requirements of procurement.

    (a) Agencies must follow the Federal procurement laws and the 
Federal Acquisition Regulation, as applicable, in procuring services 
from the private sector.
    (b) Agencies should make full use of the provisions of the Federal 
procurement system to make clear that the firm is the legally 
responsible employer and to specify the obligations the firm will have 
to meet to provide effective performance including such matters as the 
types and levels of skills to be provided, deadlines for providing 
service, liability insurance, and, when necessary, security 
requirements. The Federal procurement system also requires contractors 
to comply with affirmative action requirements to employ and advance in 
employment qualified disabled and Vietnam era veterans as provided in 41 
CFR part 60-250, and with public policy programs including equal 
employment opportunity, handicapped employment, and small businesses.



Sec. 300.507  Documentation and oversight.

    Agencies are required to maintain records and provide oversight to 
establish that their use of temporary help service firms is consistent 
with these regulations. As needed, OPM may require agencies to provide 
information on their use of temporary help service firms.

[61 FR 19511, May 2, 1996]



                  Subpart F--Time-In-Grade Restrictions

    Source: 56 FR 23002, May 20, 1991, unless otherwise noted.



Sec. 300.601  Purpose.

    The restrictions in this subpart are intended to prevent excessively 
rapid promotions in competitive service General Schedule positions and 
to protect competitive principles. They provide a budgetary control on 
promotion rates and help assure that appointments are made from 
appropriate registers. These restrictions are in addition to the 
eligibility requirements for promotion in part 335 of this chapter.



Sec. 300.602  Definitions.

    In this subpart--
    Advancement means a promotion (including a temporary promotion) or 
any type of appointment resulting in a higher grade or higher rate of 
basic pay.
    Competitive appointment means an appointment based on selection from 
a competitive examination register of eligibles or under a direct hire 
authority.
    Hardship to an agency involves serious difficulty in filling a 
position, including when:
    (a) The situation to be redressed results from circumstances beyond 
the organization's control and otherwise would require extensive 
corrective action; or
    (b) A position at the next lower grade in the normal line of 
promotion does not exist and the resulting action is not a career ladder 
promotion; or
    (c) There is a shortage of candidates for the position to be filled.
    Inequity to an employee involves situations where a position is 
upgraded without change in the employee's duties or responsibilities, or 
where discrimination or administrative error prevented an employee from 
reaching a higher grade.

[[Page 128]]

    Nontemporary appointment means any appointment other than a 
temporary appointment pending establishment of a register (TAPER) or a 
temporary or excepted appointment not to exceed 1 year or less.



Sec. 300.603  Coverage.

    (a) Coverage. This subpart applies to advancement to a General 
Schedule position in the competitive service by any individual who 
within the previous 52 weeks held a General Schedule position under 
nontemporary appointment in the competitive or excepted service in the 
executive branch, unless excluded by paragraph (b) of this section.
    (b) Exclusions. The following actions may be taken without regard to 
this subpart but must be consistent with all other applicable 
requirements, such as qualification standards:
    (1) Appointment based on selection from a competitive examination 
register of eligibles or under a direct hire authority.
    (2) Noncompetitive appointment based on a special authority in law 
or Executive order (but not including transfer and reinstatement) made 
in accordance with all requirements applicable to new appointments under 
that authority.
    (3) Advancement in accordance with part 335 of this chapter up to 
any General Schedule grade the employee previously held under 
nontemporary appointment in the competitive or excepted service.
    (4) Advancement of an employee from a non-General Schedule position 
to a General Schedule position unless the employee held a General 
Schedule position under nontemporary appointment in the executive branch 
within the previous 52 weeks.
    (5) Advancement of an individual whose General Schedule service 
during the previous 52 weeks has been totally under temporary 
appointment.
    (6) Advancement of an employee under a training agreement 
established in accordance with OPM's operating manuals. However, an 
employee may not receive more than two promotions in any 52-week period 
solely on the basis of one or more training agreements. Also, only OPM 
may approve a training agreement that provides for consecutive 
promotions at rates that exceed those permitted by Sec. 300.604 of this 
part.
    (7) Advancement to avoid hardship to an agency or inequity to an 
employee in an individual meritorious case but only with the prior 
approval of the agency head or his or her designee. However, an employee 
may not be promoted more than three grades during any 52-week period on 
the basis of this paragraph.
    (8) Advancement when OPM authorizes it to avoid hardship to an 
agency or inequity to an employee in individual meritorious situations 
not defined, but consistent with the definitions, in Sec. 300.602 of 
this part.

[56 FR 23002, May 20, 1991, as amended at 66 FR 66710, Dec. 27, 2001]



Sec. 300.604  Restrictions.

    The following time-in-grade restrictions must be met unless 
advancement is permitted by Sec. 300.603(b) of this part:
    (a) Advancement to positions at GS-12 and above. Candidates for 
advancement to a position at GS-12 and above must have completed a 
minimum of 52 weeks in positions no more than one grade lower (or 
equivalent) than the position to be filled.
    (b) Advancement to positions at GS-6 through GS-11. Candidates for 
advancement to a position at GS-6 through GS-11 must have completed a 
minimum of 52 weeks in positions:
    (1) No more than two grades lower (or equivalent) when the position 
to be filled is in a line of work properly classified at 2-grade 
intervals; or
    (2) No more than one grade lower (or equivalent) when the position 
to be filled is in a line of work properly classified at 1-grade 
intervals; or
    (3) No more than one or two grades lower (or equivalent), as 
determined by the agency, when the position to be filled is in a line of 
work properly classified at 1-grade intervals but has a mixed interval 
promotion pattern.
    (c) Advancement to positions up to GS-5. Candidates may be advanced 
without time restriction to positions up to GS-5 if the position to be 
filled is no more than two grades above the lowest grade the employee 
held within the preceding 52 weeks under his or her latest nontemporary 
competitive appointment.

[[Page 129]]



Sec. 300.605  Creditable service.

    (a) All service at the required or higher grade (or equivalent) in 
positions to which appointed in the Federal civilian service is 
creditable towards the time periods required by Sec. 300.604 of this 
part, except as provided in paragraph (c) of this section. Creditable 
service includes competitive and excepted service in positions under the 
General Schedule and other pay systems, including employment with a 
nonappropriated fund instrumentality. Service while on detail is 
credited at the grade of the employee's position of record, not the 
grade of the position to which detailed. Also creditable is service with 
the District of Columbia Government prior to January 1, 1980 (or prior 
to September 26, 1980, for those District employees who were converted 
to the District personnel system on January 1, 1980).
    (b) Service in positions not subject to the General Schedule (GS) is 
credited at the equivalent GS grade by comparing the candidate's rate of 
basic pay with the representative rate (as defined in Sec. 351.203 of 
this chapter) of the GS position in effect when the non-GS service was 
performed. The equivalent GS grade is the GS grade with a representative 
rate that equals the candidate's rate of basic pay. When the candidate's 
rate of basic pay falls between the representative rates of two GS 
grades, the non-GS service is credited at the higher grade.
    (c) In applying the restrictions in Sec. 300.604 of this part, prior 
service under temporary appointment at a level above that of a 
subsequent nontemporary competitive appointment is credited as if the 
service had been performed at the level of the nontemporary appointment. 
This provision applies until the employee has served in pay status for 
52 weeks under nontemporary competitive appointment; thereafter, the 
service is credited at its actual grade level (or equivalent).



Sec. 300.606  Agency authority.

    An agency may expand on these restrictions consistent with the 
intent of this subpart or may adopt similar policies to control 
promotion rates of employees not covered by this subpart.



Subpart G--Statutory Bar to Appointment of Persons Who Fail to Register 
                       Under Selective Service Law

    Source: 52 FR 7400, Mar. 11, 1987, unless otherwise noted.



Sec. 300.701  Statutory requirement.

    Section 3328 of title 5 of the United States Code provides that--

    (a) An individual--
    (1) Who was born after December 31, 1959, and is or was required to 
register under section 3 of the Military Selective Service Act (50 
U.S.C. App. 453); and
    (2) Who is not so registered or knowingly and willfully did not so 
register before the requirement terminated or became inapplicable to the 
individual, shall be ineligible for appointment to a position in an 
executive agency of the Federal Government.
    (b) The Office of Personnel Management, in consultation with the 
Director of the Selective Service System, shall prescribe regulations to 
carry out this section. Such regulations shall include provisions 
prescribing procedures for the adjudication within the Office of 
determinations of whether a failure to register was knowing and willful. 
Such procedures shall require that such a determination may not be made 
if the individual concerned shows by a preponderance of the evidence 
that the failure to register was neither knowing nor willful.



Sec. 300.702  Coverage.

    Appointments in the competitive service, the excepted service, the 
Senior Executive Service, or any other civil service personnel 
management system in an executive agency are covered by these 
regulations.



Sec. 300.703  Definitions.

    In this subpart--
    Appointment means any personnel action that brings onto the rolls of 
an executive agency as a civil service officer or employee as defined in 
5 U.S.C. 2104 or 2105, respectively, a person who is not currently 
employed in that agency. It includes initial employment as well as 
transfer between agencies and subsequent employment after a break in 
service. Personnel actions that move an employee within an agency 
without a break in service are not covered. A break in service is a 
period of 4 or more

[[Page 130]]

calendar days during which an individual is no longer on the rolls of an 
executive agency.
    Covered individual means a male (a) whose application for 
appointment is under consideration by an executive agency or who is an 
employee of an executive agency; (b) who was born after December 31, 
1959, and is at least 18 years of age or becomes 18 following 
appointment; (c) who is either a United States citizen or an alien 
(including parolees and refugees and those who are lawfully admitted to 
the United States for permanent residence and for asylum) residing in 
the United States; and (d) is or was required to register under section 
3 of the Military Selective Service Act (50 U.S.C. App. 453). 
Nonimmigrant aliens admitted under section 101(a)(15) of the Immigration 
and Nationality Act (8 U.S C. 1101), such as those admitted on visitor 
or student visas, and lawfully remaining in the United States, are 
exempt from registration.
    Executive agency means an agency of the Government of the United 
States as defined in 5 U.S.C. 105.
    Exemptions means those individuals determined by the Selective 
Service System to be excluded from the requirement to register under 
sections 3 and 6(a) of the Military Selective Service Act (50 U.S.C. 
App. 453 and 456(a)) or Presidential proclamation.
    Preponderance of the evidence means that degree of relevant evidence 
that a reasonable person, considering the record as a whole, would 
accept as sufficient to support a conclusion that the matter asserted is 
more likely to be true than not true.
    Registrant means an individual registered under Selective Service 
law.
    Selective Service law means the Military Selective Service Act, 
rules and regulations issued thereunder, and proclamations of the 
President under that Act.
    Selective Service System means the agency responsible for 
administering the registration system and for determining who is 
required to register and who is exempt.



Sec. 300.704  Considering individuals for appointment.

    (a) An executive agency must request a written statement of 
Selective Service registration status from each covered individual at an 
appropriate time during the consideration process prior to appointment, 
and from each covered employee who becomes 18 after appointment. The 
individual must complete, sign, and date in ink the statement on a form 
provided by the agency unless the applicant furnishes other 
documentation as provided by paragraph (c) of this section.
    (b) Statement of Selective Service registration status. Agencies 
should reproduce the following statement, which has been approved by the 
Office of Management and Budget for use through October 31, 1989, under 
OMB Control No. 3206-0166:

     Applicant's Statement of Selective Service Registration Status

    If you are a male born after December 31, 1959, and are at least 18 
years of age, civil service employment law (5 U.S.C. 3328) requires that 
you must be registered with the Selective Service System, unless you 
meet certain exemptions under Selective Service law. If you are required 
to register but knowingly and willfully fail to do so, you are 
ineligible for appointment by executive agencies of the Federal 
Government.

                  Certification of Registration Status

Check one:
[ ] I certify I am registered with the Selective Service System.
[ ] I certify I have been determined by the Selective Service System to 
          be exempt from the registration provisions of Selective 
          Service law.
[ ] I certify I have not registered with the Selective Service System.
[ ] I certify I have not reached my 18th birthday and understand I am 
          required by law to register at that time.

                      Non-Registrants Under Age 26

    If you are under age 26 and have not registered as required, you 
should register promptly at a United States Post Office, or consular 
office if you are outside the United States.

                     Non-Registrants Age 26 or Over

    If you were born in 1960 or later, are 26 years of age or older, and 
were required to register but did not do so, you can no longer

[[Page 131]]

register under Selective Service law. Accordingly, you are not eligible 
for appointment to an executive agency unless you can prove to the 
Office of Personnel Management (OPM) that your failure to register was 
neither knowing nor willful. You may request an OPM decision through the 
agency that was considering you for employment by returning this 
statement with your written request for an OPM determination together 
with any explanation and documentation you wish to furnish to prove that 
your failure to register was neither knowing nor willful.

                          Privacy Act Statement

    Because information on your registration status is essential for 
determining whether you are in compliance with 5 U.S.C. 3328, failure to 
provide the information requested by this statement will prevent any 
further consideration of your application for appointment. This 
information is subject to verification with the Selective Service System 
and may be furnished to other Federal agencies for law enforcement or 
other authorized use in implementing this law.

                      False Statement Notification

    A false statement may be grounds for not hiring you, or for firing 
you if you have already begun work. Also, you may be punished by fine or 
imprisonment. (Section 1001 of title 18, United States Code.)

________________________________________________________________________
Legal signature of individual (please use ink)

________________________________________________________________________
Date signed (please use ink)

    (c) At his option, a covered individual may submit, in lieu of the 
statement described above, a copy of his Acknowledgment Letter or other 
proof of registration or exemption issued by the Selective Service 
System. The individual must sign and date the document and add a note 
stating it is submitted as proof of Selective Service registration or 
exemption.
    (d) An executive agency will give no further consideration for 
appointment to individuals who fail to provide the information requested 
above on registration status.
    (e) An agency considering employment of a covered individual who is 
a current or former Federal employee is not required to request a 
statement when it determines that the individual's Official Personnel 
Folder contains evidence indicating the individual is registered or 
currently exempt from registration.



Sec. 300.705  Agency action following statement.

    (a) Agencies must resolve conflicts of information and other 
questions concerning an individual's registration status prior to 
appointment. An agency may verify, at its discretion, an individual's 
registration status by requesting the individual to provide proof of 
registration or exemption issued by the Selective Service System and/or 
by contacting the Selective Service System at 888-655-1825.
    (b) An agency may continue regular pre-employment consideration of 
individuals whose statements show they have registered or are exempt.
    (c) An agency will take the following actions when a covered 
individual who is required to register has not done so, and is under age 
26:
    (1) Advise him to register promptly and, if he wishes further 
consideration, to submit a new statement immediately to the agency once 
he has registered. The agency will set a time limit for submitting the 
statement.
    (2) Provide written notice to an individual who still does not 
register after being informed of the above requirements that he is 
ineligible for appointment according to 5 U.S.C. 3328 and will be given 
no further employment consideration.
    (d) An agency will take the following actions when a covered 
individual who is age 26 or over, was required to register, and has not 
done so:
    (1) Provide written notice to the individual that, in accordance 
with 5 U.S.C. 3328, he is ineligible for appointment unless his failure 
to register was neither knowing nor willful, and that OPM will decide 
whether his failure to register was knowing and willful if he submits a 
written request for such decision and an explanation of his failure to 
register.
    (2) Submit the individual's application, the statement described in 
Sec. 300.704(b), a copy of the written notice, his request for a 
decision and explanation of his failure to register, and any other 
papers pertinent to his registration status for determination to--
Registration Review, Staffing Operations Division, Career Entry Group, 
room 6A12, U.S. Office of Personnel

[[Page 132]]

Management, 1900 E Street, NW., Washington, DC 20415.
    (3) An agency is not required to keep a vacancy open for an 
individual who seeks an OPM determination.
    (e) Individuals described in paragraph (c) of this section who do 
not submit a statement of registration or exemption are not eligible for 
employment consideration. Individuals described in paragraph (d) of this 
section are not eligible for employment consideration unless OPM finds 
that failure to register was neither knowing nor willful. Agencies are 
not required to follow the objections-to-eligibles procedures described 
in Sec. 332.406 concerning such individuals who were certified or 
otherwise referred by an OPM examining office or other office delegated 
examining authority by OPM. Instead, an agency will provide, for 
information as part of its certification report to that office, a copy 
of its written notice to the individual.

[52 FR 7400, Mar. 11, 1987, as amended at 64 FR 28713, May 27, 1999]



Sec. 300.706  Office of Personnel Management adjudication.

    (a) OPM will determine whether failure to register was knowing and 
willful when an individual has requested a decision and presented a 
written explanation, as described in Sec. 300.705. The Associate 
Director for Career Entry or his or her designee will make the 
determination based on the written explanation provided by the 
individual. The burden of proof will be on the individual to show by a 
preponderance of the evidence that failure to register was neither 
knowing nor willful.
    (b) OPM may consult with the Selective Service System in making 
determinations.
    (c) The Associate Director for Career Entry or his or her designee 
will notify the individual and the agency in writing of the 
determination. The determination is final unless reconsidered at the 
discretion of the Associate Director. There is no further right to 
administrative review.
    (d) The Director of OPM may reopen and reconsider a determination.
    (e) The Director of OPM may, at his or her discretion, delegate to 
an executive agency the authority to make initial determinations. 
However, OPM may review any initial determination and make a final 
adjudication in any case. If a delegation is made under this paragraph, 
the notice in Sec. 300.705(d)(1) will state that the individual may 
submit a written request that OPM review the agency's initial 
determination. The agency will forward to OPM copies of all documents 
relating to the individual's failure to register, including the 
individual's request for review and his explanation of his failure to 
register.



Sec. 300.707  Termination of employment.

    A covered individual who is serving under an appointment made on or 
after November 8, 1985, and is not exempt from registration, will be 
terminated by his agency under the authority of the statute and these 
regulations if he has not registered as required, unless he registers or 
unless, if no longer eligible to register, OPM determines in response to 
his explanation that his failure to register was neither knowing nor 
willful.



PART 301--OVERSEAS EMPLOYMENT--Table of Contents




Subpart A [Reserved]

                 Subpart B--Overseas Limited Appointment

Sec.
301.201 Appointments of United States citizens recruited overseas.
301.202 Appointment of citizens recruited outside overseas areas.
301.203 Duration of appointment.
301.204 Status and trial period.
301.205 Requirements and restrictions.
301.206 Within-grade increases.

 Subpart C--Overseas Employees Eligible for Noncompetitive Appointment 
                    Upon Return to the United States

301.301 Eligibility under the authority of Executive Order 12362.
301.302 Overseas appointing procedures.
301.303 Performance appraisal.

    Authority: 5 U.S.C. 3301, 3302; E.O. 10577, 3 CFR, 1954-1958 Comp., 
p. 218, as amended by E.O. 10641, 3 CFR, 1954-1958 Comp., p. 274, unless 
otherwise noted.

    Source: 44 FR 54691, Sept. 21, 1979, unless otherwise noted.

Subpart A [Reserved]

[[Page 133]]



                 Subpart B--Overseas Limited Appointment



Sec. 301.201  Appointments of United States citizens recruited overseas.

    When there is a shortage of eligible applicants resulting from a 
competitive announcement, an agency may give an overseas limited 
appointment to a United States citizen recruited for a position 
overseas.

[68 FR 35268, June 13, 2003]



Sec. 301.202  Appointment of citizens recruited outside overseas areas.

    When an agency determines that unusual or emergency conditions make 
it infeasible to appoint from a register, it may give an overseas 
limited appointment to a United States citizen recruited in an area 
where an overseas limited appointment is not authorized.



Sec. 301.203  Duration of appointment.

    (a) An appointment under this subpart is of indefinite duration 
unless otherwise limited.
    (b) An agency may make an overseas limited term appointment for a 
period not in excess of 5 years when a time limitation is imposed as a 
part of a general program for rotating career and career-conditional 
employees between overseas areas and the United States after specified 
periods of overseas service.
    (c) An agency may make an overseas limited appointment for 1 year or 
less to meet administrative needs for temporary employment. An agency 
may extend such an appointment for up to a maximum of 1 additional year.
    (d) Upon request from the headquarters level of a Department or 
agency, OPM may approve, or delegate to agencies the authority to 
approve, exceptions to the time limits set out in paragraph (c) of this 
section.

[44 FR 54691, Sept. 21, 1979, as amended at 60 FR 3057, Jan. 13, 1995]



Sec. 301.204  Status and trial period.

    (a) An overseas limited employee does not acquire a competitive 
status on the basis of his or her overseas limited appointment. He or 
she is required to serve a trial period of 1 year when given an overseas 
limited appointment of indefinite duration or an overseas limited term 
appointment.
    (b) The agency may terminate an overseas limited employee at any 
time during the trial period. The employee is entitled to the procedures 
set forth in Sec. 315.804 or Sec. 315.805 of this chapter as 
appropriate.



Sec. 301.205  Requirements and restrictions.

    The requirements and restrictions in subpart F of part 300 of this 
chapter apply to appointments under this subpart.

[68 FR 35268, June 13, 2003]



Sec. 301.206  Within-grade increases.

    An employee serving under an overseas limited appointment of 
indefinite duration or an overseas limited term appointment in a 
position subject to the General Schedule, is eligible for within-grade 
increases in accordance with subpart D of part 531 of this chapter.

(5 U.S.C. 3301, 3302, E.O. 10577, 3 CFR, 1954-1958 Comp., p. 218, as 
amended by E.O. 10641, 3 CFR, 1954-1958 Comp., p. 274)



 Subpart C--Overseas Employees Eligible for Noncompetitive Appointment 
                    Upon Return to the United States

    Authority: E.O. 12362, 47 FR 21231, 3 CFR, 1982 Comp., p. 182.

    Source: 48 FR 52868, Nov. 23, 1983; correctly designated at 49 FR 
5601, Feb. 14, 1984, unless otherwise noted.



Sec. 301.301  Eligibility under the authority of Executive Order 12362.

    Employees who serve under overseas local hire appointments as 
defined in Sec. 315.608(b) of this chapter and meet the eligibility 
criteria of Sec. 315.608(a) of this chapter are eligible for 
noncompetitive career-conditional, term, or temporary limited 
appointment when they return to the United States.



Sec. 301.302  Overseas appointing procedures.

    Overseas agencies are required to insure that selection of employees 
for local hire appointments in the overseas area is made on the basis of 
the ability,

[[Page 134]]

knowledge, and skills of eligible candidates, in accordance with 
applicable law and regulation.



Sec. 301.303  Performance appraisal.

    As soon as practicable, but beginning not later than January 1, 
1984, overseas agencies are required to evaluate the performance of 
employees who serve under overseas local hire appointments as defined in 
Sec. 315.608(b) of this chapter and who are eligible to meet the 
criteria established in Sec. 315.608(a), of this chapter in accordance 
with the agency's performance appraisal plan established under chapter 
43 of title 5, U.S. Code, unless the agency is exempt from the 
provisions of that chapter.



PART 302--EMPLOYMENT IN THE EXCEPTED SERVICE--Table of Contents




                      Subpart A--General Provisions

Sec.
302.101 Positions covered by regulations.
302.102 Method of filling positions and status of incumbents.
302.103 Definitions.
302.104 Applicability of regulations to applicants and employees.
302.105 Special agency plans.
302.106 Vacancy announcements.

                    Subpart B--Eligibility Standards

302.201 Persons entitled to veteran preference.
302.202 Qualification requirements.
302.203 Disqualifying factors.

         Subpart C--Accepting, Rating and Arranging Applications

302.301 Receipt of applications.
302.302 Examination of applicants.
302.303 Maintenance of employment lists.
302.304 Order of consideration.

Subpart D--Selection and Appointment; Reappointment; and Qualifications 
                              for Promotion

302.401 Selection and appointment.
302.402 Reappointment.
302.403 Qualifications for promotion.

                           Subpart E--Appeals

302.501 Entitlement.

    Authority: 5 U.S.C. 1302, 3301, 3302, 8151, E.O. 10577 (3 CFR 1954-
1958 Comp., p. 218); Sec. 302.105 also issued under 5 U.S.C. 1104, Pub. 
L. 95-454, sec. 3(5); Sec. 302.501 also issued under 5 U.S.C. 7701 et 
seq.

    Source: 55 FR 9407, Mar. 14, 1990, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 302.101  Positions covered by regulations.

    (a) Positions covered. With respect to the application of veteran 
preference, this part applies to each position in the Executive Branch 
of the Federal Government that is not in the competitive service and 
that is subject to the provisions of title 5, United States Code, or 
subject to a statutory requirement to follow the veteran preference 
provisions of title 5. With respect to restoration rights that are due 
to compensable injury and appeals therefrom, this part applies to those 
positions covered by 5 U.S.C. 8101(1) that are not in the competitive 
service.
    (b) Positions not covered. This part does not apply to a position or 
appointment that is required by the Congress to be confirmed by, or made 
with the advice and consent of, the Senate.
    (c) Positions exempt from appointment procedures. In view of the 
circumstances and conditions surrounding employment in the following 
classes of positions, an agency is not required to apply the appointment 
procedures of this part to them, but each agency shall follow the 
principle of veteran preference as far as administratively feasible and, 
on the request of a qualified and available preference eligible, shall 
furnish him/her with the reasons for his/her nonselection. Also, the 
exemption from the appointment procedures of this part does not relieve 
agencies of their obligation to accord persons entitled to priority 
consideration (see Sec. 302.103) their rights under 5 U.S.C. 8151:
    (1) Positions filled by persons appointed without pay or at pay of 
$1 a year;
    (2) Positions outside the continental United States and outside the 
State of Hawaii and the Commonwealth of Puerto Rico when filled by 
persons resident in the locality, and positions in the State of Hawaii 
and the Commonwealth of Puerto Rico when paid in accordance with 
prevailing wage rates;

[[Page 135]]

    (3) Positions which the exigencies of the national defense program 
demand be filled immediately before lists of qualified applicants can be 
established or used, but appointments to these positions shall be 
temporary appointments not to exceed 1 year which may be renewed for 1 
additional year at the discretion of the agency;
    (4) Positions filled by appointees serving on an irregular or 
occasional basis whose hours or days of work are not based on a 
prearranged schedule and who are paid only for the time when actually 
employed or for services actually performed;
    (5) Positions paid on a fee basis;
    (6) Positions included in Schedule A (see subpart C of part 213 of 
this chapter) and similar types of positions when OPM agrees with the 
agency that the positions should be included hereunder;
    (7) Positions included in Schedule C (see subpart C of part 213 of 
this chapter) and positions excepted by statute which are of a 
confidential, policy-making, or policy-advocating nature;
    (8) Student Trainee positions when filled under Schedule B (see 
subpart C of part 213 of this chapter);
    (9) Attorney positions; and
    (10) Positions filled by reemployment of an individual in the same 
agency and commuting area, at the same or lower grade, and under the 
same appointing authority as the position last held; Provided That, 
there are no candidates eligible for the position on the agency's 
priority reemployment list established in accordance with Sec. 302.303.
    (11) Positions for which a critical hiring need exists when filled 
under Sec. 213.3102(i)(2) of this chapter.

[55 FR 9407, Mar. 14, 1990, as amended at 58 FR 58260, Nov. 1, 1993; 60 
FR 10006, Feb. 23, 1995]



Sec. 302.102  Method of filling positions and status of incumbent.

    (a) To the extent permitted by statute and this chapter, each 
appointment, position change, and removal in the excepted service shall 
be made in accordance with any regulations or practices that the head of 
the agency concerned finds necessary.
    (b) Except as authorized under paragraph (c) of this section, a 
person appointed to an excepted position does not acquire a competitive 
status by reason of the appointment. When an employee serving under a 
nontemporary appointment in the competitive service is selected for an 
excepted appointment, the agency must--
    (1) Inform the employee that, because the position is in the 
excepted service, it may not be filled by a competitive appointment, and 
that acceptance of the proposed appointment will take him/her out of the 
competitive service while he/she occupies the position; and
    (2) Obtain from the employee a written statement that he/she 
understands he/she is leaving the competitive service voluntarily to 
accept an appointment in the excepted service.
    (c) Upon a finding by OPM that in a particular situation the action 
will be in the interest of good administration, OPM may authorize an 
agency to make appointments to specified positions in the excepted 
service in the same manner as to positions in the competitive service. 
Persons given career-conditional or career appointments pursuant to a 
specific authorization by OPM under this paragraph may acquire a 
competitive status as provided in part 315 of this chapter.

[55 FR 9407, Mar. 14, 1990, as amended at 58 FR 58261, Nov. 1, 1993]



Sec. 302.103  Definitions.

    Person entitled to priority consideration means a person who was 
furloughed or separated without misconduct, from a position without time 
limit, because of a compensable injury and whose recovery takes longer 
than 1 year from the date compensation began. To be eligible under this 
part the person must apply for reappointment to his or her former agency 
within 30 days of the date of cessation of compensation.



Sec. 302.104  Applicability of regulations to applicants and employees.

    Each agency shall follow the provisions of this part relating to 
examination, rating, and selection for appointment of an applicant when 
a qualified preference eligible or person entitled to priority 
consideration applies for appointment to a position covered by this 
part. Each agency, in its discretion, may follow these provisions when 
no

[[Page 136]]

preference eligible or person entitled to priority consideration 
applies.



Sec. 302.105  Special agency plans.

    An agency having a position subject to this part may establish a 
system which will result in granting to eligible persons the preference 
or priority consideration referred to in sections 1302(c) or 8151 of 
title 5, United States Code, but which does not conform to all the 
procedural requirements set forth in this part. The agency establishing 
such a system must ensure that all eligible applicants entitled to 
veteran preference or priority consideration receive at least as much 
advantage in referral as they would receive under the procedures set 
forth in this part.



Sec. 302.106  Vacancy announcements.

    When an agency announces a vacancy in the excepted service, the 
announcement must contain a reasonable accommodation statement that 
complies with requirements in Sec. 330.707 of subpart G of this chapter.

[66 FR 63906, Dec. 11, 2001]



                    Subpart B--Eligibility Standards



Sec. 302.201  Persons entitled to veteran preference.

    In actions subject to this part, each agency shall grant veteran 
preference as follows:
    (a) When numerical scores are used in the evaluation and referral, 
the agency shall grant 5 additional points to preference eligibles under 
section 2108(3) (A) and (B) of title 5, United States Code, and 10 
additional points to preference eligibles under section 2108(3) (C) 
through (G) of that title.
    (b) When eligible candidates are referred without ranking, the 
agency shall note preference as ``CP'' for preference eligibles under 5 
U.S.C. 2108(3)(C), as ``XP'' for preference eligibles under 5 U.S.C. 
2108(3) (D) through (G), and as ``TP'' for all other preference 
eligibles under that title.



Sec. 302.202  Qualification requirements.

    Before making an appointment to a position covered by this part, 
each agency shall establish qualification standards such as those 
relating to experience and training, citizenship, minimum age, physical 
condition, etc., which shall relate to the duties to be performed. An 
agency may delegate the establishment of standards relating to a group 
of positions or a specific position to the appropriate administrative 
level or subdivision in accordance with the needs of the locality in 
which the position is located, but the agency shall determine that each 
standard established is in conformity with this part. Each agency shall 
make its standards a matter of record in the appropriate office of the 
agency, and shall furnish information concerning the standards for a 
position to an applicant on his/her request. Each agency shall apply the 
standards for a position uniformly to all applicants, except for such 
waivers as are provided in this part for a preference eligible. An 
agency shall not include a minimum educational requirement in 
qualification standards, except for a scientific, technical, or 
professional position the duties of which the agency decides cannot be 
performed by a person who does not have a prescribed minimum education. 
An agency shall not establish a maximum age requirement for any 
position. Each agency shall make a part of its records the reasons for 
its decision under this section and shall furnish those reasons to an 
applicant on his/her request. The qualification standards shall include:
    (a) A provision for waiver by the agency of requirements as to age, 
height, and weight for each preference eligible when the requirements 
are not essential to the performance of the duties of the position; and
    (b) A provision for waiver by the agency of physical requirements 
for each preference eligible when the agency, after giving due 
consideration to the recommendation of an accredited physician, finds 
that the applicant is physically able to discharge the duties of the 
position.



Sec. 302.203  Disqualifying factors.

    (a) The qualification standards established by an agency or by an 
administrative level or subdivision of an agency may provide that 
certain reasons

[[Page 137]]

disqualify an applicant for appointment. The following, among others, 
may be included as disqualifying reasons:
    (1) Dismissal from employment for delinquency or misconduct;
    (2) Criminal, infamous, dishonest, immoral, or notoriously 
disgraceful conduct;
    (3) Intentional false statement or deception or fraud in examination 
or appointment;
    (4) Habitual use of intoxicating beverages to excess;
    (5) Reasonable doubt as to the loyalty of the person involved to the 
Government of the United States;
    (6) Any legal or other disqualification which makes the individual 
unfit for service; or
    (7) Lack of United States citizenship.
    (b) An agency may not disqualify an applicant solely because of his/
her retired status.



        Subpart C--Accepting, Rating, and Arranging Applications



Sec. 302.301  Receipt of applications.

    (a) Each agency shall establish definite rules regarding the 
acceptance of applications for employment in positions covered by this 
part and shall make these rules a matter of record.
    (b) Each agency shall apply its rules uniformly to all applicants 
who meet the conditions of the rules and shall furnish information 
concerning the rules to an applicant on his/her request.



Sec. 302.302  Examination of applicants.

    (a) Eligibility. An evaluation of the qualifications of applicants 
for positions covered by this part may be conducted at any time before 
an appointment is made. The evaluation may involve only determination of 
eligibility or ineligibility or may include qualitative rating of 
candidates. If the evaluation involves only basic eligibility numerical 
scores will not be assigned and eligible candidates will be referred in 
accordance with the procedures described in paragraph (b)(5) of 
Sec. 302.304. If qualitative ranking is desired, numerical scores may be 
assigned in accordance with paragraph (b) of this section. Each agency 
shall make a part of the records the reasons for its decision to use 
ranked or unranked referral and, for ranked actions, the quality ranking 
factors used. This information shall be made available to an applicant 
on his/her request.
    (b) Rating. Numerical scores will be assigned on a scale of 100. 
Each applicant who meets the qualification requirements for the position 
established under Sec. 302.202 will be assigned a rating of 70 or more 
and will be eligible for appointment. Candidates scoring 70 or more will 
receive additional points for veteran preference as provided in 
Sec. 302.201. Numerical ratings are not required when all qualified 
applicants will be offered immediate appointment. When there is an 
excessive number of applicants, numerical ratings are required only for 
a sufficient number of the highest qualified applicants to meet the 
anticipated needs of the agency within a reasonable period of time. The 
agency must, however, adopt procedures to insure the consideration of 
preference eligibles in the order in which they would have been 
considered if all applicants had been assigned numerical ratings. An 
agency shall furnish a notice of the rating assigned to an applicant on 
his/her request.
    (c) Nonpreference applicants for certain positions. An agency may 
not consider or rate an application for the position of elevator 
operator, messenger, guard, or custodian submitted by a nonpreference 
eligible as long as at least three qualified preference eligibles are 
available for the position.
    (d) Evaluating experience. When experience is a factor in 
determining eligibility, an agency shall credit a preference eligible 
(1) with time spent in the military service of the United States if the 
position for which he/she is applying is similar to the position which 
he/she held immediately before his/her entrance into the military 
service; and (2) with all valuable experience, including experience 
gained in religious, civic, welfare, service, and organizational 
activities, regardless of whether pay was received therefor.

[[Page 138]]



Sec. 302.303  Maintenance of employment lists.

    (a) Establishment--(1) Agency's obligation. An agency must establish 
a priority reemployment list whenever any applicants rated eligible 
under Sec. 302.302 meet the conditions set out in paragraphs (b)(1) 
through (b)(3) of this section and must consider candidates from that 
list in accordance with Sec. 302.304(a). All applicants not included on 
the priority reemployment list will be listed on the regular employment 
list unless the agency elects to establish a reemployment list as 
provided in paragraph (c) of this section.
    (2) Agency discretion. In establishing its lists, an agency may, but 
is not required to: Afford priority consideration to non-preference 
eligibles who meet the conditions set out in paragraph (b)(4) of this 
section; afford priority consideration under paragraph (b) of this 
section for a longer time and/or in a broader geographic area than the 
minimum requirement; and/or provide reemployment consideration after the 
priority list is exhausted to additional current and former employees in 
accordance with paragraph (c) of this section. An agency may limit 
consideration granted at its discretion to applicants for specific 
positions or applicants who meet specific conditions, but must make 
those conditions a matter of record and must apply its policy uniformly 
to all eligible employees. Generally, full-time employees may be 
considered only for full-time positions and other-than-full-time 
employees only for other-than-full-time positions. However, full-time 
employees may be considered for other-than-full-time positions if there 
are no other-than-full-time employees on the appropriate priority or 
reemployment list; and other-than-full time employees may be considered 
for full-time positions if there are no full-time employees on the 
appropriate list.
    (b) Priority reemployment list. Candidates are entered on the 
priority reemployment list in the geographic areas specified in 
paragraph (b)(1) of this section and remain on the list for 2 years 
unless the agency elects to provide a longer period of eligibility. The 
priority reemployment list includes:
    (1) The name of each former employee of the agency who is a 
preference eligible, has been furloughed or separated from a continuing 
appointment without delinquency or misconduct, and applies for 
reemployment. Candidates in this category are considered for positions 
in the commuting area where they were separated unless the agency elects 
to provide broader consideration.
    (2) The name of each former employee of the agency who is a 
preference eligible and who, as the result of an appeal under part 752 
of this chapter, is found by the Merit Systems Protection Board to have 
been unjustifiably dismissed from the agency, but who is not entitled to 
immediate restoration under the Board's decision. Candidates in this 
category are considered in the commuting area from which separated 
unless the Board's decision specifies a broader or different area or the 
agency elects to afford broader geographic consideration.
    (3) The name of each former employee of the agency who has been 
furloughed or separated due to compensable injury sustained under the 
provisions of 5 U.S.C. chapter 81, subchapter I, who is not entitled to 
immediate restoration, and who is eligible for priority consideration 
under this part. Candidates in this category are considered in the 
commuting area where they last served and, if the agency determines that 
an appropriate vacancy is unlikely to occur in that area during the 
candidates' period of reemployment priority, in other locations for 
which they are available.
    (4) At the agency's discretion, the name of each former employee of 
the agency who is not a preference eligible, has been furloughed or 
involuntarily separated from a continuing appointment without 
delinquency or misconduct, and applies for reemployment. Candidates in 
this category are considered in the geographic area specified by the 
agency.
    (c) Reemployment list. A reemployment list may be established at the 
agency's discretion to include the names of current employees of the 
agency and of former employees of the

[[Page 139]]

agency who are to be considered for future employment and who are not 
eligible for inclusion on the priority reemployment list. Employees may 
be entered on the reemployment list only for positions in which tenure 
and/or work schedule is no greater than that of the position previously 
held.
    (d) Order of entry. An agency shall enter the names of all 
applicants rated eligible under Sec. 302.302 on the appropriate list 
(priority reemployment, reemployment, or regular employment) in the 
following order:
    (1) When candidates have been rated only for basic eligibility under 
Sec. 302.302(a). (i) Preference eligibles having a compensable, service-
connected disability of 10 percent or more (designated as ``CP'') unless 
the list will be used to fill professional positions at the GS-9 level 
or above, or equivalent;
    (ii) All other candidates eligible for 10-point veteran preference;
    (iii) All candidates eligible for 5-point veteran preference; and
    (iv) Qualified candidates not eligible for veteran preference.
    (2) When qualified candidates have been assigned numerical scores 
under Sec. 302.302(b). (i) Preference eligibles having a compensable, 
service-connected disability of 10 percent or more, in the order of 
their augmented ratings, unless the list will be used to fill 
professional positions at the GS-9 level or above, or equivalent;
    (ii) All other qualified candidates in the order of their augmented 
ratings. At each score, qualified candidates eligible for 10-point 
preference will be entered ahead of those eligible for 5-point 
preference or those not eligible for veteran preference, and those 
eligible for 5-point preference will be entered ahead of those not 
eligible for preference.



Sec. 302.304  Order of consideration.

    (a) Consideration of priority reemployment candidates. An agency 
must consider all qualified candidates on its priority reemployment list 
before it may refer candidates from its reemployment list, if any, or 
regular employment list. When a qualified candidate is available on the 
priority list, the agency may appoint an individual who is not on the 
priority list or who has lower standing than others on that list only 
when necessary to obtain an employee for duties that cannot be taken 
over without undue interruption to the agency by an individual who is 
entitled to reemployment priority or has higher standing on the priority 
reemployment list than the one appointed. The agency must notify each 
individual on the priority reemployment list who is adversely affected 
by an appointment under this paragraph of the reasons for the exception 
and must further notify each such individual who is a preference 
eligible of his or her right of appeal to the Merit Systems Protection 
Board.
    (b) Consideration of other candidates. Except as provided in 
paragraphs (b)(4) and (b)(5) of this section, an agency shall consider 
applicants on the reemployment and/or regular employment list who have 
been assigned eligible ratings for a given position in Order A, Order B, 
or Order C, as described in paragraphs (b)(1) through (b)(3) of this 
section. Order A must be used when the agency has not established a 
reemployment list.
    (1) Order A. (i) The name of each qualified preference eligible who 
has a compensable, service-connected disability of 10 percent or more 
and is entitled to 10-point preference under section 3309 of title 5, 
United States Code, in the order of his/her numerical ranking.
    (ii) The name of each other qualified applicant in the order of his/
her numerical ranking.
    (2) Order B. (i) The name of each qualified preference eligible who 
has a compensable, service-connected disability of 10 percent or more 
and is entitled to 10-point preference under section 3309 of title 5, 
United States Code, and whose name appears on the agency's reemployment 
list, in the order of his/her numerical ranking.
    (ii) The name of each qualified preference eligible who has a 
compensable, service-connected disability of 10 percent or more and is 
entitled to 10-point preference under section 3309 of title 5, United 
States Code, and whose name appears on the agency's regular employment 
list, in the order of his/her numerical ranking.

[[Page 140]]

    (iii) The name of each other qualified applicant on the agency's 
reemployment list, in the order of his/her numerical ranking.
    (iv) The name of each other qualified applicant on the agency's 
regular employment list, in the order of his/her numerical ranking.
    (3) Order C. (i) The name of each qualified preference eligible who 
has a compensable, service-connected disability of 10 percent or more 
and is entitled to 10-point preference under section 3309 of title 5, 
United States Code, and whose name appears on the agency's reemployment 
list, in the order of his/her numerical ranking.
    (ii) The name of each other qualified applicant on the agency's 
reemployment list, in the order of his/her numerical ranking.
    (iii) The name of each qualified preference eligible who has a 
compensable, service-connected disability of 10 percent or more and is 
entitled to 10-point preference under section 3309 of title 5, United 
States Code, and whose name appears on the agency's regular employment 
list, in the order of his/her numerical ranking.
    (iv) The name of each other qualified applicant on the agency's 
regular employment list, in the order of his/her numerical ranking.
    (4) Professional order. An agency shall consider applicants who have 
been assigned eligible ratings for professional and scientific positions 
at the GS-9 level and above, or equivalent, in the following order:
    (i) Applicants on the agency's reemployment list, if any. If 
numerical scores have been assigned, the applicants will be considered 
in the order of their augmented scores. If numerical scores have not 
been assigned, all preference eligibles will be considered together 
regardless of the type of preference, followed by all other priority 
reemployment candidates.
    (ii) Applicants on the agency's regular employment list. If 
numerical scores have been assigned, the applicants will be considered 
in the order of their augmented scores. If numerical scores have not 
been assigned, all preference eligibles will be considered together 
regardless of the type of preference, followed by all other candidates.
    (5) Unranked order. When numerical scores are not assigned, the 
agency may consider applicants who have received eligible ratings for 
positions not covered by paragraph (b)(4) of this section in either of 
the following orders:
    (i) By preference status. Under this method, preference eligibles 
having a compensable service-connected disability of 10 percent or more 
are considered first, followed, second, by other 10-point preference 
eligibles, third, by 5-point preference eligibles, and, last, by 
nonpreference eligibles. Within each category, applicants from the 
reemployment list will be placed ahead of applicants from the regular 
employment list.
    (ii) By reemployment/regular list status. Under this method, all 
applicants on the reemployment list are considered before applicants on 
the regular employment list. On each list, preference eligibles having a 
compensable service-connected disability of 10 percent or more are 
considered first, followed, second, by other 10-point preference 
eligibles, third, by 5-point preference eligibles, and, last, by 
nonpreference eligibles.



Subpart D--Selection and Appointment; Reappointment; and Qualifications 
                              for Promotion



Sec. 302.401  Selection and appointment.

    (a) Selection. When making an appointment from a priority 
reemployment, reemployment, or regular list on which candidates have not 
received numerical scores, an agency must make its selection from the 
highest available preference category, as long as at least three 
candidates remain in that group. When fewer than three candidates remain 
in the highest category, consideration may be expanded to include the 
next category. When making an appointment from a list on which 
candidates have received numerical scores, the agency must make its 
selection for each vacancy from not more than the highest three names 
available for appointment in the order provided in Sec. 302.304. Under 
either method, an agency is not required to--
    (1) Accord an applicant on its priority reemployment or reemployment

[[Page 141]]

list the preference consideration required by Sec. 302.304 if the list 
on which the applicant's name appears does not contain the names of at 
least three preference eligibles; or
    (2) Consider an applicant who has previously been considered three 
times or a preference eligible if consideration of his/her name has been 
discontinued for the position as provided in paragraph (b) of this 
section.
    (b) Passing over a preference applicant. When an agency, in making 
an appointment as provided in paragraph (a) of this section, passes over 
the name of a preference eligible who is entitled to priority 
consideration under Sec. 302.304 and selects a nonpreference eligible, 
it shall record its reasons for so doing, and shall furnish a copy of 
those reasons to the preference eligible or his/her representative on 
request. An agency may discontinue consideration of the name of a 
preference eligible for a position if on three occasions the agency has 
considered him/her for the position and has passed over his/her name and 
recorded its reasons for so doing.



Sec. 302.402  Reappointment.

    An agency may reappoint a current or former nontemporary employee of 
the executive branch of the Federal Government who is a preference 
eligible to a position covered by this part without regard to the names 
of qualified applicants on the agency's priority reemployment, 
reemployment, or regular employment list.



Sec. 302.403  Qualifications for promotion.

    In determining qualifications for promotion with respect to an 
employee who is a preference eligible, an agency shall waive:
    (a) Requirements as to age, height, and weight unless the 
requirement is essential to the performance of the duties of the 
position; and
    (b) Physical requirements if, in the opinion of the agency, after 
considering the recommendation of an accredited physician, the 
preference eligible is physically able to perform efficiently the duties 
of the position for which the promotion is proposed.



                           Subpart E--Appeals



Sec. 302.501  Entitlement.

    An individual who is covered by 5 U.S.C. 8101(1) and is entitled to 
priority consideration under this part (see Sec. 302.103) may appeal a 
violation of his/her restoration rights to the Merit Systems Protection 
Board under the provisions of the Board's regulations by presenting 
factual information that he or she was denied restoration rights because 
of the employment of another person.



PART 304--EXPERT AND CONSULTANT APPOINTMENTS--Table of Contents




Sec.
304.101 Coverage.
304.102 Definitions.
304.103 Authority.
304.104 Determining rate of pay.
304.105 Daily and biweekly basic pay limitations.
304.106 Pay and leave administration.
304.107 Reports.
304.108 Compliance.

    Authority: 5 U.S.C. 3109.

    Source: 60 FR 45648, Sept. 1, 1995, unless otherwise noted.



Sec. 304.101  Coverage.

    These regulations apply to the appointment of experts and 
consultants as Federal employees under 5 U.S.C. 3109. They do not apply 
to the appointments of experts and consultants under other employment 
authorities or to the procurement of services by contracts under the 
procurement laws.



Sec. 304.102  Definitions.

    For purposes of this part:
    (a) An agency is an executive department, a military department, or 
an independent agency.
    (b) A consultant is a person who can provide valuable and pertinent 
advice generally drawn from a high degree of broad administrative, 
professional, or technical knowledge or experience. When an agency 
requires public advisory participation, a consultant also may be a 
person who is affected by a particular program and can provide useful 
views from personal experience.

[[Page 142]]

    (c) A consultant position is one that requires providing advice, 
views, opinions, alternatives, or recommendations on a temporary and/or 
intermittent basis on issues, problems, or questions presented by a 
Federal official.
    (d) An expert is a person who is specially qualified by education 
and experience to perform difficult and challenging tasks in a 
particular field beyond the usual range of achievement of competent 
persons in that field. An expert is regarded by other persons in the 
field as an authority or practitioner of unusual competence and skill in 
a professional, scientific, technical or other activity.
    (e) An expert position is one that requires the services of a 
specialist with skills superior to those of others in the same 
profession, occupation, or activity to perform work on a temporary and/
or intermittent basis assigned by a Federal official. For example, a 
microbial contamination specialist may apply new test methods to 
identify bacteria on products, a computer scientist may adapt advanced 
methods to develop a complex software system, or a plate maker may 
engrave a novel design.
    (f) Intemittent employment, as defined in part 340, subpart D, of 
this chapter, means employment without a regularly scheduled tour of 
duty.
    (g) Temporary employment means employment not to exceed 1 year. An 
expert or consultant serving under a temporary appointment may have a 
full-time, part-time, seasonal, or intermittent work schedule.
    (h) Employment without compensation means unpaid service that is 
provided at the agency's request and is to perform duties that are 
unclassified. It is not volunteer service.



Sec. 304.103  Authority.

    (a) Basic authority. (1) When authorized by an appropriation or 
other statute to use 5 U.S.C. 3109, an agency may appoint a qualified 
expert or consultant to an expert or consultant position that requires 
only intermittent and/or temporary employment. Such an appointment is 
excepted from competitive examination, position classification, and the 
General Schedule pay rates.
    (2) An expert or consultant who works on a strictly intermittent 
basis may be appointed under this authority without time limit or for 
any period determined by the agency. All other experts and consultants 
must receive temporary appointments. Temporary experts and consultants 
may be reappointed in the same agency only as provided in paragraph (c) 
of this section.
    (b) Inappropriate use. An agency must not use 5 U.S.C. 3109 to 
appoint an expert or consultant:
    (1) To a position requiring Presidential appointment. However, 
subject to the conditions of this part, an agency may appoint an 
individual awaiting final action on a Presidential appointment to an 
expert or consultant position.
    (2) To a Senior Executive Service position (including an FBI or DEA 
Senior Executive Service position).
    (3) To perform managerial or supervisory work (although an expert 
may act as team leader or director of the specific project for which he/
she is hired), to make final decisions on substantive policies, or to 
otherwise function in the agency chain of command (e.g., to approve 
financial transactions, personnel actions, etc.).
    (4) To do work performed by the agency's regular employees.
    (5) To fill in during staff shortages.
    (6) Solely in anticipation of giving that individual a career 
appointment. However, subject to the conditions of this part, an agency 
may appoint an individual to an expert or consultant position pending 
Schedule C appointment or noncareer appointment in the Senior Executive 
Service.
    (c) Reappointment. An agency may reemploy an expert or consultant to 
perform demonstrably different duties without regard to the length of 
that individual's previous expert or consultant service with the agency. 
Reappointment to perform substantially the same duties is subject to the 
following limits:
    (1) An agency may employ an expert or consultant who works on a 
full-time basis for a maximum of 2 years--i.e., on an initial 
appointment not to exceed 1 year and a reappointment not to exceed 1 
additional year.

[[Page 143]]

    (2) An agency may reappoint an expert or consultant who works on a 
part-time or intermittent schedule in accordance with one of the 
following options. The agency must determine which option it will use in 
advance of any reappointment and must base its determination on 
objective criteria (e.g., nature of duties, pay level, whether or not 
work is regularly scheduled). Option 1 must be applied to reappointments 
of experts and consultants appointed without compensation.
    (i) Option 1--Annual service. An agency may reappoint an expert or 
consultant, with no limit on the number of reappointments, as long as 
the individual is paid for no more than 6 months (130 days or 1,040 
hours) of work, or works for no more than that amount of time without 
compensation, in a service year. (The service year is the calendar year 
that begins on the date of the individual's initial appointment in the 
agency.) An expert or consultant who exceeds this limit in his/her first 
service year may be reappointed for 1 additional year. An expert or 
consultant who exceeds the limit during any subsequent service year may 
not be reappointed thereafter.
    (ii) Option 2--Cumulative earnings. Each expert or consultant will 
have a lifetime limit of twice the maximum annual rate payable under the 
annualized basic pay limitations of section 304.105. The agency may 
adjust this limit to reflect statutory increases in basic pay rates. The 
agency may reappoint an expert or consultant until his/her total 
earnings from expert or consultant employment with the agency reach the 
lifetime maximum, as determined by using the applicable maximum salary 
rate. At that point, the employment must be terminated.
    (3) OPM may authorize reappointment of an expert or consultant as an 
exception to the limits in the section when necessitated by unforeseen 
and unusual circumstances.



Sec. 304.104  Determining rate of pay.

    (a) The rate of basic pay for experts and consultants is set by 
administrative action. The head of an agency, or his or her designee, 
must determine the appropriate rate of basic pay on an hourly or daily 
basis, subject to the limitations described in section 304.105.
    (b) The head of an agency, or his or her designee, shall consider 
the following factors in setting the initial rate of basic pay for an 
expert or consultant:
    (1) The level and difficulty of the work to be performed;
    (2) The qualifications of the expert or consultant;
    (3) The pay rates of comparable individuals performing similar work 
in Federal or non-Federal sectors; and
    (4) The availability of qualified candidates.
    (c) An expert or consultant appointed under 5 U.S.C. 3109 may be 
employed without pay, provided the individual agrees in advance in 
writing to waive any claim for compensation for those services.



Sec. 304.105  Daily and biweekly basic pay limitations.

    (a) Unless specifically authorized by an appropriation or other 
statute, agencies subject to chapter 51 and subchapter III of chapter 53 
of title 5, United States Code, may not pay for any 1 day an aggregate 
amount of pay (including basic pay, locality pay under subpart F of part 
531 of this chapter, and premium pay under subpart A of part 550 of this 
chapter) that exceeds the daily equivalent of the highest rate payable 
under 5 U.S.C. 5332--that is, the daily rate for GS-15, step 10, under 
the General Schedule (excluding locality pay or any other additional 
pay). The daily rate is computed by dividing the annual GS-15, step 10, 
rate by 2,087 hours to find the hourly rate of pay and by multiplying 
the hourly rate of pay by 8 hours.
    (b) Unless specifically authorized by an appropriation or other 
statute, an expert or consultant shall not be paid for any biweekly pay 
period an aggregate amount of pay (including basic pay, locality pay 
under subpart F of part 531 of this chapter, and premium pay under 
subpart A of part 550 of this chapter) in excess of the biweekly rate of 
pay for GS-15, step 10, under the General Schedule (excluding locality 
pay or any other additional pay). The biweekly rate is computed by 
dividing the annual GS-15, step 10, rate by 2,087

[[Page 144]]

hours to find the hourly rate of pay and by multiplying the hourly rate 
of pay by 80 hours.



Sec. 304.106  Pay and leave administration.

    (a) The employing agency has the authority to adjust the pay of 
experts and consultants after initial appointment and to establish 
appropriate policies governing the amount and timing of any such 
adjustments, subject to the limitations of Sec. 304.105. In addition to 
the factors listed in Sec. 304.104(b), the agency may consider factors 
such as job performance, contributions to agency mission, and the 
general pay increases granted to other Federal employees. Experts and 
consultants are not entitled to receive automatic adjustments in their 
rates of basic pay at the time of general pay increases under 5 U.S.C. 
5303 unless specifically provided for in the official appointing 
document. In the absence of such automatic entitlement, any pay 
adjustments are at the agency's discretion.
    (b) Experts and consultants paid on a daily rate basis are not 
entitled to overtime pay under section 5542 of title 5, United States 
Code. Otherwise, experts and consultants qualify for premium pay under 
subchapter V of chapter 55 of title 5, United States Code, if they meet 
the applicable eligibility requirements (including the requirement that 
an employee have a regularly scheduled tour of duty, where applicable).
    (c) Experts and consultants may be entitled to overtime pay under 
the Fair Labor Standards Act if they are nonexempt under OPM regulations 
implementing that Act for Federal employees. (See 5 CFR part 551).
    (d) An expert or consultant may be paid for service on an 
intermittent basis in more than one expert or consultant position, 
provided the pay is not received for the same period of time (5 U.S.C. 
5533(d)(1)).
    (e) Experts and consultants are subject to the provisions of 5 
U.S.C. 8344 and 8468 on reduction of basic pay by the amount of annuity 
received.
    (f) Experts and consultants are subject to the provisions of 5 
U.S.C. 5532 on reduction of retired military pay.
    (g) Experts and consultants with a regularly scheduled tour of duty 
(i.e., not intermittent) are entitled to sick and annual leave in 
accordance with chapter 63 of title 5, United States Code, and to pay 
for any holiday occurring on a workday on which they perform no work, 
provided that workday is part of the basic workweek. Those employed on 
an intermittent basis do not earn leave and are not entitled to paid 
holidays.



Sec. 304.107  Reports.

    As required by 5 U.S.C. 3109(e), each agency shall report to the 
Office of Personnel Management on an annual basis:
    (a) The number of days the agency employed each paid expert or 
consultant; and
    (b) The total amount the agency paid each expert or consultant so 
employed. (Do not include payments for travel and related expenses.)



Sec. 304.108  Compliance.

    (a) Each agency using 5 U.S.C. 3109 must establish and maintain a 
system of controls and oversight necessary to assure compliance with 5 
U.S.C. 3109 and these regulations. The system must include--
    (1) Appropriate training and information procedures to ensure that 
officials and employees using the authority understand the statutory and 
regulatory requirements; and
    (2) Appropriate provision for review of expert and consultant 
appointments.
    (b) OPM will, as necessary--
    (1) Review agency employment of experts and consultants and agency 
controls and oversight to determine compliance; and
    (2) Issue instructions and guidance to agencies on employing experts 
and consultants and on reporting procedures.

                           PART 305 [RESERVED]



PART 307--VETERANS READJUSTMENT APPOINTMENTS--Table of Contents




Sec.
307.101 Definitions.
307.102 Coverage and general responsibilities.
307.103 Appointing authority.

[[Page 145]]

307.104 Appeal rights.

    Authority: 5 U.S.C. 3301, 3302; E.O. 11521, 3 CFR, 1970 Comp., p. 
912; 38 U.S.C. 4214.

    Source: 58 FR 12145, Mar. 3, 1993, unless otherwise noted.



Sec. 307.101  Definitions.

    In this part,
    (a) The term veteran has the meaning given in section 4211 (2)(A), 
(3) and (4) of title 38, United States Code, as follows:
    (1) Veteran of the Vietnam era means an eligible veteran any part of 
whose active military, naval, or air service was during the Vietnam era.
    (2) Disabled veteran means:
    (i) A veteran who is entitled to compensation (or who, but for the 
receipt of military retired pay, would be entitled to compensation) 
under laws administered by the Department of Veterans Affairs; or
    (ii) A person who was discharged or released from active duty 
because of a service-connected disability.
    (3) Eligible veteran means a person who:
    (i) Served on active duty for a period of more than 180 days and was 
discharged or released therefrom with other than a dishonorable 
discharge; or
    (ii) Was discharged or released from active duty because of a 
service-connected disability; or
    (iii) As a member of a reserve component under an order to active 
duty pursuant to section 672(a), (d), or (g), 673, or 673b of title 10 
of the United States Code, served on active duty during a period of war 
or in a campaign or expedition for which a campaign badge is authorized 
and was discharged or released from such duty with other than a 
dishonorable discharge.
    (b) Post-Vietnam-era veteran means an eligible veteran who first 
became a member of the Armed Forces or first entered on active duty as a 
member of the Armed Forces after May 7, 1975.
    (c) Vietnam era means the period beginning August 5, 1964 and ending 
May 7, 1975.
    (d) Veterans readjustment appointment (VRA) is an excepted 
appointment made after April 8, 1970, under this part, to a position 
otherwise in the competitive service of eligible veterans of the Vietnam 
era and the post-Vietnam era.



Sec. 307.102  Coverage and general responsibilities.

    (a) Federal agencies have the responsibility to provide the maximum 
of employment and job advancement opportunities to eligible veterans of 
the Vietnam era and the post-Vietnam era who are qualified for such 
employment and advancement.
    (b) Employees with VRA appointments who satisfactorily complete two 
years of substantially continuous service under the VRA program, 
including training when required, shall be converted to career-
conditional or career employment, as appropriate.

[58 FR 12146, Mar. 3, 1993, as amended at 60 FR 3058, Jan. 13, 1995]



Sec. 307.103  Appointing authority.

    (a) An agency may appoint any veteran who served on active duty 
after August 4, 1964, who meets the basic veterans readjustment 
eligibility provided by law.
    (b) Appointments are subject to investigation by OPM. A law, 
Executive order, or regulation which disqualifies a person for 
appointment in the competitive service also disqualifies a person for a 
veterans readjustment appointment.

[60 FR 3058, Jan. 13, 1995]



Sec. 307.104  Appeal rights.

    A veterans readjustment appointment (VRA) is an excepted appointment 
to a position otherwise in the competitive service. Veterans 
readjustment appointees have the same appeal rights as excepted service 
employees under parts 432 and 752 of this chapter, except the appointees 
are also entitled to limited appeal protection during their 1st year of 
service as set forth in Sec. 315.806 of this chapter. This means that a 
VRA appointee with more than 1 year of current continuous service, who 
is also a preference eligible, can appeal an adverse action to the Merit 
Systems Protection Board. Nonpreference eligibles serving under VRA

[[Page 146]]

appointments do not get such protection until they are converted to the 
competitive service.

[60 FR 3058, Jan. 13, 1995]



PART 308--VOLUNTEER SERVICE--Table of Contents




Sec.
308.101 Definitions.
308.102 Eligibility and status.
308.103 Authority.

    Authority: 5 U.S.C. 3111.

    Source: 44 FR 51183, Aug. 31, 1979, unless otherwise noted.



Sec. 308.101  Definitions.

    In this part: Student is an individual who is enrolled not less than 
half-time in a high school, trade school, technical or vocational 
institute, junior college, college, university or other accredited 
educational institution. An individual who is a student is deemed not to 
have ceased to be a student during an interim between school years if 
the interim is not more than 5 months and if such individual shows to 
the satisfaction of the agency that the individual has a bona fide 
intention of continuing to pursue a course of study or training in the 
same or different educational institution during the school semester (or 
other period into which the school year is divided) immediately after 
the interim.
    Volunteer Service under the Act is limited to services performed by 
a student, with the permission of the institution at which the student 
is enrolled, as part of an agency program established for the purpose of 
providing educational experience for the student. Such service is to be 
uncompensated and will not be used to displace any employee or to staff 
a position which is a normal part of the agency's work force.



Sec. 308.102  Eligibility and status.

    (a) Minimum Age. The selection of students to participate under the 
program should be in conformance with either Federal, State, or local 
laws and standards governing the employment of minors.
    (b) Status. A student participating under an agency volunteer 
program is not considered to be a Federal employee for any purposes 
other than injury compensation or laws related to the Tort Claims Act. 
Service is not creditable for leave accrual or any other employee 
benefits.



Sec. 308.103  Authority.

    Section 301 of the Civil Service Reform Act of 1978, Public Law 95-
454, authorized Federal departments and agencies to establish programs 
designed to provide educationally related work assignments for students 
in nonpay status.



PART 310--EMPLOYMENT OF RELATIVES--Table of Contents




         Subpart A--Restrictions on the Employment of Relatives

Sec.
310.101 Coverage.
310.102 Definitions.
310.103 Restrictions.

                     Subpart B--Emergency Exceptions

310.201 Coverage.
310.202 Exceptions.

    Authority: 5 U.S.C. 3302, 7301; E.O. 10577, 3 CFR, 1954-1958 Comp., 
p. 218; E.O. 11222, 3 CFR, 1964-1965 Comp., p. 306.

    Source: 33 FR 12418, Sept. 4, 1968, unless otherwise noted.



         Subpart A--Restrictions on the Employment of Relatives



Sec. 310.101  Coverage.

    This subpart applies to appointment, employment, promotion, or 
advancement in (a) the competitive service; and (b) the excepted service 
in the executive branch.



Sec. 310.102  Definitions.

    In this subpart:
    (a) Relative means father, mother, son, daughter, brother, sister, 
uncle, aunt, first cousin, nephew, niece, husband, wife, father-in-law, 
mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-
law, stepfather, stepmother, stepson, stepdaughter, stepbrother, 
stepsister, half brother, or half sister.
    (b) Public official means an officer, a member of the uniformed 
services, an

[[Page 147]]

employee, and any other individual, in whom is vested the authority by 
law, rule, or regulation, or to whom the authority has been delegated, 
to appoint, employ, promote, or advance individuals, or to recommend 
individuals for appointment, employment, promotion, or advancement.
    (c) Chain of Command is the line of supervisory personnel that runs 
from a public official to the head of his agency.



Sec. 310.103  Restrictions.

    (a) A public official shall not advocate one of his relatives for 
appointment, employment, promotion, or advancement to a position in his 
agency or in an agency over which he exercises jurisdiction or control.
    (b) A public official shall not appoint, employ, promote, or advance 
to a position in his agency or in an agency over which he exercises 
jurisdiction or control:
    (1) One of his relatives; or
    (2) The relative of a public official of his agency, or of a public 
official who exercises jurisdiction or control over his agency, if the 
public official has advocated the appointment, employment, promotion, or 
advancement of that relative.
    (c) For the purpose of this section, a public official who 
recommends a relative, or refers a relative for consideration by a 
public official standing lower in the chain of command, for appointment, 
employment, promotion, or advancement is deemed to have advocated the 
appointment, employment, promotion, or advancement of the relative.
    (d) This section does not prohibit the appointment in the 
competitive service of a preference eligible if (1) his name is within 
reach for selection from an appropriate certificate of eligibles and (2) 
an alternative selection cannot be made from the certificate without 
passing over the preference eligible and selecting an individual who is 
not a preference eligible.



                     Subpart B--Emergency Exceptions



Sec. 310.201  Coverage.

    This subpart applies to an office, agency, or other establishment in 
the executive, legislative, or judicial branch of the Federal 
Government, and in the government of the District of Columbia.

(5 U.S.C. 3110)



Sec. 310.202  Exceptions.

    When necessary to meet urgent needs resulting from an emergency 
posing an immediate threat to life or property, or a national emergency 
as defined in Sec. 230.402(a)(1) of this title, a public official may 
employ relatives to meet those needs without regard to the restrictions 
in section 3110 of title 5, United States Code, and this part. 
Appointments under these conditions are temporary not to exceed 1 month, 
but may be extended for a 2nd month if the emergency need still exists.

[60 FR 3058, Jan. 13, 1995]



PART 315--CAREER AND CAREER-CONDITIONAL EMPLOYMENT--Table of Contents




Subpart A [Reserved]

           Subpart B--The Career-Conditional Employment System

Sec.
315.201 Service requirement for career tenure.
315.202 Conversion from career-conditional to career tenure.

    Subpart C--Career or Career-Conditional Employment From Registers

315.301 Tenure on appointment from register.
315.302 Acquisition of competitive status.

   Subpart D--Career or Career-Conditional Employment by Reinstatement

315.401 Reinstatement.
315.402 Tenure on reinstatement.
315.403 Acquisition of competitive status.

     Subpart E--Career or Career-Conditional Employment by Transfer

315.501 Transfer.
315.502 Tenure on transfer.
315.503 Acquisition of competitive status.

   Subpart F--Career or Career-Conditional Appointment Under Special 
                               Authorities

315.601 Appointment of former employees of the Canal Zone Merit System 
          or Panama Canal Employment System.

[[Page 148]]

315.602 Appointment based on service in the Office of the President or 
          Vice-President or on the White House Staff.
315.603 Appointment based on former incumbency of a position brought 
          into the competitive service.
315.604 Employment of disabled veterans who have completed a training 
          course under Chapter 31 of title 38, United States Code.
315.605 Appointment of former ACTION volunteers.
315.606 Noncompetitive appointment of certain present and former Foreign 
          Service officers and employees.
315.607 Noncompetitive appointment of present and former Peace Corps 
          personnel.
315.608 Noncompetitive appointment of certain former overseas employees.
315.609 Appointment based on service in United States positions of the 
          Panama Canal Commission.
315.610 Noncompetitive appointment of certain National Guard 
          technicians.
315.611 Appointment of certain veterans who have competed under agency 
          merit promotion announcements.

 Subpart G--Conversion to Career or Career-Conditional Employment From 
                        Other Types of Employment

315.701 Incumbents of positions brought into the competitive service.
315.702 Employees serving without competitive examination in rare cases.
315.703 Employees formerly reached on a register.
315.704 Conversion to career employment from indefinite or temporary 
          employment.
315.705 Employees serving under transitional or veterans readjustment 
          appointments.
315.706 Certain nonpermanent employees of the Department of Energy.
315.707 Disabled veterans.
315.708 Conversion based on service as a Presidential Management Intern.
315.709 Employees who are mentally retarded, severely physically 
          handicapped, or have psychiatric disabilities serving under 
          Schedule A appointments.
315.710 Professional and administrative career employees serving under 
          Schedule B appointments.
315.711 Readers, interpreters, and personal assistants serving under 
          Schedule A appointments.
315.712 Conversion based on service as a Career Intern.
315.725 Disqualifications.

  Subpart H--Probation on Initial Appointment to a Competitive Position

315.801 Probationary period; when required.
315.802 Length of probationary period; crediting service.
315.803 Agency action during probationary period (general).
315.804 Termination of probationers for unsatisfactory performance or 
          conduct.
315.805 Termination of probationers for conditions arising before 
          appointment.
315.806 Appeal rights to the Merit Systems Protection Board.

    Subpart I--Probation on Initial Appointment to a Supervisory or 
                           Managerial Position

315.901 Statutory requirement.
315.902 Definitions.
315.903 Coverage.
315.904 Basic requirement.
315.905 Length of the probationary period.
315.906 Crediting service toward completion of the probationary period.
315.907 Failure to complete the probationary period.
315.908 Appeals.
315.909 Relationship to other actions.

    Authority: 5 U.S.C. 1302, 3301, and 3302; E.O. 10577. 3 CFR, 1954-
1958 Comp. P. 218, unless otherwise noted; and E.O. 13162. Secs. 315.601 
and 315.609 also issued under 22 U.S.C. 3651 and 3652. Secs. 315.602 and 
315.604 also issued under 5 U.S.C. 1104. Sec. 315.603 also issued under 
5 U.S.C. 8151. Sec. 315.605 also issued under E.O. 120034, 3 CFR, 1978 
Comp. p. 111. Sec. 315.606 also issued under E.O. 11219, 3 CFR, 1964-
1965 Comp. p. 303. Sec. 315.607 also issued under 22 U.S.C. 2506. Sec. 
315.608 also issued under E.O. 12721, 3 CFR, 1990 Comp., p. 293. Sec. 
315.610 also issued under 5 U.S.C. 3304(d). Sec. 315.611 also issued 
under Section 511, Pub. L. 106-117, 113 STAT. 1575-76. Sec. 315.710 also 
issued under E.O. 12596, 3 CFR, 1987, Comp., p. 229. Subpart I also 
issued under 5 U.S.C. 3321, E.O. 12107, 3 CFR, 1978 Comp., p. 264.

    Source: 33 FR 12418, Sept. 4, 1968, unless otherwise noted.

Subpart A [Reserved]



           Subpart B--The Career-Conditional Employment System



Sec. 315.201  Service requirement for career tenure.

    (a) Service requirement. A person employed in the competitive 
service for other than temporary, term, or indefinite employment is 
appointed as a career or career-conditional employee

[[Page 149]]

subject to the probationary period required by subpart H of this part. 
Except as provided in paragraph (c) of this section, an employee must 
serve 3 years of substantially continuous creditable service as defined 
in paragraph (b) of this section to become a career employee.
    (b) Creditable service. Unless otherwise approved by OPM, the 
service required for career tenure must begin and end with nontemporary 
employment in the competitive service except as described in paragraph 
(1) of this subsection, must include service under an appointment based 
on or leading to competitive status, be substantially continuous, and 
total 3 years, as follows:
    (1) Nontemporary employment. To be creditable, the 3-year period of 
service must begin with one of the following:
    (i) Nontemporary appointment in the competitive service. For this 
purpose, nontemporary appointment includes a career-conditional 
appointment; career appointment; reinstatement under subpart D of this 
part; and transfer under subpart E of this part. The 3-year period may 
also begin, but not end, with status quo employment under subpart G of 
part 316 of this chapter, and overseas limited appointment of indefinite 
duration or overseas limited term appointment under part 301 of this 
chapter. The 3-year period also may have begun with permanent employment 
under now obsolete appointing authorities such as probational, war 
service indefinite, and emergency indefinite appointments. 
Determinations of whether an obsolete authority provides the basis for 
creditable service may be obtained from OPM;
    (ii) The acquisition of competitive status on January 23, 1955, 
under provisions of Executive Order 10577, while serving in the excepted 
service;
    (iii) Nontemporary appointment from a civil service register to a 
position in the excepted service before January 23, 1955;
    (iv) Nontemporary appointment to a position in the District of 
Columbia Government before January 23, 1955, evidencing selection in 
regular order from a civil service register used to certify for 
probational appointment in the Federal service. Appointment from a 
register maintained only for District of Columbia Government would not 
meet this condition;
    (v) Nontemporary appointment to an excepted position, provided the 
employee's excepted position was brought into the competitive service 
and, on that basis, the employee acquired competitive status or was 
converted to a career or career-conditional appointment;
    (vi) Nontemporary appointment to a nonappropriated fund (NAF) 
position in or under the Department of Defense, provided the employee's 
NAF position was brought into the competitive service and, on that 
basis, the employee acquired competitive status or was converted to a 
career or career-conditional appointment;
    (vii) Nontemporary excepted or nonappropriated fund appointment, 
Foreign Service appointment, or appointment in the Canal Zone Merit 
System, provided the employee is appointed or transferred to a 
competitive service position under the terms of an interchange agreement 
with another merit system under Sec. 6.7 of this chapter, under 
Executive Order 11219 as amended by Executive Order 12292, or under 
Executive Order 11171;
    (viii) The date of appointment to a position on the White House 
Staff or in the immediate office of the President or Vice President, 
provided the service has been continuous and the individual was 
appointed to a competitive service position under Sec. 315.602 of this 
chapter;
    (ix) The date of nontemporary excepted appointment under 
Sec. 213.3202(b) of this chapter, provided the student's appointment is 
converted to career or career-conditional appointment under Executive 
Order 12015, with or without an intervening term appointment, and 
without a break in service of one day.
    (x) The date of veterans readjustment appointment (VRA), provided 
the appointment is converted to career or career-conditional appointment 
under Sec. 315.705 of this chapter, or the person is appointed from a 
civil service register without a break in service while serving under a 
VRA;
    (xi) The date of nontemporary appointment to the Postal Career 
Service or the Postal Rate Commission after July 1, 1971, provided the 
individual is

[[Page 150]]

appointed to a career or career-conditional appointment under 39 U.S.C. 
1006;
    (xii) The date of nontemporary appointment under Schedule A, 
Secs. 213.3102(t) or 213.3102(u) of this chapter, of a mentally retarded 
or severely physically handicapped person, provided the employee's 
appointment is converted to career or career-conditional appointment 
under Sec. 315.709 of this chapter;
    (xiii) The date of appointment as a Presidential Management Intern 
under Schedule A, Sec. 213.3102(ii) of this chapter, provided the 
employee's appointment is converted to career or career-conditional 
appointment under Sec. 315.708;
    (xiv) The date of temporary appointment pending establishment of a 
register, provided the appointment was converted to career executive 
assignment;
    (xv) The date of temporary appointment pending establishment of a 
register (TAPER), provided:
    (A) The employee is serving on or after February 8, 1968, and his or 
her TAPER employment is changed by conversion or by an appointment 
without a break in service of a single workday to a career or career-
conditional appointment from a civil service register; and
    (B) His or her TAPER service has been continuous without a break in 
service of more than 30 calendar days or without interruption for more 
than 30 calendar days by other than status quo or indefinite employment 
in the competitive service, or military service provided he or she is 
reemployed as a TAPER employee within 120 days after separation under 
honorable conditions from the military service;
    (xvi) The starting date of National Guard technician service 
performed before January 1, 1969, provided the person was employed as a 
National Guard technician on December 31, 1968, and his or her position 
was brought into the competitive service on January 1, 1969;
    (xvii) The starting date of active service as an administrative 
enrollee in the United States Merchant Marine Academy; and
    (xviii) The date on which an employee became eligible for benefits 
under Public Law 83-121, unless an earlier date can be chosen because of 
prior nontemporary service.
    (xix) The date of appointment as a career intern under Schedule B, 
Sec. 213.3202(o) of this chapter, provided the employee's appointment is 
converted to career or career-conditional appointment under 
Sec. 315.712.
    (2) Competitive status. Career tenure is acquired only under a 
permanent appointment in the competitive service that provides or leads 
to competitive status.
    (3) Substantially continuous service. A single break in creditable 
service of more than 30 calendar days will require the beginning of a 
new 3-year period, except for:
    (i) Breaks incident to entry into or return from military service 
and return from defense transfer, provided the person is reemployed in 
Federal service during his or her period of statutory or regulatory 
restoration or reemployment rights;
    (ii) Breaks incident to transfer to and from an international 
organization, provided the person is reemployed in Federal service under 
subpart C of part 352 of this chapter;
    (iii) Breaks during which an employee was eligible to receive injury 
compensation under the Office of Workers' Compensation Programs, 
provided the person is reemployed under part 353 of this chapter;
    (iv) Breaks incident to a restoration to correct an unjustified or 
unwarranted separation;
    (v) Breaks following separation by reduction in force of employees 
who are eligible for entry on the reemployment priority list under 
subpart B of part 330 of this chapter, provided the person is reemployed 
in Federal service during the period of his or her reemployment 
priority;
    (vi) Breaks following involuntary separation without personal cause 
of employees who are eligible for a noncompetitive appointment based on 
an interchange agreement with another merit system under Sec. 6.7 of 
this chapter, provided the person is employed in the competitive service 
under the

[[Page 151]]

agreement during the period of his or her eligibility;
    (vii) Breaks incident to volunteer service or training required 
after enrollment in volunteer service provided the person is reemployed 
in Federal service within 90 days of the termination of volunteer 
service or training. This provision applies to Peace Corps, VISTA, or 
other ACTION full-time programs that are potentially creditable in 
subsequent Federal employment for length of service for leave, reduction 
in force, and retirement purposes;
    (viii) Breaks incident to employment in a nonfederal organization 
that occurred because a Federal function was transferred to the 
organization by law, provided the employee moved as a result of the 
transfer of function without a break in service of more than 3 days to 
the nonfederal organization and is reemployed by nontemporary 
appointment in the competitive service without a break in service of 
more than 30 calendar days after separation from the nonfederal 
organization;
    (ix) Employment with the District of Columbia Government after 
January 1, 1980 (the date the District implemented an independent merit 
personnel system not tied to the Federal system), provided the person 
was a District employee on December 31, 1979, was converted to the 
District system on January 1, 1980, and is reemployed by nontemporary 
appointment in the competitive service without a break in service of 
more than 30 calendar days after separation from District employment; 
and
    (x) Breaks that occur when a career-conditional employee leaves 
Federal employment to accompany a spouse or parent (if the employee is 
their unmarried child under 21 years of age) who is a member of the 
Armed Forces or a Federal civilian employee on official assignment to an 
overseas post of duty, provided the employee's separation from 
employment occurs no more than 90 calendar days prior to going overseas 
and reinstatement occurs while overseas or within 180 calendar days of 
return to the United States. Overseas posts of duty are duty locations 
outside the 50 States of the United States, the District of Columbia, 
Guam, Puerto Rico, and the Virgin Islands.
    (4) Crediting service. An employee's creditable service must total 3 
years, under the following conditions.
    (i) Work schedule. (A) Full-time service, and part-time service on 
or after July 1, 1962, are counted as calendar time from the date of 
appointment to date of separation.
    (B) Intermittent service on or after July 1, 1962 is counted as 1 
day for each day an employee is in pay status, regardless of the number 
of hours for which the employee is actually paid on a given day. For 
this purpose, 780 days in pay status are equivalent to 3 years' service, 
but the service requirement may not be satisfied in less than 3 years of 
calendar time.
    (C) Part-time and intermittent service before July 1, 1962, is 
counted based on the number of hours actually employed, including any 
paid leave. For this purpose, 6,240 hours of paid time are equivalent to 
3 years' service, but the service requirement may not be satisfied in 
less than 3 years of calendar tine.
    (ii) Nonpay status on the rolls and time off the rolls. No credit is 
given for periods of nonpay status and time off the rolls, except under 
the following conditions:
    (A) Credit is given for the first 30 calendar days of each period of 
nonpay status on the rolls during full-time employment, or during part-
time employment on or after July 1, 1962. On this same basis, a seasonal 
employee receives credit for the first 30 calendar days of each period 
of nonduty/nonpay status. Nonpay status in excess of 30 days extends the 
3-year waiting period by the amount of the excess;
    (B) Full credit is given for periods of nonpay status and time off 
the rolls incident to entry into and return from military service and 
return from defense transfer, provided the person is reemployed in 
Federal service during the period of his or her statutory or regulatory 
restoration or reemployment rights;
    (C) Full credit is given for periods of nonpay status and time off 
the rolls incident to transfer to and return from an international 
organization, provided the person is reemployed in Federal service under 
subpart C of part 352 of this chapter;

[[Page 152]]

    (D) Full credit is given for periods of nonpay status during which 
an employee was eligible to receive continuation of pay or injury 
compensation under the Office of Workers' Compensation Programs. Full 
credit also is given for periods of time off the rolls during which an 
employee was eligible to receive injury compensation under the Office of 
Workers' Compensation Programs, provided the person is reemployed under 
part 353 of this chapter.
    (E) Credit is given for up to 30 calendar days for time off the 
rolls that follows separation by reduction in force of employees who are 
eligible for entry on the reemployment priority list under subpart B of 
part 330 of this chapter, provided the person is reemployed in Federal 
service during the period of his or her reemployment priority; and
    (F) Credit is given for up to 30 calendar days for time off the 
rolls that follow involuntary separation without personal cause of 
employees who are eligible for a noncompetitive appointment based on an 
interchange agreement with another merit system under Sec. 6.7 of this 
chapter, provided the person is employed in the competitive service 
under the agreement during the period of his or her eligibility.
    (iii) Restoration based on unwarranted or improper actions. (A) 
Based on a finding made before March 30, 1966, that a furlough, 
suspension, or separation was unwarranted or improper, an employee 
restored to duty receives full calendar time credit for the period of 
furlough, suspension, or separation if he or she was eligible to receive 
retroactive pay under 5 U.S.C. 5591-93 (formerly Pub. L. 80-623) or 5 
U.S.C. 5594 (formerly Pub. L. 81-733).
    (B) Based on a finding made on or after March 30, 1966, that a 
furlough, suspension, or separation was unwarranted or improper, an 
employee restored to duty receives full calendar time credit for the 
period of furlough, suspension, or separation for which he or she is 
eligible to receive back pay. If the employee is restored to duty at a 
date later than the original adverse action, credit for intervening 
periods of nonpay status or breaks in service is given in accordance 
with other provisions of this subsection. If the employee had been 
properly separated from the rolls of the agency before a finding was 
made that the adverse action was unwarranted or improper, the correction 
and additional service credit given the employee may not extend beyond 
the date of the proper separation.
    (iv) Intervening service. Certain types of service that ordinarily 
are not creditable are counted when they intervene between two periods 
of creditable service without a single break in service in excess of 30 
calendar days, excepted as provided in subparagraph (H) of his 
paragraph. Under these conditions, credit is given for periods of 
service:
    (A) In the excepted service of the Federal executive branch, 
including employment in nonappropriated fund positions in or under any 
Federal agency;
    (B) Under temporary, term, or other nonpermanent employment in the 
Federal competitive service;
    (C) In the Senior Executive Service;
    (D) In the Federal legislative branch;
    (E) In the Federal judicial branch;
    (F) In the armed forces;
    (G) In the District of Columbia Government through December 31, 
1979. For an employee on the District rolls on December 31, 1979, who 
converted on January 1, 1980, to the District independent personnel 
system, credit also is given for service between January 1, 1980, and 
September 25, 1980. Otherwise, service in the District of Columbia 
Government on or after January 1, 1980, is not creditable as intervening 
service; and
    (H) Performed overseas by family members, as defined by Sec. 315.608 
of this chapter. Such service is creditable toward career tenure if it 
intervenes between two periods of creditable service without a single 
break in excess of 180 days.
    (c) Exceptions from service requirement. The service requirement for 
career tenure does not apply to:
    (1) An appointment to a position required by law to be filled on a 
permanent basis, or a conversion under this part while the employee is 
serving in such a position;
    (2) An appointment from a register of a person who once completed 
the service requirement for career tenure;

[[Page 153]]

    (3) An appointment under Sec. 315.601 of a former Canal Zone Merit 
System employee who completed the service requirement for career tenure 
under that system; or
    (4) The reinstatement of a person who once completed the service 
requirement for career tenure.

[33 FR 12418, Sept. 4, 1968, as amended at 43 FR 34428, Aug. 4, 1978; 59 
FR 68104, Dec. 30, 1994; 60 FR 53504, Oct. 16, 1995; 62 FR 63630, Dec. 
2, 1997; 63 FR 57046, Oct. 26, 1998; 65 FR 78078, Dec. 14, 2000]



Sec. 315.202  Conversion from career-conditional to career tenure.

    A career-conditional employee becomes a career employee 
automatically on completion of the service requirement for career 
tenure.



    Subpart C--Career or Career-Conditional Employment From Registers



Sec. 315.301  Tenure on appointment from register.

    (a) Except as provided in paragraph (b) of this section, an eligible 
appointed from a register for other than temporary or term employment 
becomes a career-conditional employee.
    (b) An eligible appointed from a register for other than temporary 
or term employment becomes a career employee when he is excepted from 
the service requirement for career tenure by Sec. 315.201(c).



Sec. 315.302  Acquisition of competitive status.

    An employee appointed as provided in Sec. 315.301 acquires a 
competitive status automatically on completion of probation.



   Subpart D--Career or Career-Conditional Employment by Reinstatement



Sec. 315.401  Reinstatement.

    (a) Agency authority. Subject to part 335 of this chapter and 
paragraph (b) of this section, an agency may appoint by reinstatement to 
a competitive service position a person who previously was employed 
under career or career-conditional appointment (or equivalent).
    (b) Time limit. There is no time limit on the reinstatement 
eligibility of a preference eligible or a person who completed the 
service requirement for career tenure. Except as provided in paragraph 
(c) of this section, an agency may reinstate a nonpreference eligible 
who has not completed the service requirement for career tenure only 
within 3 years following the date of separation. This time limit begins 
to run from the date of separation from the last position in which the 
person served under a career appointment, career-conditioned 
appointment, indefinite appointment in lieu of reinstatement, or an 
appointment under which he or she acquired competitive status.
    (c) Extension of time limit. Intervening service of the following 
types extends the 3-year limit on reinstatement of eligibility of a 
nonpreference eligible who has not completed the service requirement for 
career tenure:
    (1) Employment in Federal competitive service positions under 
temporary, term, indefinite, or other nonpermanent appointment.
    (2) Employment in Federal excepted, nonappropriated fund, or Senior 
Executive Service positions in the executive branch;
    (3) Employment in the Federal judicial branch or in the executive or 
judicial branches of the insular possessions of the United States;
    (4) Employment in Federal legislative branch;
    (5) Employment in an international governmental organization or a 
territorial, State, county, municipal, or foreign government in a 
position in which the agency determines that the proposed appointee 
acquired valuable training and experience for the position to be filled;
    (6) A substantially full-time training course in any educational 
institution of recognized standing when the agency finds that the 
proposed appointee acquired valuable training or experience for the 
position to be filled;
    (7) Compulsory service on work of national importance under civilian 
direction as required by the Military Selective Service Act;
    (8) Active military duty terminated under honorable conditions;

[[Page 154]]

    (9) Service with the District of Columbia Government prior to 
January 1, 1980. In addition, for an employee on the District Government 
rolls on December 31, 1979, who was converted on January 1, 1980, to the 
District of Columbia merit personnel system, continuous District 
Government service after that date also extends the 3-year period;
    (10) Periods of nonemployement during which a person is eligible for 
injury compensation under the Office of Workers' Compensation Programs;
    (11) Periods of nonemployment during which a person receives 
disability retirement under the Civil Service or Federal Employees 
Retirement System;
    (12) Employment by a nonfederal organization when the person's 
function was transferred to the nonfederal organization on a contract 
basis or by law or executive order;
    (13) Volunteer service and training required prior to actual 
enrollment as a volunteer with Peace Corps, VISTA, and other programs of 
the Corporation for National and Community Service if it begins within 
the period the person is eligible for reinstatement; and
    (14) Periods of overseas residence during which a spouse or 
unmarried child, under 21 years of age, of a member of the Armed Forces 
or of a Federal civilian employee is accompanying that individual on 
official assignment to an overseas post of duty. Overseas posts of duty 
are duty locations outside the 50 States of the United States, the 
District of Columbia, Guam, Puerto Rico, and the Virgin Islands.

[33 FR 12418, Sept. 4, 1968, as amended at 59 FR 68107, Dec. 30, 1994; 
60 FR 53504, Oct. 16, 1995]



Sec. 315.402  Tenure on reinstatement.

    (a) Except as provided in paragraph (b) of this section, a person 
who is reinstated becomes a career-conditional employee.
    (b) A person who is reinstated becomes a career employee when he has 
completed the service requirement for career tenure or is excepted from 
it by Sec. 315.201(c).



Sec. 315.403  Acquisition of competitive status.

    A person who was serving probation when he was separated and who is 
reinstated under Sec. 315.401 acquires a competitive status 
automatically on completion of probation.



     Subpart E--Career or Career-Conditional Employment by Transfer



Sec. 315.501  Transfer.

    Subject to part 335 of this chapter, an agency may appoint by 
transfer to a competitive service position, without a break in service 
of a single workday, a current career or career-conditional employee of 
another agency.

[60 FR 53504, Oct. 16, 1995]



Sec. 315.502  Tenure on transfer.

    (a) General rule. Except as provided in paragraph (b) of this 
section, a career employee who transfers remains a career employee and a 
career-conditional employee who transfers remains a career-conditional 
employee.
    (b) Exceptions. (1) A career-conditional employee who transfers to a 
position required by law to be filled on a permanent basis becomes a 
career employee.
    (2) A career employee who transfers from a position required by law 
to be filled on a permanent basis becomes a career-conditional employee 
unless he or she has completed the service requirement for career 
tenure.

[60 FR 53504, Oct. 16, 1995]



Sec. 315.503  Acquisition of competitive status.

    An employee who was serving probation when he was appointed under 
Sec. 315.501 acquires a competitive status automatically on completion 
of probation.

[[Page 155]]



   Subpart F--Career or Career-Conditional Appointment Under Special 
                               Authorities



Sec. 315.601  Appointment of former employees of the Canal Zone Merit System or Panama Canal Employment System.

    (a) Agency authority. This section may be used by an agency to 
appoint noncompetitively, for other than temporary or term employment, a 
United States citizen separated from a career or career-conditional 
appointment under the Canal Zone Merit System, which was in effect 
before March 31, 1982, or under the Panama Canal Employment System, 
which became effective on March 31, 1982. (Appointments of such persons 
for temporary or term employment are to be made under applicable 
provisions of part 316 of this chapter.)
    (b) Service requirement. An agency may appoint such a former 
employee under this section only when, immediately prior to separation 
from a qualifying appointment, the employee served continuously for at 
least one year under a nontemporary appointment in the Canal Zone Merit 
System, the Panama Canal Employment System, or a combination of the two 
systems.
    (c) Time limits. (1) There is no time limit on the appointment under 
this section of an employee who:
    (i) Is a preference eligible; or
    (ii) Has completed at least 3 years of service, which did not 
include any break in service longer than 30 days, under one or more 
career-conditional or career appointments in the Canal Zone Merit System 
and/or the Panama Canal Employment System.
    (2) An agency may appoint under this section an employee who does 
not meet the conditions in (c)(1) of this section provided no more than 
3 years have elapsed since:
    (i) separation from a qualifying Canal Zone Merit System or Panama 
Canal Employment System appointment; or
    (ii) separation from service in Panama in a position excluded from 
the Canal Zone Merit System or Panama Canal Employment System, when such 
service immediately followed service under a qualifying appointment in 
one of those systems.
    (d) Tenure on appointment. On appointment under paragraph (a) of 
this section: (1) A former career employee of the Canal Zone Merit 
System or Panama Canal Employment System becomes a career employee.
    (2) A former Canal Zone Merit System and/or Panama Canal Employment 
System employee whose service from the date of career-conditional 
appointment in the Canal Zone Merit System or Panama Canal Employment 
System through the date of noncompetitive appointment under this 
section, inclusive, does not include any break in service of more than 
30 days and totals at least 3 years becomes a career employee.
    (3) All other former Canal Zone Merit System and Panama Canal 
Employment System employees become career-conditional employees.
    (e) Acquisition of competitive status. A person appointed under 
paragraph (a) of this section automatically acquires a competitive 
status:
    (1) On appointment, if he or she has satisfactorily completed a 1-
year probationary period under the Canal Zone Merit System and/or the 
Panama Canal Employment System.
    (2) On satisfactory completion of probation in accordance with 
Sec. 315.80 (a)(3) if he or she had not completed a 1-year probationary 
period under the Canal Zone Merit System or Panama Canal Employment 
System.

[48 FR 13951, Apr. 1, 1983]



Sec. 315.602  Appointment based on service in the Office of the President or Vice-President or on the White House Staff.

    (a) Agency authority. An agency may appoint noncompetitively a 
person who has served at least 2 years in the immediate Office of the 
President or Vice-President or on the White House Staff, provided that 
the appointment is effected without a break in service of 1 full 
workday.
    (b) Tenure on appointment. (1) Except as provided in paragraph 
(b)(2) of this section, a person appointed under paragraph (a) of this 
section becomes a career-conditional employee.

[[Page 156]]

    (2) A person appointed under paragraph (a) of this section becomes a 
career employee when he or she has completed the service requirement for 
career tenure or is excepted from it by Sec. 315.201(c).
    (c) Acquisition of competitive status. A person appointed under 
paragraph (a) of this section acquires a competitive status 
automatically on appointment.

[44 FR 54692, Sept. 21, 1979]



Sec. 315.603  Appointment based on former incumbency of a position brought into the competitive service.

    (a) Agency authority--(1) Employee in military service. An agency 
may appoint a former incumbent of a permanent excepted position who was 
serving under an appointment not limited to 1 year or less, or of a 
position in public or private enterprise when the position was brought 
into the competitive service on a continuing basis and who left his 
position after June 30, 1950, to perform active military service when:
    (i) The position was brought into the competitive service before or 
during his military service or during the period in which he had 
restoration rights thereto, and he left the position to enter military 
service before the end of the time limits set forth in Sec. 315.701(c);
    (ii) He has been released from military service under honorable 
conditions;
    (iii) The agency submits a recommendation for his appointment to OPM 
within 6 months after release from military service under honorable 
conditions or after hospitalization continuing after release for not 
more than 1 year; and
    (iv) He performed 6 months of satisfactory service immediately 
before the date his position was brought into the competitive service in 
a position or positions brought into the competitive service, or in the 
civilian executive branch of the Government, unless OPM has excepted his 
particular type of case from this requirement.
    (2) Employee separated. An agency may appoint a former incumbent of 
a permanent excepted position under an appointment not limited to 1 year 
or less or of a position in public or private enterprise when the 
position was brought into the competitive service on a continuing basis, 
and who was separated thereafter, when:
    (i) He is recommended for appointment within the time limits set 
forth in Sec. 315.701(c); and
    (ii) He performed 6 months of satisfactory service immediately 
before the date his position, was brought into the competitive service, 
in a position or positions brought into the competitive service or in 
the civilian executive branch of the Government, unless OPM has excepted 
his particular type of case from this requirement.
    (3) Employee recovered from compensable injury. An agency may 
appoint a former incumbent of a permanent excepted position who was 
serving under an appointment not limited to 1 year or less, when the 
position has been brought into the competitive service and when:
    (i) The employee is entitled to restoration based on recovery from 
compensable injury in accordance with 5 U.S.C. 8151 and part 353;
    (ii) The employee's position was brought into the competitive 
service either before the employee's separation for compensable injury 
or during his or her period of statutory restoration rights following 
such injury, and the employee's separation for compensable injury 
occurred before the end of the time limits set forth in Sec. 315.701(c);
    (iii) The agency initiates the appointment within 6 months after 
cessation of compensation; and
    (iv) The employee performed 6 months of statisfactory service 
immediately before the date his or her position was brought into the 
competitive service in the civilian executive branch of the Government, 
unless OPM has excepted his or her particular type of case from this 
requirement.
    (b) Review of disapproved recommendations. Agencies shall establish 
procedures for reviewing disapprovals of recommendations for appointment 
under this section when such review is requested within 6 months after 
the date of disapproval.
    (c) Tenure on appointment. (1) Except as provided in paragraph 
(c)(2) of this section, a person appointed under paragraph (a) of this 
section becomes a career-conditional employee.

[[Page 157]]

    (2) A person appointed under paragraph (a) of this section becomes a 
career employee when he has completed the service requirement for career 
tenure or is excepted from it by Sec. 315.201(c).
    (d) Acquisition of competitive status. (1) A person appointed under 
paragraph (a)(1) of this section acquires a competitive status 
automatically on appointment.
    (2) A person appointed under paragraph (a)(2) or (a)(3) of this 
section acquires a competitive status automatically on completion of 
probation.

[33 FR 12418, Sept. 4 1968, as amended at 43 FR 34428, Aug. 4, 1978; 54 
FR 37092, Sept. 7, 1989; 66 FR 66710, Dec. 27, 2001]



Sec. 315.604  Employment of disabled veterans who have completed a training course under Chapter 31 of title 38, United States Code.

    (a) When a disabled veteran satisfactorily completes an approved 
course of training prescribed by the Veterans Administration under 
chapter 31, title 38, United States Code, any agency may appoint the 
veteran noncompetitively to the position of class of positions for which 
trained.
    (b) Conversion. An agency may convert to career or career-
conditional employment a person appointed under paragraph (a) of this 
section.
    (c) Disqualifications. Any law, Executive order, or civil service 
rule or regulation which would disqualify an applicant for appointment 
also disqualifies him or her for conversion of his or her employment to 
career or career-conditional employment under this section.
    (d) Tenure on approval of recommendation. When an agency converts 
the employee under paragraph (b) of this section, the employee becomes:
    (1) A career-conditional employee, except as provided in paragraph 
(d)(2) of this section; and
    (2) A career employee when he or she has completed the service 
requirement for career tenure or is excepted from it by Sec. 315.201(c).
    (e) Acquisition of competitive status. A person whose employment is 
converted to career or career-conditional employment under this section 
acquires a competitive status automatically on conversion.

[44 FR 54692, Sept. 21, 1979, as amended at 44 FR 55132, Sept. 25, 1979]



Sec. 315.605  Appointment of former ACTION volunteers.

    (a) Agency authority. An agency in the executive branch may appoint 
noncompetitively, for other than temporary employment, a person whom the 
Director of ACTION certifies as having served satisfactorily as a 
volunteer or volunteer leader under the Peace Corps Act (22 U.S.C. 2051 
et seq.), or as a VISTA volunteer under the Economic Opportunity Act of 
1964 (42 U.S.C. 2991 et seq.) or the Domestic Volunteer Service Act of 
1973 (Pub. L. 93-113), or as a full-time community volunteer (including 
criminal justice volunteer, volunteer in justice, and VET REACH 
volunteer) under part C of title I of Pub. L. 93-113. To be qualifying 
under this section VISTA and community volunteer service must total at 
least 1 year. In addition, a community volunteer must have served prior 
to October 1, 1976.
    (b) Time limit. An agency in the executive branch may make an 
appointment under this section only within 1 year after the person 
completes the qualifying service. (For Community volunteers who have 
completed their service before March 10, 1978, the 1-year period begins 
on March 10, 1978.) However, an agency may extend the period for 2 more 
years to a total of 3 years if the person, after the qualifying service, 
is:
    (1) In the military service;
    (2) Studying at a recognized institution of higher learning; or
    (3) In another activity which, in the agency's view, warrants 
extension.
    (c) Conditions. Any law, Executive order, or regulation that 
disqualifies an applicant for appointment also disqualifies an applicant 
for appointment under this section.
    (d) Tenure on appointment. (1) Except as provided in paragraph 
(d)(2) of this section, a person appointed under paragraph (a) of this 
section becomes a career-conditional employee.
    (2) A person appointed under paragraph (a) or this section becomes a 
career employee if excepted from the

[[Page 158]]

service requirement for career tenure by Sec. 315.201(c).
    (e) Acquisition of competitive status. A person appointed under 
paragraph (a) of this section acquires a competitive status 
automatically on completion of probation.

[39 FR 961, Jan. 4, 1974, as amended at 43 FR 20954, May 16, 1978; 43 FR 
34428, Aug. 4, 1978]



Sec. 315.606  Noncompetitive appointment of certain present and former Foreign Service officers and employees.

    Subject to the conditions prescribed by OPM, an agency may appoint 
noncompetitively a present or former career officer or employee of the 
Foreign Service who was appointed under authority of the Foreign Service 
Act of 1946, as amended (22 U.S.C. 801 et seq.), or legislation that 
supplements or replaces that Act, if:
    (a) He qualifies under the requirements set forth in Executive Order 
11219, and
    (b) OPM has concurred in his present or former agency's plan, and 
substantive changes thereto, for noncompetitive entry of civil service 
employees into the Foreign Service positions of that agency.

[33 FR 12418, Sept. 4 1968, as amended at 66 FR 66710, Dec. 27, 2001]



Sec. 315.607  Noncompetitive appointment of present and former Peace Corps personnel.

    (a) An agency in the executive branch may appoint noncompetitively, 
for other than temporary appointment, an individual:
    (1) Who has completed no less than 36 months of continuous service 
without a break in service of 3 days or more under section 7(a) of the 
Peace Corps Act (22 U.S.C. 2506) which pertains to the appointment of 
Peace Corps staff (not volunteers);
    (2) Whom the Director of the Peace Corps certifies as having 
satisfactorily served under such an appointment; and
    (3) Who meets OPM qualification standards--including any written 
test requirements--for the position in question.
    (4) Who is not a Peace Corps volunteer as this paragraph does not 
apply to Peace Corps volunteers.
    (b) Time limitations. (1) An individual's eligibility under this 
section extends through September 30, 1982, or until 3 years after 
separation from qualifying service with the Peace Corps, whichever is 
later.
    (2) An agency may not extend this period.
    (c) Conditions. Any law, Executive order, or regulation which 
disqualifies an applicant for appointment in the competitive service 
also disqualifies an applicant for appointment under this section.
    (d) Acquisition of competitive status. A person appointed under 
paragraph (a) of this section acquires competitive status automatically 
upon completion of probation.
    (e) Tenure on appointment. (1) Except as provided in paragraph 
(e)(2) of this section, a person appointed under paragraph (a) of this 
section becomes a career-conditional employee.
    (2) A person appointed under paragraph (a) of this section becomes a 
career employee if excepted from the service requirement for career 
tenure by Sec. 315.201(c).

[45 FR 43365, June 27, 1980, as amended at 46 FR 35079, July 7, 1981; 54 
FR 37092, Sept. 7, 1989]



Sec. 315.608  Noncompetitive appointment of certain former overseas employees.

    (a) Authority. An executive branch agency may noncompetitively 
appoint, to a competitive service position within the United States 
(including Guam, Puerto Rico, and the Virgin Islands), an individual who 
has completed 52 weeks of creditable overseas service as defined in 
paragraph (b) of this section and is appointed within the time limits in 
paragraph (d) of this section. Any law, Executive order, or regulation 
that disqualifies an applicant for appointment in the competitive 
service, such as the citizenship requirement,

[[Page 159]]

also disqualifies the applicant for appointment under this section. An 
individual may be appointed to any occupation and grade level for which 
qualified. An agency may waive any requirement for a written test after 
determining that the duties and responsibilities of the applicant's 
overseas position were similar enough to make the written test 
unnecessary.
    (1) Tenure. A person appointed under this section becomes a career-
conditional employee unless he or she has already satisfied the 
requirements for career tenure or is exempt from the service requirement 
in 5 CFR 315.201.
    (2) Competitive status. A person appointed under this section 
acquires competitive status automatically upon completion of probation.
    (b) Creditable overseas service. For purposes of this section only, 
creditable service is service in an appropriated fund position(s) 
performed by a family member under a local hire appointment(s) overseas 
during the time the family member was accompanying a sponsor officially 
assigned to an overseas area and for which the family member received a 
fully successful or better (or equivalent) performance rating. 
Creditable overseas service is computed in accordance with the 
procedures in the OPM Guide to Processing Personnel Actions. Creditable 
service may have been under more than one appointment and need not be 
continuous. Leave without pay taken during the time an individual is in 
the overseas area is credited on the same basis as time worked.
    (c) Service waiver. Up to 26 weeks of the 52-week service 
requirement is waived when the head of an agency (or designee) that 
employed the family member overseas certifies that the family member's 
expected 52 weeks of employment were cut short because of a nonpersonal 
situation that necessitated the relocation of the family member from the 
overseas area. The certification must include the number of weeks 
waived. For this purpose, a nonpersonal situation includes disaster, 
conflict, terrorism or the threat of terrorism, and those situations 
when a family member is forced to return to the United States because of 
military deployment, drawdowns, or other management-initiated actions. A 
nonpersonal situation does not include circumstances that specifically 
relate to a particular individual, for example, ill health or personal 
interest in relocating.
    (d) Time limit on eligibility. An individual is eligible for 
appointment(s) under this authority for a period of 3 years following 
the date of returning from overseas to the United States to resume 
residence or until March 31, 1998, whichever date is later. An agency 
may extend an individual's appointment eligibility beyond 3 years for 
periods equivalent to--
    (1) The time the individual was accompanying a sponsor on official 
assignment to an area of the United States with no significant 
opportunities for Federal employment; or
    (2) The time an individual was incapacitated for employment.
    (e) Definitions. In this section terms have the following meaning:
    (1) Family member. An unmarried child under age 23 or a spouse. An 
individual must have been a family member at the time he or she met the 
overseas service requirement and other conditions but does not need to 
be a family member at the time of noncompetitive appointment in the 
United States.
    (2) Sponsor. A Federal civilian employee, a Federal nonappropriated 
fund employee, or a member of a uniformed service who is officially 
assigned to an overseas area.
    (i) Officially assigned. Under active orders issued by the United 
States Government.
    (ii) Federal civilian employee. An employee of the executive, 
judicial, or legislative branch of the United States Government who 
serves in an appropriated fund position.
    (iii) Nonappropriated fund employee. An employee paid from 
nonappropriated funds of the Army and Air Force Exchange Service, Navy 
Ship's Stores Ashore, Navy Exchanges, Marine Corps Exchanges, Coast 
Guard Exchanges, or other instrumentalities of the United States.
    (iv) Member of a uniformed service. Personnel of the U.S. Armed 
Forces (including the Coast Guard), the commissioned corps of the Public 
Health

[[Page 160]]

Service, and the commissioned corps of the National Oceanic and 
Atmospheric Administration.
    (3) Accompanying. The family member resided in the overseas area 
while the sponsor was officially assigned to an overseas post of duty. 
The family member need not have physically resided with the sponsor at 
all times or have traveled with the sponsor to or from the overseas 
area.
    (4) Local hire appointment. An appointment that is not actually or 
potentially permanent and that is made from among individuals residing 
in the overseas area. In this section only, a local hire appointment 
includes nonpermanent employment under:
    (i) Overseas limited appointment under 5 CFR 301.203(b) or (c);
    (ii) Expected appointment under Schedule A 213.3106(b)(1), 
213.3106(b)(6), or 213.3106(d)(1)) when the duration of the appointment 
is tied to the sponsor's rotation date or when the appointment is made 
on a not-to-exceed (NTE) basis;
    (iii) An ``American family member'' or ``part-time intermittent 
temporary (PIT)'' appointment in U.S. diplomatic establishments;
    (iv) 50 U.S.C. 403j; Public Law 86-36 (50 U.S.C. 402, note); the 
Berlin Tariff Agreement; or as a local national employee paid from 
appropriated funds; or
    (v) Any other nonpermanent appointment in the competitive or 
excepted service approved by OPM.
    (5) Overseas. A location outside the 50 States of the United States, 
the District of Columbia, Guam, Puerto Rico, and the Virgin Islands.

[61 FR 9322, Mar. 8, 1996]



Sec. 315.609  Appointment based on service in United States positions of the Panama Canal Commission.

    (a) Agency authority. An agency may appoint noncompetitively, for 
other than temporary or term employment, a United States citizen who has 
served under nontemporary appointment in a continuing career position of 
the Panama Canal Commission located in the United States.
    (b) Service requirement. An agency may appoint such an individual 
under this section only when, immediately prior to separation from a 
qualifying appointment with the Panama Canal Commission in the United 
States, the individual served continuously for at least 1 year under 
such qualifying appointment or under a combination of such appointment 
and nontemporary appointment in the Canal Zone Merit System or the 
Panama Canal Employment System.
    (c) Time limits. (1) There is no time limit on the appointment under 
this section of an employee who:
    (i) Is a preference eligible; or
    (ii) Has completed at least 3 years of service, which did not 
include any break in service longer than 30 days, under one or more 
nontemporary appointments in Panama Canal Commission positions located 
in the United States or in positions under the Canal Zone Merit System 
and/or the Panama Canal Employment System.
    (2) An agency may appoint under this section an employee who does 
not meet the conditions in (c)(1) of this section only if no more than 3 
years have elapsed since the individual's separation from a qualifying 
appointment.
    (d) Tenure on appointment. (1) On appointment under paragraph (a) of 
this section, an individual whose qualifying service does not include 
any break in service of more than 30 days and totals at least 3 years 
becomes a career employee.
    (2) All other individuals appointed under this section become 
career-conditional employees.
    (e) Acquisition of competitive status. A person appointed under 
paragraph (a) of this section automatically acquires a competitive 
status:
    (1) On appointment, if he or she has satisfactorily completed a 1-
year trial period, which did not include more than 22 workdays in nonpay 
status, during qualifying employment with the Panama Canal Commission.
    (2) On satisfactory completion of probation in accordance with 
Sec. 315.801(a)(3) if he or she had not completed such a 1-year trial 
period.

[48 FR 29667, June 28, 1983]

[[Page 161]]



Sec. 315.610  Noncompetitive appointment of certain National Guard technicians.

    (a) An agency may appoint noncompetitively a National Guard 
technician who--
    (1) Was involuntarily separated (other than by removal for cause on 
charges of misconduct or delinquency);
    (2) Has served at least 3 years as a technician;
    (3) Meets the qualifications requirements of the job: and
    (4) Is appointed within 1 year after separating from service as a 
Guard Technician.
    (b) The noncompetitive appointing authority also applies to National 
Guard technicians separated before October 29, 1986, provided they are 
appointed within a year of the date of separation.

[52 FR 5431, Feb. 23, 1987]



Sec. 315.611  Appointment of certain veterans who have competed under agency merit promotion announcements.

    (a) Agency authority. An agency may appoint a preference eligible or 
a veteran who has substantially completed at least 3 years of continuous 
active military service provided
    (1) The veteran was selected from among the best qualified following 
competition under a merit promotion announcement open to candidates 
outside the agency's workforce; and
    (2) The veteran's most recent separation from the military was under 
honorable conditions.
    (b) Definitions. ``Agency'' in this context means an executive 
agency as defined in 5 U.S.C. 105. The agency determines in individual 
cases whether a candidate was released ``shortly before'' completing the 
required 3 years and should therefore be eligible for appointment.

65 FR 14432, Mara. 17, 2000



 Subpart G--Conversion to Career or Career-Conditional Employment From 
                        Other Types of Employment



Sec. 315.701  Incumbents of positions brought into the competitive service.

    (a) Employee coverage. This section applies to an employee retained 
under Secs. 316.701 and 316.702 of this chapter who:
    (1) Was serving in a permanent excepted position under an 
appointment not limited to 1 year or less, or in a public or private 
enterprise in a position which the agency determines to be a continuing 
one, at the time his position was brought into the competitive service; 
and
    (2) Performed 6 months of satisfactory service immediately before 
the date his position was brought into the competitive service, in a 
position or positions brought into the competitive service, or in the 
civilian executive branch of the Government, unless OPM has excepted his 
particular type of case from this requirement.
    (b) Eligibility for conversion. Within the time limits set forth in 
paragraph (c) of this section, the employment of an employee covered by 
paragraph (a) of this section may be converted to career or career-
conditional employment.
    (c) Time limits. Conversion may be initiated under paragraph (b) of 
this section only within 6 months after the position is brought into the 
competitive service, except that:
    (1) When it is necessary for OPM to determine that Sec. 316.701 or 
Sec. 316.702 applies to a group of positions, the recommendation shall 
be submitted within 6 months after OPM advises the agency of its 
determination; and
    (2) When an employee is absent on an assignment to an organization 
or agency from which reemployment rights are provided under part 352 of 
this chapter or by statute, the conversion shall be initiated within 6 
months after the employee's return from such assignment, when 
reemployment occurs within the time limits prescribed in the applicable 
statute or regulation;
    (3) When an employee is absent on approved leave without pay, the 
conversion shall be initiated within 6

[[Page 162]]

months of the employee's return to duty, when such return occurs within 
time limits authorized by the agency; and
    (4) When an employee who is serving on military duty or who is 
separated and rehired during the 6-month period after the position is 
brought into the competitive service is eligible for conversion under 
the provisions of Sec. 315.603, the conversion shall be initiated within 
the time limits prescribed by that section.
    (d) Tenure on approval of conversion. Upon conversion under 
paragraph (b) of this section, the employee becomes:
    (1) A career-conditional employee, except as provided in paragraph 
(b)(2) of this section;
    (2) A career employee when he has completed the service requirement 
for career tenure or is excepted from it by Sec. 315.201(c).
    (e) Acquisition of competitive status. A person whose employment is 
converted to career or career-conditional employment under this section 
acquires a competitive status automatically on completion of probation.
    (f) Review of disapproved conversions. Agencies shall establish 
procedures for reviewing disapprovals of conversions under this section 
when such review is requested within 6 months after the date of the 
disapproval.

[33 FR 12418, Sept. 4, 1968, as amended at 43 FR 34428, Aug. 4, 1978; 66 
FR 66710, Dec. 27, 2001]



Sec. 315.702  Employees serving without competitive examination in rare cases.

    (a) Recommendation by agency. An agency may recommend to OPM that 
the employment of an employee who has completed at least 1 year of 
satisfactory service under Sec. 316.601 be converted to career or 
career-conditional employment.
    (b) Tenure on approval of recommendation. When OPM approves the 
agency's recommendation submitted under paragraph (a) of this section, 
the employee becomes:
    (1) A career-conditional employee, except as provided in paragraph 
(b)(2) of this section;
    (2) A career employee when he has completed the service requirement 
for career tenure or is excepted from it by Sec. 315.201(c).
    (c) Acquisition of competitive status. A person whose employment is 
converted to career or career-conditional employment under this section 
acquires a competitive status automatically on conversion.



Sec. 315.703  Employees formerly reached on a register.

    (a) Employee coverage. An employee who was serving in a position 
when his or her name was within reach for career or career-conditional 
appointment on a register appropriate for that position may be converted 
to career or career-conditional employment when:
    (1) The employee's name was included on an appropriate certificate 
issued while the employee was serving in the position, or reconstruction 
of the appropriate register verifies that the employee would have been 
within reach;
    (2) The register was being used for career and career-conditional 
appointments when he or she was reached;
    (3) He or she has been continuously employed since being reached;
    (4) Conversion is initiated either before the expiration of the 
register or during a period of continuous service since the employee was 
reached; and
    (5) When the employee is a nonpreference eligible who was first 
reached after February 1, 1955, the Office, or the agency, in accordance 
with an agreement with the Office, determines that satisfactory reasons 
existed for passing over any preference eligible who preceded the 
employee on the register when he or she was reached and who is still 
within reach and available for appointment.
    (b) Tenure on conversion. An employee whose appointment is converted 
under paragraph (a) of this section becomes:
    (1) A career-conditional employee except as provided in paragraph 
(b)(2) of this section;
    (2) A career employee when he or she has completed the service 
requirement for career tenure or is excepted from it by Sec. 315.201(c).
    (c) Acquisition of competitive status. An employee whose employment 
is converted to career or career-conditional

[[Page 163]]

employment under this section acquires a competitive status 
automatically on completion of probation.

[44 FR 55132, Sept. 25, 1979]



Sec. 315.704  Conversion to career employment from indefinite or temporary employment.

    (a) General. Employees serving after February 7, 1968, in 
competitive positions under indefinite appointments or temporary 
appointments pending establishment of a register or as status quo 
employees acquire competitive status and are entitled to have their 
employment converted to career employment when such employees:
    (1) Complete a total of at least 3 years of service in such a 
position under one or more such appointments without a break in service 
of more than 30 calendar days or without an interruption by 
nonqualifying service of more than 30 calendar days;
    (2) Have rendered satisfactory service for the 12 months immediately 
preceding the conversion; and
    (3) Meet applicable qualification requirements for the positions and 
are otherwise eligible for career employment. This paragraph does not 
apply to employees serving under an overseas limited appointment or in 
positions above GS-15 or equivalent.
    (b) Creditable service. (1) In computing creditable service under 
paragraph (a) of this section for an employee who left a competitive 
position in which he or she was serving under a qualifying appointment 
covered in paragraph (a) of this section to enter the armed forces and 
who is reemployed in such a position within 120 calendar days after 
separation under honorable conditions, the period from the date he or 
she left the position to the date of reemployment is creditable.
    (2) The Office shall publish in its operating manuals the conditions 
under which full-time, part-time, and intermittent employment is 
creditable in meeting the service requirement under paragraph (a) of 
this section.
    (c) Termination after failure to meet conversion requirements. An 
employing agency shall terminate employees covered by paragraph (a) of 
this section not later than 90 days after they complete the 3-year 
service requirement referred to in paragraph (a)(1) of this section, if 
they have not met the requirements and conditions of paragraphs (a) (2) 
and (3) of this section before the end of the 90-day period. For an 
employee who is reemployed after intervening service in the armed 
forces, the 90-day period begins on the date of reemployment if the 
employee's combined civilian and military service satisfies the 3-year 
service requirement on that date.
    (d) Administrative error. When an employee has met the service 
requirement under paragraph (a)(1) of this section but, because of 
administrative error or oversight, has not been converted to career 
employment within the time limits prescribed in this section, the 
employing agency may effect the employee's conversion as of the date on 
which he or she met the service requirement, even though the time limit 
for such conversion has expired.

[44 FR 54692, Sept. 21, 1979. Redesignated at 44 FR 63080, Nov. 2, 1979, 
as amended at 66 FR 66710, Dec. 27, 2001]



Sec. 315.705  Employees serving under transitional or veterans readjustment appointments.

    (a) Agency action. (1) An agency shall convert the employment of an 
employee who has served continuously under a transitional appointment 
for at least 1 year to career or career-conditional employment within 90 
calendar days after he completes the program of education or training 
approved for him.
    (2) Within 30 calendar days after an employee completes (i) 2 years 
of substantially continuous service under a veterans readjustment 
appointment or under a combination of transitional and veterans 
readjustment appointments and (ii) his training or educational programs, 
the employing agency shall convert his appointment to career or career-
conditional employment.
    (b) Tenure. Upon conversion of his employment, the employee becomes:
    (1) A career-conditional employee, except as provided in paragraph 
(b)(2) of this section;
    (2) A career employee if he has completed the service requirement 
for career tenure or is excepted from it by Sec. 315.201(c).

[[Page 164]]

    (c) Acquisition of competitive status. An employee whose employment 
is converted to career or career-conditional employment under this 
section, acquires a competitive status automatically on conversion.

[35 FR 5661, Apr. 8, 1970. Redesignated at 44 FR 63080, Nov. 2, 1979]



Sec. 315.706  Certain nonpermanent employees of the Department of Energy.

    (a) General. Employees transferred to the Department of Energy under 
Public Law 95-91, who are serving in nonpermanent appointments made 
under competitive procedures of the former Atomic Energy Commission or 
Energy Research and Development Administration and are determined by the 
Department to be performing continuing functions, may be converted to 
career or career-conditional by OPM upon recommendation by the 
Department.
    (b) Tenure upon conversion. Employees converted under this section 
become career-conditional employees unless they have completed the 
service requirement for career tenure.
    (c) Acquisition of competitive status. A person whose employment is 
converted to career or career-conditional employment under this section 
acquires competitive status automatically.

[43 FR 14002, Apr. 4, 1978. Redesignated at 44 FR 63080, Nov. 2, 1979]



Sec. 315.707  Disabled veterans.

    (a) Eligibility. (1) Subject to requirements concerning 
qualifications and probationary period published by the Office, an 
agency may convert the employment of a disabled veteran who meets the 
conditions below to career or career-conditional employment from a time-
limited appointment of more than 60 days.
    (2) To be eligible for conversion under this paragraph, the veteran 
must:
    (i) Have been retired from active military service with a disability 
rating of 30 percent or more;
    (ii) Have been rated by the Veterans Administration within the 
preceding year as having a compensable service-connected disability of 
30 percent or more; or
    (iii) Have had such a rating by the Veterans Administration at the 
time of a qualifying temporary appointment effected within the year 
immediately preceding the conversion.
    (b) Tenure on conversion. (1) Except as provided in paragraph (b)(2) 
of this section, a person converted under paragraph (a) of this section 
becomes a career-conditional employee.
    (2) A person appointed under paragraph (a) of this section becomes a 
career employee if excepted from the service requirement for career 
tenure by Sec. 315.201(c).
    (c) Acquisition of competitive status. A person converted under 
paragraph (a) of this section acquires a competitive status 
automatically on completion of probation.

[44 FR 44813, July 31, 1979. Redesignated at 44 FR 63080, Nov. 2, 1979; 
66 FR 66710, Dec. 27, 2001]



Sec. 315.708   Conversion based on service as a Presidential Management Intern.

    (a) Agency authority. An agency may convert noncompetitively to 
career or career-conditional employment, a Presidential Management 
Intern who:
    (1) Has satisfactorily completed a 2-year Presidential Management 
Internship, under Sec. 213.3102(ii) of this chapter, at the time of 
conversion;
    (2) Is recommended for conversion within 90 calender days before 
completion of the Internship; and
    (3) Meets the citizenship requirement.
    (b) Tenure on conversion. (1) Except as provided in paragraph (b)(2) 
of this section, a person appointed under paragraph (a) of this section 
becomes a career-conditional employee.
    (2) A person appointed under paragraph (a) of this section becomes a 
career employee when he or she has completed the service requirement for 
career tenure or is excepted from it under Sec. 315.201(c) of this 
chapter.
    (c) Acquisition of competitive status. A person converted to career 
or career-conditional employment under this section does not serve 
probation and acquires competitive status immediately upon conversion.

[62 FR 44199, Aug. 20, 1997]

[[Page 165]]



Sec. 315.709  Employees who are mentally retarded, severely physically handicapped, or have psychiatric disabilities serving under Schedule A appointments.

    (a) Coverage. Employees appointed under Secs. 213.3102(t), (u), and 
(gg) of this chapter may have their appointments converted to career or 
career-conditional appointments when they:
    (1) Complete 2 or more years of satisfactory service, without a 
break of more than 30 days, under nontemporary Schedule A appointments.
    (2) Are recommended for conversion by their supervisors;
    (3) Meet all requirements and conditions governing career and 
career-conditional appointment except those requirements concerning 
competitive selection from a register and medical qualifications; and
    (4) Are converted without a break in service of one workday.
    (b) Tenure on conversion. An employee converted under paragraph (a) 
of this section becomes:
    (1) A career-conditional employee, except as provided in paragraph 
(b)(2) of this section;
    (2) A career employee if he or she has completed 3 years of 
substantially continuous service in nontemporary appointments under 
Secs. 213.3102(t), (u), or (gg) of this chapter, or has otherwise 
completed the service requirement for career tenure, or is excepted from 
it by Sec. 315.201(c).
    (c) Acquisition of competitive status. A person whose employment is 
converted to career or career-conditional employment under this section 
acquires a competitive status automatically on conversion.

[44 FR 66574, Nov. 20, 1979; 44 FR 72569, Dec. 14, 1979, as amended at 
65 FR 41868, July 7, 2000]



Sec. 315.710  Professional and administrative career employees serving under Schedule B appointments.

    (a) Coverage. This section covers employees serving in occupations 
that were covered by the Professional and Administrative Career 
Examination on August 30, 1982, and that were listed in the consent 
decree entered on November 19, 1981, by the U.S. District Court for the 
District of Columbia in the civil action known as Luevano v. Devine and 
numbered as No. 79-271. Those occupations are designated in these 
regulations as professional and administrative career (PAC) occupations 
or positions. OPM will publish a listing of PAC occupations.
    (b) Eligibility. An agency may, but is not required to, convert 
appointments of employees occupying PAC positions under nontemporary 
appointments effected under Sec. 213.3202(1) of this chapter to career 
or career-conditional appointments at the GS-9 level in any position in 
a PAC occupation when such employees--
    (1) Complete at least 1 year of Schedule B service at the GS-7 level 
that meets the quality of experience requirement for the GS-9 position 
in which converted (less than full-time service is credited according to 
the relation it bears to the full-time workweek);
    (2) Demonstrate performance that warrants conversion at GS-9 (a 
current performance rating of fully successful or better for the year 
immediately preceding conversion is necessary for this purpose);
    (3) Meet all requirements and conditions governing career and 
career-conditional appointment except those requirements concerning 
competitive selection from a register;
    (4) Are converted without a break in service of one workday or more; 
and
    (5) Are converted as a result of a deliberate decision by 
management.
    (c) Tenure on conversion. An employee converted under paragraph (a) 
of this section becomes--
    (1) A career-conditional employee, except as provided in paragraph 
(c)(2) of this section;
    (2) A career employee if he or she has completed 3 years of 
substantially continuous service in nontemporary appointments under 
Sec. 213.3202(l) of this chapter, or has otherwise completed the service 
requirement for career tenure, or is excepted from it by 
Sec. 315.201(c).
    (d) Acquisition of competitive status. A person whose employment is 
converted to career or career-conditional employment under this section 
acquires a

[[Page 166]]

competitive status automatically on conversion.

[52 FR 25194, July 6, 1987, as amended at 52 FR 43722, Nov. 15, 1987; 66 
FR 66710, Dec. 27, 2001]



Sec. 315.711  Readers, interpreters, and personal assistants serving under Schedule A appointments.

    (a) Agency authority. An agency may convert noncompetitively to 
career or career-conditional employment, a reader, interpreter, or 
personal assistant:
    (1) Who completed at least 1 year of satisfactory service in such a 
position under a non-temporary appointment under 5 CFR 213.3102(11); and
    (2) Whose employment in such a position is no longer necessary for 
reasons beyond management control, e.g. resignation or reassignment of 
the employee being assisted.
    (b) Tenure on appointment. (1) Except as provided in paragraph 
(b)(2) of this section, a person appointed under paragraph (a) of this 
section becomes a career-conditional employee.
    (2) A person appointed under paragraph (a) of this section becomes a 
career employee when he or she has completed the service requirement for 
career tenure or is excepted from it by Sec. 315.201(c).
    (c) Acquisition of competitive status. A person appointed under 
paragraph (a) of this section acquires a competitive status 
automatically on appointment.

[55 FR 12327, Apr. 3, 1990]



Sec. 315.712  Conversion based on service as a Career Intern

    (a) Agency authority. An agency may convert noncompetitively to 
career or career-conditional employment, a career intern who:
    (1) Has successfully completed a Career Intern Program, under 
Sec. 213.3202(o) of this chapter, at the time of conversion; and
    (2) Meets all citizenship, suitability and qualification 
requirements.
    (b) Tenure on conversion. An employee whose appointment is converted 
to career or career-conditional employment under paragraph (a) of this 
section becomes:
    (1) A career-conditional employee except as provided in paragraph 
(b)(2) of this section;
    (2) A career employee when he or she has completed the service 
requirement for career tenure or is excepted from it by Sec. 315.201(c).
    (c) Acquisition of competitive status. An employee whose employment 
is converted to career or career-conditional employment under this 
section acquires a competitive status automatically on conversion.

[65 FR 78079, Dec. 14, 2000]



Sec. 315.725  Disqualifications.

    Any law, executive order, or civil service rule or regulation which 
would disqualify an applicant for appointment shall also disqualify an 
employee for conversion of his employment to career or career-
conditional employment under this subpart.

[33 FR 12418, Sept. 4, 1968. Redesignated at 44 FR 63080, Nov. 2, 1979]



  Subpart H--Probation on Initial Appoinment to a Competitive Position



Sec. 315.801  Probationary period; when required.

    (a) The first year of service of an employee who is given a career 
or career-conditional appointment under this part is a probationary 
period when the employee:
    (1) Was appointed from a competitive list of eligibles established 
under subpart C of this part;
    (2) Was reinstated under subpart D of this part unless during any 
period of service which affords a current basis for reinstatement, the 
employee completed a probationary period or served with competitive 
status under an appointment which did not require a probationary period.
    (b) A person who is:
    (1) Transferred under Sec. 315.501; or
    (2) Promoted, demoted, or reassigned; before he completed probation 
is required to complete the probationary period in the new position.
    (c) A person who is reinstated from the Reemployment Priority List 
to a position in the same agency and the same commuting area does not 
have to serve a new probationary period, but, if separated during 
probation, is required

[[Page 167]]

to complete the probationary period in the new position.
    (d) Upon noncompetitive appointment to the competitive service under 
the Postal Reorganization Act (39 U.S.C. 101 et seq.), an employee of 
the Postal Career Service (including substitute and part-time flexible) 
who has not completed 1 year of Postal service, must serve the remainder 
of a 1-year probationary period in the new agency.
    (e) A person who is appointed to the competitive service either by 
special appointing authority or by conversion under subparts F or G of 
this part serves a 1-year probationary period unless specifically exempt 
from probation by the authority itself.

[33 FR 12418, Sept. 4, 1968, as amended at 39 FR 962, Jan. 4, 1974; 45 
FR 43365, June 27, 1980; 60 FR 54504, Oct. 16, 1995; 65 FR 14432, Mar. 
17, 2000]



Sec. 315.802  Length of probationary period; crediting service.

    (a) The probationary period required by Sec. 315.801 is 1 year and 
may not be extended.
    (b) Prior Federal civilian service (including nonappropriated fund 
service) counts toward completion of probation when the prior service:
    (1) Is in the same agency, e.g., Department of the Army;
    (2) Is in the same line of work (determined by the employee's actual 
duties and responsibilities); and
    (3) Contains or is followed by no more than a single break in 
service that does not exceed 30 calendar days.
    (c) Periods of absence while in a pay status count toward completion 
of probation. Absence in nonpay status while on the rolls (other than 
for compensable injury or military duty) is creditable up to a total of 
22 workdays. Absence (whether on or off the rolls) due to compensable 
injury or military duty is creditable in full upon restoration to 
Federal service. Nonpay time in excess of 22 workdays extends the 
probationary period by an equal amount. An employee serving probation 
who leaves Federal service to become a volunteer with the Peace Corps or 
the Corporation for National and Community Service serves the remainder 
of the probationary period upon reinstatement provided the employee is 
reinstated within 90 days of termination of service as a volunteer or 
training for such service.
    (d) The probationary period for part-time employees is computed on 
the basis of calendar time, in the same manner as for full-time 
employees. For intermittent employees, i.e., those who do not have 
regularly scheduled tours of duty, each day or part of a day in pay 
status counts as 1 day of credit toward the 260 days in a pay status 
required for completion of probation. (However, the probationary period 
cannot be completed in less than 1 year of calendar time.)

[60 FR 53504, Oct. 16, 1995]



Sec. 315.803  Agency action during probationary period (general).

    The agency shall utilize the probationary period as fully as 
possible to determine the fitness of the employee and shall terminate 
his services during this period if he fails to demonstrate fully his 
qualifications for continued employment.



Sec. 315.804  Termination of probationers for unsatisfactory performance or conduct.

    (a) When an agency decides to terminate an employee serving a 
probationary or trial period because his work performance or conduct 
during this period fails to demonstrate his fitness or his 
qualifications for continued employment, it shall terminate his services 
by notifying him in writing as to why he is being separated and the 
effective date of the action. The information in the notice as to why 
the employee is being terminated shall, as a minimum, consist of the 
agency's conclusions as to the inadequacies of his performance or 
conduct.
    (b) Probation ends when the employee completes his or her scheduled 
tour of duty on the day before the anniversary date of the employee's 
appointment. For example, when the last workday is a Friday and the 
anniversary date is the following Monday, the probationer must be 
separated before the end of the tour of duty on Friday since Friday 
would be the last day the employee actually has to demonstrate fitness 
for further employment.

[33 FR 12418, Sept. 4, 1988, as amended at 60 FR 53505, Oct. 16, 1995]

[[Page 168]]



Sec. 315.805  Termination of probationers for conditions arising before appointment.

    When an agency proposes to terminate an employee serving a 
probationary or trial period for reasons based in whole or in part on 
conditions arising before his appointment, the employee is entitled to 
the following:
    (a) Notice of proposed adverse action. The employee is entitled to 
an advance written notice stating the reasons, specifically and in 
detail, for the proposed action.
    (b) Employee's answer. The employee is entitled to a reasonable time 
for filing a written answer to the notice of proposed adverse action and 
for furnishing affidavits in support of his answer. If the employee 
answers, the agency shall consider the answer in reaching its decision.
    (c) Notice of adverse decision. The employee is entitled to be 
notified of the agency's decision at the earliest practicable date. The 
agency shall deliver the decision to the employee at or before the time 
the action will be made effective. The notice shall be in writing, 
inform the employee of the reasons for the action, inform the employee 
of his right of appeal to the Merit Systems Protection Board (MSPB), and 
inform him of the time limit within which the appeal must be submitted 
as provided in Sec. 315.806(d).



Sec. 315.806  Appeal rights to the Merit Systems Protection Board.

    (a) Right of appeal. An employee may appeal to the Merit Systems 
Protection Board in writing an agency's decision to terminate him under 
Sec. 315.804 or Sec. 315.805 only as provided in paragraphs (b) and (c) 
of this section. The Merit Systems Protection Board review is confined 
to the issues stated in paragraphs (b) and (c) of this section.
    (b) On discrimination. An employee may appeal under this paragraph a 
termination not required by statute which he or she alleges was based on 
partisan political reasons or marital status.
    (c) On improper procedure. A probationer whose termination is 
subject to Sec. 315.805 may appeal on the ground that his termination 
was not effected in accordance with the procedural requirements of that 
section.
    (d) An employee may apeal to the Board under this section a 
termination which the employee alleges was based on discrimination 
because of race, color, religion, sex, or national origin; or age 
(provided that at the time of the alleged discriminatory action the 
employee was at least 40 years of age); or handicapping condition if the 
individual meets the definition of ``handicapped person'' as set forth 
in regulations of the Equal Employment Opportunity Commission at 29 CFR 
1613.702(a). An appeal alleging a discriminatory termination may be 
filed under this subsection only if such discrimination is raised in 
addition to one of the issues stated in paragraph (b) or (c) of this 
section.

[33 FR 12418, Sept. 4, 1968, as amended at 40 FR 15380, Apr. 7, 1975; 44 
FR 48951, Aug. 21, 1979; 55 FR 29339, July 19, 1990]



    Subpart I--Probation on Initial Appointment to a Supervisory or 
                           Managerial Position

    Source: 44 FR 44811, July 31, 1979, unless otherwise noted.



Sec. 315.901  Statutory requirement.

    5 U.S.C. 3321 provides for ``a period of probation . . . before 
initial appointment as a supervisor or manager becomes final.'' It also 
says that a supervisor or manager ``who does not satisfactorily complete 
the probationary period . . . shall be returned to a position of no 
lower grade and pay than the position from which the individual was 
transferred, assigned or promoted.'' This subpart contains OPM 
regulations implementing those requirements of law.



Sec. 315.902  Definitions.

    In this subpart supervisory position and managerial position have 
the meaning given them by the General Schedule Supervisory Guide.

[60 FR 53505, Oct. 16, 1995]



Sec. 315.903  Coverage.

    This subpart applies to appointments and positions without time 
limitation in the competitive civil service. Agencies may, at their 
option, apply these

[[Page 169]]

provisions to time-limited appointments and positions. This subpart does 
not apply to appointments or positions in the Senior Executive Service.



Sec. 315.904  Basic requirement.

    (a) An employee is required to serve a probationary period 
prescribed by the agency upon initial appointment to a supervisory and/
or managerial position.
    (b) An employee is required to complete a single probationary period 
in a supervisory position and a single probationary period in a 
managerial position, regardless of the number of agencies, occupations, 
or positions in which the employee serves. However, an agency may by 
regulation provide for exceptions to the probationary period for 
managers who have satisfactorily completed a probationary period for 
supervisors when justified on the basis of performance and experience.
    (c) Employees who, as of the date this requirement is effective, are 
serving or have served in Federal civilian supervisory or managerial 
positions without time limitation, or in time-limited supervisory or 
managerial positions under an official assignment exceeding 120 days, 
are exempt from its provisions, except that supervisors who are assigned 
to managerial positions may, according to agency regulations, be 
required to serve a probationary period for managers.



Sec. 315.905  Length of the probationary period.

    The authority to determine the length of the probationary period is 
delegated to the head of each agency, provided that it be of reasonable 
fixed duration, appropriate to the position, and uniformly applied. An 
agency may establish different probationary periods for different 
occupations or a single one for all agency employees.



Sec. 315.906  Crediting service toward completion of the probationary period.

    (a) An employee who is reassigned, transferred, or promoted to 
another supervisory or managerial position while serving a probationary 
period under this subpart is subject to the probationary period 
prescribed for the new position. Service in the former position counts 
toward completion of the probationary period in the new position. If the 
former position was supervisory and the new position managerial, service 
counts in the manner prescribed by agency regulation.
    (b) Service on detail, temporary promotion, or reassignment to 
another supervisory or managerial position while serving probation is 
creditable toward completion of probation. Service in a nonsupervisory 
or nonmanagerial position is not creditable.
    (c) Absence in nonpay status while on the rolls (other than for 
compensable injury or military duty) is creditable up to a total of 22 
workdays. Absence (whether on or off the rolls) due to compensable 
injury or military duty is creditable in full upon restoration to 
Federal service. Nonpay time in excess of 22 workdays extends the 
probationary period by an equal amount.
    (d) Service during a probationary period from which an employee was 
separated or demoted for performance or conduct reasons does not count 
toward completion of probation required under a subsequent appointment. 
In other situations in which an employee does not complete probation, 
service is creditable as determined by agency policy.
    (e) Temporary service in a supervisory or managerial position under 
temporary appointment, promotion, or reassignment prior to probation is 
creditable as determined by agency policy. Prior service under a detail 
may be credited only when a detail to a supervisory or managerial 
position is made permanent without a break in service.

[44 FR 44811, July 31, 1979, as amended at 60 FR 53505, Oct. 16, 1995]



Sec. 315.907  Failure to complete the probationary period.

    (a) Satisfactory completion of the prescribed probationary period is 
a prerequisite to continued service in the position. An employee who, 
for reasons of supervisory or managerial performance, does not 
satisfactorily complete the probationary period is entitled to be 
assigned, except as provided in paragraph (b) of this section, to a 
position in the agency of no lower grade and pay than the one the 
employee left to

[[Page 170]]

accept the supervisory or managerial position.
    (b) A nonsupervisory or nonmanagerial employee who is demoted into a 
position in which probation under Sec. 315.904 is required and who, for 
reasons of supervisory or managerial performance, does not 
satisfactorily complete the probationary period is entitled to be 
assigned to a position at the same grade and pay as the position in 
which he or she was serving probation. The employee is eligible for 
repromotion in accordance with agency promotion policy.
    (c) The agency must notify the employee in writing that he or she is 
being assigned in accordance with this section.

[49 FR 39287, Oct. 5, 1984, as amended at 60 FR 53505, Oct. 16, 1995]



Sec. 315.908  Appeals.

    (a) An employee who, in accordance with the provisions of this 
subpart, is assigned to a nonmanagerial or nonsupervisory position, has 
no appeal right.
    (b) An employee who alleges that an agency action under this subpart 
was based on partisan political affiliation or marital status, may 
appeal to the Merit Systems Protection Board.



Sec. 315.909  Relationship to other actions.

    (a) If an employee is required to concurrently serve both a 
probationary period under this subpart and a probationary period under 
subpart H of this part, the latter takes precedence and completion of 
the probationary period for competitive appointment and fulfills the 
requirements of this subpart.
    (b) An action which demotes an employee to a lower grade than the 
one the employee left to accept the supervisory or managerial position, 
and an action against an employee for reasons other than supervisory or 
managerial performance, is governed by part 432 or part 752 procedures, 
whichever is applicable. If the employee believes an action under this 
subpart was based on improper discrimination or other prohibited 
practices under 5 U.S.C. 2302, he or she may appeal to the Merit Systems 
Protection Board or the Equal Employment Opportunity Commission, as 
appropriate.



PART 316--TEMPORARY AND TERM EMPLOYMENT--Table of Contents




Subparts A-B [Reserved]

                       Subpart C--Term Employment

Sec.
316.301 Purpose and duration.
316.302 Selection of term employees.
316.303 Tenure of term employees.
316.304 Trial period.

                 Subpart D--Temporary Limited Employment

316.401 Purpose and duration.
316.402 Procedures for making temporary appointments.
316.403 Designation of provisional appointments.

Subpart E [Reserved]

  Subpart F--Appointment Without Competitive Examination in Rare Cases

316.601 Appointment without competitive examination in rare cases.

    Subpart G--Retention of Incumbents of Positions Brought Into the 
                           Competitive Service

316.701 Public or private enterprise taken over by Government.
316.702 Excepted positions brought into the competitive service.
316.703 Effect on tenure of position change of status quo employees.

Subpart H [Reserved]

    Authority: 5 U.S.C. 3301, 3302; E.O. 10577, 3 CFR, 1954-1958 Comp., 
p. 218.

    Source: 33 FR 12423, Sept. 4, 1968, unless otherwise noted.

Subparts A-B [Reserved]



                       Subpart C--Term Employment



Sec. 316.301  Purpose and duration.

    (a) An agency may make a term appointment for a period of more than 
1 year but not more than 4 years to positions where the need for an 
employee's services is not permanent. Reasons for making a term 
appointment include, but are not limited to: project work, extraordinary 
workload, scheduled

[[Page 171]]

abolishment, reorganization, contracting out of the function, 
uncertainty of future funding, or the need to maintain permanent 
positions for placement of employees who would otherwise be displaced 
from other parts of the organization. Agencies may extend appointments 
made for more than 1 year but less than 4 years up to the 4-year limit 
in increments determined by the agency. The vacancy announcement should 
state that the agency has the option of extending a term appointment up 
to the 4-year limit.
    (b) OPM may authorize exceptions beyond the 4-year limit when the 
extension is clearly justified and is consistent with applicable 
statutory provisions. Requests to make and/or extend appointments beyond 
the 4-year limit must be initiated by the employing office and sent to 
the appropriate OPM service center.

[63 FR 63783, Nov. 17, 1998]



Sec. 316.302  Selection of term employees.

    (a) Competitive term appointments. An agency may make a term 
appointment under part 332 of this title, by using competitive 
procedures, or under part 337 of this title, by using direct-hire 
procedures, as appropriate.
    (b) Noncompetitive term appointment. An agency may give a 
noncompetitive term appointment, without regard to the requirements of 
parts 332 and 333 of this chapter, to an individual who is qualified for 
the position and who is eligible for:
    (1) Reinstatement under Sec. 315.401 of this chapter;
    (2) Veterans readjustment appointment (VRA) under Sec. 307.103 of 
this chapter. Term appointments under this section are permitted only at 
the grade levels authorized for VRA appointments. Such appointments are 
competitive service appointments not excepted VRA appointments and do 
not lead to conversion to career-conditional appointment;
    (3) Career or career-conditional appointment under Secs. 315.601, 
315.604, 315.605, 315.606, 315.607, 315.608, 315.609, 315.703, or 
315.711 of this chapter;
    (4) Appointment under 5 U.S.C. 3112 (veterans with compensable 
service-connected disability of 30% or more). The disability must be 
documented by a notice of retirement of discharge due to service-
connected disability from active military service dated at any time, or 
by a notice of compensable disability rating from the Department of 
Veterans Affairs, dated within the last 12 months;
    (5) Appointment under 31 U.S.C. 732(g) for current and former 
employees of the General Accounting Office;
    (6) Appointment under 28 U.S.C. 602 for current and former employees 
of the Administrative Office of the U.S. Courts;
    (7) Reappointment on the basis of having left a term appointment 
prior to serving the 4-year maximum amount of time allowed under the 
appointment. Reappointment must be to a position in the same agency 
appropriate for filling under term appointment and for which the 
individual qualifies. Combined service under the original term 
appointment and reappointment must not exceed the 4-year limit; or
    (8) Conversion in the same agency from a current temporary 
appointment when the employee is or was within reach on a certificate of 
eligibles for term appointment at any time during service in the 
temporary position. Within reach means that the person could have been 
selected for the position under competitive hiring procedures, including 
veterans' preference. The certificate must have been actually used for 
term appointment. The person must have been continuously employed in the 
position from the date found within reach to the date converted to a 
term appointment.
    (c) Term employees are eligible for an extension of their 
appointment in accordance with the time limits in Sec. 316.301 even if 
their eligibility for noncompetitive appointment expires or is lost 
during the period they are serving under term employment.

[63 FR 63783, Nov. 17, 1998, as amended at 68 FR 35268, June 13, 2003]



Sec. 316.303  Tenure of term employees.

    (a) A term employee does not acquire a competitive status on the 
basis of his term appointment.
    (b) The employment of a term employee ends automatically on the 
expiration of his term appointment unless

[[Page 172]]

he has been separated earlier in accordance with this chapter.



Sec. 316.304  Trial period.

    (a) The first year of service of a term employee is a trial period 
regardless of the method of appointment. Prior Federal civilian service 
is credited toward completion of the required trial period in the same 
manner as prescribed by Sec. 315.802 of this chapter.
    (b) The agency may terminate a term employee at any time during the 
trial period. The employee is entitled to the procedures set forth in 
Sec. 315.804 or Sec. 315.805 of this chapter as appropriate.

[33 FR 12423, Sept. 4, 1968, as amended at 63 FR 63783, Nov. 17, 1998]



                 Subpart D--Temporary Limited Employment



Sec. 316.401  Purpose and duration.

    (a) Appropriate use. An agency may make a temporary limited 
appointment--
    (1) To fill a short-term position (i.e., one that is not expected to 
last longer than 1 year);
    (2) To meet an employment need that is scheduled to be terminated 
within the timeframe set out in paragraph (c) of this section for such 
reasons as abolishment, reorganization, or contracting of the function, 
anticipated reduction in funding, or completion of a specific project or 
peak workload; or
    (3) To fill positions on a temporary basis when the positions are 
expected to be needed for placement of permanent employees who would 
otherwise be displaced from other parts of the organization.
    (b) Certification of appropriate use. The supervisor of each 
position filled by temporary appointment must certify that the 
employment need is truly temporary and that the proposed appointment 
meets the regulatory time limits. This certification may constitute 
appropriate documentation of compliance with the limits set out in 
paragraph (c) of this section. The reason(s) for making a temporary 
limited appointment must be stated on the form documenting each such 
appointment.
    (c) Time limits--general. (1) An agency may make a temporary 
appointment for a specified period not to exceed 1 year. The appointment 
may be extended up to a maximum of 1 additional year (24 months of total 
service). Appointment to a successor position (i.e., to a position that 
replaces and absorbs the position to which an individual was originally 
appointed) is considered to be an extension of the original appointment. 
Appointment to a position involving the same basic duties and in the 
same major subdivision of the agency and same local commuting area as 
the original appointment is also considered to be an extension of the 
original appointment.
    (2) An agency may not fill a position by temporary appointment if 
that position has previously been filled by temporary appointment(s) for 
an aggregate of 2 years, or 24 months, within the preceding 3-year 
period.
    (d) Exceptions to general time limits. (1) Agencies may make and 
extend temporary appointments to positions involving intermittent or 
seasonal work without regard to the requirements in paragraph (c) of 
this section, provided that:
    (i) Appointments and extensions are made in increments of 1 year or 
less.
    (ii) Employment in the same or a successor position under this and 
any other appointing authority totals less than 6 months (1,040 hours), 
excluding overtime, in a service year. The service year is the calendar 
year that begins on the date of the employee's initial appointment in 
the agency. Should employment in a position filled under this exception 
total 6 months or more in any service year, the provisions of paragraph 
(c) of this section will apply to subsequent extension or reappointment 
unless OPM approves continued exception under this section. An 
individual may be employed for training for up to 120 days following 
initial appointment and up to 2 weeks a year thereafter without regard 
to the service year limitation.
    (2) OPM will authorize exceptions to the limits set out in paragraph 
(c) of this section only when necessitated by major reorganizations or 
base closings or other unusual circumstances. Requests based on major 
reorganization,

[[Page 173]]

base closing, restructuring, or other unusual circumstances that apply 
agencywide must be made by an official at the headquarters level of the 
Department or agency. Requests involving extension of appointments to a 
specific position or project based on other unusual circumstances may be 
submitted by the employing office to the appropriate OPM service center.

[59 FR 46898, Sept. 13, 1994]



Sec. 316.402  Procedures for making temporary appointments.

    (a) Competitive temporary appointments. In accordance with the time 
limits in Sec. 316.401 of this chapter, an agency may make a temporary 
appointment under part 332 of this title, by using competitive 
procedures, or under part 337 of this title, by using direct-hire 
procedures, as appropriate.
    (b) Noncompetitive temporary appointments. In accordance with the 
time limits in Sec. 316.401, an agency may give a noncompetitive 
temporary appointment, without regard to the requirements of parts 332 
and 333 of this chapter, to an individual who is qualified for the 
position and who is eligible for:
    (1) Reinstatement under Sec. 315.401 of this chapter;
    (2) Veterans readjustment appointment under Sec. 307.103 of this 
chapter. Temporary limited appointments under this section are permitted 
only at the grade levels authorized for VRA appointments. Such 
appointments are not VRA appointments and do not lead to conversion to 
career-conditional appointment;
    (3) Career-conditional appointment under Secs. 315.601, 315.604, 
315.605, 315.606, 315.607, 315.608, 315.609, or 315.711 of this chapter;
    (4) Appointment under 5 U.S.C. 3112 (veterans with compensable 
service-connected disability of 30% or more). The disability must be 
documented by a notice of retirement of discharge due to service-
connected disability from active military service dated at any time, or 
by a notice of compensable disability rating from the Department of 
Veterans Affairs, dated within the last 12 months;
    (5) Appointment under 31 U.S.C. 732(g) for current and former 
employees of the General Accounting Office;
    (6) Appointment under 28 U.S.C. 602 for current and former employees 
of the Administrative Office of the U.S. Courts;
    (7) Reappointment on the basis of being a former temporary employee 
of the agency who was originally appointed from a certificate of 
eligibles or under the provisions of part 333 of this chapter. An agency 
may not reappoint a former temporary employee if the individual has 
already served the maximum time allowed in Sec. 316.401 or if the 
position has been filled under temporary appointment for the maximum 
time allowed in Sec. 316.401. Reappointment must be to the same position 
or another position appropriate for temporary appointment with the same 
qualification requirements;
    (8) Reappointment on the basis of being a former temporary employee 
who was originally appointed from a certificate of eligibles or under 
the provisions of part 333 of this chapter and who sustained a 
compensable injury while serving on the temporary appointment. 
Reappointment must be to the same position or another position 
appropriate for temporary appointment with the same qualification 
requirements. If the compensable injury disqualifies the former 
individual from performing such a position, reappointment may be to any 
position for which the individual is qualified. Reappointment must be 
for a minimum of 120 days.
    (c) Extension of temporary appointments. An individual who receives 
a valid temporary appointment will be eligible for an extension in 
accordance with Sec. 316.401 even if his or her eligibility for 
noncompetitive appointment expires or is lost during the authorized 
period of temporary employment.

[63 FR 63784, Nov. 17, 1998, as amended at 68 FR 35268, June 13, 2003]



Sec. 316.403  Designation of provisional appointments.

    (a) Conditions for designation. An agency may designate a temporary 
appointment as a provisional appointment only when all of the following 
conditions are met:
    (1) The appointment is made to fill a continuing position by a 
provisional

[[Page 174]]

appointment leading to permanent appointment when the position must be 
filled more quickly than would be possible under the procedures required 
for nontemporary appointment or when such a provisional appointment is a 
requirement of the applicable authority;
    (2) The agency must have current budgetary and appointing authority 
for the nontemporary appointment (assuming satisfactory completion of 
the required procedures); and
    (3) The agency must have a specific intention to convert the 
appointee to a nontemporary appointment under appropriate authority 
before the expiration of the temporary appointment, must state this 
intention in any written offer of employment and document this intention 
as part of the permanent record of the initial appointment in accordance 
with instructions issued by OPM.
    (b) Authority for provisional appointments. Provisional appointments 
must be made under an authority established by law, Executive order, or 
regulation or granted by OPM. Appointments which may be treated as 
provisional appointments under this paragraph may be made under any 
appropriate authority, including, but not limited to:
    (1) Noncompetitive temporary appointments of disabled veterans under 
Sec. 316.402(b)(5), when the appointments are intended to afford 
eligibility for conversion in accordance with Sec. 315.707 of this 
chapter and section 3112 of title 5, United States Code;
    (2) Temporary appointments of nurses in the Department of Veterans 
Affairs, when the appointments are made under the provisions of section 
4114 of title 38, United States Code, with the intention of converting 
the appointees to continuing appointments as soon as the appointees 
obtain required State certification or registration and/or the agency 
completes necessary verification of references;
    (3) Temporary transitional Schedule C appointments made under 
Sec. 213.3302 of this chapter, when the appointees are to be converted 
to nontemporary Schedule C appointments upon OPM approval and completion 
of necessary clearances.
    (4) Senior Executive Service limited term and limited emergency 
appointments made under Sec. 317.601 of this chapter, when the 
appointees are to be converted to nontemporary appointments in the 
Senior Executive Service or to nontemporary Presidential appointments, 
upon further action, such as OPM approval, White House clearance, and/or 
confirmation by the Senate; and
    (5) Temporary appointments of severely physically handicapped 
individuals, when such appointments are required to demonstrate 
qualifications for nontemporary appointment under Sec. 213.3102(u) of 
this chapter, and when the appointees will be converted to such 
nontemporary appointment upon successful performance in the trial 
position.

[56 FR 10142, Mar. 11, 1991, as amended at 60 FR 35120, July 6, 1995; 63 
FR 63784, Nov. 17, 1998; 66 FR 66710, Dec. 27, 2001]

Subpart E [Reserved]



  Subpart F--Appointment Without Competitive Examination in Rare Cases



Sec. 316.601  Appointment without competitive examination in rare cases.

    (a) An agency may make an appointment without competitive 
examination when:
    (1) The duties and compensation of the position are such, or 
qualified persons are so rare, that in the interest of good civil 
service administration the position cannot be filled through open 
competitive examination;
    (2) The person to be appointed meets all applicable qualification 
requirements for the position; and
    (3) The appointment is specifically authorized by the Office or is 
made under an agreement between the agency and the Office providing for 
such appointments.
    (b) A person appointed under paragraph (a) of this section does not 
acquire a competitive status on the basis of that appointment.
    (c) When a position filled under paragraph (a) of this section 
becomes vacant, the agency may fill the vacancy by another appointment 
under paragraph (a) of this section only if the

[[Page 175]]

conditions of paragraph (a)(3) of this section are again met.

[44 FR 55132, Sept. 25, 1979]



    Subpart G--Retention of Incumbents of Positions Brought Into the 
                           Competitive Service



Sec. 316.701  Public or private enterprise taken over by Government.

    (a) When the Office, or an agency acting under an agreement with the 
Office, finds that the Federal Government has taken over a public or 
private enterprise, or an identifiable unit thereof, and that a position 
has thereby been brought into the competitive service, the agency may 
retain the incumbent of the position.
    (b)(1) When an agency retains an employee under paragraph (a) of 
this section in a position which it determines to be a continuing one, 
the agency gives the employee a status quo appointment and shall decide 
on a timely basis whether it will convert that individual's employment 
to career or career-conditional under Sec. 315.701 of this chapter.
    (2) When an agency decides not to effect conversion under 
Sec. 315.701 of this chapter, or the employee fails to qualify for 
conversion, the agency, in its discretion, may retain the employee as a 
status quo employee.
    (c) An agency may retain an employee under paragraph (a) of this 
section in a position that it determines is noncontinuing under a 
temporary appointment. That appointment may be made for a period not to 
exceed 1 year and will be subject to the time limits set out in 
Sec. 316.402.

[44 FR 55133, Sept. 25, 1979, as amended at 60 FR 39101, Aug. 1, 1995; 
63 FR 63784, Nov. 17, 1998]



Sec. 316.702  Excepted positions brought into the competitive service.

    (a) When the Office, or an agency acting under an agreement with the 
Office, finds that an excepted position has been brought into the 
competitive service by statute, Executive order, or the revocation of an 
exception under Civil Service Rule VI (Sec. 6.6 of this chapter), or is 
otherwise made subject to competitive examination, the agency may retain 
the incumbent of the position.
    (b)(1) When an agency retains an employee under paragraph (a) of 
this section who was serving in an excepted position under an indefinite 
appointment or an appointment without time limit, the agency gives the 
employee a status quo appointment and may convert that employee's 
appointment to career or career-conditional under Sec. 315.701 of this 
chapter.
    (2) When the agency decides not to effect conversion under 
Sec. 315.701 of this chapter, or the employee fails to to qualify for 
conversion, the agency, in its discretion, may retain the employee as a 
status quo employee.
    (c) An employee who was serving under an excepted appointment 
limited to 1 year or less may be retained as a temporary employee under 
paragraph (a) of this section until the scheduled expiration date of the 
employee's excepted appointment. Extension of the employee's temporary 
appointment beyond that date will be subject to the provisions of 
Sec. 316.402.
    (d) An employee who was serving under an excepted appointment with a 
definite time limit longer than 1 year may be retained under a term 
appointment. The term appointment is subject to all conditions and time 
limits applicable to term appointments. Service under excepted 
appointment does not count against the maximum time limit for term 
appointment in the competitive service.

[44 FR 55133, Sept. 25, 1979, as amended at 60 FR 39101, Aug. 1, 1995; 
63 FR 63784, Nov. 17, 1998]



Sec. 316.703  Effect on tenure of position change of status quo employees.

    (a) A status quo employee who is promoted, demoted, or reassigned 
becomes:
    (1) An indefinite employee when the position change occurs while he 
is not serving overseas; or
    (2) An overseas limited employee when the position change occurs 
while he is serving overseas.
    (b) An employee referred to in paragraph (a) of this section who is 
changed back to his status quo position becomes a status quo employee.

[[Page 176]]

Subpart H [Reserved]



PART 317--EMPLOYMENT IN THE SENIOR EXECUTIVE SERVICE--Table of Contents




Subpart A [Reserved]

                      Subpart B--General Provisions

Sec.
317.201 Regulatory requirements.

          Subpart C--Conversion to the Senior Executive Service

317.301 Conversion coverage.
317.302 Conversion procedures.
317.303 Status of employees who decline voluntary conversion to the 
          Senior Executive Service.
317.304 Conversion of career and career-type appointees.
317.305 Conversion of excepted appointees.
317.306 Conversion of employees under time limited appointments.

                   Subpart D--Qualifications Standards

317.401 General.
317.402 Career reserved positions.
317.403 General positions.
317.404 Retention of qualifications standards.

                     Subpart E--Career Appointments

317.501 Recruitment and selection for initial SES career appointment be 
          achieved from the brightest and most diverse pool possible.
317.502 Qualifications Review Board certification.
317.503 Probationary period.
317.504 Agency recertification.

              Subpart F--Noncareer and Limited Appointments

317.601 Authorization.
317.602 Conditions of a limited appointment.
317.603 Selection.
317.604 Reassignment.
317.605 Tenure of appointees.

           Subpart G--SES Career Appointment by Reinstatement

317.701 Agency authority.
317.702 General reinstatement: SES career appointees.
317.703 Guaranteed reinstatement: Presidential appointees.

                 Subpart H--Retention of SES Provisions

317.801 Retention of SES provisions.

            Subpart I--Reassignments, Transfers, and Details

317.901 Reassignments.
317.902 Transfers.
317.903 Details.
317.904 Change in type of SES appointment.

                      Subpart J--Corrective Action

317.1001 OPM authority for corrective action.

    Authority: 5 U.S.C. 3392, 3393, 3393a, 3395, 3397, 3593, 3595 and 
3596.

Subpart A [Reserved]



                      Subpart B--General Provisions



Sec. 317.201  Regulatory requirements.

    This part contains the regulations of the Office of Personnel 
Management which implement the following provisions of law:
    (a) Section 413 of title IV of the Civil Service Reform Act of 1978;
    (b) Subchapter VIII of chapter 33 of title 5, U.S.C. on appointment, 
reassignment, and transfer in the Senior Executive Service; and
    (c) Subchapter V of chapter 35 of title 5, U.S.C. on reinstatement 
to the Senior Executive Service.

[45 FR 8541, Feb. 8, 1980]



          Subpart C--Conversion to the Senior Executive Service

    Source: 45 FR 8541, Feb. 8, 1980, unless otherwise noted.



Sec. 317.301  Conversion coverage.

    (a) When applicable. These conversion provisions apply in the 
following circumstances.
    (1) The implementation of the Senior Executive Service effective on 
July 13, 1979, and the initial conversions thereto.
    (2) The implementation of the Senior Executive Service in an agency 
following the revocation of that agency's Presidential exclusion under 5 
U.S.C. 3132(e). The Office of Personnel Management shall determine the 
date on which conversions under this authority shall become effective. 
Generally, this

[[Page 177]]

will be no later than six months following the effective date of the 
revocation of the Presidential exclusion.
    (3) The implementation of the Senior Executive Service in a formerly 
excluded agency following statutory action extending coverage under 5 
U.S.C. 3132(a)(1) to that agency. Except as otherwise provided by law, 
the Office of Personnel Management shall determine the date on which 
conversions under this authority shall become effective. Generally, this 
will be no later than six months following the effective date of the 
statutory action extending coverage under 5 U.S.C. 3132(a)(1).
    (4) The implementation of the SES in a formerly excluded agency when 
OPM determines that the agency is an ``Executive agency'' under 5 U.S.C. 
3132(a)(1).
    (5) The exercise of a reemployment right by an individual who at the 
time of his/her former agency's implementation of the Senior Executive 
Service was under a reemployment agreement to a position in that agency 
which meets the grade level and functional criteria for inclusion under 
the Senior Executive Service. The effective date of a conversion under 
this authority is prescribed by Sec. 317.302(d)(5).
    (b) Employees covered. This subpart covers:
    (1) An employee serving in a position at the time it is designated a 
Senior Executive Service position;
    (2) An individual appointed or reinstated to a position after it has 
been designated a Senior Executive Service position;
    (3) An employee transferred, promoted, voluntarily reassigned or 
voluntarily demoted to a position after it has been designated a Senior 
Executive Service position;
    (4) An employee involuntarily reassigned or involuntarily demoted to 
a position after it has been designated a Senior Executive Service 
position; and
    (5) An employee serving in a position which meets the grade level 
but not the functional criteria for designation as a Senior Executive 
Service position.
    (6) An employee appointed in his/her former agency under a 
reemployment right provided, however, that the employee was under a 
reemployment agreement at the time the Senior Executive Service was 
implemented in his/her former agency and that the reemployment right was 
to a position which meets the grade level and functional criteria for 
inclusion under the Senior Executive Service.
    (c) Employees excluded. The following employees are excluded from 
coverage of this subpart and are not entitled to conversion to the 
Senior Executive Service.
    (1) An employee in a position designated as Senior Executive Service 
who is serving under a time limited appointment which will terminate 
before the operational date of the Senior Executive Service.
    (2) An employee serving under a temporary promotion, detail, or 
temporary assignment in a position designated as Senior Executive 
Service unless the position which the employee encumbered on a permanent 
basis just prior to the current temporary action has been designated as 
Senior Executive Service.

[45 FR 8541, Feb. 8, 1980, as amended at 60 FR 6385, Feb. 2, 1995]



Sec. 317.302  Conversion procedures.

    (a) Employees appointed prior to designation; employees 
involuntarily reassigned or demoted after designation--(1) Notice. Each 
employee covered by this subpart who was appointed prior to the 
designation of his/her position as a Senior Executive Service position, 
or who was involuntarily reassigned or involuntarily demoted to a 
position after it was designated a Senior Executive Service position, 
shall be given a written notice which includes the following 
information:
    (i) A statement that the employee's position has been designated as 
either ``general'' or ``career reserved'';
    (ii) A statement that the employee is being offered an appointment 
under the Senior Executive Service or that the employee is not being 
offered an appointment under the Senior Executive Service but will be 
separated from the civil service pursuant to Sec. 317.305(b)(4) or 
Sec. 317.306(b)(4); If the employee is offered conversion, the notice 
shall also include:
    (iii) A statement that the employee has 90 calendar days from the 
date of receipt of the written notice to elect either to join the Senior 
Executive

[[Page 178]]

Service or to remain in his/her current appointment system;
    (iv) Identification of the position, SES pay rate, and kind of 
appointment which the employee will receive if the employee elects to 
convert to the Senior Executive Service;
    (v) For excepted appointees who have reinstatement eligibility to a 
position in the competitive service, or, as determined by the Office of 
Personnel Management, have substantial career-oriented service under 
career-type appointments as defined in Sec. 317.304(a)(2), a statement 
that the employee may request conversion to career appointment;
    (vi) For employees under limited executive assignment who have 
reinstatement eligibility to a position in the competitive service, or 
as determined by the Office of Personnel Management, have substantial 
career-oriented service under career-type appointments as defined in 
Sec. 317.304(a)(2), and who are covered under Sec. 317.306(b)(3), a 
statement that the employee may request conversion to career 
appointment;
    (vii) A summary of the features of the Senior Executive Service 
(this can be accomplished by appending descriptive material prepared by 
the Office);
    (viii) A statement that the employee must submit his/her decision 
with regard to paragraphs (a)(1)(iii), (v) and (vi) of this section, in 
writing, on or before the end of the notice period; and
    (ix) A statement of the right of an employee who is aggrieved to 
appeal an action under this subpart to the Merit Systems Protection 
Board.

An employee whose involuntary reassignment or involuntary demotion to a 
designated position occurs less than 90 days before the operational date 
of the Senior Executive Service, shall be given this notice at the time 
of the personnel action. The employee shall have 90 calendar days from 
the date of receipt of the notice to make an election on conversion.
    (2) Pay. Pay shall be set at an authorized SES pay rate. The pay 
rate given to an employee upon conversion shall not be less than the 
employee's basic payable salary just prior to conversion. An employee's 
payable salary upon conversion is subject to pay limitations, if any, 
imposed by chapter 53 of title 5, United States Code, or other statutes.
    (3) Freedom of choice. The employee shall decide whether he/she 
accepts conversion to the Senior Executive Service. The employing agency 
shall not attempt to influence the employee's decision through coercion, 
intimidation or duress.
    (4) Employee's election. On or before the end of the notice period, 
the employee shall signify in writing his/her decision to accept or to 
decline an appointment under the Senior Executive Service. An excepted 
or limited assignment employee covered under Sec. 317.305(b)(3) or 
Sec. 317.306(b)(3), respectively, shall also indicate whether he/she 
requests conversion to career appointment. Failure to respond shall be 
deemed a declination.
    (b) Employees receiving appointments after designation but before 
the operational date of the Senior Executive Service--(1) Condition of 
appointment. Each individual appointed, reinstated, transferred, 
promoted, voluntarily reassigned or voluntarily demoted to a position 
after it has been designated a Senior Executive Service position shall 
be required to accept conversion to the Senior Executive Service. The 
agency shall advise the individual of this requirement prior to the 
appointment or other personnel action. The individual shall signify his/
her acceptance of conversion in writing at the time of the personnel 
action.
    (2) Notice. At the time of the personnel action, or 90 days before 
the Senior Executive Service becomes operational, whichever is later, 
the agency shall give the employee a written notice which identifies the 
position, SES pay rate, and kind of appointment the employee will 
receive under the Senior Executive Service.
    (3) Pay. Pay shall be set at an authorized SES pay rate. The pay 
rate given to a Federal employee who enters the Senior Executive Service 
without a break in service shall not be less than the employee's basic 
payable salary just prior to his/her entry into the Senior Executive 
Service. An employee's payable salary under the Senior Executive Service 
is subject to pay limitations, if any, imposed by chapter 53 of

[[Page 179]]

title 5, United States Code, or other statutes.
    (c) Employees whose positions are not designated Senior Executive 
Service positions--Notice. Each employee covered by Sec. 317.301(b)(5) 
shall be given a written notice advising the employee that his/her 
position is not designated a Senior Executive Service position; that the 
employee is not entitled to conversion to the Senior Executive Service; 
and that the employee has a right to appeal an action under this subpart 
to the Merit Systems Protection Board.
    (d) Employees appointed under a reemployment right--(1) Notice. At 
the time the employee exercises his/her reemployment right, the agency 
shall give the employee a written notice which includes the following 
information:
    (i) A statement that the employee meets the requirements of 
Sec. 317.301(b)(6) for eligibility for conversion to the Senior 
Executive Service and that he/she is being offered an appointment under 
the Senior Executive Service;
    (ii) A statement that the employee has 90 calendar days from the 
date of receipt of the written notice to elect either to join the Senior 
Executive Service or to remain under the type of appointment upon which 
the reemployment right was based;
    (iii) Identification of the position, SES pay rate, and kind of 
appointment which the employee will receive if the employee elects to 
convert to the Senior Executive Service;
    (iv) If the reemployment right is to a position in the excepted 
service and the employee has reinstatement eligibility to a position in 
the competitive service, or, as determined by the Office of Personnel 
Management, has substantial career-oriented service under career-type 
appointments as defined in Sec. 317.304(a)(2), a statement that the 
employee may request conversion to career appointment;
    (v) A summary of the features of the Senior Executive Service (this 
can be accomplished by appending descriptive material prepared by the 
Office); and
    (vi) A statment that the employee must submit his/her decision with 
regard to paragraphs (d)(1)(ii) and (iv) of this section, in writing, on 
or before the end of the notice period.
    (2) Pay. Pay shall be set at an authorized SES pay rate. The pay 
rate given an employee upon conversion (following exercise of a 
reemployment right) shall not be less than the basic payable salary to 
which the employee is entitled upon reemployment under part 352 of these 
regulations. An employee's payable salary upon conversion is subject to 
pay limitations, if any, imposed by chapter 53 of title 5, United States 
Code, or other statutes.
    (3) Freedom of choice. The employee shall decide whether he/she 
accepts conversion to the Senior Executive Service. The employing agency 
shall not attempt to influence the employee's decision through coercion, 
intimidation or duress.
    (4) Employee's election. On or before the end of the notice period, 
the employee shall signify in writing his/her decision to accept or to 
decline an appointment under the Senior Executive Service. An excepted 
service employee shall also indicate whether he/she requests conversion 
to career appointment. Failure to respond shall be deemed a declination.
    (5) Effective date. A conversion under this section for an employee 
who elects to join the SES shall become effective at the end of the 
notice period.

[45 FR 8541, Feb. 8, 1980, as amended at 45 FR 19213, Mar. 25, 1980]



Sec. 317.303  Status of employees who decline voluntary conversion to the Senior Executive Service.

    (a) An employee who declines conversion pursuant to 
Sec. 317.302(a)(4) or Sec. 317.302(d)(4) shall remain in his/her current 
appointment and pay system, and shall retain the grade, seniority, and 
other rights and benefits associated with such type of appointment and 
pay system. The employee may continue in the current SES position or be 
reassigned to another position within or outside the Senior Executive 
Service.
    (b) The assignment of an employee who declines conversion under this 
subpart shall not result in the separation or reduction in grade of any 
other employee in the agency.
    (c) Nothing in these regulations affects an agency's right to 
terminate a

[[Page 180]]

limited executive appointment pursuant to Civil Service Rule IX.

[45 FR 8541, Feb. 8, 1980, as amended at 45 FR 19213, Mar. 25, 1980]



Sec. 317.304  Conversion of career and career-type appointees.

    (a) Coverage. This section covers employees serving under:
    (1) A career or career-conditional appointment; or
    (2) A similar type of appointment (``career-type'' appointment) in 
an excepted service position as determined by the Office. A career-type 
appointment is an appointment in the excepted service other than an 
appointment:
    (i) To a Schedule C position established under part 213 of this 
chapter;
    (ii) To a position authorized to be filled by noncareer executive 
assignment under part 305 of this chapter;
    (iii) To a position which meets the same criteria as a Schedule C 
position or a position authorized to be filled by non-career executive 
assignment; or
    (iv) To a position where the incumbent is traditionally changed upon 
a change in Presidential Administrations.
    (b) Senior Executive Service appointment. An employee covered by 
this section shall be converted to a Senior Executive Service career 
appointment. The employee may be assigned to either a ``general'' or a 
``career reserved'' position.



Sec. 317.305  Conversion of excepted appointees.

    (a) Coverage. This section covers employees serving under an 
excepted appointment in a position:
    (1) In Schedule C of subpart C of part 213 of title 5, Code of 
Federal Regulations;
    (2) Filled by noncareer executive assignment under subpart F of part 
305 of title 5, Code of Federal Regulations;
    (3) In the Executive Schedule under subchapter II of chapter 53 of 
title 5, United States Code, other than a career Executive Schedule 
position; or,
    (4) Filled under an authority equivalent to paragraph (a) (1), (2), 
or (3) of this section.
    (b) Senior Executive Service appointment. An employee covered by 
this section shall be subject to one of the following actions.
    (1) If the employee's position is designated a ``general'' position, 
the agency may convert the employee to a Senior Executive Service 
noncareer appointment. The employee may be assigned only to a 
``general'' position.
    (2) If the employee's position is designated a ``career reserved'' 
position, the agency may convert the employee to a Senior Executive 
Service noncareer appointment and assign the employee to a ``general'' 
position. The employee cannot remain in a ``career reserved'' position.
    (3) If the employee subject to Sec. 317.302(a) or Sec. 317.302(d) 
has reinstatement eligibility to a position in the competitive service, 
or, as determined by the Office of Personnel Management, had substantial 
career-oriented service under a career-type appointment as defined in 
Sec. 317.304(a)(2), the employee may request conversion to a career 
appointment. Such request must be made on or before the end of the 
notice period.
    (i) If the request is approved by the Office, the agency will 
convert the employee to a Senior Executive Service career appointment. 
The employee may be assigned to a ``general'' or a ``career reserved'' 
position. The name of the individual and basis for approving the request 
must be published in the Federal Register.
    (ii) If the employee's request for conversion to career is not 
approved by the Office, or if the employee elects not to make such a 
request, the agency will convert the employee to a Senior Executive 
Service noncareer appointment. The employee may be assigned only to a 
``general'' position.
    (4) In lieu of action under paragraph (b) (1), (2), or (3) of this 
section, the agency may separate the employee from the civil service.



Sec. 317.306  Conversion of employees under time limited appointments.

    (a) Coverage. This section covers employees serving under:
    (1) A limited executive assignment under subpart E of part 305 of 
title 5, Code of Federal Regulations; or

[[Page 181]]

    (2) A similar type of time limited appointment in an excepted 
service position.
    (b) Senior Executive Service appointment. An employee covered by 
this section shall be subject to one of the following actions.
    (1) If the position in which the employee is serving under a limited 
executive assignment or similar type of time limited appointment will 
terminate within three years from the date of the proposed conversion 
action, the agency may convert the employee to a Senior Executive 
Service limited term appointment.
    (2) If the position in which the employee is serving under a limited 
executive assignment or similar type of time limited appointment will 
not terminate within three years from the date of the proposed 
conversion action, the agency may convert the employee to a Senior 
Executive Service noncareer appointment and assign the employee to a 
``general'' position.
    (3) If the employee under a limited executive assignment has 
reinstatement eligibility to a position in the competitive service, or, 
as determined by the Office of Personnel Management, had substantial 
career-oriented service under a career-type appointment as defined in 
Sec. 317.304(a)(2), and if immediately prior to the limited executive 
assignment and without a break in service the employee served under a 
career appointment or career-type appointment in a position now being 
designated a Senior Executive Service position then the employee may 
request conversion to a career appointment. Such request must be made on 
or before the end of the notice period.
    (i) If the employee requests conversion to career, the agency will 
convert the employee to a Senior Executive Service career appointment. 
The employee may be assigned to a ``general'' or a ``career reserved'' 
position. The name of the individual and basis for approving the request 
must be published in the Federal Register.
    (ii) If the employee does not request conversion to career, the 
agency will convert the employee as provided for in paragraphs (b) (1) 
and (2) of this section.
    (4) In lieu of action under paragraph (b) (1), (2), or (3) of this 
section, the agency may separate the employee from the civil service.



                   Subpart D--Qualifications Standards

    Source: 54 FR 9758, Mar. 8, 1989, unless otherwise noted.



Sec. 317.401  General.

    (a) The head of each agency is responsible for establishing 
qualifications standards for Senior Executive Service (SES) positions in 
accordance with the procedures described in this subpart.
    (b) A written qualification standard must be established for a 
position before any appointment is made to the position. If a position 
is being filled competitively, the standard must be established before 
the position is announced.

[54 FR 9758, Mar. 8, 1989, as amended at 60 FR 6385, Feb. 2, 1995]



Sec. 317.402  Career reserved positions.

    (a) The qualifications standard must be in writing and identify the 
breadth and depth of the professional/technical and executive/managerial 
knowledges, skills, and abilities, or other qualifications, required for 
successful performance in the position.
    (b) The standard must be specific enough to enable applicants to be 
rated and ranked according to their degree of qualifications when the 
position is being filled on a competitive basis.
    (c) Each qualifications criterion in the standard must be job 
related. The standard may not emphasize agency-related experience, 
however, to the extent that it precludes otherwise well-qualified 
condidates from outside the agency from appointment consideration.
    (d) The standard may not include--
    (1) A minimum length of experience requirement beyond that 
authorized for similar positions in the General Schedule;
    (2) A minimum education requirement beyond that authorized for 
similar positions in the General Schedule; or

[[Page 182]]

    (3) Any criterion prohibited by law or regulation.



Sec. 317.403  General positions.

    An agency may apply the criteria in Sec. 317.402 when developing 
qualifications standards for general positions. If it does not, OPM must 
be consulted before the agency develops the standard.



Sec. 317.404  Retention of qualifications standards.

    If a qualifications standard is changed, or a position is cancelled, 
the former standard shall be retained for 2 years.



                     Subpart E--Career Appointments

    Source: 54 FR 9758, Mar. 8, 1989, unless otherwise noted.



Sec. 317.501  Recruitment and selection for initial SES career appointment be achieved from the brightest and most diverse pool possible.

    (a) Executive Resources Board (ERB). The head of each agency shall 
appoint one or more ERBs from among employees of the agency or 
commissioned officers of the uniformed services serving on active duty 
in the agency. The ERB shall, in accordance with the requirements of 
this section, conduct the merit staffing process for initial SES career 
appointment.
    (b) Recruitment. (1) As a minimum, the source of recruitment to fill 
a SES position by career appointment must include all groups of 
qualified individuals within the civil service (as defined by 5 U.S.C. 
2101). It may also include qualified individuals outside the civil 
service.
    (2) Before an agency can fill an SES vacancy by career appointment, 
it must post a vacancy announcement in USAJOBS for at least 14 calendar 
days, including the date of publication. Each agency's SES vacancy 
announcement must comply with criteria in Sec. 330.707 of subpart G of 
this chapter.
    (c) Merit staffing requirements. As a minimum, agencies must--
    (1) Provide that competition be fair and open, that all candidates 
compete and be rated and ranked on the same basis, and that selection be 
based solely on qualifications and not on political or other non-job-
related factors. If a candidate is a current SES career appointee or an 
SES reinstatement eligible, an agency may consider the candidate either 
competitively or noncompetitively.
    (2) Provide that the ERB consider the executive and technical 
qualifications of each candidate, other than those found ineligible 
because they do not meet the requirements of the vacancy announcement. 
Preliminary qualifications screening, rating, and ranking of candidates 
may be delegated by the ERB.
    (3) Provide that the rating procedures sufficiently differentiate 
among eligible candidates on the basis of the knowledges, skills, 
abilities, and other job-related factors in the qualifications standard 
for the position so as to enable the relative ranking of the candidates. 
For this purpose, eligible candidates may be grouped into broad 
categories, such as highly qualified, well qualified, and qualified. 
Numerical rating and ranking are not required.
    (4) Provide that the record be adequately documented to show the 
basis of qualifications, rating, and ranking determinations.
    (5) Provide that the ERB make written recommendations to the 
appointing authority on the eligible candidates and identify the best 
qualified candidates. Rating sheets may be used to satisfy the written 
recommendation requirement for individual candidates, but the ERB must 
certify in writing the list of candidates to the appointing authority.
    (6) Provide that the appointing authority select from among the 
candidates identified as best qualified by the ERB and certify the 
candidate's executive and technical qualifications.
    (7) Provide that the appointing authority or the ERB certify in 
writing that appropriate merit staffing procedures were followed.
    (d) Retention of documentation. Agencies must keep such 
documentation as OPM prescribes for 2 years to permit reconstruction of 
merit staffing actions.
    (e) Applicant inquiries and appeals. Individuals are entitled to 
obtain information from an agency regarding the

[[Page 183]]

process used to recruit and select candidates for career appointment to 
SES positions. Upon request, applicants must be told whether they were 
considered qualified for the position and whether they were referred for 
appointment consideration. Also, they may have access to questionnaires 
or other written material regarding their own qualifications, except for 
material that would identify a confidential source. There is no right of 
appeal by applicants to OPM on SES staffing actions taken by ERBs, 
Qualifications Review Boards, or appointing authorities.
    (f) OPM review. OPM may review proposed career appointments to 
ensure that they comply with all merit staffing requirements and are 
free of any impropriety. An agency shall take such action as OPM may 
require to correct an action contrary to any law, rule, or regulation.

[54 FR 9758, Mar. 8, 1989, as amended at 58 FR 58261, Nov. 1, 1993; 60 
FR 6385, Feb. 2, 1995; 65 FR 33740, May 25, 2000; 66 FR 63906, Dec. 11, 
2001]



Sec. 317.502  Qualifications Review Board certification.

    (a) A Qualification Review Board (QRB) convened by OPM must certify 
the executive/managerial qualifications of a candidate before initial 
career appointment may be made to an SES position. More than one-half of 
the members of a QRB must be SES career appointees.
    (b) Agency requests for certification of a candidate by a QRB must 
contain such information as prescribed by OPM, including evidence that 
merit staffing procedures were followed and that the appointing 
authority has certified the candidate's qualifications for the position.
    (c) Qualifications Review Board certification of executive 
qualifications just be based on demonstrated executive experience; 
successful completion of an OPM-approved candidate development program; 
or possession of special or unique qualities that indicate a likelihood 
of executive success. Any existing time limit on a previously approved 
certification is removed.
    (d) OPM may determine the disposition of agency QRB requests where 
the QRB has not yet acted if the agency head leaves office or announces 
an intention to leave office, if the President has nominated a new 
agency head, or if there is a Presidential transition.
    (e) An action to convert a ``noncareer-type'' employee to a career 
SES appointment in the employee's current position or a successor to 
that position will not be forwarded to a QRB. A ``noncareer-type'' 
employee includes a noncareer SES appointee, a Schedule C appointee, or 
equivalent.
    (f) A new QRB certification is required for an individual to be 
reappointed as an SES career appointee following separation of the 
individual from an SES career appointment if:
    (1) The individual was removed during the SES probationary period 
for performance or disciplinary reasons; or
    (2) The individual completed an SES probationary period, or did not 
have to serve one, and was removed for a reason that made the individual 
ineligible for reinstatement to the SES under subpart G of this part.

[54 FR 9758, Mar. 8, 1989, as amended at 56 FR 170, Jan. 3, 1991; 60 FR 
6385, Feb. 2, 1995; 61 FR 46533, Sept. 4, 1996; 65 FR 33740, May 25, 
2000]



Sec. 317.503  Probationary period.

    (a) An individual's initial appointment as an SES career appointee 
becomes final only after the individual has served a 1-year probationary 
period as a career appointee; there has been an assessment of the 
appointee's performance during the probationary period; and the 
appointing authority, or his or her designee, has certified that the 
appointee performed at the level of excellence expected of a senior 
executive during the probationary period.
    (b) When a career appointee's executive qualification have been 
certified by a Qualifications Review Board on the basis of special or 
unique qualities, as described in Sec. 317.502(c), the probationary 
assessment must address any executive development activities the agency 
identified in support of the request for QRB certification.
    (c) The probationary period begins on the effective date of the 
personnel action initially appointing the individual to the SES as a 
career appointee and ends one calendar year later.

[[Page 184]]

    (d) The following conditions apply to crediting service towards 
completion of the probationary period.
    (1) Time on leave with pay while in an SES position is credited. 
Earned leave for which the employee is compensated by lump-sum payment 
upon separation is not credited.
    (2) Time in a nonpay status while in an SES position is credited up 
to a total of 30 calendar days (or 22 workdays). After 30 calendar days, 
the probationary period is extended by adding to it time equal to that 
served in a nonpay status.
    (3) Time absent on military duty or due to compensable injury is 
credited upon restoration to the SES when no other break in SES service 
has occurred.
    (4) Time following transfer to an SES position in another agency is 
credited, i.e., the individual does not have to start a new probationary 
period.
    (e) Removal of a career appointee during the probationary period is 
covered by subpart D of part 359 of this chapter.
    (f) A career appointee who resigns or is removed from the SES before 
completion of the probationary period may not receive another SES career 
appointment unless selected under SES merit staffing procedures. The 
individual, however, need not be recertified by a QRB unless the 
individual was removed for performance or disciplinary reasons.
    (g) An individual who separated from the SES during the probationary 
period and who has been out of the SES more than 30 calendar days must 
serve a new 1-year probationary period upon reappointment and may not 
credit previous time in a probationary period. In the following 
situations, however, there is an exception and the individual is only 
required to complete the remainder of the previously served probationary 
period.
    (1) The individual left the SES without a break in service for a 
Presidential appointment and is exercising reinstatement rights under 5 
U.S.C. 3593(b).
    (2) The individual left the SES without a break in service for other 
civilian employment that provides a statutory or regulatory reemployment 
right to the SES when no other break in service occurred.
    (3) The break in SES service was the result of military duty or 
compensable injury, and the time credited under paragraph (c)(3) of this 
section was not sufficient to complete the probationary period.

[54 FR 9758, Mar. 8, 1989, as amended at 60 FR 6386, Feb. 2, 1995; 65 FR 
33740, May 25, 2000]



Sec. 317.504  Agency recertification.

    (a) General. (1) Section 3393a of title 5, U.S.C., provides that 
each career SES appointee shall be subject to recertification by his or 
her employing agency ``to ensure that the performance of career 
appointees demonstrates the excellence needed to meet the goals of the 
Senior Executive Service as set forth in section 3131 * * *.''
    (2) For purposes of this section, ``agency'' is an executive agency 
as defined in 5 U.S.C. 105 or a military department as defined in 5 
U.S.C. 102.
    (b) Coverage. (1) This section covers SES career appointees who have 
been continuously employed in the SES for the 156 weeks preceding the 
end of the recertification period. One or more breaks in SES service of 
a total of 6 months or less do not interrupt the 156 weeks of continuous 
employment.
    (2) This section does not apply to SES noncareer, limited emergency, 
or limited term appointees. It also does not apply to former SES career 
appointees who took Presidential appointments with Senate confirmation 
and elected to retain SES benefits under subpart H of this part.
    (c) When recertification takes place. (1) The initial 
recertification shall take place in calendar year 1991. Future 
recertifications shall take place every 3rd calendar year thereafter.
    (2) The agency head shall determine when in the calendar year 
recertification shall take place and shall establish a date for 
calculating the 156-week employment period. Recertification may take 
place at different times during the calendar year for different 
components within the agency. For recertification actions in calendar 
year 1991, agencies must consider performance during the annual 
performance appraisal period ending in calendar year

[[Page 185]]

1991 unless an exception is granted by OPM.
    (3) If an individual is recertified in one agency and then transfers 
to another agency during the calendar year, the individual is not 
subject to recertification in the new agency. If an individual transfers 
to another agency during the calendar year and no recertification 
decision was made in the old agency, a recertification decision must be 
made in the new agency.
    (d) Standard for recertification. (1) To be recertified, the career 
appointee must perform at the level of excellence expected of a senior 
executive. Excellence means that the executive has demonstrated over the 
recertification period that he or she has achieved excellence in:
    (i) Planning for, substantially advancing, and attaining 
Presidential, agency, or organizational goals and objectives that 
required a sustained superior effort;
    (ii) Taking specific initiatives that advanced a major policy and/or 
significantly improved delivery of services;
    (iii) Taking the necessary actions to ensure the achievement of a 
quality product in a timely manner;
    (iv) Making significant technical, scientific, or professional 
contributions; and, as appropriate
    (v) Achieving substantial savings in the execution of programs under 
his or her direction;
    (vi) Maintaining the high quality and effectiveness of a program 
under his or her direction with reduced resources; and/or
    (vii) Providing strong leadership to enhance the development, 
utilization and achievements of subordinate personnel, including 
achievement of equal employment opportunity goals.
    (2) Agencies may add other criteria, as appropriate, in their 
written recertification procedures.
    (e) Recommendation by the supervising official. (1) The supervising 
official of the career appointee shall submit to an agency Performance 
Review Board established under 5 U.S.C. 4314 a written recommendation 
whether the career appointee's performance justifies recertification as 
a senior executive. The recommendation shall be based on the executive's 
overall performance over the 3 preceding years in relation to the 
standard for recertification in paragraph (d), including consideration 
of such factors as the career appointee's performance ratings, any award 
or other recognition received by the appointee, any developmental 
activities of the appointee, or other relevant qualitative factors.
    (2) The recommendation shall reflect the official's view whether the 
appointee's overall performance for the preceding 3 years has 
demonstrated the excellence expected of a senior executive as defined in 
paragraph (d) of this section in relation to the written performance 
requirements for the career appointee's senior executive position.
    (3) The appointee shall be given a copy of the recommendation and 
advised of the right to submit to the Performance Review Board a 
statement of accomplishments and other documentation giving evidence of 
the quality of the appointee's performance in relation to the standards 
set forth in paragraph (d) of this section.
    (f) Recommendation by the Performance Review Board. (1) More than 
one-half of the members of the Board shall consist of SES career 
appointees, unless OPM determines that there exists an insufficient 
number of career appointees available to comply with this requirement. 
Board members may not take part in any deliberations or actions 
regarding recommendations on their own recertification.
    (2) After receiving the recommendation of the supervising official 
and any information provided by the career appointee under paragraph 
(e)(3) of this section, the Board shall submit to the appointing 
authority a recommendation whether the appointee should be recertified, 
conditionally recertified, or not recertified for continued employment 
as a senior executive in the SES.
    (3) If the Board proposes to recommend conditional recertification 
or non-recertification, the appointee shall be notified in writing and 
shall have the opportunity to appear before the Board prior to the 
forwarding of the recommendation to the appointing authority.
    (4) If the Board recommends recertification, it may also recommend 
that

[[Page 186]]

the appointee's rate of basic pay be increased to a higher rate under 5 
U.S.C. 5382. If the Board recommends conditional recertification, it may 
also recommend that the appointee's rate of basic pay be reduced to the 
next lower rate under 5 U.S.C. 5382.
    (5) In addition to its recommendation, the Board shall also provide 
the appointing authority the recommendation from the supervising 
official and any information received from the appointee under paragraph 
(e)(3) or paragraph (f)(3) of this section.
    (6) If the appointing authority is also the agency head, the 
recommendation of the Board shall go directly to the individual as the 
agency head.
    (g) Recommendation by the appointing authority. (1) If the 
appointing authority determines that the appointee's performance during 
the 3 preceding years demonstrates the excellence expected of a senior 
executive, the appointing authority shall recommend to the agency head 
that the appointee be recertified as a senior executive.
    (2) If the appointing authority determines that the appointee's 
performance has not demonstrated the excellence expected of a senior 
executive, the appointing authority shall recommend to the agency head 
that the appointee be conditionally recertified or not be recertified.
    (h) Determination by the agency head. (1) The agency head shall 
determine whether the appointee shall be recertified, conditionally 
recertified, or not recertified as a senior executive. An agency may not 
prescribe a distribution of how many or what percentage of executives 
will be recertified, conditionally recertified, or not recertified.
    (2) If the agency head determines that the appointee's performance 
warrants recertification, the appointee shall continue in the SES. 
Further, the appointee's rate of basic pay may not be reduced at the 
time of recertification.
    (3) If the agency head determines that the appointee's performance 
warrants conditional recertification, the appointee:
    (i) Shall remain a career appointee in the SES;
    (ii) Shall be subject to continuing close review of the appointee's 
performance by the supervising official in coordination with an 
Executive Resources Board established under 5 U.S.C. 3393, in accordance 
with a performance improvement plan developed by the supervising 
official and subject to the approval of the Executive Resources Board;
    (iii) May, if the agency head so determines, be reduced to the next 
lower rate of basic pay established under 5 U.S.C. 5382, once 12 months 
have elapsed since the appointee's last pay adjustment, in accordance 
with Sec. 534.401(c) of this chapter;
    (iv) Shall be removed from the SES if not recertified at the end of 
the 12-month period following the conditional recertification; and
    (v) Shall be retained in the SES if recertified at the end of the 
12-month period following the conditional recertification and shall have 
any reduction in basic pay made under paragraph (h)(3)(iii) of this 
section restored as of the beginning of the first pay period following 
recertification when 12 months have elapsed since the pay reduction.
    (4) The process for determining whether to recertify at the end of 
the 12-month period an individual who has been conditionally recertified 
shall be the same as for the initial recertification decision, including 
review and recommendation by a Performance Review Board.
    (5) If the agency head determines that the appointee's performance 
does not warrant recertification or conditional recertification, the 
appointee shall be removed from the SES in accordance with 5 U.S.C. 3592 
and part 359, subpart C, of this chapter.
    (6) The decision to recertify a senior executive may be delegated by 
the agency head, but no lower than the appointing authority. The 
decision to conditionally recertify, or to not recertify, a senior 
executive must be made by the agency head, the deputy agency head, or 
the head of a major operating unit within a department; but the 
individual designated may not be at a lower level than the appointing 
authority. The agency's written recertification procedures must indicate 
who is to make the decision.

[[Page 187]]

    (i) Procedures. Written reasons must be provided for any 
recommendation or decision to conditionally recertify or to not 
recertify a career appointee.
    (j) Agency responsibilities. Each agency that has career appointees 
subject to recertification:
    (1) Shall develop written recertification procedures in consultation 
with its career appointees, shall have the procedures reviewed and 
approved by OPM before the recertification process is initiated, and 
shall provide its senior executives and OPM a copy of the final 
procedures upon issuance and upon any change;
    (2) Shall provide for a program, under guidelines issued by OPM, to 
train its executives who supervise SES career personnel, and members of 
Performance Review Boards who will be making recertification 
recommendations, in the objectives and procedures of the recertification 
process;
    (3) Shall maintain such records as OPM may require;
    (4) Shall report to OPM such information as OPM may request relating 
to recertification actions or the training of SES supervisors; and
    (5) Shall take such corrective action as may be directed by OPM if 
OPM finds that the agency's written procedures, or any actions taken by 
the agency, are contrary to law or regulation.

[56 FR 170, Jan. 3, 1991]



              Subpart F--Noncareer and Limited Appointments

    Source: 45 FR 62414, Sept. 19, 1980, unless otherwise noted.



Sec. 317.601  Authorization.

    (a) An agency may make a noncareer or limited appointment only to a 
general position.
    (b) Each use of a noncareer appointment authority must be approved 
individually by the Office of Personnel Management, and the authority 
reverts to the Office upon departure of the incumbent, unless otherwise 
provided by the Office.
    (c) Use of a limited appointment authority is subject to the 
conditions in this paragraph.
    (1) Agencies are provided a pool of limited appointment authorities 
equal to 3 percent of their Senior Executive Service (SES) position 
allocation, or one authority, whichever is greater. An agency may use 
the pool to make a limited appointment only of an individual who has a 
career or career-conditional appointment (or an appointment of 
equivalent tenure) in a permanent civil service position outside the 
SES. If necessary, the Office of Personnel Management may suspend use of 
the pool authority.
    (2) Each use of a limited appointment authority other than under 
paragraph (c)(1) of this section must be approved individually by the 
Office, and the authority reverts to the Office upon departure of the 
incumbent, unless otherwise provided by the Office.

[60 FR 6386, Feb. 2, 1995, as amended at 65 FR 33741, May 25, 2000]



Sec. 317.602  Conditions of a limited appointment.

    (a) Appointments authorized under this provision may be deemed 
provisional appointments for purposes of the regulations set out in 
parts 831, 842, 870, and 890 of this chapter if they meet the criteria 
set out in Secs. 316.401 and 316.403 of this chapter.
    (b) A limited appointment is not renewable. If an agency initially 
made the appointment for less than the maximum period authorized by the 
Office of Personnel Management, however, the agency may extend the 
appointment to the maximum period without the approval of the Office. 
The Office must be notified of the extension.
    (c) A limited term or limited emergency appointee may not be 
appointed to, or continue to hold, a position under such an appointment 
if, within the preceding 48 months, the individual has served more than 
36 months, in the aggregate, under any combination of limited term and 
limited emergency appointments.

[45 FR 62414, Sept. 19, 1980, as amended at 56 FR 10142, Mar. 11, 1991; 
60 FR 6386, Feb. 2, 1995]



Sec. 317.603  Selection.

    An agency may make a noncareer or limited appointment without the 
use of

[[Page 188]]

merit staffing procedures. The appointee, however, must meet the 
qualifications requirements for the position, as determined in writing 
by the appointing authority.

[45 FR 62414, Sept. 19, 1980, as amended at 60 FR 6386, Feb. 2, 1995]



Sec. 317.604  Reassignment.

    (a) An agency may reassign a noncareer appointee only with the prior 
approval of the Office unless otherwise provided by the Office.
    (b)An agency may make the following reassignments of limited 
appointees to positions for which qualified without the prior approval 
of the Office of Personnel Management. The Office must be notified of 
the reassignment, however.
    (1) An agency may reassign a limited emergency appointee to another 
general position established to meet a bona fide, unanticipated, urgent 
need, except that the appointee may not serve in one or more positions 
in the agency under such appointment in excess of 18 months.
    (2) An agency may reassign a limited term appointee to another 
general position the duties of which will expire at the end of 3 years 
or less except that the appointee may not serve in one or more positions 
in the agency under such appointment in excess of 3 years.

[45 FR 62414, Sept. 19, 1980, as amended at 60 FR 6386, Feb. 2, 1995]



Sec. 317.605  Tenure of appointees.

    (a) A noncareer or limited appointee does not acquire status within 
the Senior Executive Service on the basis of the appointment.
    (b) An agency may terminate a noncareer or limited appointment at 
any time, unless a limited appointee is covered under 5 CFR 
752.601(c)(2). The agency must give the noncareer or limited appointee a 
written notice at least 1 day prior to the effective date of the 
removal.
    (c) The employment of a limited appointee ends automatically on the 
expiration of the appointment if the appointment has not been terminated 
earlier.
    (d) An employee: (1) Who received a limited appointment without a 
break of service in the same agency as the one in which the employee 
held a career or career conditional appointment (or an appointment of 
equivalent tenure) in a permanent civil service position outside the 
Senior Executive Service, and
    (2) Whose limited appointment is terminated for reasons other than 
misconduct, neglect of duty, or malfeasance, shall be entitled to be 
placed in his/her former position or a position of like status, tenure, 
and grade.

[45 FR 62414, Sept. 19, 1980, as amended at 60 FR 6386, Feb. 2, 1995]



           Subpart G--SES Career Appointment by Reinstatement

    Source: 54 FR 9759, Mar. 8, 1989, unless otherwise noted.



Sec. 317.701  Agency authority.

    As provided for in Secs. 317.702 and 317.703, an agency may 
reinstate a former SES career appointee without regard to the merit 
staffing requirements established by OPM in Sec. 317.501(c).



Sec. 317.702  General reinstatement: SES career appointees.

    (a) Eligibility for general reinstatement. A former SES career 
appointee who meets the following conditions is eligible for 
reinstatement under this section:
    (1) The individual completed an SES probationary period under a 
previous SES career appointment or was exempted from that requirement; 
and
    (2) The individual's separation from his or her last SES career 
appointment was not a removal under subpart C of part 359 of this 
chapter for failure to be recertified as a senior executive; or a 
removal under subpart E of part 359 of this chapter for less than fully 
successful executive performance; or under 5 U.S.C. 1207 by order of the 
Merit Systems Protection Board as a result of a disciplinary action 
initiated by the Special Counsel under 5 U.S.C. 1206; or under 5 U.S.C. 
7532 (National Security); or under subpart F of part 752 of this chapter 
for misconduct, neglect of duty, or malfeasance; or a resignation after 
receipt of a notice proposing or

[[Page 189]]

directing removal under any of the above conditions. Removal for failure 
to accept a directed reassignment to another commuting area, or to 
accompany a position in a transfer of function to another commuting 
area, does not preclude reinstatement to the SES unless the appointment 
to the original position included acceptance of a written nationwide 
mobility agreement or policy.
    (b) Applying for reinstatement; time limit. Application for 
reinstatement under this section shall be made directly to the agency in 
which SES employment is sought. There is no time limit for reinstatement 
under this section.
    (c) Qualifications. The individual must meet the qualification 
requirements of the position to which reinstated. The agency makes this 
determination.
    (d) Tenure upon reinstatement. An individual who is reinstated under 
Sec. 317.702 becomes an SES career appointee.

[54 FR 9759, Mar. 8, 1989, as amended at 56 FR 172, Jan. 3, 1991]



Sec. 317.703  Guaranteed reinstatement: Presidential appointees.

    (a) Eligibility for reinstatement. (1) A former SES career appointee 
who was appointed by the President to a civil service position outside 
the SES without a break in service, and who left the Presidential 
appointment for reasons other than misconduct, neglect of duty, or 
malfeasance, is entitled by law to be reinstated to the SES.
    (2) If an individual is serving under a Presidential appointment 
with reinstatement entitlement and receives another Presidential 
appointment without a break in service between the two appointments, the 
individual continues to be entitled to be reinstated to the SES 
following termination of the second appointment. If there is an interim 
period between the two Presidential appointments, the individual must be 
reinstated as an SES career appointee before the effective date of the 
second appointment to preserve reinstatement entitlement following 
termination of the second appointment.
    (b) Applying for reinstatement; time limit. Except as provided in 
paragraph (d) of this section, an application in writing for 
reinstatement under this section must be made to OPM within 90 days 
after separation from the Presidential appointment. An application may 
be submitted as soon as the Presidential appointee's resignation is 
requested or submitted.
    (c) Directing reinstatement. (1) To the extent practicable, OPM will 
direct reinstatement within 45 days of the date of receipt by OPM of the 
application for reinstatement or the date of separation from the 
Presidential appointment, whichever is later.
    (2) OPM will use the following order of precedence in directing 
reinstatement of a former Presidential appointee:
    (i) The agency in which the individual last served as an SES career 
appointee before accepting the Presidential appointment;
    (ii) The successor agency to the one in which the individual last 
served as an SES career appointee;
    (iii) The agency or agencies in which the individual served as a 
Presidential appointee; or
    (iv) Any other agency in the Executive branch with positions under 
the SES.
    (3) The agency being directed to take the reinstatement action is 
responsible for assigning the individual to a position for which he or 
she meets the qualifications requirements.
    (4) When directing the reinstatement of a Presidential appointee, 
OPM may, as appropriate, allocate an additional SES space authority to 
the agency.
    (5) When a Presidential appointee tenders his or her resignation, 
voluntarily or upon request, the agency in which the Presidential 
appointment was held, upon approval by OPM, may place the appointee as 
an interim measure on an SES limited term or limited emergency 
appointment as appropriate, pending reinstatement, to preclude a break 
in service after the Presidential appointment has terminated.
    (6) To preserve reinstatement rights under this section, an 
individual who has been serving in a presidential appointment, if 
selected by the President for another appointment in the same or a new 
agency, must be reinstated to an

[[Page 190]]

appropriate position as an SES career appointee before the effective 
date of the new Presidential appointment, unless service as a 
Presidential appointee would be continuous.
    (d) Reinstatement following direct negotiations with an agency. (1) 
A Presidential appointee who qualifies under paragraph (a) of this 
section may initiate direct negotiations with an agency regarding 
reinstatement under this section.
    (2) An agency may voluntarily reinstate a former Presidential 
appointee without an order from OPM directing such action.
    (3) The agency is responsible for assigning the individual to a 
position for which he or she meets the qualification requirements.
    (4) Direct negotiations with an agency do not extend the time limit 
stated in paragraph (b) of this section for making application to OPM.
    (5) OPM may, when appropriate and upon request by the agency, 
allocate an additional SES space authority to an agency that voluntarily 
reinstates a former Presidential appointee under this paragraph.
    (6) An individual who is reinstated under this paragraph because of 
direct negotiations with an agency is not entitled to further assistance 
by OPM.
    (e) Tenure upon reinstatement. (1) An individual reinstated under 
Sec. 317.703 becomes an SES career appointee.
    (2) An individual reinstated under Sec. 317.703 who was serving an 
SES probationary period at the time of his or her Presidential 
appointment is required to complete the 1-year SES probationary period 
upon reinstatement.
    (f) Compliance. (1) An agency must comply with an order to reinstate 
issued by OPM under this section as promptly as possible, but not more 
than 30 calendar days from the date of the order.
    (2) The agency will notify OPM of a reinstatement action taken under 
this section within 5 workdays of the effective date of the 
reinstatement.
    (3) An individual who declines a reinstatement ordered by OPM is not 
entitled to further placement assistance by OPM under this section.

[54 FR 9759, Mar. 8, 1989, as amended at 60 FR 6386, Feb. 2, 1995]



                 Subpart H--Retention of SES Provisions



Sec. 317.801  Retention of SES provisions.

    (a) Coverage. This subpart applies to--
    (1) A career appointee in the SES appointed at any time by the 
President to a civilian position in the executive branch with the advice 
and consent of the Senate at a rate of basic pay which is equal to or 
greater than the rate payable for Executive Level V; or
    (2) A career appointee in the SES who is not covered under paragraph 
(a)(1) of this section and who was appointed on or after November 1, 
1986, to a civilian position in the executive branch which is covered by 
the Executive Schedule, or the rate of basic pay for which is fixed by 
statute at a rate equal to one of the levels of the Executive Schedule.
    (b) Election. (1) At the time of appointment, an appointee covered 
by paragraph (a) of this section may elect to retain some, all, or none 
of the following SES provisions: Basic pay, performance awards, awarding 
of ranks, severance pay, leave, and retirement. That election shall 
remain in effect for no less than one year, unless the appointee leaves 
the position sooner.
    (2) The appointing agency is responsible for advising the appointee 
of the election opportunity. The election decision must be in writing.
    (3) If an appointee elects to retain SES basic pay, the appointee is 
entitled to receive locality-based comparability payments under 5 CFR, 
part 531, subpart F, if such pay is applicable to SES employees in the 
locality pay area, and any applicable special pay adjustment for a law 
enforcement officer under 5 CFR part 531, subpart C, even though the 
appointee may be in an Executive Schedule position otherwise excluded 
from such payments.
    (c) Change in election. Except as provided by paragraph (b) of this 
section, a career appointee is permitted to make an election for 
purposes of adding or dropping coverage no more than once during any 
twelve-month period.

[50 FR 6154, Feb. 14, 1985, as amended at 56 FR 15273, Apr. 16, 1991; 57 
FR 54677, Nov. 20, 1992; 60 FR 6386, Feb. 2, 1995]

[[Page 191]]



            Subpart I--Reassignments, Transfers, and Details

    Source: 54 FR 9760, Mar. 8, 1989, unless otherwise noted.



Sec. 317.901  Reassignments.

    (a) In this section, reassignment means a permanent assignment to 
another SES position within the employing executive agency or military 
department. (See 5 U.S.C. 105 for a definition of ``executive agency'' 
and 5 U.S.C. 102 for a definition of ``military department.'')
    (b) A career appointee may be reassigned to any SES position for 
which qualified in accordance with the following conditions:
    (1) Reassignment within a commuting area. For reassignment within a 
commuting area, the appointee must receive a written notice at least 15 
days before the effective date of the reassignment. This notice 
requirement may be waived only when the appointee consents in writing.
    (2) Reassignment outside of a commuting area. For reassignment 
outside of a commuting area, (i) the agency must consult with the 
appointee on the reasons for, and the appointee's preferences with 
respect to, the proposed reassignment; and (ii) following such 
consultation, the agency must provide the appointee a written notice, 
including the reasons for the reassignment, at least 60 days before the 
effective date of the reassignment. This notice requirement may be 
waived only when the appointee consents in writing.
    (c) A career appointee may not be involuntarily reassigned within 
120 days after the appointment of the head of an agency, or within 120 
days after the appointment of the career appointee's most immediate 
supervisor who is a noncareer appointee and who has the authority to 
make an initial appraisal of the career appointee's performance under 
subpart C of part 430 of this chapter.
    (1) In this paragraph--
    (i) Head of an agency means the head of an executive or military 
department or the head of an independent establishment.
    (ii) Noncareer appointee includes an SES noncareer or limited 
appointee, an appointee in a position filled by Schedule C, or an 
appointee in an Executive Schedule or equivalent position that is not 
required to be filled competitively.
    (2) These restrictions do not apply to the involuntary reassignment 
of a career appointee under 5 U.S.C. 4314(b)(3) based on a final 
performance rating of ``Unsatisfactory'' that was issued before the 
appointment of a new agency head or a new noncareer supervisor as 
defined in paragraph (c)(1) of this section. If a moratorium is already 
underway at the time the final rating is issued, then that moratorium 
must be completed before the reassignment action can be effected.
    (3) A voluntary reassignment during the 120-day period is permitted, 
but the appointee must agree in writing before the reassignment.
    (4) For the purpose of calculating the 120-day period, any days, not 
to exceed a total of 60, during which the career appointee is serving on 
a detail or other temporary assignment apart from the appointee's 
regular position shall not be counted. Any days in excess of 60 days on 
one or more details or other temporary assignments shall be counted.
    (5) The prohibition in this paragraph on involuntary reassignments 
may be applied by an agency, at its discretion, in the case of a detail 
of an individual as the head of an agency or of a noncareer appointee as 
a supervisor, or when a noncareer appointee in a deputy position is 
acting as the agency head or in a vacant supervisory position. If the 
individual later receives a permanent appointment to the position 
without a break in service, the 120-day moratorium initiated by the 
permanent appointment shall include any days spent in the position on an 
acting basis.
    (d) A 15 or 60-day advance notice described in paragraph (b) of this 
section may be issued during the 120-day moratorium on the involuntary 
reassignment of a career appointee described in paragraph (c) of this 
section, but an involuntary reassignment may not be effected until the 
moratorium has ended.

[54 FR 9760, Mar. 8, 1989, as amended at 57 FR 10124, Mar. 24, 1992; 58 
FR 58261, Nov. 1, 1993; 60 FR 6387, Feb. 2, 1995; 63 FR 34258, June 24, 
1998]

[[Page 192]]



Sec. 317.902  Transfers.

    (a) Definition. In this section, transfer means a permanent 
assignment or appointment to another SES position in a different 
executive agency or military department.
    (b) Requirements. Transfers are voluntary and cannot occur without 
the consent of the appointee and the gaining agency, except transfers 
connected with a transfer of functions to another agency.



Sec. 317.903  Details.

    (a) Definition. In this section, detail means the temporary 
assignment of an SES member to another position (within or outside of 
the SES) or the temporary assignment of a non-SES member to an SES 
position, with the expectation that the employee will return to the 
official position of record upon expiration of the detail. For purposes 
of pay and benefits, the employee continues to encumber the position 
from which detailed. The provisions of this section cover details within 
or outside of the employing agency.
    (b) Time limits. (1) Details within an executive agency or military 
department must be made in no more than 120-day increments.
    (2) An agency may not detail an SES employee to unclassified duties 
for more than 240 days.
    (3) An agency must use competitive procedures when detailing a non-
SES employee to an SES position for more than 240 days unless the 
employee is eligible for a noncompetitive career SES appointment.
    (4) An agency must obtain OPM approval for a detail of more than 240 
days if the detail is of:
    (i) A non-SES employee to an SES position that supervises other SES 
positions; or
    (ii) An SES employee to a position at the GS-15 or equivalent level 
or below.
    (c) SES career reserved positions. Only a career SES appointee or a 
career-type non-SES appointee may be detailed to a career reserved 
position.
    (d) SES general positions. Any SES appointee or non-SES appointee 
may be detailed to a general position.

[54 FR 9760, Mar. 8, 1989, as amended at 60 FR 6387, Feb. 2, 1995]



Sec. 317.904  Change in type of SES appointment.

    An agency may not require a career SES appointee to accept a 
noncareer or limited SES appointment as a condition of appointment to 
another SES position. If a career appointee elects to accept a noncareer 
or limited appointment, the voluntary nature of the action must be 
documented in writing before the effective date of the new appointment. 
A copy of such documentation must be retained permanently in the 
appointee's Official Personnel Folder.



                      Subpart J--Corrective Action



Sec. 317.1001  OPM authority for corrective action.

    If OPM finds that an agency has taken an action contrary to law or 
regulation under this part, it may require the agency to take 
appropriate corrective action.

[54 FR 9761, Mar. 8, 1989]



PART 319--EMPLOYMENT IN SENIOR-LEVEL AND SCIENTIFIC AND PROFESSIONAL POSITIONS--Table of Contents




                           Subpart A--General

Sec.
319.101 Coverage.
319.102 Senior-level positions.
319.103 Scientific and professional positions.
319.104 Applicable instructions.
319.105 Reporting requirements.

            Subpart B--Position Allocations and Establishment

319.201 Coverage.
319.202 Allocation of positions.
319.203 Establishment of positions.

                 Subpart C--Qualifications Requirements

319.301 Qualifications standards.
319.302 Individual qualifications.

                 Subpart D--Recruitment and Examination

319.401 Senior-level positions.
319.402 Scientific and professional positions.

    Authority: 5 U.S.C. 1104, 3104, 3324, 3325, 5108, and 5376.

    Source: 60 FR 6387, Feb. 2, 1995, unless otherwise noted.

[[Page 193]]



                           Subpart A--General



Sec. 319.101  Coverage.

    (a) This part covers senior-level (SL) and scientific and 
professional (ST) positions that are classified above GS-15 and are paid 
under 5 U.S.C. 5376. See 5 CFR part 534, subpart E, for pay provisions.
    (b) Positions that meet the criteria for placement in the Senior 
Executive Service (SES) under 5 U.S.C. 3132(a) may not be placed in the 
SL or ST system and are not covered by this part.



Sec. 319.102  Senior-level positions.

    (a) SL positions are positions classified above GS-15 pursuant to 5 
U.S.C. 5108 that are not covered by other pay systems (e.g. the SES and 
ST systems).
    (b) Positions in agencies that are excluded from 5 U.S.C. chapter 51 
(Classification) under section 5102(a), or positions that meet one of 
the exclusions in section 5102(c), are excluded from the SL system.
    (c) SL positions in the executive branch are in the competitive 
service unless the position is excepted by statute, Executive order, or 
the Office of Personnel Management (OPM).



Sec. 319.103  Scientific and professional positions.

    (a) ST positions are established under 5 U.S.C. 3104 to carry out 
research and development functions that require the services of 
specially qualified personnel.
    (b) Research and development functions are defined in The Guide to 
Personnel Data Standards under the data element ``Functional 
Classification.'' The guide is available for inspection at the Office of 
Personnel Management library, 1900 E Street, NW., Washington DC 20415.
    (c) An ST position must be engaged in research and development in 
the physical, biological, medical, or engineering sciences, or a closely 
related field.
    (d) ST positions are in the competitive service.



Sec. 319.104  Applicable instructions.

    Provisions in statute, Executive order, or regulations that relate 
in general to competitive and excepted service positions and employment 
apply to positions and employment under the SL and ST systems unless 
there is a specific provision to the contrary.



Sec. 319.105  Reporting requirements.

    Agencies shall report such information as may be requested by OPM 
relating to SL and ST positions and employees.



            Subpart B--Position Allocations and Establishment



Sec. 319.201  Coverage.

    This section applies to SL positions in an executive agency per 5 
U.S.C. 5108 and ST positions in any agency per 5 U.S.C. 3104.



Sec. 319.202  Allocation of positions.

    SL and ST positions may be established only under a position 
allocation approved by OPM.



Sec. 319.203  Establishment of positions.

    (a) Prior approval of OPM is not required to establish individual SL 
and ST positions within an allocation, but the positions must be 
established in accordance with the standards and procedures in paragraph 
(b) of this section. OPM reserves the right to require the prior 
approval of individual positions if the agency is not in compliance with 
these standards and procedures.
    (b) Before an SL or ST position may be established, an agency must:
    (1) Prepare a description of the duties, responsibilities, and 
supervisory relationships of the position; and
    (2) Determine, consistent with published position classification 
standards and guides and accepted classification principles, that the 
position is properly classified above GS-15. In addition, for an ST 
position an agency must determine that the position meets the functional 
research and development criteria described in Sec. 319.103.



                 Subpart C--Qualifications Requirements



Sec. 319.301  Qualifications standards.

    (a) General. Agency heads are responsible for establishing 
qualifications

[[Page 194]]

standards in accordance with the criteria in this section.
    (1) The standard must be in writing and identify the breadth and 
depth of the knowledges, skills, and abilities, or other qualifications, 
required for successful performance in the position.
    (2) Each criterion in the standard must be job related.
    (3) The standard may not include any criterion prohibited by law or 
regulation.
    (b) Standards for senior-level positions. (1) The standard must be 
specific enough to enable applicants to be rated and ranked according to 
their degree of qualifications when the position is being filled on a 
competitive basis.
    (2) The standard may not include a minimum length of experience or 
minimum education requirement beyond that authorized for similar 
positions in the General Schedule.
    (c) Standards for scientific and professional positions. (1) Unless 
the agency obtains the approval of OPM, the standard must provide that 
the candidate have at least 3 years of specialized experience in, or 
closely related to, the field in which the candidate will work. At least 
1 year of this experience must have been in planning and executing 
difficult programs of national significance or planning and executing 
specialized programs that show outstanding attainments in the field of 
research or consultation.
    (2) Agencies may require that at least 1 year of the specialized 
experience must be at least equivalent to experience at GS-15.
    (3) Agencies may require applicants to furnish positive evidence 
that they have performed highly creative or outstanding research where 
similar abilities are required in the ST position.



Sec. 319.302  Individual qualifications.

    Agency heads are delegated authority to approve the qualifications 
of individuals appointed to SL and ST positions. The agency head must 
determine that the individual meets the qualifications standards for the 
position to which appointed.



                 Subpart D--Recruitment and Examination



Sec. 319.401  Senior-level positions.

    (a) General. SL positions may be in either the competitive or 
excepted service. This section only applies to appointments in the 
competitive service from a civil service register. Reassignments, 
promotions, transfers, and reinstatements to SL positions in the 
competitive service shall be made in accordance with applicable 
statutory and regulatory provisions. Employment of SL employees in the 
excepted service is covered by 5 CFR, part 302.
    (1) Agency heads are delegated authority to recruit and examine 
applicants for SL positions in the competitive service, establish 
competitor inventories, and issue certificates of eligibility in 
conformance with the requirements of this section, other applicable 
regulations, and statute.
    (2) Agencies shall take such action as OPM may require to correct an 
action taken under delegated authority.
    (3) Delegated authority may be terminated or suspended at any time 
by OPM for reasons such as, but not limited to:
    (i) Evidence of unequal treatment of candidates; or
    (ii) Identifiable merit system abuses.
    (b) Recruitment. (1) A recruiting plan, with appropriate emphasis on 
affirmative recruitment, must be developed and followed.
    (2) Vacancy announcements must remain open for a minimum of 14 
calendar days. The closing date may not be a nonworkday.
    (3) State Job Service offices must be notified of the vacancy in 
accordance with 5 CFR 330.102. Publication in OPM's listing of Senior 
Executive Service and other executive vacancies, which is provided the 
offices, will satisfy this requirement.
    (c) Evaluation and selection. Examination and selection procedures, 
and rights of applicants, are subject to the same provisions in statute 
and regulation that govern civil service examinations and appointments 
in general.
    (d) Records. (1) Agencies must maintain records sufficient to allow 
reconstruction of the merit staffing process.

[[Page 195]]

    (2) Records must be kept for 2 years after an appointment, or, if no 
appointment is made, for 2 years after the closing date of the vacancy 
announcement.



Sec. 319.402  Scientific and professional positions.

    (a) ST positions are filled without competitive examination under 5 
U.S.C. 3325.
    (b) ST positions are not subject to the citizenship requirements in 
5 CFR part 338, subpart A. Agencies, however, must observe any 
restrictions on the employment of noncitizens in applicable 
appropriations acts.
    (c) ST employees acquire competitive status immediately upon 
appointment. They are not required to serve a probationary or trial 
period.



PART 330--RECRUITMENT, SELECTION, AND PLACEMENT (GENERAL)--Table of Contents




               Subpart A--Discretion in Filling Vacancies

Sec.
330.101 Methods of filling vacancies.
330.102 Federal employment information.

               Subpart B--Reemployment Priority List (RPL)

330.201 Establishment and maintenance of RPL.
330.202 Application.
330.203 Eligibility due to reduction in force.
330.204 Eligibility due to compensable injury.
330.205 Employment restrictions.
330.206 Job consideration.
330.207 Selection from RPL.
330.208 Qualification requirements.
330.209 Appeals.

Subpart C [Reserved]

         Subpart D--Positions Restricted to Preference Eligibles

330.401 Competitive examination.
330.402 Direct recruitment.
330.403 Noncompetitive actions.
330.404 Displacement of preference eligibles occupying restricted 
          positions in contracting out situations.
330.405 Agency placement assistance.
330.406 OPM placement assistance.
330.407 Eligibility for the Interagency Career Transition Assistance 
          Plan.

        Subpart E--Restrictions To Protect Competitive Principles

330.501 General restriction on movement after competitive appointment.
330.502 [Reserved]
330.503 Assessment of compliance with competitive principles.
330.504 Special restrictions after appointment under Part-time Direct 
          Hire Program.
330.505 Nonapplicability to persons within reach on registers.

 Subpart F--Agency Career Transition Assistance Plans (CTAP) for Local 
                     Surplus and Displaced Employees

330.601 Purpose.
330.602 Agency plans.
330.603 [Reserved]
330.604 Definitions.
330.605 Eligibility.
330.606 Order of selection for filling vacancies from within the agency.
330.607 Notification of surplus and displaced employees.
330.608 Application and selection.
330.609 Qualification reviews.
330.610 [Reserved]
330.611 Oversight.

 Subpart G--Interagency Career Transition Assistance Plan for Displaced 
                                Employees

330.701 Purpose.
330.702 [Reserved]
330.703 Definitions.
330.704 Eligibility.
330.705 Order of selection in filling vacancies from outside the 
          agency's workforce.
330.706 Notification of displaced employees.
330.707 Reporting vacancies to OPM.
330.708 Application and selection.
330.709 Qualification reviews.
330.710 [Reserved]
330.711 Oversight.

Subpart H-I [Reserved]

                     Subpart J--Prohibited Practices

330.1001 Withdrawal from competition.

    Subpart K--Federal Employment Priority Consideration Program for 
     Displaced Employees of the District of Columbia Department of 
                               Corrections

330.1101 Purpose.
330.1102 Duration.
330.1103 Definitions.
330.1104 Eligibility.
330.1105 Selection.

[[Page 196]]

330.1106 Appointment.

Subpart L--Interagency Career Transition Assistance for Displaced Former 
                       Panama Canal Zone Employees

330.1201 Purpose.
330.1202 Definitions.
330.1203 Eligibility
330.1204 Selection.

    Authority: 5 U.S.C. 1302, 3301, 3302; E.O. 10577, 19 FR 7521, 3 CFR, 
1954-58, Comp., p. 218.
    Section 330.102 also issued under 5 U.S.C. 3327.
    Subpart B also issued under 5 U.S.C. 3315 and 8151.
    Section 330.401 also issued under 5 U.S.C. 3310.
    Subpart G also issued under 5 U.S.C. 8337(h) and 8456(b).
    Subpart K also issued under sec. 11203 of Pub. L. 105-33 (111 Stat. 
738) and Pub. L. 105-274 (112 Stat. 2424).
    Subpart L also issued under sec. 1232 of Pub. L. 96-70, 93 Stat. 
452.

    Source: 33 FR 12425, Sept. 4, 1968, unless otherwise noted.



               Subpart A--Discretion in Filling Vacancies



Sec. 330.101  Methods of filling vacancies.

    An appointing officer may fill a position in the competitive service 
by any of the methods authorized in this chapter. He shall exercise his 
discretion in each personnel action solely on the basis of merit and 
fitness and without the discrimination prohibited in part 713 of this 
chapter.



Sec. 330.102  Federal employment information.

    (a) Vacancies open to the public--(1) Notice required--(i) Under 5 
U.S.C. 3327, Federal agencies must notify OPM promptly of:
    (A) Open competitive examinations;
    (B) Vacancies in the competitive service to be filled under direct 
hire procedures or part 333 of this chapter; and
    (C) Vacancies in the Senior Executive Service for which the agency 
seeks applications from persons outside the Federal service. Also, in 
accordance with Sec. 317.501(b)(2) of this chapter, agencies must notify 
OPM of all Senior Executive Service vacancies to be filled by initial 
career appointment.
    (ii) OPM will provide this information to the employment offices of 
the United States Employment Service.
    (2) Agencies covered. Paragraph (a)(1) of this section applies to:
    (i) The executive departments listed at 5 U.S.C. 101;
    (ii) The military departments listed at 5 U.S.C. 102;
    (iii) Government owned corporations in the executive branch as 
described at 5 U.S.C. 103;
    (iv) Independent establishments in the executive branch as described 
at 5 U.S.C. 104, including the Nuclear Regulatory Commission; and
    (v) Government Printing Office.
    (b) All other vacancies--(1) Notice required. Under 5 U.S.C. 3330, 
OPM must maintain, and make available to the public, a list of agency 
vacancy announcements for positions in the competitive service. Under 
Sec. 330.707 of this chapter, agencies must notify OPM promptly of 
competitive service vacancies to be filled for more than 120 days when 
the agency will accept applications from individuals outside the 
agency's own work force.
    (2) [Reserved]
    (c) Funding. Under 5 U.S.C. 3330(f), OPM is authorized to charge 
fees to agencies for their share of the cost of providing employment 
information to the public and to Federal employees. OPM will work with 
agencies to review the effectiveness and efficiency of the Federal 
Employment Information System in meeting Federal agency and public needs 
and identify improvements to the system, consistent with the minimum 
level of service and statutory requirements. Subsequently, OPM will 
annually compute the cost of providing employment information and notify 
each agency of its share, along with a full accounting of the costs, and 
payment procedures.

[61 FR 11501, Mar. 21, 1996, as amended at 62 FR 31320, June 9, 1997]



               Subpart B--Reemployment Priority List (RPL)

    Source: 53 FR 45067, Nov. 8, 1988, unless otherwise noted.

[[Page 197]]



Sec. 330.201  Establishment and maintenance of RPL.

    (a) The reemployment priority list (RPL) is the mechanism agencies 
use to give reemployment consideration to their former competitive 
service employees separated by reduction in force (RIF) or fully 
recovered from a compensable injury after more than 1 year. The RPL is a 
required component of agency positive placement programs. In filling 
vacancies, the agency must give RPL registrants priority consideration 
over certain outside job applicants and, if it chooses, also may 
consider RPL registrants before considering internal candidates.
    (b) Each agency is required to establish and maintain a reemployment 
priority list for each commuting area in which it separates eligible 
competitive service employess by RIF or when a former employee recovers 
from a compensable injury after more than 1 year, except as provided in 
paragraph (c) of this section. For purposes of this subpart, agency 
means Executive agency as defined in 5 U.S.C. 105. All components of an 
agency within the commuting area utilize a single RPL and are 
responsible for giving priority consideration to the RPL registrants.
    (c) An agency need not maintain a distinct RPL for employees 
separated by reduction in force if the agency operates a placement 
program for its employees and obtains OPM concurrence that the program 
satisfies the basic requirements of this subpart. The intent of this 
provision is to allow agencies to adopt different placement strategies 
that are effective for their particular programs yet satisfy legal 
entitlements to priority consideration in reemployment.

[60 FR 3058, Jan. 13, 1995]



Sec. 330.202  Application.

    (a)(1) To be entered on the RPL, an eligible employee under 
Sec. 330.203 must complete an application prescribed by the employing 
agency and inform the agency of any significant changes in the 
information provided. This application must provide for the employee to 
specify the conditions under which he or she will accept employment, 
including grade, occupation, and minimum hours or work per week, in 
addition to positions at the same representative rate and type of work 
schedule (e.g., full-time, part-time, seasonal, intermittent, on-call, 
etc.) as the position from which the employee was or will be separated. 
Registration may take place as soon as a specific notice of separation 
under part 351 of this chapter, or a Certification of Expected 
Separation as provided in Sec. 351.807 of this chapter, has been issued. 
The employee must submit the application within 30 calendar days after 
the RIF separation date. An employee who fails to submit a timely 
application is not entitled to be placed on the RPL. If an agency has 
components scattered throughout a large commuting area, the agency may 
allow eligibles to indicate their availability only for certain sub-
areas within the commuting area. However, the agency cannot deny 
consideration throughout the entire commuting area if the eligible wants 
it.
    (2) An eligible employee under Sec. 330.204 must request 
reemployment within 30 calendar days after the date compensation ceases, 
except that when an appeal for continuation of compensation is filed, 
the 30-day period begins the day after resolution is reached. No 
specific format is required.
    (b) An agency must enroll an individual on the RPL no later than 10 
calendar days after receipt of an application or request.
    (c) Agencies should be prepared to assist employees, when requested, 
in identifying and listing on the reemployment priority list (RPL) 
application those positions within the agency for which the employee 
qualifies and is interested.

[53 FR 45067, Nov. 8, 1988, as amended at 60 FR 3059, Jan. 13, 1995]



Sec. 330.203  Eligibility due to reduction in force.

    (a) To apply for the RPL, an employee must meet all the following 
conditions:
    (1) Be serving under an appointment in the competitive service in 
tenure group I or II;
    (2) Have received a rating above unacceptable (level 1) as the last 
annual performance rating of record for part 351 purposes (except for 
employees in

[[Page 198]]

positions excluded from a performance appraisal system by law, 
regulation, or OPM administrative action);
    (3) Have received a specific notice of separation under part 351 of 
this chapter, or a Certification of Expected Separation as provided in 
Sec. 351.807 of this chapter; and
    (4) Have not declined an offer under subpart G of part 351 of this 
chapter of a position with the same type of work schedule and a 
representative rate at least as high as that of the position from which 
the employee was or will be separated.
    (b) At the time it gives a specific RIF notice of separation or a 
Certification of Expected Separation, the agency must give each eligible 
employee information about the RPL, including appeal rights.
    (c) A tenure group I employee is eligible for the RPL for 2 years, 
and a tenure group II employee is eligible for 1 year, from the date the 
employee is entered on the RPL.
    (d)(1) When an individual declines an offer of career, career-
conditional, or excepted appointment without time limit or fails to 
reply to an inquiry, under this subpart, and the position meets the 
acceptable conditions shown in his or her application, he or she loses 
RPL consideration for all positions with a representative rate at or 
below that grade. However, subject to paragraph (d)(2)(iii) of this 
section, the individual retains eligibility for positions with a higher 
representative rate up to the last grade held.
    (2) Also, an individual is taken off the RPL before the period of 
eligibility expires when the individual:
    (i) Requests removal;
    (ii) Receives a career, career-conditional, or excepted appointment 
without time limit in any agency;
    (iii) Declines an offer of career, career-conditional, or excepted 
appointment without time limit or fails to reply to an inquiry, under 
this subpart, by the employee's former agency, concerning a specific 
position having a representative rate at least as high, and with the 
same type of work schedule, as that of the position from which the 
person was or will be separated.
    (iv) Separates for some other reason (such as retirement, 
resignation, etc.) before the date the RIF separation would take effect. 
An employee who retires on or after the date of separation by RIF does 
not lose RPL eligibility.
    (v) Declines an interview or fails to appear for a scheduled 
interview only if notified in advance of this requirement and the 
subsequent consequences.
    (vi) In the case of an individual enrolled on an RPL for Alaska or 
overseas, leaves the area covered by that RPL or becomes disqualified 
for overseas employment because of previous service or residence.
    (3) When an agency removes an individual from the RPL because of 
failure to reply to a specific permanent job offer or an inquiry of 
availability for a specific permanent vacancy, the agency must have 
evidence to show that a written offer or inquiry was made (e.g., a 
Postal Service ``return receipt signed by addressee only''). The written 
offer or inquiry to the individual must clearly state that failure to 
respond will result in loss of RPL consideration for that grade or 
higher grades, if eligible.
    (e) Declination of nonpermanent employment has no effect on RPL 
eligibility or continuation of RPL consideration.
    (f) Consideration for all jobs (whether permanent or nonpermanent) 
is suspended for any individual who cannot be reached by the agency. 
Submission of an updated application can reinstate consideration, but 
the period of eligibility is not extended beyond the original time set 
in paragraph (c) of this section.
    (g) Eligibles who had agreed to transfer with their function but 
were separated by RIF from the gaining competitive area are registered 
on the RPL of the gaining competitive area.

[53 FR 45067, Nov. 8, 1988, as amended at 57 FR 21890, May 26, 1992; 60 
FR 3059, Jan. 13, 1995]



Sec. 330.204  Eligibility due to compensable injury.

    (a) A competitive service employee in tenure group I or II who is 
separated (or who accepts a lower graded position in lieu of separation) 
because of a compensable injury of disability (as defined in part 353 of 
this chapter) who has fully recovered more than 1 year after 
compensation began is entitled to be

[[Page 199]]

placed on the RPL provided the individual applies within the timeframes 
addressed in Sec. 330.202. Part 353 of this chapter contains information 
on eligibility.
    (b) A former tenure group I employee is eligible for the RPL for 2 
years, and a former tenure group II employee is eligible for 1 year, 
from the date the individual is entered on the RPL. An individual is 
taken off the RPL before the period of eligibility expires when the 
individual:
    (1) Requests removal;
    (2) Receives a career, career-conditional, or excepted appointment 
without time limit in any agency; or
    (3) Declines an offer or fails to respond to an inquiry of 
availability about a specific position that is the same as or equivalent 
to the position from which separated.
    (c) A former employee must request reemployment consideration with 
the time limits set in Sec. 330.202.

[53 FR 45067, Nov. 8, 1988, as amended at 60 FR 3059, Jan. 13, 1995]



Sec. 330.205  Employment restrictions.

    (a) The restrictions in paragraph (b) of this section apply to the 
filling of all competitive service vacancies, regardless of whether an 
agency plans to make a temporary, term, or permanent appointment. This 
means an agency must consider RPL registrants for nonpermanent as well 
as permanent positions when they have indicated such interest on their 
RPL application.
    (b) When a qualified individual is available on an agency's RPL, the 
agency may not make a final commitment to an individual not on the RPL 
to fill a permanent or temporary competitive service position by:
    (1) A new appointment, unless the individual appointed is a 
qualified 10-point preference eligible; or
    (2) Transfer or reemployment, unless the individual appointed is a 
preference eligible, is exercising restoration rights under part 353 of 
this chapter based on return from military service or recovery from a 
compensable injury or disability within 1 year, or is exercising other 
statutory or regulatory reemployment rights.
    (c) Paragraph (b) of this section does not apply to actions 
involving employees on an agency's rolls, as authorized in paragraphs 
(c) (1), (2), and (3) of this section, or in filling a specific 
position:
    (1) When all qualified individuals on the RPL decline an offer of a 
specific position or fail to respond to an official agency inquiry about 
their availability for it; or
    (2) By a current, qualified employee of the agency through:
    (i) Detail or position change (promotion, demotion, reassignment); 
or
    (ii) Conversion to competitive appointment of employees currently 
serving under appointments that carry a noncompetitive conversion 
eligibility (e.g., Veterans Readjustment Appointee, 30 percent disabled 
veterans, disabled employees under Schedule A appointment, Presidential 
Management Interns, cooperative education students under Schedule B 
appointment, and TAPERS); or
    (iii) Reappointment without a break in service to the same position 
currently held by an employee serving under a temporary appointment of 1 
year or less (only to another temporary appointment not to exceed 1 year 
or less and not to a permanent appointment); or
    (iv) Extension of an employee's temporary appointment up to the 
maximum permitted by the appointment authority or as authorized by OPM.
    (3) By a 30-day special needs appointment or 700 hour temporary 
appointment of a severely disabled or mentally restored individual, when 
the agency's staffing policies provide for these exceptions.
    (d) An agency must clear the RPL at the grade level at which it 
fills a position (regardless of the full performance level). Similarly, 
if an agency advertises a position at multiple grade levels, it must 
clear the RPL only at the grade level at which the position is 
ultimately filled.
    (e) Once an agency has cleared its RPL and made a final employment 
commitment to an individual, the later registration of another employee 
on the RPL does not prevent the fulfillment of the original commitment, 
regardless of when the individual actually enters on duty.

[[Page 200]]

    (f) An agency may make an exception to this section and appoint an 
individual not on the RPL as authorized by Sec. 330.207(d).
    (g) When submitting a request for referral of eligibles, an agency 
is required to indicate that no qualified RPL registrant is available 
for the vacancy and therefore the agency may make a new appointment. 
Similarly, an agency must clear its RPL before making appointments under 
a direct-hire authority, which includes the Outstanding Scholar 
provision, or delegated examining authority.

[60 FR 3059, Jan. 13, 1995]



Sec. 330.206  Job consideration.

    (a)(1) An eligible employee under Sec. 330.203 is entitled to 
consideration for positions in the commuting area for which qualified 
and available that are at no higher grade (or equivalent), have no 
greater promotion potential than the position from which the employee 
was or will be separated, and have the same type of work schedule. In 
addition, an employee is entitled to consideration for any higher grade 
previously held on a nontemporary basis in the competitive service from 
which the employee was demoted under part 351 of this chapter.
    (2) An employee is considered for positions having the same type of 
work schedule as the position from which separated except that the 
agency, at its discretion, may adopt provisions permitting employees to 
request consideration for other work schedules in addition to that 
formerly held.
    (3) An eligible employee may be entered on the RPL only for the 
commuting area in which separated and may not apply for the RPL in any 
other location, except as provided in paragraph (a)(4) of this section.
    (4) Each eligible employee in a position in Alaska or overseas is 
entitled to apply for the RPL for the commuting area in which separated, 
unless:
    (i) The employee leaves that area and makes a written request for 
entry on the RPL for the commuting area from which he or she was 
employed for Alaskan or overseas service, or in another area within the 
United States outside of Alaska that is mutually acceptable to the 
individual and the agency; or
    (ii) The agency has a general program for rotating employees between 
overseas areas and the United States and the employee's immediately 
preceding overseas service or residence, combined with prospective 
overseas service under available appointments, would exceed the maximum 
duration of an overseas duty tour in the agency rotation program. In 
this case, the employee may apply for one other commuting area within 
the United States that is mututally acceptable to the individual and the 
agency.
    (b)(1) An eligible employee under Sec. 330.205 is placed on the RPL 
for reemployment consideration for his or her former position or an 
equivalent one. If the individual cannot be placed in such a position in 
the former commuting area, he or she is entitled to priority 
consideration for an equivalent position elsewhere in the agency at the 
time and in a manner as the agency determines will provide the 
individual with maximum opportunities for consideration.
    (2) In lieu of expanded consideration in other locations, an 
individual who cannot be placed in his or her former or equivalent 
position in the former commuting area may elect to be considered for the 
next best available position in the former commuting area.

[53 FR 45067, Nov. 8, 1988, as amended at 60 FR 3060, Jan. 13, 1995]



Sec. 330.207  Selection from RPL.

    (a) Options. An agency must adopt one of the selection methods in 
paragraphs (b) and (c) of this section for use in operating a single 
RPL. The agency may adopt the same method for each RPL it establishes or 
may vary the method by location, but it must adopt a written policy for 
each RPL it establishes and maintains. After a method is adopted, the 
agency uses that method in filling all positions. While an agency may 
not vary the method used by individual vacancy, it may at any time 
switch selection methods for employees enrolled on the RPL.
    (b) Retention standing order. For each vacancy to be filled, the 
agency shall place qualified individuals in group and subgroup order in 
accordance with part

[[Page 201]]

351 of this chapter. In making a selection, an agency may not pass over 
an individual in group I to select from group II and, within a group, 
may not pass over an individual in a higher subgroup to select from a 
lower subgroup. Within a subgroup, an agency may select an individual 
without regard to order of retention standing. A person has no greater 
priority for the grade or position from which separated than any other 
person on the list who is qualified for the vacancy. An agency may make 
an exception to this selection order only in accordance with paragraph 
(d) of this section.
    (c)(1) Rating and ranking. For each vacancy to be filled, the agency 
rates qualified individuals according to their job experience and 
education. To do this, an agency shall develop job-related evaluation 
procedures capable of distinguishing differences in qualifications 
measured, which shall be applied in a fair and consistent manner. Based 
on these procedures, the agency shall assign qualified individuals a 
numerical score of at least 70 on a scale of 100. The agency shall grant 
5 additional points to preference eligibles under section 2108(3)(A) and 
(B) of title 5, United States Code, and 10 additional points to 
preference eligibles under section 2108(3) (C) through (G) of that 
title.
    (2) Individuals with an eligible numerical score shall be ranked in 
the following order:
    (i) Preference eligibles having a compensable service-connected 
disability of 10 percent or more in the order of their augmented 
ratings, unless the position to be filled is a professional position at 
and above the GS-9 level, or equivalent; and
    (ii) All other qualified candidates in the order of their augmented 
ratings. At each score, qualified candidates eligible for 10-point 
preference will be entered ahead of all other eligibles, and those 
eligible for 5-point preference will be entered ahead of those not 
eligible for veteran preference.
    (3) An agency must make its selection from not more than the highest 
three candidates available and may pass over a preference eligible to 
select a nonpreference eligible only as an exception under paragraph (d) 
of this section.
    (d) Exceptions. An agency may make an exception to this subpart and 
appoint an individual who is not on the RPL or has lower standing than 
others on the RPL. The exception may be granted only when necessary to 
obtain an employee for duties that cannot be taken over without undue 
interruption (as defined in Sec. 351.203 of this chapter) to the agency 
by an individual who is on the RPL or has higher standing than the one 
appointed. The agency shall notify, in writing, each individual on the 
RPL who is adversely affected by an appointment under this paragraph of 
the reasons for the exception and of the right of appeal to the Merit 
Systems Protection Board.

[53 FR 45067, Nov. 8, 1988, as amended at 60 FR 3060, Jan. 13, 1995]



Sec. 330.208  Qualification requirements.

    (a) Subject to applicable requirements of law and this chapter, an 
individual is considered qualified for a position if he or she:
    (1) Meets OPM-established or approved qualification standards and 
requirements for the position, including any minimum educational 
requirements, and any selection placement factors established by the 
agency;
    (2) Is physically qualified, with reasonable accommodation where 
appropriate, to perform the duties of the position; and
    (3) Meets any special qualifying condition that OPM has approved for 
the position.
    (4) Meets any other applicable requirement for appointment to the 
competitive service.
    (b) An agency may make an exception to the qualification standard 
and adopt an alternative standard under the following conditions (this 
provision does not authorize waiver of the selection order required by 
Sec. 330.207):
    (1) The exception is applied consistently and equitably in filling a 
position;
    (2) The individual meets any minimum educational requirement for the 
position; and
    (3) The agency determines that the individual has the capacity, 
adaptability, and special skills needed to

[[Page 202]]

satisfactorily perform the duties and responsibilities of the position.
    (c) The sex of an individual may not be considered in determining 
qualifications for a position, except positions for which OPM has 
determined certification of eligibles by sex is justified.

[53 FR 45067, Nov. 8, 1988, as amended at 60 FR 3061, Jan. 13, 1995]



Sec. 330.209  Appeals.

    An individual who believes that his or her reemployment priority 
rights under this subpart have been violated because of the employment 
of another person who otherwise could not have been appointed properly 
may appeal to the Merit Systems Protection Board under the provisions of 
the Board's regulations.

Subpart C [Reserved]



         Subpart D--Positions Restricted to Preference Eligibles

    Source: 65 FR 52642, Aug. 30, 2000, unless otherwise noted.



Sec. 330.401  Competitive examination.

    In each entrance examination for the positions of custodian, 
elevator operator, guard, and messenger (referred to in this subpart as 
restricted positions), OPM shall restrict competition to preference 
eligibles as long as preference eligibles are available.



Sec. 330.402  Direct recruitment.

    In direct recruitment by an agency under delegated authority, the 
agency shall fill each restricted position by the appointment of a 
preference eligible as long as preference eligibles are available.



Sec. 330.403  Noncompetitive actions.

    An agency may fill a restricted position by the appointment by 
noncompetitive action of a nonpreference eligible only when authorized 
by OPM.



Sec. 330.404  Displacement of preference eligibles occupying restricted positions in contracting out situations.

    An individual agency and OPM both have additional responsibilities 
when the agency decides, in accordance with the Office of Management and 
Budget (OMB) Circular A-76, to contract out the work of a preference 
eligible who holds a restricted position. These additional 
responsibilities are applicable if a preference eligible holds a 
competitive service position that is:
    (a) A restricted position as designated in 5 U.S.C. 3310 and 
Sec. 330.401; and
    (b) In retention tenure group tenure I or II, as defined in 
Sec. 351.501(b) (1) and (2) of this chapter.



Sec. 330.405  Agency placement assistance.

    An agency that separates a preference eligible from a restricted 
position by reduction in force under part 351 of this chapter because of 
a contracting out situation covered in Sec. 330.404 must, consistent 
with Sec. 330.602, advise the employee of the opportunity to participate 
in available career transition programs. The agency is also responsible 
for:
    (a) Applying OMB's policy directives on the preference eligibles' 
right of first refusal for positions that are contracted out to the 
private sector; and
    (b) Cooperating with State units as designated or created under 
title I of the Workforce Investment Act of 1998, to retrain displaced 
preference eligibles for other continuing positions.

[65 FR 52642, Aug. 30, 2000, as amended at 65 FR 64133, Oct. 26, 2000]



Sec. 330.406  OPM placement assistance.

    OPM's responsibilities include:
    (a) Assisting agencies in operating positive placement programs, 
such as the Career Transition Assistance Plan, which is authorized by 
subpart F of this part;
    (b) Providing interagency selection priority through the Interagency 
Career Transition Assistance Plan, which is authorized by subpart G of 
this part; and
    (c) Encouraging cooperation between local Federal activities to 
assist these displaced preference eligibles in applying for other 
Federal positions, including positions with the U.S. Postal Service.

[[Page 203]]



Sec. 330.407  Eligibility for the Interagency Career Transition Assistance Plan.

    (a) A preference eligible who is separated from a restricted 
position by reduction in force under part 351 of this chapter because of 
a contracting out situation covered in Sec. 330.404 has interagency 
selection priority under the Interagency Career Transition Assistance 
Plan, which is authorized by subpart G of this part. Section 330.704 
covers the general eligibility requirements for the Interagency Career 
Transition Assistance Plan.
    (b) A preference eligible covered by this subpart is eligible for 
the Interagency Career Transition Assistance Plan for 2 years following 
separation by reduction in force from a restricted position.



        Subpart E--Restrictions To Protect Competitive Principles



Sec. 330.501  General restriction on movement after competitive appointment.

    An agency may promote an employee or reassign him to a different 
line of work, or to a different geographical area, and it may transfer a 
present employee or reinstate a former employee of the same or another 
agency to a higher grade or different line of work, or to a different 
geographical area, only after 3 months have elapsed since the employee's 
latest nontemporary competitive appointment. OPM may waive the 
restriction against movement to a different geographical area when it is 
satisfied that the waiver is consistent with the principles of open 
competition.

[37 FR 11965, June 16, 1972]



Sec. 330.502  [Reserved]



Sec. 330.503  Assessment of compliance with competitive principles.

    As one factor in assessing an agency's compliance with competitive 
principles, OPM will consider the relationship between appointments from 
competitive examinations and subsequent position changes. When OPM finds 
that an agency has not complied with competitive principles, either in 
an individual case or on a program basis, OPM will require the agency to 
take appropriate corrective action.

[37 FR 11965, June 16, 1972]



Sec. 330.504  Special restrictions after appointment under Part-time Direct Hire Program.

    (a) A person hired under the Part-time Direct Hire Program may not 
be changed to full time through:
    (1) Position change;
    (2) Work schedule change;
    (3) Transfer; or
    (4) Reinstatement based on appointment under the Part-time Direct 
Hire Program until he or she has completed at least 1 calendar year of 
service in a part-time position under the program.
    (b) In the event of a break in service, the service requirement in 
paragraph (a) of this section is computed on the basis of the employee's 
total time in a pay status, 365 days equaling 1 calendar year.
    (c) Agencies may waive this restriction only in the event of extreme 
personal hardship to the employee.

[45 FR 65493, Oct. 3, 1980]



Sec. 330.505  Nonapplicability to persons within reach on registers.

    The restrictions in this subpart do not apply to a person who is 
within reach on a register for competitive appointment to the position 
to be filled.

[34 FR 2649, Feb. 27, 1969]



 Subpart F--Agency Career Transition Assistance Plans (CTAP) for Local 
                     Surplus and Displaced Employees

    Authority: Presidential memorandum dated September 12, 1995, 
entitled ``Career Transition Assistance for Federal Employees''.

    Source: 62 FR 31320, June 9, 1997, unless otherwise noted.



Sec. 330.601  Purpose.

    (a) This subpart implements the President's memorandum of September 
12, 1995, to establish agency Career Transition Assistance Plans for 
Federal employees during a period of severe Federal downsizing. It is 
the policy of the United States Government to

[[Page 204]]

provide services to help surplus and displaced Federal employees take 
charge of their own careers and find other job offers, either within the 
Federal Government or in the private sector.
    (b) These regulations set forth minimum criteria for agency Career 
Transition Assistance Plans. Consistent with the regulations, agencies 
may supplement these provisions to expand career transition 
opportunities to their surplus and displaced workers at their 
discretion.
    (c) Sections 330.602(a)(2) and 330.604 through 330.609 do not apply 
to the Department of Defense Priority Placement Program.
    (d) New negotiated agreements and agreements which have expired 
since February 29, 1996, the effective date of the interim regulations, 
will be subject to the provisions set forth in this part.



Sec. 330.602  Agency plans.

    (a) Each agency will establish a Career Transition Assistance Plan 
(CTAP) to actively assist its surplus and displaced employees. A copy of 
the final plan and any additional modified plans will be sent to OPM as 
approved by the agency/department head or deputy or under secretary. An 
agency plan will include:
    (1) Policies to provide career transition services to all surplus 
and displaced agency employees affected by downsizing or restructuring, 
including employees in the excepted service and the Senior Executive 
Service, which include the following:
    (i) Types of career transition services to be provided by the 
agency;
    (ii) Use of excused absence for employees to use the services and 
facilities;
    (iii) Access to services or facilities after separation;
    (iv) The requirement for a specific orientation session for surplus 
and displaced employees on the use of career transition services and the 
eligibility requirements for selection priority under CTAP and ICTAP. 
The orientation session must include information on how to apply for 
vacancies under the CTAP and ICTAP (if applicable);
    (v) Retraining to be provided to employees;
    (vi) Access by employees, including those with disabilities, to 
services in headquarters, field offices, and remote site locations;
    (vii) Access to resource information on other forms of Federal, 
state, and local assistance which are available to support career 
transition for employees with disabilities;
    (viii) Role of employee assistance programs in providing services; 
and
    (ix) Designation of agency components, if the agency exercises its 
discretion under Sec. 330.606(d)(24).
    (2) Policies to provide special selection priority to well-qualified 
surplus and/or displaced agency employees, as defined by Sec. 330.604 
(c) and (i), who apply for agency vacancies in the local commuting area, 
before selecting any other candidate from either within or outside the 
agency, and agency procedures for reviewing qualification issues; and
    (3) Operation of the agency's Reemployment Priority List under 
subpart B of 5 CFR part 330.
    (b) Each agency is responsible for assuring that its Career 
Transition Assistance Plan and the provisions of these subparts are 
uniformly and consistently applied to all employees.



Sec. 330.603  [Reserved]



Sec. 330.604  Definitions.

    For purposes of this subpart:
    (a) Agency means an Executive Department, a Government corporation, 
and an independent establishment as cited in 5 U.S.C. 105. For the 
purposes of this program, the term ``agency'' includes all components of 
an organization, including its Office of Inspector General.
    (b) Component means the first major subdivision of an agency, that 
is separately organized and clearly distinguished from other components 
in work function and operation.
    (c) Displaced employee means:
    (1) A current career or career conditional competitive service 
employee in tenure group 1 or 2, at grade levels GS-15 or equivalent and 
below, who has received a specific reduction in force (RIF) separation 
notice or notice of proposed removal for declining a directed 
reassignment or transfer of

[[Page 205]]

function outside of the local commuting area; or,
    (2) A current Executive Branch agency employee in the excepted 
service, serving on an appointment without time limit, at grade levels 
GS-15 or equivalent and below, who has been given noncompetitive 
appointment eligibility and selection priority by statute for positions 
in the competitive service, and who is in receipt of a reduction in 
force separation notice or notice of proposed removal for declining a 
transfer of function or directed reassignment outside of the local 
commuting area.
    (d) Eligible employee means a surplus or displaced employee who 
meets the conditions set forth in Sec. 330.605(a).
    (e) Local commuting area means the geographic area that usually 
constitutes one area for employment purposes as determined by the 
agency. It includes any population center (or two or more neighboring 
ones) and the surrounding localities in which people live and can 
reasonably be expected to travel back and forth daily to their usual 
employment.
    (f) Reorganization means the planned elimination or redistribution 
of work functions within an agency, normally announced in writing.
    (g) Special selection priority means that, except as provided by 
Sec. 330.606(d), surplus and/or displaced employees eligible under this 
subpart must be selected over any other candidate for vacancies in the 
local commuting area for which they apply and are found well-qualified.
    (h) Suitability means determinations based on an individual's 
character or conduct that may impact the efficiency of the service by 
jeopardizing an agency's accomplishment of its duties or 
responsibilities, or by interfering with or preventing effective service 
in the competitive, excepted or SES position applied for or employed in, 
and determinations that there is a statutory or regulatory bar to 
employment.
    (i) Surplus employee means:
    (1) A current agency employee serving under an appointment in the 
competitive service, in tenure group 1 or 2, at grade levels GS-15 or 
equivalent and below, who has received a certificate of expected 
separation or other official certification issued by the agency 
indicating that the position is surplus, for example, a notice of 
position abolishment, or a notice stating that the employee is eligible 
for discontinued service retirement; or,
    (2) A current Executive Branch agency employee serving on an 
excepted service appointment without time limit, at grade levels GS-15 
or equivalent and below, who has been issued a certificate of expected 
separation or other official agency certification indicating that his or 
her position is surplus, for example, a notice of position abolishment 
or a notice stating that the employee is eligible for discontinued 
service retirement, and who has been conferred noncompetitive 
appointment eligibility and special selection priority by statute for 
positions in the competitive service; and
    (3) At an agency's discretion, a current Executive Branch employee 
serving on a Schedule A or B excepted appointment without time limit, at 
grade levels GS-15 or equivalent and below, and who is in receipt of a 
certificate of expected separation or other official agency 
certification indicating that his or her job is surplus, for example, a 
notice of position abolishment, or an official notice stating that the 
employee is eligible for discontinued service retirement; or an employee 
who has received a RIF notice of separation, or a notice of proposed 
removal for declining a transfer of function or directed reassignment 
outside of the local commuting area. Such employee may exercise 
selection priority for permanent excepted service positions within the 
agency's local commuting area, provided the position to which appointed 
has the same appointing authority, i.e., Schedule A or B, as the 
position from which being separated.
    (j) Vacancy means a competitive service position filled for a total 
of 121 days or more, including all extensions, which the agency is 
filling, regardless of whether the agency issues a specific vacancy 
announcement.
    (k) Well-qualified employee means an eligible employee who possesses 
the knowledge, skills, and abilities which clearly exceed the minimum 
qualification requirements for the position. A

[[Page 206]]

well-qualified employee will not necessarily meet the agency's 
definition of ``highly or best qualified,'' when evaluated against other 
candidates who apply for a particular vacancy, but must satisfy the 
following criteria, as determined and consistently applied by the 
agency:
    (1) Meets the basic qualification standards and eligibility 
requirements for the position, including any medical qualifications, 
suitability, and minimum educational and experience requirements; and
    (2) Satisfies one of the following qualifications requirements:
    (i) Meets all selective factors where applicable. Meets appropriate 
quality rating factor levels as determined by the agency. Selective and 
quality ranking factors cannot be so restrictive that they run counter 
to the goal of placing displaced employees. In the absence of selective 
and quality ranking factors, selecting officials will document the job-
related reason(s) the eligible employee is or is not considered to be 
well qualified; or
    (ii) Is rated by the agency to be above minimally qualified in 
accordance with the agency's specific rating and ranking process. 
Generally, this means that the individual may or may not meet the 
agency's test for ``highly qualified,'' but would in fact, exceed the 
minimum qualifications for the position;
    (3) Is physically qualified, with reasonable accommodation where 
appropriate, to perform the essential duties of the position;
    (4) Meets any special qualifying condition(s) that OPM has approved 
for the position; and
    (5) Is able to satisfactorily perform the duties of the position 
upon entry.



Sec. 330.605  Eligibility.

    (a) To be eligible for the special selection priority, an individual 
must meet all of the following conditions:
    (1) Is a surplus or displaced employee (still on the agency rolls) 
as defined in Sec. 330.604 (c) and (i);
    (2) Has a current performance rating of record of at least fully 
successful or equivalent;
    (3) Applies for a vacancy that is at or below the grade level from 
which the employee may be or is being separated, that does not have a 
greater promotion potential than the position from which the employee 
may be or is being separated;
    (4) Occupies a position in the same local commuting area of the 
vacancy; or, at the agency's discretion, occupies a position beyond the 
local commuting area. An eligible agency applicant outside of the local 
commuting area, however, can only exercise selection priority when there 
are no eligible surplus and displaced agency employees within the local 
commuting area who apply and are found well-qualified;
    (5) Files an application for a specific vacancy within the time 
frames established by the agency, and provides proof of eligibility as 
required under Sec. 330.608(a)(2); and
    (6) Is determined by the agency to be well-qualified for the 
specific vacancy.
    (b) Eligibility for special selection priority begins on the date 
the agency issues the employee a reduction in force separation notice, 
certificate of expected separation, notice of proposed separation for 
declining a directed reassignment or transfer of function outside of the 
local commuting area, or other official agency certification.
    (c) Eligibility expires on the earliest of:
    (1) The RIF separation date, the date of the employee's resignation, 
retirement, or separation from the agency (including separation under 
adverse action procedures for declining a directed reassignment or 
transfer of function or similar relocation to another local commuting 
area).
    (2) Cancellation of the RIF separation notice, certificate of 
expected separation, notice of proposed removal for declining a directed 
reassignment or transfer of function outside of the commuting area, or 
other official agency certification identifying the employee as surplus; 
or
    (3) When an eligible employee receives a career, career-conditional, 
or excepted appointment without time limit in any agency at any grade 
level; and
    (4) Within an agency, and at the agency's discretion, when an 
eligible employee declines a career, career conditional, or excepted 
appointment

[[Page 207]]

(without time limit), for which the employee has applied and been rated 
well-qualified.

[62 FR 31320, June 9, 1997, as amended at 64 FR 40509, July 27, 1999]



Sec. 330.606  Order of selection for filling vacancies from within the agency.

    (a) Except as provided in paragraph (d) of this section, when 
filling a vacancy as defined in Sec. 330.604(j), an agency must select 
an employee eligible under Sec. 330.605 of this subpart before selecting 
any other candidate from within or outside the agency, unless the agency 
can show that another employee would otherwise be separated by reduction 
in force. In addition, agencies may not procure temporary help services 
under 5 CFR part 300, subpart E, in lieu of appointing a surplus or 
displaced Federal employee as required by subparts F and G of this 
chapter.
    (b) Once the agency has met its obligation to select employees 
eligible under its CTAP, it is free to select any other competitive 
service tenure group 1 or 2 candidate from within its workforce, under 
appropriate procedures. An agency may provide selection priority to 
surplus and displaced agency employees from another commuting area after 
it has discharged its obligation to eligible surplus and displaced 
agency employees from within the local commuting area.
    (c) When an agency selects a candidate from outside of its 
workforce, the agency is subject to the order of selection prescribed in 
Sec. 330.705.
    (d) The following are not covered under this subpart:
    (1) Actions taken under 5 CFR part 335, including reassignments, 
changes to lower grade, or promotions, when no employees eligible under 
this subpart apply;
    (2) Reemployment of a former agency employee exercising regulatory 
or statutory reemployment rights, including the reemployment of injured 
workers who have either been restored to earning capacity by the Office 
of Workers' Compensation Programs (OWCP), or who have received a notice 
that their compensation benefits will cease because of recovery from the 
disabling injury or illness;
    (3) Position changes resulting from disciplinary actions;
    (4) Temporary appointments of under 121 days (including all 
extensions);
    (5) Exchange of positions between or among agency employees, when 
the actions involve no increase in grade or promotion potential, i.e., 
job swaps;
    (6) Conversion of an employee of the same agency who is serving on 
an excepted appointment which confers eligibility for noncompetitive 
conversion into the competitive service, e.g., conversion of a veterans' 
readjustment appointee to a career conditional appointment under 
Sec. 315.705;
    (7) An action taken under part 351 of this chapter;
    (8) Non-competitive placement of an employee into a different 
position as a result of a formal reorganization, when the former 
position ceases to exist, and no actual vacancy results;
    (9) Assignments made under the Intergovernmental Personnel Act (IPA) 
as provided in part 334 of this chapter;
    (10) The filling of a position through an excepted appointment;
    (11) Details;
    (12) Time-limited promotions of under 121 days, including all 
extensions;
    (13) Noncompetitive movement of surplus or displaced employees 
within the agency, and within the same local commuting area;
    (14) Movement of excepted service employees within an agency;
    (15) A placement under 5 U.S.C. 8337 or 8451 to allow continued 
employment of an employee who has become unable to provide useful and 
efficient service in his or her current position because of a medical 
condition;
    (16) A placement that is a ``reasonable offer'' as defined in 5 
U.S.C. 8336(d) and 8414(b);
    (17) Career ladder promotions or position changes resulting from 
reclassification actions, e.g., accretion of duties, or application of 
new position classification standards;
    (18) Recall of seasonal or intermittent employees from nonpay 
status;
    (19) The internal placement of an injured or disabled worker whose 
agency has identified a position for which he or she can be reasonably 
accommodated;

[[Page 208]]

    (20) An action taken by the agency head or his designee pursuant to 
the settlement of a formal complaint, grievance, appeal, or other 
litigation;
    (21) An action taken to return an employee to his or her original or 
similar position during a supervisory probationary period;
    (22) The retention of individuals whose positions are brought into 
the competitive service under Sec. 316.701 or Sec. 316.702 of this 
chapter and subsequent conversion, when applicable, under Sec. 315.701 
of this chapter;
    (23) The retention of an employee for whom OPM has approved a rule 
5.1 variation;
    (24) At the agency's discretion, the selection of an employee from 
within a component of an agency within the local commuting area, after 
all eligible surplus and displaced applicants of that component who are 
eligible under CTAP within the local commuting area have been accorded 
selection priority;
    (25) The reemployment of a former agency employee who retired under 
a formal trial retirement and reemployment program, and who seeks 
reemployment with that agency under the program's provisions, and within 
the program's applicable time limits;
    (26) Extensions of temporary or term actions, up to the full period 
allowed, provided that the original action, upon which the extension is 
based, was made on or before February 29, 1996; or for actions initially 
made after February 29, 1996, the original vacancy announcement must 
have specified that the position was open to CTAP candidates and that if 
they were found well-qualified, would be afforded selection priority. 
The original announcement must have stated that an extension was 
possible without further announcement;
    (27) Noncompetitive movement of employees between agencies as a 
result of interagency reorganization, interagency transfer of function, 
or interagency mass transfer; and
    (28) The placement of a member of the Senior Executive Service under 
5 U.S.C. 3594.
    (29) The voluntary transfer of employees from one agency to another 
under a Memorandum of Understanding or similar type of agreement when 
both agencies and the affected employees agree to the transfer.
    (30) The reassignment of an employee whose position description or 
other written mobility agreement provides for reassignments outside the 
commuting area as part of a planned rotational program within the 
agency.

[62 FR 31320, June 9, 1997, as amended at 64 FR 40509, July 27, 1999]



Sec. 330.607  Notification of surplus and displaced employees.

    (a) In addition to meeting the requirements of 
Sec. 330.602(a)(1)(iv), at the time it issues a specific RIF separation 
notice, certificate of expected separation, or other official agency 
certification that identifies an employee as being likely to be 
separated by RIF, or by adverse action procedures for declining a 
directed reassignment or transfer of function outside of the local 
commuting area, an agency must give each of its eligible employees 
information in writing about the special selection priority available to 
them under the agency's Career Transition Assistance Plan. Such 
information must contain guidance to the employee on how to apply for 
vacancies under the CTAP, and what documentation is generally required 
as proof of eligibility.
    (b) Agencies must take reasonable steps to ensure eligible employees 
are notified of all vacancies the agency is filling in locations where 
there are CTAP eligibles, and what is required for them to be determined 
well-qualified for the vacancies. Vacancy announcements within an agency 
must contain information on how eligible employees within the agency can 
apply, what proof of eligibility is required, and the agency's 
definition of ``well-qualified''. If there are no CTAP eligibles in a 
local commuting area, the agency may document this fact as an 
alternative to posting the vacancy under the CTAP program.
    (c) Each agency is required to advise, in writing, their surplus and 
displaced employees who apply for specific vacancies within its local 
commuting area of the results of their application, and whether or not 
they were found well-qualified. If they are not found well-qualified, 
such notice must include information on the results of an

[[Page 209]]

independent, second review conducted by the agency. If an applicant is 
found well-qualified, and another well-qualified surplus or displaced 
candidate is selected, the applicant must be so advised.

[62 FR 31320, June 9, 1997, as amended at 64 FR 40509, July 27, 1999; 65 
FR 47829, Aug. 4, 2000]



Sec. 330.608  Application and selection.

    (a) Application. (1) To receive this special selection priority, an 
eligible employee must apply for a specific agency vacancy in the same 
local commuting area as the position the employee occupies within the 
prescribed time frames, attach the appropriate proof of eligibility as 
described in paragraph (a)(2) of this section, and be determined well-
qualified by the agency for the specific vacancy.
    (2) Employees may submit the following as proof of eligibility for 
the special selection priority:
    (i) RIF separation notice or notice of proposed removal for 
declining a directed reassignment or transfer of function outside the 
local commuting area;
    (ii) Certificate of expected separation or other official notice 
from the agency indicating that the employee is surplus or eligible for 
discontinued service retirement; or
    (iii) Other official agency certification identifying the employee 
as being in a surplus organization or occupation.
    (b) Selection. An agency may decide the specific order of selection 
of its eligible employees within the provisions set forth in 
Sec. 330.606(a) (e.g., the agency may decide to select displaced 
employees before surplus employees or may select surplus and/or 
displaced employees from within a particular component of the agency 
before selecting surplus and/or displaced employees from another 
component of the agency).
    (c) An agency cannot select any other candidate from within or 
outside the agency if eligible employees are available for the vacancy 
or vacancies.
    (d) If two or more eligible employees apply for a vacancy and are 
determined to be well-qualified, any of these eligible employees may be 
selected.
    (e) If no eligible employees apply or none is deemed well-qualified, 
the agency may select another agency employee without regard to this 
subpart.



Sec. 330.609  Qualification reviews.

    Agencies will ensure that a documented, independent second review is 
conducted whenever an otherwise eligible employee is determined to be 
not well-qualified. The applicant must be advised in writing of the 
results of the second review.



Sec. 330.610  [Reserved]



Sec. 330.611  Oversight.

    OPM provides advice and assistance to agencies in implementing their 
Career Transition Assistance Programs. OPM is also responsible for 
oversight of agency CTAPs and may conduct reviews of the plans at any 
time.



 Subpart G--Interagency Career Transition Assistance Plan for Displaced 
                                Employees

    Authority: Presidential memorandum dated September 12, 1995, 
entitled ``Career Transition Assistance for Federal Employees''.

    Source: 62 FR 31323, June 9, 1997, unless otherwise noted.



Sec. 330.701  Purpose.

    (a) This subpart implements the President's memorandum of September 
12, 1995, to establish a special interagency career transition 
assistance program for Federal employees during a period of severe 
Federal downsizing.
    (b) This subpart is effective July 9, 1997.
    (c) The provisions of the Reemployment Priority List (RPL) set forth 
in subpart B of this part will remain in effect during the period of 
severe Federal downsizing. When an agency considers candidates from 
outside the agency for vacancies, registrants in an agency's RPL have 
priority for selection over employees eligible under this subpart in 
accordance with Sec. 330.705.
    (d) This subpart applies only when agencies are making selections 
from outside their workforce, and does not prohibit movement within an 
agency, as permitted by subpart F of this part.

[[Page 210]]



Sec. 330.702  [Reserved]



Sec. 330.703  Definitions.

    For the purposes of this subpart:
    (a) Agency has the meaning given in Sec. 330.604(a).
    (b) Displaced employee means:
    (1) A current career or career-conditional competitive service 
employee, in tenure group 1 or 2, at grade levels GS-15 or equivalent 
and below, who has received a specific RIF separation notice, or a 
notice of proposed removal for declining a directed reassignment or 
transfer of function outside of the local commuting area;
    (2) A former career or career-conditional competitive service 
employee, in tenure group 1 or 2, at grade levels GS-15 or equivalent 
and below, who was separated through reduction in force, or removed for 
declining a directed reassignment or transfer of function outside of the 
local commuting area;
    (3) A former career or career-conditional employee who was separated 
because of a compensable injury or illness as provided under the 
provisions of subchapter I of chapter 81 of title 5, United States Code, 
whose compensation has been terminated and whose former agency is unable 
to place the individual as required by Sec. 353.110(b) of this chapter;
    (4) A former career or career-conditional competitive service 
employee, in tenure group 1 or 2, who retired with a disability under 
sections 8337 or 8451 of title 5, United States Code, whose disability 
annuity has been or is being terminated;
    (5) A former career or career-conditional competitive service 
employee, in tenure group 1 or 2, at grades GS-15 level or equivalent or 
below, who received a RIF separation notice, and who retired on the 
effective date of the reduction in force or under the discontinued 
service retirement option;
    (6) A former Military Reserve Technician or National Guard 
Technician who is receiving a special disability retirement annuity from 
OPM under section 8337(h) or 8456 of title 5 United States Code, as 
described in subpart H of this part;
    (7) A current Executive Branch agency employee in the excepted 
service, serving on an appointment without time limit, at grade levels 
GS-15 or equivalent and below, who has been given noncompetitive 
appointment eligibility and selection priority by statute for positions 
in the competitive service, and who is in receipt of a reduction in 
force separation notice or notice of proposed removal for declining a 
transfer of function or directed reassignment outside of the local 
commuting area; or
    (8) A former Executive Branch agency employee in the excepted 
service, who served on an appointment without time limit, at grade 
levels GS-15 or equivalent and below, who has been given noncompetitive 
appointment eligibility and selection priority by statute for positions 
in the competitive service, and who has been separated through reduction 
in force or removed for declining a transfer of function or directed 
reassignment outside of the local commuting area.
    (c) Eligible employee means a displaced employee who meets the 
conditions set forth in Sec. 330.704(a).
    (d) Local commuting area has the meaning given in Sec. 330.604(e).
    (e) Special selection priority has the meaning given in 
Sec. 330.604(g).
    (f) Vacancy has the meaning given in Sec. 330.604(j).
    (g) Well-qualified employee has the meaning given in 
Sec. 330.604(k).

[62 FR 31323, June 9, 1997, as amended at 64 FR 40509, July 27, 1999]



Sec. 330.704  Eligibility.

    (a) To be eligible for the special selection priority, an individual 
must meet all of the following conditions:
    (1) Is a displaced employee as defined in Sec. 330.703(b);
    (2) Has a current (or a last) performance rating of record of at 
least fully successful or equivalent (except for those eligible under 
Sec. 330.703(b)(3), (b)(4), and (b)(6);
    (3) Applies for a vacancy at or below the grade level from which the 
employee has been or is being separated, that does not have a greater 
promotion potential than the position from which the employee has been 
or is being separated;
    (4) Occupies, or was displaced from a position in the same local 
commuting area of the vacancy;

[[Page 211]]

    (5) Files an application for a specific vacancy within the time 
frames established by the agency, and provides proof of eligibility 
required under Sec. 330.708(a)(2); and
    (6) Is determined by the agency to be well-qualified for the 
specific position.
    (b) Eligibility for special selection priority begins:
    (1) On the date the agency issues the RIF separation notice;
    (2) On the date an agency certifies that it cannot place an employee 
eligible under Sec. 330.703(b)(3);
    (3) On the date an employee eligible under Sec. 330.703(b)(4) is 
notified that his or her disability annuity has been or is being 
terminated;
    (4) On the date the agency issues a formal notice of proposed 
separation to an employee for declining a transfer of function or 
directed reassignment outside the local commuting area; or
    (5) On the date the National Guard Bureau or Military Department 
certifies that an employee under Sec. 330.703(b)(6) has retired under 5 
U.S.C. 8337(h) or 8456.
    (c) Eligibility expires:
    (1) 1 year after separation, except for those employees separated on 
or after September 12, 1995, and prior to February 29, 1996. For these 
employees, eligibility expired February 28, 1997;
    (2) 1 year after an agency certifies that an individual under 
Sec. 330.703(b)(3) cannot be placed;
    (3) 1 year after an individual under Sec. 330.703(b)(4) receives 
notification that his/her disability annuity has been or will be 
terminated;
    (4) When the employee receives a career, career-conditional, or 
excepted appointment without time limit in any agency at any grade 
level;
    (5) When the employee no longer meets the eligibility requirements 
set forth in paragraph (a) of this section (e.g., the employee is no 
longer being separated by RIF, or under adverse action procedures for 
declining a transfer of function or directed reassignment outside the 
local commuting area, or separates by resignation or non-discontinued 
service retirement prior to the RIF effective date); or
    (6) At an agency's discretion, when an eligible employee declines a 
career, career conditional, or excepted appointment (without time 
limit), for which the employee has applied and been rated well-
qualified; or upon the failure of the applicant to respond within a 
reasonable period of time to an offer or official inquiry of 
availability.
    (7) Two years after separation, for those employees eligible under 
Sec. 330.407(b).

[62 FR 31323, June 9, 1997, as amended at 65 FR 52642, Aug. 30, 2000]



Sec. 330.705  Order of selection in filling vacancies from outside the agency's workforce.

    (a) Except as provided in paragraph (c) of this section, when 
filling a vacancy from outside the agency's workforce an agency must 
select:
    (1) Current or former agency employees eligible under the agency's 
Reemployment Priority List described in subpart B of this part, then;
    (2) At the agency's option, any other former employee displaced from 
the agency (under appropriate selection procedures), then;
    (3) Any of the following three conditions:
    (i) Current or former Federal employees displaced from other 
agencies under this subpart;
    (ii) Current or former employees displaced from the District of 
Columbia Department of Corrections eligible under subpart K of this 
part, or
    (iii) Displaced Panama Canal Zone employees eligible under subpart L 
of this part.
    (4) Any other candidate (under appropriate selection procedures) 
(optional).
    (b) The following actions are subject to the above order of 
selection and are covered under this subpart:
    (1) Competitive appointments (e.g., from registers or delegated 
examining);
    (2) Noncompetitive appointments to the competitive service (e.g., 
the types listed in part 315, subpart F of this chapter, as well as 
Outstanding Scholar and Bilingual/Bicultural appointments made under the 
authority of the Luevano consent decree);
    (3) Movement between agencies (e.g., transfer), except as provided 
for in paragraph (c)(8) of this section or part 351 of this chapter;

[[Page 212]]

    (4) Reinstatements (except as provided for in paragraph (a)(2) of 
this section); and
    (5) Time-limited competitive appointments of 121 days or more, 
including all extensions, except as provided in (c)(11) of this section.
    (c) The following actions are not covered under this subpart:
    (1) Selections from an agency's internal Career Transition 
Assistance Plan or Reemployment Priority List as described in subparts F 
and B of this part respectively or any other internal agency movement of 
current agency employees;
    (2) Appointments of 10 point veteran preference eligibles (CP, CPS, 
and XP), if reached through an appropriate appointing authority;
    (3) Reemployment of former agency employees who have regulatory or 
statutory reemployment rights, including the reemployment of injured 
workers who have either been restored to earning capacity by the Office 
of Workers' Compensation Programs (OWCP), or who have received a notice 
that their compensation benefits will cease because of recovery from the 
disabling injury or illness;
    (4) Temporary appointments of under 121 days (including all 
extensions);
    (5) An action taken under part 351 of this chapter;
    (6) The filling of a position by an excepted appointment;
    (7) Conversion of an employee of the same agency who is serving on 
an excepted appointment that confers eligibility for noncompetitive 
appointment into the competitive service, e.g., conversion of a 
veterans' readjustment appointee to a career conditional appointment 
under Sec. 315.705 of this chapter;
    (8) Noncompetitive movement of employees between agencies as a 
result of interagency reorganization, interagency transfer of function, 
or interagency mass transfer;
    (9) The reemployment of a former agency employee who retired under a 
formal trial retirement and reemployment program, and who seeks 
reemployment with that agency under the program's provisions, and within 
the program's applicable time limits;
    (10) An action taken by the agency head or his or her designee 
pursuant to the settlement of a formal complaint, grievance, appeal, or 
other litigation;
    (11) Extensions of temporary or term actions, up to the full period 
allowed, provided that the original action, upon which the extension is 
based, was made on or before February 29, 1996 (the effective date of 
the interim regulations); or for actions initially made after February 
29, 1996, the original vacancy announcement must have specified that the 
position was open to ICTAP candidates, and that if they were found well-
qualified, would be afforded selection priority. The original 
announcement must have stated that an extension was possible without 
further announcement. This exception includes extensions granted by OPM 
to the 2 or 4 year limit allowed for temporary and term appointments, 
respectively;
    (12) The reappointment of former employees with their agency into 
hard-to-fill positions, the duties of which require unique skills and 
experience necessary to conduct a formal skills-based training program 
for the agency;
    (13) The retention of individuals whose positions are brought into 
the competitive service under Sec. 316.701 or Sec. 316.702 of this 
chapter and subsequent conversion, when applicable, under Sec. 315.701 
of this chapter;
    (14) The retention of an employee for whom OPM has approved a rule 
5.1 variation;
    (15) The placement of a member of the Senior Executive Service under 
5 U.S.C. 3594; and
    (16) Assignments made under the Intergovernmental Personnel Act 
(IPA) as provided in part 334 of this chapter.
    (17) Interagency details;
    (18) Exchange of employees between agencies to avoid involuntary 
separations, under plans approved by OPM (i.e., interagency job swaps); 
and
    (19) Transfer or reinstatement of an individual who meets the 
eligibility requirements of Sec. 330.704 to a position having promotion 
potential no greater than the potential of a position the individual 
currently holds or previously

[[Page 213]]

held on a permanent basis in the competitive service and did not lose 
because of performance or conduct reasons.
    (20) The voluntary transfer of employees from one agency to another 
under a Memorandum of Understanding or similar type of agreement when 
both agencies and the affected employees agree to the transfer.

[62 FR 31323, June 9, 1997, as amended at 64 FR 40509, July 27, 1999; 65 
FR 47830, Aug. 4, 2000]



Sec. 330.706  Notification of displaced employees.

    (a) In addition to meeting the requirements of 
Sec. 330.602(a)(1)(iv) and Sec. 330.607(a), at the time it issues a 
specific RIF separation notice or notice of proposed removal for 
declining a directed reassignment or transfer of function outside of the 
local commuting area, an agency must give each of its eligible employees 
information in writing about the special selection priority available to 
them under the Interagency Career Transition Assistance Plan. Such 
information must contain guidance to the employee on how to apply for 
vacancies under the ICTAP, and what documentation is generally required 
as proof of eligibility.
    (b) Agencies must take reasonable steps to ensure eligible employees 
are notified of all vacancies the agency is filling and what is required 
for them to be determined well-qualified for the vacancies.
    (c) Each agency is required to advise, in writing, ICTAP candidates 
who apply for specific vacancies within its local commuting area of the 
results of their application, and whether or not they were found well-
qualified. If they are not found well-qualified, such notice must 
include information on the results of an independent, second review 
conducted by the agency. If an applicant is found well-qualified, and 
another well-qualified surplus or displaced candidate is selected, the 
applicant must be so advised.



Sec. 330.707  Reporting vacancies to OPM.

    (a) Agencies are required to report all competitive service 
vacancies to OPM when accepting applications from outside the agency 
(including applications for temporary positions lasting 121 or more 
days), except when they elect to fill a position by the transfer or 
reassignment of an ICTAP eligible from another agency.
    (b) Content. Notice to OPM of job announcements must include the 
position title, location, pay plan and grade (or pay rate) of the vacant 
position; application deadline; and other information specified by OPM. 
In addition, for all positions reported, agencies are required to 
provide OPM with an electronic file of the complete vacancy announcement 
or recruiting bulletin, which must contain:
    (1) Title, series, pay plan, and grade (or pay rate);
    (2) Duty location;
    (3) Open and closing dates, plus any other information dealing with 
how application receipt will be controlled, such as the use of early 
cut-off dates;
    (4) Name of issuing agency and announcement number;
    (5) Qualification requirements, including knowledges, skills, and 
abilities;
    (6) Entrance pay;
    (7) Brief description of duties;
    (8) Basis of rating;
    (9) What to file;
    (10) Instructions on how to apply;
    (11) Information on how to claim veterans' preference, if 
applicable;
    (12) The agency's definition of well-qualified and information on 
how CTAP and/or ICTAP candidates may apply, including proof of 
eligibility required; and
    (13) Equal employment opportunity statement.
    (14) Reasonable accommodation statement.
    (i) An agency may use wording of its choice that conveys the 
availability of reasonable accommodation. An agency must not list types 
of medical conditions or impairments as appropriate for accommodation, 
and must keep the wording simple.
    (ii) We recommend using the following statement:

    ``This agency provides reasonable accommodation to applicants with 
disabilities where appropriate. If you need a reasonable accommodation 
for any part of the application and hiring process, please notify the

[[Page 214]]

agency. Determinations on requests for reasonable accommodation will be 
made on a case-by-case basis.''

[62 FR 31323, June 9, 1997, as amended at 66 FR 63906, Dec. 11, 2001]



Sec. 330.708  Application and selection.

    (a) Application. (1) To receive this special selection priority, 
eligible employees must apply directly to agencies for specific 
vacancies in the local commuting area within the prescribed time frames, 
attach the appropriate proof of eligibility as described in paragraph 
(a)(2) of this section, and be determined well-qualified by the agency 
for the specific position.
    (2) Employees may submit the following as proof of eligibility for 
the special selection priority:
    (i) RIF separation notice, or notice of proposed removal for 
declining a directed reassignment or transfer of function to another 
commuting area;
    (ii) Documentation, e.g., SF-50, Notification of Personnel Action, 
showing that they were separated as a result of reduction in force, or 
for declining a transfer of function or directed reassignment to another 
commuting area;
    (iii) Official certification from an agency stating that it cannot 
place an individual whose injury compensation has been or is being 
terminated;
    (iv) Official notification from OPM that an individual's disability 
annuity has been or is being terminated; or
    (v) Official notification from the Military Department or National 
Guard Bureau that the employee has retired under 5 U.S.C. 8337(h) or 
8456.
    (b) Selection. In making selections, an agency will adhere to the 
overall order of selection set forth in Sec. 330.705. In addition, the 
following apply:
    (1) An agency cannot select another candidate from outside the 
agency if eligible employees are available for the vacancy or vacancies.
    (2) If two or more eligible employees apply for a vacancy and are 
determined to be well-qualified, any of these eligible employees may be 
selected.
    (3) If no eligible employees apply or none is deemed well-qualified, 
the agency may select another candidate without regard to this subpart. 
(This flexibility does not apply to selections made from the agency's 
Reemployment Priority List as described in subpart B of this part.)
    (c) An agency may select a candidate from its Career Transition 
Assistance Plan or Reemployment Priority List, as described in subparts 
F and B of this part respectively, or another current agency employee 
(if no eligible employees are available through its CTAP) at any time.



Sec. 330.709  Qualification reviews.

    Agencies will ensure that a documented, independent second review is 
conducted whenever an otherwise eligible employee is found to be not 
well-qualified. The applicant must be advised in writing of the results 
of the second review.



Sec. 330.710  [Reserved]



Sec. 330.711  Oversight.

    OPM is responsible for oversight of the Interagency Career 
Transition Assistance Plan for Displaced Employees and may conduct 
reviews of agency activity at any time.

Subpart H-I [Reserved]



                     Subpart J--Prohibited Practices



Sec. 330.1001  Withdrawal from competition.

    An applicant for competitive examination, an eligible on a register, 
and an officer or employee in the executive branch of the Government 
shall not persuade, induce, or coerce, or attempt to persuade, induce, 
or coerce, directly or indirectly, a prospective applicant to withhold 
filing application, or an applicant or eligible to withdraw from 
competition or eligibility, for a position in the competitive service, 
for the purpose of improving or injuring the prospects of an applicant 
or eligible for appointment. OPM shall cancel the application or 
eligibility of an applicant or eligible who violates this section, and 
shall impose such other penalty as it considers appropriate.

[33 FR 12425, Sept. 4, 1968. Redesignated at 60 FR 67282, Dec. 29, 1995; 
61 FR 691, Jan. 10, 1996]

[[Page 215]]



    Subpart K--Federal Employment Priority Consideration Program for 
     Displaced Employees of the District of Columbia Department of 
                               Corrections

    Source: 63 FR 41387, Aug. 4, 1998, unless otherwise noted.



Sec. 330.1101  Purpose.

    A displaced employee of the District of Columbia (DC) Department of 
Corrections (DOC) who is separated from his/her position as a result of 
the closure of the Lorton Correctional Complex, and who has not been 
appointed to a permanent Federal Bureau of Prisons law enforcement 
position, is entitled to priority consideration for other Federal 
vacancies when he/she applies and is found qualified.

[66 FR 6428, Jan. 22, 2001]



Sec. 330.1102  Duration.

    This program terminates 1 year after the closing of the Lorton 
Correctional Complex.

[66 FR 6429, Jan. 22, 2001]



Sec. 330.1103  Definitions.

    For purposes of this subpart:
    (a) Agency means an Executive Department, a Government corporation, 
and an independent establishment as cited in 5 U.S.C. 105. For the 
purposes of this program, the term ``agency'' includes all components of 
an organization, including its Office of Inspector General.
    (b) Displaced employee means a current or former employee of the 
District of Columbia Department of Corrections who has received a 
specific reduction in force (RIF) separation notice as a result of the 
closure of the Lorton Correctional Complex.
    (c) Priority consideration means that a displaced DC DOC employee 
eligible under this subpart who applies for a vacancy and is determined 
to be qualified, is accorded similar priority and order of selection as 
an eligible current or former displaced Federal employee under 5 CFR 
part 330, subpart G--Interagency Career Transition Assistance for 
Displaced Employees. Actions which are exempt from the requirements of 5 
CFR part 330 subpart G will also be exempt from the requirements of this 
subpart. Agencies must follow the order of selection in Sec. 330.705(a) 
in filling vacancies in the Federal Government with candidates from 
outside their own workforce. DC DOC employees are eligible for this 
priority consideration without regard to any geographical restrictions.
    (d) Qualified means an eligible employee who:
    (1) Possesses the knowledge, skills, and abilities which meet the 
basic qualification standards and eligibility requirements for the 
position, including any medical qualifications, suitability, 
citizenship, minimum educational and experience requirements, and any 
applicable selective factors;
    (2) Is physically qualified, with reasonable accommodation where 
appropriate, to perform the essential duties of the position;
    (3) Meets any special qualifying condition(s) that OPM has approved 
for the position; and
    (4) Is able to satisfactorily perform the duties of the position 
upon entry.
    (e) Vacancy means any competitive service position, including non-
law enforcement positions in the Federal Bureau of Prisons, to be filled 
for a total of 121 days or more, including all extensions, regardless of 
whether the agency issues a specific vacancy announcement. This program 
does not apply to law enforcement positions covered by the Federal 
Bureau of Prisons Priority Consideration Program.

[63 FR 41387, Aug. 4, 1998, as amended at 66 FR 6429, Jan. 22, 2001; 67 
FR 6639, Feb. 13, 2002]



Sec. 330.1104  Eligibility.

    (a) To be eligible for priority consideration, an employee of the DC 
DOC must:
    (1) Be in receipt of a RIF separation notice, or a similar notice of 
non-disciplinary termination from the Management Supervisory Service, 
issued by the DC Department of Corrections in connection with the 
closure of the Lorton Correctional Complex.
    (2) Have not been appointed to a permanent Federal Bureau of Prisons 
law enforcement position;

[[Page 216]]

    (3) Apply for a vacancy within the time frames established by the 
agency, and include proof of eligibility;
    (4) Be found qualified for the specific vacancy.
    (b) Eligibility for priority consideration begins: on the date the 
DC DOC employee receives or is issued a specific RIF separation notice, 
or a similar notice of non-disciplinary termination from the Management 
Supervisory Service (MSS), issued by the DC DOC due to the closure of 
the Lorton Correctional Complex.
    (c) Eligibility expires:
    (1) One year after the closing of the Lorton Correctional Complex;
    (2) When the DC DOC employee is no longer being separated by RIF, or 
by similar non-disciplinary termination from the Management Supervisory 
Service, due to the closure of the Lorton Correctional Complex;
    (3) When the DC DOC employee receives a career, career-conditional, 
or excepted appointment without time limit in any Federal agency at any 
grade level;
    (4) When the DC DOC employee voluntarily separates by resignation or 
retirement prior to the RIF effective date or the non-disciplinary MSS 
termination date;
    (5) When the DC DOC employee is separated by a non-RIF involuntary 
separation or disciplinary or other MSS termination not related to the 
closure of the Lorton correctional complex; or
    (6) Eligibility within a specific agency may terminate if the 
employee:
    (i) Declines a permanent appointment, at any grade level, offered by 
the agency (whether competitive or excepted) when the employee applied 
and was found qualified; or
    (ii) Fails to respond within a reasonable period of time to an offer 
or official inquiry of availability from the agency for a permanent 
appointment, at any grade level, offered by the agency (whether 
competitive or excepted) when the employee applied and was found 
qualified.

[63 FR 41387, Aug. 4, 1998, as amended at 66 FR 6429, Jan. 22, 2001; 67 
FR 6639, Feb. 13, 2002]



Sec. 330.1105  Selection.

    (a) If two or more individuals eligible for priority under subpart G 
of this part (the Interagency Career Transition Assistance Plan), under 
subpart K of this part (Federal Employment Priority Consideration for 
Displaced Employees of the District of Columbia Department of 
Corrections), and/or under subpart L of this part (Interagency Career 
Transition Assistance for Displaced Former Panama Canal Zone Employees) 
apply for a vacancy and are eligible for priority, the agency has the 
discretion to select any of the individuals.
    (b) Agencies will conduct a documented, independent second review 
whenever an otherwise eligible employee fails to meet the ``qualified'' 
requirement. The applicant must be advised in writing of the results of 
the second review.

[66 FR 6429, Jan. 22, 2001]



Sec. 330.1106  Appointment.

    (a)(1) Selectees under this subpart receive noncompetitive 
appointments to the competitive service under the authority of Public 
Law 105-274, enacted October 21, 1998.
    (2) Agencies must retroactively and noncompetitively convert or 
correct any excepted appointments made under section 11203(b) of Public 
Law 105-33 to competitive service appointments under Public Law 105-274. 
For employees appointed before October 21, 1998, the conversion will be 
effective on October 21, 1998. For employees appointed on or after 
October 21, 1998, agencies must correct the record to reflect 
competitive service appointment as of the original appointment date.
    (b) Eligibility for appointment under this subpart expires 1 year 
after the closing of the Lorton Correctional Complex.

[66 FR 6429, Jan. 22, 2001]



Subpart L--Interagency Career Transition Assistance for Displaced Former 
                       Panama Canal Zone Employees

    Source: 65 FR 52294, Aug. 29, 2000, unless otherwise noted.

[[Page 217]]



Sec. 330.1201  Purpose.

    This subpart implements Section 1232 of Public Law 96-70 (the Panama 
Canal Act of 1979) and provides eligible displaced employees of the 
former Panama Canal Zone with interagency special selection priority for 
continuing Federal vacant positions in the continental United States.



Sec. 330.1202  Definitions.

    For purposes of this subpart:
    (a) Agency means an Executive Department, a Government corporation, 
and an independent establishment as cited in 5 U.S.C. 105. For the 
purposes of this program, the term ``agency'' includes all components of 
an organization, including its Office of Inspector General.
    (b) Canal Zone is the definition set forth in 22 U.S.C. 3602(b)(1), 
and means the areas and installations in the Republic of Panama made 
available to the United States pursuant to the Panama Canal Treaty of 
1977 and related agreements;
    (c) Eligible displaced employee of the former Panama Canal Zone 
means a citizen of the United States who:
    (1) Held a position in the Panama Canal Employment System that is in 
retention tenure group 1 or 2, as defined in Sec. 351.501(a) of this 
chapter;
    (2)(i) Was an employee of the Panama Canal Company or the Canal Zone 
Government on March 31, 1979, and was continuously employed in the 
former Panama Canal Zone under the Panama Canal Employment System; or
    (ii) Was continuously employed since March 31, 1979, in the former 
Panama Canal Zone under the Panama Canal Employment System as an 
employee of an executive agency, or as an employee of the Smithsonian 
Institution;
    (3) Held a position that was eliminated as the result of the 
implementation of the Panama Canal Treaty of 1977 and related 
agreements;
    (4) Was not appointed to another appropriate Federal position 
located in the Republic of Panama; and
    (5) Received a specific notice of separation by reduction in force, 
and meets the additional eligibility criteria covered in Sec. 330.1203.
    (d) Special selection priority means that an eligible displaced 
employee of the former Panama Canal Zone who applies for a competitive 
service vacancy, and who the hiring agency in the continental United 
States determines is well-qualified, has the same special selection 
priority as a current or former displaced Federal employee who is 
eligible under 5 CFR part 330, subpart G (the Interagency Career 
Transition Assistance Plan), or under 5 CFR part 330, subpart K (Federal 
Employment Priority Consideration for Displaced Employees of the 
District of Columbia Department of Corrections). Eligible displaced 
employees of the former Panama Canal Zone have special selection 
priority under this subpart to positions throughout the continental 
United States.
    (e) Vacancy means a competitive service position to be filled for a 
total of 121 days or more, including all extensions, which the agency is 
filling, regardless of whether the agency issues a specific vacancy 
announcement.
    (f) Well-qualified employee means an eligible displaced former 
employee of the Panama Canal Zone who possesses the knowledge, skills, 
and abilities that clearly exceed the minimum qualification requirements 
for the position. A well-qualified employee will not necessarily meet 
the agency's definition of highly or best qualified, when evaluated 
against other candidates who apply for a particular vacancy, but must 
satisfy the following criteria, as determined and consistently applied 
by the agency:
    (1) Meets the basic qualification standards and eligibility 
requirements for the position, including any medical qualifications, 
suitability, and minimum educational and experience requirements;
    (2) Satisfies one of the following qualifications requirements:
    (i) Meets all selective factors where applicable. Meets appropriate 
quality rating factor levels as determined by the agency. Selective and 
quality ranking factors cannot be so restrictive that they run counter 
to the goal of placing displaced employees. In the absence of selective 
and quality ranking factors, selecting officials will document the job-
related reason(s) the eligible employee is or is not considered to be 
well-qualified; or

[[Page 218]]

    (ii) Is rated by the agency to be above minimally qualified in 
accordance with the agency's specific rating and ranking process. 
Generally, this means that the individual may or may not meet the 
agency's test for highly qualified, but would in fact, exceed the 
minimum qualifications for the position;
    (3) Is physically qualified, with reasonable accommodation where 
appropriate, to perform the essential duties of the position;
    (4) Meets any special qualifying condition(s) that OPM has approved 
for the position;
    (5) Is able to satisfactorily perform the duties of the position 
upon entry; and
    (6) Has a last performance rating of at least ``Fully Successful'' 
or equivalent.



Sec. 330.1203  Eligibility.

    (a) In order to be eligible for special selection priority, an 
eligible displaced employee of the former Panama Canal Zone must:
    (1) Have received a specific notice of separation by reduction in 
force;
    (2) Have not been appointed to another appropriate position in the 
Government of the United States in Panama;
    (3) Apply for a vacancy within the time frames established by the 
hiring agency; and
    (4) Be found by the hiring agency as well-qualified for that 
specific vacancy.
    (b) Eligibility for special selection priority as an eligible 
displaced employee of the former Panama Canal Zone begins on the date 
that the employee received a specific notice of separation by reduction 
in force.
    (c) Eligibility for special selection priority as an eligible 
displaced employee of the former Panama Canal Zone expires on the 
earliest of:
    (1) One year after the effective date of the reduction in force;
    (2) The date that the employee receives a career, career-
conditional, or excepted appointment without time limit in any agency at 
any grade level; or
    (3) The date that the employee is separated involuntarily for cause 
prior to the effective date of the reduction in force action.



Sec. 330.1204.  Selection.

    (a) If two or more individuals apply for a vacancy and the hiring 
agency determines the individuals to be well-qualified, the agency has 
the discretion to select any of the individuals eligible for priority 
under subpart G of this part (the Interagency Career Transition 
Assistance Plan), under subpart K of this part (Federal Employment 
Priority Consideration for Displaced employees of the District of 
Columbia Department of Corrections), or under subpart L of this part 
(Interagency Career Transition Assistance for Displaced Former Panama 
Canal Zone Employees).
    (b) Except as provided in Sec. 330.705(c), when filling a position 
from outside the agency's workforce, the agency must select:
    (1) Current or former agency employees eligible under the agency's 
Reemployment Priority List described in subpart B of this part; then
    (2) At the agency's option, any other former employee displaced from 
the agency (under appropriate selection procedures, then:
    (3) Current or former Federal employees displaced from other 
agencies who are eligible under subparts G, K, or L of this part, and 
then:
    (4) Any other candidate (under appropriate selection procedures) 
(optional).



PART 332--RECRUITMENT AND SELECTION THROUGH COMPETITIVE EXAMINATION--Table of Contents




                      Subpart A--General Provisions

Sec.
332.101 General policy of competition.
332.102 Definitions.
332.103 Filling certain postmaster positions.

Subpart B [Reserved]

            Subpart C--Period of Competition and Eligibility

                                 General

332.301 Termination of eligibility.

      Acceptance of Applications After Closing Date of Examinations

332.311 Quarterly examinations.
332.312 Applicants in military or overseas service.

[[Page 219]]

332.313 Preference eligibles separated from competitive positions.
332.314 [Reserved]

                       Restoration of Eligibility

332.321 Preference eligibles who resigned from competitive positions.
332.322 Persons who lost eligibility because of military service.
332.323 Employees separated during probation.

                Subpart D--Consideration for Appointment

332.401 Order on registers.
332.402 Referring candidates for appointment.
332.403 Selective certification.
332.404 Order of selection from certificates.
332.405 Three considerations for appointment.
332.406 Objections to eligibles.
332.407 Restriction of consideration to one sex.

    Authority: 5 U.S.C. 1302, 3301, 3302; E.O. 10577, 3 CFR, 1954-1958 
Comp., p. 218.

    Source: 33 FR 12426, Sept. 4, 1968, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 332.101  General policy of competition.

    (a) Examinations for entrance into the competitive service shall be 
open competitive, except that OPM may authorize noncompetitive 
examinations when sufficient competent persons do not compete.
    (b) An examination for promotion, demotion, reassignment, transfer, 
or reinstatement may be a noncompetitive examination.



Sec. 332.102  Definitions.

    In this part:
    (a) Certificate means a list of eligibles from a register submitted 
to an appointing officer so that he may consider the eligibles for 
appointment.
    (b) Active military duty means active duty in full pay status in the 
Armed Forces of the United States, including an initial period of active 
duty for training.



Sec. 332.103  Filling certain postmaster positions.

    (a) When a vacancy occurs or is about to occur in a postmaster 
position in a fourth-class post office and the position involves fewer 
than 7 daily hours of service, a representative of the U.S. Postal 
Service shall visit the locality and, after due public notice has been 
given, accept applications from interested persons. The representative 
shall establish a register based on the qualifications and suitability 
of each applicant and on his ability to provide proper facilities for 
transacting the business of the office. The U.S. Postal Service shall 
submit to OPM for postaudit one copy of the representative's report 
showing the qualifications of all applicants, the basis for ranking the 
eligibles, and the selection of an eligible from the register. The 
report shall be accompanied by the applications of all applicants. A 
person selected for appointment from such a register may be appointed 
after the date the postmaster position is determined to involve 7 or 
more daily hours of service only with the prior approval of OPM.
    (b) When making an appointment from a register established under 
paragraph (a) of this section, the appointing officer shall select an 
eligible in accordance with Secs. 332.404 through 332.407.
    (c) When OPM, after holding two examinations, is unable to secure a 
complete certificate of three eligibles for a postmaster position 
involving 7 or more daily hours of service, it may authorize the 
establishment of a register and selection therefrom in accordance with 
paragraphs (a) and (b) of this section.

[34 FR 19748, Dec. 17, 1969]

Subpart B [Reserved]



            Subpart C--Period of Competition and Eligibility

                                 General



Sec. 332.301  Termination of eligibility.

    (a) Except as provided in paragraph (b) of this section, a person's 
eligibility on a register is terminated when:
    (1) He accepts a career or career-conditional appointment from the 
register; or
    (2) OPM terminates the eligibility of all persons on the register.
    (b) OPM may determine that in particular types of cases eligibility 
may

[[Page 220]]

not be terminated in less than 1 year. OPM shall publish the conditions 
under which eligibility may not be terminated in less than 1 year.

[33 FR 12426, Sept. 4, 1968, as amended at 66 FR 66710, Dec. 27, 2001]

      Acceptance of Applications After Closing Date of Examinations



Sec. 332.311  Quarterly examinations.

    (a) A 10-point preference eligible is entitled to file an 
application at any time for an examination for any position for which 
OPM maintains a register, for which a register is about to be 
established, or for which a nontemporary appointment was made in the 
preceding three years. For the purposes of this paragraph OPM shall hold 
an examination not later than the quarterly period succeeding that in 
which the application is filed.
    (b) When there is no appropriate existing register, OPM may 
establish special registers containing the names of eligibles from the 
quarterly examinations authorized by paragraph (a) of this section, 
together with the names of eligibles described in Sec. 332.322, and use 
these registers for certification to fill appropriate vacancies.

[35 FR 414, Jan. 13, 1970, as amended at 41 FR 22549, June 4, 1976]



Sec. 332.312  Applicants in military or overseas service.

    Subject to the time limits and other conditions published by OPM in 
its operating manuals, the following persons are entitled to file 
applications for open competitive examinations after the closing date 
for receipt of applications when there is an existing register or a 
register about to be established:
    (a) A person who could not file an application during the filing 
period, or appear for an assembled examination, because of military 
service, or hospitalization continuing for 1 year or less following 
discharge from military service;
    (b) An employee of the Federal Government who, as a member of a 
reserve unit of the military service, could not file an application 
during the filing period, or appear for an assembled examination, 
because of active duty beyond 15 days with the military service even 
though the duty is designated for training purposes; and
    (c) A United States citizen who could not file an application during 
the filing period, or appear for an assembled examination, because of 
overseas service with a Federal agency or with an international 
organization in which the United States Government participates.

[33 FR 12426, Sept. 4, 1968, as amended at 66 FR 66710, Dec. 27, 2001]



Sec. 332.313  Preference eligibles separated from competitive positions.

    The following persons are entitled to have their names entered on an 
appropriate existing register in the order prescribed by Sec. 332.401 if 
they were last employed under career or career-conditional appointments:
    (a) A preference eligible who is declared eligible therefor after 
appeal from furlough or discharge; and
    (b) A preference eligible who has been furloughed or separated 
without delinquency or misconduct and who applies within 90 days after 
furlough or separation.



Sec. 332.314  [Reserved]

                       Restoration of Eligibility



Sec. 332.321  Preference eligibles who resigned from competitive positions.

    A qualified preference eligible who resigned without delinquency or 
misconduct from career or career-conditional employment is entitled to 
have his name reentered on each register on which his name formerly 
appeared (or on a successor register) if he applies within 90 days after 
separation.



Sec. 332.322  Persons who lost eligibility because of military service.

    (a) A person who lost a period of eligibility on a register because 
he has served on active military duty since June 30, 1950, is entitled 
to have his name restored to that register or a successor register when 
he meets the following conditions:
    (1) He has not served more than four years following the date of his 
entrance on active military duty, exclusive of any additional service 
imposed pursuant to law. The date of entrance on

[[Page 221]]

duty means the first date between June 30, 1950, and July 1, 1971, on 
which he began a new period of active military duty, whether it was by 
original entry, reentry or extension.
    (2) He is honorably separated from active military duty.
    (3) He applies for restoration of eligibility within 90 days after 
discharge from active military duty or from hospitalization continuing 
for 1 year or less following separation from active military duty.
    (4) He is still qualified to perform the duties of the position for 
which the register is used.
    (b) When a person is entitled to have his name restored to a 
register under paragraph (a) of this section, OPM shall enter his name 
at the top of the appropriate group on the register if another eligible 
standing lower on the register on which his name formerly appeared was 
given a career or career-conditional appointment from that register. For 
professional and scientific positions in GS-9 and above and in 
comparable pay levels under other pay-fixing authorities, all eligibles 
are in one group. For all other positions, preference eligibles with a 
compensable service-connected disability of 10 percent or more are in 
one group and all other eligibles in another.
    (c) When there is no appropriate existing register, OPM may 
establish special registers containing the names of persons entitled to 
priority of certification under paragraph (b) of this section, together 
with the names of eligibles described in Sec. 332.311, and use these 
registers for certification to fill appropriate vacancies.

[33 FR 12426, Sept. 4, 1968, as amended at 35 FR 414, Jan. 13, 1970]



Sec. 332.323  Employees separated during probation.

    An employee who is separated (voluntarily or involuntarily) without 
delinquency or misconduct during his probationary period is entitled to 
have his name restored to the register of eligibles from which he was 
appointed, if he applies for restoration while the register is still in 
use.



                Subpart D--Consideration for Appointment



Sec. 332.401  Order on registers.

    Subject to apportionment, residence, and other requirements of law 
and this chapter, OPM shall enter the names of eligibles on the 
appropriate register in accordance with their numerical ratings, except 
that the names of:
    (a) Preference eligibles shall be entered in accordance with their 
augmented ratings and ahead of others having the same rating; and
    (b) Preference eligibles who have a compensable service-connected 
disability of 10 percent or more shall be entered at the top of the 
register in the order of their ratings unless the register is for 
professional or scientific positions in GS-9 and above and in comparable 
pay levels under other pay-fixing authorities.



Sec. 332.402  Referring candidates for appointment.

    OPM or a Delegated Examining Unit (DEU) will refer candidates for 
consideration by simultaneously listing a candidate on all certificates 
for which the candidate is interested, eligible, and within reach, 
except that, when it is deemed in the interest of good administration 
and candidates have been so notified, OPM or a DEU may choose to refer 
candidates for only one vacancy at a time. Selecting officials will 
receive sufficient names, when available, to allow them to consider at 
least 3 candidates for each vacancy.

[67 FR 7056, Feb. 15, 2002]



Sec. 332.403  Selective certification.

    When there is no register appropriate as a whole for the 
certification of eligibles for a particular position, OPM may prepare a 
certificate from the most nearly appropriate existing register by the 
selective certification of eligibles qualified for the particular 
position in the order of their ranking on the register. Special overseas 
selection factors may also be used as a basis for selective 
certification from a register used for filling overseas positions. When 
appropriate, OPM may rerate the eligibles on the register on the basis 
of

[[Page 222]]

the particular requirements of the position.



Sec. 332.404  Order of selection from certificates.

    An appointing officer, with sole regard to merit and fitness, shall 
select an eligible for:
    (a) The first vacancy from the highest three eligibles on the 
certificate who are available for appointment; and
    (b) The second and each succeding vacancy from the highest three 
eligibles on the certificate who are unselected and available for 
appointment.



Sec. 332.405  Three considerations for appointment.

    An appointing officer is not required to consider an eligible who 
has been considered by him for three separate appointments from the same 
or different certificates for the same position.



Sec. 332.406  Objections to eligibles.

    (a) An appointing officer is not required to consider an eligible to 
whose certification for the particular position he makes an objection 
that is sustained by OPM for any of the reasons stated in Sec. 339.101 
or Sec. 731.201 of this chapter or for other reasons considered by OPM 
to be disqualifying for the particular position. OPM may also sustain an 
objection to certification of an otherwise qualified eligible for an 
overseas position on the basis of special overseas selection factors.
    (b) An appointing officer may not pass over a preference eligible to 
select a non-preference eligible unless an objection to the preference 
eligible is sustained by OPM.
    (c) Pending OPM action on an agency's objection to an eligible, the 
agency may not appoint an eligible who would be within reach only if the 
objection is sustained.
    (d) Paragraphs (b) and (c) of this section, do not apply if the 
agency has more than one position to fill from the same certificate and 
holds a position for the individual objected to in the event OPM does 
not sustain the objection
    (e) Agencies shall follow the procedures for objecting to an 
eligible published by OPM in its operating manuals.

[42 FR 61240, Dec. 2, 1977, as amended at 66 FR 66710, Dec. 27, 2001]



Sec. 332.407  Restriction of consideration to one sex.

    An appointing officer may not restrict his consideration of 
eligibles or employees for competitive appointment or appointment by 
noncompetitive action to a position in the competitive service to one 
sex, except in unusual circumstances when OPM finds the action 
justified.

[34 FR 5367, Mar. 19, 1969. Redesignated at 42 FR 61240, Dec. 2, 1977]

                           PART 333 [RESERVED]



  PART 334--TEMPORARY ASSIGNMENT OF EMPLOYEES BETWEEN FEDERAL AGENCIES AND 
STATE, LOCAL, AND INDIAN TRIBAL GOVERNMENTS, INSTITUTIONS OF HIGHER 
EDUCATION, AND OTHER ELIGIBLE ORGANIZATIONS--Table of Contents




Sec.
334.101 Purpose.
334.102 Definitions.
334.103 Approval of instrumentalities or authorities of State and local 
          governments and ``other organizations''.
334.104 Length of assignment.
334.105 Obligated service requirement.
334.106 Requirement for written agreement.
334.107 Termination of agreement.
334.108 Reports required.

    Authority: 5 U.S.C. 3376; E.O. 11589, 3 CFR 557 (1971-1975).

    Source: 44 FR 25394, May 1, 1979, unless otherwise noted.



Sec. 334.101  Purpose.

    The purpose of this part is to carry into effect the objectives of 
title IV of the Intergovernmental Personnel Act of 1970 and title VI of 
the Civil Service Reform Act which authorize the temporary assignment of 
employees between Federal agencies and State, local, and Indian tribal 
governments, institutions of higher education and other eligible 
organizations.

[[Page 223]]



Sec. 334.102  Definitions.

    In this part: Assignment means a period of service under chapter 33, 
subchapter VI of title 5, United States Code;
    Employee means an individual serving in a Federal agency under a 
career or career-conditional appointment including career appointees in 
the Senior Executive Service, individuals under appointments of 
equivalent tenure in excepted service positions, and presidential 
management interns; or an individual employed for at least 90 days in a 
career position with a State, local, or Indian tribal government, 
institution of higher education, or other eligible organization;
    Federal agency means an Executive agency, military department, a 
court of the United States, the Administrative Office of the United 
States Courts, the Library of Congress, the Botanic Garden, the 
Government Printing Office, the Congressional Budget Office, the United 
States Postal Service, the Postal Rate Commission, the Office of the 
Architect of the Capitol, the Office of Technology Assessment, and such 
other similar agencies of the legislative and judicial branches as 
determined appropriate by the Office of Personnel Management;
    Institution of higher education means a domestic, accredited public 
or private 4-year college or university, or a technical or junior 
college;
    Indian tribal government refers to any Indian tribe, band, nation, 
or other organized group or community, including any Alaska Native 
village as defined in the Alaska Native Claims Settlement Act (85 Stat. 
668) which is recognized as eligible for the special programs and 
services provided by the United States to Indians because of their 
status as Indians and includes any tribal organization as defined in 
section 4(c) of the Indian Self-Determination and Education Assistance 
Act (Pub. L. 93-638, S. 105);
    Local government means any political subdivision, instrumentality, 
or authority of a State or States; and any general or special purpose 
agency of such a political subdivision, instrumentality, or authority;
    Other organization means a national, regional, Statewide, areawide, 
or metropolitan organization representing member State or local 
governments; an association of State or local public officials; or a 
nonprofit organization which has as one of its principal functions the 
offering of professional advisory, research, education, or development 
services, or related services to governments or universities concerned 
with public management; and
    State means a State of the United States, the District of Columbia, 
the Commonwealth of Puerto Rico, the Trust Territory of the Pacific 
Islands, the Northern Mariana Islands, and a territory or possession of 
the United States; and an instrumentality or authority of a State or 
States; and a Federal-State authority or instrumentality.



334.103  Approval of instrumentalities or authorities of State and local governments and ``other organizations''.

    (a) Organizations interested in participating in the mobility 
program as an instrumentality or authority of a State or local 
government or as an ``other organization'' as set out in this part must 
have their eligibility certified by the Federal agency with which they 
are entering into an assignment.
    (b) Written requests for certification should include a copy of the 
organization's:
    (1) Articles of incorporation;
    (2) Bylaws;
    (3) Internal Revenue Service nonprofit statement; and
    (4) Any other information which indicates that the organization has 
as a principal function the offering of professional advisory, research, 
educational, or development services, or related services to governments 
or universities concerned with public management.
    (c) Federally funded research and development centers which appear 
on a master list maintained by the National Science Foundation are 
eligible to enter into mobility agreements.
    (d) An organization denied certification by an agency may request 
reconsideration by the Office of Personnel Management.

[62 FR 23127, Apr. 29, 1997]

[[Page 224]]



Sec. 334.104  Length of assignment.

    (a) An assignment may be made for up to 2 years and may be extended 
by the head of a Federal agency, or his or her designee, for up to 2 
more years, given the concurrence of the other parties to the agreement.
    (b) A Federal agency may not send on assignment an employee who has 
served on mobility assignments for more than a total of 6 years during 
his or her Federal career. This applies only to Federal employees. The 
Office of Personnel Management may waive this provision upon the written 
request of the agency head, or his or her designee.
    (c) A Federal agency may not send or receive on assignment an 
employee who has served under the mobility authority for 4 continuous 
years without at least a 12-month return to duty with the organization 
from which originally assigned.

[62 FR 23127, Apr. 29, 1997]



Sec. 334.105  Obligated service requirement.

    (a) A Federal employee assigned under this subchapter must agree as 
a condition of accepting an assignment to serve with the Federal 
Government upon completion of the assignment for a period equal to the 
length of the assignment.
    (b) If the employee fails to carry out this agreement, he or she 
must reimburse the Federal agency for its share of the costs of the 
assignment (exclusive of salary and benefits). The head of the Federal 
agency, or his or her designee, may waive this reimbursement for good 
and sufficient reason.

[62 FR 23127, Apr. 29, 1997]



Sec. 334.106  Requirement for written agreement.

    (a) Before an assignment is made the Federal agency and the State, 
local, or Indian tribal government, institution of higher education, or 
other eligible organization and the assigned employee shall enter into a 
written agreement which records the obligations and responsibilities of 
the parties as specified in 5 U.S. Code 3373-3375.
    (b) Agencies must maintain a copy of each assignment agreement form 
as well as any modification to the agreement.

[62 FR 23127, Apr. 29, 1997]



Sec. 334.107  Termination of agreement.

    (a) An assignment may be terminated at any time at the request of 
the Federal agency or the State, local, or Indian tribal government, 
institution of higher education, or other participating organization. 
Where possible, the party terminating the assignment prior to the agreed 
upon date should provide 30-days advance notice along with a statement 
of reasons to the other parties to the agreement.
    (b) Federal assignees continue to encumber the positions they 
occupied prior to assignment, and the position is subject to any 
personnel actions that might normally occur. At the end of the 
assignment, the employee must be allowed to resume the duties of his/her 
position or must be reassigned to another position of like pay and 
grade.
    (c) An assignment is terminated, automatically, when the employer/
employee relationship ceases to exist between the assignee and his or 
her original employer.
    (d) The Office of Personnel Management shall have the authority to 
direct Federal agencies to terminate assignments or take other 
corrective actions when assignments are found to have been made in 
violation of the requirements of the Intergovernmental Personnel Act 
and/or this part.

[44 FR 25394, May 1, 1979. Redesignated and amended at 45 FR 996, Jan. 
4, 1980]



Sec. 334.108  Reports required.

    A Federal agency which assigns an employee to or receives an 
employee from a State, local, or Indian tribal government, institution 
of higher education or other eligible organization in accordance with 
this part shall submit to the Office of Personnel Management such 
reports as the Office of Personnel Management may request.

[44 FR 25394, May 1, 1979. Redesignated at 45 FR 996, Jan. 4, 1980]

[[Page 225]]



PART 335--PROMOTION AND INTERNAL PLACEMENT--Table of Contents




                      Subpart A--General Provisions

Sec.
335.101 Effect of position change on status and tenure.
335.102 Agency authority to promote, demote, or reassign.
335.103 Agency promotion programs.
335.104 Eligibility for career ladder promotion.
335.105 Notice of job announcements to OPM.
335.106 Special selection procedures for certain veterans under merit 
          promotion.

    Authority: 5 U.S.C. 3301, 3302, 3330; E.O. 10577, 3 CFR 1954-1958 
Comp., p. 218; 5 U.S.C. 3304 (f), and Pub.L. 106-117.



                      Subpart A--General Provisions



Sec. 335.101  Effect of position change on status and tenure.

    (a) Status. A position change authorized by Sec. 335.102 does not 
change the competitive status of an employee.
    (b) Tenure. Except as provided in paragraph (c) of this section and 
Sec. 316.703 of this chapter, a position change authorized by 
Sec. 335.102 does not change the tenure of an employee.
    (c) Exceptions. (1) A career-conditional employee who is promoted, 
demoted, or reassigned to a position paid under chapter 45 of title 39, 
United States Code, or required by law to be filled on a permanent basis 
becomes a career employee.
    (2) A career employee who is promoted, demoted, or reassigned from a 
position paid under chapter 45 of title 39, United States Code, or 
required by law to be filled on a permanent basis to a position under 
the career-conditional employment system becomes a career-conditional 
employee unless he has completed the service requirement for career 
tenure.

[33 FR 12428, Sept. 4, 1968]



Sec. 335.102  Agency authority to promote, demote, or reassign.

    Subject to Sec. 335.103 and, when applicable, to part 319 of this 
chapter, an agency may:
    (a) Promote, demote, or reassign a career or career-conditional 
employee;
    (b) Reassign an employee serving under a temporary appointment 
pending establishment of a register to a position to which his original 
assignment could have been made by the same appointing officer from the 
same recruiting list under the same order of consideration;
    (c) Promote, demote, or reassign an employee serving under an 
overseas limited appointment of indefinite duration or an overseas 
limited term appointment to another position to which an initial 
appointment under Sec. 301.201, Sec. 301.202, or Sec. 301.203 of this 
chapter is authorized;
    (d) Promote, demote, or reassign (1) a status quo employee and (2) 
an employee serving under an indefinite appointment in a competitive 
position, except that this authority may not be used to move an 
employee:
    (i) From a position in which an initial overseas limited appointment 
is authorized to another position; or
    (ii) To a position in which an initial overseas limited appointment 
is authorized from another position; and
    (e) Promote, demote, or reassign a term employee serving on a given 
project to another position within the project which the agency has been 
authorized to fill by term appointment;
    (f) Make time-limited promotions to fill temporary positions, 
accomplish project work, fill positions temporarily pending 
reorganization or downsizing, or meet other temporary needs for a 
specified period of not more than 5 years, unless OPM authorizes the 
agency to make and/or extend time-limited promotions for a longer 
period.
    (1) The agency must give the employee advance written notice of the 
conditions of the time-limited promotion, including the time limit of 
the promotion; the reason for a time limit; the requirement for 
competition for promotion beyond 120 days, where applicable; and that 
the employee may be returned at any time to the position from which 
temporarily promoted, or to a different position of equivalent grade and 
pay, and the return is not subject to the procedures in parts 351, 432, 
752, or 771 of this chapter. When an agency effects a promotion under a

[[Page 226]]

nondiscretionary provision and is unable to give advance notice to the 
employee, it must provide the notice as soon as possible after the 
promotion is made.
    (2) This paragraph applies to a career, career-conditional, status 
quo, indefinite, or term employee and to an employee serving under an 
overseas limited appointment of indefinite duration, or an overseas 
limited term appointment.

[33 FR 12428, Sept. 4, 1968, as amended at 35 FR 13075, Aug. 18, 1970; 
45 FR 24855, Apr. 11, 1980; 57 FR 10124, Mar. 24, 1992; 58 FR 59347, 
Nov. 9, 1993]



Sec. 335.103  Agency promotion programs.

    (a) Merit promotion plans. Except as otherwise specifically 
authorized by OPM, an agency may make promotions under Sec. 335.102 of 
this part only to positions for which the agency has adopted and is 
administering a program designed to insure a systematic means of 
selection for promotion according to merit. These programs shall conform 
to the requirements of this section.
    (b) Merit promotion requirements--(1) Requirement 1. Each agency 
must establish procedures for promoting employees which are based on 
merit and are available in writing to candidates. Agencies must list 
appropriate exceptions, including those required by law or regulation, 
as specified in paragraph (c) of this section. Actions under a promotion 
plan--whether identification, qualification, evaluation, or selection of 
candidates--shall be made without regard to political, religious, or 
labor organization affiliation or nonaffiliation, marital status, race, 
color, sex, national origin, nondisqualifying physical handicap, or age, 
and shall be based solely on job-related criteria.
    (2) Requirement 2. Areas of consideration must be sufficiently broad 
to ensure the availability of high quality candidates, taking into 
account the nature and level of the positions covered. Agencies must 
also ensure that employees within the area of consideration who are 
absent for legitimate reason, e.g., on detail, on leave, at training 
courses, in the military service, or serving in public international 
organizations or on Intergovernmental Personnel Act assignments, receive 
appropriate consideration for promotion.
    (3) Requirement 3. To be eligible for promotion or placement, 
candidates must meet the minimum qualification standards prescribed by 
the Office of Personnel Management (OPM). Methods of evaluation for 
promotion and placement, and selection for training which leads to 
promotion, must be consistent with instructions in part 300, subpart A, 
of this chapter. Due weight shall be given to performance appraisals and 
incentive awards.
    (4) Requirement 4. Selection procedures will provide for 
management's right to select or not select from among a group of best 
qualified candidates. They will also provide for management's right to 
select from other appropriate sources, such as reemployment priority 
lists, reinstatement, transfer, handicapped, or Veteran Readjustment Act 
eligibles or those within reach on an appropriate OPM certificate. In 
deciding which source or sources to use, agencies have an obligation to 
determine which is most likely to best meet the agency mission 
objectives, contribute fresh ideas and new viewpoints, and meet the 
agency's affirmative action goals.
    (5) Requirement 5. Administration of the promotion system will 
include recordkeeping and the provision of necessary information to 
employees and the public, ensuring that individuals' rights to privacy 
are protected. Each agency must maintain a temporary record of each 
promotion sufficient to allow reconstruction of the promotion action, 
including documentation on how candidates were rated and ranked. These 
records may be destroyed after 2 years or after the program has been 
formally evaluated by OPM (whichever comes first) if the time limit for 
grievance has lapsed before the anniversary date.
    (c) Covered personnel actions--(1) Competitive actions. Except as 
provided in paragraphs (c)(2) and (3) of this section, competitive 
procedures in agency promotion plans apply to all promotions under 
Sec. 335.102 of this part and to the following actions:
    (i) Time-limited promotions under Sec. 335.102(f) of this part for 
more than 120 days to higher graded positions (prior

[[Page 227]]

service during the preceding 12 months under noncompetitive time-limited 
promotions and noncompetitive details to higher graded positions counts 
toward the 120-day total). A temporary promotion may be made permanent 
without further competition provided the temporary promotion was 
originally made under competitive procedures and the fact that might 
lead to a permanent promotion was made known to all potential 
candidates;
    (ii) Details for more than 120 days to a higher grade position or to 
a position with higher promotion potential (prior service during the 
preceding 12 months under noncompetitive details to higher graded 
positions and noncompetitive time-limited promotions counts toward the 
120-day total);
    (iii) Selection for training which is part of an authorized training 
agreement, part of a promotion program, or required before an employee 
may be considered for a promotion as specified in Sec. 410.302 of this 
chapter;
    (iv) Reassignment or demotion to a position with more promotion 
potential than a position previously held on a permanent basis in the 
competitive service (except as permitted by reduction-in-force 
regulations);
    (v) Transfer to a position at a higher grade or with more promotion 
potential than a position previously held on a permanent basis in the 
competitive service; and
    (vi) Reinstatement to a permanent or temporary position at a higher 
grade or with more promotion potential than a position previously held 
on a permanent basis in the competitive service.
    (2) Noncompetitive actions. Competitive procedures do not apply to:
    (i) A promotion resulting from the upgrading of a position without 
significant change in the duties and responsibilities due to issuance of 
a new classification standard or the correction of an initial 
classification error; and
    (ii) A position change permitted by reduction-in-force procedures in 
part 351 of this chapter.
    (3) Discretionary actions. Agencies may at their discretion except 
the following actions from competitive procedures of this section:
    (i) A promotion without current competition of an employee who was 
appointed in the competitive from a civil service register, by direct 
hire, by noncompetitive appointment or noncompetitive conversion, or 
under competitive promotion procedures for an assignment intended to 
prepare the employee for the position being filled (the intent must be 
made a matter of record and career ladders must be documented in the 
promotion plan);
    (ii) A promotion resulting from an employee's position being 
classified at a higher grade because of additional duties and 
responsibilies;
    (iii) A temporary promotion, or detail to a higher grade position or 
a position with known promotion potential, of 120 days or less;
    (iv) Promotion to a grade previously held on a permanent basis in 
the competitive service (or in another merit system with which OPM has 
an interchange agreement approved under Sec. 6.7 of this chapter) from 
which an employee was separated or demoted for other than performance or 
conduct reasons;
    (v) Promotion, reassignment, demotion, transfer, reinstatement, or 
detail to a position having promotion potential no greater than the 
potential of a position an employee currently holds or previously held 
on a permanent basis in the competitive service (or in another merit 
system with which OPM has an interchange agreement approved under 
Sec. 6.7 of this chapter) and did not lose because of performance or 
conduct reasons; and
    (vi) Consideration of a candidate not given proper consideration in 
a competitive promotion action.
    (vii) Appointments of career SES appointees with competitive service 
reinstatement eligibility to any position for which they qualify in the 
competitive service at any grade or salary level, including Senior-Level 
positions established under 5 CFR Part 319--Employment in Senior-Level 
and Scientific and Professional positions.
    (d) Grievances. Employees have the right to file a complaint 
relating to a promotion action. Such complaints shall be resolved under 
appropriate grievance procedures. The standards for adjudicating 
complaints are set forth in part 300, subpart A, of this chapter. While 
the procedures used by

[[Page 228]]

an agency to identify and rank qualified candidates may be proper 
subjects for formal complaints or grievances, nonselection from among a 
group of properly ranked and certified candidates is not an appropriate 
basis for a formal complaint or grievance. There is no right of appeal 
of OPM, but OPM may conduct investigations of substantial violations of 
OPM requirements.

[59 FR 67121, Dec. 29, 1994, as amended at 63 FR 34258, June 24, 1998]



Sec. 335.104  Eligibility for career ladder promotion.

    No employee shall receive a career ladder promotion unless his or 
her current rating of record under part 430 of this chapter is ``Fully 
Successsful'' (level 3) or higher. In addition, no employee may receive 
a career ladder promotion who has a rating below ``Fully Successful'' on 
a critical element that is also critical to performance at the next 
higher grade of the career ladder.

[51 FR 8411, Mar. 11, 1986]



Sec. 335.105  Notice of job announcements to OPM.

    Under 5 U.S.C. 3330, agencies are required to report job 
announcements to OPM for vacancies for which an agency will accept 
applications from outside the agency's work force. This requirement is 
implemented through Sec. 330.707 of subpart G of this chapter.

[66 FR 63906, Dec. 11, 2001]



Sec. 335.106  Special selection procedures for certain veterans under merit promotion.

    Preference eligibles or veterans who have been separated under 
honorable conditions from the armed forces after completing (as 
determined by the agency) 3 or more years of continuous active military 
service may compete for vacancies under merit promotion when an agency 
accepts applications from individuals outside its own workforce. Those 
veterans selected will be given career or career conditional 
appointments under Sec. 315.611 of this chapter.

[65 FR 14432, Mar. 17, 2000]



PART 337--EXAMINING SYSTEM--Table of Contents




                      Subpart A--General Provisions

Sec.
337.101 Rating applicants.
337.102 Evaluating qualifications for employees who are in a retained 
          grade.

                    Subpart B--Direct-Hire Authority

337.201 Coverage and purpose.
337.202 Definitions.
337.203 Public notice requirements.
337.204 Severe shortage of candidates.
337.205 Critical hiring needs.
337.206 Terminations, modifications, extensions and reporting.
337.207 Sunset.

         Subpart C--Alternative Rating and Selection Procedures

337.301 Coverage and purpose.
337.302 Definitions.
337.303 Agency responsibilities.
337.304 Veterans' preference.
337.305 Reporting requirements.
337.306 Sunset.

    Authority: 5 U.S.C. 1104(a) (2), 1302, 3301, 3302, 3304, 3319, 5364, 
E.O. 10577 (3 CFR 1954-1958 Comp., p. 218); 33 FR 12423, Sept. 4, 1968; 
and 45 FR 18365, Mar. 21, 1980.



                      Subpart A--General Provisions



Sec. 337.101  Rating applicants.

    (a) OPM shall prescribe the relative weights to be given subjects in 
an examination, and shall assign numerical ratings on a scale of 100. 
Except as provided in Sec. 930.203(a) of this chapter, each applicant 
who meets the minimum requirements for entrance to an examination and is 
rated 70 or more in the examination is eligible for appointment.
    (b) OPM shall add to the earned numerical ratings of applicants who 
make a passing grade:
    (1) Five points for applicants who are preference eligibles under 
section 2108(3)(A) and (B) of title 5, United States Code; and
    (2) Ten points for applicants who are preference eligibles under 
section 2108(3)(C)-(G) of that title.
    (c) When experience is a factor in determining eligibility, OPM 
shall credit a preference eligible with:
    (1) Time spent in the military service (i) as an extension of time 
spent in the

[[Page 229]]

position in which he was employed immediately before his entrance into 
the military service, or (ii) on the basis of actual duties performed in 
the military service, or (iii) as a combination of both methods. OPM 
shall credit time spent in the military service according to the method 
that will be of most benefit to the preference eligible.
    (2) All valuable experience, including experience gained in 
religious, civic, welfare, service, and organizational activities, 
regardless of whether pay was received therefor.

[33 FR 12423, Sept. 4, 1968]



Sec. 337.102  Evaluating qualifications for employees who are in a retained grade.

    (a) Employees who are in a retained grade must have the experience 
they gain subsequent to the downgrading action that placed them in a 
retained grade considered in the following manner. For placements during 
the period the employee is in a retained grade, agencies must consider 
the experience subsequent to the downgrading action to be either:
    (1) At the level of the retained grade and in the series of the 
position which he or she occupied at the time of the downgrading; or
    (2) At the grade and in the series of the position to which the 
employee is downgraded.
    (b) Agencies must determine which experience to consider on the 
basis of which will most likely result in placement. For placements or 
promotions after the retained grade period, the experience is considered 
only at the grade level and in the series of the position to which the 
employee was downgraded.

[45 FR 18365, Mar. 21, 1980]



                    Subpart B--Direct-Hire Authority

    Source: 68 FR 35268, June 13, 2003, unless otherwise noted.



Sec. 337.201  Coverage and purpose.

    OPM will permit an agency with delegated examining authority under 5 
U.S.C. 1104(a) (2) to use direct-hire authority under 5 U.S.C. 3304 for 
a position or group of positions if OPM determines that there is either 
a severe shortage of candidates or a critical hiring need for such 
positions.



Sec. 337.202  Definitions.

    In this subpart:
    (a) A direct-hire authority permits hiring without regard to the 
provisions of 5 U.S.C. 3309 through 3318, and parts 211 and 337, subpart 
A of this chapter.
    (b) A severe shortage of candidates for a particular position or 
group of positions means that an agency is unable to identify candidates 
possessing the competencies required to perform the job requirements 
despite extensive recruitment, extended announcement periods, and the 
use, as applicable, of hiring flexibilities such as recruitment and 
relocation incentives.
    (c) A critical hiring need for a particular position or group of 
positions means that an agency has a need to fill the position(s) to 
meet mission requirements brought about by an emergency, potential 
threat, or unanticipated or unusual mission requirement, or to conform 
to the requirements of law, a Presidential directive or Administration 
initiative, or an unexpected event outside of an agency's control.



Sec. 337.203  Public notice requirements.

    Agencies must comply with public notice requirements, as prescribed 
in 5 U.S.C. 3327 and 3330, and part 330, subpart G of this chapter with 
respect to any position that an agency seeks to fill using direct-hire 
authority.



Sec. 337.204  Severe shortage of candidates.

    (a) OPM will determine when a severe shortage of candidates exists 
for particular occupations, grades (or equivalent), and/or geographic 
locations. OPM may decide on its own that such a shortage exists, or may 
make this decision in response to a written request from an agency.
    (b) In a request for direct-hire authority under this section, an 
agency must identify the position(s) it is unable to fill and must 
include supporting evidence that demonstrates the existence of a severe 
shortage of candidates with respect to the position(s). The evidence 
should include, as applicable, information about:

[[Page 230]]

    (1) The results of workforce planning and analysis;
    (2) Employment trends including the local or national labor market;
    (3) The existence of nationwide or geographic skills shortages;
    (4) Agency efforts including recruitment initiatives, use of other 
appointing authorities (e.g., schedule A, schedule B) and flexibilities, 
training and development programs tailored to the position(s), and an 
explanation of why these recruitment and training efforts have not been 
sufficient;
    (5) The availability and quality of candidates;
    (6) The desirability of the geographic location of the position(s);
    (7) The desirability of the duties and/or work environment 
associated with the position(s); and
    (8) Other pertinent information such as selective placement factors 
or other special requirements of the position, as well as the agency's 
use of hiring flexibilities such as recruitment or retention allowances.



Sec. 337.205  Critical hiring needs.

    (a) OPM will determine when there is a critical hiring need for 
particular occupations, grades (or equivalent) and/or geographic 
locations. OPM may decide on its own that there is such a need, or may 
make this decision in response to a written request from an agency.
    (b) In a request for direct-hire authority under this section, an 
agency must:
    (1) Identify the position(s) that it must fill;
    (2) Describe the event or circumstance that has created the need to 
fill the position(s);
    (3) Specify the duration for which the critical need is expected to 
exist; and
    (4) Include supporting evidence that demonstrates why the use of 
other hiring authorities is impracticable or ineffective.



Sec. 337.206  Terminations, modifications, extensions, and reporting.

    (a) Termination and modification. On a periodic basis, for each 
direct-hire authority that it previously granted, OPM will review the 
appropriate agency's use of the authority to ensure that the agency is 
using the authority properly and to determine if the agency's continued 
use of the authority is supportable. OPM will terminate or modify a 
direct-hire authority previously granted to an agency if OPM determines 
that there is no longer a severe shortage of candidates or a critical 
hiring need. OPM may also terminate an agency's authority when the 
agency has used its authority improperly.
    (b) Extension. OPM may extend an agency's direct-hire authority if 
OPM determines that there is or will continue to be a severe shortage of 
candidates or a critical hiring need with respect to a particular 
position as of the date on which the agency's authority is due to 
expire.
    (c) Reporting requirement. On a periodic basis, OPM may request 
information from agencies regarding their use of these direct-hire 
authorities.



Sec. 337.207  Sunset.

    The authority to use direct hire authority terminates June 14, 2004.



         Subpart C--Alternative Rating and Selection Procedures

    Source: 68 FR 35269, June 13, 2003, unless otherwise noted.



Sec. 337.301  Coverage and purpose.

    This subpart implements the category rating and selection procedures 
at 5 U.S.C. 3319. This law authorizes agencies with delegated examining 
authority under 5 U.S.C. 1104(a)(2) to develop a category rating method 
as an alternative process to assess applicants for jobs filled through 
competitive examining.



Sec. 337.302  Definitions.

    In this subpart:
    (a) Category rating is synonymous with alternative rating as 
described at 5 U.S.C. 3319, and is a process of evaluating qualified 
eligibles by quality categories rather than by assigning individual 
numeric scores. The agency assesses candidates against job-related 
criteria and then places them into two or more pre-defined categories.
    (b) Quality categories are groupings of individuals with similar 
levels of job-

[[Page 231]]

related knowledge, skills, abilities, or competencies.



Sec. 337.303  Agency responsibilities.

    To use a category rating system, agencies must:
    (a) Establish a system for evaluating applicants that provides for 
two or more quality categories;
    (b) Define each quality category through job analysis conducted in 
accordance with the ``Uniform Guidelines on Employee Selection 
Procedures'' at 29 CFR part 1607 and part 300 of this chapter. Each 
category must have a clear definition that distinguishes it from other 
categories;
    (c) Describe each quality category in the job announcement and apply 
the provisions of part 330, subparts B, F and G of this chapter;
    (d) Place applicants into categories based upon their job-related 
knowledge, skills, abilities or competencies; and
    (e) Establish documentation and record-keeping procedures for 
reconstruction purposes.



Sec. 337.304  Veterans' preference.

    In this subpart:
    (a) Veterans' preference must be applied as prescribed in section 
1312(a)(2) of Public Law 107-296, the Homeland Security Act, and 
codified at 5 U.S.C. 3319; and
    (b) Veterans' preference points as prescribed in Sec. 337.101 are 
not applied in category rating.



Sec. 337.305  Reporting requirements.

    Any agency that uses category rating must forward to OPM a copy of 
the annual report that it must submit to Congress pursuant to 5 U.S.C. 
3319.



Sec. 337.306  Sunset.

    The authority to use category rating terminates June 14, 2004.



PART 338--QUALIFICATION REQUIREMENTS (GENERAL)--Table of Contents




                   Subpart A--Citizenship Requirements

Sec.
338.101 Citizenship.

Subpart B [Reserved]

                Subpart C--Consideration for Appointment

338.301 Competitive service appointment.

Subparts D-E [Reserved]

                       Subpart F--Age Requirements

338.601 Prohibition of maximum-age requirements.

    Authority: 5 U.S.C. 3301, 3302, 3304; E.O. 10577, 3 CFR, 1954-1958 
comp., p. 218.



                   Subpart A--Citizenship Requirements



Sec. 338.101  Citizenship.

    (a) A person may be admitted to competitive examination only if he 
is a citizen of or owes permanent allegiance to the United States.
    (b) A person may be given an appointment in the competitive service 
only if he or she is a citizen of or owes permanent allegiance to the 
United States. However, a noncitizen may be given an appointment in rare 
cases under Sec. 316.601 of this chapter, unless the appointment is 
prohibited by statute.
    (c) Paragraph (b) of this section applies to reinstatement and 
transfer as well as to other noncompetitive appointments, and to 
conversion to career or career-conditional employment.

[33 FR 12429, Sept. 4, 1968, as amended at 57 FR 10124, Mar. 24, 1992]

Subpart B [Reserved]



                Subpart C--Consideration for Appointment



Sec. 338.301  Competitive service appointment.

    Agencies must ensure that employees who are given competitive 
service appointments meet the requirements included in the Office of 
Personnel Management's Operating Manual: Qualification Standards for 
General Schedule Positions. The Operating Manual is available to the 
public for review at agency personnel offices and Federal depository 
libraries, and for purchase from the Government Printing Office.

[62 FR 44535, Aug. 22, 1997]

[[Page 232]]

Subparts D-E [Reserved]



                       Subpart F--Age Requirements



Sec. 338.601  Prohibition of maximum-age requirements.

    A maximum-age requirement may not be applied in either competitive 
or noncompetitive examinations for positions in the competitive service 
except as provided by:
    (a) Section 3307 of title 5, United States Code; or
    (b) Public Law 93-259 which authorizes OPM to establish a maximum-
age requirement after determining that age is an occupational 
qualification necessary to the performance of the duties of the 
position.

[40 FR 42734, Sept. 16, 1975]



PART 339--MEDICAL QUALIFICATION DETERMINATIONS--Table of Contents




                           Subpart A--General

Sec.
339.101 Coverage.
339.102 Purpose and effect.
339.103 Compliance with EEOC regulations.
339.104 Definitions.

             Subpart B--Physical and Medical Qualifications

339.201 Disqualification by OPM.
339.202 Medical standards.
339.203 Physical requirements.
339.204 Waiver of standards and requirements.
339.205 Medical evaluation programs.
339.206 Disqualification on the basis of medical history.

                     Subpart C--Medical Examinations

339.301 Authority to require an examination.
339.302 Authority to offer examinations.
339.303 Examination procedures.
339.304 Payment for examination.
339.305 Records and reports.
339.306 Processing medical eligibility determinations on certificates of 
          eligibles.

    Authority: 5 U.S.C. 3301, 3302, 5112; E.O. 9830, February 24, 1947.

    Source: 54 FR 9763, Mar. 8, 1989, unless otherwise noted.



                           Subpart A--General



Sec. 339.101  Coverage.

    This part applies to all applicants for and employees in competitive 
service positions; and to excepted service employees when medical issues 
arise in connection with an OPM regulation which governs a particular 
personnel decision, for example, removal of a preference eligible 
employee in the excepted service under part 752.



Sec. 339.102  Purpose and effect.

    (a) This part defines the circumstances under which medical 
documentation may be acquired and examinations and evaluations conducted 
to determine the nature of a medical condition which may affect safe and 
efficient performance.
    (b) Personnel decisions based wholly or in part on the review of 
medical documentation and the results of medical examinations and 
evaluations shall be made in accordance with appropriate parts of this 
title.
    (c) Failure to meet a properly established medical standard or 
physical requirement under this part means that the individual is not 
qualified for the position unless a waiver or reasonable accommodation 
is indicated, as described in Secs. 339.103 and 339.204. An employee's 
refusal to be examined in accordance with a proper agency order 
authorized under this part is grounds for appropriate disciplinary or 
adverse action.

[54 FR 9763, Mar. 8, 1989, as amended at 60 FR 3061, Jan. 13, 1995]



Sec. 339.103  Compliance with EEOC regulations.

    Actions under this part must be consistent with 29 CFR 1613. 701 et 
seq. Particularly relevant to medical qualification determinations are 
Sec. 1613.704 (requiring reasonable accommodation of individuals with 
handicaps); Sec. 1613.705 (prohibiting use of employment criteria that 
screen out individuals with handicaps unless shown to be related to the 
job in question) and Sec. 1614.706 (prohibiting pre-employment inquiries 
related to handicap and pre-employment medical examinations, except 
under specified circumstances). In addition,

[[Page 233]]

use of the term ``qualified'' in these regulations shall be interpreted 
consistently with Sec. 1613.702(f), which provides that a ``qualified 
handicapped person'' is a handicapped person ``who, with or without 
reasonable accommodation, can perform the essential functions of the 
position in question without endangering the health and safety of the 
individual or others.''



Sec. 339.104  Definitions.

    For purposes of this part--
    Accommodation means reasonable accommodation as described in 29 CFR 
1613.704.
    Arduous of hazardous positions means positions that are dangerous or 
physically demanding to such a degree that an incumbent's medical 
condition is necessarily an important consideration in determining 
ability to perform safely and efficiently.
    Medical condition means health impairment which results from injury 
or disease, including psychiatric disease.
    Medical documentation or documentation of a medical condition means 
a statement from a licensed physician or oher appropriate practitioner 
which provides information the agency considers necessary to enable it 
to make a employment decision. To be acceptable, the diagnosis or 
clinical impression must be justified according to established 
diagnostic criteria and the conclusions and recommendations must not be 
inconsistent with generally accepted professional standards. The 
determination that the diagnosis meets these criteria is made by or in 
coordination with a physician or, if appropriate, a practitioner of the 
same discipline as the one who issued the statement. An acceptable 
diagnosis must include the following information, or parts identified by 
the agency as necessary and relevant:
    (a) The history of the medical conditions, including references to 
findings from previous examinations, treatment, and responses to 
treatment;
    (b) Clinical findings from the most recent medical evaluation, 
including any of the following which have been obtained: Findings of 
physical examination; results of laboratory tests; X-rays; EKG's and 
other special evaluations or diagnostic procedures; and, in the case of 
psychiatric evaluation of psychological assessment, the findings of a 
mental status examination and the results of psychological tests, if 
appropriate;
    (c) Diagnosis, including the current clinical status;
    (d) Prognosis, including plans for future treatment and an estimate 
of the expected date of full or partial recovery;
    (e) An explanation of the impact of the medical condition on overall 
health and activities, including the basis for any conclusion that 
restrictions or accommodations are or are not warranted, and where they 
are warranted, an explanation of their therapeutic of risk avoiding 
value;
    (f) An explanation of the medical basis for any conclusion which 
indicates the likelihood that the individual is or is not expected to 
suffer sudden or subtle incapacitation by carrying out, with or without 
accommodation, the tasks or duties of a specific position;
    (g) Narrative explanation of the medical basis for any conclusion 
that the medical condition has or has not become static or well 
stabilized and the likelihood that the individual may experience sudden 
or subtle incapacitation as a result of the medical condition. In this 
context, ``static or well-stabilized medical condition'' means a medical 
condition which is not likely to change as a consequence of the natural 
progression of the condition, specifically as a result of the normal 
aging process, or in response to the work environment or the work 
itself. ``Subtle incapacitation'' means gradual, initially imperceptible 
impairment of physical or mental function whether reversible or not 
which is likely to result in performance or conduct deficiencies. 
``Sudden incapacitation'' means abrupt onset of loss of control of 
physical or mental function.
    Medical evaluation program means a program of recurring medical 
examinations or tests established by written agency policy or directive, 
to safeguard the health of employees whose work may subject them or 
others to significant health or safety risks due to occupational or 
environmental exposure or demands.

[[Page 234]]

    Medical standard is a written description of the medical 
requirements for a particular occupation based on a determination that a 
certian level of fitness of health status is required for successful 
performance.
    Physical requirement is a written description of job-related 
physical abilities which are normally considered essential for 
successful performance in a specific position.
    Physician means a licensed Doctor of Medicine or Doctor of 
Osteopathy, or a physician who is serving on active duty in the 
uniformed services and is designated by the uniformed service to conduct 
examinations under this part.
    Practitioner means a person providing health services who is not a 
medical doctor, but who is certified by a national organization and 
licensed by a State to provide the service in question.



             Subpart B--Physical and Medical Qualifications



Sec. 339.201  Disqualification by OPM.

    Subject to subpart C of part 731 of this chapter, OPM may deny an 
applicant examination, deny an eligible appointment, and instruct an 
agency to remove an appointee by reason of physical or mental unfitness 
for the position for which he or she has applied, or to which he or she 
has been appointed. An OPM decision under this section is separate and 
distinct from a determination of disability under Sec. 831.502, 844.103, 
844.202, or subpart L of part 831 of this title, and does not 
necessarily entitle the employee to disability retirement under sections 
8337 or 8451 of title 5, United States Code.



Sec. 339.202  Medical standards.

    OPM may establish or approve medical standards for a Governmentwide 
occupation (i.e., an occupation common to more than one agency). An 
agency may establish medical standards for positions that predominate in 
that agency (i.e., where the agency has 50 percent or more of the 
positions in a particular occupation). Such standards must be justified 
on the basis that the duties of the position are arduous or hazardous, 
or require a certain level of health status or fitness because the 
nature of the positions involve a high degree of responsibility toward 
the public or sensitive national security concerns. The rationale for 
establishing the standard must be documented. Standards established by 
OPM or an agency must be:
    (a) Established by written directive and uniformly applied,
    (b) Directly related to the actual requirements of the position.

[54 FR 9763, Mar. 8, 1989, as amended at 66 FR 66710, Dec. 27, 2001]



Sec. 339.203  Physical requirements.

    Agencies are authorized to establish physical requirements for 
individual positions without OPM approval when such requirements are 
considered essential for successful job performance. The requirements 
must be clearly supported by the actual duties of the position and 
documented in the position description.



Sec. 339.204  Waiver of standards and requirements.

    Agencies must waive a medical standard or physical requirement 
established under this part when there is sufficient evidence that an 
applicant or employee, with or without reasonable accommodation, can 
perform the essential duties of the position without endangering the 
health and safety of the individual or others.



Sec. 339.205  Medical evaluation programs.

    Agencies may establish periodic examination or immunization programs 
by written policies or directives to safeguard the health of employees 
whose work may subject them or others to significant health or safety 
risks due to occupational or environmental exposure or demands. The need 
for a medical evaluation program must be clearly supported by the nature 
of the work. The specific positions covered must be identified and the 
applicants or incumbents notified in writing of the reasons for 
including the positions in the program.



Sec. 339.206  Disqualification on the basis of medical history.

    A candidate may not be disqualified for any position solely on the 
basis of medical history. For positions with

[[Page 235]]

medical standards or physical requirements, or positions subject to 
medical evaluation programs, a history of a particular medical problem 
may result in medical disqualification only if the condition at issue is 
itself disqualifying, recurrence cannot medically be ruled out, and the 
duties of the position are such that a recurrence would pose a 
reasonable probability of substantial harm.



                     Subpart C--Medical Examinations



Sec. 339.301  Authority to require an examination.

    (a) A routine preappointment examination is appropriate only for a 
position which has specific medical standards, physical requirements, or 
is covered by a medical evaluation program established under these 
regulations.
    (b) Subject to Sec. 339.103 of this part, an agency may require an 
individual who has applied for or occupies a position which has medical 
standards or physical requirements or which is part of an established 
medical evaluation program, to report for a medical examination:
    (1) Prior to appointment or selection (including reemployment on the 
basis of full or partial recovery from a medical condition);
    (2) On a regularly recurring, periodic basis after appointment; or
    (3) Whenever there is a direct question about an employee's 
continued capacity to meet the physical or medical requirements of a 
position.
    (c) An agency may require an employee who has applied for or is 
receiving continuation of pay or compensation as a result of an on-the-
job injury or disease to report for an examination to determine medical 
limitations that may affect placement decisions.
    (d) An agency may require an employee who is released from his or 
her competitive level in a reduction in force to undergo a relevant 
medical evaluation if the position to which the employee has 
reassignment rights has medical standards or specific physical 
requirements which are different from those required in the employee's 
current position.
    (e)(1) An agency may order a psychiatric examination (including a 
psychological assessment) only when:
    (i) The result of a current general medical examination which the 
agency has the authority to order under this section indicates no 
physical explanation for behavior or actions which may affect the safe 
and efficient performance of the individual or others, or
    (ii) A phychiatric examination is specifically called for in a 
position having medical standards or subject to a medical evaluation 
program established under this part.
    (2) A psychiatric examination or psychological assessment authorized 
under (i) or (ii) above must be conducted in accordance with accepted 
professional standards, by a licensed practitioner or physician 
authorized to conduct such examinations, and may only be used to make 
legitimate inquiry into a person's mental fitness to successfully 
perform the duties of his or her position without undue hazard to the 
individual or others.



Sec. 339.302  Authority to offer examinations.

    An agency may, at its option, offer a medical examination (including 
a psychiatric evaluation) in any situation where the agency needs 
additional medical documentation to make an informed management 
decision. This may include situations where an individual requests for 
medical reasons a change in duty status, assignment, working conditions, 
or any other benefit or special treatment (including reasonable 
accommodation or reemployment on the basis of full or partial recovery 
from a medical condition) or where the individual has a performance or 
conduct problem which may require agency action. Reasons for offering an 
examination must be documented. An offer of an examination shall be 
carried out and used in accordance with 29 CFR 1613.706.



Sec. 339.303  Examination procedures.

    (a) When an agency orders or offers a medical examination under this 
subpart, it must inform the applicant or employee in writing of its 
reasons for doing so and the consequences of failure to cooperate. (A 
single notification

[[Page 236]]

is sufficient to cover a series of regularly recurring or periodic 
examinations ordered under this subpart.)
    (b) The agency designates the examining physician or other 
appropriate practitioner, but must offer the individual an opportunity 
to submit medical documentation from his or her personal physician or 
practitioner. The agency must review and consider all such documentation 
supplied by the individual's personal physician or practitioner.



Sec. 339.304  Payment for examination.

    Agencies shall pay for all examinations ordered or offered under 
this subpart, whether conducted by the agency's physician or the 
applicant's or employee's physician. Applicants and employees must pay 
for a medical examination conducted by a private physician (or 
practitioner) where the purpose of the examination is to secure a 
benefit sought by the applicant or employee.



Sec. 339.305  Records and reports.

    (a) Agencies will receive and maintain all medical documentation and 
records of examinations obtained under this part in accordance with 
instructions provided by OPM, under provisions of 5 CFR part 293, 
subpart E.
    (b) The report of an examination conducted under this subpart must 
be made available to the applicant or employee under the provisions of 
part 297 of this chapter.
    (c) Agencies must forward to the Office of Workers' Compensation 
Programs (OWCP), Department of Labor, a copy of all medical 
documentation and reports of examinations of individuals who are 
receiving or have applied for injury compensation benefits including 
continuation of pay. The agency must also report to the OWCP the failure 
of such individuals to report for examinations that the agency orders 
under this subpart. When the individual has applied for disability 
retirement, this information must be forwarded to OPM.



Sec. 339.306  Processing medical eligibility determinations on certificates of eligibles.

    (a) In accordance with the provisions of this part, agencies are 
authorized to medically disqualify a nonpreference eligible. A 
nonpreference eligible so disqualified has a right to a higher level 
review of the determination within the agency.
    (b) OPM must approve the sufficiency of the agency's reasons to:
    (1) Medically disqualify or pass over a preference eligible on a 
certificate in place of a nonpreference eligible,
    (2) Medically disqualify or pass over a 30 percent or more 
compensably disabled veteran for a position in the U.S. Postal Service 
in favor of a nonpreference eligible,
    (3) Medically disqualify a 30 percent or more compensably disabled 
veteran for assignment to another position in a reduction in force, or
    (4) Medically disqualify a 30 percent or more disabled veteran for 
noncompetitive appointment.



PART 340--OTHER THAN FULL-TIME CAREER EMPLOYMENT (PART-TIME, SEASONAL, 
ON-CALL, AND INTERMITTENT)--Table of Contents




    Subpart A--Principal Statutory Requirements--Part-Time Employment

Sec.
340.101 Principal statutory requirements.

        Subpart B--Regulatory Requirements--Part-Time Employment

340.201 Regulatory requirements.
340.202 General.
340.203 Technical assistance.
340.204 Agency reporting.

Subpart C [Reserved]

             Subpart D--Seasonal and Intermittent Employment

340.401 Definitions.
340.402 Seasonal employment.
340.403 Intermittent employment.

    Authority: 5 U.S.C. 3401 et seq., unless otherwise noted.

[[Page 237]]


    Source: 44 FR 57380, Oct. 5, 1979, unless otherwise noted.



    Subpart A--Principal Statutory Requirements--Part-Time Employment



Sec. 340.101  Principal statutory requirements.

    This subpart incorporates for the benefit of the user of the 
principal statutory requirements governing part-time career employment, 
as contained in 5 U.S.C. 3401-3408, and related provisions of Public Law 
95-437.

                               Short Title

    Sec. 1. This Act may be cited as the ``Federal Employees Part-Time 
Career Employment Act of 1978''.

                   Congressional Findings and Purpose

    Sec. 2. (a) The Congress finds that--
    (1) many individuals in our society possess great productive 
potential which goes unused because they cannot meet the requirements of 
a standard workweek; and
    (2) part-time permanent employment--
    (A) provides older individuals with a gradual transition into 
retirement;
    (B) provides employment opportunities to handicapped individuals or 
others who require a reduced workweek;
    (C) provides parents opportunities to balance family 
responsibilities with the need for additional income;
    (D) benefits students who must finance their own education or 
vocational training;
    (E) benefits the Government, as an employer, by increasing 
productivity and job satisfaction, while lowering turnover rates and 
absenteeism, offering management more flexibility in meeting work 
requirements, and filling shortages in various occupations; and
    (F) benefits society by offering a needed alternative for those 
individuals who require or prefer shorter hours (despite the reduced 
income), thus increasing jobs available to reduce unemployment while 
retaining the skills of individuals who have training and experience.
    (b) The purpose of this Act is to provide increased part-time career 
employment opportunities throughout the Federal Government.

``Sec. 3401. Definitions

    ``For the purpose of this subchapter--
    ``(1) `agency' means--
    ``(A) an Executive agency;
    ``(B) a military department;
    ``(C) an agency in the judicial branch;
    ``(D) the Library of Congress;
    ``(E) the Botanic Garden; and
    ``(F) the Office of the Architect of the Capitol; but does not 
include--
    ``(i) a Government controlled corporation;
    ``(ii) the Tennessee Valley Authority;
    ``(iii) the Alaska Railroad;
    ``(iv) the Virgin Island Corporation;
    ``(v) the Panama Canal Company;
    ``(vi) the Federal Bureau of Investigation, Department of Justice;
    ``(vii) the Central Intelligence Agency; and
    ``(viii) the National Security Agency, Department of Defense; and
    ``(2) `part-time career employment' means part-time employment of 16 
to 32 hours a week under a schedule consisting of an equal or varied 
number of hours per day, whether in a position which would be part-time 
without regard to this section or one established to allow job-sharing 
or comparable arrangements, but does not include employment on a 
temporary or intermittent basis.

``Sec. 3402. Establishment of part-time career employment programs

    ``(a) (1) In order to promote part-time career employment 
opportunities in all grade levels, the head of each agency, by 
regulation, shall establish and maintain a program for part-time career 
employment within such agency. Such regulations shall provide for--
    ``(A) the review of positions which, after such positions become 
vacant, may be filled on a part-time career employment basis (including 
the establishment of criteria to be used in identifying such positions);
    ``(B) procedures and criteria to be used in connection with 
establishing or converting positions for part-time career employment, 
subject to the limitations of section 3393 of this title;
    ``(C) annual goals for establishing or converting positions for 
part-time career employment, and a timetable setting forth interim and 
final deadlines for achieving such goals;
    ``(D) a continuing review and evaluation of the part-time career 
employment program established under such regulations; and
    ``(E) procedures for notifying the public of vacant part-time 
positions in such agency, utilizing facilities and funds otherwise 
available to such agency for the dissemination of information.
    ``(2) The head of each agency shall provide for communication 
between, and coordination of the activities of, the individuals within 
such agency whose responsibilities relate to the part-time career 
employment program established within that agency.
    ``(3) Regulations established under paragraph (1) of this subsection 
may provide for such exceptions as may be necessary to carry out the 
mission of the agency.
    ``(b) (1) The Civil Service Commission, by regulation, shall 
establish and maintain a

[[Page 238]]

program under which it shall, on the request of an agency, advise and 
assist such agency in the establishment and maintenance of its part-time 
career employment program under this subchapter.
    ``(2) The Commission shall conduct a research and demonstration 
program with respect to part-time career employment within the Federal 
Government. In particular, such program shall be directed to--
    ``(A) determining the extent to which part-time career employment 
may be used in filling positions which have not traditionally been open 
for such employment on any extensive basis, such as supervisory, 
managerial, and professional positions;
    ``(B) determining the extent to which job-sharing arrangements may 
be established for various occupations and positions; and
    ``(C) evaluating attitudes, benefits, costs, efficiency, and 
productivity associated with part-time career employment, as well as its 
various sociological effects as a mode of employment.

``Sec. 3403. Limitations

    ``(a) An agency shall not abolish any position occupied by an 
employee in order to make the duties of such position available to be 
performed on a part-time career employment basis.
    ``(b) Any person who is employed on a full-time basis in an agency 
shall not be required to accept part-time employment as a condition of 
continued employment.

``Sec. 3404. Personnel ceilings

    ``In administering any personnel ceiling applicable to an agency (or 
unit therein), an employee employed by such agency on a part-time career 
employment basis shall be counted as a fraction which is determined by 
dividing 40 hours into the average number of hours of such employee's 
regularly scheduled workweek. This section shall become effective on 
October 1, 1980.

``Sec. 340.101 Nonapplicability

    ``(a) If, on the date of enactment of this subchapter, there is in 
effect with respect to positions within an agency a collective-
bargaining agreement which establishes the number of hours of employment 
a week, then this subchapter shall not apply to those positions.
    ``(b) This subchapter shall not require part-time career employment 
in positions the rate of basic pay for which is fixed at a rate equal to 
or greater than the minimum rate fixed for GS-16 of the General 
Schedule.

``Sec. 340.101 Regulations

    ``Before any regulation is prescribed under this subchapter, a copy 
of the proposed regulation shall be published in the Federal Register 
and an opportunity provided to interested parties to present written 
comment and, where practicable, oral comment. Initial regulations shall 
be prescribed not later than 180 days after the date of the enactment of 
this subchapter.

``Sec. 3407. Reports

    ``(a) Each agency shall prepare and transmit on a biannual basis a 
report to the Office of Personnel Management on its activities under 
this subchapter, including--
    ``(1) details on such agency's progress in meeting part-time career 
employment goals established under section 3392 of this title; and
    ``(2) an explanation of any impediments experienced by such agency 
in meeting such goals or in otherwise carrying out the provisions of 
this subchapter, together with a statement of the measures taken to 
overcome such impediments.
    ``(b) The Commission shall include in its annual report under 
section 1308 of this title a statement of its activities under this 
subchapter, and a description and evaluation of the activities of 
agencies in carrying out the provisions of this subchapter.

``Sec. 3408. Employee organization representation

    ``If an employee organization has been accorded exclusive 
recognition with respect to a unit within an agency, then the employee 
organization shall be entitled to represent all employees within that 
unit employed on a part-time career employment basis.''.

    (b) Subpart B of the table of chapters of part III of the analysis 
of chapter 33 of title 5, United States Code, is amended by inserting 
after the item relating to section 3385 the following:

       ``SUBCHAPTER VII--PART-TIME CAREER EMPLOYMENT OPPORTUNITIES

``Sec.
``3401. Definitions.
``3402. Establishment of part-time career employment programs.
``3403. Limitations.
``3404. Personnel ceilings.
``3405. Nonapplicability.
``3406. Regulations.
``3407. Reports.
``3408. Employee organization representation.
    Sec. 4. (a) Section 8347(g) of title 5, United States Code, is 
amended by adding at the end thereof the following: ``However, the 
Commission may not exclude any employee who occupies a position on a 
part-time career employment basis (as defined in section 3391(2) of this 
title).''.
    (b) Section 8716(b) of such title 5 is amended--
    (1) by striking out of the second sentence ``or part-time'';
    (2) by striking out ``or'' at the end of clause (1);

[[Page 239]]

    (3) by striking out the period at the end of clause (2) and 
inserting in lieu thereof ``; or''; and
    (4) by adding at the end thereof the following:
    ``(3) an employee who is occupying a position on a part-time career 
employment basis (as defined in section 3391(2) of this title).''.
    (c) (1) Section 8913(b) of such title 5 is amended--
    (A) by striking out ``or'' at the end of clause (1);
    (B) by striking out the period at the end of clause (2) and 
inserting in lieu thereof ``; or''; and
    (C) by adding at the end thereof the following:
    ``(3) an employee who is occupying a position on a part-time career 
employment basis (as defined in section 3391(2) of this title).''.
    (2) (A) Section 8906(b) of such title 5 is amended--
    (i) by striking out ``paragraph (2)'' in paragraph (1) and inserting 
in lieu thereof ``paragraphs (2) and (3)''; and
    (ii) by adding at the end thereof the following new paragraph:
    ``(3) In the case of an employee who is occupying a position on a 
part-time career employment basis (as defined in section 3391 (2) of 
this title), the biweekly Government contribution shall be equal to the 
percentage which bears the same ratio to the percentage determined under 
this subsection (without regard to this paragraph) as the average number 
of hours of such employee's regularly scheduled workweek bears to the 
average number of hours in the regularly scheduled workweek of an 
employee serving in a comparable position on a full-time career basis 
(as determined under regulations prescribed by the Commission)''.
    (B) The amendments made by subparagraph (A) shall not apply with 
respect to any employee serving in a position on a part-time career 
employment basis on the date of the enactment of this Act for such 
period as the employee continues to serve without a break in service in 
that or any other position on such part-time basis.
    Sec. 5. Each report prepared by an agency under section 3397(a) of 
title 5, United States Code (as added by this Act), shall, to the extent 
to which part-time career employment opportunities have been extended by 
such agency during the period covered by such report to each group 
referred to in subparagraphs (A), (B), (C), and (D), of section 2(a)(2) 
of this Act.

[44 FR 57380, Oct. 5, 1979, as amended at 49 FR 17722, Apr. 25, 1984]



        Subpart B--Regulatory Requirements--Part-Time Employment

    Source: 44 FR 57380, Oct. 5, 1979, as amended at 49 FR 17722, Apr. 
25, 1984, unless otherwise noted.



Sec. 340.201  Regulatory requirements.

    This subpart contains the regulations of the Office of Personnel 
Management which implement the above sections of chapter 34 (as set out 
in Sec. 340.101).



Sec. 340.202  General.

    (a) Definitions. Part-time career employment means regularly 
scheduled work of from 16 to 32 hours per week performed by an employee 
of an agency as defined in 5 U.S.C. 3401 (a) through (f), who has an 
appointment in tenure group I or II and who becomes employed on such 
part-time basis on or after April 8, 1979.
    Tenure group I applies to employees in the competitive service under 
career appointments who are not serving probation and permanent 
employees in the excepted service whose appointments carry no 
restrictions or conditions.
    Tenure group II applies to employees in the competitive service 
serving probation, career-conditional employees, and career employees in 
obligated positions. It also includes employees in the excepted service 
serving trial periods, whose tenure is indefinite solely because they 
occupy obligated positions; or whose tenure is equivalent to career-
conditional in the competitive service.
    (b) Agency Exceptions. As an exception to the general definition of 
part-time employment in Sec. 340.202(a) and under the authority provided 
in 5 U.S.C. 3402(a)(3), an agency may permit an employee who has an 
appointment in tenure group I or II to perform regularly scheduled work 
of from 1 to 15 hours per week.
    (c) Mixed Tours of Duty. The provisions of this subpart and the term 
``part-time career employment'' do not apply to employees with 
appointments in tenure groups I or II who work under mixed tours of 
duty. For this purpose, a mixed tour of duty consists of annually 
recurring periods of full-time, part-time, or intermittent service as

[[Page 240]]

long as the employee does not work part-time more than 6 pay periods per 
calendar year.

[44 FR 57380, Oct. 5, 1979, as amended at 49 FR 17722, Apr. 25, 1984; 60 
FR 3061, Jan. 13, 1995]



Sec. 340.203  Technical assistance.

    (a) The Office of Personnel Management shall provide, within 
available resources, consultation and technical advice and assistance to 
agencies to aid them in expanding career part-time employment 
opportunities. This assistance shall include but not be limited to:
    (1) Help in developing part-time career employment programs;
    (2) Information on public and private sector part-time employment 
practices;
    (3) Development of special recruitment and selection techniques for 
filling part-time positions;
    (4) Interpretations of part-time employment law, regulations and 
policy;
    (5) Guidance on job sharing and position restructuring.
    (b) Request for information and assistance should be directed to the 
Associate Director for Staffing Services, Office of Personnel 
Management, 1900 E Street, NW., Washington, DC 20415, or the nearest OPM 
regional office.



Sec. 340.204  Agency reporting.

    (a) Agency reports required under 5 U.S.C. 3407 shall be based on 
data as of March 31 and September 30 each year and shall be provided to 
the Office of Personnel Management no later than May 15 and November 15 
respectively.
    (b) Each agency shall include with such reports a copy of any 
agencywide part-time career employment program regulations and 
instructions issued during the 6-month period preceding the report date.
    (c) Reports should be sent to the Associate Director for Staffing 
Services, Office of Personnel Management, 1900 E Street, NW., 
Washington, DC 20415.

Subpart C [Reserved]



             Subpart D--Seasonal and intermittent Employment

    Source: 60 FR 3061, Jan. 13, 1995, unless otherwise noted.



Sec. 340.401  Definitions.

    (a) Seasonal employment means annually recurring periods of work of 
less than 12 months each year. Seasonal employees are permanent 
employees who are placed in nonduty/nonpay status and recalled to duty 
in accordance with preestablished conditions of employment.
    (b) Intermittent employment means employment without a regularly 
scheduled tour of duty.



Sec. 340.402  Seasonal employment.

    (a) Appropriate use. Seasonal employment allows an agency to develop 
an experienced cadre of employees under career appointment to perform 
work which recurs predictably year-to-year. Consistent with the career 
nature of the appointments, seasonal employees receive the full benefits 
authorized to attract and retain a stable workforce. As a result, 
seasonal employment is appropriate when the work is expected to last at 
least 6 months during a calendar year. Recurring work that lasts less 
than 6 months each year is normally best performed by temporary 
employees. Seasonal employment may not be used as a substitute for full-
time employment or as a buffer for the full-time workforce.
    (b) Length of the season. Agencies determine the length of the 
season, subject to the condition that it be clearly tied to nature of 
the work. The season must be defined as closely as practicable so that 
an employee will have a reasonably clear idea of how much work he or she 
can expect during the year. To minimize the adverse impact of seasonal 
layoffs, an agency may assign seasonal employees to other work during 
the projected layoff period. While in nonpay status, a seasonal employee 
may accept other employment, Federal or non-Federal, subject to the 
regulations on political activity (part

[[Page 241]]

733 of this title) and on employee responsibilities and conduct (part 
735), as well as applicable agency policies. Subject to the limitation 
on pay from more than one position (5 U.S.C. 5533), a seasonal employee 
may hold more than one appointment.
    (c) Employment agreement. An employment agreement must be executed 
between the agency and the seasonal employee prior to the employee's 
entering on duty. At a minimum, the agreement must inform the employee:
    (1) That he or she is subject to periodic release and recall as a 
condition of employment,
    (2) The minimum and maximum period the employee can expect to work,
    (3) The basis on which release and recall procedures will be 
effected, and
    (4) The benefits to which the employee will be entitled while in a 
nonpay status.
    (d) Release and recall procedures. A seasonal employee is released 
to nonpay status at the end of a season and recalled to duty the next 
season. Release and recall procedures must be established in advance and 
uniformly applied. They may be based on performance, seniority, 
veterans' preference, other appropriate indices, or a combination of 
factors. A seasonal layoff is not subject to the procedures for furlough 
prescribed in parts 351 and 752 of this title. Reduction in force or 
adverse action procedures, as applicable, are required for a seasonal 
layoff that is not in accordance with the employment agreement, for 
example, if an agency intends to have an employee work less than the 
minimum amount of time specified in the employment agreement. However, 
an agency may develop a new employment agreement to reflect changing 
circumstances.
    (e) Noncompetitive movement. Seasonal employees serving under career 
appointment may move to other positions in the same way as other regular 
career employees.



Sec. 340.403  Intermittent employment.

    (a) Appropriate use. An intermittent work schedule is appropriate 
only when the nature of the work is sporadic and unpredictable so that a 
tour of duty cannot be regularly scheduled in advance. When an agency is 
able to schedule work in advance on a regular basis, it has an 
obligation to document the change in work schedule from intermittent to 
part-time or full-time to ensure proper service credit.
    (b) Noncompetitive movement. Intermittent employees serving under 
career appointment may move to other positions in the same way as other 
regular career employees.



PART 351--REDUCTION IN FORCE--Table of Contents




Subpart A [Reserved]

                      Subpart B--General Provisions

Sec.
351.201 Use of regulations.
351.202 Coverage.
351.203 Definitions.
351.204 Responsibility of agency.
351.205 Authority of OPM.

                     Subpart C--Transfer of Function

351.301 Applicability.
351.302 Transfer of employees.
351.303 Identification of positions with a transferring function.

                     Subpart D--Scope of Competition

351.401 Determining retention standing.
351.402 Competitive area.
351.403 Competitive level.
351.404 Retention register.
351.405 Demoted employees.

                      Subpart E--Retention Standing

351.501 Order of retention--competitive service.
351.502 Order of retention--excepted service.
351.503 Length of service.
351.504 Credit for performance.
351.505 Records.
351.506 Effective date of retention standing.

                Subpart F--Release From Competitive Level

351.601 Order of release from competitive level.
351.602 Prohibitions.
351.603 Actions subsequent to release from competitive level.
351.604 Use of furlough.
351.605 Liquidation provisions.
351.606 Mandatory exceptions.
351.607 Permissive continuing exceptions.
351.608 Permissive temporary exceptions.

[[Page 242]]

             Subpart G--Assignment Rights (Bump and Retreat)

351.701 Assignment involving displacement.
351.702 Qualifications for assignment.
351.703 Exception to qualifications.
351.704 Rights and prohibitions.
351.705 Administrative assignment.

                      Subpart H--Notice to Employee

351.801 Notice period.
351.802 Content of notice.
351.803 Notice of eligibility for reemployment and other placement 
          assistance.
351.804 Expiration of notice.
351.805 New notice required.
351.806 Status during notice period.
351.807 Certification of Expected Separation.

                Subpart I--Appeals and Corrective Action

351.901 Appeals.
351.902 Correction by agency.

Subpart J [Reserved]

    Authority: 5 U.S.C. 1302, 3502, 3503; sec. 351.801 also issued under 
E.O. 12828, 58 FR 2965.

    Source: 51 FR 319, Jan. 3, 1986, unless otherwise noted.

Subpart A [Reserved]



                      Subpart B--General Provisions



Sec. 351.201  Use of regulations.

    (a)(1) Each agency is responsible for determining the categories 
within which positions are required, where they are to be located, and 
when they are to be filled, abolished, or vacated. This includes 
determining when there is a surplus of employees at a particular 
location in a particular line of work.
    (2) Each agency shall follow this part when it releases a competing 
employee from his or her competitive level by furlough for more than 30 
days, separation, demotion, or reassignment requiring displacement, when 
the release is required because of lack of work; shortage of funds; 
insufficient personnel ceiling; reorganization; the exercise of 
reemployment rights or restoration rights; or reclassification of an 
employee's position die to erosion of duties when such action will take 
effect after an agency has formally announced a reduction in force in 
the employee's competitive area and when the reduction in force will 
take effect within 180 days.
    (b) This part does not require an agency to fill a vacant position. 
However, when an agency, at its discretion, chooses to fill a vacancy by 
an employee who has been reached for release from a competitive level 
for one of the reasons in paragraph (a)(2) of this section, this part 
shall be followed.
    (c) Each agency is responsible for assuring that the provisions in 
this part are uniformly and consistently applied in any one reduction in 
force.
    (d) An agency authorized to administer foreign national employee 
programs under section 408 of the Foreign Service Act of 1980 (22 U.S.C. 
3968) may include special plans for reduction in force in its foreign 
national employee programs. In these special plans an agency may give 
effect to the labor laws and practices of the locality of employment by 
supplementing the selection factors in subparts D and E of this part to 
the extent consistent with the public interest. Subpart I of this part 
does not apply to actions taken under the special plans authorized by 
this paragraph.



Sec. 351.202  Coverage.

    (a) Employees covered. Except as provided in paragraph (b) of this 
section, this part applies to each civilian employee in:
    (1) The executive branch of the Federal Government; and
    (2) Those parts of the Federal Government outside the executive 
branch which are subject by statute to competitive service requirements 
or are determined by the appropriate legislative or judicial 
administrative body to be covered hereunder. Coverage includes 
administrative law judges except as modified by part 930 of this 
chapter.
    (b) Employees excluded. This part does not apply to an employee:
    (1) In a position in the Senior Executive Service; or
    (2) Whose appointment is required by Congress to be confirmed by, or 
made with the advice and consent of, the United States Senate, except a 
postmaster.

[[Page 243]]

    (c) Actions excluded. This part does not apply to:
    (1) The termination of a temporary or term promotion or the return 
of an employee to the position held before the temporary or term 
promotion or to one of equivalent grade and pay.
    (2) A change to lower grade based on the reclassification of an 
employee's position due to the application of new classification 
standards or the correction of a classification error.
    (3) A change to lower grade based on reclassification of an 
employee's position due to erosion of duties, except that this exclusion 
does not apply to such reclassification actions that will take effect 
after an agency has formally announced a reduction in force in the 
employee's competitive area and when the reduction in force will take 
effect within 180 days. This exception ends at the completion of the 
reduction in force.
    (4) The change of an employee from regular to substitute in the same 
pay level in the U.S. Postal Service field service.
    (5) The release from a competitive level of a National Guard 
technician under section 709 of title 32, United States Code.
    (6) Placement of an employee serving on an intermittent, part-time, 
on-call, or seasonal basis in a nonpay and nonduty status in accordance 
with conditions established at time of appointment.
    (7) A change in an employee's work schedule from other-than-full-
time to full-time. (A change from full-time to other than full-time for 
a reason covered in Sec. 351.201(A)(2) is covered by this part.)

[51 FR 319, Jan. 3, 1986, as amended at 60 FR 3062, Jan. 13, 1995]



Sec. 351.203  Definitions.

    In this part:
    Competing employee means an employee in tenure group I, II, or III.
    Current rating of record is the rating of record for the most 
recently completed appraisal period as provided in Sec. 351.504(b)(3).
    Days means calendar days.
    Function means all or a clearly identifiable segment of an agency's 
mission (including all integral parts of that mission), regardless of 
how it is performed.
    Furlough under this part means the placement of an employee in a 
temporary nonduty and nonpay status for more than 30 consecutive 
calendar days, or more than 22 workdays if done on a discontinuous 
basis, but not more than 1 year.
    Local commuting area means the geographic area that usually 
constitutes one area for employment purposes. It includes any population 
center (or two or more neighboring ones) and the surrounding localities 
in which people live and can reasonably be expected to travel back and 
forth daily to their usual employment.
    Modal rating is the summary rating level assigned most frequently 
among the actual ratings of record that are:
    (1) Assigned under the summary level pattern that applies to the 
employee's position of record on the date of the reduction in force;
    (2) Given within the same competitive area, or at the agency's 
option within a larger subdivision of the agency or agencywide; and
    (3) On record for the most recently completed appraisal period prior 
to the date of issuance of reduction in force notices or the cutoff date 
the agency specifies prior to the issuance of reduction in force notices 
after which no new ratings will be put on record.
    Rating of record has the meaning given that term in Sec. 430.203 of 
this chapter. For an employee not subject to 5 U.S.C. Chapter 43, or 
part 430 of this chapter, it means the officially designated performance 
rating, as provided for in the agency's appraisal system, that is 
considered to be an equivalent rating of record under the provisions of 
Sec. 430.201(c) of this chapter.
    Reorganization means the planned elimination, addition, or 
redistribution of functions or duties in an organization.
    Representative rate means the fourth step of the grade for a 
position subject to the General Schedule, the prevailing rate for a 
position under a wage-board or similar wage-determining procedure, and 
for other positions, the rate designated by the agency as representative 
of the position.

[[Page 244]]

    Transfer of function means the transfer of the performance of a 
continuing function from one competitive area and its addition to one or 
more other competitive areas, except when the function involved is 
virtually identical to functions already being performed in the other 
competitive area(s) affected; or the movement of the competitive area in 
which the function is performed to another commuting area.
    Undue interruption means a degree of interruption that would prevent 
the completion of required work by the employee 90 days after the 
employee has been placed in a different position under this part. The 
90-day standard should be considered within the allowable limits of time 
and quality, taking into account the pressures of priorities, deadlines, 
and other demands. However, a work program would generally not be unduly 
interrupted even if an employee needed more than 90 days after the 
reduction in force to perform the optimum quality or quantity of work. 
The 90-day standard may be extended if placement is made under this part 
to a low priority program or to a vacant position.

[51 FR 319, Jan. 3, 1986, as amended at 58 FR 65533, Dec. 15, 1993; 60 
FR 3062, Jan. 13, 1995; 62 FR 62500, Nov. 24, 1997]



Sec. 351.204  Responsibility of agency.

    Each agency covered by this part is responsible for following and 
applying the regulations in this part when the agency determines that a 
reduction force is necessary.



Sec. 351.205  Authority of OPM.

    The Office of Personnel Management may establish further guidance 
and instructions for the planning, preparation, conduct, and review of 
reductions in force. OPM may examine an agency's preparations for 
reduction in force at any stage. When OPM finds that an agency's 
preparations are contrary to the express provisions or to the spirit and 
intent of these regulations or that they would result in violation of 
employee rights or equities, OPM may require appropriate corrective 
action.

[51 FR 319, Jan. 3, 1986, as amended at 66 FR 66710, Dec. 27, 2001]



                     Subpart C--Transfer of Function

    Source: 52 FR 10024, Mar. 30, 1987, unless otherwise noted.



Sec. 351.301  Applicability.

    (a) This subpart is applicable when the work of one or more 
employees is moved from one competitive area to another as a transfer of 
function regardless of whether or not the movement is made under 
authority of a statute, Executive order, reorganization plan, or other 
authority.
    (b) In a transfer of function, the function must cease in the losing 
competitive area and continue in an identical form in the gaining 
competitive area (i.e., in the gaining competitive area, the function 
continues to be carried out by competing employees rather than by 
noncompeting employees).

[52 FR 10024, Mar. 30, 1987, as amended at 60 FR 3062, Jan. 13, 1995]



Sec. 351.302  Transfer of employees.

    (a) Before a reduction in force is made in connection with the 
transfer of any or all of the functions of a competitive area to another 
continuing competitive area, each competing employee in a position 
identified with the transferring function or functions shall be 
transferred to the continuing competitive area without any change in the 
tenure of his or her employment.
    (b) An employee whose position is transferred under this subpart 
solely for liquidation, and who is not identified with an operating 
function specifically authorized at the time of transfer to continue in 
operation more than 60 days, is not a competing employee for other 
positions in the competitive area gaining the function.
    (c) Regardless of an employee's personal preference, an employee has 
no right to transfer with his or her function, unless the alternative in 
the competitive area losing the function is separation or demotion.
    (d) Except as permitted in paragraph (e) of this section, the losing 
competitive area must use the adverse action procedures found in 5 CFR 
part 752 if it chooses to separate an employee who declines to transfer 
with his or her function.

[[Page 245]]

    (e) The losing competitive area may, at its discretion, include 
employees who decline to transfer with their function as part of a 
concurrent reduction in force.
    (f) An agency may not separate an employee who declines to transfer 
with the function any sooner than it transfers employees who chose to 
transfer with the function to the gaining competitive area.
    (g) Agencies may ask employees in a canvass letter whether the 
employee wishes to transfer with the function when the function 
transfers to a different local commuting area. The canvass letter must 
give the employee information concerning entitlements available to the 
employee if the employee accepts the offer to transfer, and if the 
employee declines the offer to transfer. An employee may later change 
and initial acceptance offer without penalty. However, an employee may 
not later change an initial declination of the offer to transfer.

[52 FR 10024, Mar. 30, 1987, as amended at 60 FR 3062, Jan. 13, 1995]



Sec. 351.303  Identification of positions with a transferring function.

    (a) The competitive area losing the function is responsible for 
identifying the positions of competing employees with the transferring 
function. A competing employee is identified with the transferring 
function on the basis of the employee's official position. Two methods 
are provided to identify employees with the transferring function:
    (1) Identification Method One; and
    (2) Identification Method Two.
    (b) Identification Method One must be used to identify each position 
to which it is applicable. Identification Method Two is used only to 
identify positions to which Identification Method One is not applicable.
    (c) Under Identification Method One, a competing employee is 
identified with a transferring function if--
    (1) The employee performs the function during at least half of his 
or her work time; or
    (2) Regardless of the amount of time the employee performs the 
function during his or her work time, the function performed by the 
employee includes the duties controlling his or her grade or rate of 
pay.
    (3) In determining what percentage of time an employee performs a 
function in the employee's official position, the agency may supplement 
the employee's official position description by the use of appropriate 
records (e.g., work reports, organizational time logs, work schedules, 
etc.).
    (d) Identification Method Two is applicable to employees who perform 
the function during less than half of their work time and are not 
otherwise covered by Identification Method One. Under Identification 
Method Two, the losing competitive area must identify the number of 
positions it needed to perform the transferring function. To determine 
which employees are identified for transfer, the losing competitive area 
must establish a retention register in accordance with this part that 
includes the name of each competing employee who performed the function. 
Competing employees listed on the retention register are identified for 
transfer in the inverse order of their retention standing. If for any 
retention register this procedure would result in the separation or 
demotion by reduction in force at the losing competitive area of any 
employee with higher retention standing, the losing competitive area 
must identify competing employees on that register for transfer in the 
order of their retention standing.
    (e)(1) The competitive area losing the function may permit other 
employees to volunteer for transfer with the function in place of 
employees identified under Identification Method One or Identification 
Method Two. However, the competitive area may permit these other 
employees to volunteer for transfer only if no competing employee who is 
identified for transfer under Identification Method One or 
Identification Method Two is separated or demoted solely because a 
volunteer transferred in place of him or her to the competitive area 
that is gaining the function.
    (2) If the total number of employees who volunteer for transfer 
exceeds the total number of employees required to perform the function 
in the competitive area that is gaining the function, the losing 
competitive area may give preference to the volunteers with the

[[Page 246]]

highest retention standing, or make selections based on other 
appropriate criteria.

[52 FR 10024, Mar. 30, 1987, as amended at 60 FR 3062, Jan. 13, 1995]



                     Subpart D--Scope of Competition



Sec. 351.401  Determining retention standing.

    Each agency shall determine the retention standing of each competing 
employee on the basis of the factors in this subpart and in subpart E of 
this part.



Sec. 351.402  Competitive area.

    (a) Each agency shall establish competitive areas in which employees 
compete for retention under this part.
    (b) A competitive area must be defined solely in terms of the 
agency's organizational unit(s) and geographical location, and it must 
include all employees within the competitive area so defined. A 
competitive area may consist of all or part of an agency. The minimum 
competitive area is a subdivision of the agency under separate 
administration within the local commuting area.
    (c) When a competitive area will be in effect less than 90 days 
prior to the effective date of a reduction in force, a description of 
the competitive area shall be submitted to the OPM for approval in 
advance of the reduction in force. Descriptions of all competitive areas 
must be made readily available for review.
    (d) Each agency shall establish a separate competitive area for each 
Inspector General activity established under authority of the Inspector 
General Act of 1978, Public Law 95-452, as amended, in which only 
employees of that office shall compete for retention under this part.

[51 FR 319 Jan. 3, 1986, as amended at 56 FR 65416, Dec. 17, 1991; 62 FR 
62500, Nov. 24, 1997]



Sec. 351.403  Competitive level.

    (a)(1) Each agency shall establish competitive levels consisting of 
all positions in a competitive area which are in the same grade (or 
occupational level) and classification series, and which are similar 
enough in duties, qualification requirements, pay schedules, and working 
conditions so that an agency may reassign the incumbent of one position 
to any of the other positions in the level without undue interruption.
    (2) Competitive level determinations are based on each employee's 
official position, not the employee's personal qualifications.
    (3) Sex may not be the basis for a competitive level determination, 
except for a position OPM designates that certification of eligibles by 
sex is justified.
    (4) A probationary period required by subpart I of part 315 of this 
chapter for initial appointment to a supervisory or managerial position 
is not a basis for establishing a separate competitive level.
    (b) Each agency shall establish separate competitive levels 
according to the following categories:
    (1) By service. Separate levels shall be established for positions 
in the competitive service and in the excepted service.
    (2) By appointment authority. Separate levels shall be established 
for excepted service positions filled under different appointment 
authorities.
    (3) By pay schedule. Separate levels shall be established for 
positions under different pay schedules.
    (4) By work schedule. Separate levels shall be established for 
positions filled on a full-time, part-time, intermittent, seasonal, or 
on-call basis. No distinction may be made among employees in the 
competitive level on the basis of the number of hours or weeks scheduled 
to be worked.
    (5) By trainee status. Separate levels shall be established for 
positions filled by an employee in a formally designated trainee or 
developmental program having all of the characteristics covered in 
Sec. 351.702(e)(1) through (e)(4) of this part.
    (c) An agency may not establish a competitive level based solely 
upon:
    (1) A difference in the number of hours or weeks scheduled to be 
worked by other-than-full-time employees who would otherwise be in the 
same competitive level;
    (2) A requirement to work changing shifts;

[[Page 247]]

    (3) The grade promotion potential of the position; or
    (4) A difference in the local wage areas in which wage grade 
positions are located.

[51 FR 319, Jan. 3, 1986, as amended at 60 FR 3062, Jan. 13, 1995; 62 FR 
62500, Nov. 24, 1997]



Sec. 351.404  Retention register.

    (a) When a competing employee is to be released from a competitive 
level under this part, the agency shall establish a separate retention 
register for that competitive level. The retention register is prepared 
from the current retention records of employees. Upon displacing another 
employee under this part, an employee retains the same status and tenure 
in the new position. Except for an employee on military duty with a 
restoration right, the agency shall enter on the retention register, in 
the order of retention standing, the name of each competing employee who 
is:
    (1) In the competitive level;
    (2) Temporarily promoted from the competitive level by temporary or 
term promotion; or
    (3) Detailed from the competitive level under 5 U.S.C. 3341 or other 
appropriate authority.
    (b)(1) The name of each employee serving under a time limited 
appointment or promotion to a position in a competitive level shall be 
entered on a list apart from the retention register for that competitive 
level, along with the expiration date of the action.
    (2) The agency shall list, at the bottom of the list prepared under 
paragraph (b)(1) of this section, the name of each employee in the 
competitive level with a written decision of removal under part 432 or 
752 of this chapter.

[51 FR 319, Jan. 3, 1986, as amended at 62 FR 62500, Nov. 24, 1997]



Sec. 351.405  Demoted employees.

    An employee who has received a written decision under part 432 or 
752 of this chapter to demote him or her competes under this part from 
the position to which he or she will be or has been demoted.

[62 FR 62500, Nov. 24, 1997]



                      Subpart E--Retention Standing



Sec. 351.501  Order of retention--competitive service.

    (a) Competing employees shall be classified on a retention register 
on the basis of their tenure of employment, veteran preference, length 
of service, and performance in descending order as follows:
    (1) By tenure group I, group II, group III; and
    (2) Within each group by veteran preference subgroup AD, subgroup A, 
subgroup B; and
    (3) Within each subgroup by years of service as augmented by credit 
for performance under Sec. 351.504, beginning with the earliest service 
date.
    (b) Groups are defined as follows:
    (1) Group I includes each career employee who is not serving a 
probationary period. (A supervisory or managerial employee serving a 
probationary period required by subpart I of part 315 of this title is 
in group I if the employee is otherwise eligible to be included in this 
group.) The following employees are in group I as soon as the employee 
completes any required probationary period for initial appointment:
    (i) An employee for whom substantial evidence exists of eligibility 
to immediately acquire status and career tenure, and whose case is 
pending final resolution by OPM (including cases under Executive Order 
10826 to correct certain administrative errors);
    (ii) An employee who acquires competitive status and satisfies the 
service requirement for career tenure when the employee's position is 
brought into the competitive service;
    (iii) An administrative law judge;
    (iv) An employee appointed under 5 U.S.C. 3104, which provides for 
the employment of specially qualified scientific or professional 
personnel, or a similar authority; and
    (v) An employee who acquires status under 5 U.S.C. 3304(c) on 
transfer to the competitive service from the legislative or judicial 
branches of the Federal Government.
    (2) Group II includes each career-conditional employee, and each 
employee serving a probationary period under subpart H of part 315 of 
this chapter. (A

[[Page 248]]

supervisory or managerial employee serving a probationary period 
required by subpart I of part 315 of this title is in group II if the 
employee has not completed a probationary period under subpart H of part 
315 of this title.) Group II also includes an employee when substantial 
evidence exists of the employee's eligibility to immediately acquire 
status and career-conditional tenure, and the employee's case is pending 
final resolution by OPM (including cases under Executive Order 10826 to 
correct certain administrative errors).
    (3) Group III includes all employees serving under indefinite 
appointments, temporary appointments pending establishment of a 
register, status quo appointments, term appointments, and any other 
nonstatus nontemporary appointments which meet the definition of 
provisional appointments contained in Secs. 316.401 and 316.403 of this 
chapter.
    (c) Subgroups are defined as follows:
    (1) Subgroup AD includes each preference eligible employee who has a 
compensable service-connected disability of 30 percent or more.
    (2) Subgroup A includes each preference eligible employee not 
included in subgroup AD.
    (3) Subgroup B includes each nonpreference eligible employee.
    (d) A retired member of a uniformed service is considered a 
preference eligible under this part only if the member meets at least 
one of the conditions of the following paragraphs (d)(1), (2), or (3) of 
this section, except as limited by paragraph (d)(4) or (d)(5):
    (1) The employee's military retirement is based on disability that 
either:
    (i) Resulted from injury or disease received in the line of duty as 
a direct result of armed conflict; or
    (ii) Was caused by an instrumentality of war incurred in the line of 
duty during a period of war as defined by sections 101 and 301 of title 
38, United States Code.
    (2) The employee's retired pay from a uniformed service is not based 
upon 20 or more years of full-time active service, regardless of when 
performed but not including periods of active duty for training.
    (3) The employee has been continuously employed in a position 
covered by this part since November 30, 1964, without a break in service 
of more than 30 days.
    (4) An employee retired at the rank of major or above (or 
equivalent) is considered a preference eligible under this part if such 
employee is a disabled veteran as defined in section 2108(2) of title 5, 
United States Code, and meets one of the conditions covered in paragraph 
(d)(1), (2), or (3) of this section.
    (5) An employee who is eligible for retired pay under chapter 67 of 
title 10, United States Code, and who retired at the rank of major or 
above (or equivalent) is considered a preference eligible under this 
part at age 60, only if such employee is a disabled veteran as defined 
in section 2108(2) of title 5, United States Code.

[51 FR 319, Jan. 3, 1986, as amended at 56 FR 10142, Mar. 11, 1991; 60 
FR 3062, Jan. 13, 1995; 62 FR 62500, Nov. 24, 1997]



Sec. 351.502  Order of retention--excepted service.

    (a) Competing employees shall be classified on a retention register 
in tenure groups on the basis of their tenure of employment, veteran 
preference, length of service, and performance in descending order as 
set forth under Sec. 351.501(a) for competing employees in the 
competitive service.
    (b) Groups are defined as follows:
    (1) Group I includes each permanent employee whose appointment 
carries no restriction or condition such as conditional, indefinite, 
specific time limit, or trial period.
    (2) Group II includes each employee:
    (i) Serving a trial period; or
    (ii) Whose tenure is equivalent to a career-conditional appointment 
in the competitive service in agencies having such excepted 
appointments.
    (3) Group III includes each employee:
    (i) Whose tenure is indefinite (i.e., without specific time limit), 
but not actually or potentially permanent;
    (ii) Whose appointment has a specific time limitation of more than 1 
year; or
    (iii) Who is currently employed under a temporary appointment 
limited to 1 year or less, but who has completed 1 year of current 
continuous service under a temporary appointment with

[[Page 249]]

no break in service of 1 workday or more.

[60 FR 3063, Jan. 13, 1995]



Sec. 351.503  Length of service.

    (a) All civilian service as a Federal employee, as defined in 5 
U.S.C. 2105(a), is creditable for purposes of this part. Civilian 
service performed in employment that does not meet the definition of 
Federal employee set forth in 5 U.S.C. 2105(a) is creditable for 
purposes of this part only if specifically authorized by statute as 
creditable for retention purposes.
    (b)(1) As authorized by 5 U.S.C. 3502(a)(A), all active duty in a 
uniformed service, as defined in 5 U.S.C. 2101(3), is creditable for 
purposes of this part, except as provided in paragraphs (b)(2) and 
(b)(3) of this section.
    (2) As authorized by 5 U.S.C. 3502(a)(B), a retired member of a 
uniformed service who is covered by Sec. 351.501(d) is entitled to 
credit under this part only for:
    (i) The length of time in active service in the Armed Forces during 
a war, or in a campaign or expedition for which a campaign or expedition 
badge has been authorized; or
    (ii) The total length of time in active service in the Armed Forces 
if the employee is considered a preference eligible under 5 U.S.C. 2108 
and 5 U.S.C. 3501(a), as implemented in Sec. 351.501(d).
    (3) An employee may not receive dual service credit for purposes of 
this part for service performed on active duty in the Armed Forces that 
was performed during concurrent civilian employment as a Federal 
employee, as defined in 5 U.S.C. 2105(a).
    (c)(1) The agency is responsible for establishing both the service 
computation date, and the adjusted service computation date, applicable 
to each employee competing for retention under this part. If applicable, 
the agency is also responsible for adjusting the service computation 
date and the adjusted service computation date to withhold retention 
service credit for noncreditable service.
    (2) The service computation date includes all actual creditable 
service under paragraph (a) and paragraph (b) of this section.
    (3) The adjusted service computation date includes all actual 
creditable service under paragraph (a) and paragraph (b) of this 
section, and additional retention service credit for performance 
authorized by Sec. 351.504 (d) and (e).
    (d) The service computation date is computed on the following basis:
    (1) The effective date of appointment as a Federal employee under 5 
U.S.C. 2105(a) when the employee has no previous creditable service 
under paragraph (a) or (b) of this section; or if applicable,
    (2) The date calculated by subtracting the employee's total previous 
creditable service under paragraph (a) or (b) of this section from the 
most recent effective date of appointment as a Federal employee under 5 
U.S.C. 2105(a).
    (e) The adjusted service computation date is calculated by 
subtracting from the date in paragraph (d)(1) or (d)(2) of this section 
the additional service credit for retention authorized by 
Sec. 351.504(d) and (e).

[64 FR Apr. 7, 1999; 64 FR 23531, May 3, 1999]



Sec. 351.504  Credit for performance.

    Note to Sec. 351.504: Compliance dates: Subject to the requirements 
of 5 U.S.C. Section 7116(a)(7), agencies may implement revised 
Sec. 351.504 at any time between December 24, 1997 and October 1, 1998. 
For reduction in force actions effective between December 24, 1997 and 
September 30, 1998, agencies may use either Sec. 351.504 effective 
December 24, 1997, or the prior Sec. 351.504 in 5 CFR part 351 (January 
1, 1997 edition).

    (a) Ratings used. (1) Only ratings of record as defined in 
Sec. 351.203 shall be used as the basis for granting additional 
retention service credit in a reduction in force.
    (2) For employees who received ratings of record while covered by 
part 430, subpart B, of this chapter, those ratings of record shall be 
used to grant additional retention service credit in a reduction in 
force.
    (3) For employees who received performance ratings while not covered 
by the provisions of 5 U.S.C. Chapter 43 and part 430, subpart B, of 
this chapter, those performance ratings shall be considered ratings of 
record for granting additional retention service credit in a

[[Page 250]]

reduction in force only when it is determined that those performance 
ratings are equivalent ratings of record under the provisions of 
Sec. 430.201(c) of this chapter. The agency conducting the reduction in 
force shall make that determination.
    (b)(1) An employee's entitlement to additional retention service 
credit for performance under this subpart shall be based on the 
employee's three most recent ratings of record received during the 4-
year period prior to the date of issuance of reduction in force notices, 
except as otherwise provided in paragraphs (b)(2) and (c) of this 
section.
    (2) To provide adequate time to determine employee retention 
standing, an agency may provide for a cutoff date, a specified number of 
days prior to the issuance of reduction in force notices after which no 
new ratings of record will be put on record and used for purposes of 
this subpart. When a cutoff date is used, an employee will receive 
performance credit for the three most recent ratings of record received 
during the 4-year period prior to the cutoff date.
    (3) To be creditable for purposes of this subpart, a rating of 
record must have been issued to the employee, with all appropriate 
reviews and signatures, and must also be on record (i.e., the rating of 
record is available for use by the office responsible for establishing 
retention registers).
    (4) The awarding of additional retention service credit based on 
performance for purposes of this subpart must be uniformly and 
consistently applied within a competitive area, and must be consistent 
with the agency's appropriate issuance(s) that implement these policies. 
Each agency must specify in its appropriate issuance(s):
    (i) The conditions under which a rating of record is considered to 
have been received for purposes of determining whether it is within the 
4-year period prior to either the date the agency issues reduction in 
force notices or the agency-established cutoff date for ratings of 
record, as appropriate; and
    (ii) If the agency elects to use a cutoff date, the number of days 
prior to the issuance of reduction in force notices after which no new 
ratings of record will be put on record and used for purposes of this 
subpart.
    (c) Missing ratings. Additional retention service credit for 
employees who do not have three actual ratings of record during the 4-
year period prior to the date of issuance of reduction in force notices 
or the 4-year period prior to the agency-established cutoff date for 
ratings of record permitted in paragraph (b)(2) of this section shall be 
determined under paragraphs (d) or (e) of this section, as appropriate, 
and as follows:
    (1) An employee who has not received any rating of record during the 
4-year period shall receive credit for performance based on the modal 
rating for the summary level pattern that applies to the employee's 
official position of record at the time of the reduction in force.
    (2) An employee who has received at least one but fewer than three 
previous ratings of record during the 4-year period shall receive credit 
for performance on the basis of the value of the actual rating(s) of 
record divided by the number of actual ratings received. If an employee 
has received only two actual ratings of record during the period, the 
value of the ratings is added together and divided by two (and rounded 
in the case of a fraction to the next higher whole number) to determine 
the amount of additional retention service credit. If an employee has 
received only one actual rating of record during the period, its value 
is the amount of additional retention service credit provided.
    (d) Single rating pattern. If all employees in a reduction in force 
competitive area have received ratings of record under a single pattern 
of summary levels as set forth in Sec. 430.208(d) of this chapter, the 
additional retention service credit provided to employees shall be 
expressed in additional years of service and shall consist of the 
mathematical average (rounded in the case of a fraction to the next 
higher whole number) of the employee's applicable ratings of record, 
under paragraphs (b)(1) and (c) of this section computed on the 
following basis:
    (1) Twenty additional years of service for each rating of record 
with a Level 5 (Outstanding or equivalent) summary;

[[Page 251]]

    (2) Sixteen additional years of service for each rating of record 
with a Level 4 summary; and
    (3) Twelve additional years of service for each rating of record 
with a Level 3 (Fully Successful or equivalent) summary.
    (e) Multiple rating patterns. If an agency has employees in a 
competitive area who have ratings of record under more than one pattern 
of summary levels, as set forth in Sec. 430.208(d) of this chapter, it 
shall consider the mix of patterns and provide additional retention 
service credit for performance to employees expressed in additional 
years of service in accordance with the following:
    (1) Additional years of service shall consist of the mathematical 
average (rounded in the case of a fraction to the next higher whole 
number) of the additional retention service credit that the agency 
established for the summary levels of the employee's applicable 
rating(s) of record.
    (2) The agency shall establish the amount of additional retention 
service credit provided for summary levels only in full years; the 
agency shall not establish additional retention service credit for 
summary levels below Level 3 (Fully Successful or equivalent).
    (3) When establishing additional retention service credit for the 
summary levels at Level 3 (Fully Successful or equivalent) and above, 
the agency shall establish at least 12 years, and no more than 20 years, 
additional retention service credit for a summary level.
    (4) The agency may establish the same number of years additional 
retention service credit for more than one summary level.
    (5) The agency shall establish the same number of years additional 
retention service credit for all ratings of record with the same summary 
level in the same pattern of summary levels as set forth in 
Sec. 430.208(d) of this chapter.
    (6) The agency may establish a different number of years additional 
retention service credit for the same summary level in different 
patterns.
    (7) In implementing paragraph (e) of this section, the agency shall 
specify the number(s) of years additional retention service credit that 
it will establish for summary levels. This information shall be made 
readily available for review.
    (8) The agency may apply paragraph (e) of this section only to 
ratings of record put on record on or after October 1, 1997. The agency 
shall establish the additional retention service credit for ratings of 
record put on record prior to that date in accordance with paragraph (d) 
of this section.

[62 FR 62501, Nov. 24, 1997]



Sec. 351.505  Records.

    (a) The agency is responsible for maintaining correct personnel 
records that are used to determine the retention standing of its 
employees competing for retention under this part.
    (b) The agency must allow its retention registers and related 
records to be inspected by:
    (1) An employee of the agency who has received a specific reduction 
in force notice, and/or the employee's representative if the 
representative is acting on behalf of the individual employee; and
    (2) An authorized representative of OPM.
    (c) An employee who has received a specific notice of reduction in 
force under authority of subpart H of this part has the right to review 
any completed records used by the agency in a reduction in force action 
that was taken, or will be taken, against the employee, including:
    (1) The complete retention register with the released employee's 
name and other relevant retention information (including the names of 
all other employees listed on that register, their individual service 
computation dates calculated under Sec. 351.503(d), and their adjusted 
service computation dates calculated under Sec. 351.503(e)) so that the 
employee may consider how the agency constructed the competitive level, 
and how the agency determined the relative retention standing of the 
competing employees; and
    (2) The complete retention registers for other positions that could 
affect the composition of the employee's competitive level, and/or the 
determination of the employee's assignment rights (e.g., registers to 
which the released employee may have potential

[[Page 252]]

assignment rights under Sec. 351.701(b) and (c)).
    (d) An employee who has not received a specific reduction in force 
notice has no right to review the agency's retention registers and 
related records.
    (e) The agency is responsible for ensuring that each employee's 
access to retention records is consistent with both the Freedom of 
Information Act (5 U.S.C. 552), and the Privacy Act (5 U.S.C. 552a).
    (f) The agency must preserve all registers and records relating to a 
reduction in force for at least 1 year after the date it issues a 
specific reduction in force notice.

[64 FR 16800, Apr. 7, 1999]



Sec. 351.506  Effective date of retention standing.

    Except for applying the performance factor as provided in 
Sec. 351.504:
    (a) The retention standing of each employee released from a 
competitive level in the order prescribed in Sec. 351.601 is determined 
as of the date the employee is so released.
    (b) The retention standing of each employee retained in a 
competitive level as an exception under Sec. 351.606(b), Sec. 351.607, 
or Sec. 351.608, is determined as of the date the employee would have 
been released had the exception not been used. The retention standing of 
each employee retained under any of these provisions remains fixed until 
completion of the reduction in force action which resulted in the 
temporary retention.
    (c) When an agency discovers an error in the determination of an 
employee's retention standing, it shall correct the error and adjust any 
erroneous reduction-in-force action to accord with the employee's proper 
retention standing as of the effective date established by this section.

[51 FR 319, Jan. 3, 1986, as amended at 60 FR 3063, Jan. 13, 1995; 62 FR 
10682, Mar. 10, 1997]



                Subpart F--Release From Competitive Level



Sec. 351.601  Order of release from competitive level.

    (a) Each agency shall select competing employees for release from a 
competitive level under this part in the inverse order of retention 
standing, beginning with the employee with the lowest retention standing 
on the retention register. An agency may not release a competing 
employee from a competitive level while retaining in that level an 
employee with lower retention standing except:
    (1) As required under Sec. 351.606 when an employee is retained 
under a mandatory exception or under Sec. 351.806 when an employee is 
entitled to a new written notice of reduction in force; or
    (2) As permitted under Sec. 351.607 when an employee is retained 
under a permissive continuing exception or under Sec. 351.608 when an 
employee is retained under a permissive temporary exception.
    (b) When employees in the same retention subgroup have identical 
service dates and are tied for release from a competitive level, the 
agency may select any tied employee for release.



Sec. 351.602  Prohibitions.

    An agency may not release a competing employee from a competitive 
level while retaining in that level an employee with:
    (a) A specifically limited temporary appointment;
    (b) A specifically limited temporary or term promotion;
    (c) A written decision under part 432 or 752 of this chapter of 
removal or demotion from the competitive level.

[51 FR 319, Jan. 3, 1986, as amended at 62 FR 62502, Nov. 24, 1997]



Sec. 351.603  Actions subsequent to release from competitive level.

    An employee reached for release from a competitive level shall be 
offered assignment to another position in accordance with subpart G of 
this part. If the employee accepts, the employee shall be assigned to 
the position offered. If the employee has no assignment right or does 
not accept an offer under subpart G, the employee shall be furloughed or 
separated.



Sec. 351.604  Use of furlough.

    (a) An agency may furlough a competing employee only when it intends 
within 1 year to recall the employee to

[[Page 253]]

duty in the position from which furloughed.
    (b) An agency may not separate a competing employee under this part 
while an employee with lower retention standing in the same competitive 
level is on furlough.
    (c) An agency may not furlough a competing employee for more than 1 
year.
    (d) When an agency recalls employees to duty in the competitive 
level from which furloughed, it shall recall them in the order of their 
retention standing, beginning with highest standing employee.



Sec. 351.605  Liquidation provisions.

    When an agency will abolish all positions in a competitive area 
within 180 days, it must release employees in group and subgroup order 
consistent with Sec. 351.601(a). At its discretion, the agency may 
release the employees in group order without regard to retention 
standing within a subgroup, except as provided in Sec. 351.606. When an 
agency releases an employee under this section, the notice to the 
employee must cite this authority and give the date the liquidation will 
be completed. An agency may also apply Secs. 351.607 and 351.608 in a 
liquidation.

[60 FR 2678, Jan. 11, 1995]



Sec. 351.606  Mandatory exceptions.

    (a) Armed Forces restoration rights. When a agency applies 
Sec. 351.601 or Sec. 351.605, it shall give retention priorities over 
other employees in the same subgroup to each group I or II employee 
entitled under 38 U.S.C. 2021 or 2024 to retention for, as applicable, 6 
months or 1 year after restoration, as provided in part 353 of this 
chapter.
    (b) Use of annual leave to reach initial eligibility for retirement 
or continuance of health benefits. (1) An agency shall make a temporary 
exception under this section to retain an employee who is being 
involuntarily separated under this part, and who elects to use annual 
leave to remain on the agency's rolls after the effective date the 
employee would otherwise have been separated by reduction in force, in 
order to establish initial eligibility for immediate retirement under 5 
U.S.C. 8336, 8412, or 8414, and/or to establish initial eligibility 
under 5 U.S.C. 8905 to continue health benefits coverage into 
retirement.
    (2) An agency shall make a temporary exception under this section to 
retain an employee who is being involuntarily separated under authority 
of part 752 of this chapter because of the employee's decision to 
decline relocation (including transfer of function), and who elects to 
use annual leave to remain on the agency's rolls after the effective 
date the employee would otherwise have been separated by adverse action, 
in order to establish initial eligibility for immediate retirement under 
5 U.S.C. 8336, 8412, or 8414, and/or to establish initial eligibility 
under 5 U.S.C. 8905 to continue health benefits coverage into 
retirement.
    (3) An employee retained under paragraph (b) by this section must be 
covered by chapter 63 of title 5, United States Code.
    (4) An agency may not retain an employee under paragraph (b) of this 
section past the date that the employee first becomes eligible for 
immediate retirement, or for continuation of health benefits into 
retirement, except that an employee may be retained long enough to 
satisfy both retirement and health benefits requirements.
    (5) Except as permitted by 5 CFR 351.608(d), an agency may not 
approve an employee's use of any other type of leave after the employee 
has been retained under a temporary exception authorized by paragraph 
(b) of this section.
    (6) Annual leave for purposes of paragraph (b) of this section is 
described in Sec. 630.212 of this chapter.
    (c) Documentation. Each agency shall record on the retention 
register, for inspection by each employee, the reasons for any deviation 
from the order of release required by Sec. 351.601 or Sec. 351.605.

[62 FR 10682, Mar. 10, 1997]



Sec. 351.607  Permissive continuing exceptions.

    An agency may make exception to the order of release in Sec. 351.601 
and to the action provisions of Sec. 351.603 when needed to retain an 
employee on duties that cannot be taken over within 90 days and without 
undue interruption to

[[Page 254]]

the activity by an employee with higher retention standing. The agency 
shall notify in writing each higher-standing employee reached for 
release from the same competitive level of the reasons for the 
exception.



Sec. 351.608  Permissive temporary exceptions.

    (a) General. (1) In accordance with this section, an agency may make 
a temporary exception to the order of release in Sec. 351.601, and to 
the action provisions of Sec. 351.603, when needed to retain an employee 
after the effective date of a reduction in force. Except as otherwise 
provided in paragraphs (c) and (e) of this section, an agency may not 
make a temporary exception for more than 90 days.
    (2) After the effective date of a reduction in force action, an 
agency may not amend or cancel the reduction in force notice of an 
employee retained under a temporary exception so as to avoid completion 
of the reduction in force action. This does not preclude the employee 
from receiving or accepting a job offer in the same competitive area in 
accordance with a Reemployment Priority List established under part 330, 
subpart B, of this chapter, or under a Career Transition Assistance Plan 
established under part 330, subpart E, of this chapter, or equivalent 
programs.
    (b) Undue interruption. An agency may make a temporary exception for 
not more than 90 days when needed to continue an activity without undue 
interruption.
    (c) Government obligation. An agency may make a temporary exception 
to satisfy a Government obligation to the retained employee without 
regard to the 90-day limit set forth under paragraph (a)(1) of this 
section.
    (d) Sick leave. An agency may make a temporary exception to retain 
on sick leave a lower standing employee covered by chapter 63 of title 
5, United States Code (or other applicable leave system for Federal 
employees), who is on approved sick leave on the effective date of the 
reduction in force, for a period not to exceed the date the employee's 
sick leave is exhausted. Use of sick leave for this purpose must be in 
accordance with the requirements in part 630, subpart D, of this chapter 
(or other applicable leave system for Federal employees). Except as 
authorized by Sec. 351.606(b), an agency may not approve an employee's 
use of any other type of leave after the employee has been retained 
under this paragraph (d).
    (e)(1) An agency may make a temporary exception to retain on accrued 
annual leave a lower standing employee who:
    (i) Is being involuntarily separated under this part;
    (ii) Is covered by a Federal leave system under authority other than 
chapter 63 of title 5, United States Code; and,
    (iii) Will attain first eligibility for an immediate retirement 
benefit under 5 U.S.C. 8336, 8412, or 8414 (or other authority), and/or 
establish eligibility under 5 U.S.C. 8905 (or other authority) to carry 
health benefits coverage into retirement during the period represented 
by the amount of the employee's accrued annual leave.
    (2) An agency may not approve an employee's use of any other type of 
leave after the employee has been retained under this paragraph (e).
    (3) This exception may not exceed the date the employee first 
becomes eligible for immediate retirement or for continuation of health 
benefits into retirement, except that an employee may be retained long 
enough to satisfy both retirement and health benefits requirements.
    (4) Accrued annual leave includes all accumulated, accrued, and 
restored annual leave, as applicable, in addition to annual leave earned 
and available to the employee after the effective date of the reduction 
in force. When approving a temporary exception under this provision, an 
agency may not advance annual leave or consider any annual leave that 
might be credited to an employee's account after the effective date of 
the reduction in force other than annual leave earned while in an annual 
leave status.
    (f) Other exceptions. An agency may make a temporary exception under 
this section to extend an employee's separation date beyond the 
effective date of the reduction in force when the temporary retention of 
a lower standing employee does not adversely affect the right of any 
higher standing employee

[[Page 255]]

who is released ahead of the lower standing employee. The agency may 
establish a maximum number of days, up to 90 days, for which an 
exception may be approved.
    (g) Notice to employees. When an agency approves an exception for 
more than 30 days, it must:
    (1) Notify in writing each higher standing employee in the same 
competitive level reached for release of the reasons for the exception 
and the date the lower standing employee's retention will end; and
    (2) List opposite the employee's name on the retention register the 
reasons for the exception and the date the employee's retention will 
end.

[62 FR 10682, Mar. 10, 1997]



             Subpart G--Assignment Rights (Bump and Retreat)



Sec. 351.701  Assignment involving displacement.

    (a) General. When a group I or II competitive service employee with 
a current annual performance rating of record of minimally successful 
(Level 2) or equivalent, or higher, is released from a competitive 
level, an agency shall offer assignment, rather than furlough or 
separate, in accordance with paragraphs (b), (c), and (d) of this 
section to another competitive position which requires no reduction, or 
the lease possible reduction, in representative rate. The employee must 
be qualified for the offered position. The offered position shall be in 
the same competitive area, last at least 3 months, and have the same 
type of work schedule (e.g., full-time, part-time, intermittent, or 
seasonal) as the position from which the employee is released. Upon 
accepting an offer of assignment, or displacing another employee under 
this part, an employee retains the same status and tenure in the new 
position. The promotion potential of the offered position is not a 
consideration in determining an employee's right of assignment.
    (b) Lower subgroup--bumping. A released employee shall be assigned 
in accordance with paragraph (a) of this section and bump to a position 
that:
    (1) Is held by another employee in a lower tenure group or in a 
lower subgroup within the same tenure group; and
    (2) Is no more than three grades (or appropriate grade intervals or 
equivalent) below the position from which the employee was released.
    (c) Same subgroup-retreating. A released employee shall be assigned 
in accordance with paragraphs (a) and (d) of this section and retreat to 
a position that:
    (1) Is held by another employee with lower retention standing in the 
same tenure group and subgroup; and
    (2) Is not more than three grades (or appropriate grade intervals or 
equivalent) below the position from which the employee was released, 
except that for a preference eligible employee with a compensable 
service-connected disability of 30 percent or more the limit is five 
grades (or appropriate grade intervals or equivalent). (The agency uses 
the grade progression of only the released employee's position of record 
to determine the applicable grades (or appropriate grade intervals or 
equivalent) of the employee's retreat right. The agency does not 
consider the grade progression of the position to which the employee has 
a retreat right.); and
    (3) Is the same position, or an essentially identical position, 
formerly held by the released employee on a permanent basis as a 
competing employee in a Federal agency (i.e., when held by the released 
employee in an executive, legislative, or judicial branch agency, the 
position would have been placed in tenure groups I, II, or III, or 
equivalent). In determining whether a position is essentially identical, 
the determination is based on the competitive level criteria found in 
Sec. 351.403, but not necessarily in regard to the respective grade, 
classification series, type of work schedule, or type of service, of the 
two positions.
    (d) Limitation. An employee with a current annual performance rating 
of record of minimally successful (Level 2) or equivalent may be 
assigned under paragraph (c) of this section only to a position held by 
another employee with a current annual performance rating of record no 
higher than minimally successful (Level 2) or equivalent.

[[Page 256]]

    (e) Pay rates. (1) The determination of equivalent grade intervals 
shall be based on a comparison of representative rates.
    (2) Each employee's assignment rights shall be determined on the 
basis of the pay rates in effect on the date of issuance of specific 
reduction-in-force notices, except that when it is officially known on 
the date of issuance of notices that new pay rates have been approved 
and will become effective by the effective date of the reduction in 
force, assignment rights shall be determined on the basis of the new pay 
rates.
    (f)(1) In determining applicable grades (or grade intervals) under 
Secs. 351.701(b)(2) and 351.701(c)(2), the agency uses the grade 
progression of the released employee's position of record to determine 
the grade (or interval) limits of the employee's assignment rights.
    (2) For positions covered by the General Schedule, the agency must 
determine whether a one-grade, two-grade, or mixed grade interval 
progression is applicable to the position of the released employee.
    (3) For positions not covered by the General Schedule, the agency 
must determine the normal line of progression for each occupational 
series and grade level to determine the grade (or interval) limits of 
the released employee's assignment rights. If the agency determines that 
there is no normal line of progression for an occupational series and 
grade level, the agency provides the released employee with assignment 
rights to positions within three actual grades lower on a one-grade 
basis. The normal line of progression may include positions in different 
pay systems.
    (4) For positions where no grade structure exists, the agency 
determines a line of progression for each occupation and pay rate, and 
provides assignment rights to positions within three grades (or 
intervals) lower on that basis.
    (5) If the released employee holds a position that is less than 
three grades above the lowest grade in the applicable classification 
system (e.g., the employee holds a GS-2 position), the agency provides 
the released employee with assignment rights up to three actual grades 
lower on a one-grade basis in other pay systems.

[51 FR 319, Jan. 3, 1986, as amended at 56 FR 65417, Dec. 17, 1991; 60 
FR 3063, Jan. 13, 1995; 60 FR 44254, Aug. 25, 1995; 62 FR 62502, Nov. 
24, 1997; 63 FR 32594, June 15, 1998; 65 FR 62991, Oct. 20, 2000]



Sec. 351.702  Qualifications for assignment.

    (a) Except as provided in Sec. 351.703, an employee is qualified for 
assignment under Sec. 351.701 if the employee:
    (1) Meets the OPM standards and requirements for the position, 
including any minimum educational requirement, and any selective 
placement factors established by the agency;
    (2) Is physically qualified, with reasonable accommodation where 
appropriate, to perform the duties of the position;
    (3) Meets any special qualifying condition which the OPM has 
approved for the position; and
    (4) Has the capacity, adaptability, and special skills needed to 
satisfactorily perform the duties of the position without undue 
interruption. This determination includes recency of experience, when 
appropriate.
    (b) The sex of an employee may not be considered in determining 
whether an employee is qualified for a position, except for positions 
which OPM has determined certification of eligibles by sex is justified.
    (c) An employee who is released from a competitive level during a 
leave of absence because of a corpensable injury may not be denied an 
assignment right solely because the employee is not physically qualified 
for the duties of the position if the physical disqualification resulted 
from the compensable injury. Such an employee must be afforded 
appropriate assignment rights subject to recovery as provided by 5 
U.S.C. 8151 and part 353 of this chapter.
    (d) If an agency determines, on the basis of evidence before it, 
that a preference eligible employee who has a compensable service-
connected disability of 30 percent or more is not able to fulfill the 
physical requirements of a position to which the employee would 
otherwise have been assigned under this part, the agency must notify the 
OPM of this determination. At the

[[Page 257]]

same time, the agency must notify the employee of the reasons for the 
determination and of the right to respond, within 15 days of the 
notification, to the OPM which will require the agency to demonstrate 
that the notification was timely sent to the employee's last known 
address. The OPM shall make a final determination concerning the 
physical ability of the employee to perform the duties of the position. 
This determination must be made before the agency may select any other 
person for the position. When the OPM has completed its review of the 
proposed disqualification on the basis of physical disability, it must 
sent its finding to both the agency and the employee. The agency must 
comply with the findings of the OPM. The functions of the OPM under this 
paragraph may not be delegated to an agency.
    (e) An agency may formally designate as a trainee or developmental 
position a position in a program with all of the following 
characteristics:
    (1) The program must have been designed to meet the agency's needs 
and requirements for the development of skilled personnel;
    (2) The program must have been formally designated, with its 
provisions made known to employees and supervisors;
    (3) The program must be developmental by design, offering planned 
growth in duties and responsibilities, and providing advancement in 
recognized lines of career progression; and
    (4) The program must be fully implemented, with the participants 
chosen through standard selection procedures. To be considered qualified 
for assignment under Sec. 351.701 to a formally designated trainee or 
developmental position in a program having all of the characteristics 
covered in paragraphs (e)(1), (2), (3), and (4) of this section, an 
employee must meet all of the conditions required for selection and 
entry into the program.

[51 FR 319, Jan. 3, 1986, as amended at 60 FR 3063, Jan. 13, 1995]



Sec. 351.703  Exception to qualifications.

    An agency may assign an employee to a vacant position under 
Sec. 351.201(b) or Sec. 351.701 of this part without regard to OPM's 
standards and requirements for the position if:
    (a) The employee meets any minimum education requirement for the 
position; and
    (b) The agency determines that the employee has the capacity, 
adaptability, and special skills needed to satisfactorily perform the 
duties and responsibilities of the position.

[56 FR 65417, Dec. 17, 1991]



Sec. 351.704  Rights and prohibitions.

    (a)(1) An agency may satisfy an employee's right to assignment under 
Sec. 351.701 by assignment to a vacant position under Sec. 351.201(b), 
or by assignment under any applicable administrative assignment 
provisions of Sec. 351.705, to a position having a representative rate 
equal to that the employee would be entitled under Sec. 351.701. An 
agency may also offer an employee assignment under Sec. 351.201(b) to a 
vacant position in lieu of separation by reduction in force under 5 CFR 
part 351. Any offer of assignment under Sec. 351.201(b) to a vacant 
position must meet the requirements set forth under Sec. 351.701.
    (2) An agency may, at its discretion, choose to offer a vacant 
other-than-full-time position to a full-time employee or to offer a 
vacant full-time position to an other-than-full-time employee in lieu of 
separation by reduction in force.
    (b) Section 351.701 does not:
    (1) Authorize or permit an agency to assign an employee to a 
position having a higher representative rate;
    (2) Authorize or permit an agency to displace a full-time employee 
by an other-than-full-time employee, or to satisfy an other-than-full-
time employee's right to assignment by assigning the employee to a 
vacant full-time position.
    (3) Authorize or permit an agency to displace an other-than-full-
time employee by a full-time employee, or to satisfy a full-time 
employee's right to assignment by assigning the employee to a vacant 
other-than-full-time position.
    (4) Authorize or permit an agency to assign a competing employee to 
a temporary position (i.e., a position under an appointment not to 
exceed 1 year), except as an offer of assignment in lieu

[[Page 258]]

of separation by reduction in force under this part when the employee 
has no right to a position under Sec. 351.701 or Sec. 351.704(a)(1) of 
this part. This option does not preclude an agency from, as an 
alternative, also using a temporary position to reemploy a competing 
employee following separation by reduction in force under this part.
    (5) Authorize or permit an agency to displace an employee or to 
satisfy a competing employee's right to assignment by assigning the 
employee to a position with a different type of work schedule (e.g., 
full-time, part-time, intermittent, or seasonal) than the position from 
which the employee is released.

[51 FR 319, Jan. 3, 1986, as amended at 56 FR 65417, Dec. 17, 1991; 60 
FR 3063, Jan. 13, 1995; 63 FR 63591, Nov. 16, 1998]



Sec. 351.705  Administrative assignment.

    (a) An agency may, at its discretion, adopt provisions which:
    (1) Permit a competing employee to displace an employee with lower 
retention standing in the same subgroup consistent with Sec. 351.701 
when the agency cannot make an equally reasonable assignment by 
displacing an employee in a lower subgroup;
    (2) Permit an employee in subgroup III-AD to displace an employee in 
subgroup III-A or III-B, or permit an employee in subgroup III-A to 
displace an employee is subgroup III-B consistent with Sec. 351.701; or
    (3) Provide competing employees in the excepted service with 
assignment rights to other positions under the same appointing authority 
on the same basis as assignment rights provided to competitive service 
employees under Sec. 351.701 and in paragraphs (a) (1) and (2) of this 
section.
    (b) Provisions adopted by an agency under paragraph (a) of this 
section:
    (1) Shall be consistent with this part;
    (2) Shall be uniformly and consistently applied in any one reduction 
in force;
    (3) May not provide for the assignment of an other-than-full-time 
employee to a full-time position;
    (4) May not provide for the assignment of a full-time employee to an 
other-than-full-time position;
    (5) May not provide for the assignment of an employee in a 
competitive service position to a position in the excepted service; and
    (6) May not provide for the assignment of an employee in an excepted 
position to a position in the competitive service.

[51 FR 319, Jan. 3, 1986, as amended at 62 FR 62502, Nov. 24, 1997]



                      Subpart H--Notice to Employee

    Source: 60 FR 2679, Jan. 11, 1995, unless otherwise noted.



Sec. 351.801  Notice period.

    (a)(1) Each competing employee selected for release from a 
competitive level under this part is entitled to a specific written 
notice at least 60 full days before the effective date of release.
    (2) At the same time an agency issues a notice to an employee, it 
must give a written notice to the exclusive representative(s), as 
defined in 5 U.S.C. 7103(a)(16), of each affected employee at the time 
of the notice. When a significant number of employees will be separated, 
an agency must also satisfy the notice requirements of Secs. 351.803 (b) 
and (c).
    (b) When a reduction in force is caused by circumstances not 
reasonably foreseeable, the Director of OPM, at the request of an agency 
head or designee, may approve a notice period of less than 60 days. The 
shortened notice period must cover at least 30 full days before the 
effective date of release. An agency request to OPM shall specify:
    (1) The reduction in force to which the request pertains;
    (2) The number of days by which the agency requests that the period 
be shortened;
    (3) The reasons for the request; and
    (4) Any other additional information that OPM may specify.
    (c) The notice period begins the day after the employee receives the 
notice.
    (d) When an agency retains an employee under Sec. 351.607 or 
Sec. 351.608, the notice to the employee shall cite the date on which 
the retention period

[[Page 259]]

ends as the effective date of the employee's release from the 
competitive level.

[60 FR 2678, Jan. 11, 1995, as amended at 60 FR 44254, Aug. 25, 1995; 63 
FR 32594, June 15, 1998; 65 FR 25623, May 3, 2000]



Sec. 351.802  Content of notice.

    (a)(1) The action to be taken, the reasons for the action, and its 
effective date;
    (2) The employee's competitive area, competitive level, subgroup, 
service date, and three most recent ratings of record received during 
the last 4 years;
    (3) The place where the employee may inspect the regulations and 
record pertinent to this case;
    (4) The reasons for retaining a lower-standing employee in the same 
competitive level under Sec. 351.607 or Sec. 351.608;
    (5) Information on reemployment rights, except as permitted by 
Sec. 351.803(a); and
    (6) The employee's right, as applicable, to appeal to the Merit 
Systems Protection Board under the provisions of the Board's regulations 
or to grieve under a negotiated grievance procedure. The agency shall 
also comply with Sec. 1201.21 of this title.
    (b) When an agency issues an employee a notice, the agency must, 
upon the employee's request, provide the employee with a copy of OPM's 
retention regulations found in part 351 of this chapter.

[60 FR 2678, Jan. 11, 1995, as amended at 60 FR 44254, Aug. 25, 1995; 62 
FR 62502, Nov. 24, 1997; 63 FR 32595, June 15, 1998]



Sec. 351.803  Notice of eligibility for reemployment and other placement assistance.

    (a) An employee who receives a specific notice of separation under 
this part must be given information concerning the right to reemployment 
consideration and career transition assistance under subparts B 
(Reemployment Priority List), F, and G (Career Transition Assistance 
Programs) of part 330 of this chapter. The employee must also be given a 
release to authorize, at his or her option, the release of his or her 
resume and other relevant employment information for employment referral 
to the State unit or entity established under title I of the Workforce 
Investment Act of 1998 and potential public or private sector employers. 
The employee must also be given information concerning how to apply both 
for unemployment insurance through the appropriate State program and 
benefits available under the State's Workforce Investment Act of 1998 
programs, and an estimate of severance pay (if eligible).
    (b) When 50 or more employees in a competitive area receive 
separation notices under this part, the agency must provide written 
notification of the action, at the same time it issues specific notices 
of separation to employees, to:
    (1) The State or the entity designated by the State to carry out 
rapid response activities under title I of the Workforce Investment Act 
of 1998;
    (2) The chief elected official of local government(s) within which 
these separations will occur; and
    (3) OPM.
    (c) The notice required by paragraph (b) of this section must 
include:
    (1) The number of employees to be separated from the agency by 
reduction in force (broken down by geographic area or other basis 
specified by OPM);
    (2) The effective date of the separations; and
    (3) Any other information specified by OPM, including information 
needs identified from consultation between OPM and the Department of 
Labor to facilitate delivery of placement and related services.

[60 FR 2679, Jan. 11, 1995, as amended at 62 FR 62502, Nov. 24, 1997; 65 
FR 64133, Oct. 26, 2000]



Sec. 351.804  Expiration of notice.

    (a) A notice expires when followed by the action specified, or by an 
action less severe than specified, in the notice or in an amendment made 
to the notice before the agency takes the action.
    (b) An agency may not take the action before the effective date in 
the notice; instead, the agency may cancel the reduction in force notice 
and issue a new notice subject to this subpart.

[62 FR 62502, Nov. 24, 1997]

[[Page 260]]



Sec. 351.805  New notice required.

    (a) An employee is entitled to a written notice of at least 60 full 
days if the agency decides to take an action more severe than first 
specified.
    (b) An agency must give an employee an amended written notice if the 
reduction in force is changed to a later date. A reduction in force 
action taken after the date specified in the notice given to the 
employee is not invalid for that reason, except when it is challenged by 
a higher-standing employee in the competitive level who is reached out 
of order for a reduction in force action as a result of the change in 
dates.
    (c) An agency must give an employee an amended written notice and 
allow the employee to decide whether to accept a better offer of 
assignment under subpart G of this part that becomes available before or 
on the effective date of the reduction in force. The agency must give 
the employee the amended notice regardless of whether the employee has 
accepted or rejected a previous offer of assignment, provided that the 
employee has not voluntarily separated from his or her official 
position.

[62 FR 62502, Nov. 24, 1997, as amended at 65 FR 25623, May 3, 2000]



Sec. 351.806  Status during notice period.

    When possible, the agency shall retain the employee on active duty 
status during the notice period. When in an emergency the agency lacks 
work or funds for all or part of the notice period, it may place the 
employee on annual leave with or without his or her consent, or leave 
without pay with his or her consent, or in a nonpay status without his 
or her consent.



Sec. 351.807  Certification of Expected Separation.

    (a) For the purpose of enabling otherwise eligible employees to be 
considered for eligibility to participate in dislocated worker programs 
under the Workforce Investment Act of 1998 administered by the U.S. 
Department of Labor, an agency may issue a Certificate of Expected 
Separation to a competing employee who the agency believes, with a 
reasonable degree of certainty, will be separated from Federal 
employment by reduction in force procedures under this part. A 
certification may be issued up to 6 months prior to the effective date 
of the reduction in force.
    (b) This certification may be issued to a competing employee only 
when the agency determines:
    (1) There is a good likelihood the employee will be separated under 
this part;
    (2) Employment opportunities in the same or similar position in the 
local commuting area are limited or nonexistent;
    (3) Placement opportunities within the employee's own or other 
Federal agencies in the local commuting area are limited or nonexistent; 
and
    (4) If eligible for optional retirement, the employee has not filed 
a retirement application or otherwise indicated in writing an intent to 
retire.
    (c) A certification is to be addressed to each individual eligible 
employee and must be signed by an appropriate agency official. A 
certification must contain the expected date of reduction in force, a 
statement that each factor in paragraph (b) of this section has been 
satisfied, and a description of Workforce Investment Act of 1998, title 
I, programs, the Interagency Placement Program, and the Reemployment 
Priority List.
    (d) A certification may not be used to satisfy any of the notice 
requirements elsewhere in this subpart.
    (e) An agency determination of eligibility for certification may not 
be appealed to OPM or the Merit Systems Protection Board.
    (f) An agency may also enroll eligible employees on the agency's 
Reemployment Priority List up to 6 months in advance of a reduction in 
force. For requirements and criteria, see subpart B of part 330 of this 
chapter.

[60 FR 2678, Jan. 11, 1995, as amended at 60 FR 44254, Aug. 25, 1995; 65 
FR 64134, Oct. 26, 2000; 66 FR 29896, June 4, 2001]



                Subpart I--Appeals and Corrective Action



Sec. 351.901  Appeals.

    An employee who has been furloughed for more than 30 days, 
separated, or demoted by a reduction in

[[Page 261]]

force action may appeal to the Merit Systems Protection Board.

[52 FR 46051, Dec. 4, 1987]



Sec. 351.902  Correction by agency.

    When an agency decides that an action under this part was 
unjustified or unwarranted and restores an individual to the former 
grade or rate of pay held or to an intermediate grade or rate of pay, it 
shall make the restoration retroactively effective to the date of the 
improper action.

Subpart J [Reserved]



PART 352--REEMPLOYMENT RIGHTS--Table of Contents




Subpart A [Reserved]

   Subpart B--Reemployment Rights Based on Movement Between Executive 
                       Agencies During Emergencies

Sec.
352.201 Letter of Authority.
352.202 Request for Letter of Authority.
352.203 Standards for issuing Letters of Authority.
352.204 Basic eligibility for reemployment rights.
352.205 Appeal of losing agency.
352.205a Authority to return employee to his or her former or successor 
          agency.
352.205b Authority to return an SES employee to his or her former or 
          successor agency.
352.206 Expiration of reemployment rights.
352.207 Exercise or termination of reemployment rights.
352.208 Agency's obligation to reemploy.
352.209 Employee appeals to the Merit Systems Protection Board.

  Subpart C--Detail and Transfer of Federal Employees to International 
                              Organizations

352.301 Purpose.
352.302 Definitions.
352.303 Effective date of equalization allowance.
352.304 International organizations covered.
352.305 Eligibility for detail.
352.306 Length of details.
352.307 Eligibility for transfer.
352.308 Effecting employment by transfer.
352.309 Retirement, health benefits, and group life insurance.
352.310 Equalization allowance.
352.311 Reemployment.
352.312 When to apply.
352.313 Failure to reemploy and right of appeal.
352.314 Consideration for promotion and pay increases.

Subpart D--Employment of Presidential Appointees and Elected Officers by 
                 the International Atomic Energy Agency

352.401 Purpose.
352.402 Coverage.
352.403 Definitions.
352.404 Retirement and insurance.
352.405 Resumption of Federal service.

 Subpart E--Reinstatement Rights After Service Under Section 233(d) and 
              625(b) of the Foreign Assistance Act of 1961

352.501 Purpose.
352.502 Coverage.
352.503 Definitions.
352.504 Basic entitlement.
352.505 Proposed termination.
352.506 Application for reinstatement.
352.507 Reinstatement.
352.508 Appeals to the Merit Systems Protection Board.

Subpart F [Reserved]

 Subpart G--Reemployment Rights of Former Bureau of Indian Affairs and 
  Indian Health Service Employees After Service Under the Indian Self-
                Determination Act in Tribal Organizations

352.701 Purpose.
352.702 Definitions.
352.703 Basic entitlement to reemployment rights on leaving Federal 
          employment.
352.704 Duration of reemployment rights.
352.705 Return to Federal employment.
352.706 Agency response to reemployment application.
352.707 Employee appeals to the Merit Systems Protection Board.

      Subpart H--Reemployment Rights Under the Taiwan Relations Act

352.801 Purpose.
352.802 Definitions.
352.803 Basic entitlement to reemployment rights on leaving Federal 
          employment.
352.804 Maximum period of entitlement to reemployment.
352.805 Position to which entitled on reemployment.
352.806 Return to Federal employment.
352.807 Appeals.

   Subpart I--Reemployment Rights After Service With the Panama Canal 
                               Commission

352.901 Purpose.
352.902 Definitions.
352.903 Effecting a detail or transfer.

[[Page 262]]

352.904 Eligibility.
352.905 Employees on detail.
352.906 Termination of transfer.
352.907 Exercise or termination of reemployment rights.
352.908 Agency obligation.
352.909 Appeals.

    Source: 33 FR 12433, Sept. 4, 1968, unless otherwise noted.

Subpart A [Reserved]



   Subpart B--Reemployment Rights Based on Movement Between Executive 
                       Agencies During Emergencies

    Authority: 5 U.S.C. 3101 note, 3301, 3131 et seq. 3302; E.O. 10577, 
3 CFR 1954-1958 Com., p. 218; sec. 352. 209 also issued under 5 U.S.C. 
7701, et seq.



Sec. 352.201  Letter of Authority.

    (a) Definition. A Letter of Authority is an authorization from OPM 
to an agency appointing officer to grant reemployment rights.
    (b) Scope of authority. A Letter of Authority shall specify the 
conditions under which it may be used, including the types of positions 
covered and the organizational and geographic areas to which it is 
restricted.
    (c) Time limit of authority. A Letter of Authority shall remain in 
force for one year from date of issuance unless earlier revoked by OPM. 
Renewals or extensions will not be issued unless justified by 
exceptional circumstances.



Sec. 352.202  Request for Letter of Authority.

    When an agency believes that an emergency situation is so critical 
as to justify offers of reemployment rights, it may request OPM to issue 
a Letter of Authority. In submitting the request the agency shall 
present its justification in terms of the standards provided in 
Sec. 352.203.



Sec. 352.203  Standards for issuing Letters of Authority.

    OPM will determine the standards to be used in issuing Letters of 
Authority, which shall include the following:
    (a) The positions to be filled must be related to emergency 
situations for which the usual recruiting methods are inadequate.
    (b) The positions must be a part of a specific program immediately 
essential to the national interest.
    (c) The positions must be essential to the functioning of the 
program.
    (d) There must be substantial basis for the belief that reemployment 
rights will be a significant and reasonable aid in meeting the emergency 
situation.



Sec. 352.204  Basic eligibility for reemployment rights.

    (a) Employees eligible. The following employees in the executive 
branch of the Government are eligible to be granted reemployment rights 
when they are hired by another executive agency without break in service 
of a full workday by transfer or reinstatement, or by excepted 
appointment, in a position which the agency is currently authorized to 
fill with reemployment rights:
    (1) An employee serving in a competitive position under a career or 
career-conditional appointment;
    (2) An employee serving under a career appointment in the Senior 
Executive Service (SES); or
    (3) A nontemporary excepted employee.
    (b) Employees not eligible. The following employees are not eligible 
to be granted reemployment rights:
    (1) An employee who is serving a probationary or trial period under 
an appointment to a position in the excepted or competitive service or 
the SES.
    (2) An employee serving in an obligated position;
    (3) An employee serving with reemployment rights granted under this 
subpart;
    (4) An employee who has received a notice of involuntary separation 
because of reduction in force or otherwise; or
    (5) An employee who has already submitted a resignation.

[33 FR 12433, Sept. 4, 1968, as amended at 51 FR 25187, July 11, 1986]



Sec. 352.205  Appeal of losing agency.

    An appointing officer who intends to employ with reemployment rights 
an employee of another executive agency

[[Page 263]]

shall give the losing agency written notice at least 15 calendar days 
before the effective date of the proposed action. If the losing agency 
believes the grant of reemployment rights would be detrimental to the 
public interest, it may appeal the proposed grant to OPM within 15 
calendar days after receipt of the notice. The losing agency, at the 
same time, shall furnish a copy of the appeal to the prospective 
appointing officer, who shall withhold the proposed grant pending 
decision on the appeal. OPM shall determine whether the employee will be 
given reemployment rights and notify both agencies accordingly. If the 
losing agency does not appeal within 15 calendar days, the employee 
shall be granted reemployment rights.



Sec. 352.205a  Authority to return employee to his or her former or successor agency.

    The transfer of an employee with a grant of reemployment rights 
under this subpart authorizes the return of the employee to his or her 
former or successor agency without regard to part 351, 752, or 771 of 
this chapter when the employee is reemployed in his or her former or 
successor agency--
    (a) Without a break in service of 1 workday or more in a position at 
the same or higher grade in the same occupational field and geographical 
area as the position he or she last held in the former or successor 
agency; and
    (b) At not less than the rate of pay he or she would have been 
receiving in the position last held in the former or successor agency if 
he or she had not been transferred.

[51 FR 25187, July 11, 1986]



Sec. 352.205b  Authority to return an SES employee to his or her former or successor agency.

    The transfer of a career SES appointee with a grant of reemployment 
rights under this subpart authorizes the return of the employee to his 
or her former or successor agency when the employee is reemployed in his 
or her former or successor agency--
    (a) Without a break in service of 1 workday or more in any position 
in the SES for which the employee is qualified; and
    (b) At not less than the SES pay level at which the employee was 
being paid immediately before his or her transfer.

[51 FR 25187, July 11, 1986]



Sec. 352.206  Expiration of reemployment rights.

    Reemployment rights granted under a Letter of Authority expire at 
the end of 2 years following the date of the personnel action, unless 
exercised or otherwise terminated before that time, except that the 
reemployment rights of an employee serving outside the continental 
United States extend for an additional period of 3 months.



Sec. 352.207  Exercise or termination of reemployment rights.

    (a) Exercise. The time limits for application for reemployment under 
this subpart are:
    (1) Within 30 calendar days before the expiration of the term of 
reemployment rights;
    (2) Within 30 calendar days after receipt of notice of involuntary 
separation;
    (3) At least 30 calendar days in advance of the person's scheduled 
entry into active military duty. In this case he shall be reemployed and 
separated, furloughed, or granted leave of absence for military service 
by the reemploying agency; or
    (4) At any time before the expiration of the term of reemployment 
rights with the written consent of the current employing agency if 
application for reemployment is made within 30 days after date of 
separation, or after receipt of advance notice of proposed demotion by 
the current employing agency.
    (b) Termination. An employee's reemployment rights terminate if:
    (1) He fails to apply within the time limits stated in paragraph (a) 
of this section;
    (2) He resigns without the written consent of the current employing 
agency; or
    (3) Within 10 calendar days, he fails to accept an offer of 
reemployment made under Sec. 352.208 which is determined to be a proper 
offer of reemployment by the reemploying agency or by the Merit Systems 
Protection Board on appeal.

[[Page 264]]



Sec. 352.208  Agency's obligation to reemploy.

    (a) Employee's right to reemployment. An employee is entitled to be 
reemployed by the reemploying agency as promptly as possible but not 
more than 30 calendar days after receipt of his application. Except as 
provided in paragraph (c) of this section, the employee is entitled to 
reemployment in the occupational field and at the same grade or level 
and in the same geographical area as the position which the employee 
last held in that agency. If the reemployment would cause the separation 
or demotion of another employee, the applicant shall then be considered 
an employee for the purpose of applying the reduction-in-force 
regulations (5 CFR part 351) to determine to what, if any, position, he 
or she is entitled.
    (b) Reemployment in a higher grade. The reemploying agency may 
reemploy the employee in a position of higher grade than that to which 
he is entitled, but not if this reemployment would cause the 
displacement of another employee.
    (c) Reemployment in SES. When the employee's right is to a position 
in the SES, reemployment or return may be to any position in the SES for 
which the employee is qualified.
    (d) Seniority in postal service. On reemployment in the postal 
service, the employee is entitled to the seniority he would have 
attained had he remained in the postal service.
    (e) Basis for agency refusal to reemploy. An agency may refuse to 
reemploy under this section only when the employee was last separated 
for serious cause evidencing his unsuitability for reemployment.

[33 FR 12433, Sept. 4, 1968, as amended at 51 FR 25187, July 11, 1986]



Sec. 352.209  Employee appeals to the Merit Systems Protection Board.

    When an agency denies reemployment to a person claiming reemployment 
rights under this subpart, the agency shall inform him or her of that 
denial by a written notice. In the same notice, the agency shall inform 
him/her of his/her right to appeal to the Merit Systems Protection Board 
under the provisions of the Board's regulations. The agency shall comply 
with the provisions of Sec. 1201.21 of this title.

[44 FR 48952, Aug. 21, 1979]



  Subpart C--Detail and Transfer of Federal Employees to International 
                              Organizations

    Authority: 5 U.S.C. 3584, E.O. 11552, 3 CFR 1966-1970 Comp., p. 954; 
Section 352.313 also issued under 5 U.S.C. 7701, et seq.

    Source: 35 FR 16525, Oct. 23, 1970, unless otherwise noted.



Sec. 352.301  Purpose.

    The purpose of this subpart is to encourage details and transfers of 
employees for service with international organizations as authorized by 
sections 3343 and 3581-3584 of title 5, United States Code, and to 
provide procedures for participation in the program.



Sec. 352.302  Definitions.

    In this subpart:
    (a) Agency, employee, international organization, and transfer have 
the meaning given them by section 3581 of title 5, United States Code;
    (b) Detail has the meaning given it by section 3343 of title 5, 
United States Code; and
    (c) Term of employment means not more than (1) 5 consecutive years 
of employment, except that when the Secretary of State determines it to 
be in the national interest, the detail or transfer may be extended up 
to an additional 3 years, or (2) the period of less than 5 years 
specified at the time of consent to transfer or detail, beginning with 
entrance on duty in the international organization.



Sec. 352.303  Effective date of equalization allowance.

    Section 352.310 applies to employment with an international 
organization that occurs after December 29, 1969.



Sec. 352.304  International organizations covered.

    Without prior approval of OPM, an agency may detail or transfer an 
employee under this subpart to any organization which OPM has designated 
as an international organization. An

[[Page 265]]

agency may detail or transfer an employee under this subpart to any 
other public international organization or international organization 
preparatory commission, only when OPM, after consultation with the 
Department of State, agrees that the organization concerned could be 
designated as an international organization covered by sections 3343 and 
3581 of title 5, United States Code.

[35 FR 16525, Oct. 23, 1970, as amended at 66 FR 66710, Dec. 27, 2001]



Sec. 352.305  Eligibility for detail.

    An employee, including a person serving under a career appointment 
in the Senior Executive Service (SES), is eligible to be detailed to an 
international organization with the rights provided for in, and in 
accordance with, section 3343 of title 5, United States Code, and this 
subpart.

[51 FR 25188, July 11, 1986]



Sec. 352.306  Length of details.

    A detail or series of details shall not exceed 5 consecutive years, 
except that when the Secretary of State, on the recommendation of the 
head of the agency, determines it to be in the national interest, the 5-
year detail may be extended for up to an additional 3 years. A detail or 
series of details or combination of details and transfers shall not 
exceed 8 years in the aggregate.



Sec. 352.307  Eligibility for transfer.

    An employee is eligible for transfer to an international 
organization with the rights provided for in, and in accordance with, 
sections 3581-3584 of title 5, United States Code, and this subpart, 
except the following:
    (a) A Presidential appointee (other than a postmaster, a Foreign 
Service officer or a Foreign Service information officer), regardless of 
whether his appointment was made by and with the advice and consent of 
the Senate.
    (b) A person serving in the executive branch in a confidential or 
policy-determining position excepted from the competitive service under 
Schedule C of part 213 of this chapter.
    (c) A person serving under a noncareer, limited emergency, or 
limited term appointment in the SES.
    (d) A person serving under a temporary appointment pending 
establishment of a register.
    (e) A person serving under an appointment specifically limited to 1 
year or less.
    (f) A person serving on a seasonal, intermittent, or part-time 
basis.

[35 FR 16525, Oct. 23, 1970, as amended at 51 FR 25188, July 11, 1986; 
57 FR 10124, Mar. 24, 1992]



Sec. 352.308  Effecting employment by transfer.

    (a) Authority to approve transfers. On written request by an 
international organization for the services of an employee, the agency 
may authorize the transfer of the employee to the organization for any 
period not to exceed 5 years, except that when the Secretary of State 
determines it to be in the national interest, a period of employment by 
transfer may be extended, subject to the approval of the head of the 
agency, for up to an additional 3 years. A transfer or series of 
transfers or combination of details and transfers shall not exceed 8 
years in the aggregate. Refusal by the head of the agency to authorize 
the transfer or the extension of the transfer is not reviewable by or 
appealable to OPM.
    (b) Letter of consent. When an agency consents to the transfer of an 
employee, the agency shall give its consent in writing to the 
international organization and shall furnish the employee with a copy of 
the consent.
    (c) Effective date. The agency and the international organization 
shall establish the effective date of transfer by mutual agreement.
    (d) Recording requirement. The agency shall furnish the employee 
with a statement of his leave account when he is separated for transfer. 
In addition, the agency shall include on the personnel action form 
effecting the employee's separation for transfer, (1) identification of 
the international organization to which he transfers, (2) a clear 
statement of the period during which he has reemployment rights in the 
agency under section 3582 of title 5, United States Code, and this 
subpart,

[[Page 266]]

and of the legal and regulatory conditions of his reemployment.



Sec. 352.309  Retirement, health benefits, and group life insurance.

    (a) Agency and employee action. At the time of consent to the 
transfer of an employee, the agency shall notify the employee in writing 
that it will make agency contributions and he will retain coverage with 
resulting rights and benefits under the retirement, health benefits, and 
group life insurance systems or any of them if employee payments are 
currently deposited in the respective funds. The employee shall 
acknowledge, in writing, receipt of the notice and state whether or not 
he wishes to retain his coverage under the retirement, health benefits, 
and group life insurance systems or any of them by continuing required 
employee payments.
    (b) Agency responsibility. A transferred employee is deemed to 
remain an employee of the agency from which transferred for retirement, 
health benefits, and group life insurance purposes. For retirement and 
group life insurance purposes, the agency is responsible for determining 
the applicable rate of pay in accordance with the provisions of section 
3583 of title 5, United States Code. The agency is also responsible for 
collecting, accounting for, and depositing in the respective funds all 
retirement, health benefits, and group life insurance employee payments 
required to be made for the purpose of protecting the rights of the 
employee so transferred; and for accounting for and depositing in the 
respective funds all agency contributions. The agency shall furnish the 
employee with specific information as to how, when, and where the 
payments are to be submitted.
    (c) Coverage. Employee payments are currently deposited if received 
by the agency before, during, or within 3 months after the end of the 
pay period covered thereby. Failure to deposit the payment currently 
terminates a transferred employee's retirement, health benefits, and 
group life insurance coverage on the last day of the pay period for 
which payments were currently deposited, subject to a 31-day extension 
of group life insurance and health benefits coverage as provided in 
parts 870 and 890 of this chapter and to the conversion benefits 
provided in parts 870 and 890 of this chapter. Coverage so terminated 
may not attach again before the employee actually enters on duty on his 
first day in a pay status in an agency. However, terminated civil 
service retirement, health benefits, and group life insurance coverage 
shall be reinstated retroactively when, in the judgment of OPM, the 
failure to make the required current deposit was due to circumstances 
beyond the control of the employee and the required payments were 
deposited at the first opportunity. Coverage under a system other than 
the civil service retirement system shall be reinstated retroactively if 
the agency which administers the retirement system determines that the 
failure to make the required current deposit was due to circumstances 
beyond the control of the employee and the required payments were 
deposited at the first opportunity.



Sec. 352.310  Equalization allowance.

    (a) An employee transferred to an international organization is 
entitled to be paid in accordance with paragraphs (a)(1) through (4) of 
this section, an amount equal to the difference between the pay, 
allowances, post differential, and other monetary benefits paid by the 
international organizations and the pay, allowances, post differential, 
and other monetary benefits that would have been paid by the agency had 
he been detailed to the international organization under section 3343 of 
title 5, United States Code, (i) on reemployment; or (ii) on his death 
which occurs during the period of transfer or during the period after 
separation from an international organization when he is exercising or 
could exercise his reemployment rights.
    (1) To determine the difference, the Department of State defines pay 
(i) for the Federal Government, as the amount paid an employee before 
the deduction of State and local taxes, but after the deduction of 
hypothetical U.S. Federal tax using the standard deduction considering 
the number of exemptions and appropriate tax table prescribed by the 
Department; (ii) for international organizations following

[[Page 267]]

the Common System of Salaries and Allowances of the United Nations and 
Specialized Agencies, as the amount actually paid to the employee after 
the deduction of the Staff Assessment; (iii) for other international 
organizations, as the amount actually paid to the employee. In cases 
where pay is subject to State and local taxes, this shall be the pay 
before the deduction of the taxes.
    (2) Allowances, post differential, and other monetary benefits are 
defined by the Secretary of State as follows:
    (i) Federal Government: The amount that would have been paid under 
sections 5921-5925 of title 5, United States Code, applicable provisions 
of chapters 100, 200, and 500 of the Standardized Regulations 
(Government Civilians Foreign Areas) and implementing agency regulations 
had the employee been detailed to the international organization under 
section 3343 of title 5, United States Code;
    (ii) International organizations following the Common System of 
Salaries and Allowances of the United Nations and Specialized Agencies: 
The amount paid under pertinent provisions of the Staff Regulations and 
Rules of the United Nations and the Specialized Agencies;
    (iii) Other international organizations not under the Common System 
of Salaries and Allowances of the United Nations and Specialized 
Agencies: The amount paid under pertinent conditions of service applied 
by the organizations as determined to be appropriate by the releasing 
agency with the concurrence of the Secretary of State.
    (3) Travel and subsistence expenses, transportation of effects, and 
leave are not considered monetary benefits for purposes of this section.
    (4) In exceptional circumstances where a hardship or an inequity 
would otherwise occur the Secretary of State, on the recommendation of 
the head of the agency, may specify allowances or other monetary 
benefits in lieu of or in addition to those specified above.
    (b) Authoritative information on pay, allowances, post differential, 
and other monetary benefits as defined in paragraph (a) of this section 
for the Federal Government and the international organizations is 
maintained currently by the Department of State and is made available on 
request to any Federal department, agency, or employee concerned.
    (c) Agency and employee responsibilities for reporting and 
documenting payments received from international organizations are 
specified in OPM issuances.

[35 FR 16525, Oct. 23, 1970, as amended at 40 FR 1223, Jan. 7, 1975; 66 
FR 66710, Dec. 27, 2001]



Sec. 352.311  Reemployment.

    (a) A transferred employee is entitled to be reemployed in his or 
her former position or one of like seniority, status, and pay within 30 
days of his or her application for reemployment if he or she meets the 
following conditions:
    (1) He or she is separated, either voluntarily or involuntarily, 
within his or her term of employment with an international organization; 
and
    (2) He or she applies for reemployment to his or her former agency 
or its successor no later than 90 days after his or her separation.
    (b) When an employee's right is to a position in the SES, 
reemployment or return may be to any position in the SES for which the 
employee is qualified. The employee shall be returned at not less than 
the SES pay level at which the employee was being paid immediately 
before his or her transfer, or if pay has been adjusted under 
Sec. 352.314(c), at not less than the adjusted pay level.

[51 FR 25188, July 11, 1986, as amended at 58 FR 58261, Nov. 1, 1993]



Sec. 352.312  When to apply.

    An employee may apply for reemployment either before or after 
separation by the international organization. If he applies before 
separation, the 30-day period prescribed in Sec. 352.311 begins either 
within the date of the application or 30 days before the employee's date 
of separation, whichever is later.



Sec. 352.313  Failure to reemploy and right of appeal.

    (a) When an agency fails to reemploy an employee within 30 days of 
his/her application, it shall notify him/her in writing of the reasons 
and of his/her right to appeal to the Merit Systems

[[Page 268]]

Protection Board under the provisions of the Board's regulations. The 
agency shall comply with the provisions of Sec. 1201.21 of this title.
    (b) If the agency fails to reach and issue a decision to the 
employee within 30 days from his/her application for reemployment, the 
employee is entitled to appeal the failure of the agency to the Merit 
Systems Protection Board under the provisions of the Board's 
regulations.
    (c) An appeal alleging that the agency has failed to comply with any 
of the other provisions of sections 3343 and 3581-3584 of title 5, 
United States Code, or of this part may be submitted to the Merit 
Systems Protection Board under the provisions of the Board's 
regulations.

[44 FR 48952, Aug. 21, 1979]



Sec. 352.314  Consideration for promotion and pay increases.

    (a) Each agency shall consider each employee detailed or transferred 
to an international organization for all promotions for which he would 
be considered were he not absent. A promotion based on this 
consideration is effective on the date it would have been made if the 
employee were not absent.
    (b) When the position of an employee absent on detail or transfer to 
an international organization is regraded upward during his absence, his 
agency shall place him in the regraded position.
    (c) Each agency shall consider each employee detailed or transferred 
to an international organization from an ungraded pay system for all pay 
increases for which the employee would be considered were the employee 
not absent. An increase is effective on the date it would have been made 
if the employee were not absent.

[35 FR 16525, Oct. 23, 1970, as amended at 58 FR 58261, Nov. 1, 1993]



Subpart D--Employment of Presidential Appointees and Elected Officers by 
                 the International Atomic Energy Agency

    Authority: Sec. 6(c), 71 Stat. 455; 22 U.S.C. 2025(c); E.O. 10774, 3 
CFR, 1954-1958 Comp., p. 418, as amended by E.O. 10804, 3 CFR, 1959-1963 
Comp., p. 328.



Sec. 352.401  Purpose.

    The purpose of this subpart is to implement section 6(b) of the 
International Atomic Energy Agency Participation Act of 1957 and 
Executive Order 10774 as amended by Executive Order 10804 to protect the 
civil service rights and privileges, wherever appropriate, of 
Presidential appointees and elected officers who leave their positions 
and within 90 days enter employment with the International Atomic Energy 
Agency.



Sec. 352.402  Coverage.

    This subpart applies to all officers, as defined in Sec. 352.403(b), 
of any branch of the Federal Government.



Sec. 352.403  Definitions.

    In this subpart:
    (a) Agency means the International Atomic Energy Agency;
    (b) Officer means any Presidential appointee or elected officer who 
leaves his position after August 27, 1957, and within 90 days enters 
employment with the agency; and
    (c) Term of employment means not more than 3 consecutive years of 
employment beginning with entrance on duty in the agency.



Sec. 352.404  Retirement and insurance.

    (a) Coverage. (1) To obtain retirement benefits for a term of 
employment with the agency, an officer covered by subchapter III of 
chapter 83 of title 5 United States Code, within 90 days after the date 
he is separated from the agency, shall pay to OPM all necessary employee 
deductions and agency contributions for coverage under that subchapter 
for his term of employment with the agency. Interest shall not be 
charged an officer on any payment of necessary employee deductions and 
agency contributions. The amount of the employee deductions so paid 
shall be added to the officer's lump-sum credit in the Civil Service 
Retirement and Disability Fund.
    (2) To retain coverage under chapter 87 of title 5, United States 
Code, during his term of employment with the agency, an officer covered 
by that chapter

[[Page 269]]

shall currently pay employee deductions and agency contributions 
necessary for coverage under that chapter for his term of employment 
with the agency. Collections may be made under procedures which may be 
determined in accordance with written agreements reached between 
accounting representatives of OPM and the agency.
    (3) All retirement and insurance benefits and obligations shall be 
computed in the same manner as if the rate of basic pay the officer was 
receiving on the last day he was in his Federal position before 
employment with the agency had continued without change.
    (4) An officer not covered by either subchapter III of chapter 83, 
or chapter 87, of title 5, United States Code, in the Federal position 
which he last held or from which he separates to enter employment with 
the agency does not acquire coverage or benefits under these statutes 
based on employment with the agency.
    (b) Death coverage. An officer who dies during his term of 
employment or within 90 days of his separation therefrom is deemed to 
have died in the Federal Service.



Sec. 352.405  Resumption of Federal service.

    (a) Pay increase. Except for an employee whose right is to a 
position in the Senior Executive Service (SES), an officer who is 
reemployed in the Federal position which he or she left or one of like 
seniority, status, and pay within 90 days of his or her separation from 
the agency following a term of employment, is entitled to the rate of 
basic pay to which he/she would have been entitled had he or she 
remained in the Federal service. When the employee's right is to a 
position in the SES, this subpart authorizes reemployment to any 
position in the SES for which the employee is qualified at not less than 
the SES pay level at which the employee was being paid immediately 
before his or her transfer.
    (b) Sick leave account. An officer shall have any sick leave account 
which he may have had in his last Federal position reestablished for 
credit or charge, if he returns to an appropriate leave system within 52 
calendar weeks after the date he is separated from his term of 
employment with the agency.
    (c) Service credit for agency employment. An officer who is 
reemployed in the Federal service within 90 days after completion of his 
term of employment with the agency is entitled to credit as Federal 
service for his term of employment with the agency. However, OPM shall 
give service credit for subchapter III of chapter 83 of title 5, United 
States Code, purposes only if the officer complies with the requirements 
of Sec. 352.404(a)(1).

[33 FR 12433, Sept. 4, 1968, as amended at 51 FR 25188, July 11, 1986]



 Subpart E--Reinstatement Rights After Service Under Section 233(d) and 
              625(b) of the Foreign Assistance Act of 1961

    Authority: Sec. 625, 75 Stat. 449; 22 U.S.C. 2385; E.O. 10973; 3 CFR 
1959-1963 Comp., p. 493; Section 352.508 also issued under 5 U.S.C. 7701 
et seq.



Sec. 352.501  Purpose.

    This subpart governs reinstatement authorized by sections 233(d) and 
625(b) of the Foreign Assistance Act of 1961, as amended (22 U.S.C. 
2193(d) and 22 U.S.C. 235(b)).

[36 FR 13897, July 28, 1971]



Sec. 352.502  Coverage.

    This subpart applies to any of the following serving in a position 
in the Federal Government:
    (a) A person serving in the competitive service under a career or 
career-conditional appointment.
    (b) A person serving under a career appointment in the Senior 
Executive Service (SES).
    (c) A person serving in the excepted service under an appointment 
without a specific time limitation.
    (d) A person appointed or assigned under authority of the Foreign 
Service Act of 1946, as amended (22 U.S.C. 801 et seq.).

[33 FR 12433, Sept. 4, 1968, as amended at 51 FR 25188, July 11, 1986]



Sec. 352.503  Definitions.

    In this subpart:

[[Page 270]]

    (a) Act means the Foreign Assistance Act of 1961, as amended (22 
U.S.C. 2151 et seq.); and
    (b) Former position means the position that an employee was 
occupying at the time of his appointment to a position under authority 
of section 233(d) or section 625(b) of the Act.

[36 FR 13897, July 28, 1971]



Sec. 352.504  Basic entitlement.

    Subject to the conditions specified in this subpart, an employee who 
is appointed to a position under authority of section 233(d) or section 
625(b) of the Act is entitled, on termination of that appointment for 
any reason other than his or her own misconduct or delinquency, to be 
reinstated in his or her former position or in one of like seniority, 
status, and pay in the same agency. When the employee's right is to a 
position in the SES, reinstatement may be to any position in the SES for 
which the employee is qualified. The employee shall be returned at not 
less than the SES pay level at which the employee was being paid 
immediately before his or her transfer. If the functions with which the 
employee's former position was identified have been transferred to 
another agency, the employee's right to reinstatement is in the gaining 
agency.

[51 FR 25188, July 11, 1986]



Sec. 352.505  Proposed termination.

    At least 45 days before termination of the appointment of an 
employee entitled to reinstatement, the agency terminating the employee 
shall notify the employee and his former agency in writing of the 
proposed termination. However, notification under this section is not 
required when:
    (a) The termination is at the employee's own request; or
    (b) The employee is reinstated without a break in service under an 
arrangement made between the agencies concerned.



Sec. 352.506  Application for reinstatement.

    An employee who desires reinstatement shall apply for reinstatement, 
in writing, no later than 30 days after his appointment under authority 
of section 233(d) or section 625(b) of the Act is terminated, unless 
arrangement has been made for his reinstatement without a break in 
service under Sec. 352.505(b).

[36 FR 13897, July 28, 1971]



Sec. 352.507  Reinstatement.

    An employee eligible for reinstatement is entitled to be reinstated 
as soon as possible after his application for reinstatement, filed in 
accordance with Sec. 352.506, is received. In any event, he is entitled 
to be reinstated (a) within 30 days after his application for 
reinstatement is received, or (b) on termination of the appointment made 
under authority of section 233(d) or section 625(b) of the act, 
whichever is later.

[36 FR 13897, July 28, 1971]



Sec. 352.508  Appeals to the Merit Systems Protection Board.

    (a) If an agency determines that an employee who has applied for 
reinstatement is not eligible for reinstatement, it shall notify the 
employee as promptly as possible of its decision, of the basis therefor, 
and of the employee's appeal rights under this subpart. The employee is 
entitled to appeal the decision to the Merit Systems Protection Board 
under the provisions of the Board's regulations. The agency shall comply 
with the provisions of Sec. 1201.21 of this title.
    (b) If an agency fails to reinstate an employee within the time 
limits specified in Sec. 352.507, the employee is entitled to appeal to 
the Merit Systems Protection Board under the provisions of the Board's 
regulations.
    (c) If an employee considers that his reinstatement is not in 
accordance with the act and this subpart, he or she is entitled to 
appeal to the Merit Systems Protection Board under the provisions of the 
Board's regulations.

[44 FR 48952, Aug. 21, 1979]

Subpart F [Reserved]

[[Page 271]]



 Subpart G--Reemployment Rights of Former Bureau of Indian Affairs and 
  Indian Health Service Employees After Service Under the Indian Self-
                Determination Act in Tribal Organizations

    Authority: Sec. 105(i), Pub. L. 93-638, 88 Stat. 2210 (25 U.S.C. 
450); E.O. 11899; 41 FR 3459; Section 352.707 also issued under 5 U.S.C. 
7701, et seq.

    Source: 41 FR 27713, July 6, 1976, unless otherwise noted.



Sec. 352.701  Purpose.

    This subpart governs reemployment rights authorized by section 
105(i) of the Indian Self-Determination Act (88 Stat. 2210; Pub. L. 93-
638, the Act) and E.O. 11899 after service in an Indian tribal 
organization under the Act.



Sec. 352.702  Definitions.

    In this subpart:
    (a) Agency means the Bureau of Indian Affairs and the Indian Health 
Service. For reemployment purposes, the Public Health Service shall be 
considered the agency to which Indian Health Service employees may 
return.
    (b) Competitive area is the same as defined in Sec. 351.402 of this 
title.
    (c) Tribal organization is defined in section 4(c) of the Indian 
Self-Determination Act (88 Stat. 2204).



Sec. 352.703  Basic entitlement to reemployment rights on leaving Federal employment.

    (a) Employees entitled. The following employees of the Bureau of 
Indian Affairs, Department of the Interior, and the Indian Health 
Service and the Public Health Service of the Department of Health and 
Human Services, are granted reemployment rights subject to the 
conditions of this subpart, to the Bureau of Indian Affairs, the Indian 
Health Service, or the Public Health Service, as appropriate, if they 
leave their Federal employment to be employed, with no break in service 
following separation from their agency, by an Indian tribal organization 
to work in a function of their respective agency contracted under the 
Indian Self-Determination Act to be performed by that tribal 
organization:
    (1) An employee serving in a competitive position under a career or 
career-conditional appointment and who has satisfactorily completed at 
least 6 months of a probationary period; or
    (2) A non-temporary excepted service employee who has satisfactorily 
completed at least 6 months of a trial period if one is required by the 
agency.
    (3) An employee serving under a career appointment in the Senior 
Executive Service (SES) who is not serving a probationary period.
    (b) Employees not entitled. The following employees are not entitled 
to reemployment rights under this subpart:
    (1) An employee who has received a notice of involuntary separation 
because of reduction in force, or other cause, not directly related to 
contracting under the Act to a tribal organization;
    (2) An employee whose resignation has been accepted for reasons 
other than to accept tribal employment under this subpart; or
    (3) An employee serving under a Schedule C excepted appointment.
    (c) Not related to other benefits. Entitlement to reemployment 
rights does not depend on continuation of Federal employee benefits 
coverage during service with a tribal organization.

[41 FR 27713, July 6, 1976, as amended at 51 FR 25188, July 11, 1986; 57 
FR 10124, Mar. 24, 1992]



Sec. 352.704  Duration of reemployment rights.

    (a) Termination of authority. Rights are not granted to persons who 
leave Federal employment for employment with a tribal organization after 
the date (December 31, 1985, at present) specified in section 105(e) of 
the Indian Self-Determination Act (88 Stat. 2209).
    (b) Maximum period of entitlement. Entitlement to reemployment 
terminates at the end of 6 years following the date employment commences 
in the tribal organization unless exercised or otherwise terminated 
before that time as provided in this subpart.

[[Page 272]]



Sec. 352.705  Return to Federal employment.

    (a) Conditions. Reemployment rights may be exercised only under the 
following conditions. The individual must apply in writing to the former 
employing agency for reemployment not later than 30 calendar days after:
    (1) Receipt of notice of involuntary separation from tribal 
employment. For this purpose, involuntary separation means any 
separation against the will and without consent of the individual.
    (2) Reversion of the function to Federal operation, whether 
reversion is through tribal or Federal action; or
    (3) Separation with the joint consent of the tribal organization and 
the Federal agency for reasons of personal hardship or other special 
circumstances.
    (b) Termination. A former employee's entitlement to reemployment 
terminates for:
    (1) Failure to apply for reemployment within the time limit stated 
in paragraph (a) of this section;
    (2) Resignation from tribal service without the joint consent, 
described in paragraph (a)(3) of this section, of the tribal 
organization and the Federal employer; or
    (3) Failure to accept, within 10 calendar days of receipt thereof, 
an offer of reemployment made under Sec. 352.706 which is determined by 
the employing agency or by the Merit Systems Protection Board on appeal 
to be a proper offer of reemployment.



Sec. 352.706  Agency response to reemployment application.

    (a) Employee's right to reemployment. An employee is entitled to be 
reemployed by the reemploying agency as promptly as possible, and, in 
any event, within 45 calendar days after agency receipt of application.
    (1) Within the competitive area the employee is entitled to 
reemployment in:
    (i) The position held immediately before leaving the agency;
    (ii) One in the same competitive level; or
    (iii) Another position for which qualified and eligible at the same 
grade or level and in the same competitive area as the position the 
employee last held in the agency. The employing agency determines the 
position under paragraph (a)(1) (i), (ii), or (iii) of this section to 
which the employee is entitled. Reduction-in-force procedures shall be 
applied where necessary in determining the position to which the 
employee has a right. In applying the reduction-in-force regulations, 
the applicant shall be considered an employee of the agency.
    (2) Extending the area. Responsibility for reemploying an applicant 
is nation-wide within the agency. If the applicant is not placed under 
paragraph (a)(1) of this section, the agency must extend reemployment 
rights, based on the employee's availability, for assignment outside the 
competitive area. The employee is entitled to a position, for which 
qualified and eligible, at the same grade or level as the position last 
held in the agency. Where necessary, reduction-in-force procedures shall 
be applied in determining the position to which the employee has a 
right. The applicant shall be considered an employee for the purpose of 
applying the reduction-in-force regulations.
    (b) Employee option. Before the competitive area is extended under 
paragraph (a)(2) of this section, an employee who cannot be placed under 
paragraph (a)(1) of this section, in the competitive area at the same 
grade or level as the position last held is entitled, if the employee 
elects, to reemployment in a position at a lower grade or level 
identified under the same conditions and procedures as paragraph (a)(1) 
of this section.
    (c) Agency option. At any stage in the process, the agency has the 
option to satisfy the employee's right to reemployment by offering a 
vacant position which, under reduction-in-force regulations, is in 
accord with the employee's rights. Also, with the employee's consent, 
right to reemployment can be met by placement in a vacant position, for 
which the employee is qualified according to agency determination, and 
available, outside the organizational or geographic area of entitlement, 
either at the appropriate grade or at a grade other than the one to 
which entitled.

[[Page 273]]

    (d) Reemployment to an SES position. When the employee's right is to 
a position in the SES, reemployment or return may be to any position in 
the SES for which the employee is qualified. The employee shall be 
returned at not less than the SES pay level at which the employee was 
being paid immediately before his or her transfer.
    (e) Basis for agency refusal to reemploy. An agency may refuse to 
reemploy when the employee was last separated from tribal employment for 
serious cause establishing unsuitability for reemployment.
    (f) Basis for agency inability to reemploy. An agency may find it is 
unable to reemploy in the event no position can be found under 
procedures in this section.

[41 FR 27713, July 6, 1976, as amended at 51 FR 25188, July 11, 1986]



Sec. 352.707  Employee appeals to the Merit Systems Protection Board.

    (a) If an agency denies reemployment to a person claiming 
reemployment rights under this subpart, the agency shall inform the 
individual of that denial and of the reasons therefor by a written 
notice. In the same notice, the agency shall inform the employee of the 
right to appeal to the Merit Systems Protection Board under the 
provisions of the Board's regulations. The agency shall comply with the 
provisions of Sec. 1201.21 of this title.
    (b) If an employee considers reemployment to be not in accordance 
with this subpart, the employee is entitled to appeal to the Merit 
Systems Protection Board under the provisions of the Board's 
regulations.
    (c) Refusal of a tribe to hire a Federal employee is not appealable 
to the Merit Systems Protection Board.

[44 FR 48953, Aug. 21, 1979]



      Subpart H--Reemployment Rights Under the Taiwan Relations Act

    Authority: 22 U.S.C. 3310; E.O. 12143, 44 FR 37191; Section 352.807 
also issued under 22 U.S.C. 3310; E.O. 12143, 45 FR 37452.

    Source: 46 FR 8433, Jan. 27, 1981, unless otherwise noted.



Sec. 352.801  Purpose.

    This subpart governs reemployment rights authorized by section 11(a) 
(1) and (2) of the Taiwan Relations Act (Pub. L. 96-8) after service in 
the American Institute in Taiwan (AIT) under the Act.



Sec. 352.802  Definitions.

    For the purposes of this subpart:
    Act refers to Taiwan Relations Act (Pub. L. 96-8).
    Competitive area is the same as defined in Sec. 351.402 of this 
title;
    Institute means the American Institute in Taiwan.
    Specified period of service shall be a period of not more than 6 
years.



Sec. 352.803  Basic entitlement to reemployment rights on leaving Federal employment.

    (a) This subpart applies to all executive agencies as defined in 
section 105 of title 5, United States Code, the U.S. Postal Service, the 
Postal Rate Commission, and to the employees thereof, and to those 
positions in the competitive civil service and the employees occupying 
those positions.
    (b) The agency must give employees entitled to reemployment rights 
under this subpart written notice of these rights at the time of their 
separation.
    (c) Employees entitled. The following employees or former employees 
are granted reemployment rights subject to the conditions of this 
subpart, if they leave their Federal employment to be employed (on the 
date of incorporation of AIT or within 30 calendar days following 
separation from their agency) by the Institute for a specified period of 
service.
    (1) An employee serving in a competitive position under a career or 
career-conditional appointment;
    (2) A non-temporary excepted service employee; or
    (3) An employee serving under a career appointment in the Senior 
Executive Service.
    (d) Employees not entitled. The following employees are not entitled 
to reemployment rights under this subpart:
    (1) An employee who has received a notice of involuntary separation 
because of reduction in force, or other

[[Page 274]]

cause, not directly related to employment with the Institute under the 
Act;
    (2) An employee whose resignation has been accepted for reasons 
other than to accept employment with the Institute under this subpart;
    (3) An employee serving under a Schedule C excepted appointment; or
    (4) An employee serving under a noncareer, limited emergency, or 
limited term appointment in the Senior Executive Service.

[46 FR 8433, Jan. 27, 1981, as amended at 57 FR 10124, Mar. 24, 1992]



Sec. 352.804  Maximum period of entitlement to reemployment.

    Entitlement to reemployment terminates at the end of 6 years and 30 
days, following the date employment commences in the Institute unless 
exercised or otherwise terminated before that time as provided in this 
subpart.



Sec. 352.805  Position to which entitled on reemployment.

    (a) Basic position entitlement. (1) On reemployment, an employee is 
entitled to be appointed to a position in the employee's former or 
successor agency in the following order:
    (i) To the position last held in the former agency:
    (A) If that position has been identified for transfer to a different 
agency, reemployment rights must be exercised with the gaining agency.
    (B) If that position has been reclassified, the employee should be 
placed in the reclassified position;
    (ii) A position in the same competitive level; or
    (iii) Another position for which otherwise qualified at the same 
grade or level and in the same competitive area.
    (2) The employing agency determines under paragraph (a)(1) of this 
section the position to which the employee is entitled. Reduction-in-
force procedures shall be applied when necessary in determining the 
position to which the employee has a right. In applying reduction-in-
force procedures, the applicant shall be considered an employee of the 
agency.
    (3) Extending the area. Responsibility for reemploying an applicant 
is agencywide. If the applicant is not placed under paragraph (a)(1) of 
this section, the agency must extend reemployment rights, based on the 
agency's need, for assignment outside the competitive area. The employee 
is entitled to a position, for which qualified and eligible, at the same 
grade or level as the position last held in the agency. Where necessary, 
reduction-in-force procedures shall be applied in determining the 
position to which the employee has a right. The applicant shall be 
considered an employee for the purpose of applying the reduction-in-
force procedures.
    (b) Employee option. Before the competitive area is extended under 
paragraph (a)(3) of this section, an employee who cannot be placed under 
paragraph (a)(1) of this section in the same competitive area at the 
grade or level as the position last held, is entitled, if the employee 
elects, to reemployment in a position at a lower grade or level 
identified under the same conditions and procedures as paragraph (a)(1) 
of this section.
    (c) Agency option. At any stage in the process, the agency has the 
option to satisfy the employee's right to reemployment by offering a 
vacant position which, under reduction-in-force regulations, is in 
accord with the employee's rights. Also, with the employee's consent, 
right to reemployment can be met by placement in a vacant position, for 
which the employee is qualified according to agency determination and 
need, outside the organizational or geographic area of entitlement, 
either at the appropriate grade or at a grade other than the one to 
which entitled.
    (d) Basic position entitlement in the Senior Executive Service. (1) 
On reemployment, an employee (who meets the requirements to 
Sec. 352.803(c)(3)) is entitled to be given a career appointment in the 
Senior Executive Service the employee's former or successor agency.
    (2) The employee may be assigned to any position in the Senior 
Executive Service for which he/she meets the qualifications 
requirements.
    (3) The employee may elect to accept reemployment in a position 
outside the Senior Executive Service. Such placement would be subject to 
the provisions of paragraphs (b) and (c) of this section.

[[Page 275]]



Sec. 352.806  Return to Federal employment.

    (a) Conditions: Reemployment rights may be exercised only under the 
following conditions. The employees must apply in writing to their 
former or successor agency:
    (1) No less that 30 calendar days before completion of the specified 
period of service with the Institute; or
    (2) No more than 30 calendar days after involuntary separation from 
the Institute; or
    (3) No more than 30 calendar days after separation based on personal 
hardship or other special circumstances with the consent of Institute 
and former employing agency.
    (b) An agency must act on the former employee's request for 
reemployment within 30 calendar days of receipt thereof, i.e., the 
agency must provide the employee with a written notice stating the 
agency's decision whether to reemploy and the position being offered, if 
the employee is to be reemployed.
    (c) Termination of reemployment rights. A former employee's 
entitlement to reemployment terminates for:
    (1) Failure to apply, except for good cause shown, for reemployment 
within the time limits stated in paragraph (a) of this section;
    (2) Resignation from the Institute without the consent of the 
Institute or the former employing agency; or
    (3) Failure to accept, within 15 workdays of receipt thereof, an 
offer of reemployment under Sec. 352.803 which is determined to be a 
proper offer of reemployment by the employing agency and by Merit 
Systems Protection Board (MSPB), if appealed.



Sec. 352.807  Appeals.

    An employee may appeal to MSPB, under the provisions of the Board's 
regulations, an agency's decision on his or her request for reemployment 
which he or she believes is in violation of this subpart.



   Subpart I--Reemployment Rights After Service With the Panama Canal 
                               Commission

    Authority: Pub. L. 96-70, 22 U.S.C. 3643.

    Source: 50 FR 13963, Apr. 9, 1985, unless otherwise noted.



Sec. 352.901  Purpose.

    This subpart implements section 1203 of the Panama Canal Act of 
1979, which provides for the detail or transfer of Federal employees to 
the Panama Canal Commission with reemployment rights in the former 
agency.



Sec. 352.902  Definitions.

    In this subpart--
    Act means the Panama Canal Act of 1979 (22 U.S.C. 3601 et seq.).
    Agency means an Executive agency, the United States Postal Service, 
and the Smithsonian Institution.
    Commission means the Panama Canal Commission as established by 
section 1101 of the Act.
    Competitive area is defined in Sec. 351.402 of part 351 of this 
chapter.
    Competitive level is defined in Sec. 351.403(a) of part 351 of this 
chapter.
    Detail is the assignment of loan of an employee to the Commission 
without the employee's transfer. The employee remains an employee of the 
agency in which employed and continues to be the incumbent of the 
position from which detailed.
    Term of employment means the period of employment specified in the 
written agreement between the Commission and the agency for the transfer 
of an employee or extension of transfer.
    Transfer means the change in appointment of an employee from an 
agency to a new appointment with the Commission.



Sec. 352.903  Effecting a detail or transfer.

    (a) Authority to approve. The head of an agency may enter into 
written agreements with the Commission for the detail or voluntary 
transfer, for set periods of time, of agency employees to the Commission 
in accordance with section 3643 of title 22, United States Code, and 
this subpart. Refusal by the head of the agency to agree to a detail or 
transfer, or extension of detail or transfer, is not reviewable by the 
Office of Personnel Management or appealable.
    (b) Employee notice. The agency will furnish the employee with a 
copy of

[[Page 276]]

the written agreement which must contain a statement of the time limits 
for exercising reemployment rights and the conditions of reemployment.



Sec. 352.904  Eligibility.

    This subpart covers only eligible employees transferred or detailed 
to Commission positions with duty stations in the Republic of Panama.
    (a) Employees eligible. Except as provided in paragraph (b) of this 
section, an employee serving in a position in an agency under any of the 
following appointments may be granted rights under this subpart:
    (1) Career or career-conditional appointment in the competitive 
service;
    (2) An appointment without a specific time limit in the excepted 
service; or
    (3) A career appointment in the Senior Executive Service.
    (b) Employee not eligible. The following employees are not eligible 
under this subpart:
    (1) An employee who is serving a trial period or probationary period 
under an initial appointment;
    (2) An employee who has received a proposed notice of involuntary 
separation (e.g., separation based on reduction in force, adverse 
action, or performance);
    (3) An employee who is serving in a position excepted from the 
competitive service under Schedule C of part 213 of this chapter, or 
under Presedential appointment; or
    (4) An employee whose resignation has been accepted for reasons 
other than to accept employment with the Commission.

[50 FR 13963, Apr. 9, 1985, as amended at 57 FR 10125, Mar. 24, 1992]



Sec. 352.905  Employees on detail.

    (a) An employee detailed to the Commission is subject to the same 
conditions of employment at his or her employing agency as if the 
employee has not been detailed.
    (b) The Commission and the employing agency will arrange for the 
termination of a detail and the agency will return the employee to his 
or her former position or an equivalent one as provided in Sec. 352.908 
(b) and (c).



Sec. 352.906  Termination of transfer.

    At the conclusion of a term of employment agreed upon as provided in 
Sec. 352.903, employment with the Commission may be terminated without 
regard to parts 351, 359, 432, 752, or 771 of this chapter.



Sec. 352.907  Exercise or termination of reemployment rights.

    (a) Exercise. An individual who has been transferred under this 
subpart to the Commission and wishes to be reemployed must apply in 
writing to the former employing agency. The time limits for application 
for reemployment are--
    (1) No later than 30 calendar days after the expiration of the term 
of employment with the Commission;
    (2) No later than 30 calendar days after receipt of notice of 
involuntary separation during the term of employment with the 
Commission; or
    (3) No later than 30 calendar days after resignation with the 
consent of the Commission.
    (b) Termination. Reemployment rights terminate if the individual--
    (1) Fails to apply within the time limits stated in paragraph (a) of 
this section;
    (2) Resigns without the written consent of the Commission; or
    (3) Within 10 calendar days, fails to accept an offer of 
reemployment made under Sec. 352.908 that is determined to be a proper 
offer of reemployment by the reemploying agency or by the Merit Systems 
Protection Board on appeal.



Sec. 352.908  Agency obligation.

    (a) Time limits. An employee is to be reemployed by the reemploying 
agency as promptly as possible, but not later than 30 calendar days 
after receipt of the reemployment application or on termination of the 
term of employment with the Commission, whichever is later.
    (b) Conditions. An employee will be reemployed or returned from 
detail without loss of pay, seniority, or other rights or benefits to 
which the employee would have been entitled had he or she not been 
transferred or detailed. An employee in the Senior Executive Service 
will be reemployed or returned at not less than the rate at which paid

[[Page 277]]

immediately before the transfer or detail. An employee who is reemployed 
is not eligible for grade or pay retention under part 536 of this 
chapter based on a grade or rate of pay attained while employed by the 
Commission.
    (c) Position to which entitled. (1) If the function with which the 
employee's former position was identified has been transferred, the 
employee's right is to a position in the gaining agency or activity.
    (2) An employee whose right is to a position in the Senior Executive 
Service may be reemployed in or returned to any Senior Executive Service 
position in the former agency for which qualified.
    (3) All other employees are entitled to be reemployed in or returned 
to a position at the same grade or level and in the same competitive 
area as the position last held in the former agency. If the reemployment 
would cause the separation or demotion of another employee, the 
applicant should be considered an employee for the purpose of applying 
the reduction-in-force regulations to determine to what, if any, 
position the employee is entitled. If the employee is not placed at the 
former grade or level, the agency must extend consideration beyond the 
competitive area. Responsibility for reemployment is agencywide.
    (4) Reemployment may be at a higher grade than that to which the 
employee is entitled if all appropriate standards and requirements are 
satisfied and if this will not cause the displacement of another 
employee.
    (5) The reemployment obligation may be satisfied by placement in any 
position within the agency that is acceptable to the employee.
    (d) Agency refusal to reemploy. An agency may refuse to reemploy 
under this section only when the employee was separated from the 
Commission for serious cause showing unsuitability for reemployment.



Sec. 352.909  Appeals.

    (a) If an agency denies reemployment to an applicant who claims 
reemployment rights under this subpart, the agency must notify the 
applicant in writing of that denial and its reasons. In the same notice, 
the agency will inform the applicant of the right to appeal to the Merit 
Systems Protection Board under the provisions of the Board's 
regulations. The agency must comply with the provisions of Sec. 1201.21 
of this title.
    (b)(1) When an agency has reemployed or returned an employee, it 
will advise the employee of the right of appeal if he or she considers 
the reemployment or return not to be in accordance with the Act and this 
subpart.
    (2) An employee in a bargaining unit covered by a negotiated 
grievance procedure that does not exclude this matter must use the 
negotiated grievance procedure.
    (3) An employee to whom paragraph (b)(2) of this section does not 
apply is entitled to appeal to the Merit Systems Protection Board under 
the provisions of the Board's regulations. The agency must comply with 
the provisions of Sec. 1201.21 of this title.



PART 353--RESTORATION TO DUTY FROM UNIFORMED SERVICE OR COMPENSABLE INJURY--Table of Contents




                      Subpart A--General Provisions

Sec.
353.101 Scope.
353.102 Definitions.
353.103 Persons covered.
353.104 Notification of rights and obligations.
353.105 Maintenance of records.
353.106 Personnel actions during employee's absence.
353.107 Service credit upon reemployment.
353.108 Effect of performance and conduct on restoration rights.
353.109 Transfer of function to another agency.
353.110 OPM placement assistance.

                      Subpart B--Uniformed Service

353.201 Introduction.
353.202 Discrimination and acts of reprisal prohibited.
353.203 Length of service.
353.204 Notice to employer.
353.205 Return to duty and application for reemployment.
353.206 Documentation upon return.
353.207 Position to which restored.
353.208 Use of paid leave during uniformed service.
353.209 Retention protections.
353.210 Department of Labor assistance to applicants and employees.

[[Page 278]]

353.211 Appeal rights.

                      Subpart C--Compensable Injury

353.301 Restoration rights.
353.302 Retention protections.
353.303 Restoration rights of TAPER employees.
353.304 Appeals to the Merit Systems Protection Board.

    Authority: 38 U.S.C. 4301 et. seq., and 5 U.S.C. 8151.

    Source: 60 FR 45652, Sept. 1, 1995, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 353.101  Scope.

    The rights and obligations of employees and agencies in connection 
with leaves of absence or restoration to duty following uniformed 
service under 38 U.S.C. 4301 et. seq., and restoration under 5 U.S.C. 
8151 for employees who sustain compensable injuries, are subject to the 
provisions of this part. Subpart A covers those provisions that are 
common to both of the above groups of employees. Subpart B deals with 
provisions that apply just to uniformed service and subpart C covers 
provisions that pertain just to injured employees.



Sec. 353.102  Definitions.

    In this part:
    Agency means.
    (1) With respect to restoration following a compensable injury, any 
department, independent establishment, agency, or corporation in the 
executive branch, including the U.S. Postal Service and the Postal Rate 
Commission, and any agency in the legislative or judicial branch; and
    (2) With respect to uniformed service, an executive agency as 
defined in 5 U.S.C. 105 (other than an intelligence agency referred to 
in 5 U.S.C. 2302(a)(2)(C)(ii), including the U.S. Postal Service and 
Postal Rate Commission, a nonappropriated fund instrumentality of the 
United States, or a military department as defined in 5 U.S.C. 102. In 
the case of a National Guard technician employed under 32 U.S.C. 709, 
the employing agency is the adjutant general of the State in which the 
technician is employed.
    Fully recovered means compensation payments have been terminated on 
the basis that the employee is able to perform all the duties of the 
position he or she left or an equivalent one.
    Injury means a compensable injury sustained under the provisions of 
5 U.S.C. chapter 81, subchapter 1, and includes, in addition to 
accidental injury, a disease proximately caused by the employment.
    Leave of absence means military leave, annual leave, without pay 
(LWOP), furlough, continuation of pay, or any combination of these.
    Military leave means paid leave provided to Reservists and members 
of the National Guard under 5 U.S.C. 6323.
    Notice means any written or verbal notification of an obligation or 
intention to perform service in the uniformed services provided to an 
agency by the employee performing the service or by the uniformed 
service in which the service is to be performed.
    Partially recovered means an injured employee, though not ready to 
resume the full range of his or her regular duties, has recovered 
sufficiently to return to part-time or light duty or to another position 
with less demanding physical requirements. Ordinarily, it is expected 
that a partially recovered employee will fully recover eventually.
    Physically disqualified means that:
    (1)(i) For medical reasons the employee is unable to perform the 
duties of the position formerly held or an equivalent one, or
    (ii) There is a medical reason to restrict the individual from some 
or all essential duties because of possible incapacitation (for example, 
a seizure) or because of risk of health impairment (such as further 
exposure to a toxic substance for an individual who has already shown 
the effects of such exposure).
    (2) The condition is considered permanent with little likelihood for 
improvement or recovery.
    Reasonable efforts in the case of actions required by an agency for 
a person returning from uniformed service means actions, including 
training, that do not place an undue hardship on the agency.
    Service in the uniformed services means the performance of duty on a 
voluntary or involuntary basis in a uniformed service under competent 
authority and

[[Page 279]]

includes active duty, active duty for training, initial active duty for 
training, inactive duty training, full-time National Guard duty, and a 
period for which a person is absent from employment for the purpose of 
examination to determine fitness to perform such duty.
    Status means the particular attributes of a specific position. This 
includes the rank or responsibility of the position, its duties, working 
conditions, pay, tenure, and seniority.
    Undue hardship means actions taken by an agency requiring 
significant difficulty or expense, when considered in light of--
    (1) The nature and cost of actions needed under this part;
    (2) The overall financial resources of the facility involved in 
taking the action; the number of persons employed at the facility; the 
effect on expenses and resources, or the impact otherwise of the action 
on the operation of the facility; and
    (3) The overall size of the agency with respect to the number of 
employees, the number, type, and location of its facilities and type of 
operations, including composition, structure, and functions of the work 
force.
    Uniformed services means the Armed Forces, the Army National Guard 
and the Air National Guard when engaged in active duty for training, 
inactive duty training, or full-time National Guard duty, the 
Commissioned Corps of the Public Health Service, and any other category 
of persons designated by the President in time of war or emergency.



Sec. 353.103  Persons covered.

    (a) The provisions of this part pertaining to the uniformed services 
cover each agency employee who enters into such service regardless of 
whether the employee is located in the United States or overseas. 
However, an employee serving under a time-limited appointment completes 
any unexpired portion of his or her appointment upon return from 
uniformed service.
    (b) The provisions of this part concerning employee injury cover a 
civil officer or employee in any branch of the Government of the United 
States, including an officer or employee of an instrumentally wholly 
owned by the United States, who was separated or furloughed from an 
appointment without time limitation, or from a temporary appointment 
pending establishment of a register (TAPER) as a result of a compensable 
injury; but do not include--
    (1) A commissioned officer of the Regular Corps of the Public Health 
Service;
    (2) A commissioned officer of the Reserve Corps of the Public Health 
Service on active duty; or
    (3) A commissioned officer of the National Oceanic and Atmospheric 
Administration.

[60 FR 45652, Sept. 1, 1995, as amended at 64 FR 31487, June 11, 1999]



Sec. 353.104  Notification of rights and obligations.

    When an agency separates, grants a leave of absence, restores or 
fails to restore an employee because of uniformed service or compensable 
injury, it shall notify the employee of his or her rights, obligations, 
and benefits relating to Government employment, including any appeal and 
grievance rights. However, regardless of notification, an employee is 
still required to exercise due diligence in ascertaining his or her 
rights, and to seek reemployment within the time limits provided by 
chapter 43 of title 38, United States Code, for restoration after 
uniformed service, or as soon as he or she is able after a compensable 
injury.



Sec. 353.105  Maintenance of records.

    Each agency shall identify the position vacated by an employee who 
is injured or leaves to enter uniformed service. It shall also maintain 
the necessary records to ensure that all such employees are preserved 
the rights and benefits granted by law and this part.



Sec. 353.106  Personnel actions during employee's absence.

    (a) An employee absent because of service in the uniformed services 
is to be carried on leave without pay unless the employee elects to use 
other leave or freely and knowingly provides written notice of intent 
not to return to a position of employment with the agency, in which case 
the employee can be

[[Page 280]]

separated. (Note: A separation under this provision affects only the 
employee's seniority while gone; it does not affect his or her 
restoration rights.)
    (b) An employee absent because of compensable injury may be carried 
on leave without pay or separated unless the employee elects to use sick 
or annual leave.
    (c) Agency promotion plans must provide a mechanism by which 
employees who are absent because of compensable injury or uniformed 
service can be considered for promotion. In addition, agencies have an 
obligation to consider employees absent on military duty for any 
incident or advantage of employment that they may have been entitled to 
had they not been absent. This is determined by:
    (1) Considering whether the ``incident or advantage'' is one 
generally granted to all employees in that workplace and whether it was 
denied solely because of absence for military service;
    (2) Considering whether the person absent on military duty was 
treated the same as if the person had remained at work; and
    (3) Considering whether it was reasonably certain that the benefit 
would have accrued to the employee but for the absence for military 
service.

[60 FR 45652, Sept. 1, 1995, as amended at 64 FR 31487, June 11, 1999]



Sec. 353.107  Service credit upon reemployment.

    Upon reemployment, an employee absent because of uniformed service 
or compensable injury is generally entitled to be treated as though he 
or she had never left. This means that a person who is reemployed 
following uniformed service or full recovery from compensable injury 
receives credit for the entire period of the absence for purposes of 
rights and benefits based upon seniority and length of service, 
including within-grade increases, career tenure, completion of 
probation, leave rate accrual, and severance pay.



Sec. 353.108  Effect of performance and conduct on restoration rights.

    The laws covered by this part do not permit an agency to circumvent 
the protections afforded by other laws to employees who face the 
involuntary loss of their positions. Thus, an employee may not be denied 
restoration rights because of poor performance or conduct that occurred 
prior to the employee's departure for compensable injury or uniformed 
service. However, separation for cause that is substantially unrelated 
to the injury or to the performance of uniformed service negates 
restoration rights. Additionally, if during the period of injury or 
uniformed service the employee's conduct is such that it would 
disqualify him or her for employment under OPM or agency regulations, 
restoration rights may be denied.



Sec. 353.109  Transfer of function to another agency.

    If the function of an employee absent because of uniformed service 
or compensable injury is transferred to another agency, and if the 
employee would have been transferred with the function under part 351 of 
this chapter had he or she not been absent, the employee is entitled to 
be placed in a position in the gaining agency that is equivalent to the 
one he or she left. It shall also assume the obligation to restore the 
employee in accordance with law and this part.



Sec. 353.110  OPM placement assistance.

    (a) Employee returning from uniformed service. (1) OPM will offer 
placement in the executive branch to the following categories of 
employees upon notification by the agency and application by the 
employee: (Such notification should be sent to the Associate Director 
for Employment, OPM, 1900 E Street, NW., Washington, DC 20415.)
    (i) Executive branch employees (other than an employee of an 
intelligence agency) when OPM determines that:
    (A) their agencies no longer exist and the functions have not been 
transferred, or;
    (B) it is otherwise impossible or unreasonable for their former 
agencies to place them;
    (ii) Legislative and judicial branch employees when their employers 
determine that it is impossible or unreasonable to reemploy them;

[[Page 281]]

    (iii) National Guard technicians when the Adjutant General of a 
State determines that it is impossible or unreasonable to reemploy a 
technician otherwise eligible for restoration under 38 U.S.C. 4304 and 
4312 (pertaining to character and length of service), and the technician 
is a noncareer military member who was separated invountarily from the 
Guard for reasons beyond his or her control; and
    (iv) Employees of the intelligence agencies (defined in 5 U.S.C. 
2302(a)(2)(C)(ii)) when their agencies determine that it is impossible 
or unreasonable to reemploy them.
    (2) OPM will determine if a vacant position equivalent (in terms of 
pay, grade, and status) to the one the individual left exists, for which 
the individual is qualified, in the commuting area in which he or she 
was employed immediately before entering the uniformed services. If such 
a vacancy exists, OPM will order the agency to place the individual. If 
no such position is available, the individual may elect to be placed in 
a lesser position in the commuting area, or OPM will attempt to place 
the individual in an equivalent position in another geographic location 
determined by OPM. If the individual declines an offer of equivalent 
employment, he or she has no further restoration rights.
    (b) Employee returning from compensable injury. OPM will provide 
placement assistance to an employee with restoration rights in the 
executive, legislative, or judicial branches who cannot be placed in his 
or her former agency and who either has competitive status or is 
eligible to acquire it under 5 U.S.C. 3304(C). If the employee's agency 
is abolished and its functions are not transferred, or it is not 
possible for the employee to be restored in his or her former agency, 
the employee is eligible for placement assistance under the Interagency 
Career Transition Assistance Plan (ICTAP) under part 330, subpart G, of 
this chapter. This paragraph does not apply to an employee serving under 
a temporary appointment pending establishment of a register (TAPER).

[60 FR 45652, Sept. 1, 1995, as amended at 64 FR 31487, June 11, 1999; 
66 FR 29897, June 4, 2001]



                      Subpart B--Uniformed Service



Sec. 353.201  Introduction.

    The Uniformed Services Employment and Reemployment Rights Act of 
1994 revised and strengthened the existing Veterans' Reemployment Rights 
law, made the Department of Labor responsible for investigating employee 
complaints, required OPM to place certain returning employees in other 
agencies, established a separate restoration rights program for 
employees of the intelligence agencies, and altered the appeals rights 
process. The new law applies to persons exercising restoration rights on 
or after December 12, 1994.



Sec. 353.202  Discrimination and acts of reprisal prohibited.

    A person who seeks or holds a position in the Executive branch may 
not be denied hiring, retention in employment, or any other incident or 
advantage of employment because of any application, membership, or 
service in the uniformed services. Furthermore, an agency may not take 
any reprisal against an employee for taking any action to enforce a 
protection, assist or participate in an investigation, or exercise any 
right provided for under chapter 43 of title 38, United States Code.



Sec. 353.203  Length of service.

    (a) Counting service after the effective date of USERRA (12/12/94). 
To be entitled to restoration rights under this part, cumulative service 
in the uniformed services while employed by the Federal Government may 
not exceed 5 years. However, the 5-year period does not include any 
service--
    (1) That is required beyond 5 years to complete an initial period of 
obligated service;
    (2) During which the individual was unable to obtain orders 
releasing him or her from service in the uniformed services before 
expiration of the 5-year period, and such inability was through no fault 
of the individual;
    (3) Performed as required pursuant to 10 U.S.C. 10147, under 32 
U.S.C. 502(a) or 503, or to fulfill additional training requirements 
determined and certified in writing by the Secretary of the military 
department concerned to be necessary for professional development or

[[Page 282]]

for completion of skill training or retraining;
    (4) Performed by a member of a uniformed service who is:
    (i) Ordered to or retained on active duty under sections 12301(a), 
12301(g), 12302, 12304, 12305, or 688 of title 10, United States Code, 
or under 14 U.S.C. 331, 332, 359, 360, 367, or 712;
    (ii) Ordered to or retained on active duty (other than for training) 
under any provision of law during a war or during a national emergency 
declared by the President or the Congress, as determined by the 
Secretary concerned.
    (iii) Ordered to active duty (other than for training) in support, 
as determined by the Secretary of the military department concerned, of 
an operational mission for which personnel have been ordered to active 
duty under 10 U.S.C. 12304;
    (iv) Ordered to active duty in support, as determined by the 
Secretary of the military department concerned, of a critical mission or 
requirement of the uniformed services, or
    (v) Called into Federal service as a member of the National Guard 
under chapter 15 or under section 12406 of title 10, United States Code.
    (b) Counting service prior to the effective date of USERRA. In 
determining the 5-year total that may not be exceeded for purposes of 
exercising restoration rights, service performed prior to December 12, 
1994, is considered only to the extent that it would have counted under 
the previous law (the Veterans' Reemployment Rights statute). For 
example, the service of a National Guard technician who entered on an 
Active Guard Reserve (AGR) tour under section 502(f) of title 32, United 
States Code, was not counted toward the 4-year time limit under the 
previous statute because it was specifically considered active duty for 
training. However, title 32, section 502(f) AGR service is not exempt 
from the cumulative time limits allowed under USERRA and service after 
the effective date counts under USERRA rules. Thus, if a technician was 
on a 32 U.S.C. 502(f) AGR tour on October 13, 1994, (the date USERRA was 
signed into law), but exercised restoration rights after December 11, 
1994, (the date USERRA became fully effective), AGR service prior to 
December 12 would not count in computing the 5-year total, but all 
service beginning with that date would count.
    (c) Nature of Reserve service and resolving conflicts. An employee 
who is a member of the Reserve or National Guard has a dual obligation--
to the military and to his or her employer. Given the nature of the 
employee's service obligation, some conflict with job demands is often 
unavoidable and a good-faith effort on the part of both the employee and 
the agency is needed to minimize conflict and resolve differences. Some 
accommodation may be necessary by both parties. Most Reserve component 
members are required, as a minimum, to participate in drills for 2 days 
each month and in 2 weeks of active duty for training per year. But some 
members are required to participate in longer or more frequent training 
tours. USERRA makes it clear that the timing, frequency, duration, and 
nature of the duty performed is not an issue so long as the employee 
gave proper notice, and did not exceed the time limits specified. 
However, to the extent that the employee has influence upon the timing, 
frequency, or duration of such training or duty, he or she is expected 
to use that influence to minimize the burden upon the agency. The 
employee is expected to provide the agency with as much advance notice 
as possible whenever military duty or training will interfere with 
civilian work. When a conflict arises between the Reserve duty and the 
legitimate needs of the employer, the agency may contact appropriate 
military authorities to express concern. Where the request would require 
the employee to be absent from work for an extended period, during times 
of acute need, or when, in light of previous leaves, the requested leave 
is cumulatively burdensome, the agency may contact the military 
commander of the employee's military unit to determine if the military 
duty could be rescheduled or performed by another member. If the 
military authorities determine that the military duty cannot be 
rescheduled or cancelled, the agency is required to permit the employee 
to perform his or her military duty.

[[Page 283]]

    (d) Mobilization authority. By law, members of the Selected Reserve 
(a component of the Ready Reserve), can be called up under a 
presidential order for purposes other than training for as long as 270 
days. If the President declares a national emergency, the remainder of 
the Ready Reserve--the Individual Ready Reserve and the Inactive 
National Guard--may be called up. The Ready Reserve as a whole is 
subject to as much as 24 consecutive months of active duty in a national 
emergency declared by the President.

[60 FR 45652, Sept. 1, 1995, as amended at 64 FR 31487, June 11, 1999]



Sec. 353.204  Notice to employer.

    To be entitled to restoration rights under this part, an employee 
(or an appropriate officer of the uniformed service in which service is 
to be performed) must give the employer advance written or verbal notice 
of the service except that no notice is required if it is precluded by 
military necessity or, under all relevant circumstances, the giving of 
notice is otherwise impossible or unreasonable.



Sec. 353.205  Return to duty and application for reemployment.

    Periods allowed for return to duty are based on the length of time 
the person was performing service in the uniformed services, as follows:
    (a) An employee whose uniformed service was for less than 31 days, 
or who was absent for the purpose of an examination to determine fitness 
for the uniformed services, is required to report back to work not later 
than the beginning of the first regularly scheduled work day on the 
first full calendar day following completion of the period of service 
and the expiration of 8 hours after a period allowing for the safe 
transportation of the employee from the place of service to the 
employee's residence, or as soon as possible after the expiration of the 
8-hour period if reporting within the above period is impossible or 
unreasonable through no fault of the employee.
    (b) If the service was for more than 30 but less than 181 days, the 
employee must submit an application for reemployment with the agency not 
later than 14 days after completing the period of service. (If 
submitting the application is impossible or unreasonable through no 
fault of the individual, it must be submitted the next full calendar day 
when it becomes possible to do so.)
    (c) If the period of service was for more than 180 days, the 
employee must submit an application for reemployment not later than 90 
days after completing the period of service.
    (d) An employee who is hospitalized or convalescing from an injury 
or illness incurred in, or aggravated during uniformed service is 
required to report for duty at the end of the period that is necessary 
for the person to recover, based on the length of service as discussed 
in paragraphs (a), (b), and (c) of this section, except that the period 
of recovery may not exceed 2 years (extended by the minimum time 
required to accommodate circumstances beyond the employee's control 
which make reporting within the period specified impossible or 
unreasonable).
    (e) A person who does not report within the time limits specified 
does not automatically forfeit restoration rights, but, rather, is 
subject to whatever policy and disciplinary action the agency would 
normally apply for a similar absence without authorization.



Sec. 353.206  Documentation upon return.

    Upon request, a returning employee who was absent for more than 30 
days, or was hospitalized or convalescing from an injury or illness 
incurred in or aggravated during the performance of service in the 
uniformed services, must provide the agency with documentation that 
establishes the timeliness of the application for reemployment, and 
length and character of service. If documentation is unavailable, the 
agency must restore the employee until documentation becomes available.



Sec. 353.207  Position to which restored.

    (a) Timing. An employee returning from the uniformed services 
following an absence of more than 30 days is entitled to be restored as 
soon as possible after making application, but in no event later than 30 
days after receipt of the application by the agency.
    (b) Nondisabled. If the employee's uniformed service was for less 
than 91

[[Page 284]]

days, he or she must be employed in the position for which qualified 
that he or she would have attained if continuously employed. If not 
qualified for this position after reasonable efforts by the agency to 
qualify the employee, he or she is entitled to be placed in the position 
he or she left. For service of 91 days or more, the agency has the 
option of placing the employee in a position of like seniority, status, 
and pay. (Note: Upon reemployment, a term employee completes the 
unexpired portion of his or her original appointment.) If unqualified 
(for any reason other than disability incurred in or aggravated during 
service in the uniformed services) after reasonable efforts by the 
agency to qualify the employee for such position or the position the 
employee left, he or she must be restored to any other position of 
lesser status and pay for which qualified, with full seniority.
    (c) Disabled. An employee with a disability incurred in or 
aggravated during uniformed service and who, after reasonable efforts by 
the agency to accommodate the disability, is entitled to be placed in 
another position for which qualified that will provide the employee with 
the same seniority, status, and pay, or the nearest approximation 
consistent with the circumstances in each case. The agency is not 
required to reemploy a disabled employee if, after making due efforts to 
accommodate the disability, such reemployment would impose an undue 
hardship on the agency.
    (d) Two or more persons entitled to restoration in the same 
position. If two or more persons are entitled to restoration in the same 
position, the one who left the position first has the prior right to 
restoration in that position. The other employee(s) is entitled to be 
placed in a position as described in paragraphs (b) and (c) of this 
section.
    (e) Relationship to an entitlement based on veterans' preference. An 
employee's right to restoration under this part does not entitle the 
person to retention, preference, or displacement rights over any person 
with a superior claim based on veterans' preference.



Sec. 353.208  Use of paid leave during uniformed service.

    An employee performing service with the uniformed services must be 
permitted, upon request, to use any accrued annual leave (or sick leave, 
if appropriate), or military leave during such service. (Note, however, 
that under 5 U.S.C. 6323, military leave cannot be used for inactive 
duty, e.g., drills.)

[60 FR 45652, Sept. 1, 1995, as amended at 64 FR 31487, June 11, 1999]



Sec. 353.209  Retention protections.

    (a) During uniformed service. An employee may not be demoted or 
separated (other than military separation) while performing duty with 
the uniformed services except for cause. (Reduction in force is not 
considered ``for cause'' under this subpart.) He or she is not a 
``competing employee'' under Sec. 351.404 of this chapter. If the 
employee's position is abolished during such absence, the agency must 
reassign the employee to another position of like status, and pay.
    (b) Upon reemployment. Except in the case of an employee under time-
limited appointment who finishes out the unexpired portion of his or her 
appointment upon reemployment, an employee reemployed under this subpart 
may not be discharged, except for cause--
    (1) If the period of uniformed service was more than 180 days, 
within 1 year; and
    (2) If the period of uniformed service was more than 30 days, but 
less than 181 days, within 6 months.



Sec. 353.210  Department of Labor assistance to applicants and employees.

    USERRA requires the Department of Labor's Veterans' Employment and 
Training Service [VETS] to provide employment and reemployment 
assistance to any Federal employee or applicant who requests it. VETS 
staff will attempt to resolve employment disputes brought to 
investigate. If dispute resolution proves unsuccessful, VETS will, at 
the request of the employee, refer the matter to the Office of the

[[Page 285]]

Special Counsel for representation before the Merit Systems Protection 
Board (MSPB).

[64 FR 31487, June 11, 1999]



Sec. 353.211  Appeal rights.

    An individual who believes an agency has not complied with the 
provisions of law and this part relating to the employment or 
reemployment of the person by the agency may--
    (a) File a complaint with the Department of Labor, as noted in 
Sec. 353.210, or
    (b) Appeal directly to MSPB if the individual chooses not to file a 
complaint with the Department of Labor, or is informed by either Labor 
or the Office of the Special Counsel that they will not pursue to the 
case. However, National Guard technicians do not have the right to 
appeal to MSPB a denial of reemployment rights by the Adjutant General. 
Technicians may file complaints with the appropriate district court in 
accordance with 38 U.S.C. 4323 (USERRA).

[60 FR 45652, Sept. 1, 1995, as amended at 64 FR 31487, June 11, 1999]



                      Subpart C--Compensable Injury



Sec. 353.301  Restoration rights.

    (a) Fully recovered within 1 year. An employee who fully recovers 
from a compensable injury within 1 year from the date eligibility for 
compensation began (or from the time compensable disability recurs if 
the recurrence begins after the employee resumes regular full-time 
employment with the United States), is entitled to be restored 
immediately and unconditionally to his or her former position or an 
equivalent one. Although these restoration rights are agencywide, the 
employee's basic entitlement is to the former position or equivalent in 
the local commuting area the employee left. If a suitable vacancy does 
not exist, the employee is entitled to displace an employee occupying a 
continuing position under temporary appointment or tenure group III. If 
there is no such position in the local commuting area, the agency must 
offer the employee a position (as described above) in another location. 
This paragraph also applies when an injured employee accepts a lower-
grade position in lieu of separation and subsequently fully recovers. A 
fully recovered employee is expected to return to work immediately upon 
the cessation of compensation.
    (b) Fully recovered after 1 year. An employee who separated because 
of a compensable injury and whose full recovery takes longer than 1 year 
from the date eligibility for compensation began (or from the time 
compensable disability recurs if the recurrence begins after the injured 
employee resumes regular full-time employment with the United States), 
is entitled to priority consideration, agencywide, for restoration to 
the position he or she left or an equivalent one provided he or she 
applies for reappointment within 30 days of the cessation of 
compensation. Priority consideration is accorded by entering the 
individual on the agency's reemployment priority list for the 
competitive service or reemployment list for the excepted service. If 
the individual cannot be placed in the former commuting area, he or she 
is entitled to priority consideration for an equivalent position 
elsewhere in the agency. (See parts 302 and 330 of this chapter for more 
information on how this may be accomplished for the excepted and 
competitive services, respectively.) This subpart also applies when an 
injured employee accepts a lower-graded position in lieu of separation 
and subsequently fully recovers.
    (c) Physically disqualified. An individual who is physically 
disqualified for the former position or equivalent because of a 
compensable injury, is entitled to be placed in another position for 
which qualified that will provide the employee with the same status, and 
pay, or the nearest approximation thereof, consistent with the 
circumstances in each case. This right is agencywide and applies for a 
period of 1 year from the date eligibility for compensation begins. 
After 1 year, the individual is entitled to the rights accorded 
individuals who fully or partially recover, as applicable.
    (d) Partially recovered. Agencies must make every effort to restore 
in the local commuting area, according to the circumstances in each 
case, an individual who has partially recovered

[[Page 286]]

from a compensable injury and who is able to return to limited duty. At 
a minimum, this would mean treating these employees substantially the 
same as other handicapped individuals under the Rehabilitation Act of 
1973, as amended. (See 29 U.S.C. 791(b) and 794.) If the individual 
fully recovers, he or she is entitled to be considered for the position 
held at the time of injury, or an equivalent one. A partially recovered 
employee is expected to seek reemployment as soon as he or she is able.



Sec. 353.302  Retention protections.

    An injured employee enjoys no special protection in a reduction in 
force. Separation by reduction in force or for cause while on 
compensation means the individual has no restoration rights.



Sec. 353.303  Restoration rights of TAPER employees.

    An employee serving in the competitive service under a temporary 
appointment pending establishment of a register (TAPER) under 
Sec. 316.201 of this chapter (other than an employee serving in a 
position classified above GS-15), is entitled to be restored to the 
position he or she left or an equivalent one in the same commuting area.



Sec. 353.304  Appeals to the Merit Systems Protection Board.

    (a) Except as provided in paragraphs (b) and (c) of this section, an 
injured employee or former employee of an agency in the executive branch 
(including the U.S. Postal Service and the Postal Rate Commission) may 
appeal to the MSPB an agency's failure to restore, improper restoration, 
or failure to return an employee following a leave of absence. All 
appeals must be submitted in accordance with MSPB's regulations.
    (b) An individual who fully recovers from a compensable injury more 
than 1 year after compensation begins may appeal to MSPB as provided for 
in parts 302 and 330 of this chapter for excepted and competitive 
service employees, respectively.
    (c) An individual who is partially recovered from a compensable 
injury may appeal to MSPB for a determination of whether the agency is 
acting arbitrarily and capriciously in denying restoration. Upon 
reemployment, a partially recovered employee may also appeal the 
agency's failure to credit time spent on compensation for purposes of 
rights and benefits based upon length of service.



PART 359--REMOVAL FROM THE SENIOR EXECUTIVE SERVICE; GUARANTEED PLACEMENT IN OTHER PERSONNEL SYSTEMS--Table of Contents




Subpart A [Reserved]

                      Subpart B--General Provisions

Sec.
359.201 Regulatory requirements.
359.202 Definitions.

  Subpart C--Removal of Career Appointees for Failure To Be Recertified

359.301 Coverage.
359.302 Notice requirements.
359.303 Restrictions.
359.304 Appeals.

        Subpart D--Removal of Career Appointees During Probation

359.401 General exclusions.
359.402 Removal: Unacceptable performance.
359.403 Removal: Conduct.
359.404 Removal: Conditions arising before appointment.
359.405 Removal: Reduction in force.
359.406 Restrictions.
359.407 Appeals.

 Subpart E--Removal of Career Appointees for Less Than Fully Successful 
                          Executive Performance

359.501 General.
359.502 Procedures.
359.503 Restrictions.
359.504 Appeals.

  Subpart F--Removal of Career Appointees as a Result of Reduction in 
                                  Force

359.601 General.
359.602 Agency reductions in force.
359.603 OPM priority placement.
359.604 Removal from the SES and placement rights outside the SES.
359.605 Notice requirements.
359.606 Appeals.
359.607 Records.
359.608 Transfer of function.

[[Page 287]]

                     Subpart G--Guaranteed Placement

359.701 Coverage.
359.702 Placement rights.
359.703 Responsibility for placement.
359.704 Restrictions.
359.705 Pay.

          Subpart H--Furloughs in the Senior Executive Service

359.801 Agency authority.
359.802 Definitions.
359.803 Competition.
359.804 Length of furlough.
359.805 Appeals.
359.806 Notice.
359.807 Records.

 Subpart I--Removal of Noncareer and Limited Appointees and Reemployed 
                               Annuitants

359.901 Coverage.
359.902 Conditions of removal.

    Authority: 5 U.S.C. 1302 and 3596, unless otherwise noted.

    Source: 54 FR 18876, May 3, 1989, unless otherwise noted.

Subpart A [Reserved]



                      Subpart B--General Provisions



Sec. 359.201  Regulatory requirements.

    This part contains the regulations of the Office of Personnel 
Management (OPM) that implement subchapter V of chapter 35 of title 5, 
United States Code, on the Senior Executive Service (SES).



Sec. 359.202  Definitions.

    Agency, Senior Executive Service position, senior executive, career 
appointee, limited emergency appointee, limited term appointee, and 
noncareer appointee, are defined in 5 U.S.C. 3132(a).
    Probation and probationary period mean the 1-year probation required 
by 5 U.S.C. 3393(d) upon initial career appointment to the SES.
    Reemployed annitant means an individual who is receiving an annuity 
under the Civil Service Retirement System or the Federal Employees' 
Retirement System on the basis of his or her former Federal service. A 
reemployed annuitant serves at the pleasure of the appointing authority.



  Subpart C--Removal of Career Appointees for Failure To Be Recertified

    Source: 56 FR 172, Jan. 3, 1991, unless otherwise noted.



Sec. 359.301  Coverage.

    (a) This subpart covers a career appointee who has failed to be 
recertified under Sec. 317.504 of this chapter.
    (b) This subpart does not cover, however, a career appointee who is 
serving as a reemployed annuitant. See subpart I of this part for 
removal of a reemployed annuitant.



Sec. 359.302  Notice requirements.

    (a) The agency shall notify the career appointee in writing before 
the effective date of the action. If the appointee has completed the SES 
probationary period, or was not required to serve a probationary period, 
the notice shall be at least 30 calendar days before the effective date 
of the removal.
    (b) The notice shall advise the appointee of:
    (1) The basis for the action;
    (2) The appointee's placement rights under subpart G of this part--
the position to which the appointee will be assigned shall be identified 
either in the advance notice or in a supplementary notice issued no 
later than 10 calendar days before the effective date of the action;
    (3) The appointee's right to appeal to the Merit Systems Protection 
Board, including the time limit for appeal and the office to which an 
appeal should be sent;
    (4) The effective date of the removal; and
    (5) When applicable, the appointee's eligibility for immediate 
retirement under 5 U.S.C. 8336(h) or 8414(a).



Sec. 359.303  Restrictions.

    (a) Removal from the SES under this subpart may not be made 
effective within 120 days after--
    (1) The appointment of a new agency head; or
    (2) The appointment in the agency of the career appointee's most 
immediate supervisor who--
    (i) Is noncareer appointee; and

[[Page 288]]

    (ii) Has the authority to remove the career appointee.
    (b) For purposes of this section, a noncareer appointee includes an 
SES noncareer or limited appointee, an appointee in a position filled by 
Schedule C, or an appointee in an Executive Schedule or equivalent 
position other than a career Executive Schedule or equivalent position.

[56 FR 172, Jan. 3, 1991, as amended at 58 FR 58261, Nov. 1, 1993]



Sec. 359.304  Appeals.

    Removal under this subpart is appealable to the Merit Systems 
Protection Board under 5 U.S.C. 7701. Under 5 U.S.C. 7701(c)(1)(A), the 
decision of the agency shall be sustained if it is supported by 
substantial evidence, which is defined in the Board's regulations at 5 
CFR 1201.56(c). The burden is on the agency to show that there is 
substantial evidence to support its action. Once such substantial 
evidence is demonstrated, the burden shifts to the appellant to refute 
the agency's case that there was substantial evidence or to make a 
demonstration under 5 U.S.C. 7701(c)(2).



        Subpart D--Removal of Career Appointees During Probation



Sec. 359.401  General exclusions.

    This subpart does not apply to the removal of a career appointee 
during probation when--
    (a) The action is initiated under 5 U.S.C. 1206(g) or 5 U.S.C. 7542;
    (b) The removal is effected under subpart C of this part for failure 
to be recertified; or
    (c) The appointee is a reemployed annuitant. See subpart I of this 
part for removal of a reemployed annuitant.

[56 FR 172, Jan. 3, 1991]



Sec. 359.402  Removal: Unacceptable performance.

    (a) Coverage. This section covers the removal of a career appointee 
from the SES during the probationary period for unacceptable 
performance.
    (b) Basis for action. A removal under this section need not be based 
upon a final rating under the agency's SES performance appraisal system 
established under subpart C of part 430 of this chapter. Even if a 
removal is based on such a rating, the removal action is taken under 
this section.
    (c) Procedures. The agency shall notify the appointee in writing 
before the effective date of the action. The notice shall, as a minimum-
-
    (1) State the agency's conclusions as to the inadequacies of the 
appointee's performance;
    (2) State whether the appointee has placement rights under 
Sec. 359.701 and, if so, identify the position to which the appointee 
will be assigned; and
    (3) Show the effective date of the action.



Sec. 359.403  Removal: Conduct.

    (a) Coverage. (1) This section covers the removal of a career 
appointee from the SES during the probationary period for misconduct, 
neglect of duty, malfeasance, or failure to accept a directed 
reassignment or to accompany a position in a transfer of function.
    (2) This section does not apply, however, when the appointee was 
covered under 5 U.S.C. 7511 immediately before appointment to the SES. 
In that case, the removal is subject to the provisions of part 752, 
subpart F, of this chapter.
    (b) Procedures. The agency shall notify the appointee in writing 
before the effective date of the action. The notice shall, as a minimum-
-
    (1) State the basis for the removal action (including the act(s) of 
misconduct, neglect of duty, or malfeasance if those factors are 
involved); and
    (2) Show the effective date of the action.



Sec. 359.404  Removal: Conditions arising before appointment.

    (a) Coverage. (1) This section covers the removal of a career 
appointee from the SES during the probationary period when the action is 
based in whole or in part on conditions arising before the appointment.
    (2) This section does not apply, however, when the career appointee 
was covered under 5 U.S.C. 7511 immediately before appointment to the 
SES. In that case, the removal is subject to the provisions of part 752, 
subpart F, of this chapter.

[[Page 289]]

    (b) Procedures. (1) The agency shall give the appointee an advance 
written notice stating the specific reasons for the proposed removal.
    (2) The appointee shall be given a reasonable time to reply.
    (3) The agency shall give the appointee a written decision showing 
the reasons for the action and the effective date. The decision shall be 
given to the appointee at or before the time the action will be made 
effective.



Sec. 359.405  Removal: Reduction in force.

    (a) Coverage. This section covers the removal of a career appointee 
from the SES during the probationary period under a reduction in force.
    (b) Basis for action. The appointee must have been identified for 
removal from the SES under competitive procedures established by the 
agency in accordance with the requirements of 5 U.S.C. 3595(a). Removal 
action shall be taken under 5 U.S.C. 3592(a).
    (c) Procedures. The agency shall notify the appointee in writing 
before the effective date of the action. The notice shall state, as a 
minimum--
    (1) Whether the appointee has placement rights under Sec. 359.701 to 
a position outside the SES and, if so, the position to which the 
appointee will be assigned;
    (2) The effective date of the action;
    (3) The appointee's appeal rights, including the time limit for 
appeal and the location of the Merit System Protection Board office to 
which an appeal should be sent; and
    (4) Such other information as may be required by OPM.



Sec. 359.406  Restrictions.

    (a) Removal from the SES under Secs. 359.402 through 359.404 may not 
be made effective within 120 days after--
    (1) The appointment of a new agency head; or
    (2) The appointment in the agency of the career appointee's most 
immediate supervisor who--
    (i) Is a noncareer appointee; and
    (ii) Has the authority to remove the career appointee.
    (b) For purposes of this section, a noncareer appointee includes an 
SES noncareer or limited appointee, an appointee in a position filled by 
Schedule C, or an appointee in an Executive Schedule or equivalent 
position other than a career Executive Schedule or equivalent position.
    (c) The restrictions in paragraph (a) of this section do not apply--
    (1) When the career appointee has received a final rating of 
unsatisfactory under the performance appraisal system established by the 
agency under subchapter II of chapter 43 of title 5, United States Code, 
before the appointment of a new agency head or the appointment of the 
career appointee's most immediate noncareer supervisor who has the 
authority to remove the career appointee;
    (2) To a disciplinary action initiated before the appointment of a 
new agency head or the appointment of the career appointee's most 
immediate noncareer supervisor who has the authority to remove the 
career appointee;
    (3) To a disciplinary action when there is a reasonable cause to 
believe that the career appointee has committed a crime for which a 
sentence of imprisonment can be imposed; or
    (4) To a disciplinary action when the circumstances are such that 
retention of the career appointee--
    (i) May pose a threat to the appointee or others;
    (ii) May result in loss of or damage to Government property; or
    (iii) May otherwise jeopardize legitimate Government interests.
    (d) The following procedures must be observed when an agency invokes 
an exception to the 120-day restriction under paragraphs (c)(3) or 
(c)(4) of this section:
    (1) The agency shall include in the notice the reasons for invoking 
the exception.
    (2) The appointee shall be given a reasonable time, but no less than 
7 days, to respond regarding the propriety of the use of the exception.
    (3) The agency shall give the appointee a notice of decision on the 
propriety of the use of the exception at or before the time the action 
will be effective.
    (4) When circumstances require immediate action, the agency may 
place the appointee in a nonduty status with pay for such time as 
necessary to effect the action.

[[Page 290]]

    (e) The imposition of the 120-day moratorium does not extend the 
probationary period.

[54 FR 18876, May 3, 1989, as amended at 57 FR 10125, Mar. 24, 1992]



Sec. 359.407  Appeals.

    (a) Removal under Sec. 359.402, 359.403, or 359.404 is not 
appealable to the Merit Systems Protection Board under 5 U.S.C. 7701.
    (b) Removal under Sec. 359.405 is appealable to the Merit Systems 
Protection Board under 5 U.S.C. 7701 as to whether the reduction in 
force complies with the competitive procedures required under 5 U.S.C. 
3595(a).



 Subpart E--Removal of Career Appointees for Less Than Fully Successful 
                          Executive Performance



Sec. 359.501  General.

    (a) Coverage. (1) This subpart covers--
    (i) A career appointee who has completed the probationary period in 
the SES; and
    (ii) A career appointee who is not required to serve a probationary 
period in the SES.
    (2) This subpart does not cover, however, a career appointee who is 
serving as a reemployed annuitant. See subpart I of this part for 
removal of a reemployed annuitant.
    (b) Definitions. (1) Final rating means the rating of record made by 
an appointing authority under the SES performance appraisal system in 
accordance with the requirements of 5 U.S.C. 4314(c)(3) and part 430, 
subpart C, of this chapter.
    (2) A less than fully successful final rating means a rating of 
unsatisfactory or minimally satisfactory.
    (c) Optional removal from the SES. The agency may remove a career 
appointee from the SES after the appointee has been given one final 
rating of unsatisfactory.
    (d) Mandatory removal from the SES. The agency must remove a career 
appointee from the SES after--
    (1) The appointee has been given two final ratings of unsatisfactory 
within 5 consecutive years; or
    (2) The appointee has been given two final ratings of less than 
fully successful within 3 consecutive years.



Sec. 359.502  Procedures.

    (a) Notice. The agency shall notify the career appointee in writing 
at least 30 calendar days before the effective date of the action. The 
notice shall advise the appointee of--
    (1) The basis for the action;
    (2) The appointee's placement rights under subpart G of this part--
the position to which the appointee will be assigned shall be identified 
either in this advance notice or in a supplementary notice issued no 
later than 10 calendar days before the effective date of the action;
    (3) The appointee's right to request an informal hearing from the 
Merit Systems Protection Board;
    (4) The effective date of the removal action; and
    (5) When applicable, the appointee's eligibility for immediate 
retirement under 5 U.S.C. 8336(h) or 8414(a).
    (b) Informal hearing. (1) A career appointee being removed from the 
SES under this section shall, at least 15 days before the effective date 
of the removal, be entitled, upon request, to an informal hearing before 
an official designated by the Merit Systems Protection Board. The 
appointee shall submit the request for an informal hearing to the Board. 
This request may be made at any time after the appointee has received 
the notice described in paragraph (a) of this section, but no later than 
15 days before the effective date of action. The informal hearing shall 
be conducted in accordance with the regulations and procedures 
established by the Board. See 5 CFR 1201.141, Right to hearing, and 5 
CFR 1201.142, Hearing procedures; referral of the record.
    (2) Neither the granting nor the conduct of an informal hearing 
shall provide a basis for appeal to the Merit Systems Protection Board 
under 5 U.S.C. 7701. The removal action need not be delayed because of 
the granting of an informal hearing.



Sec. 359.503  Restrictions.

    (a) Removal from the SES under this subpart may not be made 
effective within 120 days after--

[[Page 291]]

    (1) The appointment of a new agency head; or
    (2) The appointment in the agency of the career appointee's most 
immediate supervisor who--
    (i) Is a noncareer appointee; and
    (ii) Has the authority to remove the career appointee.
    (b) For purposes of this section, a noncareer appointee includes an 
SES noncareer or limited appointee, an appointee in a position filled by 
Schedule C, or an appointee in an Executive Schedule or equivalent 
position other than a career Executive Schedule or equivalent position.
    (c) This restriction does not apply when the career appointee has 
received a final rating of unsatisfactory under the performance 
appraisal system established by the agency under subchapter II of 
chapter 43 of title 5, United States Code, before the appointment of a 
new agency head or the appointment of the career appointee's most 
immediate noncareer supervisor who has the authority to remove the 
career appointee.

[54 FR 18876, May 3, 1989, as amended at 57 FR 10125, Mar. 24, 1992]



Sec. 359.504  Appeals.

    An action taken under Sec. 359.501 is not appealable to the Merit 
Systems Protection Board under 5 U.S.C. 7701.



  Subpart F--Removal of Career Appointees as a Result of Reduction in 
                                  Force



Sec. 359.601  General.

    (a) Coverage. (1) This subpart covers the removal of a career 
appointee from the SES as a result of a reduction in force.
    (2) This subpart does not cover, however, a career appointee who is 
serving as a reemployed annuitant. See subpart I of this part for 
removal of a reemployed annuitant.
    (b) Definitions. (1) Probationary period is defined in Sec. 359.202 
of this part.
    (2) Reduction in force is defined in 5 U.S.C. 3595(d) as including 
``the elimination or modification of a position due to a reorganization, 
due to a lack of funds or curtailment of work, or due to any other 
factor.''
    (3) Agency in this subpart means an executive department or an 
independent establishment.
    (c) Agency procedures. An agency must have issued written procedures 
before conducting a reduction in force. A copy of the procedures shall 
be provided OPM upon issuance.

[54 FR 18876, May, 3, 1989, as amended at 60 FR 6388, Feb. 2, 1995]



Sec. 359.602  Agency reductions in force.

    (a) Competitive procedures. (1) This paragraph applies to all SES 
career appointees in the agency, including appointees serving a 
probationary period.
    (2) An agency shall establish competitive procedures in writing to 
determine who will be removed from the SES in any reduction in force of 
career appointees within the agency. Such competitive procedures shall 
be based primarily on performance. When performance ratings are used, 
they shall be the final ratings under 5 CFR part 430, subpart C.
    (3) An appointee who has completed the probationary period must be 
retained over an appointee who has not completed the probationary period 
if they both have the same retention standing.
    (4) Competitive procedures are not required if an agency is being 
abolished, without a transfer of functions, and all SES appointees will 
be separated at the same time or within 3 months of abolishment.
    (b) Placement within the agency. (1) This paragraph applies to any 
SES career appointee who has completed the probationary period, or was 
not required to serve a probationary period, and who has been identified 
for reduction in force under paragraph (a) of this section.
    (2) The appointee is entitled to be offered any vacant SES position 
in the agency for which the appointee meets the qualifications 
requirements. If there is more than one vacancy, the agency has the 
option of which position to offer the appointee.
    (3) An appointee covered by this paragraph is entitled to be placed 
in a vacant SES position over an appointee

[[Page 292]]

who is still serving a probationary period.

[54 FR 18876, May, 3, 1989, as amended at 60 FR 6388, Feb. 2, 1995]



Sec. 359.603  OPM priority placement.

    (a) Agency certification. (1) If there is no vacant SES position 
within the agency for which an appointee covered by Sec. 359.602(b) is 
qualified, the agency head, or the acting agency head in the absence of 
the agency head, shall certify to OPM in writing that no such position 
is available. This certification may not be delegated below the 
Assistant Secretary level in a department, or an equivalent level above 
the director of personnel in other agencies.
    (2) The 45-day period during which OPM will attempt to place the 
appointee begins on the day the certification is akcnowledged by OPM.
    (3) It is the continuing responsibility of an agency that has a 
surplus career appointee to place the appointee in any vacant SES 
position in the agency for which the appointee is qualified, even after 
the appointee is certified to OPM.
    (4) An individual remains a career SES appointee in his or her 
agency during the OPM placement period.
    (b) OPM authority. As provided by Sec. U.S.C. 3595(b)(3), OPM may 
require an agency to take any action that OPM considers necessary to 
carry out a placement.
    (c) OPM referrals. (1) OPM may formally refer a career appointee to 
an agency for a specific SES vacancy or general priority consideration. 
Such a referral may not become a part of the regular competitive 
staffing process. The appointee must be considered by the agency for a 
noncompetitive SES appointment.
    (2) Any objection by the agency to the qualifications of the 
appointee must be based on the professional/technical qualifications in 
the standard for the position. An agency may not rely solely on lack of 
agency-specific experience for an objection based on lack of 
professional/technical qualifications if the appointee is otherwise 
qualified.
    (d) Agency response. (1) In order to expedite placement of surplus 
career appointees, an agency shall respond to an OPM referral within the 
time period prescribed by OPM.
    (2) If an agency fails to place a referred career appointee in an 
SES position because of objection to the appointee's qualifications or 
because of any other reason, the agency response must be in writing and 
must be signed by the agency head, or the acting agency head in the 
absence of the agency head. The response may not be delegated below the 
Assistant Secretary level in a department, or an equivalent level above 
the director of personnel in other agencies.
    (3) If an agency cancels a position while a referral to the position 
is pending, the appointee will be entitled to priority consideration for 
the position if it or a successor position is reestablished in the SES 
within 1 year of the cancellation date and the appointee has not been 
placed in another SES position.
    (e) Corrective action. If an agency fails to provide bona fide 
priority consideration, OPM may order appropriate corrective action.
    (f) Declination by employee. If a career appointee declines a 
reasonable offer of placement, OPM's placement efforts will cease. The 
appointee may be removed from the SES at the expiration of the agency 
notice period.

[54 FR 18876, May, 3, 1989, as amended at 60 FR 6388, Feb. 2, 1995]



Sec. 359.604  Removal from the SES and placement rights outside the SES.

    (a) If a probationary appointee is identified for reduction in force 
under Sec. 359.602(a), removal action is taken under Sec. 359.405. 
Placement rights outside the SES are covered under subpart G of this 
part.
    (b) If a career appointee who has completed the probationary period, 
or who did not have to serve one, is identified for reduction in force 
under Sec. 359.602(a) and is not placed elsewhere in the SES under 
Sec. 359.602(b) or Sec. 359.603, or declines a placement offer under 
Sec. 359.603, removal action is taken under Sec. 359.604(b). Placement 
rights outside the SES are covered under subpart G of this part.



Sec. 359.605  Notice requirements.

    (a) Each career appointee subject to removal under Sec. 359.604(b) 
is entitled to a specific, written notice at least 45

[[Page 293]]

calendar days before the effective date of the removal. The notice shall 
state, as a minimum--
    (1) The action to be taken and its prospective effective date;
    (2) The nature of the competition, including the appointee's 
competitive area, if less than the agency, and standing on the retention 
register;
    (3) The place where the appointee may inspect the regulations and 
records pertinent to the action;
    (4) Placement rights within the agency and through OPM, including 
how the employee can apply for OPM placement assistance; and
    (5) The appointee's appeal rights, including the time limit for 
appeal and the location of the Merit Systems Protection Board office to 
which an appeal should be sent.
    (b) A career appointee who has received a notice under paragraph (a) 
of this section is entitled to a second notice in writing at least 1 day 
before removal from the SES. The notice shall state, as a minimum--
    (1) The basis for the removal, i.e., 5 U.S.C. 3595(b)(5) if the 
basis is expiration of the 45-day OPM placement period, or 5 U.S.C. 
3595(b)(4) if the basis is declination of a reasonable offer of 
placement, in which case identify the position offered and the date on 
which it was declined;
    (2) The effective date of the removal;
    (3) Placement rights outside the SES and, when applicable, the 
appointee's eligibility for discontinued service retirement in lieu of 
placement; and
    (4) Reminder of the appointee's appeal rights.

[60 FR 6389, Feb. 2, 1995]



Sec. 359.606  Appeals.

    A career appointee may appeal to the Merit Systems Protection Board 
whether the reduction in force complies with the competitive procedures 
in Sec. 359.602(a).



Sec. 359.607  Records.

    Each agency shall maintain current records needed to determine the 
retention standing of its competing appointees. The agency shall allow 
the inspection of its retention registers and related records by an 
appointee to the extent that they have a bearing on the appointee's 
situation. The agency shall preserve intact all registers and records 
relating to a reduction-in-force action for at least 2 years from the 
effective date of the action.



Sec. 359.608  Transfer of function.

    (a) Transfer of function means the transfer of the performance of a 
continuing function from one agency to one or more other agencies.
    (b) A career appointee is entitled to accompany his or her function 
to the new agency without any change in tenure if the alternative is 
removal from the SES in the current agency under reduction in force.



                     Subpart G--Guaranteed Placement



Sec. 359.701  Coverage.

    This subpart covers career appointees, other than reemployed 
annuitants, who are removed from the SES under any of the following 
conditions:
    (a) Removal during the probationary period under subpart C of this 
part or under subpart D of this part for other than misconduct, neglect 
of duty, malfeasance, or other disciplinary reasons under Sec. 359.403, 
Sec. 359.404, or part 752, subpart F, of this chapter, if at the time of 
appointment to the SES the individual held a career or career-
conditional appointment or an appointment of equivalent tenure, as 
determined by OPM. An appointment of equivalent tenure is considered to 
be an appointment in the excepted service other than an appointment--
    (1) To a Schedule C position established under part 213 of this 
chapter;
    (2) To a position that meets the same criteria as a Schedule C 
position; or
    (3) To a position where the incumbent is traditionally changed upon 
a change in Presidential Administrations.
    (b) Removal as the result of:
    (1) Failure to be recertified under subpart C of this part;
    (2) Less than fully successful executive performance under subpart E 
of this part; or
    (3) A reduction in force under subpart F of this part. The appointee 
must have completed the required probationary period under the SES or 
was

[[Page 294]]

not required to serve a probationary period.

[54 FR 18876, May 3, 1989, as amended at 56 FR 172, Jan. 3, 1991; 57 FR 
10125, Mar. 24, 1992]



Sec. 359.702  Placement rights.

    (a) An appointee covered by this subpart is entitled to be placed in 
a vacant civil service position (other than an SES position) in any 
agency that is--
    (1) A continuing position at GS-15 or above, or equivalent, that 
will last at least three months; and
    (2) A position for which the appointee meets the qualifications 
requirements.
    (b) A probationary appointee, or a nonprobationary appointee who at 
the time of appointment to the SES held a career or career-conditional 
appointment (or an appointment of equivalent tenure, as defined in 
Sec. 359.701(a)), is entitled to be placed in a position of tenure 
equivalent to that of the appointment held at the time of appointment to 
the SES. This tenure requirement does not apply--
    (1) If the agency taking the removal action does not have a position 
of equivalent tenure for which the appointee meets the qualifications 
requirements; or
    (2) If the appointee is willing to accept a position having a 
different tenure.



Sec. 359.703  Responsibility for placement.

    The agency taking the removal action is responsible for placing the 
appointee in an appropriate position within the agency, or for arranging 
a transfer to an appropriate position in another agency. Any transfer 
must be mutually acceptable to the appointee and the gaining agency.



Sec. 359.704  Restrictions.

    Placement of an appointee under this subpart shall not cause the 
separation or reduction in grade of any other employee.



Sec. 359.705  Pay.

    (a) An appointee placed under this subpart is entitled to receive 
basic pay at the highest of--
    (1) The rate of basic pay in effect for the position in which the 
appointee is being placed;
    (2) The rate of basic pay currently in effect for the position that 
the appointee held in the civil service immediately before being 
appointed to the SES; or
    (3) The rate of basic pay in effect for the appointee immediately 
before removal from the SES.
    (b) An employee who is placed under this subpart in a position 
outside the SES in another agency is entitled to receive basic pay under 
the provisions of this section.
    (c) An employee who is placed under this subpart in a General 
Schedule position is not subject to the limitation on General Schedule 
basic pay in 5 U.S.C. 5303(f) of level V of the Executive Schedule. The 
employee is subject, however, to the limitation on General Schedule 
basic pay plus locality-based comparability payments in 5 U.S.C. 
5304(g)(1) of level IV of the Executive Schedule.
    (d) An employee receiving basic pay under paragraph (a)(2) or (a)(3) 
of this section shall have future pay adjusted in accordance with 5 
U.S.C. 3594(c)(2).
    (e) Pay received under this section shall terminate if:
    (1) The employee has a break in service of 1 workday or more; or
    (2) The employee is demoted based on conduct or unacceptable 
performance or at the employee's request.

[54 FR 18876, May, 3, 1989, as amended at 60 FR 6389, Feb. 2, 1995]



          Subpart H--Furloughs in the Senior Executive Service

    Authority: 5 U.S.C. 3133 and 3136.

    Source: 48 FR 11925, Mar. 2, 1983, unless otherwise noted.



Sec. 359.801  Agency authority.

    This subpart sets the conditions under which an agency may furlough 
career appointees in the Senior Executive Service. The furlough of a 
noncareer, limited term, or limited emergency appointee is not subject 
to this subpart. The furlough of a reemployed annuitant holding a career 
appointment also is not subject to the subpart.

[[Page 295]]



Sec. 359.802  Definitions.

    For the purpose of this subpart, furlough means the placing of an 
appointee in a temporary status without duties and pay because of lack 
of work or funds or other nondisciplinary reasons.



Sec. 359.803  Competition.

    Any furlough for more than 30 calendar days, or for more than 22 
workdays if the furlough does not cover consecutive calendar days, shall 
be made under competitive procedures established by the agency. The 
procedures shall be made known to the SES members in the agency.

[48 FR 11925, Mar. 2, 1983, as amended at 60 FR 6389, Feb. 2, 1995]



Sec. 359.804  Length of furlough.

    A furlough may not extend more than one year. It may be made only 
when the agency intends to recall the appointee within one year.



Sec. 359.805  Appeals.

    A career appointee who has been furloughed and who believes this 
subpart or the agency's procedures have not been correctly applied may 
appeal to the Merit Systems Protection Board under provisions of the 
Board's regulations.



Sec. 359.806  Notice.

    (a) An appointee is entitled to a 30 days' advance written notice of 
a furlough. The full notice period may be shortened, or waived, only in 
the event of unforseeable circumstances, such as sudden emergencies 
requiring immediate curtailment of activities.
    (b) The written notice shall advise the appointee of:
    (1) The reason for the agency decision to take the furlough action.
    (2) The expected duration of the furlough and the effective dates;
    (3) The basis for selecting the appointee for furlough when some but 
not all Senior Executive Service appointees in a given organizational 
unit are being furloughed;
    (4) The reason if the notice period is less than 30 days;
    (5) The place where the appointee may inspect the regulations and 
records pertinent to the action; and
    (6) The appointee's appeal rights, including the time limit for the 
appeal and the location of the Merit Systems Protection Board office to 
which the appeal should be sent.



Sec. 359.807  Records.

    The agency shall preserve all records relating to an action under 
this subpart for at least one year from the effective date of the 
action.



 Subpart I--Removal of Noncareer and Limited Appointees and Reemployed 
                               Annuitants



Sec. 359.901  Coverage.

    (a) This subpart covers the removal from the SES of--
    (1) A noncareer appointee;
    (2) A limited emergency or a limited term appointee; and
    (3) A reemployed annuitant holding any type of appointment under the 
SES.
    (b) Coverage does not include, however, a limited emergency or a 
limited term appointee who is being removed for disciplinary reasons and 
who is covered by 5 CFR 752.601(c)(2).



Sec. 359.902  Conditions of removal.

    (a) Authority. The agency may remove an appointee subject to this 
subpart at any time.
    (b) Notice. The agency shall notify the appointee in writing before 
the effective date of the removal.
    (c) Placement rights. An appointee covered by this subpart is not 
entitled to the placement rights provided for career appointees under 
subpart G of this part.
    (d) Appeals. Actions taken under this subpart are not appealable to 
the Merit Systems Protection Board under 5 U.S.C. 7701.



PART 362--PRESIDENTIAL MANAGEMENT INTERN PROGRAM--Table of Contents




                   Subpart A--Purpose and Definitions

Sec.
362.101 Purpose.
362.102 Definitions.

[[Page 296]]

                    Subpart B--Program Administration

362.201 Nomination and selection.
362.202 Appointment and extensions.
362.203 Conversion to competitive service.
362.204 Resignation, termination, and reduction in force.
362.205 Movement of interns between departments or agencies.
362.206 Career development.

    Authority: E.O.12364 of May 24, 1982, 3 CFR, 1982 Comp., p. 185.

    Source: 62 FR 44199, Aug. 20, 1997, unless otherwise noted.



                   Subpart A--Purpose and Definitions



Sec. 362.101  Purpose.

    The Presidential Management Intern (PMI) Program is designed to 
attract to Federal service outstanding men and women from a wide variety 
of academic disciplines who have a clear interest in, and commitment to, 
a career in the analysis and management of public policies and programs.



Sec. 362.102  Definitions.

    (a) A Presidential Management Intern is appointed in the excepted 
service under Sec. 213.3102(ii) of this chapter, in an executive agency 
or department. The individual must have completed a graduate course of 
study at a qualifying college or university, received the nomination of 
the dean or academic program director, successfully completed an OPM-
administered assessment process, and been selected and appointed by an 
agency for a 2-year Presidential Management Internship.
    (b) A qualifying college or university is an academic institution 
formally accredited by an accrediting organization recognized by the 
Secretary of the U.S. Department of Education (34 CFR part 602).



                    Subpart B--Program Administration



Sec. 362.201   Nomination and selection.

    (a) Eligibility. Individuals eligible to be nominated for the 
Program are graduate students from a variety of academic disciplines 
completing or expecting to complete, during the current academic year, 
an advanced degree from a qualifying college or university. These 
individuals must demonstrate an exceptional ability, a clear interest 
in, and a commitment to a career in the analysis and management of 
public policies and programs.
    (b) Nomination procedure. (1) The college or university making 
nominations for the Program shall establish a competitive nomination 
process to ensure that all eligible students are aware of the PMI 
Program and how to apply for nomination. The process will also ensure 
that applicants receive careful and thorough review, and that all 
receive equal opportunity for nomination.
    (2) Students must be nominated by the dean, chairperson, or academic 
program director.
    (3) Students who apply to be nominated must be rated qualified or 
not qualified for nomination. Nominations are made by school officials 
through completion of the PMI application form.
    (4) Students eligible for veterans' preference who apply for 
nomination and are found qualified must be nominated. Based on the 
documentation provided by the student, the college or university must 
determine preliminary eligibility for veterans' preference. Students 
eligible for veterans' preference who believe they met the college or 
university's nomination qualification requirements, but were not 
nominated, may request a review by the OPM PMI Program office.
    (c) Selection. Selection of Program finalists will be based on an 
OPM evaluation of the PMI application and a structured assessment center 
process. Veterans' preference will be adjudicated by OPM.



Sec. 362.202  Appointment and extensions.

    (a) Appointing authority. The appointment authority for Presidential 
Management Interns is 5 CFR 213.3102(ii). Appointments cannot exceed 2 
years unless extended for up to 1 additional year by the agency with the 
approval of OPM under Sec. 362.203(b).
    (b) Completion of degree requirements. Agencies must assure that all 
graduate degree requirements have been met at the time of appointment. 
Interns may

[[Page 297]]

not be appointed prior to the completion of all graduate degree 
requirements. Exceptions may be made on an individual basis, but in no 
case will an intern be allowed to remain in the program if all degree 
requirements are not completed by August 31 of the year in which the 
intern was selected as a finalist.
    (c) Time period. Agencies may appoint individuals with formal 
notification of their selection as PMI finalists no later than December 
31 of the year in which they were selected as finalists. Exceptions may 
be granted on a case-by-case basis upon request of the agency to the OPM 
PMI Program office no later than December 15 of the year in which the 
interns were finalists.
    (d) Grade and pay. Initial appointments must be made at the grade 9, 
step 1 level of the General Schedule. If an intern has had prior higher 
level Federal Government service, the individual may be placed at a 
higher step within the GS-9 rate range consistent with the maximum 
payable rate rules under 5 CFR 531.203(c). Promotion to the GS-11 level 
may occur after satisfactory completion of 1 year of continuous service. 
Under 5 CFR 213.3102(ii), intern positions are authorized only at the 
GS-9 and GS-11 levels. Therefore, the agency has the option of promoting 
an intern to the GS-12 level on or after the date of conversion to the 
competitive service.
    (e) Citizenship. Interns do not need to be United States citizens 
during their internship. However, if a noncitizen intern is hired, the 
agency must make sure that:
    (1) The intern is lawfully admitted to the United States as a 
permanent resident or otherwise is authorized to be employed by the U.S. 
Immigration and Naturalization Service;
    (2) The agency is authorized to pay the noncitizen under the annual 
appropriations act ban or any agency-specific enabling appropriation 
statute; and
    (3) The intern acquires United States citizenship prior to 
conversion under 5 CFR 315.708.
    (f) Extensions. Agencies must request, in writing, OPM approval to 
extend an internship for up to 1 additional year beyond the authorized 2 
years in order to provide the intern with additional training and 
developmental activities. The request should be submitted no later than 
60 days prior to the end of the initial 2-year period.



Sec. 362.203  Conversion to competitive service.

    (a) In accordance with 5 CFR 315.708, employees who are United 
States citizens and have successfully completed Presidential Management 
Internships may be converted noncompetitively to career or career-
conditional appointments in positions for which they are qualified.
    (b) Conversions will be effective on the date the 2-year service 
requirement is met, unless the internship is extended by the agency, 
with approval of OPM, for up to one additional year.
    (c) Agencies must inform the OPM PMI Program office when an 
individual will not be converted.



Sec. 362.204  Resignation, termination, and reduction in force.

    (a) Resignation. An employee who resigns during the internship does 
not have reinstatement eligibility for competitive service positions and 
cannot be re-interned to the PMI Program.
    (b) Termination. The appointment of a Presidential Management Intern 
expires at the end of the 2-year internship period. At that time, the 
employing agency may, with no break in service, convert the intern to a 
career or career-conditional appointment in accordance with 5 CFR 
315.708, or extend the internship in accordance with Sec. 362.202(b). If 
neither action is taken, the PMI appointment terminates.
    (c) Reduction in force. Presidential Management Interns are in the 
excepted service Tenure Group II for purposes of Sec. 351.502 of this 
chapter.



Sec. 362.205  Movement of interns between departments or agencies.

    To move from one agency to another during the internship, the intern 
must separate from the current agency and be reappointed under PMI 
appointment by the new employing agency without a break in service. The 
intern does not begin a new 2-year internship period; the time 
previously served under the

[[Page 298]]

PMI Program counts toward the completion of the 2-year period. The new 
employing agency must notify the OPM PMI Program office of the action.



Sec. 362.206  Career development.

    (a) OPM responsibilities. OPM will:
    (1) Provide orientation and graduation programs for each intern 
class; and
    (2) Serve as a clearinghouse of available training opportunities.
    (b) Agency responsibilities. Each agency will:
    (1) Work with the intern to develop a written outline of core 
competencies and technical skills (called an individual development 
plan) the intern must gain before conversion to a target position;
    (2) Provide at least 80 hours of formal training a year, including 
training in core competencies targeted to a functional area into which 
the intern will most likely be converted; and
    (3) Provide at least one rotational assignment to another functional 
area, made at the discretion of the agency.



PART 410--TRAINING--Table of Contents




                      Subpart A--General Provisions

Sec.
410.101 Definitions.

                    Subpart B--Planning for Training

410.201 Responsibilities of the head of an agency.
410.202 Integrating employee training and development with agency 
          strategic plans.
410.203 Assessing organizational, occupational, and individual needs.
410.204 Options for developing employees.

       Subpart C--Establishing and Implementing Training Programs

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 Establishing and using interagency training.
410.306 Selecting and assigning employees to training.
410.307 Training for promotion or placement in other positions.
410.308 Training to obtain an academic degree.
410.309 Agreements to continue in service.
410.310 Computing time in training.
410.311 Records.

                 Subpart D--Paying for Training Expenses

410.401 Determining necessary training expenses.
410.402 Paying premium pay.
410.403 Payments for temporary duty 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

410.501 Scope.
410.502 Authority of the head of an agency.
410.503 Records.

                     Subpart F--Evaluating Training

410.601 Responsibility of the head of an agency.
410.602 Records.

                           Subpart G--Reports

410.701 Reports.

    Authority: 5 U.S.C. 4101, et seq., 4107; E.O. 11348, and (3 CFR, 
1967 Comp., p. 275).

    Source: 61 FR 66193, Dec. 17, 1996, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 410.101  Definitions.

    In this part:
    (a) Agency, employee, Government, 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 Pub. L. 91-375, enacted August 12, 1970.
    (c) Training has the meaning given to the term in section 4101 of 
title 5, United States Code.
    (d) Mission-related training is training that supports agency goals 
by improving organizational performance at any

[[Page 299]]

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/or program changes.
    (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 mission-related 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. Section 303 of Executive Order 11348 specifies the 
responsibility of heads of agencies to assess agency training needs 
annually.
    (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 mission-
related organizational and employee development needs, such as 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.

[[Page 300]]



       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, under administrative agreements as appropriate, 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 as are necessary 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 as are 
necessary 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.
    (d) The head of the agency shall establish the form and manner of 
maintaining agency records related to training plans, expenditures, and 
activities.
    (e) The head of the agency shall establish written procedures which 
cover the minimum requirements for continued service agreements. (See 
also 5 CFR 410.310.)
    (f) The head of each agency shall prescribe procedures, as 
authorized by section 402 of Executive Order No. 11348, for obtaining 
U.S. Department of State advice before assigning an employee who is 
stationed within the continental limits of the United States to training 
outside the continental United States that is provided by a foreign 
government, international organization, or instrumentality of either.

[61 FR 66193, Dec. 17, 1996, as amended at 63 FR 43867, Aug. 17, 1998]



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 from other funds available. Training

[[Page 301]]

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.

    Executive departments, independent establishments, Government 
corporations subject to chapter 91 of title 31, the Library of Congress, 
and the Government Printing office may provide or share training 
programs developed for its employees of other agencies under section 
4120 of title 5, United States Code, when this would result in better 
training, improved service, or savings to the Government. Section 302(d) 
of Executive Order 11348 allows agencies excluded from section 4102 of 
title 5, United States Code, to also receive interagency training when 
this would result in better training, improved service, or savings to 
the Government. Section 201(e) of Executive Order 11348 provides for the 
Office of Personnel Management to coordinate interagency training 
conducted by and for agencies (including agencies and portions of 
agencies excepted by section 4102(a) of Title 5, United States Code).



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.
    (1) A State or local government employee given an appointment in a 
Federal agency under the authority of section 3374(b) of title 5 of the 
United States Code, is deemed an employee of the Federal agency. The 
agency may provide training for the State or local government employee 
as it does for other agency employees.
    (2) A State or local government employee on detail to a Federal 
agency under the authority of section 3374(c) of title 5 of the United 
States Code, is not deemed an employee of the Federal agency. However, 
the detailed State or local government employee may be admitted to 
training programs the agency has established for Federal personnel and 
may be trained in the rules, practices, procedures and/or systems 
pertaining to the Federal government.
    (c) Subject to the prohibitions of Sec. 410.308(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)).

[61 FR 66193, Dec. 17, 1996; 61 FR 68119, Dec. 27, 1996]



Sec. 410.307  Training for promotion or placement in other positions.

    (a) General. In determining whether to provide training under this 
section, agencies should take into account:
    (1) Agency authority to modify qualification requirements in certain 
situations as provided in the OPM Operating Manual for Qualification 
Standards for General Schedule Positions;
    (2) Agency authority to establish training programs that provide 
intensive and directly job-related training to substitute for all or 
part of the experience (but not education, licensing, certification, or 
other specific credentials), required by OPM qualification standards. 
Such training programs may be established to provide employees with the 
opportunity to acquire the experience and knowledge, skills, and 
abilities necessary to qualify for another position (including at a 
higher grade) at an accelerated rate; and
    (3) Time-in-grade restrictions on advancement (see 5 CFR 
300.603(b)(6)).
    (b) 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 non-temporary 
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 non-temporary employee for training that permits 
noncompetitive promotion after successful completion of the training.

[[Page 302]]

    (c) Training for placement in other agency positions, in other 
agencies, or outside Government--(1) Grade or pay retention. 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 retained grade or the 
grade of the position the employee held before pay retention.
    (2) Training for placement in another agency. 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 interest of 
the Government.
    (i) Before undertaking any training under this section, the head of 
the agency shall determine that there exists a reasonable expectation of 
placement in another agency.
    (ii) When selecting an employee for training under this section, the 
head of the agency shall consider:
    (A) The extent to which the employee's current skills, knowledge, 
and abilities 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 retaining 
the employee in the Federal service.
    (3) Training displaced or surplus employees. 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.
    (4) Career transition assistance plans. 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.
    (i) Under the authority of 5 U.S.C. 4109, an agency may:
    (A) Train employees in the use of the CTAP services;
    (B) Provide vocational and career assessment and counseling 
services;
    (C) Train employees in job search skills, techniques, and 
strategies; and
    (D) Pay for training related expenses as provided in 5 U.S.C. 
4109(a)(2).
    (ii) Agency CTAP's will include plans for retraining displaced or 
surplus employees covered by this part.



Sec. 410.308  Training to obtain an academic degree.

    (a) An agency may authorize training for an employee to obtain an 
academic degree under conditions as prescribed at 5 U.S.C. 4107(a).
    (b) Colleges and universities used in an academic degree training 
program must be accredited by a nationally recognized body. A 
``nationally recognized body'' is a regional, national, or international 
accrediting organization recognized by the U.S. Department of Education. 
The listing of accrediting bodies is available at the Department.
    (c) The selection of employees for an academic degree training 
program must follow the requirements of Sec. 335.103(b) (3) and part 
300, subpart A of this chapter. Subject to the additional requirement 
that the purpose of the selection and assignment is to accomplish an 
identified goal consistent with the agency's human capital management 
strategic plan, an agency may competitively select and assign an 
employee to an academic degree training program that qualifies the 
employee for promotion to a higher graded position or to a position that 
requires an academic degree.
    (d) Agency heads must assess and maintain records on the 
effectiveness of training assignments under this section.
    (e) On a periodic basis, OPM may request agency information on the 
use and effectiveness of training assignments under this section.
    (f) The authority to authorize training for an employee to obtain an 
academic degree terminates June 14, 2004.

[68 FR 35269, June 13, 2003]

[[Page 303]]



Sec. 410.309  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 include 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 at least 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 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.

[61 FR 66193, Dec. 17, 1996; 63 FR 72097, Dec. 31, 1998]



Sec. 410.310  Computing time in training.

    For the purpose of computing time in training for continued service 
agreements under section 4108 of title 5, United States Code:
    (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 an employee on an alternative work schedule, the agency is 
responsible for determining the number of hours the employee 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 an 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. 410.311  Records.

    Agencies shall retain, in such form and manner as the agency head 
considers appropriate, a record of training events authorized under this 
subpart for a reasonable period of time.



                 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 form 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

[[Page 304]]

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 by the applicable premium 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 5 U.S.C. 5545a and implementing regulations. 
Agencies may, at their discretion, provide availability pay to 
investigators during periods of initial, basic training. (See 5 CFR 
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 550.162(c).
    (6) Firefighter overtime pay. (i) A firefighter compensated under 
part 550, subpart M, of this chapter shall receive basic pay and 
overtime pay for the firefighter's regular tour of duty (as defined in 
Sec. 550.1302 of this chapter) in any week in which attendance at 
agency-sanctioned training reduces the hours in the firefighter's 
regular tour of duty.
    (ii) The special pay protection provided by paragraph (b)(6)(i) of 
this section does not apply to firefighters who voluntarily participate 
in training during non-duty hours, leave hours, or periods of excused 
absence. It also does not apply if the firefighter is entitled to a 
greater amount of pay based on actual work hours during the week in 
which training occurs.
    (7) 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) Regulations governing overtime pay for employees covered by Fair 
Labor Standards Act (FLSA) during training, education, lectures, or 
conferences are found in Sec. 551.423 of this chapter. The prohibitions 
on paying premium pay found in paragraph (a) of this section are not 
applicable for the purpose of paying FLSA overtime pay.
    (e) Compensation for time spent traveling to and from training. (1) 
Compensation provisions are contained in 5 CFR 550.112(g) for time spent 
traveling for employees subject to title 5 of the United States Code.
    (2) Compensation provisions are contained in 5 CFR 551.422 for time 
spent traveling for employees covered by the Fair Labor Standards Act. 
(See also 29 CFR 785.33 through Sec. 785.41.)

[61 FR 66193, Dec. 17, 1996, as amended at 63 FR 64592, Nov. 23, 1998; 
64 FR 69172, Dec. 10, 1999; 67 FR 15466, Apr. 2, 2002]



Sec. 410.403  Payments for temporary duty training assignments.

    Section 4109(a)(2) of title 5, United States Code, provides that an 
agency may pay, or reimburse an employee for, all or a part of the 
necessary expenses of training, including the necessary costs of travel; 
per diem expenses; or limited relocation expenses including 
transportation of the immediate family, household goods and personal 
effects:
    (a) If an agency chooses to pay per diem, or in unusual 
circumstances the actual subsistence, expenses for an employee on a 
temporary duty training assignment, payment must be in accordance with 
41 CFR part 301-7 or 41 CFR part 301-8 (or, for commissioned officers of 
the National Oceanic and Atmospheric Administration, in accordance with 
sections 404 and 405 of title 37, United States Code, and the Joint 
Federal travel Regulations for the Uniformed Services).

[[Page 305]]

    (b) An agency may pay a reduced per diem rate, such as a 
standardized payment less than the maximum per diem rate for a 
geographical area. If a reduced or standardized per diem rate was not 
authorized in advance of the travel and the fees paid to a training 
institution include lodging or meal costs, an appropriate deduction 
shall be made from the total per diem rate payable on the travel voucher 
(see 41 CFR 301-7.12).
    (c) An agency may pay limited relocation expenses for the 
transportation of the employee's immediate family, household goods and 
personal effects, including packing, crating, temporarily storing, 
draying, and unpacking the household goods in accordance with section 
5724 of title 5, United States Code (or, for commissioned officers of 
the National Oceanic and Atmospheric Administration, in accordance with 
sections 406 and 409 of title 37, United States Code, and the Joint 
federal travel Regulations for the uniformed Services). Limited 
relocation expenses are payable only when the estimated costs of 
transportation and related services are less than the estimated 
aggregate per diem or actual subsistence expense payments for the period 
of training. An employee selected for temporary duty training may 
receive travel and per diem (or actual subsistence expenses) for the 
period of the assignment or payment of limited relocation expenses, but 
not both.

[61 FR 66193, Dec. 17, 1996; 61 FR 66821, Dec. 30, 1996]



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 announced purpose of the conference is educational or 
instructional;
    (b) More than half of the time is scheduled for a planned, organized 
exchange of information between presenters and audience which meets the 
definition of training in section 4101 of title 5, United States Code;
    (c) The content of the conference is germane to improving individual 
and/or organizational performance, and
    (d) Development 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.

    Agencies shall retain, in such form and manner as the agency head 
considers appropriate, a record of payments made for travel, tuition, 
fees and other necessary training expenses for a reasonable period of 
time.



   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.

[61 FR 66193, Dec. 17, 1996, as amended at 63 FR 16877, Apr. 7, 1998]

[[Page 306]]



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 
contribution, awards, 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 retain records of these evaluations in such 
form and manner 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 as required in Sec. 410.302(d), 
Sec. 410.311, Sec. 410.406, Sec. 410.503, and Sec. 410.602 and report 
its plans, expenditures and activities to the Office of Personnel 
Management at such times and in such form as the Office prescribes.

[61 FR 66193, Dec. 17, 1996; 62 FR 63630, Dec. 2, 1997]

[[Page 307]]



PART 412--EXECUTIVE, MANAGEMENT, AND SUPERVISORY DEVELOPMENT--Table of Contents




                      Subpart A--General Provisions

Sec.
412.101 Coverage.
412.102 Purpose.
412.103 Criteria for programs for the systematic training and 
          development of executives, managers, supervisors, and 
          candidates.
412.104 Formal candidate development programs for Senior Executive 
          Service positions.

   Subpart B--Senior Executive Service Status and Nonstatus Candidate 
                          Development Programs

412.201 Purpose.
412.202 ``Status'' programs.
412.203 ``Non-status'' programs.

    Authority: 5 U.S.C. 3397, 4101, et seq.

    Source: 61 FR 46533, Sept. 4, 1996, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 412.101  Coverage.

    This subpart applies to all incumbents of or candidates for 
supervisory, managerial, and executive positions in the General 
Schedule, the Senior Executive Service (SES), or equivalent pay systems 
who are also covered by part 410 of this chapter.



Sec. 412.102  Purpose.

    (a) This subpart implements for supervisors, managers, and 
executives the provisions of chapter 41 of title 5 of the United States 
Code related to training and section 3396 of title 5 related to the 
criteria for programs of systematic development of candidates for the 
SES and the continuing development of SES members.
    (b) The subpart identifies a continuum of preparation starting with 
supervisory positions and proceeding through management and executive 
positions Governmentwide. For this reason, the subpart establishes a 
comprehensive system that is intended to:
    (1) Provide the competencies needed by supervisors, managers, and 
executives to perform their current functions at the mastery level of 
proficiency; and
    (2) Provide learning through development and training in the context 
of succession planning and corporate perspective to prepare individuals 
for advancement, thus supplying the agency and the government with an 
adequate number of well prepared and qualified candidates to fill 
supervisory, managerial, and executive positions Governmentwide.



Sec. 412.103  Criteria for programs for the systematic training and development of executives, managers, supervisors, and candidates.

    Each agency must provide for the initial and continuing development 
of individuals in executive, managerial, and supervisory positions, and 
candidates for those positions. The agency must issue a written policy 
to assure that their development programs:
    (a) Are designed as part of the agency's strategic plan and foster a 
corporate perspective.
    (b) Make assignments to training and development consistent with the 
merit system principles set forth in 5 U.S.C. 2301(b) (1) and (2).
    (c) Provide for:
    (1) Initial training as an individual makes critical career 
transitions to become a new supervisor, a new manager, or a new 
executive consistent with the results of needs assessments;
    (2) Continuing learning experiences, both short- and long-term, 
throughout an individual's career in order for the individual to achieve 
the mastery level of proficiency for his or her current management level 
and position; and
    (3) Systematic development of candidates for advancement to a higher 
management level. Formal candidate development programs leading to 
noncompetitive placement eligibility represent one, but not the only, 
type of systematic development.



Sec. 412.104  Formal candidate development programs for Senior Executive Service positions.

    Formal SES candidate development programs permit the certification 
of the executive qualifications of graduates by a Qualifications Review 
Board under the criterion of 5 U.S.C. 3393(c)(2)(B) and selection for 
the SES

[[Page 308]]

without further competition. The agency must have a written policy 
describing how the program will operate. The agency must obtain OPM 
approval of the program before it is conducted for the first time under 
these regulations and whenever there are substantive changes to the 
program. Agency programs must meet the following criteria.
    (a) Recruitment. (1) Recruitment for the program is from all groups 
of qualified individuals within the civil service, or all groups of 
qualified individuals whether or not within the civil service.
    (2) Agencies may request an exception to the provision in paragraph 
(a) of this section if they can show that during the 5-year period prior 
to the announcement of a program they have made at least 15% of their 
career SES appointments from sources outside the agency. Notwithstanding 
this exception recruitment must be competitive and be announced at least 
agencywide. Graduates of these programs who have been certified by a QRB 
must then compete Governmentwide for entry to the SES, but do not have 
to obtain a second QRB certification before appointment.
    (b) In recruiting, the agency, consistent with the merit system 
principles in 5 U.S.C. 2301(b) (1) and (2), takes into consideration the 
goal of achieving a diversified workforce.
    (c) All candidates are selected through SES merit staffing 
procedures. The number selected shall be consistent with the number of 
expected vacancies.
    (d) Each candidate has an SES development plan covering the period 
of the program. The plan is prepared from a competency-based needs 
determination. It is approved by the Executive Resources Board.
    (e) The minimum program requirements, unless an exception is 
obtained in advance of the beginning of the candidate's program, for an 
SES development plan are as follows:
    (1) There is a formal training experience that addresses the 
executive core qualifications and their application to SES positions 
Governmentwide. The training experience must include interaction with a 
wide mix of Federal employees outside the candidate's department or 
agency to foster a corporate perspective but may include managers from 
the private sector and state and local governments. The nature and scope 
of the training must have Governmentwide or multi-agency applicability. 
If formal interagency training is used to meet this requirement, it must 
total at least 80 hours. If an interagency work experience is used, it 
must be of significantly longer duration than 80 hours.
    (2) There are developmental assignments that total at least 4 months 
of full-time service outside the candidate's position of record. The 
purpose of the assignments is to broaden the candidate's experience and/
or increase knowledge of the overall functioning of the agency so that 
the candidate is prepared for a range of agency positions.
    (3) There is a member of the Senior Executive Service as a mentor.
    (f) Each candidate's performance in the program is evaluated 
periodically, and there is a written policy for discontinuing a 
candidate's participation in the program. A candidate can be 
discontinued or may withdraw from the program without prejudice to his 
or her ability to apply directly for SES positions.
    (g) Each candidate has a documented starting and finishing date in 
the program.



   Subpart B--Senior Executive Service Status and Nonstatus Candidate 
                          Development Programs



Sec. 412.201  Purpose.

    Section 3393 of title 5, United States Code, requires that career 
appointees to the SES be recruited either from all groups of qualified 
individuals within the civil service, or from all groups of qualified 
individuals whether or not within the civil service. This subpart sets 
forth regulations establishing two types of SES candidate development 
programs, ``status'' and ``non-status.''



Sec. 412.202  ``Status'' programs.

    Only employee serving under career appointments, or under career-
type appointments as defined in Sec. 317.304(a)(2)

[[Page 309]]

of this chapter, may participate in ``status'' candidate development 
programs.



Sec. 412.203  ``Non-status'' programs.

    (a) Eligibility. Candidates are from outside Government and/or from 
among employees serving on other than career or career-type appointments 
within the civil service.
    (b) Requirements. (1) Candidates must be appointed using the 
Schedule B authority authorized by Sec. 213.3202(j) of this chapter. The 
appointment may not exceed or be extended beyond 3 years.
    (2) Assignments must be to a full-time position created for 
developmental purposes connected with the SES candidate development 
program. Candidates serving under Schedule B appointment may not be used 
to fill an agency's regular positions on a continuing basis.
    (3) Schedule B appointments must be made in the same manner as merit 
staffing requirements prescribed for the SES, except that each agency 
shall follow the principle of veteran preference as far as 
administratively feasible. Positions filled through this authority are 
excluded under Sec. 302.101(c)(6) of this chapter from the appointment 
procedures of part 302.



PART 430--PERFORMANCE MANAGEMENT--Table of Contents




                    Subpart A--Performance Management

Sec.
430.101 Authority.
430.102 Performance management.

Subpart B--Performance Appraisal for General Schedule, Prevailing Rate, 
                       and Certain Other Employees

430.201 General.
430.202 Coverage.
430.203 Definitions.
430.204 Agency performance appraisal system(s).
430.205 Agency performance appraisal program(s).
430.206 Planning performance.
430.207 Monitoring performance.
430.208 Rating performance.
430.209 Agency responsibilities.
430.210 OPM responsibilities.

            Subpart C--Managing Senior Executive Performance

430.301 General.
430.302 Coverage.
430.303 Definitions.
430.304 SES performance management systems.
430.305 Planning and communicating performance.
430.306 Monitoring performance.
430.307 Appraising performance.
430.308 Rating performance.
430.309 Using performance results.
430.310 Performance Review Boards (PRBs).
430.311 Training and evaluation.
430.312 OPM review of agency systems.

    Authority: 5 U.S.C. chapter 43.



                    Subpart A--Performance Management

    Source: 60 FR 43943, Aug. 23, 1995, unless otherwise noted.



Sec. 430.101  Authority.

    Chapter 43 of title 5, United States Code, provides for the 
performance appraisal of Federal employees. This subpart supplements and 
implements this portion of the law.



Sec. 430.102  Performance management.

    (a) Performance management is the systematic process by which an 
agency involves its employees, as individuals and members of a group, in 
improving organizational effectiveness in the accomplishment of agency 
mission and goals.
    (b) Performance management integrates the processes an agency uses 
to--
    (1) Communicate and clarify organizational goals to employees;
    (2) Identify individual and, where applicable, team accountability 
for accomplishing organizational goals;
    (3) Identify and address developmental needs for individuals and, 
where applicable, teams;
    (4) Assess and improve individual, team, and organizational 
performance;
    (5) Use appropriate measures of performance as the basis for 
recognizing and rewarding accomplishments; and
    (6) Use the results of performance appraisal as a basis for 
appropriate personnel actions.

[[Page 310]]



Subpart B--Performance Appraisal for General Schedule, Prevailing Rate, 
                       and Certain Other Employees

    Source: 60 FR 43943, Aug. 23, 1995, unless otherwise noted.



Sec. 430.201  General.

    (a) Statutory authority. Chapter 43 of title 5, United States Code, 
provides for the establishment of agency performance appraisal systems 
and requires the Office of Personnel Management (OPM) to prescribe 
regulations governing such systems. The regulations in this subpart in 
combination with statute set forth the requirements for agency 
performance appraisal system(s) and program(s) for employees covered by 
subchapter I of chapter 43.
    (b) Savings provision. The performance appraisal system portion of 
an agency's Performance Management Plan approved by OPM as of September 
22, 1995 shall constitute an approved performance appraisal system under 
the regulations in this subpart until such time changes to the system 
are approved. No provision of the regulations in this subpart shall be 
applied in such a way as to affect any administrative proceeding related 
to any action taken under regulations in this chapter pending on 
September 22, 1995.
    (c) Equivalent ratings of record. (1) If an agency has 
administratively adopted and applied the procedures of this subpart to 
evaluate the performance of its employees, the ratings of record 
resulting from that evaluation are considered ratings of record for 
reduction in force purposes.
    (2) Other performance evaluations given while an employee is not 
covered by the provisions of this subpart are considered ratings of 
record for reduction in force purposes when the performance evaluation--
    (i) Was issued as an officially designated evaluation under the 
employing agency's performance evaluation system,
    (ii) Was derived from the appraisal of performance against 
expectations that are established and communicated in advance and are 
work related, and
    (iii) Identified whether the employee performed acceptably.
    (3) When the performance evaluation does not include a summary level 
designator and pattern comparable to those established at 
Sec. 430.208(d), the agency may identify a level and pattern based on 
information related to the appraisal process.

[60 FR 43943, Aug. 23, 1995; 60 FR 47646, Sept. 13, 1995, as amended at 
62 FR 62502, Nov. 24, 1997]



Sec. 430.202  Coverage.

    (a) Employees and agencies covered by statute. (1) Section 4301(1) 
of title 5, United States Code, defines agencies covered by this 
subpart.
    (2) Section 4301(2) of title 5, United States Code, defines 
employees covered by statute by this subpart. Besides General Schedule 
(GS/GM) and prevailing rate employees, coverage includes, but is not 
limited to, senior-level and scientific and professional employees paid 
under 5 U.S.C. 5376.
    (b) Statutory exclusions. This subpart does not apply to agencies or 
employees excluded by 5 U.S.C. 4301(1) and (2), the United States Postal 
Service, or the Postal Rate Commission.
    (c) Administrative exclusions. OPM may exclude any position or group 
of positions in the excepted service under the authority of 5 U.S.C. 
4301(2)(G). The regulations in this subpart exclude excepted service 
positions for which employment is not reasonably expected to exceed the 
minimum period established under Sec. 430.207(a) in a consecutive 12-
month period.
    (d) Agency requests for exclusions. Heads of agencies or their 
designees may request the Director of OPM to exclude positions in the 
excepted service. The request must be in writing, explaining why the 
exclusion would be in the interest of good administration.



Sec. 430.203  Definitions.

    In this subpart, terms are defined as follows:
    Additional performance element means a dimension or aspect of 
individual, team, or organizational performance that is not a critical 
or non-critical element. Such elements are not used in assigning a 
summary level but, like critical and non-critical elements, are

[[Page 311]]

useful for purposes such as communicating performance expectations and 
serving as the basis for granting awards. Such elements may include, but 
are not limited to, objectives, goals, program plans, work plans, and 
other means of expressing expected performance.
    Appraisal means the process under which performance is reviewed and 
evaluated.
    Appraisal period means the established period of time for which 
performance will be reviewed and a rating of record will be prepared.
    Appraisal program means the specific procedures and requirements 
established under the policies and parameters of an agency appraisal 
system.
    Appraisal system means a framework of policies and parameters 
established by an agency as defined at 5 U.S.C. 4301(1) for the 
administration of performance appraisal programs under subchapter I of 
chapter 43 of title 5, United States Code, and this subpart.
    Critical element means a work assignment or responsibility of such 
importance that unacceptable performance on the element would result in 
a determination that an employee's overall performance is unacceptable. 
Such elements shall be used to measure performance only at the 
individual level.
    Non-critical element means a dimension or aspect of individual, 
team, or organizational performance, exclusive of a critical element, 
that is used in assigning a summary level. Such elements may include, 
but are not limited to, objectives, goals, program plans, work plans, 
and other means of expressing expected performance.
    Performance means accomplishment of work assignments or 
responsibilities.
    Performance appraisal system: See Appraisal system.
    Performance plan means all of the written, or otherwise recorded, 
performance elements that set forth expected performance. A plan must 
include all critical and non-critical elements and their performance 
standards.
    Performance rating means the written, or otherwise recorded, 
appraisal of performance compared to the performance standard(s) for 
each critical and non-critical element on which there has been an 
opportunity to perform for the minimum period. A performance rating may 
include the assignment of a summary level within a pattern (as specified 
in Sec. 430.208(d)).
    Performance standard means the management-approved expression of the 
performance threshold(s), requirement(s), or expectation(s) that must be 
met to be appraised at a particular level of performance. A performance 
standard may include, but is not limited to, quality, quantity, 
timeliness, and manner of performance.
    Progress review means communicating with the employee about 
performance compared to the performance standards of critical and non-
critical elements.
    Rating of record means the performance rating prepared at the end of 
an appraisal period for performance of agency-assigned duties over the 
entire period and the assignment of a summary level within a pattern (as 
specified in Sec. 430.208(d)), or (2) in accordance with 
Sec. 531.404(a)(1) of this chapter. These constitute official ratings of 
record referenced in this chapter.

[60 FR 43943, Aug. 23, 1995, as amended at 62 FR 62503, Nov. 24, 1997]



Sec. 430.204  Agency performance appraisal system(s).

    (a) Each agency as defined at section 4301(1) of title 5, United 
States Code, shall develop one or more performance appraisal systems for 
employees covered by this subpart.
    (b) An agency appraisal system shall establish agencywide policies 
and parameters for the application and operation of performance 
appraisal within the agency for the employees covered by the system. At 
a minimum, a agency system shall--
    (1) Provide for--
    (i) Establishing employee performance plans, including, but not 
limited to, critical elements and performance standards;
    (ii) Communicating performance plans to employees at the beginning 
of an appraisal period;
    (iii) Evaluating each employee during the appraisal period on the 
employee's elements and standards;

[[Page 312]]

    (iv) Recognizing and rewarding employees whose performance so 
warrants;
    (v) Assisting employees in improving unacceptable performance; and
    (vi) Reassigning, reducing in grade, or removing employees who 
continue to have unacceptable performance, but only after an opportunity 
to demonstrate acceptable performance.
    (2) Identify employees covered by the system;
    (3) Specify the flexibilities an agency program established under 
the system has for setting--
    (i) The length of the appraisal period (as specified in 
Sec. 430.206(a));
    (ii) The length of the minimum period (as specified in 
Sec. 430.207(a));
    (iii) The number(s) of performance levels at which critical and non-
critical elements may be appraised (as specified in Sec. 430.206(b)(7) 
(i)(A) and (ii)(A)); and
    (iv) The pattern of summary levels that may be assigned in a rating 
of record (as specified in Sec. 430.208(d));
    (4) Include, where applicable, criteria and procedures for 
establishing separate appraisal programs under an appraisal system; and
    (5) Require that an appraisal program shall conform to statute, the 
regulations of this chapter, and the requirements established by the 
appraisal system.
    (c) Agencies are encouraged to involve employees in developing and 
implementing their system(s). When agencies involve employees, the 
method of involvement shall be in accordance with the law.

[60 FR 43943, Aug. 23, 1995; 60 FR 47646, Sept. 13, 1995]



Sec. 430.205  Agency performance appraisal program(s).

    (a) Each agency shall establish at least one appraisal program of 
specific procedures and requirements to be implemented in accordance 
with the applicable agency appraisal system. At a minimum, each 
appraisal program shall specify the employees covered by the program and 
include the procedures and requirements for planning performance (as 
specified in Sec. 430.206), monitoring performance (as specified in 
Sec. 430.207), and rating performance (as specified in Sec. 430.208).
    (b) An agency program shall establish criteria and procedures to 
address employee performance for employees who are on detail, who are 
transferred, and for other special circumstances as established by the 
agency.
    (c) An agency may permit the development of separate appraisal 
programs under an appraisal system.
    (d) Agencies are encouraged to involve employees in developing and 
implementing their program(s). When agencies involve employees, the 
method of involvement shall be in accordance with law.



Sec. 430.206  Planning performance.

    (a) Appraisal period. (1) An appraisal program shall designate an 
official appraisal period for which a performance plan shall be 
prepared, during which performance shall be monitored, and for which a 
rating of record shall be prepared.
    (2) Each program shall specify a single length of time as its 
appraisal period. The appraisal period generally shall be 12 months so 
that employees are provided a rating of record on an annual basis. A 
program's appraisal period may be longer when work assignments and 
responsibilities so warrant or performance management objectives can be 
achieved more effectively.
    (b) Performance plan. (1) Agencies shall encourage employee 
participation in establishing performance plans.
    (2) Performance plans shall be provided to employees at the 
beginning of each appraisal period (normally within 30 days).
    (3) An appraisal program shall require that each employee be covered 
by an appropriate written, or otherwise recorded, performance plan based 
on work assignments and responsibilities.
    (4) Each performance plan shall include all elements which are used 
in deriving and assigning a summary level, including at least one 
critical element and any non-critical element(s).
    (5) Each performance plan may include one or more additional 
performance elements, which--
    (i) Are not used in deriving and assigning a summary level, and

[[Page 313]]

    (ii) Are used to support performance management processes as 
described at Sec. 430.102(b).
    (6) A performance plan established under an appraisal program that 
uses only two summary levels (pattern A as specified in 
Sec. 430.208(d)(1)) shall not include non-critical elements.
    (7) An appraisal program shall establish how many and which 
performance levels may be used to appraise critical and non-critical 
elements.
    (8) Elements and standards shall be established as follows--
    (i) For a critical element--
    (A) At least two levels for appraisal shall be used with one level 
being ``Fully Successful'' or its equivalent and another level being 
``Unacceptable,'' and
    (B) A performance standard shall be established at the ``Fully 
Successful'' level and may be established at other levels.
    (ii) For non-critical elements, when established,--
    (A) At least two levels for appraisal shall be used, and
    (B) A performance standard(s) shall be established at whatever 
level(s) is appropriate.
    (iii) The absence of an established performance standard at a level 
specified in the program shall not preclude a determination that 
performance is at that level.

[60 FR 43943, Aug. 23, 1995, as amended at 62 FR 62503, Nov. 24, 1997]



Sec. 430.207  Monitoring performance.

    (a) Minimum period. An appraisal program shall establish a minimum 
period of performance that must be completed before a performance rating 
may be prepared.
    (b) Ongoing appraisal. An appraisal program shall include methods 
for appraising each critical and non-critical element during the 
appraisal period. Performance on each critical and non-critical element 
shall be appraised against its performance standard(s). Ongoing 
appraisal methods shall include, but not be limited to, conducting one 
or more progress reviews during each appraisal period.
    (c) Marginal performance. Appraisal programs should provide 
assistance whenever performance is determined to be below ``Fully 
Successful'' or equivalent but above ``Unacceptable.''
    (d) Unacceptable performance. An appraisal program shall provide 
for--
    (1) Assisting employees in improving unacceptable performance at any 
time during the appraisal period that performance is determined to be 
unacceptable in one or more critical elements; and
    (2) Taking action based on unacceptable performance.



Sec. 430.208  Rating performance.

    (a) As soon as practicable after the end of the appraisal period, a 
written, or otherwise recorded, rating of record shall be given to each 
employee.
    (1) A rating of record shall be based only on the evaluation of 
actual job performance for the designated appraisal period.
    (2) An agency shall not issue a rating of record that assumes a 
level of performance by an employee without an actual evaluation of that 
employee's performance.
    (3) Except as provided in Sec. 430.208(i), a rating of record is 
final when it is issued to an employee with all appropriate reviews and 
signatures.
    (b) Rating of record procedures for each appraisal program shall 
include a method for deriving and assigning a summary level as specified 
in paragraph (d) of this section based on appraisal of performance on 
critical elements and, as applicable, non-critical elements.
    (1) A Level 1 summary (``Unacceptable'') shall be assigned if and 
only if performance on one or more critical elements is appraised as 
``Unacceptable.''
    (2) Consideration of non-critical elements shall not result in 
assigning a Level 1 summary (`` Unacceptable'').
    (c) The method for deriving and assigning a summary level may not 
limit or require the use of particular summary levels (i.e., establish a 
forced distribution of summary levels). However, methods used to make 
distinctions among employees or groups of employees such as comparing, 
categorizing, and ranking employees or groups on the basis of their 
performance may be used for purposes other than assigning a summary 
level including, but not

[[Page 314]]

limited to, award determinations and promotion decisions.
    (d) Summary levels. (1) An appraisal program shall use one of the 
following patterns of summary levels:

----------------------------------------------------------------------------------------------------------------
                                                                                  Summary level
                            Pattern                            -------------------------------------------------
                                                                    1         2         3         4         5
----------------------------------------------------------------------------------------------------------------
A.............................................................        X   ........        X   ........  ........
B.............................................................        X   ........        X   ........        X
C.............................................................        X   ........        X         X   ........
D.............................................................        X         X         X   ........  ........
E.............................................................        X   ........        X         X         X
F.............................................................        X         X         X   ........        X
G.............................................................        X         X         X         X   ........
H.............................................................        X         X         X         X         X
----------------------------------------------------------------------------------------------------------------

    (2) Within any of the patterns shown in paragraph (d)(1) of this 
section, summary levels shall comply with the following requirements:
    (i) Level 1 through Level 5 are ordered categories, with Level 1 as 
the lowest and Level 5 as the highest;
    (ii) Level 1 is ``Unacceptable'';
    (iii) Level 3 is ``Fully Successful'' or equivalent; and
    (iv) Level 5 is ``Outstanding'' or equivalent.
    (3) The term ``Outstanding'' shall be used only to describe a Level 
5 summary.
    (4) The designation of a summary level and its pattern shall be used 
to provide consistency in describing ratings of record and as a 
reference point for applying other related regulations, including, but 
not limited to, assigning additional retention service credit under 
Sec. 351.504 of this chapter.
    (5) Under the provisions of Sec. 351.504(e) of this chapter, the 
number of years of additional retention service credit established for a 
summary level of a rating of record shall be applied in a uniform and 
consistent manner within a competitive area in any given reduction in 
force, but the number of years may vary:
    (i) In different reductions in force;
    (ii) In different competitive areas; and
    (iii) In different summary level patterns within the same 
competitive area.
    (e) A rating of record of ``Unacceptable'' (Level 1) shall be 
reviewed and approved by a higher level management official.
    (f) The rating of record or performance rating for a disabled 
veteran shall not be lowered because the veteran has been absent from 
work to seek medical treatment as provided in Executive Order 5396.
    (g) When a rating of record cannot be prepared at the time 
specified, the appraisal period shall be extended. Once the conditions 
necessary to complete a rating of record have been met, a rating of 
record shall be prepared as soon as practicable.
    (h) Each rating of record shall cover a specified appraisal period. 
Agencies shall not carry over a rating of record prepared for a previous 
appraisal period as the rating of record for a subsequent appraisal 
period(s) without an actual evaluation of the employee's performance 
during the subsequent appraisal period.
    (i) When either a regular appraisal period or an extended appraisal 
period ends and any agency-established deadline for providing ratings of 
record passes or a subsequent rating of record is issued, an agency 
shall not produce or change retroactively a rating of record that covers 
that earlier appraisal period except that a rating of record may be 
changed--
    (1) Within 60 days of issuance based upon an informal request by the 
employee;
    (2) As a result of a grievance, complaint, or other formal 
proceeding permitted by law or regulation that results in a final 
determination by appropriate authority that the rating of record must be 
changed or as part of a bona fide settlement of a formal proceeding; or
    (3) Where the agency determines that a rating of record was 
incorrectly recorded or calculated.
    (j) A performance rating may be prepared at such other times as an 
appraisal program may specify for special circumstances including, but 
not limited to, transfers and performance on details.

[60 FR 43943, Aug. 23, 1995, as amended at 62 FR 62503, Nov. 24, 1997; 
63 FR 53276, Oct. 5, 1998]



Sec. 430.209  Agency responsibilities.

    An agency shall--
    (a) Submit to OPM for approval a description of its appraisal 
system(s) as specified in Sec. 430.204(b) of this subpart,

[[Page 315]]

and any subsequent changes that modify any element of the agency's 
system(s) that is subject to a regulatory requirement in this part;
    (b) Transfer the employee's most recent ratings of record, and any 
subsequent performance ratings, when an employee transfers to another 
agency or is assigned to another organization within the agency in 
compliance with part 293 of this chapter and instructions in the OPM 
Operating Manual, THE GUIDE TO PERSONNEL RECORDKEEPING, for sale by the 
U.S. Government Printing Office, Superintendent of Documents;
    (c) Communicate with supervisors and employees (e.g., through formal 
training) about relevant parts of its performance appraisal system(s) 
and program(s);
    (d) Evaluate the performance appraisal system(s) and performance 
appraisal program(s) in operation in the agency;
    (e) Report ratings of record data to the Central Personnel Data File 
in compliance with instructions in the OPM Operating Manual, FEDERAL 
WORKFORCE REPORTING SYSTEMS, for sale by the U.S. Government Printing 
Office, Superintendent of Documents;
    (f) Maintain and submit such records as OPM may require; and
    (g) Take any action required by OPM to ensure conformance with 
applicable law, regulation, and OPM policy.



Sec. 430.210  OPM responsibilities.

    (a) OPM shall review and approve an agency's performance appraisal 
system(s).
    (b) OPM may evaluate the operation and application of an agency's 
performance appraisal system(s) and program(s).
    (c) If OPM determines that an appraisal system or program does not 
meet the requirements of applicable law, regulation, or OPM policy, it 
shall direct the agency to implement an appropriate system or program or 
to take other corrective action.



            Subpart C--Managing Senior Executive Performance

    Source: 65 FR 60842, Oct. 13, 2000, unless otherwise noted.



Sec. 430.301  General.

    (a) Statutory authority. Chapter 43 of title 5, United States Code, 
provides for performance management for the Senior Executive Service 
(SES), the establishment of SES performance appraisal systems, and 
appraisal of senior executive performance. This subpart prescribes 
regulations for managing SES performance to implement the statutory 
provisions at 5 U.S.C. 4311-4315.
    (b) Purpose. The regulations in this subpart require agencies to 
establish performance management systems that hold senior executives 
accountable for their individual and organizational performance in order 
to improve the overall performance of Government by--
    (1) Expecting excellence in senior executive performance;
    (2) Linking performance management with the results-oriented goals 
of the Government Performance and Results Act of 1993;
    (3) Setting and communicating individual and organizational goals 
and expectations;
    (4) Systematically appraising senior executive performance using 
measures that balance organizational results with customer, employee, or 
other perspectives; and
    (5) Using performance results as a basis for pay, awards, 
development, retention, removal, and other personnel decisions.



Sec. 430.302  Coverage.

    (a) This subpart applies to all senior executives covered by 
subchapter II of chapter 31 of title 5, United States Code.
    (b) This subpart applies to agencies identified in section 
3132(a)(1) of title 5, United States Code.



Sec. 430.303  Definitions.

    Terms used in this subpart are defined as follows:

[[Page 316]]

    Appointing authority means the department or agency head, or other 
official with authority to make appointments in the Senior Executive 
Service.
    Appraisal period means the established period of time for which a 
senior executive's performance will be appraised and rated.
    Balanced measures means an approach to performance measurement that 
balances organizational results with the perspectives of distinct 
groups, including customers and employees.
    Critical element means a key component of an executive's work that 
contributes to organizational goals and results and is so important that 
unsatisfactory performance of the element would make the executive's 
overall job performance unsatisfactory.
    Other performance elements means components of an executive's work 
that do not meet the definition of a critical element, but may be 
important enough to factor into the executive's performance appraisal.
    Performance means the accomplishment of the work described in the 
senior executive's performance plan.
    Performance appraisal means the review and evaluation of a senior 
executive's performance against performance elements and requirements.
    Performance management system means the framework of policies and 
practices that an agency establishes under subchapter II of chapter 43 
of title 5, United States Code, and this subpart, for planning, 
monitoring, developing, evaluating, and rewarding both individual and 
organizational performance and for using resulting performance 
information in making personnel decisions.
    Performance requirement means a statement of the performance 
expected for a critical element.
    Progress review means a review of the senior executive's progress in 
meeting the performance requirements. A progress review is not a 
performance rating.
    Ratings: (1) Initial summary rating means an overall rating level 
the supervisor derives from appraising the senior executive's 
performance during the appraisal period and forwards to the Performance 
Review Board.
    (2) Annual summary rating means the overall rating level that an 
appointing authority assigns at the end of the appraisal period after 
considering a Performance Review Board's recommendations. This is the 
official rating.
    Senior executive performance plan means the written summary of work 
the senior executive is expected to accomplish during the appraisal 
period and the requirements against which performance will be evaluated. 
The plan addresses all critical elements and any other performance 
elements established for the senior executive.
    Strategic planning initiatives means agency strategic plans, annual 
performance plans, organizational workplans, and other related 
initiatives.



Sec. 430.304  SES performance management systems.

    (a) To encourage excellence in senior executive performance, each 
agency must develop and administer one or more performance management 
systems for its senior executives.
    (b) Performance management systems must provide for:
    (1) Planning and communicating performance elements and requirements 
that are linked with strategic planning initiatives;
    (2) Consulting with senior executives on the development of 
performance elements and requirements;
    (3) Monitoring progress in accomplishing elements and requirements;
    (4) At least annually, appraising each senior executive's 
performance against requirements using measures that balance 
organizational results with customer and employee perspectives; and
    (5) Using performance information to adjust pay, reward, reassign, 
develop, and remove senior executives or make other personnel decisions.
    (c) Additional system requirements--(1)Appraisal period. Each agency 
must establish an official performance appraisal period for which an 
annual summary rating must be prepared.
    (i) There must be a minimum appraisal period of at least 90 days.
    (ii) An agency may end the appraisal period any time after the 
minimum appraisal period is completed, if there is an adequate basis on 
which to appraise

[[Page 317]]

and rate the senior executive's performance.
    (iii) An agency may not appraise and rate a career appointee's 
performance within 120 days after the beginning of a new President's 
term of office.
    (2) Summary performance levels. Each performance management system 
must have at least three summary performance levels: one or more fully 
successful levels, a minimally satisfactory level, and an unsatisfactory 
level.
    (3) Method for deriving summary ratings. Agencies must develop a 
method for deriving summary ratings from appraisals of performance 
against performance requirements. The method must ensure that only those 
employees whose performance exceeds normal expectations are rated at 
levels above fully successful. An agency may not prescribe a forced 
distribution of rating levels for senior executives.



Sec. 430.305  Planning and communicating performance.

    (a) Each senior executive must have a performance plan that 
describes the individual and organizational expectations for the 
appraisal period and sets the requirements against which performance 
will be evaluated. Supervisors must develop performance plans in 
consultation with senior executives and communicate the plans to them on 
or before the beginning of the appraisal period.
    (b) Senior executive performance plan requirements:
    (1) Critical elements. At a minimum, plans must describe the 
critical elements of the senior executive's work and any other relevant 
performance elements. Elements must reflect individual and 
organizational performance.
    (2) Performance requirements. At a minimum, plans must describe the 
level of performance expected for fully successful performance of the 
executive's work. These are the standards against which the senior 
executive's performance will be appraised.
    (3) Link with strategic planning initiatives. Critical elements and 
performance requirements for each senior executive must be consistent 
with the goals and performance expectations in the agency's strategic 
planning initiatives.



Sec. 430.306  Monitoring performance.

    (a) Supervisors must monitor each senior executive's performance 
during the appraisal period and provide feedback to the senior executive 
on progress in accomplishing the performance elements and requirements 
described in the performance plan. Supervisors must provide advice and 
assistance to senior executives on how to improve their performance.
    (b) Supervisors must hold a progress review for each senior 
executive at least once during the appraisal period. At a minimum, 
senior executives must be informed about how well they are performing 
against performance requirements.



Sec. 430.307  Appraising performance.

    (a) Annual appraisals. Agencies must appraise each senior 
executive's performance in writing and assign an annual summary rating 
at the end of the appraisal period.
    (1) At a minimum, a senior executive must be appraised on the 
performance of the critical elements in the performance plan.
    (2) Appraisals of senior executive performance must be based on both 
individual and organizational performance, taking into account such 
factors as--
    (i) Results achieved in accordance with the goals of the Government 
Performance and Results Act of 1993;
    (ii) Customer satisfaction;
    (iii) Employee perspectives;
    (iv) The effectiveness, productivity, and performance quality of the 
employees for whom the senior executive is responsible; and
    (v) Meeting affirmative action, equal employment opportunity, and 
diversity goals and complying with the merit system principles set forth 
under section 2301 of title 5, United States Code.
    (b) Details and job changes. (1) When a senior executive is detailed 
or temporarily reassigned for 120 days or longer, the gaining 
organization must set performance goals and requirements for the detail 
or temporary assignment. The gaining organization must appraise the 
senior executive's performance in writing, and this appraisal must be 
factored into the initial summary rating.

[[Page 318]]

    (2) When a senior executive changes jobs or transfers to another 
agency after completing the minimum appraisal period, the supervisor 
must appraise the executive's performance in writing before the 
executive leaves.
    (3) The annual summary rating and any subsequent appraisals must be 
transferred to the gaining agency. The gaining supervisor must consider 
the rating and appraisals when developing the initial summary rating at 
the end of the appraisal period.



Sec. 430.308  Rating performance.

    (a) Initial summary rating. The supervisor must develop an initial 
summary rating of the senior executive's performance, in writing, and 
share that rating with the senior executive. The senior executive may 
respond in writing.
    (b) Higher level review. The senior executive may ask a higher level 
official to review the initial summary rating before the rating is given 
to the Performance Review Board (PRB). The senior executive is entitled 
to one higher level review, unless the agency provides for more than one 
review level. The higher level official cannot change the supervisor's 
initial summary rating, but may recommend a different rating to the PRB 
and the appointing authority. Copies of the reviewer's findings and 
recommendations must be given to the senior executive, the supervisor, 
and the PRB.
    (c) PRB review. The initial summary rating, the senior executive's 
response to the initial rating, and the higher level official's comments 
must be given to the PRB. The PRB must review the rating and comments 
from the senior executive and the higher level official, and make 
recommendations to the appointing authority, as provided in 
Sec. 430.310.
    (d) Annual summary rating. The appointing authority must assign the 
annual summary rating of the senior executive's performance, in writing, 
after considering any PRB recommendations. This rating is the official 
rating.
    (e) Extending the appraisal period. When an agency cannot prepare an 
annual summary rating at the end of the appraisal period because the 
senior executive has not completed the minimum appraisal period or for 
other reasons, the agency must extend the executive's appraisal period. 
The agency will then prepare the annual summary rating.
    (f) Appeals. Senior executive performance appraisals and ratings are 
not appealable.



Sec. 430.309  Using performance results.

    (a) Agencies will use the results of performance appraisals and 
ratings as a basis for adjusting pay, granting awards, and making other 
personnel decisions. Performance information will also be a factor in 
assessing a senior executive's continuing development needs.
    (b) A career executive whose annual summary rating is at least fully 
successful may be given a performance award under part 534, subpart D, 
of this chapter.
    (c) An executive may be removed from the SES for performance 
reasons, subject to the provisions of part 359, subpart E, of this 
chapter.
    (1) An executive who receives an unsatisfactory annual summary 
rating must be reassigned or transferred within the Senior Executive 
Service, or removed from the Senior Executive Service;
    (2) An executive who receives two unsatisfactory annual summary 
ratings in any 5-year period must be removed from the Senior Executive 
Service; and
    (3) An executive who receives less than a fully successful annual 
summary rating twice in any 3-year period must be removed from the 
Senior Executive Service.



Sec. 430.310  Performance Review Boards (PRBs).

    Each agency must establish one or more PRBs to make recommendations 
to the appointing authority on the performance of its senior executives.
    (a) Membership. (1) Each PRB must have three or more members who are 
appointed by the agency head, or by another official or group acting on 
behalf of the agency head. Agency heads are encouraged to include women, 
minorities, and people with disabilities on PRBs.

[[Page 319]]

    (2) PRB members must be appointed in a way that assures consistency, 
stability, and objectivity in SES performance appraisal.
    (3) When appraising a career appointee's performance or recommending 
a career appointee for a performance award, more than one-half of the 
PRB's members must be SES career appointees.
    (4) The agency must publish notice of PRB appointments in the 
Federal Register before service begins.
    (b) Functions. (1) Each PRB must review and evaluate the initial 
summary rating, the senior executive's response, and the higher level 
official's comments on the initial summary rating, and conduct any 
further review needed to make its recommendations.
    (2) The PRB must make a written recommendation to the appointing 
authority about each senior executive's annual summary rating.
    (3) PRB members may not take part in any PRB deliberations involving 
their own appraisals.



Sec. 430.311  Training and evaluation.

    (a) To assure that agency performance management systems are 
effectively implemented, agencies must provide appropriate information 
and training to supervisors and senior executives on performance 
management, including planning and appraising performance.
    (b) Agencies must periodically evaluate the effectiveness of their 
performance management system(s) and implement improvements as needed.
    (c) Agencies must maintain all performance-related records for no 
less than 5 years from the date the annual summary rating is issued, as 
required in Sec. 293.404(b)(1) of this chapter.



Sec. 430.312  OPM review of agency systems.

    (a) Agencies must submit proposed SES performance management systems 
to OPM for approval.
    (b) OPM will review agency systems for compliance with the 
requirements of law, OPM regulations, and OPM performance management 
policy.
    (c) If OPM finds that an agency system does not meet the 
requirements and intent of subchapter II of chapter 43 of title 5, 
United States Code, or of this subpart, it will direct the agency to 
take corrective action, and the agency must comply.



PART 432--PERFORMANCE BASED REDUCTION IN GRADE AND REMOVAL ACTIONS--Table of Contents




Sec.
432.101 Statutory authority.
432.102 Coverage.
432.103 Definitions.
432.104 Addressing unacceptable performance.
432.105 Proposing and taking action based on unacceptable performance.
432.106 Appeal and grievance rights.
432.107 Agency records.

    Authority: 5 U.S.C. 4303, 4305.

    Source: 54 FR 26179, June 21, 1989, unless otherwise noted.



Sec. 432.101  Statutory authority.

    This part applies to reduction in grade and removal of employees 
covered by the provisions of this part based solely on performance at 
the unacceptable level. 5 U.S.C. 4305 authorizes the Office of Personnel 
Management to prescribe regulations to carry out the purposes of title 
5, chapter 43, United States Code, including 5 U.S.C. 4303, which covers 
agency actions to reduce in grade or remove employees for unacceptable 
performance. (The provisions of 5 U.S.C. 7501 et seq., may also be used 
to reduce in grade or remove employees. See part 752 of this chapter.)

[58 FR 65533, Dec. 15, 1993]



Sec. 432.102  Coverage.

    (a) Actions covered. This part covers reduction in grade and removal 
of employees based on unacceptable performance.
    (b) Actions excluded. This part does not apply to:
    (1) The reduction in grade of a supervisor or manager who has not 
completed the probationary period under 5 U.S.C. 3321(a)(2) if such a 
reduction is based on supervisory or managerial performance and the 
reduction is to the grade held immediately before becoming a supervisor 
or manager in accordance with 5 U.S.C. 3321(b);

[[Page 320]]

    (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;
    (3) The reduction in grade or removal of an employee in the 
competitive service serving in an appointment that requires no 
probationary or trial period who has not completed 1 year of current 
continuous employment in the same or similar position under other than a 
temporary appointment limited to 1 year or less;
    (4) 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;
    (5) An action imposed by the Merit Systems Protection Board under 
the authority of 5 U.S.C. 1206;
    (6) An action taken under 5 U.S.C. 7521 against an administrative 
law judge;
    (7) An action taken under 5 U.S.C. 7532 in the interest of national 
security;
    (8) An action taken under a provision of statute, other than one 
codified in title 5 of the U.S. Code, which excepts the action from the 
provisions of title 5 of the U.S. Code;
    (9) A removal from the Senior Executive Service to a civil service 
position outside the Senior Executive Service under part 359 of this 
chapter;
    (10) A reduction-in-force governed by part 351 of this chapter;
    (11) A voluntary action by the employee;
    (12) A performance-based action taken under part 752 of this 
chapter;
    (13) An action that terminates a temporary or term promotion and 
returns the employee to the position from which temporarily promoted, or 
to a different position of equivalent grade and pay if the agency 
informed the employee that it was to be of limited duration;
    (14) A termination in accordance with terms specified as conditions 
of employment at the time the appointment was made; and
    (15) An involuntary retirement because of disability under part 831 
of this chapter.
    (c) Agencies covered. This part applies to:
    (1) The executive departments listed at 5 U.S.C. 101;
    (2) The military departments listed at 5 U.S.C. 102;
    (3) Independent establishments in the executive branch as described 
at 5 U.S.C. 104, except for a Government corporation; and
    (4) The Government Printing Office.
    (d) Agencies excluded. This part does not apply to:
    (1) A Government corporation;
    (2) The Central Intelligence Agency;
    (3) The Defense Intelligence Agency;
    (4) The National Security Agency;
    (5) 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;
    (6) The General Accounting Office;
    (7) The U.S. Postal Service; and
    (8) The Postal Rate Commission.
    (e) Employees covered. This part applies to individuals employed in 
or under a covered agency as specified at Sec. 432.102(c) except as 
listed in Sec. 432.102(f).
    (f) Employees excluded. This part does not apply to:
    (1) An employee in the competitive service who is serving a 
probationary or trial period under an initial appointment;
    (2) An employee in the competitive service serving in an appointment 
that requires no probationary or trial period, who has not completed 1 
year of current continuous employment in the same or similar positions 
under other than a temporary appointment limited to 1 year or less;
    (3) An employee in the excepted service who has not completed 1 year 
of current continuous employment in the same or similar positions;
    (4) An employee outside the United States who is paid in accordance 
with local native prevailing wage rates for the area in which employed;
    (5) An individual in the Foreign Service of the United States;
    (6) An employee who holds a position with the Veterans Health 
Administration which has been excluded from the competitive service by 
or under a provision of title 38, United States Code,

[[Page 321]]

unless such employee was appointed to such a position under section 
7401(3) of title 38;
    (7) An administrative law judge appointed under 5 U.S.C. 3105;
    (8) An individual in the Senior Executive Service;
    (9) An individual appointed by the President;
    (10) An employee occupying a position in Schedule C as authorized 
under part 213 of this chapter;
    (11) A reemployed annuitant;
    (12) A technician in the National Guard described in 5 U.S.C. 
8337(h)(1), employed under section 709(b) of title 32;
    (13) An individual occupying a position in the excepted service for 
which employment is not reasonably expected to exceed 120 calendar days 
in a consecutive 12 month period; and
    (14) A manager or supervisor returned to his or her previously held 
grade pursuant to 5 U.S.C. 3321 (a)(2) and (b).

[54 FR 26179, June 21, 1989, as amended at 57 FR 10125, Mar. 24, 1992; 
57 FR 20042, May 11, 1992; 58 FR 13192, Mar. 10, 1993; 58 FR 65533, Dec. 
15, 1993]



Sec. 432.103  Definitions.

    For the purpose of this part--
    (a) Acceptable performance means performance that meets an 
employee's performance requirement(s) or standard(s) at a level of 
performance above ``unacceptable'' in the critical element(s) at issue.
    (b) Critical element means a work assignment or responsibility of 
such importance that unacceptable performance on the element would 
result in a determination that an employee's overall performance is 
unacceptable.
    (c) Current continuous employment means a period of employment or 
service immediately preceding an action under this part in the same or 
similar positions without a break in Federal civilian employment of a 
workday.
    (d) Opportunity to demonstrate acceptable performance means a 
reasonable chance for the employee whose performance has been determined 
to be unacceptable in one or more critical elements to demonstrate 
acceptable performance in the critical element(s) at issue.
    (e) Reduction in grade means the involuntary assignment of an 
employee to a position at a lower classification or job grading level.
    (f) Removal means the involuntary separation of an employee from 
employment with an agency.
    (g) Similar positions mean positions in which the duties performed 
are similar in nature and character and require substantially the same 
or similar qualifications, so that the imcumbents could be interchanged 
without significant training or undue interruption to the work.
    (h) Unacceptable performance means performance of an employee that 
fails to meet established performance standards in one or more critical 
elements of such employee's position.

[54 FR 26179, June 21, 1989, as amended at 54 FR 49076, Nov. 29, 1989; 
55 FR 25950, June 26, 1990; 57 FR 23045, June 1, 1992; 57 FR 60717, Dec. 
22, 1992; 58 FR 65534, Dec. 15, 1993; 60 FR 43946, Aug. 23, 1995]



Sec. 432.104  Addressing unacceptable performance.

    At any time during the performance appraisal cycle that an 
employee's performance is determined to be unacceptable in one or more 
critical elements, the agency shall notify the employee of the critical 
element(s) for which performance is unacceptable and inform the employee 
of the performance requirement(s) or standard(s) that must be attained 
in order to demonstrate acceptable performance in his or her position. 
The agency should also inform the employee that unless his or her 
performance in the critical element(s) improves to and is sustained at 
an acceptable level, the employee may be reduced in grade or removed. 
For each critical element in which the employee's performance is 
unacceptable, the agency shall afford the employee a reasonable 
opportunity to demonstrate acceptable performance, commensurate with the 
duties and responsibilities of the employee's position. As part of the 
employee's opportunity to demonstrate acceptable performance, the agency 
shall offer assistance to the employee in improving unacceptable 
performance.

[55 FR 25950, June 26, 1990, as amended at 58 FR 65534, Dec. 15, 1993]

[[Page 322]]



Sec. 432.105  Proposing and taking action based on unacceptable performance.

    (a) Proposing action based on unacceptable performance. (1) Once an 
employee has been afforded a reasonable opportunity to demonstrate 
acceptable performance pursuant to Sec. 432.104, an agency may propose a 
reduction-in-grade or removal action if the employee's performance 
during or following the opportunity to demonstrate acceptable 
performance is unacceptable in 1 or more of the critical elements for 
which the employee was afforded an opportunity to demonstrate acceptable 
performance.
    (2) If an employee has performed acceptably for 1 year from the 
beginning of an opportunity to demonstrate acceptable performance (in 
the critical element(s) for which the employee was afforded an 
opportunity to demonstrate acceptable performance), and the employee's 
performance again becomes unacceptable, the agency shall afford the 
employee an additional opportunity to demonstrate acceptable performance 
before determining whether to propose a reduction in grade or removal 
under this part.
    (3) A proposed action may be based on instances of unacceptable 
performance which occur within a 1 year period ending on the date of the 
notice of proposed action.
    (4) An employee whose reduction in grade or removal is proposed 
under this part is entitled to:
    (i) Advance notice. (A) The agency shall afford the employee a 30 
day advance notice of the proposed action that identifies both the 
specific instances of unacceptable performance by the employee on which 
the proposed action is based and the critical element(s) of the 
employee's position involved in each instance of unacceptable 
performance.
    (B) An agency may extend this advance notice period for a period not 
to exceed 30 days under regulations prescribed by the head of the 
agency. An agency may extend this notice period further without prior 
OPM approval for the following reasons:
    (1) To obtain and/or evaluate medical information when the employee 
has raised a medical issue in the answer to a proposed reduction in 
grade or removal;
    (2) To arrange for the employee's travel to make an oral reply to an 
appropriate agency official, or the travel of an agency official to hear 
the employee's oral reply;
    (3) To consider the employee's answer if an extention to the period 
for an answer has been granted (e.g., because of the employee's illness 
or incapacitation);
    (4) To consider reasonable accommodation of a handicapping 
condition;
    (5) If agency procedures so require, to consider positions to which 
the employee might be reassigned or reduced in grade; or
    (6) To comply with a stay ordered by a member of the Merit Systems 
Protection Board under 5 U.S.C. 1208(b).
    (C) If an agency believes that an extension of the advance notice 
period is necessary for another reason, it may request prior approval 
for such extension from the Chief, Family Programs and Employee 
Relations Division, Office of Labor Relations and Workforce Performance, 
Personnel Systems and Oversight Group, Office of Personnel Management, 
1900 E Street NW., Washington, DC 20415.
    (ii) Opportunity to answer. The agency shall afford the employee a 
reasonable time to answer the agency's notice of proposed action orally 
and in writing.
    (iii) Representation. The agency shall allow the employee to be 
represented by an attorney or other representative. An agency may 
disallow as an employee's representative an individual whose activities 
as a representative would cause a conflict of interest or position or an 
employee whose release from his or her official position would give rise 
to unreasonable costs to the Government or whose priority work 
assignment precludes his or her release from official duties.
    (iv) Consideration of medical conditions. The agency shall allow an 
employee who wishes to raise a medical condition which may have 
contributed to his or her unacceptable performance to furnish medical 
documentation (as defined in Sec. 339.102 of this chapter of the 
condition for the agency's consideration. Whenever possible, the 
employee

[[Page 323]]

shall supply this documentation following the agency's notification of 
unacceptable performance under Sec. 432.104. If the employee offers such 
documentation after the agency has proposed a reduction in grade or 
removal, he or she shall supply this information in accordance with 
Sec. 432.105(a)(4)(ii). In considering documentation submitted in 
connection with the employee's claim of a medical condition, the agency 
may require or offer a medical examination in accordance with the 
criteria and procedures of part 339 of this chapter, and shall be aware 
of the affirmative obligations of 29 CFR 1613.704. If the employee who 
raises a medical condition has the requisite years of service under the 
Civil Service Retirement System or the Federal Employees Retirement 
System, the agency shall provide information concerning application for 
disability retirement. As provided at Sec. 831.501(d) of this chapter, 
an employee's application for disability retirement shall not preclude 
or delay any other appropriate agency decision or personnel action.
    (b) Final written decision. The agency shall make its final decision 
within 30 days after expiration of the advance notice period. Unless 
proposed by the head of the agency, such written decision shall be 
concurred in by an employee who is in a higher position than the person 
who proposed the action. In arriving at its decision, the agency shall 
consider any answer of the employee and/or his or her representative 
furnished in response to the agency's proposal. A decision to reduce in 
grade or remove an employee for unacceptable performance may be based 
only on those instances of unacceptable performance that occurred during 
the 1 year period ending on the date of issuance of the advance notice 
of proposed action under Sec. 432.105(a)(4)(i). The agency shall issue 
written notice of its decision to the employee at or before the time the 
action will be effective. Such notice shall specify the instances of 
unacceptable performance by the employee on which the action is based 
and shall inform the employee of any applicable appeal and/or grievance 
rights.

[54 FR 26179, June 21, 1989. Redesignated and amended at 54 FR 49076, 
Nov. 29, 1989. Redesignated and amended at 58 FR 65534, Dec. 15, 1993]



Sec. 432.106  Appeal and grievance rights.

    (a) Appeal rights. An employee covered under Sec. 432.102(e) who has 
been removed or reduced in grade under this part may appeal to the Merit 
Systems Protection Board if the employee is:
    (1) In the competitive service and has completed a probationary or 
trial period;
    (2) In the competitive service serving in an appointment which is 
not subject to a probationary or trial period, and has completed 1 year 
of current continuous employment in the same or similar position(s) 
under other than a temporary appointment limited to 1 year or less;
    (3) A preference eligible in the excepted service who has completed 
1 year of current continuous employment in the same or similar 
position(s); or
    (4) A nonpreference eligible in the excepted service who is covered 
by subparts C and D of part 752 of this chapter.
    (b) Grievance rights. (1) A bargaining unit employee covered under 
Sec. 432.102(e) who has been removed or reduced in grade under this part 
may file a grievance under an applicable negotiated grievance procedure 
if the removal or reduction in grade action falls within its coverage 
(i.g., is not excluded by the parties to the collective bargaining 
agreement) and the employee is:
    (i) In the competitive service and has completed a probationary or 
trial period.
    (ii) In the competitive service, serving in an appointment which is 
not subject to a probationary or trial period, and has completed 1 year 
of current continuous employment in the same or similar position(s) 
under other than a temporary appointment limited to 1 year or less;
    (iii) A preference eligible in the excepted service who has 
completed 1

[[Page 324]]

year of current continuous employment in the same or similar 
position(s); or
    (iv) A nonpreference eligible in the excepted service who is covered 
by subparts C and D of part 752 of the chapter.
    (2) 5 U.S.C. 7114(a)(5) and 7121(b)(3), and the terms of an 
applicable collective bargaining agreement govern representation for 
employees in an exclusive bargaining unit who grieve a matter under this 
section through the negotiated grievance process.
    (c) Election of forum. As provided at 5 U.S.C. 7121(e)(1), a 
bargaining unit employee who by law may file an appeal or a grievance, 
and who has exercised his or her option to appeal an action taken under 
this part to the Merit Systems Protection Board, may not also file a 
grievance on the matter under a negotiated grievance procedure. 
Likewise, a bargaining unit employee who has exercised his or her option 
to grieve an action taken under this part may not also file an appeal on 
the matter with the Merit Systems Protection Board.

[54 FR 26179, June 21, 1989. Redesignated at 54 FR 49076, Nov. 29, 1989; 
57 FR 20043, May 11, 1992; 58 FR 13192, Mar. 10, 1993. Redesignated at 
58 FR 65534, Dec. 15, 1993]



Sec. 432.107  Agency records.

    (a) When the action is effected. The agency shall preserve all 
relevant documentation concerning a reduction in grade or removal which 
is based on unacceptable performance and make it available for review by 
the affected employee or his or her representative. At a minimum, the 
agency's records shall consist of a copy of the notice of proposed 
action, the answer of the employee when it is in writing, a summary 
thereof when the employee makes an oral reply, the written notice of 
decision and the reasons therefor, and any supporting material including 
documentation regarding the opportunity afforded the employee to 
demonstrate acceptable performance.
    (b) When the action is not affected. As provided at 5 U.S.C. 
4303(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 advanced written notice provided in accordance with 
Sec. 432.105(a)(4)(i), any entry or other notation of the unacceptable 
performance for which the action was proposed shall be removed from any 
agency record relating to the employee.

[55 FR 25950, June 26, 1990, as amended at 58 FR 65534, Dec. 15, 1993]



PART 451--AWARDS--Table of Contents




                        Subpart A--Agency Awards

Sec.
451.101 Authority and coverage.
451.102 Definitions.
451.103 Agency award program(s).
451.104 Awards.
451.105 Award restrictions.
451.106 Agency responsibilities.
451.107 OPM responsibilities.

                     Subpart B--Presidential Awards

451.201 Authority and coverage.
451.202 Payment.
451.203 Responsibilities of the Office of Personnel Management.

                   Subpart C--Presidential Rank Awards

451.301 Ranks for the Senior Executive Service.
451.302 Ranks for senior career employees.
451.303 Restrictions.
451.304 Payment of Rank Awards.
451.305 Responsibilities of the Office of Personnel Management.

    Authority: 5 U.S.C. 4302, 4501-4509; E.O. 11438, 12828.



                        Subpart A--Agency Awards

    Source: 60 FR 43946, Aug. 23, 1995, unless otherwise noted.



Sec. 451.101  Authority and coverage.

    (a) Chapter 45 of title 5, United States Code authorizes agencies to 
pay a cash award to, grant time-off to, and incur necessary expense for 
the honorary recognition of, an employee (individually or as a member of 
a group) and requires the Office of Personnel Management to prescribe 
regulations governing such authority. Chapter 43 of title 5, United 
States Code, provides for recognizing and rewarding employees whose 
performance so warrants. The regulations in this subpart, in combination 
with chapters 43 and 45 of title

[[Page 325]]

5, United States Code, and any other applicable law, establish the 
requirements for agency award programs.
    (b) Section 4 of E.O. 11438 (Prescribing Procedures Governing 
Interdepartmental Cash Awards to the Members of the Armed Forces, 
December 3, 1968) requires the Office of Personnel Management to 
prescribe procedures for covering the cost of a cash award recommended 
by more than one agency for a member of the armed forces for the 
adoption or use of a suggestion, invention, or scientific achievement. 
Section 1 of E.O. 12828 (Delegation of Certain Personnel Management 
Authorities, January 5, 1993) delegates to the Office of Personnel 
Management the authority of the President to permit performance-based 
cash awards under 5 U.S.C. 4505a to be paid to categories of employees 
who would not be eligible otherwise.
    (c) This subpart applies to employees as defined by section 2105 and 
agencies as defined by section 4501 of title 5, United States Code, 
except as provided in Secs. 451.105 and 451.201(b).
    (d) For the regulatory requirements for granting performance awards 
to Senior Executive Service (SES) employees under 5 U.S.C. 5384, refer 
to Sec. 534.403 of this chapter.

[60 FR 43946, Aug. 23, 1995; 60 FR 47646, Sept. 13, 1995]



Sec. 451.102  Definitions.

    Award means something bestowed or an action taken to recognize and 
reward individual or team achievement that contributes to meeting 
organizational goals or improving the efficiency, effectiveness, and 
economy of the Government or is otherwise in the public interest. Such 
awards include, but are not limited to, employee incentives which are 
based on predetermined criteria such as productivity standards, 
performance goals, measurement systems, award formulas, or payout 
schedules.
    Award program means the specific procedures and requirements 
established by an agency or a component of an agency for granting awards 
under subchapter I of chapter 43 and subchapter I of chapter 45 of title 
5, United States Code, and this subpart.



Sec. 451.103  Agency award program(s).

    (a) Agencies shall develop one or more award programs for employees 
covered by this subpart.
    (b) Agencies are encouraged to involve employees in developing such 
programs. When agencies involve employees, the method of involvement 
shall be in accordance with law.
    (c) An agency award program shall provide for--
    (1) Obligating funds consistent with applicable agency financial 
management controls and delegations of authority; and
    (2) Documenting justification for awards that are not based on a 
rating of record (as defined in Sec. 430.203 of this chapter).

[60 FR 43946, Aug. 23, 1995; 60 FR 47646, Sept. 13, 1995]



Sec. 451.104  Awards.

    (a) An agency may grant a cash, honorary, or informal recognition 
award, or grant time-off without charge to leave or loss of pay 
consistent with chapter 45 of title 5, United States Code, and this part 
to an employee, as an individual or member of a group, on the basis of--
    (1) A suggestion, invention, superior accomplishment, productivity 
gain, or other personal effort that contributes to the efficiency, 
economy, or other improvement of Government operations or achieves a 
significant reduction in paperwork;
    (2) A special act or service in the public interest in connection 
with or related to official employment; or
    (3) Performance as reflected in the employee's most recent rating of 
record (as defined in Sec. 430.203 of this chapter), except that 
performance awards may be paid to SES employees only under Sec. 534.403 
of this chapter and not on the basis of this subpart.
    (b) A cash award under this subpart is a lump sum payment and is not 
basic pay for any purpose.
    (c) An award is subject to applicable tax rules, such as 
withholding.
    (d) When an award is approved for--
    (1) An employee of another agency, the benefiting agency shall make 
arrangements to transfer funds to the employing agency to cover the 
award.

[[Page 326]]

If the administrative costs of transferring funds would exceed the 
amount of the award, the employing agency shall absorb the award costs 
and pay the award; and
    (2) A member of the armed forces for a suggestion, invention, or 
scientific achievement, arrangements shall be made to transfer funds to 
the agency having jurisdiction over the member in accordance with E.O. 
11438, ``Prescribing Procedures Governing Interdepartmental Cash Awards 
to the Members of the Armed Forces''.
    (e) An award may be granted to a separated employee or the legal 
heir(s) or estate of a deceased employee.
    (f) A time-off award granted under this subpart shall not be 
converted to a cash payment under any circumstances.
    (g) When granting an award on the basis of a rating of record that 
is paid as a percentage of basic pay under 5 U.S.C. 4505a(a)(2)(A), the 
rate of basic pay used shall be determined without taking into account 
any locality-based comparability payment under 5 U.S.C. 5304 or an 
interim geographic adjustment or special law enforcement adjustment 
under section 302 or 404 of the Federal Employees Pay Comparability Act 
of 1990, respectively.



Sec. 451.105  Award restrictions.

    (a) In accordance with 5 U.S.C. 4508, agencies shall not grant 
awards under this subpart during a Presidential election period to 
employees who are--
    (1) In a Senior Executive Service position and not a career 
appointee as defined under 5 U.S.C. 3132(a)(4); or
    (2) In an excepted service position of a confidential or policy-
determining character (schedule C).
    (b) In accordance with 5 U.S.C. 4509, agencies shall not grant cash 
awards under this subpart to employees appointed by the President with 
Senate confirmation who serve in--
    (1) An Executive Schedule position, or
    (2) A position for which pay is set in statute by reference to a 
section or level of the Executive Schedule.



Sec. 451.106  Agency responsibilities.

    (a) In establishing and operating its award program(s), an agency 
shall assure that a program does not conflict with or violate any other 
law or Governmentwide regulation.
    (b) When a recommended award would grant more than $10,000 to an 
individual employee, the agency shall submit the recommendation to OPM 
for approval.
    (c) Agencies shall provide for communicating with employees and 
supervisors (e.g., through formal training) about the relevant parts of 
their award program(s).
    (d) Agencies shall evaluate their award program(s).
    (e) Agencies shall document all cash and time off awards in 
compliance with instructions in the OPM Operating Manual, THE GUIDE TO 
PROCESSING PERSONNEL ACTIONS, for sale by the U.S. Government Printing 
Office, Superintendent of Documents.
    (f) Agencies shall file award documents in the Official Personnel 
Folder in compliance with instructions in the OPM Operating Manual, THE 
GUIDE TO PERSONNEL RECORDKEEPING, for sale by the U.S. Government 
Printing Office, Superintendent of Documents.
    (g) Agencies shall report award data to the Central Personnel Data 
File in Compliance with instructions in the OPM Operating Manual, 
FEDERAL WORKFORCE REPORTING SYSTEMS, for sale by the U.S. Government 
Printing Office, Superintendent of Documents.
    (h) Agencies shall maintain and submit to OPM such records as OPM 
may require.
    (i) Agencies shall give due weight to an award granted under this 
part in qualifying and selecting an employee for promotion as provided 
in 5 U.S.C. 3362.
    (j) Agencies shall take any corrective action required by OPM to 
ensure conformance with applicable law, regulation, and OPM policy.



Sec. 451.107  OPM responsibilities.

    (a) OPM shall review and approve or disapprove each agency 
recommendation for an award that would grant more than $10,000 to an 
individual employee.

[[Page 327]]

    (b) When a recommended award would grant more than $25,000 to an 
individual employee, OPM shall review the recommendation and submit it 
(if approved) to the President for final approval.
    (c) OPM shall review and approve or disapprove a request from the 
head of an Executive agency to extend the provisions of 5 U.S.C. 4505a 
to any category of employees within that agency that would not be 
covered otherwise.
    (d) OPM may evaluate the operation and application of an agency's 
award program(s).



                     Subpart B--Presidential Awards

    Source: 51 FR 8419, Mar. 11, 1986, unless otherwise noted.



Sec. 451.201  Authority and coverage.

    (a) Under chapter 45 of title 5, United States Code, the President 
may pay a cash award to and incur necessary expenses for the honorary 
recognition of an employee who:
    (b) Awards granted under paragraph (a) of this section are subject 
to the restrictions as specified in Sec. 451.105.
    (1) By his/her suggestion, invention 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 official 
employment.
    (c) Except as provided in paragraph (b) of this section, this 
subpart applies to employees as defined by section 2105 of title 5, 
United States Code.
    (d) This subpart applies to agencies as defined in section 4501 of 
title 5, United States Code.

[51 FR 8419, Mar. 11, 1986, as amended at 58 FR 65534, Dec. 15, 1993; 60 
FR 43947, Aug. 23, 1995; 67 FR 52596, Aug. 13, 2002]



Sec. 451.202  Payment.

    (a) A Presidential award is paid by the agency(ies) primarily 
benefiting from the employee contribution.
    (b) A Presidential award may be in addition to an agency award under 
subpart A of this part.



Sec. 451.203  Responsibilities of the Office of Personnel Management.

    (a) The Office of Personnel Management, in accordance with Executive 
Order 10717, as amended, shall review agency recommendations for the 
President's Award for Distinguished Federal Civilian Service and 
recommend to the President which career employees should receive this 
award.
    (b) Under Executive Order 11228, section 2, the Office of Personnel 
Management has the authority to determine the activity or activities 
primarily benefiting from any suggestion, invention, or other 
contribution which forms the basis for a Presidential award under 5 
U.S.C. 4504.

[51 FR 8419, Mar. 11, 1986, as amended at 58 FR 65534, Dec. 15, 1993; 67 
FR 52596, Aug. 13, 2002]



                   Subpart C--Presidential Rank Awards

    Source: 67 FR 52596, Aug. 13, 2002, unless otherwise noted.



Sec. 451.301  Ranks for the Senior Executive Service.

    (a) The circumstances under which the President may award the rank 
of Distinguished Executive and Meritorious Executive to a Senior 
Executive Service (SES) career appointee are set forth in 5 U.S.C. 4507.
    (b) To be eligible for a rank award, a senior executive must:
    (1) Hold a career appointment in the SES, as defined at 5 U.S.C. 
3132(a)(4), on the nomination deadline set by OPM;
    (2) Be an employee of the agency, as defined at 5 U.S.C. 3132(a)(1), 
on the nomination deadline set by OPM; and
    (3) Have at least 3 years of career or career-type Federal civilian 
service at the SES level. Service need not be continuous.
    (i) Qualifying service includes appointments in the SES, the Senior 
Foreign Service, the Defense Intelligence Senior Executive Service, and 
similar senior executive systems.
    (ii) Qualifying service does not include noncareer, limited term, or 
limited emergency appointments in the SES or their equivalent, 
Scientific and

[[Page 328]]

Professional (ST) appointments, and Senior-Level (SL) appointments.
    (c) Each agency may nominate up to 9 percent of its SES career 
appointees for rank awards.



Sec. 451.302  Ranks for senior career employees.

    (a) The circumstances under which the President may award the rank 
of Distinguished Senior Professional and Meritorious Senior Professional 
to a senior career employee are set forth in 5 U.S.C. 4507a.
    (b) To be eligible for a rank award, a senior career employee must:
    (1) Hold a career appointment in a Senior-Level (SL) or Scientific-
Professional (ST) position that is subject to OPM position allocations 
under part 319 of this chapter and paid under 5 U.S.C. 5376 on the 
nomination deadline set by OPM;
    (2) Be an employee of the agency on the nomination deadline set by 
OPM; and
    (3) Have at least 3 years of career or career-type Federal civilian 
service above GS-15. Service need not be continuous. Qualifying service 
includes appointments that are not--
    (i) Time-limited; or
    (ii) To positions that are excepted from the competitive service 
because of their confidential or policy-making character.
    (c) Each agency may nominate up to 9 percent of its career senior 
employees for rank awards.



Sec. 451.303  Restrictions.

    (a) Governmentwide limitations--SES. During any fiscal year--
    (i) The number of career SES appointees awarded the rank of 
Meritorious Executive may not exceed 5 percent of the career SES; and
    (ii) The number of career SES appointees awarded the rank of 
Distinguished Executive may not exceed 1 percent of the career SES.
    (b) Governmentwide limitations--Senior career employees. During any 
fiscal year--
    (i) The number of career senior employees awarded the rank of 
Meritorious Senior Professional may not exceed 5 percent of the total 
number of career appointees to OPM-allocated Senior-Level (SL) and 
Scientific-Professional (ST) positions; and
    (ii) The number of career senior employees awarded the rank of 
Distinguished Senior Professional may not exceed 1 percent of the total 
number of career appointees to OPM-allocated Senior-Level (SL) and 
Scientific-Professional (ST) positions.
    (c) Frequency of awards. Individuals awarded a Distinguished or 
Meritorious rank under this subpart shall not be entitled to be awarded 
that rank during the following 4 fiscal years.



Sec. 451.304  Payment of Rank Awards.

    (a) Receipt of the Distinguished rank by an SES career appointee or 
a career senior employee 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 5 U.S.C. 5376 or 5382, or any award 
paid under 5 U.S.C. 5384.
    (b) Receipt of the Meritorious rank by an SES career appointee or a 
career senior employee 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 5 U.S.C. 5376 or 5382, or any award 
paid under 5 U.S.C. 5384.
    (c) Payment of rank awards must comply with the restrictions on 
annual aggregate compensation at 5 U.S.C. 5307.



Sec. 451.305  Responsibilities of the Office of Personnel Management.

    (a) Annually, OPM shall establish criteria, including terms, 
conditions, and evaluation factors, for rank award nominations, in 
consultation with agencies and other stakeholders. Agencies shall 
nominate individuals for rank awards in accordance with OPM criteria and 
any other instructions.
    (b) Annually, OPM shall review agency recommendations for 
Presidential Rank Awards for SES career appointees and senior career 
employees under 5 U.S.C. 4507 and 4507a, and recommend to the President 
which of those individuals should receive rank awards.

[[Page 329]]



PART 470--PERSONNEL MANAGEMENT RESEARCH PROGRAMS AND DEMONSTRATIONS PROJECTS--Table of Contents




                      Subpart A--General Provisions

Sec.
470.101 Statutory authority.
470.103 Definitions.

   Subpart B--Regulatory Requirements Pertaining to Research Programs

470.201 Purposes of research programs.
470.203 Eligible parties.
470.205 Initiation of research programs.

 Subpart C--Regulatory Requirements Pertaining to Demonstration Projects

470.301 Program expectations.
470.303 Eligible parties.
470.305 Submission of proposals for demonstration projects.
470.307 Notification responsibilities.
470.309 Public hearing.
470.311 Final project approval.
470.313 Project implementation regulations.
470.315 Project modification and extension.
470.317 Project evaluation.

    Authority: 5 U.S.C. 4706.

    Source: 48 FR 2726, Jan. 21, 1983, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 470.101  Statutory authority.

    (a) Section 4702, title 5, United States Code, provides the Office 
of Personnel Management (OPM) with the authority to:
    (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 
(a)(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.
    (b) Section 4703, title 5, United States Code, provides OPM with the 
authority to conduct and evaluate demonstration projects to determine 
whether a specified change in personnel management policies or 
procedures would result in improved Federal personnel management.
    (c) This part supplements and implements the provisions of chapter 
47 of title 5, United States Code, relating to the conduct of personnel 
research programs and demonstration projects, and must be read together 
with those provisions of law.



Sec. 470.103  Definitions.

    In this part:
    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 (5 U.S.C. 4701). The 
project must require the waiver of a provision of law, rule, or 
regulation which is eligible for waiver under the demonstration 
authority contained in 5 U.S.C. 4703. A project which can be undertaken 
under an agency's own authority and does not require the waiver of a 
provision of law, rule, or regulation is not considered a 
``demonstration project'' for purposes of this part.
    Research means systematic, intensive study directed toward fuller 
scientific knowledge or understanding of the subject studied. Activities 
classified as research are structured experimental or descriptive 
investigations conducted according to sound methodological principles.
    Research Program means a planned study of the manner in which public 
management policies and systems are operating or have operated, the 
effects of those policies and systems, the possibilities for change, and 
comparisons among policies and systems.

[[Page 330]]



   Subpart B--Regulatory Requirements Pertaining to Research Programs



Sec. 470.201  Purposes of research programs.

    The purposes of research programs undertaken under this subpart are 
to stimulate and conduct personnel management research which:
    (a) Develops new knowledge, techniques, and materials about 
personnel management;
    (b) Seeks solutions to personnel management problems;
    (c) Provides a factual base to support existing or proposed changes 
in personnel management policies, techniques, and materials;
    (d) Modifies or develops personnel management systems which improve 
the management of the Federal Government's human resources;
    (e) Gathers, makes explicit, systematizes, and transmits the 
knowledge and techniques of practicing managers for the guidance of 
others and as a factual basis for research needs determination;
    (f) Develops new methods or provides new standards for conducting 
personnel management research; or
    (g) Designs systems for the assessment and transmittal of relevant 
personnel management strategies.



Sec. 470.203  Eligible parties.

    Research may be conducted by the Office of Personnel Management, or 
under contract or agreement, as appropriate, by:
    (a) Federal agencies;
    (b) State and local governments;
    (c) Institutions of higher education; or
    (d) Other public or private institutions or organizations, profit or 
nonprofit.



Sec. 470.205  Initiation of research programs.

    OPM will announce opportunities for research contracts by issuing 
Requests for Proposals (RFP's) in accordance with Federal procurement 
regulations. Unsolicited proposals may be accepted; however the 
relevance of the proposed research to OPM research needs will determine 
the acceptability of the proposal.



 Subpart C--Regulatory Requirements Pertaining to Demonstration Projects



Sec. 470.301  Program expectations.

    (a) Demonstration projects permit the Office of Personnel Management 
and Federal agencies to test alternative personnel management concepts 
in controlled situations to determine the likely effects and 
ramifications of proposed changes before putting them into general 
effect. OPM will assist agencies, within available resources, in 
developing projects which demonstrate new or improved personnel methods.
    (b) The demonstration project must be proposed in a research 
context. The project plan must include a research design which contains:
    (1) Measurable goals or objectives;
    (2) Acceptable expected results or outcomes;
    (3) A description of the procedures, methods and techniques to be 
demonstrated in achieving the desired goals or objectives;
    (4) An evaluation section describing the data collection and 
analysis procedures to be used to assess the success or failure of the 
project from a qualitative and quantitative standpoint; and
    (5) An itemization of all costs and benefits associated with the 
project, to the agency, the Government, and the community.
    (c) OPM may establish and maintain activities which publish, 
exchange and apply the results of demonstration projects.
    (d) OPM may seek legislation, or to the extent already authorized by 
law, make changes in regulation to implement permanently successful 
procedures, techniques, new management knowledge, and materials which 
improve personnel management programs or techniques.



Sec. 470.303  Eligible parties.

    (a) Any Federal agency, or groups of two or more Federal agencies, 
eligible to propose demonstration projects under 5 U.S.C. 4701(a)(1) and 
4701(b) may conduct demonstration projects after approval by the Office 
of Personnel Management and required Congressional and public review.

[[Page 331]]

    (b) While only a Federal agency may propose and conduct a 
demonstration project, the agency may be assisted in the development and 
evaluation of the project under contract or agreement with public or 
private institutions and organizations.



Sec. 470.305  Submission of proposals for demonstration projects.

    (a) OPM will accept project proposals at any time. However, OPM may 
delay action for a reasonable amount of time on submitted proposals 
until comparisons can be made with other existing projects or with 
project proposals of a similar nature not yet received by OPM but known 
to be under development.
    (b) Agencies must submit the project proposal in the form of a 
project plan to OPM for approval. OPM will prescribe the content of a 
project plan in its guidance and instructions, which at a minimum will 
contain the items identified in 5 U.S.C. 4703(b)(1) and 5 CFR 
470.301(b).
    (c) Agencies will outline, at the time proposed demonstration 
projects are submitted to OPM for approval, what discussions of the 
project have been held with labor organizations which have been accorded 
exclusive recognition for bargaining units containing employees involved 
in or affected by the proposed demonstration project.
    (d) OPM may combine and evaluate similar project proposals received 
from different agencies as a single project, with the approval of the 
agencies involved.



Sec. 470.307  Notification responsibilities.

    (a) 5 U.S.C. 4703 requires notification of tentatively approved 
demonstration project plans to Congress, employees, labor organizations, 
and the public.
    (b) OPM shall:
    (1) Notify each House of the Congress 180 days in advance of the 
beginning of each project; and
    (2) Publish each tentatively approved project plan as a notice in 
the Federal Register.
    (c) Each agency having a tentatively approved project plan shall:
    (1) Notify and make available copies of the project plan to:
    (i) All employees who may be interested in or affected by the 
activities of the demonstration project; and
    (ii) All labor organizations accorded exclusive recognition for 
bargaining units which include employees in or affected by the project 
plan.
    (2) Certify to OPM in writing when and how the requirements of 
Sec. 470.307(c)(1) were carried out and document the manner in which it 
insured that all affected employees were notified.
    (3) Observe the consultation and negotiation requirements of 5 
U.S.C. 4703 (f) and (g).



Sec. 470.309  Public hearing.

    (a) Notice of public hearing. OPM shall hold a public hearing no 
less than 30 days after the date of its notice in the Federal Register 
during which interested persons or organizations may present their 
written or oral views concerning the proposed demonstration project. The 
notice of public hearing shall be published in the Federal Register and 
shall:
    (1) State the date, time, place and purpose of the hearing;
    (2) Describe briefly the project;
    (3) Indicate where more information and a copy of the project plan 
may be obtained;
    (4) State the name and address of the person who will receive 
written comments from those unable to attend the hearing; and
    (5) Indicate the date by which written comments must be received to 
be considered.
    (b) Nature of public hearing. The hearing will be informal to 
encourage effective oral presentations by interested individuals and 
organizations. The presiding officer, designated by the Director, OPM, 
shall in his or her reasonable discretion regulate the course of the 
proceedings and the conduct of those present at the hearing by 
appropriate means.
    (c) A written summary shall be made of the oral evidence.
    (d) The record shall be left open for 2 weeks after the conclusion 
of the hearing to receive additional written data, views, and arguments 
from the parties participating in the hearing.

[[Page 332]]



Sec. 470.311  Final project approval.

    (a) The Office of Personnel Management will consider all timely 
relevant oral and written views, arguments, and data before final 
approval or disapproval of a project plan. OPM may request that the 
agency modify the tentatively approved project plan before final 
approval because of comments and data received from the Congress, the 
public, labor organizations, and affected employees. OPM will not permit 
the agency to implement the project until all required consultation or 
negotiation has been completed, including the conclusion of impasse 
resolution and negotiability disputes.
    (b) The Office of Personnel Management shall provide a copy of the 
final version of the project plan to each House of the Congress at least 
90 days in advance of the date the project is to take effect.
    (c) Agencies involved in the project shall communicate the content 
of the final project plan to:
    (1) Labor organizations and affected employees; and
    (2) Individuals and groups known to be interested in the project's 
activities.



Sec. 470.313  Project implementation regulations.

    Agencies will prepare demonstration project implementing 
regulations, as appropriate, to replace Government-wide statutes and 
regulations waived for the project. Demonstration project implementing 
regulations issued pursuant to an OPM-approved demonstration project 
must be approved by OPM and shall have full force and authority pursuant 
to Title VI of the Civil Service Reform Act of 1978.



Sec. 470.315  Project modification and extension.

    OPM-approved projects permit the testing of alternative personnel 
systems and procedures in accordance with the provisions of the project 
plan. The provisions of approved project plans will not be modified, 
duplicated in organizations not listed in the project plan, or extended 
by agencies to individuals or groups of employees not included in the 
project plan without the approval of the Office of Personnel Management. 
OPM will inform the agency of notification responsibilities under 
Sec. 470.307. The extent of notification requirements will depend on the 
nature and extent of the requested project modification.



Sec. 470.317  Project evaluation.

    (a) Compliance evaluation. OPM will review the operation of the 
project periodically to determine its compliance with the requirements 
of this part and the approved project plan. If OPM determines that an 
agency is not meeting legal, regulatory, or project plan requirements, 
it may, as appropriate, direct the agency to take corrective action or 
terminate the project.
    (b) Results evaluation. All approved project plans will contain an 
evaluation section to measure the impact of the project results in 
relation to its objectives and to determine whether or not permanent 
changes in law and/or regulation should be considered or proposed. Where 
the project plan provides for agency evaluation of project results, OPM 
will review those project evaluation efforts, may conduct evaluations of 
its own, on a sample basis, to verify results, and may report its own 
conclusions. If OPM or the agency determines that an experiment is 
creating a substantial hardship on, or is not in the best interest of, 
the public, the Federal Government, employees, or eligibles, even though 
the experiment is being conducted properly, OPM or the agency may 
jointly or unilaterally terminate the project.



PART 511--CLASSIFICATION UNDER THE GENERAL SCHEDULE--Table of Contents




                      Subpart A--General Provisions

Sec.
511.101 Definitions.

               Subpart B--Coverage of the General Schedule

511.201 Coverage of and exclusions from the General Schedule.
511.202 Authority of agency.
511.203 Exercise of authority.

Subparts C-E [Reserved]

                    Subpart F--Classification Appeals

511.601 Applicability of regulations.

[[Page 333]]

511.602 Notification of classification decision.
511.603 Right to appeal.
511.604 Filing an appeal.
511.605 Time limits.
511.606 Form and content of an appeal.
511.607 Nonappealable issues.
511.608 Employee representatives.
511.609 Ascertainment of facts.
511.610 Notification.
511.611 Cancellation of an employee appeal.
511.612 Finality of decision.
511.613 Classification Appeals Office.
511.614 Review by the Director.
511.615 Temporary compliance authority.
511.616 Availability of information.

    Subpart G--Effective Dates of Position Classification Actions or 
                                Decisions

511.701 Effective dates generally.
511.702 Agency or Office classification appeal decisions.
511.703 Retroactive effective date.

    Authority: 5 U.S.C. 5115, 5338, 5351.

    Source: 33 FR 12445, Sept. 4, 1968, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 511.101  Definitions.

    In this part:
    (a) Agency and employee have the meanings given them by section 5102 
of title 5, United States Code.
    (b) Class means all positions which are sufficiently similar as to 
(1) kind or subject-matter of work, (2) level of difficulty and 
responsibility, and (3) the qualification requirements of the work, to 
warrant similar treatment in personnel and pay administration.
    (c) Classification means the analysis and identification of a 
position and placing it in a class under the position-classification 
plan established by OPM under chapter 51 of title 5, United States Code.
    (d) Grade means all classes of positions which (although different 
with respect to kind or subject-matter of work) are sufficiently 
equivalent as to (1) level of difficulty and responsibility, and (2) 
level of qualification requirements of the work, to warrant their 
inclusion within one range of rates of basic pay.
    (e) Position means the work, consisting of the duties and 
responsibilities, assigned by competent authority for performance by an 
employee.



               Subpart B--Coverage of the General Schedule



Sec. 511.201  Coverage of and exclusions from the General Schedule.

    This part and chapter 51 of the title 5, United States Code, apply 
to all positions in the agencies except those specifically excluded by 
section 5102 of title 5, United States Code. (5 U.S.C. 5102)

(5 U.S.C. 1104; Pub. L. 95-454, sec. 3(5))

[44 FR 54693, Sept. 21, 1979]



Sec. 511.202  Authority of agency.

    Subject to the provisions of subpart F of this part and 
Sec. 511.203, an agency may determine whether a position is subject to, 
or is excluded from, chapter 51 of title 5, United States Code, by 
section 5102(c) (7) and (8) thereof.



Sec. 511.203  Exercise of authority.

    An agency may exercise the authority under Sec. 511.202 only in 
accordance with guidelines and standards issued by OPM.

Subparts C-E [Reserved]



                    Subpart F--Classification Appeals

    Source: 46 FR 9913, Jan. 30, 1981, unless otherwise noted.



Sec. 511.601  Applicability of regulations.

    This subpart applies to a request from an employee or an agency for 
the Office to review the classification of a position subject to chapter 
51 of title 5, United States Code, or for the Office to determine 
whether a position is subject to that chapter.



Sec. 511.602  Notification of classification decision.

    An employee whose position is reclassified to a lower grade which is 
based in whole or in part on a classification decision is entitled to a 
prompt written notice from the agency. This includes employees who are 
eligible for retained grade or pay. If the reclassification is due to an 
Office classification certificate issued under the authority of 5 U.S.C. 
5110, the agency

[[Page 334]]

will also explain the reasons for the reclassification action to the 
employee. This notice shall inform the employee:
    (a) Of his or her right to appeal the classification decision to the 
agency (if the agency has an established appeal system and it has the 
authority to review the classification decision), or to the Office as 
provided in this subpart if such an appeal has not already been made;
    (b) Of the time limits within which the employee's appeal must be 
filed in order to preserve any retroactive benefits under Sec. 511.703; 
and
    (c) Any other appeal or grievance rights available under applicable 
law, rule, regulation or negotiated agreement.



Sec. 511.603  Right to appeal.

    (a) Employee appeal. An employee, or the employee's designated 
representative acting on behalf of an employee, may request an Office 
decision as to:
    (1) The appropriate occupational series or grade of the employee's 
official position.
    (2) The inclusion under or exclusion from chapter 51 of title 5, 
United States Code, of the official position by the employee's agency or 
the Office, except in the case of a position located in the Office of 
the Architect of the Capitol.
    (b) Agency appeal. The head of an agency, or an authorized 
representative, may appeal any classification certificate issued by the 
Office under sections 5103 or 5110 of title 5, U.S.C., with respect to 
any position in the agency.



Sec. 511.604  Filing an appeal.

    (a) Employee. An employee may appeal by writing to the Office 
directly, or by forwarding the appeal through the employing agency.
    (b) Referral of an employee appeal to the Office. An agency shall 
forward, within 60 calendar days of its receipt in the agency, and 
employee's appeal filed through the agency to the Office when:
    (1) The employee has directed the appeal to the Office and the 
agency's written decision is not favorable; or
    (2) The agency is not authorized to act on the employee's appeal; or
    (3) The agency has not decided the appeal within the established 
time period.



Sec. 511.605  Time limits.

    (a) Employees. (1) An employee may submit an appeal of his or her 
official position at any time. If the employee has suffered a loss in 
grade or pay, is not entitled to retained grade or pay, and desires 
retroactive adjustments, the time limits in Sec. 511.703 must be 
observed.
    (2) If the employee is appealing an agency decision or an Office 
classification certificate issued under 5 U.S.C. 5103 or 5110, the 
employee shall promptly appeal if he or she disagrees with the 
classification certificate. Employees must meet the time limits provided 
in Sec. 511.703 in order to preserve the right to retroactive 
adjustment.
    (b) Agency. An agency may appeal an Office classification 
certificate issued under authority of section 5103 or 5110 of title 5, 
United States Code, at any time. Heads of agencies should appeal prior 
to the implementation date of the certificate if they disagree with the 
classification rationale.
    (c) Reconsideration. An employee or agency may request 
reconsideration of an Office appellate decision. The request must be in 
writing, and filed not later than 45 calendar days after the decision is 
issued. This time limit may be waived under exceptional circumstances by 
either the Classification Appeals Office or the Director.



Sec. 511.606  Form and content of an appeal.

    (a) Employee appeal. An employee's appeal shall be in writing, and 
shall contain the reasons why the employee believes his or her position 
is erroneously classified, or should be brought under or excluded from 
chapter 51 of title 5, United States Code. The agency, when forwarding 
the employee's appeal or when requested by the Office, shall furnish all 
relevant facts concerning the position and the agency's justification 
for its classification decision. The agency shall also comment on the 
information submitted by the employee if requested to do so by the 
Office. Either the employee or agency may submit relevant information to

[[Page 335]]

the Office at any time following the initial filing of an appeal.
    (b) Agency appeal. An agency's appeal shall be in writing, and shall 
contain its reasons and justification for requesting a review of the 
Office's certificate.
    (c) Inspection of the Office's appellate record. The employee, an 
employee's representative and the agency will be permitted to inspect 
the Office's appellate record on request. Agencies will make available 
to appellants copies of any and all information submitted by the agency 
to the Office with respect to the appellant's individual appeal.



Sec. 511.607  Nonappealable issues.

    (a) The following issues are not appealable to the Office under this 
subpart. Such issues may be reviewed under administrative or negotiated 
grievance procedures if applicable:
    (1) The accuracy of the official position description including the 
inclusion or exclusion of a major duty in the official position 
description. When the accuracy of the official position description is 
questioned by the employee, the employee will be directed to review this 
matter with his or her supervisor. If management and the employee cannot 
resolve their differences informally, the accuracy of the position 
description should be reviewed in accordance with administrative or 
negotiated grievance procedures. If the accuracy of the position 
description cannot be resolved in this manner, the Office will decide 
the appeal on the basis of the actual duties and responsibilities 
assigned by management and performed by the employee;
    (2) An assignment or detail out of the scope of normally performed 
duties as outlined in the official position description;
    (3) The accuracy, consistency or use of agency supplemental 
classification guides; or,
    (4) The title of the position unless a specific title is authorized 
in a published Office classification standard or guide, or the title 
reflects a qualification requirement or authorized area of 
specialization.
    (b) The following issues are neither appealable nor reviewable:
    (1) The class, grade, or pay system of a position to which the 
employee is not officially assigned by an official personnel action;
    (2) An agency's proposed classification decision;
    (3) The class, grade, or pay system of a position to which the 
employee is detailed or promoted on a time-limited basis, except that 
employees serving under time-limited promotion for 2 years or more may 
appeal the classification of their positions to the Office under these 
procedures.
    (4) The classification of the employee's position based on position-
to-position comparisons and not standards;
    (5) The accuracy of grade level criteria contained in an Office 
classification guide or standard; or
    (6) A classification decision that has been issued by the Office 
under this subpart when there has been no change in the governing 
classification standard(s) or the major duties of the position.

[46 FR 9913, Jan. 30, 1981, as amended at 58 FR 59348, Nov. 9, 1993]



Sec. 511.608  Employee representatives.

    An employee may select a representative of his or her choice to 
assist in the preparation and presentation of an appeal. An agency may 
disallow an employee's representative when the individual's activities 
as a representative would cause a conflict of interest or position; an 
employee who cannot be released from his or her official duties because 
of the priority needs of the Government; or an employee whose release 
would give rise to unreasonable costs to the Government.



Sec. 511.609  Ascertainment of facts.

    The employee, a designated representative, and the agency shall 
furnish such facts as may be requested by the Office within the time 
frames specified. The facts shall be in writing when so requested. The 
Office, in its discretion, may investigate or audit the position. A 
representative may not participate in OPM on-site audits unless 
specifically requested to do so by the Office.

[[Page 336]]



Sec. 511.610  Notification.

    The Office shall notify the employee, or a representative if one is 
designated, and the agency in writing of its decision.



Sec. 511.611  Cancellation of an employee appeal.

    An employee's appeal shall be cancelled and the employee so notified 
in writing in the following circumstances:
    (a) On receipt of the employee's written request for cancellation.
    (b) On failure to prosecute, when the employee or the designated 
representative does not furnish requested information, or proceed with 
the advancement of the appeal.

The Office may at its discretion reopen a cancelled appeal on a showing 
that circumstances beyond the control of the employee prevented pursuing 
the appeal.



Sec. 511.612  Finality of decision.

    An appellate decision made by the Office is final unless 
reconsidered by the Office. There is no further right of appeal. The 
Office may reconsider a decision at its discretion. The decision shall 
constitute a certificate which is mandatory and binding on all 
administrative, certifying, payroll, disbursing, and accounting 
officials of the Government. Agencies shall review their own 
classification decisions for identical, similar or related positions to 
insure consistency with the Office's certificate.



Sec. 511.613  Classification Appeals Office.

    The Office's Classification Appeals Office may, at its discretion, 
reopen and reconsider a certificate issued under this subpart.
    (a) The Classification Appeals Office may remand to the respective 
region of the Office any request for reconsideration which requires 
extensive factfinding or investigation. Requests which contain new and 
material information, or disagreements over the significance of 
information, will be remanded to the regional deciding official for a 
decision.
    (b) The Classification Appeals Office may reopen and reconsider a 
decision only when written argument or evidence is presented which 
establishes a reasonable doubt concerning the technical accuracy of the 
decision.



Sec. 511.614  Review by the Director.

    The Director may, at his or her discretion, reopen and reconsider 
any decision when written argument or evidence is submitted which tends 
to establish that:
    (a) The previous decision involves an erroneous interpretation of 
law or regulation, or a misapplication of established policy:
    (b) The previous decision is of a precedential nature involving a 
new or unreviewed policy consideration that may have effects beyond the 
actual case at hand, or is otherwise of such an exceptional nature as to 
merit the personal attention of the Director.



Sec. 511.615  Temporary compliance authority.

    Agencies may use temporary or conditional compliance action, e.g., a 
temporary promotion or a temporary reassignment when available, if:
    (a) A position has been certified by the Office under either section 
5110 or 5112 of title 5, United States Code;
    (b) The certificate has not been suspended; and,
    (c) The agency or employee has requested reconsideration.

This authority will not be used if the position has been downgraded and 
the employee is entitled to retained grade under section 5362 of title 
5, United States Code.



Sec. 511.616  Availability of information.

    (a) The Office, upon a request which identifies the individual from 
whose file the information is sought, shall disclose the following 
information from an appeal file to a member of the public, except when 
the disclosure would constitute a clearly unwarranted invasion of 
personal privacy:
    (1) Confirmation of the name of the individual from whose file the 
information is sought and the names of the other parties concerned;
    (2) The status of the appeal;
    (3) The results of the appeal (i.e., proper title, pay plan, series, 
and grade);

[[Page 337]]

    (4) the classification requested (i.e., title, pay plan, series, and 
grade); and
    (5) With the consent of the parties concerned, other reasonably 
identified information from the file.
    (b) The Office will disclose to the parties concerned the 
information contained in an appeal file in proceedings under this part. 
For the purposes of this section, the parties concerned means the 
Government employee or former Government employee involved in the 
proceedings, his or her representative designated in writing, and the 
representative of the agency or the Office involved in the proceeding.

(5 U.S.C. 552, Freedom of Information Act, Pub. L. 92-502)

[50 FR 3313, Jan. 24, 1985]



    Subpart G--Effective Dates of Position Classification Actions or 
                                Decisions

    Source: 46 FR 9915, Jan. 30, 1981, unless otherwise noted.



Sec. 511.701  Effective dates generally.

    (a) Agency classification actions. (1) A classification action is a 
determination to establish or change the title, series, grade or pay 
system of a position based on application of published position 
classification standards or guides. This is a position action.
    (i) The effective date of a position action taken by an agency shall 
be the date an official with properly delegated authority approves 
(certifies) the proposed classification. This is accomplished when the 
authorized official(s) signs the allocation of the position.
    (ii) The effective date of a position action may be extended to 
correspond with the effective date of the personnel action when:
    (A) The position is being changed to lower grade or pay; and
    (B) The employee occupying the position is eligible for retained 
grade or pay under 5 U.S.C. 5362-5363.
    (2) A position action is implemented by a personnel action. The 
personnel action must occur within a reasonable period of time following 
the date of the position action.
    (3) If the position action requires a personnel action which will 
result in a loss of grade or pay to the occupant of the position, the 
agency must advise the employee, in writing, of the position action and 
the proposed date of the personnel action. This notice shall be issued 
prior to taking a personnel action.
    (4) Except as provided in Sec. 511.703, classification actions may 
not be made retroactive.
    (b) Office of Personnel Management's classification decision. (1) 
The effective date of a classification decision made by means of a 
certificate issued under the authority of section 5110, title 5, United 
States Code is not earlier than the date of the certificate, and not 
later than the beginning of the fourth pay period following the date of 
the certificate, unless a subsequent date is specifically stated in the 
certificate. Except as otherwise provided by this paragraph the filing 
of an appeal of such a certificate does not delay its effective date.
    (2) The implementation of the certificate may be suspended when it 
is determined before its effective date that a review of the 
classification decision is warranted and suspension is desirable. The 
determination to suspend implementation may be made by:
    (i) A regional director, or a designee, when the decision is made by 
the regional office; or,
    (ii) The Assistant Director, Agency Compliance and Evaluation, or a 
designee, when the decision is made within the central office or by a 
region, or
    (iii) The Director with respect to any classification decision.

Suspending the implementation of a certificate does not automatically 
change the effective date except when the certificate requires that the 
grade or pay of the position be reduced and the employee is not entitled 
to retained grade or pay.
    (3) When the original decision requires that the grade or pay of the 
position be reduced and the employee is not entitled to retained grade 
or pay the reviewing authority shall issue a new certificate if it 
sustains the original decision. Since demotions cannot be made 
retroactive, the effective date of the new certificate shall be not 
earlier than the date of the certificate, and not later than the 
beginning of the

[[Page 338]]

fourth pay period after the date of the certificate unless a subsequent 
date is specifically stated in the certificate.

[46 FR 9915, Jan. 30, 1981, as amended at 58 FR 65534, Dec. 15, 1993]



Sec. 511.702  Agency or Office classification appeal decisions.

    (a) Subject to Sec. 511.703, the effective date of a change in the 
classification of a position resulting from a classification appeal 
decision by either an agency or the Office is not earlier than the date 
of the decision and not later than the beginning of the fourth pay 
period following the date of the decision, except when a subsequent date 
is specifically provided in the decision.
    (b) The implementation of the decision may be suspended by the 
Office when it determines before the effective date that a review of the 
decision is warranted. The determination to suspend implementation may 
be made by:
    (1) The regional director, or a designee, when the appellate 
decision is made by an agency under the jurisdiction of the region; or
    (2) The Assistant Director, Agency Compliance and Evaluation, or the 
Chief, Classification Appeals Office when the appellate decision is made 
within the central office, by a region or by an agency; or
    (3) The Director with respect to any appellate decision.

Suspending the implementation does not change the effective date of the 
decision except when the original decision requires that the grade or 
pay of the position be reduced and the employee is not entitled to grade 
or pay retention.
    (c) When the original decision requires that the grade or pay 
position be reduced and the employee is not entitled to grade or pay 
retention, the reviewing authority, if sustaining the original decision, 
shall issue a new certificate and the effective date of the new 
certificate shall be not earlier than the date of the new decision and 
not later than the beginning of the fourth pay period following the date 
of the new decision, unless a subsequent date is specifically stated in 
the new decision.



Sec. 511.703  Retroactive effective date.

    (a) Applicability. A retroactive effective date may be required only 
if the employee is wrongfully demoted.
    (b) Downgrading. (1) The effective date of a classification 
appellate certificate or agency appellate decision can be retroactive 
only if it corrects a classification action which resulted in a loss of 
grade or pay. In order for the decision to be made retroactive, the 
employee must file the initial request for review with either the agency 
or the Office not later than 15 calendar days after the effective date 
of the reclassification action.
    (2) However, if the appellate decision raises the grade of the 
position above the original grade, retroactivity will apply only to the 
extent of restoration to the original grade.
    (3) The right to a retroactive effective date provided by this 
section is preserved on subsequent appeals from an agency or Office 
classification decision when the subsequent appeal is filed not later 
than 15 calendar days following receipt of written notification of a 
final agency administrative decision or 15 calendar days after the 
effective date of the action taken as a result of the classification 
decision, whichever is later.
    (c) Grade change based on new duties and responsibilities. 
Retroactivity may be based only on duties and responsibilities existing 
at the time of demotion and cannot be based on duties and 
responsibilities assigned later.
    (d) Retroactivity when time limits are extended. The right to a 
retroactive effective date provided by this section may be preserved at 
the discretion of the Office, on a showing by the employee that he or 
she was not notified of the applicable time limit and was not otherwise 
aware of it, or that circumstances beyond his or her control prevented 
filing an appeal within the prescribed time limit.



PART 530--PAY RATES AND SYSTEMS (GENERAL)--Table of Contents




Subpart A [Reserved]

[[Page 339]]

                 Subpart B--Aggregate Limitation on Pay

Sec.
530.201 Purpose.
530.202 Definitions.
530.203 Administration of aggregate limitation on pay.
530.204 Payment of excess amounts.
530.205 Records.

 Subpart C--Special Salary Rate Schedules for Recruitment and Retention

530.301 Applicability.
530.302 Authority.
530.303 Establishing and adjusting special salary rate schedules.
530.304 Annual review.
530.305 Revising or discontinuing special salary rate schedules.
530.306 Determining employee rates.
530.307 Effect of an adjustment in scheduled rates of pay.

    Authority: 5 U.S.C. 5305 and 5307; E.O. 12748, 56 FR 4521, 3 CFR, 
1991 Comp., p. 316;
    Subpart B also issued under secs. 302(c) and 404(c) of the Federal 
Employees Pay Comparability Act of 1990 (Pub. L. 101-509), 104 Stat. 
1462 and 1466, respectively;
    Subpart C also issued under sec. 4 of the Performance Management and 
Recognition System Termination Act of 1993 (Pub. L. 103-89), 107 Stat. 
981.

Subpart A [Reserved]



                 Subpart B--Aggregate Limitation on Pay

    Source: 56 FR 12835, Mar. 28, 1991, unless otherwise noted.



Sec. 530.201  Purpose.

    This subpart provides regulations to implement 5 U.S.C. 5307, which 
limits an employee's aggregate compensation to the rate payable for 
level I of the Executive Schedule at the end of the calendar year.



Sec. 530.202  Definitions.

    In this subpart: Agency means an Executive agency, as defined in 5 
U.S.C. 105.
    Aggregate compensation means the total of--
    (1) Basic pay received as an employee of the executive branch or as 
an employee outside the executive branch to whom chapter 51 of title 5, 
United States Code, applies;
    (2) Locality-based comparability payments under 5 U.S.C. 5304; 
continued rate adjustments under subpart G of part 531 of this chapter; 
or special pay adjustments for law enforcement officers under section 
404 of the Federal Employees Pay Comparability Act of 1990 (Pub. L. 101-
509);
    (3) Premium pay established by or under subchapter IV of chapter 53 
of title 5, United States Code;
    (4) Premium pay under subchapter V of chapter 55 of title 5;
    (5) Incentive awards and performance-based cash awards under 
chapters 45, 53, and 54 of title 5, United States Code;
    (6) Recruitment and relocation bonuses under 5 U.S.C. 5753;
    (7) Retention allowances under 5 U.S.C. 5754;
    (8) Supervisory differentials under 5 U.S.C. 5755;
    (9) Post differentials under 5 U.S.C. 5925;
    (10) Danger pay allowances under 5 U.S.C. 5928;
    (11) Allowances based on environmental conditions for employees 
stationed outside the continental United States or in Alaska under 5 
U.S.C. 5941(a)(2);
    (12) Physicians comparability allowances under 5 U.S.C. 5948;
    (13) Continuation of pay under 5 U.S.C. 8118; and
    (14) Other similar payments authorized under title 5, United States 
Code, excluding back pay due to an unjustified personnel action under 5 
U.S.C. 5596; overtime pay under the Fair Labor Standards Act of 1938, as 
amended, and part 551 of this chapter; severance pay under 5 U.S.C. 
5595; and lump-sum payments for accumulated and accrued annual leave on 
separation under 5 U.S.C. 5551 or 5552.
    Basic pay means the total amount of pay received during any 1 
calendar year at the rate fixed by law or administrative action for the 
position held by an employee, including night and environmental 
differentials for prevailing rate employees under 5 U.S.C. 5343(f) and 
Sec. 532.511 of this part, respectively, but before any deductions and 
exclusive of additional pay of any other kind.

[[Page 340]]

    Discretionary payment means a payment that an agency has discretion 
to pay or not to pay to an employee, including a retention allowance but 
excluding any other payment that is preauthorized to be paid to an 
employee at a regular fixed rate each pay period.
    Employee has the meaning given that term in 5 U.S.C. 2105.
    Estimated aggregate compensation means the agency's projection of 
the aggregate compensation an employee actually will receive during a 
calendar year based upon known factors--i.e., the total amount of basic 
pay the employee will be paid, plus any lump-sum payment of excess 
amounts from a previous calendar year; the total amount of 
nondiscretionary payments to which the employee is or is projected to be 
entitled; and the total amount of discretionary payments the employee is 
authorized to receive.

[56 FR 12835, Mar. 28, 1991, as amended at 57 FR 3114, Jan. 28, 1992; 58 
FR 50249, Sept. 27, 1993; 61 FR 3540, Feb. 1, 1996; 64 FR 69172, Dec. 
10, 1999]



Sec. 530.203  Administration of aggregate limitation on pay.

    (a) No executive branch employee (or General Schedule employee in 
the legislative or judicial branch) may receive any allowance, 
differential, bonus, award, or other similar cash payment under title 5, 
United States Code, in any calendar year to the extent such payment, in 
combination with the employee's basic pay (whether received under title 
5 or otherwise), would cause the employee's aggregate compensation to 
exceed the rate payable for level I of the Executive Schedule on the 
last day of that calendar year.
    (b) The limitation described in paragraph (a) of this section 
applies to the total amount of aggregate compensation actually received 
by an employee during the calendar year without regard to the period of 
service for which such compensation is received.
    (c) Except in the case of a retention allowance, at the time a 
discretionary payment is authorized for an employee, the employee may 
not receive any portion of such payment that, when added to the 
estimated aggregate compensation the employee is projected to receive, 
would cause the aggregate compensation actually received by the employee 
during the calendar year to exceed the rate payable for level I of the 
Executive Schedule at the end of the calendar year. Any portion of a 
discretionary payment deferred under this paragraph shall become 
available for payment as provided in Sec. 530.204. The authorization and 
payment of a retention allowance are governed by the rules set forth in 
subpart C of part 575 of this chapter.
    (d) Nondiscretionary payments may not be deferred or discontinued 
for any period of time in order to make a discretionary payment that 
would otherwise cause an employee's pay to exceed any limitation 
described in or established by this section.
    (e) If the estimated aggregate compensation to which an employee is 
entitled, after deferral of discretionary payments as required by 
paragraph (c) of this section, exceeds the rate in effect for level I of 
the Executive Schedule at the end of the calendar year, the agency shall 
defer all nondiscretionary payments (other than basic pay) at the time 
when otherwise continuing such payments would cause the aggregate 
compensation actually received by the employee during the calendar year 
to exceed the rate payable for level I of the Executive Schedule at the 
end of the calendar year. Any portion of a nondiscretionary payment 
deferred under this paragraph shall become available for payment as 
provided in Sec. 530.204.
    (f) If an agency makes an incorrect estimate of aggregate 
compensation at an earlier date in the calendar year, the sum of an 
employee's remaining payments of basic pay (which may not be deferred) 
may exceed the difference between the aggregate compensation the 
employee has actually received to date in that calendar year and the 
rate for level I of the Executive Schedule. In this case, the employee 
will become indebted to the Federal Government for any amount paid in 
excess of the level I aggregate limitation. To the extent that the 
excess amount is attributable to amounts that should have

[[Page 341]]

been deferred and would have been payable at the beginning of the next 
calendar year, the debt will be extinguished on January 1 of the next 
calendar year. As part of the correction of the error, the excess amount 
will be deemed to have been paid on January 1 of the next calendar year 
(when the debt was extinguished) as if it were a deferred excess payment 
as described in Sec. 530.204 and must be considered part of the 
employee's aggregate compensation for the new calendar year.

[56 FR 12835, Mar. 28, 1991, as amended at 57 FR 3114, Jan. 28, 1992; 58 
FR 50249, Sept. 27, 1993; 64 FR 69172, Dec. 10, 1999]



Sec. 530.204  Payment of excess amounts.

    (a) Except as provided in paragraph (d) of this section, amounts in 
excess of the limitations described in or established by Sec. 530.203 
shall be paid to the employee in a lump-sum at the beginning of the 
following calendar year. The amount so paid shall be considered part of 
the employee's aggregate compensation for the new calendar year.
    (b) If a lump-sum payment provided for in paragraph (a) of this 
section causes an employee's estimated aggregate compensation to exceed 
the rate payable for level I of the Executive Schedule at the end of the 
calendar year, the agency shall consider only the employee's basic pay 
in determining the extent to which the lump-sum payment may be paid and 
shall defer all other payments, as provided in Sec. 530.203, in order to 
pay as much of the excess amount as possible. Any payments deferred 
under this paragraph, including any portion of the excess amount that 
was not payable, shall become payable at the beginning of the next 
calendar year, as provided in paragraph (a) of this section.
    (c) If an employee transfers to another agency or leaves the Federal 
service, the agency responsible for making the payment is the agency 
that employed the individual when the excess amount was created.
    (d) The following conditions permit payment of excess aggregate 
compensation without regard to the calendar year limitation:
    (1) If an employee dies, the excess amount is payable immediately as 
part of the settlement of accounts, in accordance with 5 U.S.C. 5582.
    (2) If an employee separates from the Federal service, the entire 
excess amount is payable following a 30-day break in service. If the 
individual is reemployed in the Federal service in the same calendar 
year as separation, any previous payment of an excess amount shall be 
considered part of that year's aggregate compensation for the purpose of 
applying the limitations described in Sec. 530.203 of this part for the 
remainder of the calendar year.

[56 FR 12835, Mar. 28, 1991, as amended at 57 FR 3115, Jan. 28, 1992; 58 
FR 50249, Sept. 27, 1993]



Sec. 530.205  Records.

    Each agency shall maintain appropriate records to administer this 
subpart and shall transfer such records to any agency to which an 
employee may transfer and make such records available to any agency in 
which an employee may be reemployed during the same calendar year.



 Subpart C--Special Salary Rate Schedules for Recruitment and Retention

    Source: 50 FR 32841, Aug. 15, 1985, unless otherwise noted.



Sec. 530.301  Applicability.

    This subpart applies to agencies having positions paid under--
    (a) A statutory pay system; or
    (b) Any other pay system established by or under Federal statute for 
civilian positions within the executive branch.

[56 FR 20335, May 3, 1991]



Sec. 530.302  Authority.

    In lieu of the pay schedules identified in Sec. 530.301 of this 
part, the Office of Personnel Management (OPM) may establish, and 
agencies shall pay, special salary rates under section 5305 of title 5, 
United States Code, Executive Order 12748, and this subpart.

[56 FR 20335, May 3, 1991]

[[Page 342]]



Sec. 530.303  Establishing and adjusting special salary rate schedules.

    (a) OPM may increase the minimum rates otherwise payable under the 
pay schedules identified in Sec. 530.301 of this part in one or more 
areas or locations to the extent it considers necessary to overcome 
existing or likely significant handicaps in the recruitment or retention 
of well-qualified personnel when these handicaps are due to any of the 
circumstances described in paragraph (b) of this section. When a minimum 
rate is increased under this authority, increases may also be made in 
one or more of the remaining rates of the affected grade or level. In no 
event may an increased minimum rate exceed the maximum rate prescribed 
by law for the grade or level by more than 30 percent, and no rate may 
be established under this section in excess of the rate of basic pay 
payable for level V of the Executive Schedule.
    (b) The circumstances referred to in paragraph (a) of this section 
are the following:
    (1) Rates of pay offered by non-Federal employers are significantly 
higher than those payable by the Government within the area, location, 
occupational group, or other class of positions under the pay system 
involved;
    (2) The remoteness of the area or location involved;
    (3) The undesirability of the working conditions or the nature of 
the work involved (including exposure to toxic substances or other 
occupational hazards); or
    (4) Any other circumstances OPM considers appropriate.
    (c) An agency may propose to OPM that special salary rates be 
established or adjusted. The agency initiating such a request and all 
other agencies wishing to be included are responsible for submitting 
complete supporting data, as specified by OPM, including, after 
consulting with OPM, a survey of prevailing non-Federal pay rates in the 
relevant labor market.
    (d) All requests to establish or adjust special salary rate 
schedules must be transmitted directly to OPM's central office by the 
agency's headquarters. Each request must include a certification by the 
head of the agency (or another official designated to act on behalf of 
the head of the agency with respect to the given schedule) that the 
requested special salary rates are considered necessary to ensure 
staffing adequate to the accomplishment of the agency's mission.
    (e) In establishing or adjusting special salary rate schedules, OPM 
shall consider--
    (1) The number of existing or likely vacant positions and the length 
of time they have been vacant, including evidence to support the 
likelihood that a recruiting problem will develop if one does not 
already exist;
    (2) The number of employees who have or are likely to quit for 
comparable positions, including the number quitting for higher paying 
non-Federal positions and evidence to support the likelihood that 
employees will quit;
    (3) The number of vacancies the agency tried to fill, compared with 
the number of hires and offers made;
    (4) The nature of the existing labor market;
    (5) The degree to which the agency has considered and used other pay 
flexibilities available to the agency to alleviate its staffing 
problems, including above-minimum entry rates, recruitment and 
relocation bonuses, and retention allowances;
    (6) The degree to which the agency has considered relevant non-pay 
solutions to the staffing problems, such as conducting an aggressive 
recruiting program, using appropriate appointment authorities, 
redesigning jobs, establishing training programs, and improving working 
conditions;
    (7) The impact of the staffing problem on the agency's mission; and
    (8) The level of non-Federal rates paid for comparable positions. 
(Data on non-Federal salary rates may be supplemented, if appropriate, 
by data on Federal salary rates for comparable positions established 
under independent statutory authority.)
    (f) In determining at which level to set special salary rates, OPM 
shall consider--
    (1) The level of rates it believes necessary to recruit or retain an 
adequate number of well-qualified employees;

[[Page 343]]

    (2) The dollar costs that will be incurred if special salary rate 
schedules are not authorized; and
    (3) The level of pay for comparable positions.
    (g) No one factor or combination of factors specified in paragraph 
(e) or (f) of this section requires special salary rate schedules to be 
established at or adjusted to any given level. Each agency request to 
establish or adjust special salary rate schedules shall be judged on its 
own merits based on the extent to which it meets these criteria.
    (h) For newly established or existing special salary rate 
authorizations, OPM may establish GS-10 special salary rates for the 
purpose of computing overtime pay and annual premium pay for standby 
duty and for the purpose of applying the provisions of 5 U.S.C. 5543 
governing compensatory time off. In determining the minimum special rate 
for grade GS-10 to be established for these purposes, OPM shall consider 
the following factors, as appropriate in each situation:
    (1) The need to provide for a reasonable progression in basic pay 
rates from lower grade levels to higher grade levels; and
    (2) The need to avoid pay alignment problems that would result from 
applying the two-step promotion rule in 5 U.S.C. 5334(b).
    (i) The determination as to whether an employee is covered by a 
special salary rate schedule must be based on the employee's position of 
record and the official duty station for that position. For the purpose 
of this subpart, the employee's position of record and corresponding 
official duty station are the position and station documented on the 
employee's most recent notification of personnel action, excluding a 
notification associated with a new assignment that is followed 
immediately (i.e., within 3 workdays) by a reduction in force resulting 
in the employee's separation before he or she is required to report for 
duty at the new location. For an employee who is authorized to receive 
relocation allowances under 5 U.S.C. 5737 in connection with an extended 
assignment, the position and duty station associated with that 
assignment are the employee's position of record and official duty 
station.

[56 FR 20335, May 3, 1991, as amended at 57 FR 59276, Dec. 15, 1992; 62 
FR 25425, May 9, 1997; 64 FR 69172, Dec. 10, 1999]



Sec. 530.304  Annual review.

    (a) Prior to an adjustment in the scheduled rates of pay for one or 
more grades or levels for which special rates have been authorized under 
5 U.S.C. 5305, but at least annually, OPM shall review special salary 
rate schedules to determine whether the factors in Sec. 530.303 of this 
part and paragraph (b) of this section require those schedules to 
continue, and, if they are to continue, the extent to which they are to 
be adjusted, if at all.
    (b) In addition to the factors in Sec. 530.303 of this part, OPM 
shall consider, for the purpose of making the determination required by 
paragraph (a) of this section--
    (1) The former non-special pay rates of the special rate employees 
to ensure that any adjustment in the special rates of pay would not 
cause those rates to fall below the non-special rates of pay to which 
the special rate employees would otherwise have been entitled;
    (2) The likelihood that the factors leading to a statutory 
adjustment in pay will affect special rate employees as well; and
    (3) Other special rate pay adjustments that occurred prior to the 
date of the anticipated statutory pay adjustment.
    (c) Any adjustment in the special rates of pay shall be based on the 
factors in paragraphs (a) and (b) of this section and shall not be made 
solely for mechanical reasons or for the purposes of providing automatic 
adjustments. Any adjustment must be based on the pay OPM determines is 
necessary in a given occupation and area to recruit or retain the 
special rate employees.
    (d) In conducting the annual review, OPM shall designate lead 
agencies for assistance in coordinating the collection of relevant data. 
All agencies are responsible for submitting complete supporting data 
upon request to OPM or the lead agency, as appropriate.
    (e) When special rates are adjusted as a result of this review, an 
employee's

[[Page 344]]

pay shall be fixed in the same manner as provided in Sec. 530.307 of 
this part.

[57 FR 59276, Dec. 15, 1992]



Sec. 530.305  Revising or discontinuing special salary rate schedules.

    OPM and agencies shall initiate action to discontinue or revise 
special salary rate schedules when it is determined that these schedules 
are no longer needed, or no longer needed at existing levels, to ensure 
satisfactory recruitment or retention. No employee's pay shall be 
reduced because of such discontinuation or revision.

[50 FR 40178, Oct. 1, 1985, as amended at 51 FR 11007, Apr. 1, 1986; 51 
FR 23036, June 25, 1986; 57 FR 59277, Dec. 15, 1992]



Sec. 530.306  Determining employee rates.

    (a) Initial establishment and increases. (1) Except as otherwise 
provided in this section, when an employee is in a position to which a 
special rate schedule becomes initially applicable or for which the 
special salary rate schedule is increased, the agency shall fix the 
employee's rate of basic pay at the step in the new or increased special 
salary rate schedule that corresponds to the employee's existing 
numerical step or rate of the grade or level.
    (2) When a special salary rate schedule becomes initially applicable 
to, or increased for, a position occupied by an employee who is 
receiving basic pay at a rate in excess of the maximum rate of the 
applicable rate schedule, the agency shall increase the employee's rate 
of basic pay as follows:
    (i) If the employee is retaining a rate under part 536 of this 
chapter or section 3594 of title 5, United States Code, the agency shall 
increase the employee's rate of basic pay by an amount equal to 50 
percent of the increase in the maximum rate of the applicable rate 
range, except as provided in Sec. 536.205(d).
    (ii) If the employee is retaining a rate under an authority other 
than part 536 of this chapter (including a retained special rate 
resulting from the reduction or termination of a special salary rate 
schedule before the first day of the first pay period beginning on or 
after January 11, 1979), or section 3594 of title 5, United States Code, 
the agency shall increase the employee's rate of basic pay by the amount 
of the increase in the maximum rate of the applicable rate range.
    (3) When a special salary rate schedule becomes initially applicable 
to, or increased for, a position occupied by a GM employee (as defined 
in Sec. 531.202 of this chapter), the employee's rate of basic pay shall 
be determined under Sec. 531.205(a)(2) of this chapter.
    (b) Decreased and discontinued rates. (1) Except as provided in 
paragraph (b)(2) of this section, when the special salary rate schedule 
for a position is discontinued or decreased, the agency shall determine 
the rate of basic pay for an employee in the position as follows:
    (i) If the employee is receiving a rate of basic pay equal to one of 
the rates in the regular or decreased special salary rate schedule for 
the employee's grade or level, the agency shall fix the employee's rate 
of basic pay at that rate.
    (ii) If the employee is receiving a rate of basic pay at a rate 
between two rates in the regular or decreased special salary rate 
schedule for the employee's grade or level, the agency shall fix the 
employee's rate of basic pay at the higher of the two rates.
    (iii) If the employee is receiving a rate of basic pay at a rate in 
excess of the maximum rate for the regular or decreased special salary 
rate schedule for the employee's grade or level, the agency shall fix 
the employee's rate of basic pay at his or her existing rate, and the 
employee shall be entitled to this rate as provided in 
Sec. 536.104(a)(3).
    (2) If the employee is receiving a rate of basic pay applicable to a 
GM employee (as defined in Sec. 531.202 of this chapter), the employee 
shall receive his or her existing rate. This rate may be lower than the 
minimum rate for the regular schedule, as permitted by section 4 of the 
Performance Management and Recognition System Termination Act of 1993 
(Pub. L. 103-89). If the employee's existing rate exceeds the maximum 
rate for the regular or decreased special salary rate schedule, the 
employee shall be entitled to the existing rate, as provided in 
Sec. 536.104(a)(3) of this chapter.
    (c) Initial appointments. (1) The agency shall determine the rate of 
basic pay

[[Page 345]]

for an individual receiving an initial appointment (including an 
appointment after a break in service of at least 1 workday) to a 
position to which a special salary rate schedule applies under the 
regulations governing the pay system under which the employee is 
appointed without regard to the special salary rate schedule, and shall 
use the step or rate thus determined to fix the employee's rate at the 
corresponding step or rate in the special salary rate schedule.
    (2) A special salary rate may not be considered an employee's 
highest previous rate, except as provided in Sec. 531.203(d)(2)(vi).
    (d) General exception. Except as provided in paragraphs (e), (f), 
and (g) of this section, all other actions of promotion, reduction in 
grade, transfer, or reassignment are governed by the pay-fixing rules 
established for the appropriate pay system to which, or in which, the 
personnel action is taken.
    (e) Reassignments and transfers. When an employee is reassigned or 
transferred within the same pay system to a position to which a special 
salary rate schedule applies, the agency shall fix the employee's rate 
in the special salary rate schedule at the step or rate in the special 
salary rate schedule for the employee's grade or level which corresponds 
to the employee's existing numerical step or rate in the salary rate 
schedule for the employee's grade or level.
    (f) Promotions. When an employee in a position to which a special 
salary rate schedule does not apply is promoted to a position to which a 
special salary rate schedule applies, the agency shall first determine 
the employee's step or rate in the higher grade or level without regard 
to the special salary rate schedule, and then shall fix the employee's 
rate at the corresponding numerical step or rate in the special salary 
rate schedule for the grade to which promoted.
    (g) Reductions in grade. When an employee not entitled to a retained 
grade or rate under appropriate authority is reduced in grade to a 
position to which a special salary rate schedule applies, the agency 
shall first determine the employee's step or rate in the lower grade 
without regard to the special salary rate schedule, and then shall fix 
the employee's rate at the corresponding numerical step or rate in the 
special salary rate schedule for the grade to which reduced.

[50 FR 40178, Oct. 1, 1985, as amended at 56 FR 20335, May 3, 1991; 58 
FR 65535, Dec. 15, 1993; 59 FR 40792, Aug. 10, 1994]



Sec. 530.307  Effect of an adjustment in scheduled rates of pay.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
when an employee was receiving a special rate immediately before the 
effective date of an adjustment in scheduled rates of pay, the employee 
shall receive on that effective date the rate of basic pay for the 
numerical rank in the new special rate range established under 
Sec. 530.304 of this part for the employee's grade or level that 
corresponds to the numerical rank of the special rate the employee was 
receiving immediately before that effective date. However, in the case 
of an employee who becomes eligible for pay retention because a special 
rate schedule has been reduced under Sec. 530.304 of this part, the 
employee shall receive a rate of basic pay determined under 
Sec. 536.205(b) of this chapter.
    (b) If a special rate range is terminated under Sec. 530.304 of this 
part, an employee who was receiving a special rate immediately before 
the effective date of an adjustment in scheduled rates of pay shall 
receive on that effective date the numerical rank in the new statutory 
pay schedule for the employee's grade or level that corresponds to the 
numerical rank of the special rate the employee was receiving 
immediately before that effective date. However, in the case of an 
employee who becomes eligible for pay retention because the employee's 
pay would otherwise be reduced under Sec. 530.304 of this part, the 
employee shall receive a rate of basic pay determined under 
Sec. 536.205(b) of this chapter.
    (c) A GM employee (as defined in Sec. 531.202 of this chapter) 
receiving a special salary rate immediately before the effective date of 
an adjustment in scheduled rates of pay shall receive on that effective 
date a rate of basic pay determined under Sec. 531.205(a)(2) of this

[[Page 346]]

chapter. However, in the case of an employee who becomes eligible for 
pay retention because the employee's pay would otherwise be reduced 
under Sec. 530.304, the employee shall receive a rate of basic pay 
determined under Sec. 536.205(b) of this chapter.

[57 FR 59277, Dec. 15, 1992, as amended at 58 FR 65535, Dec. 15, 1993]



PART 531--PAY UNDER THE GENERAL SCHEDULE--Table of Contents




Subpart A [Reserved]

                Subpart B--Determining Rate of Basic Pay

Sec.
531.201 Applicability.
531.202 Definitions.
531.203 General provisions.
531.204 Special provisions.
531.205 Pay schedule conversion rules at the time of an annual pay 
          adjustment under 5 U.S.C. 5303.
531.206 Setting pay upon movement from nonappropriated fund 
          instrumentalities.

     Subpart C--Special Pay Adjustments for Law Enforcement Officers

531.301 Definitions.
531.302 Determining special law enforcement adjusted rates of pay.
531.303 Computation of hourly, daily, weekly, and biweekly adjusted 
          rates of pay.
531.304 Administration of special law enforcement adjusted rates of pay.
531.305 Reports.
531.306 Effect of special pay adjustments for law enforcement officers 
          on retention payments under FBI demonstration project.
531.307 Continuation of a special law enforcement adjusted rate of pay.

                    Subpart D--Within-Grade Increases

531.401 Principal authorities.
531.402 Employee coverage.
531.403 Definitions.
531.404 Earning within-grade increase.
531.405 Waiting periods for within-grade increase.
531.406 Creditable service.
531.407 Equivalent increase determinations.
531.408 [Reserved]
531.409 Acceptable level of competence determinations.
531.410 Reconsideration of a negative determination.
531.411 Continuing evaluation after withholding a within-grade increase.
531.412 Effective date of within-grade increase.
531.413 Reports and evaluation of within-grade increase authority.
531.414 Interim within-grade increase.

                    Subpart E--Quality Step Increases

531.501 Applicability.
531.502 Definitions.
531.503 Purpose of quality step increases.
531.504 Level of performance required for quality step increase.
531.505 Restrictions on granting quality step increases.
531.506 Effective date of a quality step increase.
531.507 Agency responsibilities.
531.508 Evaluation of quality step increase authority.

            Subpart F--Locality-Based Comparability Payments

531.601 Purpose.
531.602 Definitions.
531.603 Locality pay areas.
531.604 Determining locality rates of pay.
531.605 Computation of hourly, daily, weekly, and biweekly locality 
          rates of pay.
531.606 Administration of locality rates of pay.
531.607 Reports.

                    Subpart G--Continued Rates of Pay

531.701 Definitions.
531.702 Computation of hourly, daily, weekly, and biweekly continued 
          rates of pay.
531.703 Administration of continued rates of pay.
531.704 Effect of continued rates of pay on retention payments under FBI 
          demonstration project.
531.705 Reports.

    Authority: 5 U.S.C. 5115, 5307, and 5338; sec. 4 of Pub. L. 103-89, 
107 Stat. 981; and E.O. 12748, 56 FR 4521, 3 CFR, 1991 Comp., p. 316;
    Subpart B also issued under 5 U.S.C. 5303(g), 5333, 5334(a), and 
7701(b)(2);
    Subpart C also issued under 5 U.S.C. 5304, 5305, and 5553; sections 
302 and 404 of the Federal Employees Pay Comparability Act of 1990 
(FEPCA), Pub. L. 101-509, 104 Stat. 1462 and 1466; and section 3(7) of 
Pub. L. 102-378, 106 Stat. 1356;
    Subpart D also issued under 5 U.S.C. 5335(g) and 7701(b)(2);
    Subpart E also issued under 5 U.S.C. 5336;
    Subpart F also issued under 5 U.S.C. 5304, 5305(g)(1), and 5553; 
E.O. 12883, 58 FR 63281, 3 CFR, 1993 Comp., p. 682; and E.O. 13106, 63 
FR 68151, 3 CFR, 1998 Comp., p. 224;
    Subpart G also issued under 5 U.S.C. 5304, 5305, and 5553; section 
302 of FEPCA, Pub. L. 101-509, 104 Stat. 1462; and E.O. 12786, 56 FR 
67453, 3 CFR, 1991 Comp., p. 376.

Subpart A [Reserved]

[[Page 347]]



                Subpart B--Determining Rate of Basic Pay

    Source: 45 FR 65498, Oct. 3, 1980, unless otherwise noted.



Sec. 531.201  Applicability.

    This subpart and sections 5333 and 5334 of title 5, United States 
Code, apply to employees and positions, other than Senior Executive 
Service positions, to which chapter 51 of title 5, United States Code, 
applies.

[58 FR 65535, Dec. 15, 1993; 59 FR 5223, Feb. 3, 1994]



Sec. 531.202  Definitions.

    In this subpart:
    Agency has the meaning given that word by section 5102 of title 5, 
United States Code.
    Demotion means a change of an employee, while continuously employed, 
from:
    (1) One General Schedule grade to a lower General Schedule grade, 
with or without reduction in pay; or
    (2) A higher rate paid under authority other than subchapter III of 
chapter 53 of title 5, United States Code, to a lower rate within a 
General Schedule grade.
    Employee means an employee of an agency to whom this subpart 
applies.
    Existing rate of basic pay means the rate received immediately 
before the effective date of a transfer, promotion, demotion, or within-
grade increase.
    GM employee means an employee who was covered by the Performance 
Management and Recognition System under chapter 54 of title 5, United 
States Code, on October 31, 1993 (and therefore became covered on 
November 1, 1993, by section 4 of Pub. L. 103-89, the Performance 
Management and Recognition System Termination Act of 1993), and who 
continues thereafter to occupy a position as a supervisor or management 
official (as defined in paragraphs (10) and (11) of section 7103(a) of 
title 5, United States Code) in the same grade of the General Schedule 
and in the same agency without a break in service of more than 3 
calendar days. Any reference to employees, grades, positions, or rates 
of basic pay under the General Schedule shall include GM employees for 
the purposes of subchapter I and III of chapter 53 of title 5, United 
States Code.
    Higher grade means a General Schedule grade above the last previous 
General Schedule grade or its equivalent held by the employee.
    Highest previous rate means--
    (1) The highest actual rate of basic pay previously received by an 
individual while employed in a position in a branch of the Federal 
Government (executive, legislative, or judicial); a Government 
corporation, as defined in 5 U.S.C. 103; the United States Postal 
Service or the Postal Rate Commission; or the government of the District 
of Columbia (except as provided in Sec. 531.203(d)(2)(v) of this part); 
without regard to whether the position was subject to the General 
Schedule; or
    (2) The actual rate of basic pay for the highest grade and step 
previously held by an individual while employed in a position subject to 
the General Schedule.
    Moved involuntarily means the movement of the incumbent of a 
position in a nonappropriated fund instrumentality under the 
jurisdiction of the Department of Defense or the Coast Guard, as 
described in 5 U.S.C. 2105(c), with the position when it is moved to the 
civil service employment system of the Department of Defense or the 
Coast Guard, respectively.
    New appointment means the first appointment, regardless of tenure, 
as an employee of the Federal Government or the Government of the 
District of Columbia.
    Promotion means a change of an employee, while continuously 
employed, from:
    (1) One General Schedule grade to a higher General Schedule grade; 
or
    (2) A lower rate paid under authority other than subchapter III of 
chapter 53 of title 5, United States Code, to a higher rate within a 
General Schedule grade.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee before any 
deductions and exclusive of additional pay of any kind.
    Reassignment means a change of an employee, while serving 
continuously in the same agency, from one position

[[Page 348]]

to another without promotion or demotion.
    Reemployment means an employment, including reinstatement or another 
type of appointment, after a break in service of at least 1 full 
workday.
    Transfer means a change of an employee, without a break in service 
of 1 full workday, from one branch of the Federal Government (executive, 
legislative, or judicial) to another or from one agency to another.

[45 FR 65498, Oct. 3, 1980, as amended at 55 FR 14829, Apr. 19, 1990; 57 
FR 12404, Apr. 10, 1992; 58 FR 65535, Dec. 15, 1993; 59 FR 40793, Aug. 
10, 1994; 60 FR 67287, Dec. 29, 1995]



Sec. 531.203  General provisions.

    (a) New Appointments. Except as provided by section 5333(a) of title 
5, United States Code, and paragraph (b) of this section, a new 
appointment is made at the minimum rate of the grade, or when the 
minimum rate of the grade of a position has been set under part 530 of 
this chapter, a new appointment is made at the minimum rate set under 
part 530 of this chapter.
    (b) Superior qualifications appointments. (1) A ``superior 
qualifications appointment'' means an appointment made at a rate above 
the minimum rate of the appropriate General Schedule grade under 
authority of section 5333 of title 5, United States Code, because of the 
superior qualifications of the candidate or a special need of the agency 
for the candidate's services.
    (2) An agency may make a superior qualifications appointment by new 
appointment or by reappointment except that when made by reappointment, 
the candidate must have a break in service of at least 90 calendar days 
from his or her last period of Federal employment or employment with the 
District of Columbia (other than--
    (i) Employment with the Government of the District of Columbia when 
the candidate was first appointed by the DC Government on or after 
October 1, 1987;
    (ii) Employment under an appointment as an expert or consultant 
under section 3109 of title 5, United States Code;
    (iii) Employment under a temporary appointment effected primarily in 
furtherance of a postdoctoral research program, or effected as part of a 
predoctoral or postdoctoral training program during which the employee 
receives a stipend, or employment under a temporary appointment of a 
graduate student when the work performed by the student is the basis for 
completing certain academic requirements for an advanced degree;
    (iv) Employment in a cooperative work-study program under a Schedule 
B appointment made in accordance with section 213.3202 of this chapter;
    (v) Employment as a member of the Commissioned Corps of the National 
Oceanic and Atmospheric Administration or the Commissioned Corps of the 
Public Health Service;
    (vi) Employment which is neither full-time employment nor the 
principal employment of the candidate; or
    (vii) Employment under the Intergovernmental Personnel Act).
    (3) In determining whether an employee should receive a superior 
qualifications appointment and, if so, at what level the employee's pay 
should be set, the agency must consider the possibility of authorizing a 
recruitment bonus as provided in part 575 of this chapter.
    (4) Each agency that makes superior qualifications appointments must 
establish documentation and recordkeeping procedures sufficient to allow 
reconstruction of the action taken in each case. Documentation must 
include--
    (i) The superior qualifications of the individual or special need of 
the agency that justified use of this authority;
    (ii) The factors considered in determining the individual's existing 
pay and the reason for setting pay at a rate higher than that needed to 
match existing pay; and
    (iii) The reasons for authorizing an advanced rate instead of or in 
addition to a recruitment bonus.
    (5) Each agency using the superior qualifications authority must 
establish appropriate internal guidelines and evaluation procedures to 
ensure compliance with the law, these regulations, and agency policies.
    (c) Maximum payable rate rules. In determining an employee's rate of 
basic pay upon reemployment, transfer, reassignment, promotion, 
demotion, or

[[Page 349]]

change in type of appointment, the following rules apply unless the 
employee is entitled to a higher rate under the promotion provisions of 
5 U.S.C. 5334(b) and Sec. 531.204(a) of this part or the grade and pay 
retention provisions of 5 U.S.C. 5362 and 5363 and part 536 of this 
chapter:
    (1) Except as provided in paragraph (c)(2) of this section, the 
maximum rate of basic pay that may be paid a General Schedule employee 
shall be determined as follows:
    (i) Compare the employee's highest previous rate (expressed as an 
annual rate) with the rates of basic pay in effect at the time the 
highest previous rate was earned for the grade in which pay is currently 
being fixed.
    (ii) Identify the lowest step of the grade in which pay is currently 
being fixed, for which the rate of basic pay was equal to or greater 
than the employee's highest previous rate at the time the highest 
previous rate was earned. If the employee's highest previous rate was 
greater than the maximum rate for the grade in which pay is being fixed, 
the maximum rate of basic pay that may be paid to the employee is the 
maximum rate for that grade.
    (iii) Identify the current rate of basic pay for the step identified 
under paragraph (c)(1)(ii) of this section. This rate is the maximum 
rate of basic pay that may be paid the employee.
    (2) The maximum rate of basic pay that may be paid a GM employee (as 
defined in Sec. 531.202) shall be determined as follows: Compare the 
employee's highest previous rate (expressed as an annual rate) with the 
range of rates of basic pay in effect at the time the highest previous 
rate was earned for the grade in which pay is currently being fixed. If 
the employee's highest previous rate was less than or equal to the 
minimum rate for the grade in which pay is being fixed, the maximum rate 
of basic pay that may be paid the employee is the minimum rate for the 
grade in which pay is being fixed. If the employee's highest previous 
rate was equal to or greater than the maximum rate for the grade in 
which pay is being fixed, the maximum rate of basic pay that may be paid 
the employee is the maximum rate for that grade. If the employee's 
highest previous rate was greater than the minimum rate, but less than 
the maximum rate for the grade in which pay is being fixed, the maximum 
payable rate shall be determined as follows:
    (i) Using the pay rates in effect at the time the highest previous 
rate was earned for the grade in which pay is being fixed, find the 
difference between the employee's highest previous rate and the minimum 
rate for that grade--(a). Find the difference between the maximum rate 
and the minimum rate for the same grade--(b). Divide (a) by (b); carry 
the result to the seventh decimal place; and truncate, rather than 
round, the result. This quotient--(c)--is a factor representing the 
employee's relative position in the rate range.
    (ii) Using current pay rates, find the difference between the 
maximum rate and the minimum rate for the grade in which pay is being 
fixed--(d). Multiply (d) times the factor (c). Add the product of this 
multiplication to the minimum rate for the grade in which pay is being 
fixed. This figure, rounded to the next higher whole dollar, is the 
maximum rate of basic pay that may be paid the employee.
    (d) Basis for highest previous rate. (1) Except as otherwise 
provided in this paragraph, the highest previous rate may be based on a 
regular tour of duty at any rate of basic pay received by an individual 
while serving under an appointment not limited to 90 days or less, or 
for a continuous period of not less than 90 days under one or more 
appointments without a break in service.
    (2) The highest previous rate may not be based on the following:
    (i) A rate received under an appointment as an expert or consultant 
under 5 U.S.C. 3109;
    (ii) A rate received in a position to which the employee was 
temporarily promoted for less than 1 year, except upon permanent 
placement in a position at the same or higher grade;
    (iii) A rate received in a position from which the employee was 
reassigned or reduced in grade for failure to complete satisfactorily a 
probationary period as a supervisor or manager;
    (iv) A rate received under a void appointment or a rate otherwise 
contrary to applicable law or regulation;

[[Page 350]]

    (v) A rate received by an employee of the government of the District 
of Columbia who was first employed by that government on or after 
October 1, 1987;
    (vi) A rate received solely during a period of interim relief under 
the interim relief provisions of 5 U.S.C. 7701(b)(2)(A); or
    (vii) A special rate established under 5 U.S.C. 5305 and part 530 of 
this chapter, part 532 of this chapter, or other legal authority (other 
than section 403 of the Federal Employees Pay Comparability Act of 1990 
(FEPCA) (Pub. L. 101-509, 104 Stat. 1465), unless, in a reassignment to 
another position in the same agency--
    (A) The special rate of pay is the employee's current rate of basic 
pay; and
    (B) An agency official specifically designated to make such 
determinations finds that the need for the services of the employee, and 
his or her contribution to the program of the agency, will be greater in 
the position to which he or she is being reassigned. Such determinations 
shall be made on a case-by-case basis, and in each case the agency shall 
make a written record of its positive determination to use the special 
rate as an employee's highest previous rate.
    (3) In the case of an employee who has received or is receiving a 
special rate established under 5 U.S.C. 5305 and part 530 of this 
chapter, part 532 of this chapter, or other legal authority (other than 
section 403 of FEPCA); who is placed in a position in which a special 
rate does not apply; and for whom the special rate is not used as the 
highest previous rate under paragraph (d)(2)(vii) of this section; the 
highest previous rate may be based on the rate of basic pay for the step 
(or relative position) in the regular rate range that corresponds to the 
employee's existing step (or relative position) in the special rate 
range for the employee's current grade or pay level.
    (e) Agency classification action. When an agency regrades a position 
to a grade higher than the one to which the position had been classified 
by Office action, and when subsequent to the regrading, the Office again 
classifies the position to the grade which it had originally assigned 
the position, the rate attained by the employee in the higher grade may 
not be used as his or her highest previous rate.
    (f) Simultaneous actions. (1) General pay adjustments must be 
processed before any individual pay action that takes effect at the same 
time. General pay adjustments include annual adjustments under 5 U.S.C. 
5303, adjustments in locality rates of pay under subpart F of this part, 
adjustments in special law enforcement adjusted rates of pay under 
subpart C of this part, adjustments in special salary rates under 5 
U.S.C. 5305 or similar provision of law (including section 403 of 
FEPCA), increases in retained rates under part 536 of this chapter, and 
increases in continued rates under subparts C and G of this part.
    (2) Pay adjustments (other than general pay adjustments) that take 
effect at the same time must be processed in the order that gives the 
employee the maximum benefit. When a position or appointment change and 
entitlement to a higher rate of pay occur at the same time, the higher 
rate of pay is deemed to be the employee's existing rate of basic pay.
    (g) Status as a GM employee. (1) An employee retains status as a GM 
employee (as defined in Sec. 531.202) when detailed to any position or 
when reassigned to another General Schedule position in which the 
employee continues to be a supervisor or management official (as defined 
in paragraphs (10) and (11) of section 7103(a) of title 5, United States 
Code).
    (2) An employee permanently loses status as a GM employee if the 
employee is promoted (including a temporary or term promotion), 
transferred, reduced in grade, reassigned to a position in which the 
employee will no longer be a supervisor or management official, or has a 
break in service of more than 3 calendar days.

[45 FR 65498, Oct. 3, 1980, as amended at 46 FR 43823, Sept. 1, 1981; 50 
FR 11794, Mar. 25, 1985; 50 FR 35495, 35499, Aug. 30, 1985; 53 FR 34274, 
Sept. 6, 1988; 55 FR 14829, Apr. 19, 1990; 56 FR 54530, Oct. 22, 1991; 
57 FR 3712, Jan. 31, 1992; 58 FR 65535, Dec. 15, 1993; 59 FR 40793, Aug. 
10, 1994; 64 FR 69173, Dec. 10, 1999]



Sec. 531.204  Special provisions.

    (a) Promotions and transfers. (1) The requirements of section 
5334(b) of title

[[Page 351]]

5, United States Code, apply only to an employee who is promoted or 
transferred from a position in one grade of the General Schedule to a 
position in a higher grade of the General Schedule.
    (2) For the purpose of section 5334(b) of title 5, United States 
Code, an employee's ``existing rate of basic pay'' includes any 
applicable special rate established under section 5305 of title 5, 
United States Code, or law enforcement special rate established under 
section 403 of the Federal Employees Pay Comparability Act of 1990 
(FEPCA) (Pub. L. 101-509, 104 Stat. 1465).
    (3) When an employee at grade GS-1 or grade GS-2 is promoted or 
transferred to a higher grade, the amount of a step increase above step 
10 of the employee's grade equals the amount of the increment between 
step 9 and step 10 of the grade from which promoted.
    (b) Classification decisions. When a classification decision is made 
effective retroactively under part 511 of this chapter, the agency shall 
treat the corrective personnel action affecting the employee concerned 
as a cancellation or correction, as the case may be, of the original 
action of demotion, and the employee is entitled to retroactive pay in 
accordance with the terms of the corrective action.
    (c) Expiration or termination of temporary promotions. (1) On 
expiration or termination of a temporary promotion when an employee is 
returned to the lower grade, an agency must recompute the employee's 
rate of basic pay for the lower grade as if the employee had not been 
temporarily promoted unless the agency sets pay at a higher rate under 
Sec. 531.203(d).
    (2) In the case of an employee whose rate of basic pay would 
otherwise fall between two steps of General Schedule grade or applicable 
special rate range, the rate of basic pay of the employee must be 
increased to the rate for the next higher step of the grade or special 
rate range.
    (d) Rate of basic pay on acquiring status as a GM employee. On 
acquiring status as a GM employee (as defined in Sec. 531.202) on 
November 1, 1993, an employee shall continue to receive the rate of 
basic pay that was payable on October 31, 1993.
    (e) Rate of basic pay on loss of status as a GM employee. On loss of 
status as a GM employee (as defined in Sec. 531.202) under 
Sec. 531.203(g)(2), an employee shall receive (except as provided in 
paragraph (f) of this section) his or her existing rate of basic pay, 
plus any of the following adjustments that may be applicable, in the 
order specified:
    (1) The amount of any annual adjustment under section 5303 of title 
5, United States Code, to which the employee would otherwise be entitled 
on that date or, for an employee subject to special pay rates, the 
amount of any pay adjustment made on that date under section 5305 of 
title 5, United States Code, and part 530 of this chapter;
    (2) The amount of any step increase under section 5335 of title 5, 
United States Code, and Sec. 531.404 to which the employee otherwise 
would be entitled on that date;
    (3) The amount resulting from a promotion effective on that date;
    (4) In the case of an employee whose resulting rate of basic pay 
falls between two steps of a General Schedule grade (or, in the case of 
an employee whose position is subject to special pay rates, between the 
two steps of the applicable special rate range), the amount of any 
increase that may be necessary to pay the employee the rate for the next 
higher step of that grade (or special rate range); and
    (5) In the case of an employee whose resulting rate of basic pay 
falls below the minimum rate of a General Schedule grade (or, in the 
case of an employee whose position is subject to special pay rates, 
below the minimum of the applicable special rate range), the amount of 
any increase that may be necessary to pay the employee the minimum rate 
for that grade (or special rate range).
    (f) Special exceptions. Paragraphs (e) (1) through (4) of this 
section do not apply to any employee who loses status as a GM employee 
(as defined in Sec. 531.202) under Sec. 531.203(g)(2) as a result of--
    (1) An action taken for disciplinary or performance related reasons;
    (2) The expiration or termination of a temporary promotion; or

[[Page 352]]

    (3) A reduction in grade at the employee's request.

[45 FR 65498, Oct. 3, 1980, as amended at 47 FR 30229, July 13, 1982; 50 
FR 11794, Mar. 25, 1985; 50 FR 35494, 35499, Aug. 30, 1985; 50 FR 40179, 
Oct. 1, 1985; 58 FR 65535, Dec. 15, 1993; 59 FR 40793, Aug. 10, 1994; 59 
FR 66332, Dec. 28, 1994; 64 FR 69173, Dec. 10, 1999]



Sec. 531.205  Pay schedule conversion rules at the time of an annual pay adjustment under 5 U.S.C. 5303.

    (a) On the effective date of a pay adjustment under 5 U.S.C. 5303, 
the rate of basic pay of an employee subject to the General Schedule 
shall be initially adjusted, except as provided in paragraph (b) of this 
section, as follows:
    (1) If an employee is receiving basic pay immediately before the 
effective date of his pay adjustment at one of the rates of a grade in 
the General Schedule, he shall receive the rate of basic pay for the 
corresponding numerical rate of the grade in effect on and after such 
date.
    (2)(i) Except as provided in paragraphs (a)(2)(ii) through (iv) of 
this section, an agency shall determine the annual pay adjustment under 
5 U.S.C. 5303 for a GM employee (as defined in Sec. 531.202) as follows:
    (A) Subtract the minimum rate of the range of the employee's 
position in effect on the day immediately preceding the pay adjustment 
from the employee's rate of basic pay on the day immediately preceding 
the pay adjustment;
    (B) Subtract the minimum rate of the range in effect immediately 
preceding the pay adjustment from the maximum of that rate range;
    (C) Divide the result of paragraph (a)(2)(i)(A) of this section by 
the result of paragraph (a)(2)(i)(B) of this section, carry the result 
to the seventh decimal place, and truncate, rather than round, the 
result;
    (D) Subtract the minimum rate of the new rate range for the grade 
from the maximum rate of that range;
    (E) Multiply the result of paragraph (a)(2)(i)(C) of this section by 
the result of paragraph (a)(2)(i)(D) of this section; and
    (F) Add the result of paragraph (a)(2)(i)(E) of this section to the 
minimum of the new rate range and round to the next higher whole dollar 
amount.
    (ii) The rate of basic pay of an employee which is at the minimum or 
maximum of the rate range in effect on the day preceding the pay 
adjustment shall be adjusted to the minimum or maximum of the new rate 
range, respectively.
    (iii) The rate of basic pay of an employee which is less than the 
minimum rate of the rate range of the employee's position shall be 
increased by the full amount of the annual pay adjustment under 5 U.S.C. 
5303 applicable to the rate range of the grade of the employee's 
position.
    (iv) An employee who is receiving retained pay shall receive one-
half of the annual pay adjustment under 5 U.S.C. 5303, as required by 5 
U.S.C. 5363(a).
    (3) Except as provided in 5 U.S.C. 5363 and part 536 of this 
chapter, if an employee is receiving basic pay immediately before the 
effective date of his or her pay adjustment at a rate in excess of the 
maximum rate of his or her grade, the employee shall receive his or her 
existing rate of basic pay increased by the amount of increase made by 
the pay adjustment under 5 U.S.C. 5303 in the maximum rate for the 
employee's grade.
    (4) If an employee, immediately before the effective date of his pay 
adjustment, is receiving, pursuant to section 2(b)(4) of the Federal 
Employees Salary Increase Act of 1955, an existing aggregate rate of pay 
determined under section 208(b) of the Act of September 1, 1954 (68 
Stat. 1111), plus subsequent increases authorized by law, he shall 
receive an aggregate rate of pay equal to the sum of his existing 
aggregate rate of pay on the day preceding the effective date of his 
adjustment, plus the amount of increase made by the pay adjustment under 
5 U.S.C. 5303 in the maximum rate of his grade, until (i) he leaves his 
position, or (ii) he is entitled to receive aggregate pay at a higher 
rate by reason of the operation of any provision of law; but, when this 
position becomes vacant, the aggregate rate of pay of any subsequent 
appointee thereto shall be fixed in accordance with applicable 
provisions of law. Subject to paragraph (a)(4) (i) and (ii) of this 
section, the amount of the

[[Page 353]]

increase authorized by this section shall be held and considered for the 
purposes of section 208(b) of the Act of September 1, 1954, to 
constitute a part of the existing rate of pay of the employee.
    (b) Rates of basic pay authorized under section 5305 of title 5, 
United States Code, paid to an employee subject to the General Schedule 
shall be adjusted by reason of a pay adjustment under 5 U.S.C. 5303 in 
accordance with Sec. 530.307 of this part.

[45 FR 65498, Oct. 1980, as amended at 50 FR 35499, Aug. 30, 1985; 57 FR 
2432, Jan. 22, 1992; 58 FR 65536, Dec. 15, 1993; 59 FR 11700, Mar. 14, 
1994; 59 FR 40793, Aug. 10, 1994]



Sec. 531.206  Setting pay upon movement from nonappropriated fund instrumentalities.

    (a) Unless the employee is eligible to receive a higher rate of 
basic pay under Sec. 531.203(c) of this part, the initial rate of basic 
pay under the General Schedule of an employee of the Department of 
Defense or the Coast Guard who moves voluntarily, without a break in 
service of more than 3 days, from a position in a nonappropriated fund 
instrumentality of the Department of Defense or the Coast Guard, 
respectively, may be set at any rate within the grade of the General 
Schedule position that does not exceed the highest previous rate of 
basic pay received by the employee during his or her service in a 
position in a nonappropriated fund instrumentality, as described in 5 
U.S.C. 2105(c).
    (b) Unless the employee is eligible to receive a higher rate of 
basic pay under paragraph (c) of this section, the initial rate of basic 
pay under the General Schedule of an employee of the Department of 
Defense or the Coast Guard who is moved involuntarily, without a break 
in service of more than 3 days, from a position with substantially the 
same duties in a nonappropriated fund instrumentality of the Department 
of Defense or the Coast Guard, respectively, shall be set at the rate 
for the lowest step of the General Schedule grade in which pay is being 
set, for which the rate of basic pay is equal to or greater than the 
employee's rate of basic pay under the nonappropriated fund 
instrumentality immediately before the move.
    (c) Unless an employee is entitled to receive a higher rate of basic 
pay under paragraph (b) of this section, the initial rate of basic pay 
of an employee who is moved involuntarily, without a break in service of 
more than 3 days, from a position under a nonappropriated fund 
instrumentality of the Department of Defense or the Coast Guard to a 
position in the civil service employment system of the Department of 
Defense or the Coast Guard, respectively, may be set--
    (1) At any rate within the grade of the General Schedule position 
that does not exceed the highest previous rate of basic pay received by 
the employee during his or her service in a nonappropriated fund 
instrumentality, as described in 5 U.S.C. 2105(c);
    (2) Under the maximum payable rate rules in Sec. 531.203(c) of this 
part; or
    (3) Under the authority to grant pay retention in Sec. 536.104(c) of 
this part.

[57 FR 12404, Apr. 10, 1992]



     Subpart C--Special Pay Adjustments for Law Enforcement Officers

    Source: 57 FR 2432, Jan. 22, 1992, unless otherwise noted.



Sec. 531.301  Definitions.

    In this subpart:
    Law enforcement officer means a law enforcement officer as defined 
in Sec. 550.103 of this part with respect to whom the provisions of 
chapter 51 of title 5, United States Code, apply, including members of 
the Senior Executive Service.
    Official duty station means the duty station for an employee's 
position of record as indicated on his or her most recent notification 
of personnel action, excluding a new duty station for an assignment that 
is followed immediately (i.e., within 3 workdays) by a reduction in 
force resulting in the employee's separation before he or she is 
required to report for duty at the new location. For an employee who is 
authorized to receive relocation allowances under 5 U.S.C. 5737 in 
connection with an extended assignment, the temporary duty

[[Page 354]]

station associated with that assignment is the employee's official duty 
station.
    Scheduled annual rate of pay means--
    (1) The General Schedule rate of basic pay for the employee's grade 
and step (or relative position in the rate range), including a special 
rate for law enforcement officers under section 403 of the Federal 
Employees Pay Comparability Act of 1990 (FEPCA) (Pub. L. 101-509), but 
exclusive of a special salary rate established under 5 U.S.C. 5305 or 
similar provision of law (other than section 403 of FEPCA), a continued 
rate of pay under subpart G of this part, a special law enforcement 
adjusted rate of pay under this subpart (including a rate continued 
under Sec. 531.307), a locality rate of pay under subpart F of this 
part, or additional pay of any kind;
    (2) For a GM employee (as defined in Sec. 531.202) who is receiving 
a special salary rate under 5 U.S.C. 5305 or similar provision of law, 
the rate of pay resulting from the following computation--
    (i) Using the special salary rate schedule established under 5 
U.S.C. 5305 or similar provision of law, subtract the dollar amount for 
step 1 of the employee's grade on the special salary rate schedule from 
the dollar amount for the employee's special salary rate; and
    (ii) Add the result of paragraph (2)(i) of this definition to the 
dollar amount for step 1 of the employee's grade on the General 
Schedule; or
    (3) A retained rate of pay under part 536 of this chapter, 5 CFR 
359.705, or 5 U.S.C. 5334(b)(2), if applicable.
    Special law enforcement adjusted rate of pay means an employee's 
scheduled annual rate of pay multiplied by the factor listed in 
Sec. 531.302(a) of this part for the special pay adjustment area in 
which the employee's official duty station is located, subject to the 
limitation described in Sec. 531.302 (b) or (c) of this part, if 
applicable.
    Special pay adjustment area means any of the following Consolidated 
Metropolitan Statistical Areas (CMSA's), Primary Metropolitan 
Statistical Areas (PMSA's), or Metropolitan Statistical Areas (MSA's), 
as defined by the Office of Management and Budget (OMB):
    (a) Boston-Worcester-Lawrence, MA-NH-ME-CTCMSA;
    (b) Chicago-Gary-Kenosha, IL-IN-WI CMSA;
    (c) Los Angeles-Riverside-Orange County, CA CMSA;
    (d) New York-Northern New Jersey-Long Island, NY-NJ-CT-PA CMSA;
    (e) Philadelphia-Wilmington-Atlantic City, PA-NJ-DE-MD CMSA;
    (f) San Francisco-Oakland-San Jose, CA CMSA;
    (g) San Diego, CA MSA; or
    (h) Washington-Baltimore, DC-MD-VA-WV CMSA.

[57 FR 2432, Jan. 22, 1992, as amended at 58 FR 3200, Jan. 8, 1993; 58 
FR 33499, June 18, 1993; 58 FR 69173, Dec. 30, 1993; 59 FR 11700, Mar. 
14, 1994; 59 FR 67605, Dec. 30, 1994; 61 FR 3540, Feb. 1, 1996; 62 FR 
25425, May 9, 1997; 64 FR 69173, Dec. 10, 1999]



Sec. 531.302  Determining special law enforcement adjusted rates of pay.

    (a) To determine the special law enforcement adjusted rate of pay, 
the scheduled annual rate or pay for a law enforcement officer whose 
official duty station is in one of the special pay adjustment areas 
listed below shall be multiplied by the factor shown for that area:

------------------------------------------------------------------------
                  Special pay adjustment area                    Factor
------------------------------------------------------------------------
Boston-Worcester-Lawrence, MA-NH-ME-CT CMSA...................      1.16
Chicago-Gary-Kenosha, IL-IN-WI CMSA...........................      1.04
Los Angeles-Riverside-Orange County, CA CMSA..................      1.16
New York-Northern New Jersey-Long Island, NY-NJ-CT-PA CMSA....      1.16
Philadelphia-Wilmington-Atlantic City, PA-NJ-DE-MD CMSA.......      1.04
San Francisco-Oakland-San Jose, CA CMSA.......................      1.16
San Diego, CA MSA.............................................      1.08
Washington-Baltimore, DC-MD-VA-WV CMSA........................      1.04
------------------------------------------------------------------------

    (b) Except as provided in paragraph (c) of this section, the special 
law enforcement adjusted rate of pay may not exceed the rate of basic 
pay payable for level IV of the Executive Schedule.
    (c) The special law enforcement adjusted rate of pay for an employee 
in a position described in 5 U.S.C. 5304(h)(1)(A)-(E), including members 
of the Senior Executive Service, may not exceed the rate of basic pay 
payable for level III of the Executive Schedule.

[57 FR 2432, Jan. 22, 1992, as amended at 59 FR 11700, Mar. 14, 1994]

[[Page 355]]



Sec. 531.303  Computation of hourly, daily, weekly, and biweekly adjusted rates of pay.

    When it is necessary to convert the special law enforcement adjusted 
rate of pay to an hourly, daily, weekly, or biweekly rate, the following 
methods apply:
    (a) To derive an hourly rate, divide the adjusted annual rate of pay 
by 2,087 and round to the nearest cent, counting one-half cent and over 
as a whole cent;
    (b) To derive a daily rate, multiply the hourly rate by the number 
of daily hours of service required by the employee's basic daily tour of 
duty;
    (c) To derive a weekly or biweekly rate, multiply the hourly rate by 
40 or 80, as the case may be.



Sec. 531.304  Administration of special law enforcement adjusted rates of pay.

    (a) A law enforcement officer shall receive the greatest of--
    (1) His or her rate of basic pay, including any applicable special 
salary rate established under 5 U.S.C. 5305 or similar provision of law 
or special rate for law enforcement officers under section 403 of FEPCA;
    (2) A continued rate of pay under subpart G of this part;
    (3) A special law enforcement adjusted rate of pay under this 
subpart, where applicable, including a special law enforcement adjusted 
rate of pay continued under Sec. 531.307; or
    (4) A ``locality rate of pay'' under subpart F of this part, where 
applicable.
    (b) A special law enforcement adjusted rate of pay and a special law 
enforcement adjusted rate of pay that is continued under Sec. 531.307(a) 
are considered basic pay for the purpose of computing--
    (1) Retirement deductions and benefits under chapters 83 or 84 of 
title 5, United States Code;
    (2) Life insurance premiums and benefits under parts 870, 871, 872, 
and 873 of this chapter;
    (3) Premium pay under subparts A and I of part 550 of this chapter 
(including the computation of limitations on premium pay under 5 U.S.C. 
5547, overtime pay under 5 U.S.C. 5542(a), and compensatory time off 
under 5 U.S.C. 5543);
    (4) Severance pay under subpart G of part 550 of this chapter;
    (5) Advances in pay under subpart B of part 550 of this chapter; and
    (6) Basic pay that a career appointee in the Senior Executive 
Service elects to continue while serving under certain Presidential 
appointments, as provided by 5 U.S.C. 3392(c)(1) and Sec. 317.801 of 
this chapter.
    (c) When an employee's official duty station is changed form a 
location not in a special pay adjustment area to a location in a special 
pay adjustment area, payment of the special law enforcement adjusted 
rate of pay begins on the effective date of the change in official duty 
station.
    (d) A special law enforcement adjusted rate of pay is paid only for 
those hours for which an employee is in a pay status.
    (e) A special law enforcement adjusted rate of pay shall be adjusted 
as of the effective date of any change in the applicable scheduled 
annual rate of pay.
    (f) Except as provided in paragraph (g) of this section, entitlement 
to a special law enforcement adjusted rate of pay under this subpart 
terminates on the date--
    (1) An employee's official duty station is no longer located in a 
special pay adjustment area;
    (2) An employee is no longer in a position covered by this subpart;
    (3) An employee separates from Federal service;
    (4) An employee's special salary rate under 5 U.S.C. 5305 or similar 
provision of law (other than section 403 of FEPCA) exceeds his or her 
special law enforcement adjusted rate of pay under this subpart; or
    (5) An employee's ``locality rate of pay'' under subpart F of this 
subpart exceeds his or her special law enforcement adjusted rate of pay 
under this subpart.
    (g) In the event of a change in the geographic area covered by a 
CMSA, PMSA, or MSA described in Sec. 531.301 of this chapter, the 
effective date of a change in an employee's entitlement to a special law 
enforcement adjusted rate of pay under this subpart shall be

[[Page 356]]

the first day of the first pay period beginning on or after the date on 
which a change in the definition of the CMSA, PMSA, or MSA is made 
effective.
    (h) Payment of, or an increase in, a special law enforcement 
adjusted rate of pay is not an equivalent increase in pay within the 
meaning of 5 U.S.C. 5335.
    (i) A special law enforcement adjusted rate of pay is included in an 
employee's ``total remuneration,'' as defined in Sec. 551.511(b) of this 
chapter, and ``straight time rate of pay,'' as defined in 
Sec. 551.512(b) of this chapter, for the purpose of computations under 
the Fair Labor Standards Act of 1938, as amended.
    (j) Termination of a special law enforcement adjusted rate of pay 
under paragraph (f) of this section is not an adverse action for the 
purpose of subpart D of part 752 of this chapter.
    (k) When an employee's special law enforcement adjusted rate of pay 
under this subpart is greater than any applicable locality rate of pay 
under subpart F of this part, a continued rate of pay under subpart G of 
this part, or special salary rate under 5 U.S.C. 5305 or similar 
provision of law (other than section 403 of FEPCA), the payment of the 
rate resulting from the comparison required by paragraph (a) of this 
section shall be deemed to have reduced the special pay adjustment for 
law enforcement officers payable under section 404 of FEPCA, as 
authorized by section 404(a) of FEPCA.

[57 FR 2432, Jan. 22, 1992, as amended at 58 FR 33499, June 18, 1993; 58 
FR 69173, Dec. 30, 1993; 61 FR 3540, Feb. 1, 1996; 64 FR 36771, July 8, 
1999; 64 FR 69173, Dec. 10, 1999]



Sec. 531.305  Reports.

    The Office of Personnel Management may require agencies to report 
pertinent information concerning the administration of payments under 
this subpart.



Sec. 531.306  Effect of special pay adjustments for law enforcement officers on retention payments under FBI demonstration project.

    As required by section 406 of the Federal Employees Pay 
Comparability Act of 1990 (Pub. L. 101-509), a retention payment payable 
to an employee of the New York Field Division of the Federal Bureau of 
Investigation under section 601(a)(2) of Public Law 100-453, as amended, 
shall be reduced by the amount of any special any adjustment for law 
enforcement officers payable to that employee under this subpart. For 
the purpose of applying this section, the amount of the special pay 
adjustment for law enforcement officers shall be determined by 
subtracting the employee's scheduled annual rate of pay from his or her 
special law enforcement adjusted rate of pay.

[61 FR 3540, Feb. 1, 1996]



Sec. 531.307  Continuation of a special law enforcement adjusted rate of pay.

    (a) Except as provided in paragraphs (c) and (d) of this section, 
the dollar amount of a special law enforcement adjusted rate of pay that 
was calculated under regulations which included nationwide or worldwide 
special salary rates established under 5 U.S.C. 5305 in the definition 
of ``scheduled annual rate of pay'' shall not be reduced.
    (b) At the time of an adjustment in pay under 5 U.S.C. 5303, a 
special law enforcement adjusted rate of pay continued under paragraph 
(a) of this section shall be increased by the lesser of--
    (1) The dollar amount of the adjustment (including a zero 
adjustment) made under 5 U.S.C. 5303 in the General Schedule rate of 
basic pay for the employee's grade and step (or relative position in the 
rate range); or
    (2) The dollar amount of the adjustment (including a zero 
adjustment) in the special salary rate applicable to the employee as a 
result of the annual review of special rates required by 5 CFR 530.304.
    (c) When an employee who is receiving a special law enforcement 
adjusted rate of pay continued under paragraph (a) of this section moves 
to a position in another special pay adjustment area to which a lesser 
special pay adjustment factor is applicable under Sec. 531.302(a), the 
continued rate shall be reduced. The reduced continued rate shall be 
derived by--
    (1) Determining the special law enforcement adjusted rate of pay to 
which the employee would have been

[[Page 357]]

entitled immediately before the employee's continued rate was first 
established if the special pay adjustment factor for the new area had 
been applicable; and
    (2) Adjusting that rate as required under paragraph (b) of this 
section during the intervening period.
    (d) A special law enforcement adjusted rate of pay that is continued 
under this section terminates on the date any of the conditions 
specified in Sec. 531.304(f) is satisfied or on the date an employee is 
reduced in grade or is no longer in a position covered by a nationwide 
or worldwide special rate authorization (or, in the event of the 
conversion of a nationwide or worldwide special rate authorization to a 
local special rate authorization, a position covered by the new local 
special rate authorization).

[58 FR 69173, Dec. 30, 1993]



                    Subpart D--Within-Grade Increases

    Source: 46 FR 2319, Jan. 9, 1981, unless otherwise noted.



Sec. 531.401  Principal authorities.

    The following are the principal authorities for the regulations in 
this subpart:
    (a) Section 2301(b)(3) of title 5, United States Code, provides in 
part that ``appropriate incentives and recognition should be provided 
for excellence in performance.''
    (b) Section 5301(a)(2) of title 5, United States Code, provides that 
``pay distinctions be maintained in keeping with work and performance 
distinctions.''
    (c) Section 5338 of title 5, United States Code, provides that ``The 
Office of Personnel Management may prescribe regulations necessary for 
the administration'' of General Schedule pay rates, including within-
grade increases.
    (d) Section 4 of the Performance Management and Recognition System 
Termination Act of 1993 (Pub. L. 103-89) provides that ``the Office of 
Personnel Management shall prescribe regulations necessary for the 
administration of this section.''

[51 FR 8419, Mar. 11, 1986, as amended at 59 FR 40793, Aug. 10, 1994; 60 
FR 33098, June 27, 1995]



Sec. 531.402  Employee coverage.

    (a) Except as provided in paragraph (b) of this section, this 
subpart applies to employees who occupy permanent positions classified 
and paid under the General Schedule and who are paid less than the 
maximum rate of their grades.
    (b) This subpart does not apply to:
    (1) Members of the Senior Executive Service established under 
subchapter II of chapter 31 of title 5, United States Code;
    (2) Individuals appointed by the President, by and with the advice 
and consent of the Senate; and
    (3) Employees of the government of the District of Columbia.

[46 FR 2319, Jan. 9, 1981, as amended at 50 FR 35499, Aug. 30, 1985; 58 
FR 65536, Dec. 15, 1993; 60 FR 43947, Aug. 23, 1995]



Sec. 531.403  Definitions.

    In this subpart:
    Acceptable level of competence means performance by an employee that 
warrants advancement of the employee's rate of basic pay to the next 
higher step of the grade or the next higher rate within the grade (as 
defined in this section) of his or her position, subject to the 
requirements of Sec. 531.404 of this subpart, as determined by the head 
of the agency.
    Agency means an agency defined in section 5102 of title 5, United 
States Code.
    Calendar week means a period of any seven consecutive calendar days.
    Critical element has the meaning given that term in Sec. 430.203 of 
this chapter.
    Employee means an employee of an agency.
    Equivalent increase means an increase or increases in an employee's 
rate of basic pay equal to or greater than the difference between the 
employee's rate of basic pay and the rate of pay for the next higher 
step of that grade or the next higher rate within the grade (as defined 
in this section).
    Next higher rate within the grade for a GM employee (as defined in 
Sec. 531.202)

[[Page 358]]

means the rate of basic pay which exceeds an employee's existing rate of 
basic pay by one-ninth of the difference between the minimum and maximum 
rates of pay for the applicable General Schedule grade or special salary 
rate schedule established under section 5305 of title 5, United States 
Code, not to exceed the maximum rate for the grade.
    Permanent position means a position filled by an employee whose 
appointment is not designated as temporary by law and does not have a 
definite time limitation of one year or less. ``Permanent position'' 
includes a position to which an employee is promoted on a temporary or 
term basis for at least one year.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee before any 
deductions and exclusive of additional pay of any kind.
    Scheduled tour of duty means any work schedule established for an 
employee in accordance with the regular procedures for the establishment 
of workweeks in Sec. 610.111 of this chapter. For a full-time employee 
this includes the basic 40-hour workweek. For a part-time employee this 
is any regularly scheduled work of less than 40-hours during the 
administrative workweek.
    Waiting period means the minimum time requirement of creditable 
service to become eligible for consideration for a within-grade 
increase.
    Within-grade increase is synonymous with the term ``step increase'' 
used in section 5335 of title 5, United States Code, and means--
    (1) A periodic increase in an employee's rate of basic pay from one 
step of the grade of his or her position to the next higher step of that 
grade in accordance with section 5335 of title 5, United States Code, 
and this subpart; or
    (2) For a GM employee (as defined in Sec. 531.202), a periodic 
increase in an employee's rate of basic pay from his or her current rate 
to the next higher rate within the grade (as defined in this section) in 
accordance with section 4 of Pub. L. 103-89.

[46 FR 2319, Jan. 9, 1981, as amended at 46 FR 41019, Aug. 14, 1981; 48 
FR 49486, Oct. 25, 1983; 51 FR 8420, Mar. 11, 1986; 58 FR 65536, Dec. 
15, 1993; 59 FR 40793, Aug. 10, 1994; 60 FR 33098, June 27, 1995; 60 FR 
43947, Aug. 23, 1995]



Sec. 531.404  Earning within-grade increase.

    An employee paid at less than the maximum rate of the grade of his 
or her position shall earn advancement in pay to the next higher step of 
the grade or the next higher rate within the grade (as defined in 
Sec. 531.403) upon meeting the following three requirements established 
by law:
    (a) The employee's performance must be at an acceptable level of 
competence, as defined in this subpart. To be determined at an 
acceptable level of competence, the employee's most recent rating of 
record (as defined in Sec. 430.203 of this chapter) shall be at least 
Level 3 (``Fully Successful'' or equivalent).
    (1) When a within-grade increase decision is not consistent with the 
employee's most recent rating of record a more current rating of record 
must be prepared.
    (2) The rating of record used as the basis for an acceptable level 
of competence determination for a within-grade increase must have been 
assigned no earlier than the most recently completed appraisal period.
    (b) The employee must have completed the required waiting period for 
advancement to the next higher step of the grade of his or her position.
    (c) The employee must not have received an equivalent increase 
during the waiting period.

[51 FR 8420, Mar. 11, 1986, as amended at 58 FR 65536, Dec. 15, 1993; 60 
FR 43948, Aug. 23, 1995]



Sec. 531.405  Waiting periods for within-grade increase.

    (a) Length of waiting period. (1) For an employee with a scheduled 
tour of duty, the waiting periods for advancement to the next higher 
step in all General Schedule grades (or the next higher rate within the 
grade, as defined in Sec. 531.403) are:

[[Page 359]]

    (i) Rate of basic pay less than the rate of basic pay at step 4-52 
calendar weeks of creditable service;
    (ii) Rate of basic pay equal to or greater than the rate of basic 
pay at step 4 and less than the rate of basic pay at step 7-104 calendar 
weeks of creditable service; and
    (iii) Rate of basic pay equal to or greater than the rate of basic 
pay at step 7-156 calendar weeks of creditable service.
    (2) For an employee without a scheduled tour of duty, the waiting 
periods for advancement to the next higher step of all General Schedule 
grades (or the next higher rate within the grade, as defined in 
Sec. 531.403) are:
    (i) Rate of basic pay less than the rate of basic pay at step 4-260 
days of creditable service in a pay status over a period of not less 
than 52 calendar weeks;
    (ii) Rate of basic pay equal to or greater than the rate of basic 
pay at step 4 and less than the rate of basic pay at step 7-520 days of 
creditable service in a pay status over a period of not less than 104 
calendar weeks; and
    (iii) Rate of basic pay equal to or greater than the rate of basic 
pay at step 7-780 days of creditable service in a pay status over a 
period of not less than 156 calendar weeks.
    (b) Commencement of a waiting period. A waiting period begins;
    (1) On the first appointment as an employee of the Federal 
Government, regardless of tenure;
    (2) On receiving an equivalent increase; or
    (3) After a period of nonpay status or a break in service (alone or 
in combination) in excess of 52 calendar weeks, unless the nonpay status 
or break in service is creditable service under Sec. 531.406 of this 
subpart.
    (c) A waiting period is not interrupted by non-workdays intervening 
between an employee's last scheduled workday in one position and his or 
her first scheduled workday in a new position.

[46 FR 2319, Jan. 9, 1981, as amended at 58 FR 65536, Dec. 15, 1993; 59 
FR 40794, Aug. 10, 1994]



Sec. 531.406  Creditable service.

    (a) General. Civilian employment in any branch of the Federal 
Government (executive, legislative, or judicial) or with a Government 
corporation as defined in section 103 of title 5, United States Code, is 
creditable service in the computation of a waiting period. Service 
credit is given during this employment for periods of annual, sick, and 
other leave with pay; advanced annual and sick leave; service under a 
temporary or term appointment; and service under an interim appointment 
made under Sec. 772.102 of this chapter. Depending on the specific 
provision of law or regulation, service may be creditable for the 
completion of one waiting period or for the completion of successive 
waiting periods. Paragraph (b) of this section identifies service which 
is creditable in the computation of a single waiting period. Paragraph 
(c) identifies service which is creditable in the computation of 
successive waiting periods.
    (b) Service creditable for one within-grade increase. (1) Military 
service as defined in section 8331(13) of title 5, United States Code, 
is creditable service in the computation of a waiting period when an 
employee is reemployed with the Federal Government not later than 52 
calendar weeks after separation from such service or hospitalization 
continuing thereafter for a period of not more than one year.
    (2) Time in a nonpay status (based upon the tour of duty from which 
the time was charged) is creditable service in the computation of a 
waiting period for an employee with a scheduled tour of duty when it 
does not exceed an aggregate of:
    (i) Two workweeks in the waiting period for an employee whose rate 
of basic pay is less than the rate of basic pay for step 4 of the 
applicable grade;
    (ii) Four workweeks in the waiting period for an employee whose rate 
of basic pay is equal to or greater than the rate of basic pay for step 
4 of the applicable grade and less than the rate of basic pay for step 7 
of the applicable grade; and
    (iii) Six workweeks in the waiting period for an employee whose rate 
of basic pay is equal to or greater than the rate of basic pay for step 
7 of the applicable grade.

Except as provided in paragraph (c) of this section, time in a nonpay 
status in

[[Page 360]]

excess of the allowable amount shall extend a waiting period by the 
excess amount.
    (3) Except as provided in paragraph (c) of this section, time in a 
nonpay status (based upon the tour of duty from which the time was 
charged) that is in excess of the allowable amount shall extend a 
waiting period by the excess amount.
    (4) Service by an employee of a nonappropriated fund instrumentality 
of the Department of Defense or the Coast Guard, as defined in 5 U.S.C. 
2105(c), who moves, within the civil service employment system of the 
Department of Defense or the Coast Guard, respectively, and without a 
break in service of more than 3 days, to a position classified and paid 
under the General Schedule, is creditable service in the computation of 
a waiting period.
    (c) Service creditable for succesive within-grade increases. (1) A 
leave of absence from a position in which an employee is covered by this 
subpart, whether the employee is on leave without pay or is considered 
to be on furlough, is creditable service in the computation of waiting 
periods for successive within-grade increases when:
    (i) The employee is absent for the purpose of engaging in military 
service as defined in section 8331(13) of title 5, United States Code, 
and returns to a pay status through the exercise of a restoration right 
provided by law, Executive order, or regulation;
    (ii) The employee is receiving injury compensation under subchapter 
I of chapter 81 of title 5, United States Code;
    (iii) The employee is performing service that is creditable under 
section 8332(b) (5) or (7) of title 5, United States Code;
    (iv) The employee is temporarily employed by another agency in a 
position covered by this subpart; or
    (v) The employee is assigned to a State or local government or 
institution of higher education under sections 3371-3376 of title 5, 
United States Code.
    (2) The period from the date of an employee's separation from 
Federal service with a restoration or reemployment right granted by law, 
Executive order, or regulation to the date of restoration or 
reemployment with the Federal Government through the exercise of that 
right is creditable service in the computation of waiting periods for 
successive within-grade increases.
    (3) The period during which a separated employee is in receipt of 
injury compensation under subchapter I of chapter 81 of title 5, United 
States Code, as a result of an injury incurred by the employee in the 
performance of duty is creditable service in the computation of waiting 
periods for successive within-grade increases when the employee is 
reemployed with the Federal Government.

[46 FR 2319, Jan. 9, 1981, as amended at 46 FR 41019, Aug. 14, 1981; 46 
FR 43371, Aug. 28, 1981; 46 FR 45747, Sept. 15, 1981; 57 FR 3712, Jan. 
31, 1992; 57 FR 12404, Apr. 10, 1992; 59 FR 40794, Aug. 10, 1994; 59 FR 
66332, Dec. 28, 1994]



Sec. 531.407  Equivalent increase determinations.

    (a) Multiple increases. When an employee receives more than one 
increase in his or her rate of basic pay during a waiting period, no one 
of which is an equivalent increase, the first and subsequent increases 
during the waiting period shall be added together until they amount to 
an equivalent increase, at which time the employee shall be deemed to 
have received an equivalent increase.
    (b) Position change. When an employee changes positions without 
receiving an equivalent increase, or when an individual not covered by 
this subpart moves to a position in which he or she is covered by this 
subpart without receiving an equivalent increase, he or she shall be 
deemed to have received his or her last equivalent increase--
    (1) At the time of the last equivalent increase in the prior 
position; or
    (2) At the time he or she was deemed to have received an equivalent 
increase in the prior position under paragraph (a) of this section, if 
that is later.
    (c) Increases in pay not considered equivalent increases. An 
increase in an employee's rate of basic pay shall not be considered an 
equivalent increase when it results from the following:
    (1) A statutory pay adjustment, including a general pay increase 
made under section 5403 of title 5, United States Code, but not 
including a merit

[[Page 361]]

increase made under section 5404 of that title;
    (2) The periodic adjustment of a wage schedule or the application of 
a new pay or evaluation plan under the Federal Wage System;
    (3) The establishment of higher minimum rates under section 5305 of 
title 5, United States Code, or an increase in such rates;
    (4) A quality step increase under section 5336 of title 5, United 
States Code, and subpart E of this part;
    (5) A temporary or term promotion when returned to the permanent 
grade and step;
    (6) An increase resulting from placement of an employee in a 
supervisory or managerial position who does not satisfactorily complete 
a probationary period established under section 3321(a)(2) of title 5, 
United States Code, and is returned to a position at the same grade and 
step held by the employee before such placement; and
    (7) An interim within-grade increase terminated under 
Sec. 531.414(c) of this part.
    (d) Merit increases. For the purpose of applying section 5335 of 
title 5, United States Code, and this subpart, all or any portion of a 
merit increase, or a zero merit increase, authorized under former 
section 5404 of title 5, United States Code (which was repealed as of 
November 1, 1993, by Public Law 103-89), is an equivalent increase.

[46 FR 2319, Jan. 9, 1981, as amended at 50 FR 35499, Aug. 30, 1985; 56 
FR 20333, May 3, 1991; 57 FR 3712, Jan. 31, 1992; 64 FR 69173, Dec. 10, 
1999]



Sec. 531.408  [Reserved]



Sec. 531.409  Acceptable level of competence determinations.

    (a) Responsibility. The head of the agency or other agency official 
to whom such authority is delegated shall determine which employees are 
performing at an acceptable level of competence.
    (b) Basis for determination. When applicable, an acceptable level of 
competence determination shall be based on a current rating of record 
made under part 430, subpart B, of this chapter. For those agencies not 
covered by chapter 43 of title 5, United States Code, and for employees 
in positions excluded from 5 U.S.C. 4301, an acceptable level of 
competence determination shall be based on performance appraisal 
requirements established by the agency. If an employee has been reduced 
in grade because of unacceptable performance and has served in one 
position at the lower grade for at least the minimum period established 
by the agency, a rating of record at the lower grade shall be used as 
the basis for an acceptable level of competence determination.
    (c) Delay in determination. (1) An acceptable level of competence 
determination shall be delayed when, and only when, either of the 
following applies:
    (i) An employee has not had the minimum period of time established 
at Sec. 430.207(a) of this chapter to demonstrate acceptable performance 
because he or she has not been informed of the specific requirements for 
performance at an acceptable level of competence in his or her current 
position, and the employee has not been given a performance rating in 
any position within the minimum period of time (as established at 
Sec. 430.207(a) of this chapter) before the end of the waiting period; 
or
    (ii) An employee is reduced in grade because of unacceptable 
performance to a position in which he or she is eligible for a within-
grade increase or will become eligible within the minimum period as 
established at Sec. 430.207(a) of this chapter.
    (2) When an acceptable level of competence determination has been 
delayed under this subpart:
    (i) The employee shall be informed that his or her determination is 
postponed and the appraisal period extended and shall be told of the 
specific requirements for performance at an acceptable level of 
competence.
    (ii) An acceptable level of competence determination shall then be 
made based on the employee's rating of record completed at the end of 
the extended appraisal period.
    (iii) If, following the delay, the employee's performance is 
determined to be at an acceptable level of competence, the within-grade 
increase will

[[Page 362]]

be granted retroactively to the beginning of the pay period following 
completion of the applicable waiting period.
    (d) Waiver of requirement for determination. (1) An acceptable level 
of competence determination shall be waived and a within-grade increase 
granted when an employee has not served in any position for the minimum 
period under an applicable agency performance appraisal program during 
the final 52 calendar weeks of the waiting period for one or more of the 
following reasons:
    (i) Because of absences that are creditable service in the 
computation of a waiting period or periods under Sec. 531.406 of this 
subpart;
    (ii) Because of paid leave;
    (iii) Because the employee received service credit under the back 
pay provisions of subpart H of part 550 of this chapter;
    (iv) Because of details to another agency or employer for which no 
rating has been prepared;
    (v) Because the employee has had insufficient time to demonstrate an 
acceptable level of competence due to authorized activities of official 
interest to the agency not subject to appraisal under part 430 of this 
chapter (including, but not limited to, labor-management partnership 
activities under section 2 of Executive Order 12871 and serving as a 
representative of a labor organization under chapter 71 of title 5, 
United States Code); or
    (vi) Because of long-term training.
    (2) When an acceptable level of competence determination has been 
waived and a within-grade increase granted under paragraph (d)(1) of 
this section, there shall be a presumption that the employee would have 
performed at an acceptable level of competence had the employee 
performed the duties of his or her position of record for the minimum 
period under the applicable agency performance appraisal program.
    (e) Notice of determination. (1) A level of competence determination 
shall be communicated to an employee in writing as soon as possible 
after completion of the waiting period or other period upon which it was 
based.
    (2) When the head of an agency or his or her designee determines 
that an employee's performance is not at an acceptable level of 
competence, the negative determination shall be communicated to the 
employee in writing and shall:
    (i) Set forth the reasons for any negative determination and the 
respects in which the employee must improve his or her performance in 
order to be granted a within-grade increase under Sec. 531.411 of this 
subpart.
    (ii) Inform the employee of his or her right to request that the 
appropriately designated agency official reconsider the determination.

[46 FR 2319, Jan. 9, 1981, as amended at 51 FR 8420, Mar. 11, 1986; 60 
FR 43948, Aug. 23, 1995; 62 FR 62503, Nov. 24, 1997]



Sec. 531.410  Reconsideration of a negative determination.

    (a) When an agency head, or his or her designee, issues a negative 
determination the following procedures are established in accordance 
with section 5335(c) of title 5, United States Code for reconsideration 
of the negative determination:
    (1) An employee or an employee's personal representative may request 
reconsideration of a negative determination by filing, not more than 15 
days after receiving notice of determination, a written response to the 
negative determination setting forth the reasons the agency shall 
reconsider the determination;
    (2) When an employee files a request for reconsideration, the agency 
shall establish an employee reconsideration file which shall contain all 
pertinent documents relating to the negative determination and the 
request for reconsideration, including copies of the following:
    (i) The written negative determination and the basis therefore;
    (ii) The employee's written request for reconsideration;
    (iii) The report of investigation when an investigation is made;
    (iv) The written summary or transcript of any personal presentation 
made; and
    (v) The agency's decision on the request for reconsideration.

The file shall not contain any document that has not been made available 
to the employee or his or her personal

[[Page 363]]

representative with an opportunity to submit a written exception to any 
summary of the employee's personal presentation;
    (3) An employee in a duty status shall be granted a reasonable 
amount of official time to review the material relied upon to support 
the negative determination and to prepare a response to the 
determination; and
    (4) The agency shall provide the employee with a prompt written 
final decision.
    (b) The time limit to request a reconsideration may be extended when 
the employee shows he or she was not notified of the time limit and was 
not otherwise aware of it, or that the employee was prevented by 
circumstances beyond his or her control from requesting reconsideration 
within the time limit.
    (c) An agency may disallow as an employee's personal representative 
an individual whose activities as a representative would cause a 
conflict of interest of position, an employee whose release from his or 
her official duties and responsibilities would give rise to unreasonable 
costs to the Government, or an employee whose priority work assignment 
precludes his or her release from official duties and responsibilities. 
Section 7114 of title 5, United States Code, and the terms of any 
applicable collective bargaining agreement govern representation for 
employees in an exclusive bargaining unit.
    (d) When a negative determination is sustained after 
reconsideration, an employee shall be informed in writing of the reasons 
for the decision and of his or her right to appeal the decision to the 
Merit Systems Protection Board. However, for an employee covered by a 
collective bargaining agreement a reconsideration decision that sustains 
a negative determination is only reviewable in accordance with the terms 
of the agreement.

[46 FR 2319, Jan. 9, 1981, as amended at 50 FR 45389, Oct. 31, 1985]



Sec. 531.411  Continuing evaluation after withholding a within-grade increase.

    When a within-grade increase has been withheld, an agency may, at 
any time thereafter, prepare a new rating of record for the employee and 
grant the within-grade increase when it determines that he or she has 
demonstrated sustained performance at an acceptable level of competence. 
However, the agency shall determine whether the employee's performance 
is at an acceptable level of competence after no more than 52 calendar 
weeks following the original eligibility date for the within-grade 
increase and, for as long as the within-grade increase continues to be 
denied, determinations will be made after no longer than each 52 
calendar weeks.

[51 FR 8421, Mar. 11, 1986]



Sec. 531.412  Effective date of a within-grade increase.

    (a) Except as provided in paragraph (b) of this section, a within-
grade increase shall be effective on the first day of the first pay 
period following completion of the required waiting period and in 
compliance with the conditions of eligibility. Interim within-grade 
increases shall become effective as provided in Sec. 541.414(b).
    (b) When an acceptable level of competence is achieved at some time 
after a negative determination, the effective date is the first day of 
the first pay period after the acceptable determination has been made.

[46 FR 2319, Jan. 9, 1981, as amended at 46 FR 41020, Aug. 14, 1981; 59 
FR 24029, May 10, 1994]



Sec. 531.413  Reports and evaluation of within-grade increase authority.

    (a) Reports. The Office of Personnel Management may require agencies 
to maintain records and report on the use of the authority to grant or 
withhold within-grade increases.
    (b) Evaluation. The Office of Personnel Management may evaluate an 
agency's use of the authority to grant or withhold within-grade 
increases. An agency shall take any corrective action required by the 
Office.



Sec. 531.414  Interim within-grade increase.

    (a) An interim within-grade increase shall be granted to an employee 
who has:

[[Page 364]]

    (1) Appealed a negative within-grade increase determination to the 
Merit Systems Protection Board under 5 U.S.C 5335(c); and
    (2) Been granted a favorable within-grade increase determination 
under the interim relief provisions of 5 U.S.C. 7701(b)(2).
    (b) An interim within-grade increase granted under paragraph (a) of 
this section shall become effective on the date of the appellate 
decision ordering interim relief under 5 U.S.C. 7701(b)(2)(A).
    (c) If the final decision of the Merit Systems Protection Board 
upholds the negative within-grade increase determination, an interim 
within-grade increase granted under this section shall be terminated on 
the date of the Board's final decision.
    (d) If the final decision of the Merit Systems Protection Board 
overturns the negative within-grade increase determination, an interim 
within-grade increase granted under this section shall be made permanent 
and shall be granted retroactively to the first day of the first pay 
period beginning on or after completion of the applicable waiting 
period.
    (e) An employee may not appeal the termination of an interim within-
grade increase under paragraph (c) of this section.

[57 FR 3712, Jan. 31, 1992, as amended at 59 FR 24030, May 10, 1994; 59 
FR 65703, Dec. 21, 1994]



                    Subpart E--Quality Step Increases

    Source: 33 FR 12448, Sept. 4, 1968, unless otherwise noted.



Sec. 531.501  Applicability.

    This subpart contains regulations of the Office of Personnel 
Management to carry out section 5336 of title 5, United States Code, 
which authorizes the head of an agency, or another official to whom such 
authority is delegated, to grant quality step increases.

[60 FR 43948, Aug. 23, 1995]



Sec. 531.502  Definitions.

    Agency means an agency defined in section 5102 of title 5, United 
States Code.
    Employee means an employee of an agency.
    Quality step increase is synonymous with the term ``step increase'' 
used in section 5336 of title 5, United States Code, and means an 
increase in an employee's rate of basic pay from one step or rate of the 
grade of his or her position to the next higher step of that grade or 
next higher rate within the grade (as defined in Sec. 531.403) in 
accordance with section 5336 of title 5, United States Code, section 4 
of the Performance Management and Recognition System Termination Act of 
1993 (Pub. L. 103-89), and this subpart.

[46 FR 2322, Jan. 9, 1981, as amended at 46 FR 41020, Aug. 14, 1981; 58 
FR 65537, Dec. 15, 1993; 59 FR 40794, Aug. 10, 1994]



Sec. 531.503  Purpose of quality step increases.

    The purpose of quality step increases is to provide appropriate 
incentives and recognition for excellence in performance by granting 
faster than normal step increases.

[60 FR 43948, Aug. 23, 1995]



Sec. 531.504  Level of performance required for quality step increase.

    A quality step increase shall not be required but may be granted 
only to--
    (a) An employee who receives a rating of record at Level 5 
(``Outstanding'' or equivalent), as defined in part 430, subpart B, of 
this chapter; or
    (b) An employee who, when covered by a performance appraisal program 
that does not use a Level 5 summary--
    (1) Receives a rating of record at the highest summary level used by 
the program; and
    (2) Demonstrates sustained performance of high quality significantly 
above that expected at the ``Fully Successful'' level in the type of 
position concerned, as determined under performance-related criteria 
established by the agency.

[60 FR 43948, Aug. 23, 1995]



Sec. 531.505  Restrictions on granting quality step increases.

    As provided by 5 U.S.C. 5336, a quality step increase may not be 
granted to an employee who has received a quality

[[Page 365]]

step increase within the preceding 52 consecutive calendar weeks.

[51 FR 8421, Mar. 11, 1986]



Sec. 531.506  Effective date of a quality step increase.

    The quality step increase should be made effective as soon as 
practicable after it is approved.

[60 FR 43948, Aug. 23, 1995]



Sec. 531.507  Agency responsibilities.

    (a) Agencies shall maintain and submit to OPM such records as OPM 
may require.
    (b) Agencies shall report quality step increases to the Central 
Personnel Data File in compliance with instructions in the OPM Operating 
Manual, FEDERAL WORKFORCE REPORTING SYSTEMS, for sale by the U.S. 
Government Printing Office, Superintendent of Documents.

[60 FR 43948, Aug. 23, 1995]



Sec. 531.508  Evaluation of quality step increase authority.

    The Office of Personnel Management may evaluate an agency's use of 
the authority to grant quality step increases. The agency shall take any 
corrective action required by the Office.

[60 FR 43948, Aug. 23, 1995]



            Subpart F--Locality-Based Comparability Payments

    Source: 58 FR 69174, Dec. 30, 1993, unless otherwise noted.



Sec. 531.601  Purpose.

    This subpart provides regulations to implement 5 U.S.C. 5304, which 
authorizes locality-based comparability payments to reduce pay 
disparities with non-Federal workers within each locality when the 
locality is determined to have a pay disparity of greater than 5 
percent. These regulations must be read together with 5 U.S.C. 5304.



Sec. 531.602  Definitions.

    In this subpart:
    CMSA means the geographic scope of a Consolidated Metropolitan 
Statistical Area, as defined by the Office of Management and Budget 
(OMB) in List II of the attachments to OMB Bulletin 99-04.
    Continental United States means the several States and the District 
of Columbia, but does not include Alaska or Hawaii.
    Employee means--
    (1) An employee in a position to which subchapter III of chapter 53 
of title 5, United States Code, applies and whose official duty station 
is located in a locality pay area within the continental United States, 
including a GM employee (as defined in Sec. 531.202); and
    (2) An employee in a category of positions described in 5 U.S.C. 
5304(h)(1)(A)-(F) for which the President (or designee) has authorized 
locality-based comparability payments under 5 U.S.C. 5304(h)(2) and 
whose official duty station is located in a locality pay area.
    General Schedule means the basic pay schedule established under 5 
U.S.C. 5332, as adjusted by the President under 5 U.S.C. 5303.
    Locality pay area means an area listed in Sec. 531.603 of this part, 
as established and modified under 5 U.S.C. 5304 by the Pay Agent 
designated by the President under 5 U.S.C. 5304(d)(1).
    Locality rate of pay means an employee's scheduled annual rate of 
pay increased by the percentage determined under Sec. 531.604(a) and 
rounded to the nearest whole dollar, counting 50 cents and over as the 
next higher dollar.
    MSA means the geographic scope of a Metropolitan Statistical Area, 
as defined by the Office of Management and Budget (OMB) in List I of the 
attachments to OMB Bulletin 99-04.
    Official duty station means the duty station for an employee's 
position of record as indicated on his or her most recent notification 
of personnel action, excluding a new duty station for an assignment that 
is followed immediately (i.e., within 3 workdays) by a reduction in 
force resulting in the employee's separation before he or she is 
required to report for duty at the new location. For an employee who is 
authorized to receive relocation allowances under 5 U.S.C. 5737 in 
connection with an extended assignment, the temporary duty station 
associated with that assignment is the employee's official duty station.
    Scheduled annual rate of pay means--

[[Page 366]]

    (1) The General Schedule rate of basic pay for the employee's grade 
and step (or relative position in the rate range), including a special 
rate for law enforcement officers under section 403 of the Federal 
Employees Pay Comparability Act of 1990 (FEPCA) (Pub. L. 101-509, 104 
Stat. 1465), but exclusive of a special salary rate established under 5 
U.S.C. 5305 or similar provision of law (other than section 403 of 
FEPCA), a continued rate of pay under subpart G of this part, a special 
law enforcement adjusted rate of pay under subpart C of this part 
(including a rate continued under Sec. 531.307), a locality rate of pay 
under this subpart, or additional pay of any kind;
    (2) For a GM employee (as defined in Sec. 531.202) who is receiving 
a special salary rate under 5 U.S.C. 5305 or similar provision of law, 
the rate of pay resulting from the following computation--
    (i) Using the special salary rate schedule established under 5 
U.S.C. 5305 or similar provision of law, subtract the dollar amount for 
step 1 of the employee's grade on the special salary rate schedule from 
the dollar amount for the employee's special salary rate; and
    (ii) Add the result of paragraph (2)(i) of this definition to the 
dollar amount for step 1 of the employee's grade on the General 
Schedule;
    (3) The retained rate of pay under part 536 of this chapter, 5 CFR 
359.705, or 5 U.S.C. 5334(b)(2), if applicable; or
    (4) For an employee in a category of positions described in 5 U.S.C. 
5304(h)(1)(A)-(F) for which the President (or designee) has authorized 
locality-based comparability payments under 5 U.S.C. 5304(h)(2), the 
rate of basic pay fixed by law or administrative action, exclusive of 
any locality-based adjustments (including adjustments equivalent to 
local special rate adjustments under 5 U.S.C. 5305) or other additional 
pay of any kind.

[58 FR 69174, Dec 30, 1993, as amended at 59 FR 67605, Dec. 30, 1994; 61 
FR 3540, Feb. 1, 1996; 62 FR 25425, May 9, 1997; 64 FR 69173, Dec. 10, 
1999; 66 FR 67070, Dec. 28, 2001; 68 FR 19708, Apr. 22, 2003]



Sec. 531.603  Locality pay areas.

    (a) Locality rates of pay under this subpart shall be payable to 
employees whose official duty stations are located in the locality pay 
areas listed in paragraph (b) of this section.
    (b) The following are locality pay areas for the purpose of this 
subpart:
    (1) Atlanta, GA--consisting of the Atlanta, GA MSA;
    (2) Boston-Worcester-Lawrence, MA-NH-ME-CT-RI--consisting of the 
Boston-Worcester-Lawrence, MA-NH-ME-CT CMSA, plus the State of Rhode 
Island and all of Bristol County, MA;
    (3) Chicago-Gary-Kenosha, IL-IN-WI--consisting of the Chicago-Gary-
Kenosha, IL-IN-WI CMSA;
    (4) Cincinnati-Hamilton, OH-KY-IN--consisting of the Cincinnati-
Hamilton, OH-KY-IN CMSA;
    (5) Cleveland-Akron, OH--consisting of the Cleveland-Akron, OH CMSA;
    (6) Columbus, OH--consisting of the Columbus, OH MSA;
    (7) Dallas-Fort Worth, TX--consisting of the Dallas-Fort Worth, TX 
CMSA;
    (8) Dayton-Springfield, OH--consisting of the Dayton-Springfield, OH 
MSA;
    (9) Denver-Boulder-Greeley, CO--consisting of the Denver-Boulder-
Greeley, CO CMSA;
    (10) Detroit-Ann Arbor-Flint, MI--consisting of the Detroit-Ann 
Arbor-Flint, MI CMSA;
    (11) Hartford, CT--consisting of the Hartford, CT MSA, plus that 
portion of New London County, CT, not located within the Hartford, CT 
MSA;
    (12) Houston-Galveston-Brazoria, TX--consisting of the Houston-
Galveston-Brazoria, TX CMSA;
    (13) Huntsville, AL--consisting of the Huntsville, AL MSA;
    (14) Indianapolis, IN--consisting of the Indianapolis, IN MSA;
    (15) Kansas City, MO-KS--consisting of the Kansas City, MO-KS MSA;
    (16) Los Angeles-Riverside-Orange County, CA--consisting of the Los 
Angeles-Riverside-Orange County, CA CMSA, plus Santa Barbara County, CA, 
and that portion of Edwards Air Force Base, CA, not located within the 
Los Angeles-Riverside-Orange County, CA CMSA;
    (17) Miami-Fort Lauderdale, FL--consisting of the Miami-Fort 
Lauderdale, FL CMSA;

[[Page 367]]

    (18) Milwaukee-Racine, WI--consisting of the Milwaukee-Racine, WI 
CMSA;
    (19) Minneapolis-St. Paul, MN-WI--consisting of the Minneapolis-St. 
Paul, MN-WI MSA;
    (20) New York-Northern New Jersey-Long Island, NY-NJ-CT-PA-- 
consisting of the New York-Northern New Jersey-Long Island, NY-NJ-CT-PA 
CMSA;
    (21) Orlando, FL--consisting of the Orlando, FL MSA;
    (22) Philadelphia-Wilmington-Atlantic City, PA-NJ-DE-MD-- consisting 
of the Philadelphia-Wilmington-Atlantic City, PA-NJ-DE-MD CMSA;
    (23) Pittsburgh, PA--consisting of the Pittsburgh, PA MSA;
    (24) Portland-Salem, OR-WA--consisting of the Portland-Salem, OR-WA 
CMSA;
    (25) Richmond-Petersburg, VA--consisting of the Richmond-Petersburg, 
VA MSA;
    (26) Sacramento-Yolo, CA--consisting of the Sacramento-Yolo, CA 
CMSA;
    (27) St. Louis, MO-IL--consisting of the St. Louis, MO-IL MSA;
    (28) San Diego, CA--consisting of the San Diego, CA MSA;
    (29) San Francisco-Oakland-San Jose, CA--consisting of the San 
Francisco-Oakland-San Jose, CA CMSA, plus Monterey County, CA;
    (30) Seattle-Tacoma-Bremerton, WA--consisting of the Seattle-Tacoma-
Bremerton, WA CMSA;
    (31) Washington-Baltimore, DC-MD-VA-WV--consisting of the 
Washington-Baltimore, DC-MD-VA-WV CMSA, plus St. Mary's County, MD; and
    (32) Rest of U.S.--consisting of those portions of the 48 contiguous 
States not located in another locality pay area.

[58 FR 69174, Dec. 30, 1993, as amended at 59 FR 67605, Dec. 30, 1994; 
61 FR 40950, Aug. 7, 1996; 61 FR 42939, Aug. 19, 1996; 62 FR 65312, Dec. 
12, 1997; 65 FR 75154, Dec. 1, 2000]



Sec. 531.604  Determining locality rates of pay.

    (a) To determine the locality rate of pay payable to an employee, 
the applicable scheduled annual rate of pay shall be increased by the 
percentage authorized by the President for the locality pay area in 
which the employee's official duty station is located.
    (b) Except as provided in paragraph (c) of this section, locality 
rates of pay may not exceed the rate of basic pay payable for level IV 
of the Executive Schedule.
    (c)(1) Locality rates of pay approved by the President (or designee) 
for employees in a category of positions described in 5 U.S.C. 
5304(h)(1)(A)-(E) may not exceed the rate for level III of the Executive 
Schedule.
    (2) Locality rates of pay approved by the President (or designee) 
for employees in a category of positions described in 5 U.S.C. 
5304(h)(1)(F) may not exceed--
    (i) The rate for level IV of the Executive Schedule, when the 
maximum scheduled annual rate of pay (excluding any retained rate) for 
such positions is less than or equal to the maximum payable scheduled 
annual rate of pay for GS-15; or
    (ii) The rate for level III of the Executive Schedule, when the 
maximum scheduled annual rate of pay (excluding any retained rate) for 
such positions exceeds the maximum payable scheduled annual rate of pay 
for GS-15, but is not more than the rate for level IV of the Executive 
Schedule.
    (3) If application of paragraph (c)(2) of this section would 
otherwise reduce an employee's existing locality rate of pay, the 
employee's locality rate of pay will be capped at the higher of--
    (i) The amount of his or her locality rate of pay on the day before 
paragraph (c)(2) of this section is applied, or
    (ii) The rate for level IV of the Executive Schedule.
    (d) Paragraph (c) of this section does not apply to experts and 
consultants appointed under 5 U.S.C. 3109 if the pay for those experts 
and consultants is limited to the highest rate payable under 5 U.S.C. 
5332 (i.e., the unadjusted maximum GS-15 rate). Pay limitations for such 
experts and consultants must be determined in accordance with 
Sec. 304.105 of this chapter.

[58 FR 69174, Dec. 30, 1993, as amended at 66 FR 67070, Dec. 28, 2001]

[[Page 368]]



Sec. 531.605  Computation of hourly, daily, weekly, and biweekly locality rates of pay.

    When it is necessary to convert an annual locality rate of pay to an 
hourly, daily, weekly, or biweekly rate, the following methods apply:
    (a) To derive an hourly rate, divide the annual locality rate of pay 
by 2,087 and round to the nearest cent, counting one-half cent and over 
as the next higher cent;
    (b) To derive a daily rate, multiply the hourly rate by the number 
of daily hours of service required by the employee's basic daily tour of 
duty;
    (c) To derive a weekly or biweekly rate, multiply the hourly rate by 
40 or 80, as the case may be.



Sec. 531.606  Administration of locality rates of pay.

    (a) An employee shall receive the greatest of--
    (1) His or her rate of basic pay, including any applicable special 
salary rate established under 5 U.S.C. 5305 or similar provision of law 
or special rate for law enforcement officers under section 403 of FEPCA;
    (2) A continued rate of pay under subpart G of this part;
    (3) A ``special law enforcement adjusted rate of pay'' under subpart 
C of this part, where applicable, including a ``special law enforcement 
adjusted rate of pay'' continued under Sec. 531.307; or
    (4) A locality rate of pay under this subpart, where applicable.
    (b) A locality rate of pay is considered basic pay for the purpose 
of computing--
    (1) Retirement deductions and benefits under chapters 83 or 84 of 
title 5, U.S. Code;
    (2) Life insurance premiums and benefits under parts 870, 871, 872, 
and 873 of this chapter;
    (3) Premium pay under subparts A and I of part 550 of this chapter 
(including the computation of limitations on premium pay under 5 U.S.C. 
5547, overtime pay under 5 U.S.C. 5542(a), compensatory time off under 5 
U.S.C. 5543, and standby duty pay under 5 U.S.C. 5545(c)(1));
    (4) Severance pay under subpart G of part 550 of this chapter;
    (5) Advances in pay under subpart B of part 550 of this chapter; and
    (6) Basic pay that a career appointee in the Senior Executive 
Service elects to continue while serving under certain Presidential 
appointments, as provided by 5 U.S.C. 3392(c)(1) and Sec. 317.801 of 
this chapter.
    (c) When an employee's official duty station is changed to a 
different locality pay area, the employee's entitlement to the locality 
rate of pay for the new locality pay area begins on the effective date 
of the change in official duty station.
    (d) A locality rate of pay is paid only for those hours for which an 
employee is in a pay status.
    (e) A locality rate of pay shall be adjusted as of the effective 
date of any change in the applicable scheduled annual rate of pay.
    (f) Except as provided in paragraph (g) of this section, entitlement 
to a locality rate of pay established for a locality pay area under this 
subpart terminates on the date--
    (1) An employee's official duty station is no longer in the locality 
pay area;
    (2) An employee is no longer in a position covered by this subpart;
    (3) An employee separates from Federal service; or
    (4) An employee's special salary rate under 5 U.S.C. 5305 or similar 
provision of law (other than section 403 of FEPCA) exceeds his or her 
locality rate of pay.
    (g) In the event of a change in the geographic coverage of a 
locality pay area, the effective date of the change in an employee's 
entitlement to a locality rate of pay under this subpart is the first 
day of the first applicable pay period beginning on or after the date on 
which the change in geographic coverage becomes effective.
    (h) Payment of, or an increase in, a locality rate of pay is not an 
equivalent increase in pay within the meaning of section 5335 of title 
5, United States Code.
    (i) A locality rate of pay is included in an employee's ``total 
remuneration,'' as defined in 5 CFR 551.511(b), and ``straight time rate 
of pay,'' as defined in 5 CFR 551.512(b), for the purpose of 
computations under the Fair

[[Page 369]]

Labor Standards Act of 1938, as amended.
    (j) Reduction or termination of a locality rate of pay under 
paragraph (f) of this section is not an adverse action for the purpose 
of subpart D of part 752 of this chapter or an action under 5 CFR 
930.214.
    (k) When an employee's locality rate of pay under this subpart is 
greater than any applicable special salary rate under 5 U.S.C. 5305 or 
similar provision of law (other than section 403 of FEPCA), the payment 
of the rate resulting from the comparison required by paragraph (a) of 
this section is deemed to have reduced the locality rate of pay payable 
under 5 U.S.C. 5304, as authorized by 5 U.S.C. 5305(g)(1).

[58 FR 69174, Dec. 30, 1993, as amended at 61 FR 3541, Feb. 1, 1996; 64 
FR 36771, July 8, 1999; 64 FR 69173, Dec. 10, 1999; 68 FR 19708, Apr. 
22, 2003]



Sec. 531.607  Reports.

    The Office of Personnel Management may require agencies to report 
pertinent information concerning the administration of payments under 
this subpart.



                    Subpart G--Continued Rates of Pay

    Source: 61 FR 3541, Feb. 1, 1996, unless otherwise noted.



Sec. 531.701  Definitions.

    In this subpart:
    Continued rate of pay means a rate of pay first established in 
January 1994 for an employee who previously received an interim 
geographic adjustment on top of a worldwide or nationwide special rate 
authorized under 5 U.S.C. 5305.
    Employee means an employee in a position in whom subchapter III of 
chapter 53 of title 5, United States Code applies, whose official duty 
station is located in an interim geographic adjustment area and who is 
receiving a continued rate of pay.
    General Schedule means the basic pay schedule established under 5 
U.S.C. 5332.
    Interim geographic adjustment area means one of the following 
Consolidated Metropolitan Statistical Areas (CMSA's), as defined by the 
Office of Management and Budget (OMB), that was an interim geographic 
adjustment area when continued rates of pay first became applicable in 
January 1994:
    (1) New York-Northern New Jersey-Long Island, NY-NJ-CT-PA;
    (2) Los Angeles-Riverside-Orange County, CA; or
    (3) San Francisco-Oakland-San Jose, CA.
    Official duty station means the duty station for an employee's 
position of record as indicated on his or her most recent notification 
of personnel action.



Sec. 531.702  Computation of hourly, daily, weekly, and biweekly continued rates of pay.

    When it is necessary to convert a continued rate of pay from an 
annual rate to an hourly, daily, weekly, or biweekly rate, the following 
methods apply:
    (a) To derive an hourly rate, divided the continued rate by 2,087 
and round to the nearest cent, counting one-half cent and over as a 
whole cent;
    (b) To derive a daily rate, multiply the hourly rate by the number 
of daily hours of service required by the employee's basic daily tour of 
duty;
    (c) To derive a weekly or biweekly rate, multiply the hourly rate by 
40 or 80, as the case may be.



Sec. 531.703  Administration of continued rates of pay.

    (a) An employee shall receive the greatest of--
    (1) His or her rate of basic pay, including any applicable special 
salary rate established under 5 U.S.C. 5305 or similar provision of law 
or special rate for law enforcement officers under section 403 of FEPCA;
    (2) A continued rate of pay under this subpart;
    (3) A special law enforcement officer adjusted rate of pay under 
subpart C of this part, where applicable, including a special law 
enforcement adjusted rate of pay continued under Sec. 531.307; or
    (4) A locality rate of pay under subpart F of this part, where 
applicable.
    (b) A continued rate of pay is considered basic pay for the same 
purposes as described in Sec. 531.606(b), as applicable.

[[Page 370]]

    (c) A continued rate of pay is paid only for those hours for which 
an employee is in a pay status.
    (d) A continued rate of pay is included in an employee's ``total 
remuneration,'' as defined in Sec. 551.511(b) of this chapter, and 
``straight time rate of pay,'' as defined in Sec. 551.512(b) of this 
chapter, for the purpose of computations under the Fair Labor Standards 
Act of 1938, as amended.
    (e) At the time of an adjustment in pay under 5 U.S.C. 5303, a 
continued rate of pay shall be increased by the lesser of--
    (1) The dollar amount of the adjustment (including a zero 
adjustment) made under 5 U.S.C. 5303 in the General Schedule rate of 
basic pay for the employee's grade and step (or relative position in the 
rate range); or
    (2) The dollar amount of the adjustment (including a zero 
adjustment) in the special salary rate applicable to the employee as a 
result of the annual review of special rates required by Sec. 530.304 of 
this chapter.
    (f) An increase in a continued rate of pay under paragraph (e) of 
this section is not an equivalent increase in pay within the meaning of 
section 5335 of title 5, United States Code.
    (g) A continued rate of pay terminates on the date--
    (1) An employee's official duty station is no longer located in one 
of the interim geographic adjustment areas;
    (2) An employee is no longer in a position covered by this subpart;
    (3) An employee separates from Federal service;
    (4) An employee's special salary rate under 5 U.S.C. 5305 or similar 
provision of law (other than section 403 of FEPCA) exceeds his or her 
continued rate of pay;
    (5) An employee's special law enforcement adjusted rate of pay under 
subpart C of this part exceeds his or her continued rate of pay;
    (6) An employee's locality rate of pay under subpart F of this part 
exceeds his or her continued rate of pay;
    (7) An employee is reduced in grade; or
    (8) An employee is no longer in a position covered by a nationwide 
or worldwide special rate authorization (or, in the event of the 
conversion of a nationwide or worldwide special rate authorization to a 
local special rate authorization, a position covered by the new local 
special rate authorization).
    (h) Termination of a continued rate of pay under paragraph (g) of 
this section is not an adverse action for the purpose of subpart D of 
part 752 of this chapter.
    (i) An employee's entitlement to a continued rate of pay is not 
affected by a temporary promotion or temporary reassignment, except that 
a continued rate shall be suspended when a temporary promotion or 
reassignment causes one of the conditions in paragraph (g) of this 
section to be satisfied. In such situations, an employee's entitlement 
to continued pay will resume as if never interrupted upon return to the 
permanent position, subject to the requirements of this subpart. A 
continued rate that is resumed shall include any pay adjustments that 
were authorized for the permanent position under paragraph (e) of this 
section during the period of the temporary promotion or reassignment.

[61 FR 3541, Feb. 1, 1996, as amended at 61 FR 34714, July 3, 1996; 64 
FR 36771, July 8, 1999]



Sec. 531.704  Effect of continued rates of pay on retention payments under FBI demonstration project.

    As required by section 406 of the Federal Employees Pay 
Comparability Act of 1990 (Pub. L. 101-509), a retention payment payable 
to an employee of the New York Field Division of the Federal Bureau of 
Investigation under section 601(a)(2) of Public Law 100-453, as amended, 
shall be reduced by the amount of any continued rate adjustment payable 
to that employee under this subpart. For the purpose of applying this 
section, the amount of any continued rate adjustment shall be determined 
by subtracting the employee's scheduled annual rate of pay (as defined 
in Sec. 531.602 of this part from his or her continued rate of pay.



Sec. 531.705  Reports.

    The Office of Personnel Management may require agencies to report 
pertinent information concerning the administration of payments under 
this subpart.

[[Page 371]]



PART 532--PREVAILING RATE SYSTEMS--Table of Contents




                      Subpart A--General Provisions

Sec.
532.101 Scope.
532.103 Coverage.
532.105 Pay-fixing authority.

                Subpart B--Prevailing Rate Determinations

532.201 Definitions.
532.203 Structure of regular wage schedules.
532.205 The use of Federal, State, and local minimum wage requirements 
          in determining prevailing rates.
532.207 Time schedule for wage surveys.
532.209 Lead agency.
532.211 Criteria for establishing appropriated fund wage areas.
532.213 Industries included in regular appropriated fund wage surveys.
532.215 Establishments included in regular appropriated fund surveys.
532.217 Appropriated fund survey jobs.
532.219 Criteria for establishing nonappropriated fund wage areas.
532.221 Industries included in regular nonappropriated fund surveys.
532.223 Establishments included in regular nonappropriated fund surveys.
532.225 Nonappropriated fund survey jobs.
532.227 Agency wage committee.
532.229 Local wage survey committee.
532.231 Responsibilities of participating organizations.
532.233 Preparation for full-scale wage surveys.
532.235 Conduct of full-scale wage survey.
532.237 Review by the local wage survey committee.
532.239 Review by the lead agency.
532.241 Analysis of usable wage survey data.
532.243 Consultation with the agency wage committee.
532.245 Selection of payline and issuance of wage schedules.
532.247 Wage change surveys.
532.249 Minimum rates for hard-to-fill positions.
532.251 Special rates.
532.253 Special rates or rate ranges for leader, supervisory, and 
          production facilitating positions.
532.254 Special schedules.
532.255 Regular appropriated fund wage schedules in foreign areas.
532.257 Regular nonappropriated fund wage schedules in foreign areas.
532.259 Special appropriated fund wage schedules for U.S. insular areas.
532.261 Special wage schedules for leader and supervisory schedules for 
          leader and supervisory wage employees in the Puerto Rico wage 
          area.
532.263 Special wage schedules for production facilitating positions.
532.265 Special wage schedules for apprentices and shop trainees.
532.267 Special wage schedules for aircraft, electronic, and optical 
          instrument overhaul and repair positions in Puerto Rico.
532.269 Special wage schedules for Corps of Engineers, U.S. Army 
          navigation lock and dam employees.
532.271 Special wage schedules for National Park Service positions in 
          overlap areas.
532.273 Special wage schedules for United States Information Agency 
          Radio Antenna Rigger positions.
532.275 Special wage schedules for ship surveyors in Puerto Rico.
532.277 Special wage schedules for U.S. Navy positions in Bridgeport, 
          California.
532.279 Special wage schedules for printing positions.
532.281 Special wage schedules for divers and tenders.
532.283 Special wage schedules for nonappropriated fund tipped employees 
          classified as waiter/waitress.
532.285 Special wage schedules for supervisors of negotiated rate Bureau 
          of Reclamation employees.

Appendix A to Subpart B of Part 532--Nationwide Schedule of Appropriated 
          Fund Regular Wage Surveys
Appendix B to Subpart B of Part 532--Nationwide Schedule of 
          Nonappropriated Fund Regular Wage Surveys
Appendix C to Subpart B of Part 532--Appropriated Fund Wage and Survey 
          Areas
Appendix D to Subpart B of Part 532--Nonappropriated Fund Wage and 
          Survey Areas

  Subpart C--Determining Rates for Principal Types of Federal Positions

532.301 Definitions.
532.303 Specialized industry.
532.305 Dominant industry.
532.307 Determining whether a dominant industry exists in a wage area.
532.309 Determining adequacy of specialized private industry.
532.311 Survey of specialized private industry related to a dominant 
          industry.
532.313 Private sector industries.
532.315 Additional survey jobs.
532.317 Use of data from the nearest similar area.

                      Subpart D--Pay Administration

532.401 Definitions.
532.403 New appointments.
532.405 Use of highest previous rate.
532.407 Promotion.
532.409 Grading or regrading of positions.
532.411 Details.

[[Page 372]]

532.413 Simultaneous action.
532.415 Application of new or revised wage schedules.
532.417 Within-grade increases.
532.419 Grade and pay retention.

                Subpart E--Premium Pay and Differentials

532.501 Definitions.
532.503 Overtime pay.
532.504 Compensatory time off.
532.505 Night shift differentials.
532.507 Pay for holiday work.
532.509 Pay for Sunday work.
532.511 Environmental differentials.
532.513 Flexible and compressed work schedules.

Appendix A to Subpart E of Part 532--Schedule of Environmental 
          Differentials Paid for Exposure to Various Degrees of Hazards, 
          Physical Hardships, and Working Conditions of an Unusual 
          Nature

                      Subpart F--Job Grading System

532.601 General.

               Subpart G--Job Grading Reviews and Appeals

532.701 General.
532.703 Agency review.
532.705 Appeal to the Office of Personnel Management.
532.707 Availability of information.

 Subpart H--Payment of Unrestricted Rates for Recruitment or Retention 
                                Purposes

532.801 Payment of unrestricted rates for recruitment or retention 
          purposes.

    Authority: 5 U.S.C. 5343, 5346; Sec. 532.707 also issued under 5 
U.S.C. 552.

    Source: 46 FR 21344, Apr. 10, 1981, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 532.101  Scope.

    This part provides common policies, systems, and practices for 
uniform application by all agencies subject to section 5342 of title 5, 
United States Code, in fixing pay for prevailing rate employees as 
nearly as is consistent with the public interest in accordance with 
prevailing rates.



Sec. 532.103  Coverage.

    The provisions of this part shall apply to prevailing rate employees 
and agencies covered by section 5342 of title 5, United States Code.



Sec. 532.105  Pay-fixing authority.

    The head of each agency shall authorize application of the rates 
established by the lead agency or the Office of Personnel Management 
(OPM) to prevailing rate employees within the appropriate wage area, in 
accordance with the provisions of this part.



                Subpart B--Prevailing Rate Determinations



Sec. 532.201  Definitions.

    For the purposes of this part:
    Full-scale survey means a survey conducted at least every 2 years in 
which data are collected from a current sampling of establishments in 
the private sector by personal visit of data collectors.
    Host activity is the local Federal activity designated by the lead 
agency to obtain employment statistics from other Federal activities in 
the wage area and to provide support facilities and clerical assistance 
for the wage survey.
    Lead agency means the agency designated by the Office of Personnel 
Management to plan and conduct wage surveys, analyze wage survey data, 
and determine and issue required wage schedules for a wage area.
    Survey area means that part of the wage area where the private 
enterprise establishments included in the wage survey are located.
    Wage area means that geographic area within which a single set of 
regular wage schedules is applied uniformly by Federal installations to 
covered occupations.
    Wage change survey means a survey in which rate change data are 
collected from the same establishments and for the same establishment 
occupations represented in the full-scale survey. These data may be 
collected by telephone, mail, or personal visit.



Sec. 532.203  Structure of regular wage schedules.

    (a) Each nonsupervisory and leader regular wage schedule shall have 
15 grades, which shall be designated as follows:
    (1) WG means an appropriated fund nonsupervisory grade;

[[Page 373]]

    (2) WL means an appropriated fund leader grade;
    (3) NA means a nonappropriated fund nonsupervisory grade; and
    (4) NL means a nonappropriated fund leader grade.
    (b) Each supervisory regular wage schedule shall have 19 grades, 
which shall be designated as follows:
    (1) WS means an appropriated fund supervisory grade; and
    (2) NS means a nonappropriated fund supervisory grade.
    (c) The step 2 or payline rate for each grade of a leader regular 
wage schedule shall be equal to 110 percent of the rate for step 2 of 
the corresponding grade of the nonsupervisory regular wage schedule for 
the area.
    (d) The step 2 or payline rate for each grade of an appropriated 
fund supervisory regular wage schedule shall be:
    (1) For grades WS-1 through WS-10, equal to the rate for step 2 of 
the corresponding grade of the nonsupervisory regular wage schedule for 
the area, plus 30 percent of the rate for step 2 of WG-10;
    (2) For grades WS-11 through WS-18, the second rate of WS-10, plus 
5, 11.5, 19.6, 29.2, 40.3, 52.9, 67.1, and 82.8 percent, respectively, 
of the difference between the step 2 rates of WS-10 and WS-19; and
    (3) For grade WS-19, the third rate in effect for General Schedule 
grade GS-14 at the time of the area wage schedule adjustment. The WS-19 
rate shall include any cost of living allowance payable for the area 
under 5 U.S.C. 5941.
    (e) The step 2 or payline rate for each grade of a nonappropriated 
fund supervisory regular wage schedule shall be:
    (1) For grades NS-1 through NS-8, equal to the rate for step 2 of 
the corresponding grade of the nonsupervisory regular wage schedule for 
the area, plus 20 percent of the rate for step 2 of NA-8;
    (2) For grades NS-9 through NS-15, equal to 120 percent of the rate 
for step 2 of the corresponding grade of the nonsupervisory regular wage 
schedule for the area;
    (3) For grades NS-16 through NS-19, the rates will be 25, 30, 35 and 
40 percent, respectively, above the step 2 rate of NA-15;
    (f) The number of within-grade steps and the differentials between 
steps for each nonsupervisory grade on a regular wage schedule shall be 
established in accordance with 5 U.S.C. 5343(e)(1). Each grade on a 
leader and supervisory regular wage schedule shall have 5 within-grade 
steps with step 2 set according to paragraphs (c), (d), or (e) of this 
section, as appropriate, and--
    (1) Step 1 set at 96 percent of the step 2 rate;
    (2) Step 3 set at 104 percent of the step 2 rate;
    (3) Step 4 set at 108 percent of the step 2 rate; and
    (4) Step 5 set at 112 percent of the step 2 rate.

[46 FR 21344, Apr. 10, 1981, as amended at 48 FR 13385, Mar. 30, 1983; 
49 FR 28347, July 11, 1984; 55 FR 46140, Nov. 1, 1990]



Sec. 532.205  The use of Federal, State, and local minimum wage requirements in determining prevailing rates.

    (a) Wage schedules, including special schedules, shall not include 
any rates of pay less than the higher of:
    (1) The minimum rate prescribed by section 6(a)(1) of the Fair Labor 
Standards Act of 1938, as amended, or
    (2) The highest State or local minimum wage rate in the local wage 
area which is applicable to the private industry counterparts of the 
single largest Federal industry/occupation in the wage area.
    (b) Wage data below the minimum wage rates prescribed by section 
6(a)(1) of the Fair Labor Standards Act of 1938, as amended, shall not 
be used in determining prevailing rates.
    (c) Adjustments to regular wage schedules to comply with the minimum 
wage rate determined to be applicable under paragraph (a) of this 
section shall be computed as follows:
    (1) The step 2 rate of grade 1 of the nonsupervisory wage schedule 
shall be set at a rate which, upon application of the 4 percent step-
rate differential, provides a step 1 rate which is equal to the 
applicable minimum wage rate.
    (2) An intergrade differential shall be determined as 5 percent of 
the rate established as the step 2 rate of grade 1, rounded to the 
nearest whole cent. This intergrade differential shall be

[[Page 374]]

added to the step 2 rate of each grade, beginning with grade 1, to 
determine the step 2 rate for the succeeding grade until the grade is 
reached at which the step 2 rate established through the wage survey 
process equals or exceeds the rate determined under this procedure. 
Rates of all grades above that point shall be computed in accordance 
with Sec. 532.221(b) of this subpart.
    (3) Steps 1, 3, 4, and 5 of each grade adjusted under paragraph (c) 
of this section shall be set at 96, 104, 108, and 112 percent of the 
step 2 rate, respectively.
    (4) The leader and supervisory wage schedule grades corresponding to 
each nonsupervisory grade adjusted under paragraph (c) of this section 
shall be constructed in accordance with the procedures of Sec. 532.203 
of this subpart, on the basis of the step 2 rates established under this 
paragraph for the nonsupervisory wage schedule grades.
    (d) All wage schedule adjustments made under this section shall be 
effective on the effective date of the applicable minimum wage rate.



Sec. 532.207  Time schedule for wage surveys.

    (a) Wage surveys shall be conducted on a 2-year cycle at annual 
intervals.
    (b) A full-scale survey shall be made in the first year of the 2-
year cycle and shall include development of a current sample of 
establishments and the collection of wage data by visits to 
establishments.
    (c) A wage-change survey shall be made every other year using only 
the same employers, occupations, survey jobs, and establishment weights 
used in the preceding full-scale survey. Data may be collected by 
telephone, mail, or personal contact.
    (d) Scheduling of surveys shall take into consideration the 
following criteria:
    (1) The best timing in relation to wage adjustments in the principal 
local private enterprise establishments;
    (2) Reasonable distribution of workload of the lead agency;
    (3) The timing of surveys for nearby or selected wage areas; and
    (4) Scheduling relationships with other pay surveys.
    (e) The Office of Personnel Management may authorize adjustments in 
the normal cycle as requested by the lead agency and based on the 
criteria in paragraph (d) of this section or to accommodate special 
studies or adjustments consistent with determining local prevailing 
rates.
    (f) The beginning month of appropriated and nonappropriated fund 
wage surveys and the fiscal year during which full-scale surveys will be 
conducted are set out as appendices A and B to this subpart and are 
incorporated in and made part of this section.

[55 FR 46141, Nov. 1, 1990]



Sec. 532.209  Lead agency.

    (a) The Office of Personnel Management shall select a lead agency 
for each appropriated and nonappropriated fund wage area based on the 
number of agency employees covered by the regular wage schedule for that 
area and the capability of the agency in providing administrative and 
clerical support at the local level necessary to conduct a wage survey.
    (b) OPM may authorize exceptions to these criteria where this will 
improve the administration of the local wage survey.
    (c) The listing in appendix A to this subpart shows the lead agency 
for each appropriated fund wage area. The Department of Defense is the 
lead agency for each nonappropriated fund wage area.

[55 FR 46141, Nov. 1, 1990]



Sec. 532.211  Criteria for establishing appropriated fund wage areas.

    (a) Each wage area shall consist of one or more survey areas along 
with nonsurvey areas, if any.
    (1) Survey area: A survey area is composed of the counties, 
parishes, cities, or townships in which survey data are collected. 
Except in very unusual circumstances, a wage area that includes a 
Metropolitan Statistical Area shall have the Metropolitan Statistical 
Area as the survey area or part of the survey area.
    (2) Nonsurvey area: Nonsurvey counties, parishes, cities, or 
townships may be combined with the survey area(s) to

[[Page 375]]

form the wage area through consideration of the criteria in paragraph 
(d)(1) of this section.
    (b) Wage areas shall include wherever possible a recognized economic 
community such as a Metropolitan Statistical Area or a political unit 
such as a county. Two or more economic communities or political units, 
or both, may be combined to constitute a single wage area; however, 
except in unusual circumstances and as an exception to the criteria, an 
individually defined Metropolitan Statistical Area or county shall not 
be subdivided for the purpose of defining a wage area.
    (c) Except as provided in paragraph (a) of this section, wage areas 
shall be established when:
    (1) There is a minimum of 100 wage employees of one agency subject 
to the regular schedule and the agency involved indicates that its local 
installation has the capacity to do the survey; and
    (2) There is, within a reasonable commuting distance of the 
concentration of Federal employment;
    (i) A minimum of either 20 establishments within survey 
specifications having at least 50 employees each; or 10 establishments 
having at least 50 employees each, with a combined total of 1,500 
employees; and
    (ii) The total private enterprise employment in the industries 
surveyed in the survey area is at least twice the Federal wage 
employment in the survey area.
    (d)(1) Adjacent economic communities or political units meeting the 
separate wage area criteria in paragraphs (b) and (c) of this section 
may be combined through consideration of:
    (i) Distance, transportation facilities, and geographic features;
    (ii) Commuting patterns; and
    (iii) Similarities in overall population, employment, and the kinds 
and sizes of private industrial establishments.
    (2) Generally, the criteria listed in paragraph (d)(1) of this 
section are considered in the order listed.
    (3) When two wage areas are combined, the survey area of either or 
both may be used, depending on the concentrations of Federal and private 
employment and locations of establishments, the proximity of the survey 
areas to each other, and the extent of economic similarites or 
differences as indicated by relative levels of wage rates in each of the 
potential survey areas.
    (e) Appropriated fund wage and survey area definitions are set out 
as appendix C to this subpart and are incorporated in and made part of 
this section.

[55 FR 46142, Nov. 1, 1990, as amended at 57 FR 29783, July 7, 1992]



Sec. 532.213  Industries included in regular appropriated fund wage surveys.

    (a) Industries in the following Standard Industrial Classifications 
(SIC) shall be included in all wage surveys for regular wage schedules:

 
                              Manufacturing
 
SIC 20 through 26 and 28 through 38.....  All manufacturing classes
                                           except SIC 27 (printing,
                                           publishing, and allied
                                           industries) and SIC 39
                                           (miscellaneous manufacturing
                                           industries).
 
 
  Transportation, Communications, Electric, Gas, and Sanitary Services
 
SIC 40..................................  Railroad transportation
SIC 41 (except 412).....................  Local and suburban transit and
                                           interurban highway passenger
                                           transportation except
                                           taxicabs (SIC 412).
SIC 42..................................  Motor freight transportation
                                           and warehousing.
SIC 45..................................  Transportation by air.
SIC 48..................................  Communication.
SIC 49..................................  Electric, gas, and sanitary
                                           services.
 
 
                             Wholesale Trade
 
SIC 50..................................  Wholesale trade--durable
                                           goods.
SIC 51..................................  Wholesale trade--nondurable
                                           goods.
 

    (b) A lead agency may add other industry classes to a regular survey 
in an area where these industries account for significant proportions of 
local private employment of the kinds and levels found in local Federal 
employment.

[[Page 376]]

    (c) Specifically excluded from all wage surveys for regular wage 
schedules are food service and laundry establishments and industries 
having peculiar employment conditions that directly affect the wage 
rates paid and that are the basis for special wage surveys.

[55 FR 46142, Nov. 1, 1990]



Sec. 532.215  Establishments included in regular appropriated fund surveys.

    (a) All establishments having a total employment of 50 or more 
employees in the prescribed industries within a survey area shall be 
included within the survey universe. On rare occasions and as an 
exception to the rule, OPM may authorize lower minimum size levels based 
on a recommendation of the lead agency for the wage area.
    (b) Establishments to be covered in surveys shall be selected under 
standard probability sample selection procedures. In areas with 
relatively few establishments, surveys shall cover all establishments 
within the prescribed industry and size groups.
    (c) A lead agency may not delete from a survey an establishment 
properly included in an establishment list drawn under statistical 
sampling procedures.

[55 FR 46142, Nov. 1, 1990]



Sec. 532.217  Appropriated fund survey jobs.

    (a) A lead agency shall survey the following required jobs:

------------------------------------------------------------------------
                                                                   Job
                           Job title                              grade
------------------------------------------------------------------------
Janitor (Light)................................................        1
Janitor (Heavy)................................................        2
Material Handler...............................................        2
Maintenance Laborer............................................        3
Packer.........................................................        4
Warehouse Worker...............................................        5
Forklift Operator..............................................        5
Material Handling Equipment Operator...........................        5
Truckdriver (Medium)...........................................        6
Truckdriver (Heavy)............................................        7
Machine Tool Operator II.......................................        8
Machine Tool Operator I........................................        9
Carpenter......................................................        9
Electrician....................................................       10
Automotive Mechanic............................................       10
Sheet Metal Mechanic...........................................       10
Pipefitter.....................................................       10
Welder.........................................................       10
Machinist......................................................       10
Electronics Mechanic...........................................       11
Toolmaker......................................................       13
------------------------------------------------------------------------

    (b) A lead agency may not omit a required survey job from a regular 
schedule wage survey.
    (c) A lead agency may survey the following jobs on an optional 
basis:

------------------------------------------------------------------------
                                                                   Job
                           Job title                              grade
------------------------------------------------------------------------
Aircraft Structures Assembler B................................        7
Aircraft Structures Assembler A................................        9
Aircraft Mechanic..............................................       10
Electrician, Ship..............................................       10
Pipefitter, Ship...............................................       10
Shipfitter.....................................................       10
Shipwright.....................................................       10
Machinist, Marine..............................................       10
Cable Splicer (Electric).......................................       10
Electrical Lineman.............................................       10
Electrician (Powerplant).......................................       10
Telephone Installer-Repairer...................................        9
Central Office Repairer........................................       11
Heavy Mobile Equipment Mechanic................................       10
Heavy Mobile Equipment Operator................................       10
Air Conditioning Mechanic......................................       10
Rigger.........................................................       10
Trailer Truck Driver...........................................        8
Tool Crib Attendant............................................        6
Painter (Finish)...............................................        9
Light Vehicle Operator.........................................        5
Helper (Trades)................................................        5
Boiler Plant Operator..........................................       10
Meat Cutter....................................................        8
Equipment Mechanic.............................................       10
Boom Crane Operator............................................        9
Boom Crane Operator (Precision)................................       11
Tool and Parts Attendant.......................................        4
Painter (Rough)................................................        7
Industrial Electronic Controls Repairer........................       10
Electronic Test Equipment Repairer.............................       11
Electronic Computer Mechanic...................................       11
Television Station Mechanic....................................       11
Maintenance Mechanic...........................................       10
------------------------------------------------------------------------

    (d) A lead agency may add the following survey jobs to the survey 
when the Hospital industry is included in the survey:

------------------------------------------------------------------------
                                                                   Job
                           Job title                              grade
------------------------------------------------------------------------
Laundry Worker.................................................        1
Food Service Worker............................................        2
Cook...........................................................        8
------------------------------------------------------------------------

    (e) A lead agency must obtain prior approval of OPM to add a job not 
authorized under paragraph (a), (c), or (d) of this section.

[55 FR 46142, Nov. 1, 1990, as amended at 64 FR 69183, Dec. 10, 1999; 68 
FR 460, Jan. 6, 2003]



Sec. 532.219  Criteria for establishing nonappropriated fund wage areas.

    (a) Each wage area shall consist of one or more survey areas along 
with nonsurvey areas, if any, having nonappropriated fund employees.

[[Page 377]]

    (1) Survey area: A survey area is composed of the counties, 
parishes, cities, or townships in which survey data are collected.
    (2) Nonsurvey area: Nonsurvey counties, parishes, or townships may 
be combined with the survey area to form the wage area through 
consideration of the criteria in paragraph (c) of this section.
    (b) Wage areas shall be established when:
    (1) There is a minimum of 26 NAF wage employees in the survey area 
and local activities have the capability to do the survey; and
    (2) There is within the survey area a minimum of 1,800 private 
enterprise employees in establishments within survey specifications.
    (c)(1) Two or more counties may be combined to constitute a single 
wage area through consideration of:
    (i) Proximity of largest activity in each county;
    (ii) Transportation facilities and commuting patterns; and
    (iii) Similarities of the counties in:
    (A) Overall population;
    (B) Private employment in major industry categories; and
    (C) Kinds and sizes of private industrial establishments.
    (2) Generally, the criteria listed in paragraph (c)(1) of this 
section are considered in the order listed.
    (d) The nonappropriated fund wage and survey area definitions are 
set out as appendix D to this subpart and are incorporated in and made 
part of this section.

[55 FR 46143, Nov. 1, 1990, as amended at 57 FR 29783, July 7, 1992]



Sec. 532.221  Industries included in regular nonappropriated fund surveys.

    (a) Industries in the following Standard Industrial Classifications 
(SIC) shall be included in all wage surveys for regular wage schedules:

------------------------------------------------------------------------
                  SIC                                 Title
------------------------------------------------------------------------
Wholesale:
  5013................................  Motor vehicle supplies and new
                                         parts.
  5122................................  Drugs, drug proprietaries, and
                                         druggists' sundries.
  5198................................  Paints, varnishes, and supplies.
  5131................................  Piece goods and notions.
  5136................................  Men's and boys' clothing and
                                         furnishings.
  5137................................  Women's children's and infants
                                         clothing and accessories.
  5139................................  Footwear.
  5145................................  Confectionery.
  5064................................  Electrical applicances,
                                         television and radio sets.
  5065................................  Electrical parts and equipment.
  5072................................  Hardware.
  5171................................  Petroleum bulk stations and
                                         terminals.
  5172................................  Petroleum and petroleum products
                                         wholesalers, except bulk
                                         stations and terminals.
  5194................................  Tobacco and tobacco products.
  5111................................  Printing and writing paper.
  5112................................  Stationery supplies.
  5113................................  Industrial and personal service
                                         paper.
  5021................................  Furniture.
  5023................................  Home furnishings.
  5091................................  Sporting and recreational goods
                                         and supplies.
  5092................................  Toys and hobby goods and
                                         supplies.
  5043................................  Photographic equipment and
                                         supplies.
  5094................................  Jewelry, watches, diamonds, and
                                         other precious stones.
  5099................................  Durable goods not elsewhere
                                         classified.
  5159................................  Farm-product raw materials not
                                         elsewhere classified.
  5191................................  Farm supplies.
  5192................................  Books, periodicals, and
                                         newspapers.
  5193................................  Flowers and florists' supplies.
  5199................................  Nondurable goods not elsewhere
                                         classified.
Retail:
  5311................................  Department stores.
  5331................................  Variety stores.
  5962................................  Automatic merchandising machine
                                         operators.
  5541................................  Gasoline service stations.
  5812................................  Eating places.
  5813................................  Drinking places (alcoholic
                                         beverages).
Services and Recreation:
  7011................................  Hotels, motels, and tourist
                                         courts.
  7933................................  Bowling centers.
  7997................................  Membership sports and recreation
                                         clubs (golf and country clubs
                                         only).
------------------------------------------------------------------------

    (b) A lead agency may add other industry classes from within the 
wholesale, retail, and service industry divisions in an area where these 
industries account for significant proportions of local private 
employment of the kinds and levels found in local NAF employment.
    (c) Additional industries shall be defined in terms of entire 
industry classes (fourth digit breakdown).

[55 FR 46143, Nov. 1, 1990]

[[Page 378]]



Sec. 532.223  Establishments included in regular nonappropriated fund surveys.

    (a) All establishments having 20 or more employees in the prescribed 
industries within a survey area shall be included in the survey 
universe. Establishments in SIC 5962, SIC 5541, SIC 7933, and SIC 7997 
shall be included in the survey universe if they have eight or more 
employees.
    (b) Establishment selection procedures are the same as those 
prescribed for appropriated fund surveys in paragraphs (b) and (c) of 
Sec. 532.213 of this subpart.

[55 FR 46143, Nov. 1, 1990]



Sec. 532.225  Nonappropriated fund survey jobs.

    (a) A lead agency shall survey the following required jobs:

------------------------------------------------------------------------
                                                                   Job
                           Job title                              grade
------------------------------------------------------------------------
Janitor (Light)................................................        1
Food Service Worker............................................        1
Food Service Worker............................................        2
Fast Food Worker...............................................        2
Janitor........................................................        2
Laborer (Light)................................................        2
Laborer (Heavy)................................................        3
Service Station Attendant......................................        3
Stock Handler..................................................        4
Short Order Cook...............................................        5
Materials Handling Equipment Operator..........................        5
Warehouseman...................................................        5
Service Station Attendant......................................        5
Truck Driver (Light)...........................................        5
Truck Driver (Medium)..........................................        6
Truck Driver (Heavy)...........................................        7
Cook...........................................................        8
Carpenter......................................................        9
Painter........................................................        9
Automotive Mechanic............................................       10
Electrician....................................................       10
------------------------------------------------------------------------

    (b) A lead agency may not omit a required survey job from a regular 
schedule wage survey.
    (c) A lead agency may survey the following jobs on an optional 
basis:

------------------------------------------------------------------------
                                                                   Job
                           Job title                              grade
------------------------------------------------------------------------
Service Station Attendant......................................        1
Groundskeeper..................................................        4
Grill Attendant................................................        4
Tractor Operator...............................................        6
Bowling Equipment Mechanic.....................................        7
Building Maintenance Worker....................................        7
Vending Machine Mechanic.......................................        8
Building Maintenance Worker....................................        8
Air Conditioning Equipment Mechanic............................        8
Truck Driver (Trailer).........................................        8
Air Conditioning Equipment Mechanic............................       10
------------------------------------------------------------------------

    (d) A lead agency must obtain prior approval of OPM to add a job not 
listed under paragraph (a) or (c) of this section.

[55 FR 46143, Nov. 1, 1990]



Sec. 532.227  Agency wage committee.

    (a) Each lead agency shall establish an agency wage committee for 
the purpose of considering matters relating to the conduct of wage 
surveys, the establishment of wage schedules and making recommendations 
thereon to the lead agency.
    (b) The Agency Wage Committee shall consist of five members, with 
the chairperson and two members designated by the head of the lead 
agency, and the remaining two members designated as follows:
    (1) For the Department of Defense Wage Committee, one member shall 
be designated by each of the two labor organizations having the largest 
number of wage employees covered by exclusive recognition in the 
Department of Defense; and
    (2) For other lead agencies, two members shall be designated by the 
labor organization having the largest number of wage employees by 
exclusive recognition in the agency.
    (c) Recommendations of agency wage committees shall be developed by 
majority vote. Any member of an agency wage committee may submit a 
minority report to the lead agency along with the recommendations of the 
committee.

[46 FR 21344, Apr. 10, 1981. Redesignated at 55 FR 46141, Nov. 1, 1990]



Sec. 532.229  Local wage survey committee.

    (a)(1) A lead agency shall establish a local wage survey committee 
in each wage area for which it has lead agency responsibility and in 
which a labor organization represents, by exclusive recognition, wage 
employees subject to the wage schedules for which the survey is 
conducted.
    (2) The local wage survey committee shall assist the lead agency in 
the conduct of wage surveys and make recommendations to the lead agency 
thereon.

[[Page 379]]

    (b)(1) Local wage survey committees shall consist of three members, 
with the chairperson and one member recommended by Federal agencies and 
designated by the lead agency, and one member recommended by the labor 
organization having the largest number of wage employees under the 
regular wage schedule who are under exclusive recognition in the wage 
area.
    (2) All members of local wage survey committees for appropriated 
fund surveys shall be Federal employees appointed by their employing 
agencies.
    (3) Members for nonappropriated fund surveys shall be 
nonappropriated fund employees appointed by their employing agencies.
    (4) The member recommended by the labor organization must be an 
employee of a Federal activity for appropriated fund surveys or 
nonappropriated fund activity for nonappropriated fund surveys who is 
covered by one of the regular wage schedules in the wage area in which 
the activity is located.
    (5) In selecting and appointing employees recommended by labor 
organizations and by Federal agencies to serve as committee members, 
consideration shall be given to the requirement in the prevailing rate 
law for labor and agency representatives to participate in the wage 
survey process, the qualifications of the recommended employees, the 
need of the employees' work units for their presence on the job, and the 
prudent management of available financial and human resources. Employing 
agencies and activities shall cooperate and appoint the recommended 
employees unless exceptional circumstances prohibit their consideration. 
When the recommended employees cannot be appointed to serve as local 
wage survey committee members, the responsible lead agency or labor 
organization shall provide additional recommendations expeditiously to 
avoid any delay in the survey process.
    (6) Employers shall cooperate and release appointed employees for 
committee proceedings unless the employers can demonstrate that 
exceptional circumstances directly related to the accomplishment of the 
work units' missions require their presence on their regular jobs. 
Employees serving as committee members are considered to be on official 
assignment to an interagency function, rather than on leave.
    (c) A local wage survey committee shall be established before each 
full-scale wage survey. Responsibility for providing members shall 
remain with the same agency and the same labor organization until the 
next full-scale survey.
    (d) Recommendations of local wage survey committees shall be 
developed by majority vote. Any member of a local wage survey committee 
may submit a minority report to the lead agency relating to any local 
wage survey committee majority recommendation.
    (e) The lead agency shall establish the type of local wage survey 
organization it considers appropriate in a wage area which does not 
qualify for a local wage survey committee under paragraph (a) of this 
section.

[46 FR 21344, Apr. 10, 1981, as amended at 55 FR 46140, Nov. 1, 1990. 
Redesignated at 55 FR 46141, Nov. 1, 1990; 58 FR 15415, Mar. 23, 1993]



Sec. 532.231  Responsibilities of participating organizations.

    (a) The Office of Personnel Management:
    (1) Defines the boundaries of wage and survey areas;
    (2) Prescribes the required industries to be surveyed;
    (3) Prescribes the required job coverage for surveys;
    (4) Designates a lead agency for each wage area;
    (5) Establishes, jointly with lead agencies, a nationwide schedule 
of wage surveys;
    (6) Arranges for technical services with other Government agencies;
    (7) Considers recommendations of the national headquarters of any 
agency or labor organization relating to the Office of Personnel 
Management's responsibilities for the Federal Wage System; and
    (8) Establishes wage schedules and rates for prevailing rate 
employees who are United States citizens outside of the United States, 
District of Columbia, the Commonwealth of Puerto Rico, the Canal Zone, 
the Territories and Possessions of the United States, and

[[Page 380]]

the Trust Territory of the Pacific Islands.
    (b) Federal Prevailing Rate Advisory Committee. This committee 
functions in accordance with the requirements set forth under section 
5347 of title 5, United States Code.
    (c) Employing agencies--(1) Heads of agencies. The head of an agency 
is responsible, within the policies and procedures of the Federal Wage 
System, for authorizing application of wage schedules developed by a 
lead agency and fixing and administering rates of pay for wage employees 
of his/her organization.
    (2) Heads of local activities. The head of each activity in a wage 
area is responsible for providing employment information, wage survey 
committee members, the prescribed number of data collectors, and any 
other assistance needed to conduct local wage survey committee 
functions.
    (d) Lead agencies are responsible for:
    (1) Planning and conducting the wage survey for that area;
    (2) Developing survey specifications and providing or arranging for 
the identification of establishments to be surveyed;
    (3) Officially ordering wage surveys;
    (4) Establishing wage schedules, applying wage schedules authorized 
by the head of the agency; and
    (5) Referring pertinent matters to the agency wage committee and the 
Office of Personnel Management.
    (e) Agency wage committees. As appropriate, agency wage committees 
consider and make recommendations to the lead agency on wage schedules 
and any matters involving survey specifications for full-scale surveys 
if the lead agency chooses not to accept recommendations of the local 
wage survey committee or those in a minority report filed by a local 
wage survey committee member.
    (f) Local wage survey committees. The local wage survey committee 
plans and conducts the wage survey in the designated wage area.

[46 FR 21344, Apr. 10, 1981, as amended at 55 FR 46140, Nov. 1, 1990. 
Redesignated at 55 FR at 46141, Nov. 1, 1990; 58 FR 15415, Mar. 23, 
1993]



Sec. 532.233  Preparation for full-scale wage surveys.

    (a) The local wage survey committee, prior to each full-scale 
survey:
    (1) Shall hold a public hearing to receive recommendations from 
interested parties concerning the area, industries, establishments and 
jobs to be covered in the wage survey.
    (2) Shall prepare a summary of the hearings and submit it to the 
lead agency together with the committees' recommendations concerning the 
survey specifications prescribed in paragraph (c) of this section.
    (3) May make any other recommendations concerning the local wage 
survey which it considers appropriate.
    (b) The lead agency shall consider the local wage survey committee's 
report if:
    (1) The lead agency proposes not to accept the recommendations of 
the local wage survey committee concerning the specifications of the 
local wage survey; or
    (2) The local wage survey committee's report is accompanied by a 
minority report.
    (c) The lead agency shall develop survey specifications after taking 
into consideration the reports and recommendations received from the 
local wage survey committee and, if applicable, the agency wage 
committee. The survey specifications shall include:
    (1) The counties to be surveyed;
    (2) The industries to be surveyed;
    (3) The standard minimum size of establishments to be surveyed;
    (4) Establishments to be surveyed with certainty; and
    (5) The survey jobs.
    (d) A list of establishments to be surveyed shall be prepared 
through use of statistical sampling techniques in accordance with the 
specifications developed by the lead agency. A copy of this list shall 
be forwarded to the local wage survey committee.
    (e) Selection and appointment of data collectors. (1) The local wage 
survey committee, after consultation with the lead agency, shall 
determine the number of regular and alternate data collectors needed for 
the survey based upon the estimated number and location of 
establishments to be surveyed.

[[Page 381]]

    (2) Wage data for appropriated fund surveys shall be collected by 
teams consisting of one local Federal Wage System employee recommended 
by the committee member representing the qualifying labor organization 
and one Federal employee recommended by Federal agencies. The data 
collectors shall be selected and appointed by their employing agency.
    (3) Wage data for nonappropriated fund surveys shall be collected by 
teams, each consisting of one local nonappropriated fund employee 
recommended by the committee member representing the qualifying labor 
organization and one nonappropriated fund employee recommended by 
nonappropriated fund activities. The data collectors shall be selected 
and appointed by their employing agency.
    (4) The local wage survey committee shall provide employers with the 
names of employees recommended by labor organizations and by Federal 
agencies to serve as data collectors and shall indicate the number of 
regular and alternate data collectors to be selected and appointed by 
the employers.
    (5) In selecting and appointing employees recommended by labor 
organizations and by Federal agencies to serve as data collectors, 
consideration shall be given to the requirement in the prevailing rate 
law for labor and agency representatives to participate in the wage 
survey process, the qualifications of the recommended employees, the 
need of the employees' work units for their presence on the job, and the 
prudent management of available financial and human resources. Employing 
agencies and activities shall cooperate and appoint the recommended 
employees unless exceptional circumstances prohibit their consideration. 
When the required number of employees cannot be appointed to serve as 
data collectors from among those recommended, the local wage survey 
committee shall obtain additional recommendations expeditiously to avoid 
any delay in the survey process.
    (6) Employers shall cooperate and release appointed employees to 
serve as data collectors throughout the duration of the data collection 
period unless the employers can demonstrate that exceptional 
circumstances directly related to the accomplishment of the work units' 
missions require their presence on their regular jobs. Employees serving 
as data collectors are considered to be on official assignment to an 
interagency function, rather than on leave.
    (f)(1) Each member of a local wage survey committee, each data 
collector, and any other person having access to data collected must 
retain this information in confidence, and is subject to disciplinary 
action by the employing agency or activity if the employee violates the 
confidence of data secured from private employers.
    (2) Any violation of the above provision by a Federal employee must 
be reported to the employing agency and, in the case of a participant 
designated by a labor organization, to the recognized labor organization 
and its headquarters, and shall be cause for the lead agency immediately 
to remove the offending person from participation in the wage survey 
function.

[46 FR 21344, Apr. 10, 1981, as amended at 55 FR 46140, Nov. 1, 1990. 
Redesignated at 55 FR 46141, Nov. 1, 1990; 58 FR 15415, Mar. 23, 1993]



Sec. 532.235  Conduct of full-scale wage survey.

    (a) Wage survey data shall not be collected before the date the 
survey is ordered by the lead agency.
    (b) Data collection for a full-scale wage survey shall be 
accomplished by personal visit to the establishment. The following 
required data shall be collected:
    (1) General information about the size, location, and type of 
product or service of the establishment sufficient to determine whether 
the establishment is within the scope of the survey and properly 
weighted, if the survey is a sample survey;
    (2) Specific information about each job within the establishment 
that is similar to one of the jobs covered by the survey, including a 
brief description of the establishment job, the number of employees in 
the job, and their rate(s) of pay to the nearest mill (including any 
cost-of-living adjustments

[[Page 382]]

required by contract or that are regular and customary and monetary 
bonuses that are regular and customary); and
    (3) Any other information the lead agency believes is appropriate 
and useful in determining local prevailing rates.
    (c) The data collectors shall submit the data they collect to the 
local wage survey committee together with their recommendations about 
the use of the data.

[46 FR 21344, Apr. 10, 1981, as amended at 55 FR 46140, Nov. 1, 1990. 
Redesignated at 55 FR 46141, Nov. 1, 1990]



Sec. 532.237  Review by the local wage survey committee.

    (a) The local wage survey committee shall review all establishment 
information and survey job data collected in the wage survey for 
completeness and accuracy and forward all of the data collected to the 
lead agency together with a report of its recommendations concerning the 
use of the data. The local wage survey committee may make any other 
recommendations concerning the wage survey which it considers 
appropriate.

[46 FR 21344, Apr. 10, 1981. Redesignated at 55 FR 46141, Nov. 1, 1990]



Sec. 532.239  Review by the lead agency.

    (a) The lead agency shall review all material and wage survey data 
forwarded by the local wage survey committee to:
    (1) Assure that the survey was conducted within the prescribed 
procedures and specifications;
    (2) Consider matters included in the local wage survey committee 
report and recommendations;
    (3) Exclude unusable data;
    (4) Resolve questionable job matching and wage rate data; and
    (5) Verify all computations reported on wage data collection forms.
    (b) The lead agency shall determine whether the usable data 
collected in the wage survey are adequate for computing paylines, 
according to the following criteria:
    (1) The wage survey data collected in an appropriated fund wage 
survey are adequate if the unweighted job matches include at least one 
survey job in the WG-01 through 04 range, one survey job in the WG-05 
through 08 range, and two survey jobs in the WG-09 and above range, each 
providing at least 20 samples; and at least six other survey jobs, each 
providing at least 10 samples.
    (2) The wage survey data collected in a nonappropriated fund wage 
survey are adequate if the unweighted job matches include at least two 
survey jobs in the NA-01 through 04 range providing 10 samples each, one 
survey job in the NA-01 through 04 range and three survey jobs in the 
NA-05 through 15 range providing five samples each; two other survey 
jobs, each providing at least five samples, and at least 100 unweighted 
samples for all survey jobs combined are used in the computation of the 
final payline.
    (c)(1) If the wage survey data do not meet the adequacy criteria in 
paragraph (b) of this section, the lead agency shall analyze the data, 
construct lines and wage schedules, submit them to the agency wage 
committee for its review and recommendations and issue wage schedules, 
in accordance with the requirements of this subpart, as if the adequacy 
criteria were met.
    (2) The lead agency may determine such a wage area to be adequate if 
the quantity of data obtained is large enough to construct paylines even 
though it was obtained for fewer than the prescribed number of jobs, or 
at different grade levels, or in different combinations than prescribed 
in paragraph (b) of this section.
    (3) The lead agency may not determine a nonappropriated fund wage 
area to be adequate if fewer than 100 usable unweighted job matches were 
used in the final payline computation.
    (d) If the lead agency determines a wage area to be inadequate under 
paragraph (c) of this section, it shall promptly refer the problem to 
OPM for resolution. OPM shall:
    (1) Authorize the lead agency to continue to survey the area if the 
lead agency believes the survey is likely to be adequate in the next 
full-scale survey;
    (2) Authorize the lead agency to expand the scope of the survey; or

[[Page 383]]

    (3) Abolish the wage area and establish it as part of one or more 
other wage areas.

[46 FR 21344, Apr. 10, 1981, as amended at 55 FR 46140, Nov. 1, 1990. 
Redesignated at 55 FR 46141, Nov. 1, 1990]



Sec. 532.241  Analysis of usable wage survey data.

    (a)(1) The lead agency shall compute a weighted average rate for 
each appropriated fund survey job having at least 10 unweighed matches 
and for each nonappropriated fund job having at least 5 unweighed 
matches. The weighted average rates shall be computed using the survey 
job data collected in accordance with Secs. 532.235 and 532.247 and the 
establishment weight.
    (2)(i) Incentive and piece-work rates shall be excluded when 
computing weighted average rates if, after establishment weights have 
been applied, 90 percent or more of the total usable wage survey data 
reflect rates paid on a straight-time basis only.
    (ii) When sufficient incentive and piece-work rate data are 
obtained, the full incentive rate shall be used in computing the job 
weighted average rate when it is equal to or less than the average 
nonincentive rate. If the full incentive rate is greater than the 
average nonincentive rate, the incentive rate shall be discounted by 15 
percent. The discounted incentive rate shall be compared with the 
guaranteed minimum rate and the average nonincentive rate, and the 
highest rate shall be used in computing the job weighted average rate.
    (b) The lead agency shall compute paylines using the weighted 
average rates computed under paragraph (a) of this section.
    (1) The lead agency shall compute unit and frequency paylines using 
the straight-line, least squares regression formula: Y=a+bx, where Y is 
the hourly rate, x is grade, a is the intercept of the payline with the 
Y-axis, and b is the slope of the payline.
    (i) The unit payline shall be computed using a weight of one for 
each of the usable survey jobs and the weighted average rates identified 
and computed under paragraph (a) of this section.
    (ii) The frequency payline shall be computed using a weight equal to 
the number of weighted matches for each of the usable survey jobs and 
the weighted average rates identified and computed under paragraph (a) 
of this section.
    (2) Either or both of the lines computed according to paragraph 
(b)(1) of this section may be recomputed after eliminating survey job 
data that cause distortion in the lines.
    (3) The lead agency may compute midpoint paylines using the 
following formula: Y=(au+af)/
2+((bu+bf)/2)x, where Y is the hourly rate, x is 
the grade, au is the intercept of the unit payline, 
af is the intercept of the frequency payline, bu 
is the slope of the unit payline, and bf is the slope of the 
frequency payline. A midpoint line may be computed using the paylines 
based on all of the usable survey job data as described in paragraph 
(b)(1) of this section, and a second midpoint line may be computed using 
the paylines based on limited survey job data authorized in paragraph 
(b)(2) of this section.
    (4) The lead agency may compute other paylines for the purpose of 
instituting changes in the scope of the survey.
    (c) Usable data obtained from a particular establishment may not be 
modified or deleted in order to reduce the effect of an establishment's 
rates on survey findings, i.e., data will not be deleted or modified to 
avoid establishment domination.

[46 FR 21344, Apr. 10, 1981, as amended at 55 FR 46141, Nov. 1, 1990. 
Redesignated at 55 FR 46141, Nov. 1, 1990; 58 FR 32273, June 9, 1993; 60 
FR 62701, Dec. 7, 1995]



Sec. 532.243  Consultation with the agency wage committee.

    (a) The lead agency shall submit to the agency wage committee:
    (1) The data collected in the wage survey;
    (2) The report and recommendations of the local wage survey 
committee concerning the use of data;
    (3) The lead agency's analysis of the data; and
    (4) The lines computed from the data.

[[Page 384]]

    (b) After considering the information available to it, the agency 
wage committee shall report to the lead agency its recommendation for a 
proposed wage schedule derived from the data.

[46 FR 21344, Apr. 10, 1981. Redesignated at 55 FR 46141, Nov. 1, 1990]



Sec. 532.245  Selection of payline and issuance of wage schedules.

    (a) The lead agency shall select a payline and construct wage 
schedules therefrom for issuance as the regular wage schedules for the 
wage area, after considering all of the information, analysis, and 
recommendations made available to it pursuant to this subpart.
    (b)(1) The lead agency shall prepare and maintain a record of all of 
the analysis and deliberations made under this subpart, documenting 
fully the basis for its determination under paragraph (a) of this 
section.
    (2) The lead agency shall include in the record all of the wage 
survey data obtained and the recommendations and reports received from 
the local wage survey committee and the agency wage committee.
    (c)(1) The lead agency shall issue the nonsupervisory, leader, and 
supervisory regular wage schedules for the local wage area, showing the 
rates of pay for all grades and steps.
    (2) The wage schedules shall have a single effective date for all 
employees in the wage area, determined by the lead agency in accordance 
with 5 U.S.C. 5344.
    (d) The head of each agency having employees in the local wage area 
to whom the regular wage schedules apply shall authorize the application 
of the wage schedules issued under paragraph (c) of this section to 
those employees, effective on the date specified by the lead agency.

[46 FR 21344, Apr. 10, 1981. Redesignated at 55 FR 46141, Nov. 1, 1990]



Sec. 532.247  Wage change surveys.

    (a) Wage change surveys shall be conducted in each wage area in 
years during which full-scale wage surveys are not conducted.
    (b) Data shall be collected in wage change surveys only from 
establishments which participated in the preceding full-scale survey. 
Information concerning pay adjustments of general application in effect 
for jobs matched in each establishment which participated in the 
preceding full-scale survey shall be obtained.
    (c) Data may be obtained in wage change surveys by telephone, mail, 
or personal visit. The chairperson of the local wage survey committee 
shall determine the manner in which establishments will be contacted for 
collection of data. Data may be collected by the local wage survey 
committee members or by data collectors appointed and assigned to two 
member teams in accordance with Sec. 532.233(e) of this subpart.
    (d) Wage change survey data may not be collected before the date 
ordered by the lead agency.
    (e) The local wage survey committee shall review all wage change 
survey data collected and forward the data to the lead agency. Where 
appropriate, the committee shall also forward to the lead agency a 
report of unusual circumstances surrounding the survey.
    (f) The lead agency shall review the wage change survey data and, if 
applicable, the report filed by the local wage survey committee.
    (g)(1) The lead agency shall recompute the line selected under 
Sec. 532.245(a) of this subpart in the preceding full-scale survey using 
the wage change survey data and shall construct wage schedules therefrom 
in accordance with Sec. 532.203 and, if appropriate, Sec. 532.205 of 
this subpart.
    (2) The lead agency shall consult with the agency wage committee in 
accordance with Sec. 532.243 of this subpart.
    (3) Records of this process shall be maintained in accordance with 
Sec. 532.245(b) of this subpart.
    (h) The wage schedules shall be issued and authorized in accordance 
with Sec. 532.245 (c) and (d) of this subpart.

[46 FR 21344, Apr. 10, 1981. Redesignated at 55 FR 46141, Nov. 1, 1990; 
58 FR 32274, June 9, 1993]



Sec. 532.249  Minimum rates for hard-to-fill positions.

    (a) The lead agency for a wage area may establish the rate of the 
second, third, fourth, or fifth step of one or more grades of an 
occupation as the

[[Page 385]]

mandatory minimum rate or rates payable by any agency for the occupation 
at one or more locations within a wage area based on findings that:
    (1) The hiring rates prevailing for an occupation in private sector 
establishments in the wage area are higher than the rate of the first 
step of the grade or grades of the occupation; and
    (2) Federal installations and activities in the wage area are unable 
to recruit qualified employees at the rate of the first step of the 
grade or grades of the occupation.
    (b) Any authorizations made under paragraph (a) of this section 
shall be indicated on the regular wage schedule for the wage area.
    (c) Any authorizations made under paragraph (a) of this section 
shall be terminated with the issuance of a new regular wage schedule 
unless the conditions that warrant the authorizations continue and the 
new regular wage schedule continues that authorization.
    (d) The lead agency, prior to terminating any authorization made 
under paragraph (a) of this section, shall require the appropriate 
official or officials at all installations or activities to which the 
authorization applies to discuss the termination with the appropriate 
official or officials of exclusively recognized employee organizations 
representing employees in the affected occupation. The agency officials 
shall report the results of these discussions to the lead agency.
    (e) No employee shall have his/her pay reduced because of 
cancellation of an authorization made under paragraph (a) of this 
section.

[46 FR 21344, Apr. 10, 1981. Redesignated at 55 FR 46141, Nov. 1, 1990]



Sec. 532.251  Special rates.

    (a) A lead agency, with the approval of OPM, may establish special 
rates for use within all or part of a wage area for a designated 
occupation or occupational specialization and grade, in lieu of rates on 
the regular schedule. OPM may authorize special rates to the extent it 
considers necessary to overcome existing or likely significant handicaps 
in the recruitment or retention of well-qualified personnel when these 
handicaps are due to any of the following circumstances:
    (1) Rates of pay offered by private sector employers for an 
occupation or occupational specialization and grade are significantly 
higher than those paid by the Federal Government within the competitive 
labor market;
    (2) The remoteness of the area or location involved; or
    (3) Any other circumstances that OPM considers appropriate.
    (b) In authorizing special rates, OPM shall consider--
    (1) The number of existing or likely vacant positions and the length 
of time they have been vacant, including evidence to support the 
likelihood that a recruitment problem will develop if one does not 
already exist;
    (2) The number of employees who have or are likely to quit, 
including the number quitting for higher pay positions and evidence to 
support the likelihood that employees will quit;
    (3) The number of vacancies employing agencies tried to fill and the 
number of hires and offers made;
    (4) The nature of the existing labor market;
    (5) The degree to which employing agencies have considered or used 
increased minimum rates for hard-to-fill positions;
    (6) The degree to which employing agencies have considered relevant 
non-pay solutions to the staffing problem, such as conducting an 
aggressive recruiting program, using appropriate appointment 
authorities, redesigning jobs, establishing training programs, and 
improving working conditions;
    (7) The impact of the staffing problem on employers' missions;
    (8) The level of private sector rates paid for comparable positions; 
and
    (9) As appropriate, the extent to which the use of unrestricted 
rates authorized under Sec. 532.801 of this part was considered.
    (c) In determining at what level to set special rates, OPM shall 
consider--
    (1) The level of rates it believes necessary to recruit or retain an 
adequate number of well-qualified persons;
    (2) The offsetting costs that will be incurred if special rates are 
not authorized; and
    (3) The level of private sector rates paid for comparable positions.

[[Page 386]]

    (d) No one factor or combination of factors specified in paragraphs 
(b) or (c) of this section requires special rates to be established or 
to be adjusted to any given level. Each request to establish special 
rates shall be judged on its own merits, based on the extent to which it 
meets these factors. Increased minimum rates are not a prerequisite to 
the establishment of special rates under this section.
    (e) Special rates shall be based on private sector wage data, or a 
percentage thereof, as specified by OPM at the time the special rates 
are authorized. The private sector data shall be calculated as a 
weighted average or payline, as appropriate. A single rate shall be used 
when this represents private sector practice, and five rates shall be 
used when rate ranges are used by the private sector. When a five-step 
rate range is used, the differentials between steps shall be set in 
accordance with Sec. 532.203(f) of this subpart.
    (f) Once approved by OPM, special rates may be adjusted by the lead 
agency on the same cycle as the applicable regular schedule to the 
extent deemed necessary to ensure the continued recruitment or retention 
of well-qualified personnel. The amount of the special rate adjustment 
may be up to the percentage (rounded to the nearest one-tenth of 1 
percent) by which the market rate has changed since the last adjustment. 
Special rates may not exceed the percentage of market rates initially 
approved by OPM unless a request for higher special rates is made and 
approved under paragraphs (a) through (e) of this section.
    (g) Any special rates established under paragraph (a) of this 
section shall be shown on the regular schedule or published as an 
amendment to the regular schedule and shall indicate the wage area (or 
part thereof) and each occupation or occupational specialization and 
grade for which the rates are authorized. These rates shall be paid by 
all agencies having such positions in the wage area (or part thereof) 
specified.
    (h) The scheduled special rate payable under this section may not, 
at any time, be less than the unrestricted (uncapped) rate otherwise 
payable for such positions under the applicable regular wage schedule.
    (i) If a special rate is terminated under paragraph (f) of this 
section, the lead agency shall provide written notice of such 
termination to OPM.
    (j) Employers using special rates shall maintain current recruitment 
and retention data for all authorized special rates. Such data shall be 
made available to the lead agency prior to the wage area regular 
schedule adjustment date for the purpose of determining whether there is 
a continuing need for special rates and the amount of special rate 
adjustment necessary to recruit or retain well-qualified employees.

[57 FR 57875, Dec. 8, 1992]



Sec. 532.253  Special rates or rate ranges for leader, supervisory, and production facilitating positions.

    (a) When special rates or rate ranges are established for 
nonsupervisory positions, a lead agency also shall establish special 
rates for leader, supervisory, and production facilitating positions, 
classified to the same occupational series and title, that lead, 
supervise, or perform production facilitating work directly relating to 
the nonsupervisory jobs covered by the special rates.
    (b) The step rate structure shall be the same as that of the related 
nonsupervisory special rate or rate range.
    (c) The following formulas shall be used to establish a special rate 
or rate range:
    (1) A single rate shall equal the top step of the appropriate 
leader, supervisory, or production facilitating grade on the regular 
schedule, plus the cents per hour difference between the top step of the 
appropriate nonsupervisory grade on the regular schedule and the special 
nonsupervisory rate.
    (2) For a multiple rate range, the step 2 rate shall equal the step 
2 rate of the appropriate leader, supervisory, or production 
facilitating grade on the regular schedule, plus the cents per hour 
difference between the prevailing rate of the appropriate nonsupervisory 
grade on the regular schedule and the prevailing rate of the special 
rate position. Other required step rates shall be

[[Page 387]]

computed in accordance with the formula established in Sec. 532.203 of 
this subpart.

[55 FR 46144, Nov. 1, 1990]



Sec. 532.254  Special schedules.

    (a) A lead agency, with the approval of OPM, may establish special 
schedules for use within an area for specific occupations that are 
critical to the mission of a Federal activity based on findings that--
    (1) Unusual prevailing pay practices exist in the private sector 
that are incompatible with regular schedule practices, and serious 
recruitment or retention problems exist or will likely develop if 
employees are paid from the authorized regular schedule; or
    (2) Administrative considerations require the establishment of 
special schedules to address unique agency missions or other unusual 
circumstances that OPM considers appropriate.
    (b) An OPM authorization for a special schedule shall include 
instructions for its construction, application, and administration.
    (c) Unless otherwise specified, positions covered by special 
schedules shall be subject to the general provisions of this part and to 
other applicable rules and regulations of OPM.

[57 FR 57876, Dec. 8, 1992]



Sec. 532.255  Regular appropriated fund wage schedules in foreign areas.

    (a) The Department of Defense shall establish and issue regular 
appropriated fund wage schedules for U.S. citizens who are employees in 
foreign areas. These wage schedules shall provide rates of pay for 
nonsupervisory, leader, supervisory, and production facilitating 
employees.
    (b) Schedules shall be--
    (1) Computed on the basis of a simple average of all regular 
appropriated fund wage area schedules in effect on December 31; and
    (2) Effective on the first day of the first pay period that begins 
on or after January 1 of the succeeding year.
    (c) Step 2 rates for each nonsupervisory grade shall be derived by 
computing a simple average of each step 2 rate for each of the 15 grades 
of all nonsupervisory wage rate schedules designated in paragraph (b) of 
this section.
    (d) Through the use of the step 2 rates derived under the schedule 
averaging process, the step rates for each of the 15 grades of the 
nonsupervisory schedule and all scheduled pay rates for leaders and 
supervisors shall be developed by using the standard formulas 
established in 5 CFR 532.203, Structure of regular wage schedules.
    (e) Pay schedules for production facilitating positions shall be 
established in accordance with the table in Sec. 532.263(c) of this 
subpart.

[50 FR 38634, Sept. 24, 1985, as amended at 51 FR 28799, Aug. 12, 1986; 
51 FR 39853, Nov. 3, 1986; 54 FR 52011, Dec. 20, 1989. Redesignated and 
amended at 55 FR 46141, Nov. 1, 1990; 58 FR 13194, Mar. 10, 1993]



Sec. 532.257  Regular nonappropriated fund wage schedules in foreign areas.

    (a) The Department of Defense shall establish and issue regular 
nonappropriated fund wage schedules for U.S. citizens who are wage 
employees in foreign areas. These schedules will provide rates of pay 
for nonsupervisory, leader, and supervisory employees.
    (b) Schedules will be --
    (1) Computed on the basis of a simple average of all regular 
nonappropriated fund wage area schedules defined for the 48 contiguous 
states and the District of Columbia in effect on the first Sunday in 
January; and
    (2) Effective on the first Sunday in January of each year.
    (c) Step 2 rates for each nonsupervisory grade will be derived by 
computing a simple average of each step 2 rate for each of the 15 grades 
of all nonsupervisory wage rate schedules designated in paragraph (b) of 
this section.
    (d) Through the use of the step 2 rates derived under the schedule 
averaging process, the step rates for each of the 15 grades of the 
nonsupervisory schedule and all scheduled pay rates for leaders and 
supervisors will be developed by using the standard formulas

[[Page 388]]

established in 5 CFR 532.203, Structure of regular wage schedules.

[50 FR 38634, Sept. 24, 1985, as amended at 51 FR 28799, Aug. 12, 1986; 
54 FR 52011, Dec. 20, 1989. Redesignated and amended at 55 FR 46141, 
Nov. 1, 1990]



Sec. 532.259  Special appropriated fund wage schedules for U.S. insular areas.

    (a) Lead agencies shall establish and issue special wage schedules 
for U.S. civil service wage employees in certain U.S. insular areas. The 
Department of Defense is the lead agency for Guam, Midway, and the U.S. 
Virgin Islands. The Department of Transportation is the lead agency for 
American Samoa. The Department of the Interior is the lead agency for 
the Commonwealth of the Northern Mariana Islands. These schedules shall 
provide rates of pay for nonsupervisory, leader, supervisory, and 
production facilitating employees.
    (b) Special schedules shall be established at the same time and with 
rates identical to the foreign area appropriated fund wage schedules 
established under Sec. 532.255 of this subpart.
    (c) Wage employees recruited from outside the insular area where 
employed, who meet the same eligibility requirements as those specified 
for General Schedule employees in Sec. 591.209 of subpart B of part 591, 
are also paid as a part of basic pay a differential for recruitment and 
retention purposes. The differential rate shall be that established for 
General Schedule employees in appendix B of subpart B of part 591 and 
shall be adjusted effective concurrently with the special schedules.

[58 FR 13194, Mar. 10, 1993]



Sec. 532.261  Special wage schedules for leader and supervisory schedules for leader and supervisory wage employees in the Puerto Rico wage area.

    (a) The Department of Defense shall establish special wage schedules 
for leader and supervisory wage employees in the Puerto Rico wage area.
    (b) The step 2 rate for each grade of the leader wage schedule shall 
be equal to 120 percent of the rate for step 2 of the corresponding 
grade of the nonsupervisory regular wage schedule for the Puerto Rico 
wage area.
    (c) The step 2 rate for the supervisory wage schedule shall be:
    (1) For grades WS-1 through WS-10, equal to the rate for step 2 of 
the corresponding grade of the nonsupervisory regular wage schedule for 
the Puerto Rico wage area, plus 60 percent of the rate for step 2 of WG-
10;
    (2) For grades WS-11 through WS-18, the second rate of WS-10 plus 5, 
11.5, 19.6, 29.2, 40.3, 52.9, 67.1, and 82.8 percent, respectively, of 
the difference between the step 2 rates of WS-10 and WS-19; and
    (3) For grade WS-19, the third rate in effect for General Schedule 
grade GS-14 at the time of the area wage schedule adjustment. The WS-19 
rate shall include any cost of living allowance payable for the area 
under 5 U.S.C. 5941.
    (d) Step rates shall be developed by using the formula established 
in Sec. 532.203 of this subpart.

[55 FR 46144, Nov. 1, 1990]



Sec. 532.263  Special wage schedules for production facilitating positions.

    (a) The lead agency in each FWS wage area shall establish special 
nonsupervisory and supervisory production facilitating wage schedules 
for employees properly allocable to production facilitating positions 
under applicable Federal Wage System job grading standards.
    (b) Nonsupervisory schedules shall have 11 pay levels, and 
supervisory schedules shall have 9 pay levels.
    (c) Pay levels and rates of pay for nonsupervisory (WD) schedules 
and supervisory (WN) schedules shall be identical to the pay levels and 
rates of pay for the corresponding grades on the local FWS regular 
supervisory wage schedule. Pay levels shall be determined in accordance 
with the following table:

------------------------------------------------------------------------
                                                         WN
                                                    supervisory     WS
                                                       level      grade
------------------------------------------------------------------------
WD nonsupervisory Level:
  1...............................................  ...........        3
  2...............................................  ...........        4
  3...............................................  ...........        5
  4...............................................  ...........        6
  5...............................................          1          7
  6...............................................          2          8
  7...............................................          3          9
  8...............................................          4         10

[[Page 389]]

 
  9...............................................          5         11
  10..............................................          6         12
  11..............................................          7         13
                                                            8         14
                                                            9         15
------------------------------------------------------------------------

    (d) Special production facilitating wage schedules shall be 
effective on the same date as the regular wage schedules in the FWS wage 
area.

[55 FR 46144, Nov. 1, 1990]



Sec. 532.265  Special wage schedules for apprentices and shop trainees.

    (a) Agencies may establish special wage schedules for apprentices 
and shop trainees who are included in:
    (1) Formal apprenticeship programs involving training for journeyman 
level duties in occupations that are recognized as apprenticeable by the 
Bureau of Apprenticeship and Training, U.S. Department of Labor; or
    (2) Formal shop trainee programs involving training for journeyman 
level duties in nonapprenticeable occupations that require specialized 
trade or craft skill and knowledge.
    (b) Special schedules shall consist of a single wage rate for each 
training period. Wage rates shall be determined as follows:
    (1) Rates shall be based on the current second step rate of the 
target journeyman grade level on the regular nonsupervisory wage 
schedule for the area where the apprentice or trainee is employed.
    (2) The entrance rate shall be computed at 65 percent of the 
journeyman level, step 2, rate, or the WG-1, step 1, rate, whichever is 
greater.
    (3) When the WG-1, step 1, rate is used, the apprentice rate shall 
be increased by a minimum of 5 cents per hour for each succeeding 
increment interval until the rate obtained by this method equals the 
rate computed under the formula. No increase shall be less then 5 cents 
per hour.
    (c) Advancement to higher increments shall be at 26-week intervals, 
regardless of the total length of the training period. Intermediate 
rates shall be established by subtracting the entrance rate from the 
journeyman level, step 2 rate, and dividing the difference by the number 
of 26-week periods of the particular training term. The resulting 
quotient equals the increment for each succeeding rate.
    (d) Agencies may hire at advanced rates or accelerate progression 
through scheduled wage rates if prescribed by approved agency training 
standards or programs.
    (e) If the employee is promoted to the target job or to a job at the 
same grade level, the promotion shall be to the second step rate. If the 
employee is assigned to a job at a grade level that is less than the 
grade level of the target job, existing pay fixing rules shall be 
followed.

[55 FR 46144, Nov. 1, 1990]



Sec. 532.267  Special wage schedules for aircraft, electronic, and optical instrument overhaul and repair positions in Puerto Rico.

    (a) The Department of Defense shall conduct special industry surveys 
and establish special wage schedules for wage employees in Puerto Rico 
whose primary duties involve the performance of work related to 
aircraft, electronic equipment, and optical instrument overhaul and 
repair.
    (b) Except as provided in this section, regular appropriated fund 
wage survey and wage-setting procedures are applicable.
    (c) Special survey specifications are as follows:
    (1) Surveys shall, at a minimum, include the air transportation and 
electronics industries in SIC's 3571, 3572, 3575, 3577, 3663, 3669, 
3672, 3674, 3679, 3695, 3812, 4512, 4513, 4522, 4581, 5044, and 5045.
    (2) Surveys shall cover all establishments in the surveyed 
industries.
    (3) Surveys shall, as a minimum, include all the following jobs:

------------------------------------------------------------------------
                                                                   Job
                           Job titles                             grades
------------------------------------------------------------------------
Aircraft Cleaner...............................................        3
Fleet Service Worker...........................................        5
Aircraft Mechanic..............................................       10
Industrial Electronic Controls Repairer........................       10
Aircraft Instrument Mechanic...................................       11
Electronic Test Equipment Repairer.............................       11
Electronics Mechanic...........................................       11
Electronic Computer Mechanic...................................       11
Television Station Mechanic....................................       11
------------------------------------------------------------------------


[[Page 390]]

    (d) The data collected in a special wage survey shall be considered 
adequate if there are as many weighted matches used in computing the 
nonsupervisory payline as there are employees covered by the special 
wage rate schedules.
    (e) Each survey job used in computing the nonsupervisory payline 
must include a minimum of three unweighted matches.
    (f) Special schedules shall have three step rates with the payline 
fixed at step 2. Step 1 shall be set at 96 percent of the payline rate, 
and step 3 shall be set at 104 percent of the payline rate.
    (g) The waiting period for within-grade increases shall be 26 weeks 
between steps 1 and 2 and 78 weeks between steps 2 and 3.
    (h) Special wage schedules shall be effective on the same date as 
the regular wage schedules for the Puerto Rico wage area.

[55 FR 46145, Nov. 1, 1990, as amended at 60 FR 62701, Dec. 7, 1995]



Sec. 532.269  Special wage schedules for Corps of Engineers, U.S. Army navigation lock and dam employees.

    (a) The Department of Defense shall establish special wage schedules 
for nonsupervisory, leader, and supervisory wage employees of the Corps 
of Engineers, U.S. Army, who are engaged in operating lock and dam 
equipment or who repair and maintain navigation lock and dam operating 
machinery and equipment.
    (b) Employees shall be subject to one of the following pay 
provisions:
    (1) If all navigation lock and dam installations under a District 
headquarters office are located within a single wage area, the employees 
shall be paid from special wage schedules having rates identical to the 
regular wage schedule applicable to that wage area.
    (2) If navigation lock and dam installations under a District 
headquarters office are located in more than one wage area, employees 
shall be paid from a special wage schedule having rates identical to the 
regular wage schedule authorized for the headquarters office.
    (c) Each special wage schedule shall be effective on the same date 
as the regular schedule on which it is based.

[55 FR 46145, Nov. 1, 1990]



Sec. 532.271  Special wage schedules for National Park Service positions in overlap areas.

    (a)(1) The Department of the Interior shall establish special 
schedules for wage employees of the National Park Service whose duty 
station is located in one of the following NPS jurisdictions:
    (i) Blue Ridge Parkway;
    (ii) Natchez Trace Parkway; and
    (iii) Great Smoky Mountains National Park.
    (2) Each of these NPS jurisdictions is located in (i.e., overlaps) 
more than one FWS wage area.
    (b) The special overlap wage schedules in each of the NPS 
jurisdictions shall be based on a determination concerning which regular 
nonsupervisory wage schedule in the overlapped FWS wage areas provides 
the most favorable payline for the employees.
    (c) The most favorable payline shall be determined by computing a 
simple average of the 15 nonsupervisory second step rates on each one of 
the regular schedules authorized for each wage area overlapped. The 
highest average obtained by this method will identify the regular 
schedule that produces the most favorable payline.
    (d) Each special schedule shall be effective on the same date as the 
regular schedule on which it is based.
    (e) If there is a change in the identification of the most favorable 
payline, the special scheule for the current year shall be issued on its 
normal effective date. The next special scheule shall be issued on the 
effective date of the next regular schedule that produced the most 
favorable payline for the NPS jurisdiction in the previous year.

[55 FR 46145, Nov. 1, 1990]



Sec. 532.273  Special wage schedules for United States Information Agency Radio Antenna Rigger positions.

    (a) The United States Information Agency shall establish special 
wage schedules for Radio Antenna Riggers employed at transmitting and 
relay stations in the United States.

[[Page 391]]

    (b) The wage rate shall be the regular wage rate for the appropriate 
grade for Radio Antenna Rigger for the wage area in which the station is 
located, plus 25 percent of that rate.
    (c) The 25 percent differential shall be in lieu of any 
environmental differential that would otherwise be payable.
    (d) The special schedules shall be effective on the same date as the 
regular wage schedules for the wage area in which the positions are 
located.

[55 FR 46145, Nov. 1, 1990]



Sec. 532.275  Special wage schedules for ship surveyors in Puerto Rico.

    (a) The Department of Defense shall establish special wage schedules 
for nonsupervisory ship surveyors and supervisory ship surveyors in 
Puerto Rico.
    (b) Rates shall be computed as follows:
    (1) The step 2 rate for nonsupervisory ship surveyors shall be set 
at 149.5 percent of the WG-10, step 2, rate on the overseas schedule.
    (2) The step 2 rate of supervisory ship surveyors shall be set at 
166.75 percent of the WG-10, step 2, rate on the overseas schedule.
    (3) Step rates shall be developed by using the standard formulas 
established in Sec. 532.203 of this part.
    (c) The special wage schedules shall be effective on the same date 
as the regular wage schedules applicable to the Puerto Rico wage area.

[55 FR 46145, Nov. 1, 1990]



Sec. 532.277  Special wage schedules for U.S. Navy positions in Bridgeport, California.

    (a) The Department of Defense shall establish special wage schedules 
for prevailing rate employees at the United States Marine Corps Mountain 
Warfare Training Center in Bridgeport, California.
    (b) Schedules shall be established by increasing the step 2 rates on 
the Reno, Nevada, regular wage schedule by 10 percent.
    (c) Step rates shall be developed by using the standard formulas 
established in Sec. 532.203 of this subpart.
    (d) The special wage schedules shall be effective on the same date 
as the regular wage schedules applicable to the Reno, Nevada, wage area.

[55 FR 46146, Nov. 1, 1990]



Sec. 532.279  Special wage schedules for printing positions.

    (a) The lead agency in a special printing schedule area listed in 
paragraph (j) of this section shall conduct special printing surveys and 
establish special printing schedules for positions properly allocable to 
the 4400 printing job familiy or the 5330 printing equipment repairing 
job series under FWS job grading standards.
    (b) Except as provided in this section, regular appropriated fund 
wage survey and wage-setting procedures established in Secs. 532.213 
through 532.245 of this subpart shall be applicable to printing surveys 
and schedules.
    (c) Specifications for printing surveys shall be as follows:
    (1) Standard industrial code 2752 shall be included in the printing 
survey. A lead agency may also add other SICs in Major Group 27 to the 
survey in light of survey experience.
    (2) Surveys shall cover establishments with a total employment of 20 
or more.
    (3) A lead agency shall survey the following jobs:

------------------------------------------------------------------------
                                                                   Job
                           Job title                              grade
------------------------------------------------------------------------
Opaquer........................................................        4
Offset Press Helper............................................        5
Bindery Machine Operator (Helper)..............................        5
Film Assembler-Stripper (Single Flat-Single Color).............        5
Platemaker (Single Color)......................................        5
Film Assembler-Stripper (Partial and Composite Flats)..........        7
Platemaker (Double Exposure and Multicolor Line)...............        7
Offset Press Operator..........................................        8
Bindery Machine Operator (Paper Cutter)........................        8
Bindery Machine Operator (Power Folder)........................        8
Film Assembler-Stripper (Multiple Flat-Multiple Color).........        8
Platemaker (Multicolor Halftones and Screen Tints).............        8
Bindery Machine Operator.......................................        9
Offset Operator (15-18 Thru 14-20).............................        9
Offset Operator (17-22 Thru 19-25).............................        9
Offset Operator (22-29 Thru 35-39).............................        9
Offset Operator (35-45 and Larger).............................       10
Offset Photographer (Halftone).................................       10
Negative Engraver..............................................       10
Bookbinder.....................................................       10
Lithographic Pressman Multicolor (17-22 Thru 25-39)............       10
Lithographic Pressman Multicolor (34-44 and Larger)............       11
Offset Photographer (Process Color)............................       11
------------------------------------------------------------------------


[[Page 392]]

    (d) The data collected in a special printing survey shall be 
considered adequate for computing paylines if the unweighted job matches 
for nonsupervisory jobs include at least 20 matches in the grade 1 
through 5 range, 20 matches in the grade 6 through 8 range, 40 matches 
in the grade 9 and above range, and 60 additional matches at any grade.
    (e) Each survey job used in computing printing schedule paylines 
must include a minimum of three unweighted matches.
    (f) Special printing schedules shall have three step rates with the 
payline fixed at step 2. Step 1 shall be set at 96 percent of the 
payline rate, and step 3 shall be set at 104 percent of the payline 
rate.
    (g) No step 3 rate on a special printing schedule shall be less than 
the maximum rate of the corresponding grade on the regular wage schedule 
for the wage area. If an adjustment is required under this provision, 
the payline rate of the special schedule shall be adjusted so as to 
provide a step 3 special schedule rate equal to the maximum rate of the 
corresponding regular schedule grade when the formula in paragraph (f) 
of this section is applied. Step 1 shall be set at 96 percent of the 
adjustment payline rate.
    (h) The waiting period for within-grade increases under special 
printing schedules is 26 weeks between steps 1 and 2 and 78 weeks 
between steps 2 and 3.
    (i) Special printing schedules shall be effective on the same date 
as the regular wage schedules for the authorized wage areas.
    (j) A special printing schedule is authorized in the Washington, DC, 
wage area.

[55 FR 46146, Nov. 1, 1990; as amended at 58 FR 32274, June 9, 1993; 59 
FR 54787, Nov. 2, 1994; 60 FR 5312, Jan. 27, 1995; 60 FR 26341, May 17, 
1995; 60 FR 46214, Sept. 6, 1995; 62 FR 67258, Dec. 24, 1997; 65 FR 
50127, Aug. 17, 2000; 65 FR 55431, Sept. 14, 2000]



Sec. 532.281  Special wage schedules for divers and tenders.

    (a) Agencies are authorized to establish special schedule payments 
for prevailing rate employees who perform diving and tending duties.
    (b) Employees who perform diving duties shall be paid 175 percent of 
the locality WG-10, step 2, rate for all payable hours of the shift.
    (c) Employees who perform tending duties shall be paid at the 
locality WG-10, step 2, rate for all payable hours of the shift.
    (d) Employees whose regular scheduled rate exceeds the diving/
tending rate on the day they perform such duties shall retain their 
regular scheduled rate on that day.
    (e) An employee's diving/tending rate shall be used as the basic 
rate of pay for computing all premium payments for a shift.
    (f) Employees who both dive and tend on the same shift shall receive 
the higher diving rate as the basic rate for all hours of the shift.

[55 FR 46146, Nov. 1, 1990]



Sec. 532.283  Special wage schedules for nonappropriated fund tipped employees classified as waiter/waitress.

    (a) Tipped employees shall be paid from the regular nonappropriated 
fund (NAF) schedule applicable to the employee's duty station.
    (b) A tip offset may be authorized for employees classified as 
Waiter/Waitress. For purposes of this section, a tipped employee is one 
who is engaged in an occupation in which he or she customarily and 
regularly receives more than $30 a month in tips, and a tip offset is 
the amount of money by which an employer, in meeting legal minimum wage 
standards, may reduce a tipped employee's cash wage in consideration of 
the receipt of tips.
    (c) A tip offset may be established, abolished, or adjusted by NAF 
instrumentalities on an annual basis and at such additional times as new 
or revised minimum wage statutes require. The amount of any tip offset 
may vary within a single instrumentality based on location, type of 
service, or time of service.
    (d) If tipped employees are represented by a labor organization 
holding exclusive recognition, the employing NAF instrumentality shall 
negotiate with such organization to arrive at a determination as to 
whether, when, and how much tip offset shall be

[[Page 393]]

applied. Changes in tip offset practices may be made more frequently 
than annually as a result of collective bargaining agreement.
    (e) Tip offset practices shall be governed by the Fair Labor 
Standards Act, as amended, or the applicable statutes of the State, 
possession or territory where an employee works, whichever provides the 
greater benefit to the employee. In locations where tip offset is 
prohibited by law, the requirements of paragraphs (c) and (d) of this 
section do not apply.

[55 FR 46146, Nov. 1, 1990]



Sec. 532.285  Special wage schedules for supervisors of negotiated rate Bureau of Reclamation employees.

    (a) The Department of the Interior shall establish and issue special 
wage schedules for wage supervisors of negotiated rate wage employees in 
the Bureau of Reclamation. These schedules shall be based on annual 
special wage surveys conducted by the Bureau of Reclamation in each 
special wage area. Survey jobs representing Bureau of Reclamation 
positions at up to four levels will be matched to private industry jobs 
in each special wage area. Special schedule rates for each position will 
be based on prevailing rates for that particular job in private 
industry.
    (b) Each supervisory job shall be described at one of four levels 
corresponding to the four supervisory situations described in Factor I 
and four levels of Subfactor IIIA of the FWS Job Grading Standard for 
Supervisors. They shall be titled in accordance with regular FWS 
practices, with the added designation of level I, II, III, or IV. The 
special survey and wage schedule for a given special wage area includes 
only those occupations and levels having employees in that area. For 
each position on the special schedule, there shall be three step rates. 
Step 2 is the prevailing rate as determined by the survey; step 1 is 96 
percent of the prevailing rate; and step 3 is 104 percent of the 
prevailing rate.
    (c) For each special wage area, the Bureau of Reclamation shall 
designate and appoint a special wage survey committee, including a 
chairperson and two other members (at least one of whom shall be a 
supervisor paid from the special wage schedule), and one or more two-
person data collection teams (each of which shall include at least one 
supervisor paid from the special wage schedule). The local wage survey 
committee shall determine the prevailing rate for each survey job as a 
weighted average. Survey specifications are as follows for all surveys:
    (1) Tailored to the Bureau of Reclamation activities and types of 
supervisory positions in the special wage area, private industry 
companies to be surveyed shall be selected from among the following 
Standard Industrial Classification Major Groups: 12 coal mining; 13 oil 
and gas extraction; 14 mining and quarrying of nonmettalic minerals, 
except fuels; 35 manufacturing industrial and commercial machinery and 
computer equipment; 36 manufacturing electronic and other electrical 
equipment and components, except computer equipment; 42 motor freight 
transportation and warehousing; 48 communications; 49 electric, gas, and 
sanitary services; and 76 miscellaneous repair services. No minimum 
employment size is required for surveyed establishments.
    (2) Each local wage survey committee shall compile lists of all 
companies in the survey area known to have potential job matches. For 
the first survey, all companies on the list will be surveyed. 
Subsequently, companies shall be removed from the survey list if they 
prove not to have job matches, and new companies will be added if they 
are expected to have job matches. Survey data will be shared with other 
local wage survey committees when the data from any one company is 
applicable to more than one special wage area.
    (3) For each area, survey job descriptions shall be tailored to 
correspond to the position of each covered supervisor in that area. They 
will be described at one of four levels (I, II, III, or IV) 
corresponding to the definitions of the four supervisory situations 
described in Factor I and four levels of Subfactor IIIA of the FWS Job 
Grading Standard for Supervisors. A description of the craft, trade, or 
labor work supervised will be included in each supervisory survey job 
description.

[[Page 394]]

    (d) Special wage area boundaries shall be identical to the survey 
areas covered by the special wage surveys. The areas of application in 
which the special schedules will be paid are generally smaller than the 
survey areas, reflecting actual Bureau of Reclamation worksites and the 
often scattered location of surveyable private sector jobs. Special wage 
schedules shall be established in the following areas:

                         The Great Plains Region

                   Special Wage Survey Area (Counties)

Montana: All counties except Lincoln, Sanders,Lake, Flathead, Mineral, 
Missoula, Powell, Granite, and Ravalli
Wyoming: All counties except Lincoln, Teton, sublette, Uinta, and 
Sweetwater
Colorado: All counties except Moffat, Rio Blanco, Garfield, Mesa, Delta, 
Montrose, San Miguel, Ouray, Delores, San Juan, Montezuma, La Plata, and 
Archuleta
North Dakota: All counties
South Dakota: All counties

               Special Wage Area of Application (Counties)

Montana: Broadwater, Jefferson,Lewis and Clark, Yellowstone, and Bighorn 
Counties
Wyoming: All counties except Lincoln, Teton, Sublette, Uinta, and 
Sweetwater
Colorado: Boulder, Chaffee, Clear Creek, Eagle, Fremont, Gilpin, Grand, 
Lake, Larimer, Park, Pitkin, Pueblo, and Summitt
Beginning month of survey: August

                         The Mid-Pacific Region

                   Special Wage Survey Area (Counties)

California: Shasta, Sacramento, Butte, San Francisco, Merced, Stanislaus

               Special Wage Area of Application (Counties)

California: Shasta, Sacramento, Fresno, Alameda, Tehoma, Tuolumne, 
Merced
Beginning month of survey: October

                    Green Springs Power Field Station

                   Special Wage Survey Area (Counties)

Oregon: Jackson

               Special Wage Area of Application (Counties)

Oregon: Jackson
Beginning month of survey: April

                      Pacific NW. Region Drill Crew

                   Special Wage Survey Area (Counties)

Montana: Flathead, Missoula
Oregon: Lane, Bend, Medford, Umatilla, Multnomah
Utah: Salt Lake
Idaho: Ada, Canyon, Adams
Washington: Spokane, Grant, Lincoln, Okanogan

               Special Wage Area of Application (Counties)

Oregon: Deschutes, Jackson, Umatilla
Montana: Missoula
Idaho: Ada
Washington: Grant, Lincoln, Douglas, Okanogan, Yakima
Beginning month of survey: April

            Snake River Area Office (Central Snake/Minidoka)

                   Special Wage Survey Area (Counties)

Idaho: Ada, Caribou, Bingham, Bannock

               Special Wage Area of Application (Counties)

Idaho: Gem, Elmore, Bonneville, Minidoka, Boise, Valley, Power
Beginning month of survey: April

                       Hungry Horse Project Office

                   Special Wage Survey Area (Counties)

Montana: Flathead, Missoula, Cascade, Sanders, Lake
Idaho: Bonner
Washington: Pend Oreille

               Special Wage Area of Application (Counties)

Montana: Flathead
Beginning month of survey: March

         Grand Coulee Power Office (Grand Coulee Project Office)

                   Special Wage Survey Area (Counties)

Oregon: Multnomah
Washington: Spokane, King

               Special Wage Area of Application (Counties)

Washington: Grant, Douglas, Lincoln, Okanogan
Beginning month of survey: April

                   Upper Columbia Area Office (Yakima)

                   Special Wage Survey Area (Counties)

Washington: King, Yakima
Oregon: Multnomah

               Special Wage Area of Application (Counties)

Washington: Yakima
Oregon: Umatilla
Beginning Month of Survey: September

                   Colorado River Storage Project Area

                   Special Wage Survey Area (Counties)

Arizona: Apache, Coconino, Navajo
Colorado: Moffat, Montrose, Routt, Gunnison, Rio Blanco, Mesa, Garfield, 
Eagle,

[[Page 395]]

Delta, Pitkin, San Miguel, Delores, Montezuma, La Plata, San Juan, 
Ouray, Archuleta, Hindale, Mineral
Wyoming: Unita, Sweetwater, Carbon, Albany, Laramie, Goshen, Platte, 
Niobrara, Converse, Natrona, Fremont, Sublette, Lincoln
Utah: Beaver, Box Elder, Cache, Carbon, Daggett, Davis, Duchesne, Emery, 
Garfield, Grand, Iron, Juab, Kane, Millard, Morgan, Piute, Rich, Salt 
Lake, San Juan, Sanpete, Sevier, Summit, Tooele, Uintah, Utah, Wasatch, 
Washington, Wayne, Weber

              Special Survey Area of Application (Counties)

Arizona: Coconino
Colorado: Montrose, Gunnison, Mesa
Wyoming: Lincoln
Utah: Daggett
Beginning month of survey: March

                           Elephant Butte Area

                   Special Wage Survey Area (Counties)

New Mexico: Grant, Hidalgo, Luna, Don[ntilde]a Ana, Otero, Eddy, Lea, 
Roosevelt, Chaves, Lincoln, Sierra, Socorro, Catron, Cibola, Valencia, 
Bernalillo, Torrance, Guadalupe, De Baca, Curry, Quay
Texas: El Paso, Hudspeth, Culberson, Jeff Davis, Presido, Brewster, 
Pecos, Reeves, Loving, Ward, Winkler
Arizona: Apache, Greenlee, Graham, Cochise

               Special Wage Area of Application (Counties)

New Mexico: Sierra
Beginning month of survey: June

                        Lower Colorado Dams Area

                   Special Wage Survey Area (Counties)

Nevada: Clark
California: Los Angeles
Arizona: Maricopa

               Special Wage Area of Application (Counties)

Nevada: Clark
California: San Bernardino
Arizona: Mohave
Beginning month of survey: August

                           Yuma Projects Area

                   Special Wage Survey Area (Counties)

California: San Diego
Arizona: Maricopa, Yuma

    Note: Bureau of Reclamation may add other survey counties for dredge 
operator supervisors because of the uniqueness of the occupation and 
difficulty in finding job matches.)

               Special Wage Area of Application (Counties)

Arizona: Yuma
Beginning month of survey: November (Maintenance) and April (Dredging)

                 Bureau of Reclamation, Denver, CO, Area

                   Special Wage Survey Area (Counties)

Colorado: Jefferson, Denver, Adams, Arapahoe, Boulder, Larimer

           Special Wage Survey Area of Application (Counties)

Colorado: Jefferson
Beginning month of survey: February

    (e) These special schedule positions will be identified by pay plan 
code XE, grade 00, and the Federal Wage System occupational codes will 
be used. New employees shall be hired at step 1 of the position. With 
satisfactory or higher performance, advancement between steps shall be 
automatic after 52 weeks of service.
    (f) (1) In the first year of implementation, all special areas will 
have full-scale surveys.
    (2) Current employees shall be placed in step 2 of the new special 
schedule, or, if their current rate of pay exceeds the rate for step 2, 
they shall be placed in step 3. Pay retention shall apply to any 
employee whose rate of basic pay would otherwise be reduced as a result 
of placement in these new special wage schedules.
    (3) The waiting period for within-grade increases shall begin on the 
employee's first day under the new special schedule.

[60 FR 5310, Jan. 27, 1995]

Appendix A to Subpart B of Part 532--Nationwide Schedule of Appropriated 
                        Fund Regular Wage Surveys

    This appendix shows the annual schedule of wage surveys. It lists 
all States alphabetically, each State being followed by an alphabetical 
listing of all wage areas in the State. Information given for each wage 
area includes--
    (1) The lead agency responsible for conducting the survey;
    (2) The month in which the survey will begin; and
    (3) Whether full-scale surveys will be done in odd or even numbered 
fiscal years.

[[Page 396]]



----------------------------------------------------------------------------------------------------------------
                                                                                                Fiscal year of
              State                      Wage area          Lead agency   Beginning month of   full-scale survey
                                                                                survey            odd or even
----------------------------------------------------------------------------------------------------------------
Alabama.........................  Anniston-Gadsden.......  DoD            April.............  Even.
                                  Birmingham.............  DoD            January...........  Even.
                                  Dothan.................  DoD            July..............  Odd.
                                  Huntsville.............  DoD            April.............  Even.
Alaska..........................  Alaska.................  DoD            July..............  Even.
Arizona.........................  Northeastern Arizona...  DoD            March.............  Odd.
                                  Phoenix................  DoD            March.............  Odd.
                                  Tucson.................  DoD            March.............  Odd.
Arkansas........................  Little Rock............  DoD            August............  Even.
California......................  Fresno.................  DoD            February..........  Odd.
                                  Los Angeles............  DoD            September.........  Even.
                                  Sacramento.............  DoD            February..........  Odd.
                                  Salinas-Monterey.......  DoD            February..........  Even.
                                  San Bernardino-          DoD            September.........  Even.
                                   Riverside-Ontario.
                                  San Diego..............  DoD            September.........  Odd.
                                  San Francisco..........  DoD            September.........  Odd.
                                  Santa Barbara..........  DoD            September.........  Even.
                                  Stockton...............  DoD            February..........  Odd.
Colorado........................  Denver.................  DoD            January...........  Odd.
                                  Southern Colorado......  DoD            January...........  Even.
Connecticut.....................  New Haven-Hartford.....  DoD            April.............  Odd.
                                  New London.............  DoD            September.........  Even.
Delaware........................  Wilmington.............  DoD            November..........  Even.
District of Columbia............  Washington, D.C........  DoD            August............  Odd.
Florida.........................  Cocoa Beach-Melbourne..  DoD            October...........  Even.
                                  Jacksonville...........  DoD            January...........  Odd.
                                  Miami..................  DoD            January...........  Odd.
                                  Panama City............  DoD            September.........  Even.
                                  Pensacola..............  DoD            September.........  Odd.
                                  Tampa-St. Petersburg...  DoD            April.............  Even.
Georgia.........................  Albany.................  DoD            August............  Odd.
                                  Atlanta................  DoD            May...............  Odd.
                                  Augusta................  DoD            June..............  Odd.
                                  Columbus...............  DoD            August............  Odd.
                                  Macon..................  DoD            June..............  Odd.
                                  Savannah...............  DoD            May...............  Odd.
Hawaii..........................  Hawaii.................  DoD            June..............  Even.
Idaho...........................  Boise..................  DoD            July..............  Odd.
Illinois........................  Champaign-Urbana.......  DoD            September.........  Odd.
                                  Chicago................  DoD            September.........  Even.
Indiana.........................  Bloomington-Bedford-     DoD            October...........  Odd.
                                   Washington.
                                  Fort Wayne-Marion......  DoD            October...........  Odd.
                                  Indianapolis...........  DoD            October...........  Odd.
Iowa............................  Cedar Rapids-Iowa City.  DoD            July..............  Even.
                                  Davenport-Rock Island-   DoD            October...........  Even.
                                   Moline.
                                  Des Moines.............  DoD            September.........  Odd.
Kansas..........................  Topeka.................  DoD            November..........  Even.
                                  Wichita................  DoD            November..........  Even.
Kentucky........................  Lexington..............  DoD            February..........  Even.
                                  Louisville.............  DoD            February..........  Odd.
Louisiana.......................  Lake Charles-Alexandria  DoD            April.............  Even.
                                  New Orleans............  DoD            November..........  Odd.
                                  Shreveport.............  DoD            May...............  Even.
Maine...........................  Augusta \1\............  DoD            May...............  Even.
                                  Central and Northern     DoD            June..............  Even.
                                   Maine.
                                  Portland...............  DoD            May...............  Odd.
Maryland........................  Baltimore..............  DoD            September.........  Odd.
                                  Hagerstown-Martinsburg-  DoD            January...........  Even.
                                   Chambersburg.
Massachusetts...................  Boston.................  DoD            August............  Even.
                                  Central and Western      DoD            June..............  Even.
                                   Massachusetts.
Michigan........................  Detroit................  DoD            January...........  Odd.
                                  Northwestern Michigan..  DoD            August............  Odd.
                                  Southwestern Michigan    DoD            October...........  Even.
                                   \1\.
Minnesota.......................  Duluth.................  DoD            June..............  Odd.
                                  Minneapolis-St. Paul...  DoD            March.............  Odd.
Mississippi.....................  Biloxi.................  DoD            November..........  Even.
                                  Northern Mississippi...  DoD            February..........  Even.
                                  Jackson................  DoD            February..........  Odd.
                                  Meridian...............  DoD            February..........  Odd.
Missouri........................  Kansas City............  DoD            October...........  Odd.
                                  St. Louis..............  DoD            October...........  Odd.
                                  Southern Missouri......  DoD            October...........  Odd.

[[Page 397]]

 
Montana.........................  Montana................  DoD            July..............  Even.
Nebraska........................  Omaha..................  DoD            October...........  Odd.
Nevada..........................  Las Vegas..............  DoD            September.........  Even.
                                  Reno...................  DoD            March.............  Even.
New Hampshire...................  Portsmouth.............  DoD            September.........  Even.
New Mexico......................  Albuquerque............  DoD            April.............  Odd.
New York........................  Albany-Schenectady-Troy  DoD            March.............  Odd.
                                  Buffalo \1\............  DoD            September.........  Odd.
                                  Newburg................  DoD            March.............  Even.
                                  New York...............  DoD            January...........  Even.
                                  Northern New York......  DoD            March.............  Odd.
                                  Rochester..............  DoD            February..........  Even.
                                  Syracuse-Utica-Rome....  DoD            March.............  Even.
North Carolina..................  Asheville..............  DoD            June..............  Even.
                                  Central North Carolina.  DoD            May...............  Even.
                                  Charlotte..............  DoD            August............  Odd.
                                  Southeastern North       DoD            January...........  Odd.
                                   Carolina.
North Dakota....................  North Dakota...........  DoD            March.............  Even.
Ohio............................  Cincinnati.............  DoD            January...........  Odd.
                                  Cleveland..............  DoD            April.............  Odd.
                                  Columbus...............  DoD            January...........  Odd.
                                  Dayton.................  DoD            January...........  Even.
Oklahoma........................  Oklahoma City..........  DoD            August............  Odd.
                                  Tulsa..................  DoD            August............  Odd.
Oregon..........................  Portland...............  DoD            August............  Even.
                                  Southwestern Oregon....  DoD            June..............  Even.
Pennsylvania....................  Harrisburg.............  DoD            January...........  Even.
                                  Philadelphia...........  DoD            October...........  Even.
                                  Pittsburgh.............  DoD            July..............  Odd.
                                  Scranton-Wilkes-Barre..  DoD            August............  Odd.
Puerto Rico.....................  Puerto Rico............  DoD            July..............  Odd.
Rhode Island....................  Narragansett Bay.......  DoD            January...........  Odd.
South Carolina..................  Charleston.............  DoD            July..............  Even.
                                  Columbia...............  DoD            May...............  Even.
South Dakota....................  Eastern South Dakota     DoD            October...........  Even.
                                   \1\.
Tennessee.......................  Eastern Tennessee......  DoD            February..........  Odd.
                                  Memphis................  DoD            February..........  Even.
                                  Nashville..............  DoD            February..........  Even.
Texas...........................  Austin.................  DoD            June..............  Even.
                                  Corpus Christi.........  DoD            June..............  Even.
                                  Dallas-Fort Worth......  DoD            October...........  Odd.
                                  El Paso................  DoD            April.............  Even.
                                  Houston-Galveston-Texas  DoD            March.............  Even.
                                   City.
                                  San Antonio............  DoD            June..............  Odd.
                                  Texarkana..............  DoD            April.............  Odd.
                                  Waco...................  DoD            May...............  Odd.
                                  Western Texas..........  DoD            May...............  Odd.
                                  Wichita Falls-           DoD            August............  Even.
                                   Southwestern Oklahoma.
Utah............................  Utah...................  DoD            July..............  Odd.
Virginia........................  Norfolk-Portsmouth-      DoD            May...............  Even.
                                   Newport News-Hampton.
                                  Richmond...............  DoD            November..........  Odd.
                                  Roanoke................  DoD            November..........  Even.
Washington......................  Seattle-Everett-Tacoma.  DoD            September.........  Even.
                                  Southeastern Washington- DoD            June..............  Odd.
                                   Eastern Oregon.
                                  Spokane................  DoD            July..............  Odd.
West Virginia...................  West Virginia..........  DoD            March.............  Odd.
Wisconsin.......................  Madison................  DoD            July..............  Even.
                                  Milwaukee..............  DoD            June..............  Odd.
                                  Southwestern Wisconsin.  DoD            June..............  Even.
Wyoming.........................  Wyoming................  DoD            January...........  Even.
----------------------------------------------------------------------------------------------------------------
\1\ The revised fiscal year entries are scheduled to begin for Augusta, Maine, in fiscal year 1996; for Buffalo,
  New York, and Southwestern Michigan in fiscal year 1997; and for Eastern South Dakota in fiscal year 1998.


[46 FR 21344, Apr. 10, 1981]

    Editorial Note: For Federal Register citations affecting appendix A 
to subpart B of part 532, see the List of CFR Sections Affected, which 
appears in the Finding Aids section of the printed volume and on GPO 
Access.

[[Page 398]]

      Appendix B to Subpart B of Part 532--Nationwide Schedule of 
                Nonappropriated Fund Regular Wage Surveys

    This appendix shows the annual schedule of NAF wage surveys. It 
lists all States alphabetically, each State being followed by an 
alphabetical listing of all wage areas in the State. Information given 
for each wage area includes--
    (1) The lead agency responsible for conducting the survey;
    (2) The month in which the survey will begin; and
    (3) Whether full-scale surveys will be conducted in odd or even 
numbered fiscal years.

----------------------------------------------------------------------------------------------------------------
                                                                                            Fiscal year of full-
                State                           Wage area             Beginning month of     scale survey odd or
                                                                            survey                  even
----------------------------------------------------------------------------------------------------------------
Alabama.............................  Calhoun.....................  April.................  Even.
                                      Madison.....................  April.................  Even.
                                      Montgomery..................  August................  Odd.
Alaska..............................  Anchorage...................  July..................  Even.
Arizona.............................  Maricopa....................  March.................  Odd.
                                      Pima........................  March.................  Odd.
                                      Yuma........................  October...............  Even.
Arkansas............................  Pulaski.....................  August................  Odd.
California..........................  Kern........................  February..............  Odd.
                                      Los Angeles.................  September.............  Even.
                                      Monterey....................  February..............  Odd.
                                      Orange......................  September.............  Even.
                                      Riverside...................  October...............  Odd.
                                      Sacramento..................  February..............  Odd.
                                      San Bernardino..............  October...............  Odd.
                                      San Diego...................  September.............  Odd.
                                      San Joaquin.................  February..............  Even.
                                      Santa Barbara...............  September.............  Even.
                                      Santa Clara.................  September.............  Even.
                                      Solano......................  September.............  Odd.
                                      Ventura.....................  September.............  Even.
Colorado............................  Adams-Denver................  January...............  Even.
                                      El Paso.....................  January...............  Even.
Connecticut.........................  New London..................  September.............  Even.
Delaware............................  Kent........................  November..............  Even.
District of Columbia................  Washington, DC..............  August................  Even.
Florida.............................  Bay.........................  September.............  Odd.
                                      Brevard.....................  October...............  Even.
                                      Dade........................  January...............  Odd.
                                      Duval.......................  January...............  Odd.
                                      Escambia....................  September.............  Odd.
                                      Hillsborough................  July..................  Even.
                                      Monroe......................  January...............  Odd.
                                      Okaloosa....................  September.............  Odd.
                                      Orange......................  October...............  Even.
Georgia.............................  Chatham.....................  June..................  Odd.
                                      Clayton-Cobb-Fulton.........  June..................  Odd.
                                      Columbus....................  August................  Odd.
                                      Dougherty...................  August................  Odd.
                                      Houston.....................  June..................  Odd.
                                      Lowndes.....................  August................  Odd.
                                      Richmond....................  June..................  Odd.
Guam................................  Guam........................  September.............  Even.
Hawaii..............................  Honolulu....................  May...................  Even.
Idaho...............................  Ada-Elmore..................  July..................  Odd.
Illinois............................  Lake........................  October...............  Odd.
                                      Rock Island.................  October...............  Even.
                                      St. Clair...................  November..............  Odd.
Indiana.............................  ............................  ......................  ....................
Kansas..............................  Leavenworth/Jackson-Johnson.  November..............  Odd.
                                      Sedgwick....................  November..............  Odd.
Kentucky............................  Christian-Montgomery........  February..............  Even.
                                      Hardin-Jefferson............  February..............  Even.
Louisiana...........................  Bossier-Caddo...............  May...................  Odd.
                                      Orleans.....................  June..................  Even.
                                      Rapides.....................  May...................  Odd.
Maine...............................  Cumberland..................  May...................  Odd.
                                      York........................  September.............  Even.
Maryland............................  Anne Arundel................  October...............  Odd.
                                      Charles-St. Marys...........  August................  Even.
                                      Frederick...................  January...............  Even.

[[Page 399]]

 
                                      Harford.....................  October...............  Odd.
                                      Montgomery-Prince Georges...  August................  Even.
Massachusetts.......................  Hampden.....................  July..................  Odd.
                                      Middlesex...................  September.............  Even.
Michigan............................  Macomb......................  January...............  Odd.
Minnesota...........................  Hennepin....................  March.................  Odd.
Mississippi.........................  Harrison....................  October...............  Even.
                                      Lauderdale..................  February..............  Odd.
                                      Lowndes.....................  February..............  Odd.
Montana.............................  Cascade.....................  July..................  Odd.
Nebraska............................  Douglas-Sarpy...............  October...............  Odd.
Nevada..............................  Churchill-Washoe............  March.................  Odd.
                                      Clark.......................  October...............  Odd.
New Jersey..........................  Burlington..................  October...............  Even.
                                      Monmouth....................  January...............  Even.
                                      Morris......................  August................  Odd.
New Mexico..........................  Bernalillo..................  April.................  Odd.
                                      Curry.......................  June..................  Odd.
                                      Dona Ana....................  April.................  Odd.
New York............................  Kings-Queens................  January...............  Even.
                                      Niagara.....................  January...............  Odd.
                                      Jefferson...................  April.................  Even.
                                      Orange......................  March.................  Even.
North Carolina......................  Craven......................  January...............  Odd.
                                      Cumberland..................  May...................  Even.
                                      Onslow......................  May...................  Odd.
                                      Wayne.......................  May...................  Even.
North Dakota........................  Grand Forks.................  March.................  Odd.
                                      Ward........................  March.................  Odd.
Ohio................................  Greene-Montgomery...........  January...............  Odd.
Oklahoma............................  Comanche....................  August................  Even.
                                      Oklahoma....................  August................  Odd.
Pennsylvania........................  Allegheny...................  August................  Odd.
                                      Montgomery..................  October...............  Even.
                                      Cumberland..................  May...................  Even.
                                      York........................  May...................  Even.
Puerto Rico.........................  Guaynabo-San Juan...........  July..................  Odd.
Rhode Island........................  Newport.....................  January...............  Odd.
South Carolina......................  Charleston..................  July..................  Even.
                                      Richland....................  May...................  Even.
South Dakota........................  Pennington..................  June..................  Even.
Tennessee...........................  Shelby......................  February..............  Even.
Texas...............................  Bell........................  June..................  Odd.
                                      Bexar.......................  June..................  Even.
                                      Dallas......................  November..............  Odd.
                                      El Paso.....................  April.................  Odd.
                                      McLennan....................  May...................  Odd.
                                      Nueces......................  June..................  Even.
                                      Tarrant.....................  November..............  Odd.
                                      Taylor......................  June..................  Odd.
                                      Tom Green...................  June..................  Odd.
                                      Wichita.....................  August................  Even.
Utah................................  Davis-Salt Lake-Weber.......  March.................  Odd.
Virginia............................  Alexandria-Arlington-Fairfax  August................  Even.
                                      Chesterfield-Richmond.......  November..............  Even.
                                      Hampton-Newport News........  May...................  Even.
                                      Norfolk-Portsmouth-Virginia   May...................  Even.
                                       Beach.
                                      Prince William..............  August................  Even.
Washington..........................  Kitsap......................  September.............  Even.
                                      Pierce......................  August................  Even.
                                      Snohomish...................  July..................  Even.
                                      Spokane.....................  July..................  Odd.
Wyoming.............................  Laramie.....................  January...............  Even.
----------------------------------------------------------------------------------------------------------------


[46 FR 21344, Apr. 10, 1981]

    Editorial Note: For Federal Register citations affecting appendix B 
to subpart B of part 532, see the List of CFR Sections Affected, which 
appears in the Finding Aids section of the printed volume and on GPO 
Access.

[[Page 400]]

 Appendix C to Subpart B of Part 532--Appropriated Fund Wage and Survey 
                                  Areas

    This appendix lists the wage area definitions for appropriated fund 
employees. With a few exceptions, each area is defined in terms of 
county units, independent cities, or, in the New England States, of 
entire township or city units. Each wage area definition consists of:
    (1) Wage area title. Wage areas usually carry the title of the 
principal city in the area. Sometimes, however, the area title reflects 
a broader geographic area, such as Wyoming or Eastern Tennessee.
    (2) Survey area definition. Lists each county, independent city, or 
township in the survey area.
    (3) Area of application definition. Lists each county, independent 
city, or township which, in addition to the survey area, is in the area 
of application.

                Definitions of Wage and Wage Survey Areas

                                 Alabama

                            Anniston-Gadsden

                               Survey Area

Alabama:
    Calhoun
    Etowah
    Talladega

                 Area of Application. Survey area plus:

Alabama:
    Cherokee
    Clay
    Cleburne
    De Kalb
    Randolph

                               Birmingham

                               Survey area

Alabama:
    Jefferson
    St. Clair
    Shelby
    Tuscaloosa
    Walker

                 Area of Application. Survey area plus:

Alabama:
    Bibb
    Blount
    Cullman
    Fayette
    Greene
    Hale
    Lamar
    Marengo
    Perry
    Pickens

                                 Dothan

                               Survey area

Alabama:
    Dale
    Houston
Georgia:
    Early

                 Area of Application. Survey area plus:

Alabama:
    Barbour
    Coffee
    Geneva
    Henry
Georgia:
    Clay
    Miller
    Seminole

                               Huntsville

                               Survey area

Alabama:
    Limestone
    Madison
    Marshall
    Morgan

                 Area of Application. Survey area plus:

Alabama:
    Colbert
    Franklin
    Jackson
    Lauderdale
    Lawrence
    Marion
    Winston
Tennessee:
    Franklin
    Giles
    Lawrence
    Lincoln
    Moore
    Wayne

                                 Alaska

                               Survey area

Alaska:
    Anchorage
    Fairbanks
    Juneau (and the areas within a 24-kilometer (15-mile) radius of 
their corporate city limits)
Area of Application. State of Alaska (except special area schedules).

                                 Arizona

                          Northeastern Arizona

                               Survey Area

Arizona:
    Apache
    Coconino

[[Page 401]]

    Navajo
New Mexico:
    McKinley
    San Juan

                 Area of Application. Survey area plus:

Colorado:
    La Plata
    Montezuma
Utah:
    Kane
    San Juan (Does not include the Canyonlands National Park portion.)

                                 Phoenix

                               Survey area

Arizona:
    Gila
    Maricopa

                 Area of Application. Survey area plus:

Arizona:
    Pinal
    Yavapai

                                 Tucson

                               Survey area

Arizona:
    Pima

                 Area of Application. Survey area plus:

Arizona:
    Cochise
    Graham
    Greenlee
    Santa Cruz

                                Arkansas

                               Little Rock

Survey Area
Arkansas:
    Jefferson
    Pulaski
    Saline

                 Area of Application. Survey area plus:

Arkansas:
    Arkansas
    Ashley
    Baxter
    Boone
    Bradley
    Calhoun
    Chicot
    Clay
    Clark
    Cleburne
    Cleveland
    Conway
    Crawford
    Dallas
    Desha
    Drew
    Faulkner
    Franklin
    Fulton
    Garland
    Grant
    Greene
    Hot Spring
    Independence
    Izard
    Jackson
    Johnson
    Lawrence
    Lincoln
    Logan
    Lonoke
    Madison
    Marion
    Monroe
    Montgomery
    Newton
    Ouachita
    Perry
    Phillips
    Pike
    Polk
    Pope
    Prairie
    Randolph
    Scott
    Searcy
    Sebastian
    Sharp
    Stone
    Union
    Van Buren
    White
    Woodruff
    Yell

                               California:

                                 Fresno

                               Survey area

California:
    Fresno
    Kings
    Tulare

                 Area of Application. Survey area plus:

California:
    Kern (Does not include China Lake Naval Weapons Center, Edwards Air 
Force Base and portions occupied by Federal activities at Boron (City).)
    Madera (Does not include Devils Postpile National Monument portion.)
    Mariposa
    Merced
    Tuolumne (Only includes Yosemite National Park portion.)

                               Los Angeles

                               Survey Area

California:
    Los Angeles

[[Page 402]]

                 Area of Application. Survey area plus:

California:
    Inyo (Includes the China Lake Naval Weapons Center portion only)
    Kern (Includes the China Lake Naval Weapons Center, Edwards Air 
Force Base, and portions occupied by Federal activities at Boron (City) 
only)
    Orange
    Riverside (Includes the Joshua Tree National Monument portion only)
    San Bernardino (All of San Bernardino County except that portion 
occupied by, and south and west of, the Angeles and San Bernardino 
National Forests)
    Ventura

                               Sacramento

                               Survey area

California:
    Placer
    Sacramento
    Sutter
    Yolo
    Yuba

                 Area of Application. Survey area plus:

California:
    Alpine
    Amador
    Butte
    Colusa
    Del Norte
    El Dorado
    Glenn
    Humboldt
    Lake
    Modoc
    Nevada
    Plumas
    Shasta
    Sierra
    Siskiyou
    Tehama
    Trinity

                            Salinas-Monterey

                               Survey area

California:
    Monterey

                 Area of Application. Survey area plus:

California:
    San Benito

                    San Bernardino-Riverside-Ontario

                               Survey area

California:
    Riverside (Does not include the Joshua Tree National Monument 
portion.)
    San Bernardino (Only that portion occupied by, and south and west of 
the Angeles and San Bernardino National Forests.)

                    Area of Application. Survey area.

                                San Diego

                               Survey area

California:
    San Diego

                 Area of Application. Survey area plus:

California:
    Imperial
Arizona:
    La Paz
    Yuma

                              San Francisco

                               Survey area

California:
    Alameda
    Contra Costa
    Marin
    Napa
    San Francisco
    San Mateo
    Santa Clara
    Solano

                 Area of Application. Survey area plus:

California:
    Mendocino
    Santa Cruz
    Sonoma

                              Santa Barbara

                               Survey area

California:
    Santa Barbara

                 Area of Application. Survey area plus:

California:
    San Luis Obispo

                                Stockton

                               Survey area

Calfornia:
    San Joaquin

                 Area of Application. Survey area plus:

California:
    Calaveras
    Stanislaus
    Tuolumne (Does not include the Yosemite National Park portion.)

                                Colorado

                                 Denver

                               Survey Area

Colorado:

[[Page 403]]

    Adams
    Arapahoe
    Boulder
    Denver
    Douglas
    Gilpin
    Jefferson
    Area of Application. Survey area plus:

Colorado:
    Clear Creek
    Eagle
    Elbert
    Garfield
    Grand
    Jackson
    Lake
    Larimer
    Logan
    Morgan
    Park
    Phillips
    Pitkin
    Rio Blanco
    Routt
    Sedgwick
    Summit
    Washington
    Weld
    Yuma

                            Southern Colorado

                               Survey Area

Colorado:
    El Paso
    Pueblo
    Teller

    Area of Application. Survey area plus:
Colorado:
    Alamosa
    Archuleta
    Baca
    Bent
    Chaffee
    Cheyenne
    Conejos
    Costilla
    Crowley
    Custer
    Delta
    Dolores
    Fremont
    Gunnison
    Hinsdale
    Huerfano
    Kiowa
    Kit Carson
    Las Animas
    Lincoln
    Mineral
    Montrose
    Otero
    Ouray
    Pitkin
    Prowers
    Rio Grande
    Saguache
    San Juan
    San Miguel

                               Connecticut

                           New Haven--Hartford

                               Survey Area

Connecticut:
The following cities and towns in:
    Fairfield County
    Stratford
    Hartford County
    Bloomfield
    East Granby
    East Hartford
    East Windsor
    Enfield
    Glastonbury
    Hartford
    Manchester
    Newington
    Rocky Hill
    Suffield
    West Hartford
    Wethersfield
    Windsor
    Windsor Locks
    Middlesex County
    Cromwell
    Middlefield
    New Haven County
    Branford
    East Haven
    Hamden
    Meriden
    Milford
    New Haven
    North Branford
    North Haven
    Orange
    Wallingford
    West Haven

                 Area of application. Survey area plus:

Connecticut:
    Fairfield County (nonsurvey area part)
    Hartford County (nonsurvey area part)
    Litchfield County
    Middlesex County (nonsurvey area part except Old Saybrook)
    New Haven County (nonsurvey area part)
    Tolland County (except Somers and Somersville)

                               New London

                               Survey Area

Connecticut:
    The following cities and towns in:
    Middlesex County
    Old Saybrook
    New London County
    Baltic
    Bozrah
    East Lyme

[[Page 404]]

    Gales Ferry
    Groton
    Hanover
    Jewett City
    Ledyard
    Lisbon
    Lyme
    Montville
    Mystic
    New London
    Noank
    Norwich
    Oakdale
    Old Mystic
    Old Lyme
    Pawcatuck
    Poquonock Bridge
    Preston
    Quaker Hill
    Stonington
    Submarine Base
    Uncasville
    Versailles
    Waterford
    West Mystic
Rhode Island:
    The following cities and towns in:
    Washington County
    Hopkinton
    Westerly

                 Area of application. Survey area plus:

Connecticut:
    New London (nonsurvey area part)
    Windham

                                Delaware

                               Wilmington

                               Survey Area

Delaware:
    Kent
    New Castle
Maryland:
    Cecil
New Jersey:
    Salem

                 Area of Application. Survey area plus:

Delaware:
    Sussex
Maryland:
    Caroline
    Dorchester
    Kent
    Queen Annes
    Somerset
    Talbot
    Wicomico
    Worcester (Does not include the Assateague Island portion.)

                  District of Columbia, Washington, DC

                               Survey Area

District of Columbia:
    Washington, D.C.
Maryland:
    Charles
    Federick
    Montgomery
    Prince George's
Virginia (cities):
    Alexandria
    Fairfax
    Falls Church
    Manassas
    Manassas Park
Virginia (counties):
    Arlington
    Fairfax
    Loudoun
    Prince William

                 Area of Application. Survey area plus:

Maryland:
    Calvert
    St. Mary's
Virginia:
    Fauquier
    King George
    Stafford

                                 Florida

                          Cocoa Beach-Melbourne

                               Survey Area

Florida:
    Brevard

                 Area of Application. Survey area plus:

Florida:
    Indian River

                              Jacksonville

                               Survey Area

Florida:
    Alachua
    Baker
    Clay
    Duval
    Nassau
    St. Johns

                  Area of Application. Survey Area Plus

Florida:
    Bradford
    Citrus
    Columbia
    Dixie
    Flagler
    Gilchrist
    Hamilton
    Lafayette
    Lake
    Levy
    Madison
    Marion
    Orange
    Osceola

[[Page 405]]

    Putnam
    Seminole
    Sumter
    Suwanee
    Taylor
    Union
    Volusia
Georgia:
    Brantley
    Camden
    Charlton
    Glynn
    Pierce

                                  Miami

                               Survey Area

Florida:
    Dade

                 Area of Application. Survey area plus:

Florida:
    Broward
    Collier
    Glades
    Hendry
    Highlands
    Martin
    Monroe
    Okeechobee
    Palm Beach
    St. Lucie

                               Panama City

                               Survey Area

Florida:
    Bay
    Gulf

                 Area of Application. Survey area plus:

Florida:
    Calhoun
    Franklin
    Gadsden
    Holmes
    Jackson
    Jefferson
    Leon
    Liberty
    Wakulla
    Washington

                                Pensacola

                               Survey Area

Florida:
    Escambia
    Santa Rosa

                 Area of Application. Survey area plus:

Florida
    Okaloosa
    Walton
Alabama:
    Baldwin
    Clarke
    Conecuh
    Covington
    Escambia
    Mobile
    Monroe
    Washington

                          Tampa-St. Petersburg

                               Survey Area

Florida:
    Hillsborough
    Pasco
    Pinellas

                 Area of Application. Survey area plus:

Florida:
    Charlotte
    De Soto
    Hardee
    Hernando
    Lee
    Manatee
    Polk
    Sarasota

                                 Georgia

                                 Albany

                               Survey Area

Georgia:
    Colquitt
    Dougherty
    Lee
    Mitchell
    Worth

                 Area of Application. Survey area plus:

                                Georgia:

    Atkinson
    Baker
    Ben Hill
    Berrien
    Brooks
    Calhoun
    Clinch
    Coffee
    Cook
    Decatur
    Echols
    Grady
    Irwin
    Lanier
    Lowndes
    Randolph
    Sumter
    Terrell
    Thomas
    Tift
    Turner
    Ware

[[Page 406]]

                                 Atlanta

                               Survey Area

Georgia:
    Butts
    Cherokee
    Clayton
    Cobb
    De Kalb
    Douglas
    Fayette
    Forsyth
    Fulton
    Gwinnett
    Henry
    Newton
    Paulding
    Rockdale
    Walton

                 Area of Application. Survey area plus:

Georgia:
    Banks
    Barrow
    Bartow
    Carroll
    Chattooga
    Clarke
    Coweta
    Dawson
    Fannin
    Floyd
    Franklin
    Gilmer
    Gordon
    Greene
    Habersham
    Hall
    Haralson
    Heard
    Jackson
    Lumpkin
    Madison
    Morgan
    Murray
    Oconee
    Oglethorpe
    Pickens
    Pike
    Polk
    Rabun
    Spalding
    Stephens
    Towns
    Union
    White
    Whitfield

                                 Augusta

                               Survey Area

Georgia:
    Columbia
    McDuffie
    Richmond
South Carolina:
    Aiken

                 Area of Application. Survey area plus:

Georgia:
    Burke
    Elbert
    Emanuel
    Glascock
    Hart
    Jefferson
    Jenkins
    Lincoln
    Taliaferro
    Warren
    Wilkes
South Carolina:
    Allendale
    Bamberg
    Barnwell
    Edgefield
    McCormick

                                Columbus

                               Survey Area

Georgia (Counties):
    Chattahoochee
Georgia (Consolidated government):
    Columbus
Alabama:
    Autaugo
    Elmore
    Lee
    Macon
    Montgomery
    Russel

                 Area of Application. Survey area plus:

Georgia:
    Harris
    Marion
    Meriwether
    Quitman
    Schley
    Stewart
    Talbot
    Taylor
    Troup
    Webster
Alabama:
    Bullock
    Butler
    Chambers
    Chilton
    Coosa
    Crenshaw
    Dallas
    Lowndes
    Pike
    Tallapoosa
    Wilcox

                                  Macon

                               Survey area

Georgia:

[[Page 407]]

    Bibb
    Houston
    Jones
    Laurens
    Twiggs
    Wilkinson

                 Area of Application. Survey area plus:

Georgia:
    Baldwin
    Bleckley
    Crawford
    Crisp
    Dodge
    Dooly
    Hancock
    Jasper
    Johnson
    Lamar
    Macon
    Monroe
    Montgomery
    Peach
    Pulaski
    Putnam
    Telfair
    Treutlen
    Upson
    Washington
    Wheeler
    Wilcox

                                Savannah

                               Survey Area

Georgia:
    Bryan
    Chatham
    Effingham
    Liberty

                 Area of Application. Survey area plus:

Georgia:
    Appling
    Bacon
    Bulloch
    Candler
    Evans
    Jeff Davis
    Long
    McIntosh
    Screven
    Tattnall
    Toombs
    Wayne
South Carolina:
    Beaufort (The portion south of Broad River.)
    Hampton
    Jasper

                                 Hawaii

                               Survey area

Hawaii:
    Honolulu

                 Area of Application. Survey area plus:

Hawaii:
    Hawaii
    Kauai (Kauai county includes the islands of Kauai and Niihau.)
    Maui (Maui county includes the islands of Maui, Molokai, Lanai and 
Kohoolawe.)

                                  Idaho

                                  Boise

                               Survey Area

Idaho:
    Ada
    Boise
    Canyon
    Elmore
    Gem

                 Area of Application. Survey area plus:

Idaho:
    Adams
    Bannock
    Bear Lake
    Bingham
    Blaine
    Bonneville
    Butte
    Camas
    Caribou
    Cassia
    Clark
    Custer
    Franklin
    Fremont
    Gooding
    Jefferson
    Jerome
    Lemhi
    Lincoln
    Madison
    Minidoka
    Oneida
    Owyhee
    Payette
    Power
    Teton
    Twin Falls
    Valley
    Washington

                                Illinois

                            Champaign-Urbana

                               Survey area

Illinois:
    Champaign
    Menard
    Sangamon
    Vermilion

                 Area of Application. Survey area plus:

Illinois:
    Christian

[[Page 408]]

    Clark
    Coles
    Crawford
    Cumberland
    De Witt
    Douglas
    Edgar
    Ford
    Jasper
    Logan
    McLean
    Macon
    Moultrie
    Piatt
    Shelby

                                 Chicago

                               Survey area

Illinois:
    Cook
    Du Page
    Kane
    Lake
    McHenry
    Will

                 Area of Application. Survey area plus:

Illinois:
    Boone
    De Kalb
    Grundy
    Iroquois
    Kankakee
    Kendall
    La Salle
    Lee
    Livingston
    Ogle
    Stephenson
    Winnebago
Indiana:
    Benton
    Jasper
    Lake
    La Porte
    Newton
    Porter
    Pulaski
    Starke

                                 Indiana

                     Bloomington-Bedford-Washington

                               Survey area

Indiana:
    Daviess
    Greene
    Knox
    Lawrence
    Martin
    Monroe
    Orange

                 Area of Application. Survey area plus:

Indiana:
    Brown
    Brawford
    Dubois
    Gibson
    Jackson
    Owen
    Perry
    Pike
    Posey
    Spencer
    Vanderburgh
    Warrick
    Washington
Illinois:
    Edwards
    Gallatin
    Hardin
    Lawrence
    Richland
    Wabash
    White
Kentucky:
    Crittenden
    Daviess
    Hancock
    Henderson
    Livingston
    McLean
    Ohio
    Union
    Webster

                            Ft. Wayne-Marion

                               Survey area

Indiana:
    Adams
    Allen
    DeKalb
    Grant
    Huntington
    Wells

                 Area of Application. Survey area plus:

Indiana:
    Blackford
    Carroll
    Cass
    Elkhart
    Fulton
    Howard
    Jay
    Kosciusko
    Lagrange
    Marshall
    Miami
    Noble
    St. Joseph
    Steuben
    Wabash
    White
    Whitley
Ohio:
    Allen
    Defiance
    Fulton
    Henry

[[Page 409]]

    Mercer
    Paulding
    Putnam
    Van Wert
    Williams

                              Indianapolis

                               Survey area

Indiana:
    Boone
    Hamilton
    Hancock
    Hendricks
    Johnson
    Marion
    Morgan
    Shelby

                 Area of Application. Survey area plus:

Indiana:
    Bartholomew
    Clay
    Clinton
    Decatur
    Delaware
    Fayette
    Fountain
    Henry
    Madison
    Montgomery
    Parke
    Putnam
    Rush
    Sullivan
    Tippecanoe
    Tipton
    Vermillion
    Vigo
    Warren

                                  Iowa

                         Cedar Rapids-Iowa City

                               Survey area

Iowa:
    Benton
    Black Hawk
    Johnson
    Linn

                 Area of Application. Survey area plus:

Iowa:
    Allamakee
    Bremer
    Buchanan
    Butler
    Cedar
    Chickasaw
    Clayton
    Davis
    Delaware
    Fayette
    Floyd
    Grundy
    Henry
    Howard
    Iowa
    Jefferson
    Jones
    Keokuk
    Mitchell
    Tama
    Van Buren
    Wapello
    Washington
    Winneshiek

                      Davenport-Rock Island-Moline

                               Survey Area

Iowa:
    Scott
Illinois:
    Henry
    Rock Island

                  Area of Application. Survey Area Plus

Iowa:
    Clinton
    Des Moines
    Dubuque
    Jackson
    Lee
    Louisa
    Muscatine
Illinois:
    Adams
    Brown
    Bureau
    Carroll
    Cass
    Fulton
    Hancock
    Henderson
    Jo Daviess
    Knox
    McDonough
    Marshall
    Mason
    Mercer
    Peoria
    Putnam
    Schuyler
    Stark
    Tazewell
    Warren
    Whiteside
    Woodford

                               Des Moines

                               Survey area

Iowa:
    Polk
    Story
    Warren

                 Area of Application. Survey area plus:

Iowa:
    Adair
    Appanoose

[[Page 410]]

    Boone
    Calhoun
    Carroll
    Cerro Gordo
    Clarke
    Dallas
    Decatur
    Franklin
    Greene
    Guthrie
    Hamilton
    Hancock
    Hardin
    Humboldt
    Jasper
    Kossuth
    Lucas
    Madison
    Mahaska
    Marion
    Marshall
    Monroe
    Poweshiek
    Ringgold
    Union
    Wayne
    Webster
    Winnebago
    Worth
    Wright

                                 Kansas:

                                 Topeka

                               Survey area

Kansas:
    Geary
    Jefferson
    Osage
    Shawnee

                 Area of Application. Survey area plus:

Kansas:
    Brown
    Clay
    Cloud
    Coffey
    Dickinson
    Jackson
    Lyon
    Marshall
    Morris
    Nemaha
    Ottawa
    Pottawatomie
    Republic
    Riley
    Saline
    Webaunsee
    Washington

                                 Wichita

                               Survey area

Kansas:
    Butler
    Sedgwick

                 Area of Application. Survey area plus:

Kansas:
    Barber
    Barton
    Chase
    Chautauqua
    Cheyenne
    Clark
    Comanche
    Cowley
    Decatur
    Edwards
    Elk
    Ellis
    Ellsworth
    Finney
    Ford
    Gove
    Graham
    Grant
    Gray
    Greeley
    Greenwood
    Hamilton
    Harper
    Harvey
    Haskell
    Hodgeman
    Jewell
    Kearny
    Kingman
    Kiowa
    Labette
    Lane
    Lincoln
    Logan
    McPherson
    Marion
    Meade
    Mitchell
    Montgomery
    Morton
    Neosho
    Ness
    Norton
    Osborne
    Pawnee
    Phillips
    Pratt
    Rawlins
    Reno
    Rice
    Rooks
    Rush
    Russell
    Scott
    Seward
    Sheridan
    Sherman
    Smith
    Stafford
    Stanton
    Stevens
    Sumner
    Thomas

[[Page 411]]

    Trego
    Wallace
    Wichita
    Wilson
    Woodson

                                Kentucky

                                Lexington

                               Survey area

Kentucky:
    Bourbon
    Clark
    Fayette
    Jessamine
    Madison
    Scott
    Woodford

                 Area of Application. Survey area plus:

Kentucky:
    Anderson
    Bath
    Bell
    Boyle
    Breathitt
    Casey
    Clay
    Estill
    Fleming
    Franklin
    Garrard
    Green
    Harrison
    Jackson
    Knott
    Knox
    Laurel
    Lee
    Leslie
    Lincoln
    McCreary
    Marion
    Menifee
    Mercer
    Montgomery
    Morgan
    Nicholas
    Owen
    Owsley
    Perry
    Powell
    Pulaski
    Robertson
    Rockcastle
    Rowan
    Taylor
    Washington
    Wayne
    Whitley
    Wolfe

                               Louisville

                               Survey area

Kentucky:
    Bullitt
    Hardin
    Jefferson
    Oldham
Indiana:
    Clark
    Floyd
    Jefferson

                 Area of Application. Survey area plus:

Kentucky:
    Breckinridge
    Grayson
    Hart
    Henry
    Larue
    Meade
    Nelson
    Shelby
    Spencer
    Trimble
Indiana:
    Harrison
    Jennings
    Scott

                                Louisiana

                         Lake Charles-Alexandria

                               Survey area

Louisiana:
    Allen
    Beauregard
    Calcasieu
    Grant
    Rapides
    Sabine
    Vernon

                 Area of Application. Survey area plus:

Louisiana:
    Acadia
    Avoyelles
    Caldwell
    Cameron
    Catahoula
    Concordia
    Evangeline
    Franklin
    Jefferson Davis
    Lafayette
    La Salle
    Madison
    Natchitoches
    St. Landry
    Tensas
    Vermilion
    Winn

                               New Orleans

                               Survey area

Louisiana:
    Jefferson
    Orleans
    Plaquemines

[[Page 412]]

    St. Bernard
    St. Tammany

                 Area of Application. Survey area plus:

Louisiana:
    Ascension
    Assumption
    East Baton Rouge
    East Feliciana
    Iberia
    Iberville
    Lafourche
    Livingston
    Pointe Coupee
    St. Charles
    St. Helena
    St. James
    St. John the Baptist
    St. Martin
    St. Mary
    Tangipahoa
    Terrebonne
    Washington
    West Baton Rouge
    West Feliciana

                               Shreveport

                               Survey area

Louisiana:
    Bossier
    Caddo
    Webster

                 Area of Application. Survey area plus:

Louisiana:
    Bienville
    Claiborne
    De Soto
    East Carroll
    Jackson
    Lincoln
    Morehouse
    Ouachita
    Red River
    Richland
    Union
    West Carroll
Texas:
    Cherokee
    Gregg
    Harrison
    Panola
    Rusk

                                  Maine

                                 Augusta

                               Survey area

Maine:
    Kennebec
    Knox
    Lincoln

                    Area of Application. Survey area.

                       Central and Northern Maine

                               Survey area

Maine:
    Aroostook
    Penobscot

                 Area of Application. Survey area plus:

Maine:
    Hancock
    Piscataquis
    Somerset
    Waldo
    Washington

                                Portland

                               Survey area

Maine:
    Androscoggin
    Cumberland
    Sagadahoc

                 Area of Application. Survey area plus:

Maine:
    Franklin
    Oxford
New Hampshire:
    Coos

                                Maryland

                                Baltimore

                               Survey area

Maryland:
    Baltimore City
    Anne Arundel
    Baltimore
    Carroll
    Harford
    Howard

                    Area of Application. Survey area

                   Hagerstown-Martinsburg-Chambersburg

                               Survey Area

Maryland:
    Washington
Pennsylvania:
    Franklin
West Virginia:
    Berkeley

                  Area of Application--Survey Area Plus

Maryland:
    Allegany
    Garrett
Pennsylvania:
    Fulton (Effective as of April 17, 1996.)
Virginia (cities):
    Harrisonburg
    Winchester
Virginia (counties):

[[Page 413]]

    Clarke
    Culpeper
    Frederick
    Greene
    Madison
    Page
    Rappahannock
    Rockingham
    Shenandoah
    Warren
West Virginia:
    Hampshire
    Hardy
    Jefferson
    Mineral
    Morgan

                              Massachusetts

                                 Boston

                               Survey Area

Massachusetts:
The following cities and towns in:
    Essex County
    Beverly
    Boxford
    Danvers
    Hamilton
    Lynn
    Lynnfield
    Manchester
    Marblehead
    Middleton
    Nahant
    Peabody
    Salem
    Saugus
    South Hamilton
    Swampscott
    Topsfield
    Wenham
    Middlesex County
    Acton
    Arlington
    Ashland
    Bedford
    Belmont
    Boxborough
    Burlington
    Cambridge
    Carlisle
    Concord
    Everett
    Framingham
    Holliston
    Lexington
    Lincoln
    Malden
    Medford
    Melrose
    Natick
    Newton
    North Reading
    North Wilmington
    Reading
    Sherborn
    Somerville
    Stoneham
    Sudbury
    Wakefield
    Waltham
    Watertown
    Wayland
    West Concord
    Weston
    Wilmington
    Winchester
    Woburn
    Norfolk County
    Bellingham
    Braintree
    Brookline
    Canton
    Cohasset
    Dedham
    Dover
    East Walpole
    Foxborough
    Franklin
    Harding
    Holbrook
    Islington
    Medfield
    Medway
    Millis
    Milton
    Needham
    Norfolk
    North Cohasset
    Norwood
    Quincy
    Randolph
    Sharon
    South Walpole
    Stoughton
    Walpole
    Wellesley
    Westwood
    Weymouth
    Wrentham
    Plymouth County
    Abington
    Duxbury
    Hanover
    Hanson
    Hingham
    Hull
    Kingston
    Marshfield
    Marshfield Hills
    North Scituate
    Norwell
    Oceanbluff
    Pembroke
    Rockland
    Scituate
    Shore Acres
    South Duxbury
    South Hingham
    West Hanover
    Suffolk County

[[Page 414]]

                 Area of Application. Survey area plus:

Massachusetts:
    Barnstable
    Dukes
    Nantucket
    Plymouth (non-survey area part)
The following cities and towns in:
    Bristol County
    Easton
    Essex County
    Andover
    Essex
    Gloucester
    Ipswich
    Lawrence
    Methuen
    Rockport
    Rowley
    Middlesex County
    Ayer
    Billerica
    Chelmsford
    Dracut
    Dunstable
    Groton
    Hopkinton
    Hudson
    Littleton
    Lowell
    Marlborough
    Maynard
    Pepperell
    Stow
    Tewksbury
    Tyngsborough
    Westford
    Norfolk County
    Avon

                    Central and Western Massachusetts

                               Survey area

Massachusetts:
The following cities and towns in:
    Hampden County
    Agawam
    Chicopee
    East Longmeadow
    Feeding Hills
    Hampden
    Holyoke
    Longmeadow
    Ludlow
    Monson
    Palmer
    Southwick
    Springfield
    Three Rivers
    Westfield
    West Springfield
    Wilbraham
    Hampshire County
    Easthampton
    Granby
    Hadley
    Northampton
    South Hadley
    Worcester County
    Warren
    West Warren
Connecticut:
    Tolland County
    Somers
    Somersville

                 Area of Application. Survey area plus:

Massachusetts:
    Berkshire
    Franklin
    Worcester (except Blackstone and Millville)
The following towns and cities in:
    Hampshire County
    Amherst
    Belchertown
    Chesterfield
    Cummington
    Goshen
    Hatfield
    Huntington
    Middlefield
    Pelham
    Plainfield
    Southampton
    Ware
    Westhampton
    Williamsburg
    Worthington
    Hampden County
    Blandford
    Brimfield
    Chester
    Granville
    Holland
    Montgomery
    Russell
    Tolland
    Wales
    Middlesex County
    Ashby
    Shirley
    Townsend
New Hampshire:
    Belknap
    Carroll
    Cheshire
    Grafton
    Hillsborough
    Merrimack
    Sullivan
Vermont:
    Addison
    Bennington
    Caledonia
    Essex
    Lamoille
    Orange
    Orleans
    Rutland
    Washington
    Windham
    Windsor

[[Page 415]]

                                Michigan

                                 Detroit

                               Survey area

Michigan:
    Lapeer
    Livingston
    Macomb
    Oakland
    St. Clair
    Wayne

                 Area of Application. Survey area plus:

Michigan:
    Arenac
    Bay
    Clare
    Clinton
    Eaton
    Genesee
    Gladwin
    Gratiot
    Huron
    Ingham
    Isabella
    Lenawee
    Midland
    Monroe
    Saginaw
    Sanilac
    Shiawassee
    Tuscola
    Washtenaw
Ohio:
    Lucas
    Wood

                          Northwestern Michigan

                               Survey area

Michigan:
    Delta
    Dickinson
    Marquette

                 Area of Application. Survey area plus:

Michigan:
    Alcona (Effective date January 1, 1994.)
    Alger
    Alpena (Effective date January 1, 1994.)
    Antrim (Effective date January 1, 1994.)
    Baraga
    Benzie (Effective date January 1, 1994.)
    Charlevoix (Effective date January 1, 1994.)
    Cheboygan (Effective date January 1, 1994.)
    Chippewa
    Crawford (Effective date January 1, 1994.)
    Emmet (Effective date January 1, 1994.)
    Gogebic
    Grand Traverse (Effective date January 1, 1994.)
    Houghton
    Iosco (Effective date January 1, 1994.)
    Iron
    Kalkaska (Effective date January 1, 1994.)
    Keweenaw
    Leelanau (Effective date January 1, 1994.)
    Luce
    Mackinac
    Manistee (Effective date January 1, 1994.)
    Menominee
    Missaukee (Effective date January 1, 1994.)
    Montmorency (Effective date January 1, 1994.)
    Ogemaw (Effective date January 1, 1994.)
    Ontonagon
    Oscoda (Effective date January 1, 1994.)
    Otsego (Effective date January 1, 1994.)
    Presque Isle (Effective date January 1, 1994.)
    Roscommon (Effective date January 1, 1994.)
    Schoolcraft
    Wexford (Effective date January 1, 1994.)

                          Southwestern Michigan

                               Survey area

Michigan:
    Barry
    Calhoun
    Kalamazoo
    Van Buren

                 Area of Application. Survey area plus:

Michigan:
    Allegan
    Berrien
    Branch
    Cass
    Hillsdale
    Ionia
    Jackson
    Kent
    Lake
    Mason
    Mecosta
    Montcalm
    Muskegon
    Newaygo
    Oceana
    Osceola
    Ottawa
    St. Joseph

                                Minnesota

                                 Duluth

                               Survey area

Minnesota:
    Carlton
    St. Louis
Wisconsin:
    Douglas

                 Area of Application. Survey area plus:

Minnesota:
    Aitkin
    Beltrami
    Cass
    Cook

[[Page 416]]

    Crow Wing
    Hubbard
    Itasca
    Koochiching
    Lake
    Lake of the Woods
    Pine
Wisconsin:
    Ashland
    Bayfield
    Burnett
    Iron
    Sawyer
    Washburn

                          Minneapolis-St. Paul

                               Survey area

Minnesota:
    Anoka
    Carver
    Chisago
    Dakota
    Hennepin
    Ramsey
    Scott
    Washington
    Wright
Wisconsin:
    St. Croix

                 Area of Application. Survey area plus:

Minnesota:
    Benton
    Big Stone
    Blue Earth
    Brown
    Chippewa
    Cottonwood
    Dodge
    Douglas
    Faribault
    Freeborn
    Goodhue
    Grant
    Isanti
    Kanabec
    Kandiyohi
    Lac Qui Parle
    Le Sueur
    McLeod
    Martin
    Meeker
    Mille Lacs
    Morrison
    Mower
    Nicollet
    Olmsted
    Pope
    Redwood
    Renville
    Rice
    Sherburne
    Sibley
    Stearns
    Steele
    Stevens
    Swift
    Todd
    Traverse
    Wadena
    Waseca
    Watonwan
    Yellow Medicine
Wisconsin:
    Pierce
    Polk

                               Mississippi

                                 Biloxi

                               Survey Area

Mississippi:
    Hancock
    Harrison
    Jackson

                  Area of Application--Survey Area Plus

Mississippi:
    George
    Pearl River
    Stone (Effective as of November 1, 1997.)

                                 Jackson

                               Survey area

Mississippi:
    Hinds
    Rankin
    Warren

                  Area of Application--Survey Area Plus

Mississippi:
    Adams (Effective as of February 1, 1997.)
    Amite
    Attala
    Claiborne (Effective as of February 1, 1997.)
    Copiah
    Covington
    Franklin
    Holmes
    Humphreys
    Issaquena
    Jefferson (Effective as of February 1, 1997.)
    Jefferson Davis
    Lawrence
    Lincoln
    Madison
    Marion
    Pike
    Scott
    Sharkey
    Simpson
    Smith
    Walthall
    Wilkinson
    Yazoo

                                Meridian

                               Survey Area

Mississippi:
    Forest

[[Page 417]]

    Lamar (Effective as of February 1, 1997.)
    Lauderdale
Alabama:
    Choctaw

                  Area of Application--Survey Area Plus

Mississippi:
    Clarke
    Greene
    Jasper
    Jones
    Kemper
    Leake
    Neshoba
    Newton
    Perry
    Wayne
Alabama:
    Sumter

                          Northern Mississippi

                               Survey Area

Mississippi:
    Clay
    Grenada
    Leflore
    Lee
    Lowndes
    Monroe
    Oktibbeha

                  Area of Application--Survey Area Plus

Mississippi:
    Alcorn
    Bolivar
    Calhoun
    Carroll
    Chickasaw
    Choctaw
    Coahoma
    Itawamba
    Layfayette (Excluding Holly Springs National Forest.)
    Montgomery
    Noxubee
    Panola
    Pontotoc (Excluding Holly Springs National Forest.)
    Prentiss
    Quitman
    Sunflower
    Tallahatchie
    Tishomingo
    Union (Excluding Holly Springs National Forest.)
    Washington
    Webster
    Winston
    Yalobusha

                                Missouri

                               Kansas City

                               Survey area

Missouri:
    Cass
    Clay
    Jackson
    Platte
    Ray
Kansas:
    Johnson
    Leavenworth
    Wyandotte

                 Area of Application. Survey area plus:

Missouri:
    Adair
    Andrew
    Atchison
    Bates
    Buchanan
    Caldwell
    Carroll
    Chariton
    Clinton
    Cooper
    Daviess
    De Kalb
    Gentry
    Grundy
    Harrison
    Henry
    Holt
    Howard
    Johnson
    Lafayette
    Linn
    Livingston
    Macon
    Mercer
    Nodaway
    Pettis
    Putnam
    Saline
    Schuyler
    Sullivan
    Worth
Kansas:
    Allen
    Anderson
    Atchison
    Bourbon
    Doniphan
    Douglas
    Franklin
    Linn
    Miami
    St. Louis

                               Survey area

Missouri:
    St. Louis City
    Franklin
    Jefferson
    St. Charles
    St. Louis
Illinois:
    Clinton
    Madison
    Monroe

[[Page 418]]

    St. Clair

                 Area of Application. Survey area plus:

Missouri:
    Audrain
    Boone
    Callaway
    Clark
    Cole
    Crawford
    Gasconade
    Knox
    Lewis
    Lincoln
    Marion
    Monroe
    Montgomery
    Osage
    Pike
    Ralls
    Randolph
    St. Francois
    Ste. Genevieve
    Scotland
    Shelby
    Warren
    Washington
Illinois:
    Alexander
    Bond
    Calhoun
    Clay
    Effingham
    Fayette
    Franklin
    Greene
    Hamilton
    Jackson
    Jefferson
    Jersey
    Johnson
    Macoupin
    Marion
    Massac
    Montgomery
    Morgan
    Perry
    Pike
    Pope
    Pulaski
    Randolph
    Saline
    Scott
    Union
    Washington
    Wayne
    Williamson

                            Southern Missouri

                               Survey area

Missouri:
    Christian
    Greene
    Laclede
    Phelps
    Pulaski
    Webster

                 Area of Application. Survey area plus:

Missouri:
    Barry
    Barton
    Benton
    Bollinger
    Butler
    Camden
    Cape Girardeau
    Carter
    Cedar
    Dade
    Dallas
    Dent
    Douglas
    Hickory
    Howell
    Iron
    Jasper
    Lawrence
    McDonald
    Madison
    Maries
    Miller
    Mississippi
    Moniteau
    Morgan
    New Madrid
    Newton
    Oregon
    Ozark
    Perry
    Polk
    Reynolds
    Ripley
    St. Clair
    Scott
    Shannon
    Stoddard
    Stone
    Taney
    Texas
    Vernon
    Wayne
    Wright
Kansas:
    Cherokee
    Crawford

                                 MONTANA

                               Survey Area

Montana:
    Cascade
    Lewis and Clark
    Yellowstone

                  Area of Application. Survey area plus

Montana:
    Beaverhead
    Big Horn
    Blaine
    Broadwater
    Carbon

[[Page 419]]

    Carter
    Chouteau
    Custer
    Daniels
    Dawson
    Deer Lodge
    Fallon
    Fergus
    Flathead
    Gallatin
    Garfield
    Glacier
    Golden Valley
    Granite
    Hill
    Jefferson
    Judith Basin
    Lake
    Liberty
    Lincoln
    McCone
    Madison
    Meagher
    Mineral
    Missoula
    Musselshell
    Park
    Petroleum
    Phillips
    Pondera
    Powder River
    Powell
    Prairie
    Ravalli
    Richland
    Roosevelt
    Rosebud
    Sanders
    Sheridan
    Silver Bow
    Stillwater
    Sweet Grass
    Teton
    Toole
    Treasure
    Valley
    Wheatland
    Wibaux
Wyoming:
    Big Horn
    Park
    Teton

                                Nebraska

                                  Omaha

                               Survey area

Nebraska:
    Douglas
    Lancaster
    Sarpy
Iowa:
    Pottawattamie

                 Area of Application. Survey area plus:

Nebraska:
    Adams
    Antelope
    Arthur
    Blaine
    Boone
    Boyd
    Brown
    Buffalo
    Burt
    Butler
    Cass
    Cedar
    Chase
    Cherry
    Clay
    Colfax
    Cuming
    Custer
    Dakota
    Dawson
    Dixon
    Dodge
    Dundy
    Fillmore
    Franklin
    Frontier
    Furnas
    Gage
    Garfield
    Gosper
    Grant
    Greeley
    Hall
    Hamilton
    Harlan
    Hayes
    Hitchcock
    Holt
    Hooker
    Howard
    Jefferson
    Johnson
    Kearney
    Keith
    Keya Paha
    Knox
    Lincoln
    Logan
    Loup
    McPherson
    Madison
    Merrick
    Nance
    Nemaha
    Nuckolls
    Otoe
    Pawnee
    Perkins
    Phelps
    Pierce
    Platte
    Polk
    Red Willow
    Richardson
    Rock
    Saline
    Saunders

[[Page 420]]

    Seward
    Sherman
    Stanton
    Thayer
    Thomas
    Thurston
    Valley
    Washington
    Wayne
    Webster
    Wheeler
    York
Iowa:
    Adams
    Audubon
    Buena Vista
    Cass
    Cherokee
    Clay
    Crawford
    Fremont
    Harrison
    Ida
    Mills
    Monona
    Montgomery
    O'Brien
    Page
    Palo Alto
    Plymouth
    Pocahontas
    Sac
    Shelby
    Sioux
    Taylor
    Woodbury

                                 Nevada

                                Las Vegas

                               Survey Area

Nevada:
    Clark
    Nye

                 Area of Application. Survey area plus:

Nevada:
    Esmeralda
    Lincoln
Arizona:
    Mohave
California:
    Inyo (Excludes the China Lake Naval Weapons Center portion only)

                                  Reno

                               Survey area

Nevada:
    Lyon
    Mineral
    Storey
    Washoe

                 Area of Application. Survey area plus:

Nevada (cities):
    Carson City
Nevada (counties):
    Churchill
    Douglas
    Elko
    Eureka
    Humboldt
    Lander
    Pershing
    White Pine
California:
    Lassen
    Madera (Includes only the Devils Postpile National Monument 
portion.)
    Mono (Does not cover locations to which Bridgeport. Calif, special 
schedule applies.)

                              New Hampshire

                               Portsmouth

                               Survey area

New Hampshire:
    Rockingham (except the following cities and towns: Newton; Plaistow; 
Salem; and Westville)
    Stafford
Maine:
    York
Massachusetts:
The following cities and towns in:
    Essex County
    Amesbury
    Georgetown
    Groveland
    Haverhill
    Merrimac
    Newbury
    Newburyport
    North Andover
    Salisbury
    South Byfield
    West Newbury

                 Area of Application. Survey area plus:

New Hampshire:
The following towns in:
    Rockingham County
    Newton
    Plaistow
    Salem

                               New Mexico

Albuquerque

                               Survey area

New Mexico:
    Bernalillo
    Sandoval

                 Area of Application. Survey area plus:

New Mexico:
    Catron
    Cibola
    Colfax

[[Page 421]]

    Curry
    De Baca
    Guadalupe
    Harding
    Lincoln (Does not include White Sands Proving Ground portion.)
    Los Alamos
    Mora
    Quay
    Rio Arriba
    Roosevelt
    San Miguel
    Santa Fe
    Socorro (Does not include White Sands Proving Ground portion.)
    Taos
    Torrance
    Union
    Valencia

                                New York:

                         Albany-Schenectady-Troy

                               Survey area

New York:
    Albany
    Montgomery
    Rensselaer
    Saratoga
    Schenectady

                 Area of Application. Survey area plus:

New York:
    Columbia
    Fulton
    Greene
    Schoharie
    Warren
    Washington

                                 Buffalo

                               Survey area

New York:
    Erie
    Niagara

                 Area of Application. Survey area plus:

New York:
    Cattaraugus
    Chautauqua

                                Newburgh

                               Survey area

New York:
    Dutchess
    Orange
    Ulster

                 Area of Application. Survey area plus:

New York:
    Delaware
    Sullivan

                               Survey Area

New York:
    Bronx
    Kings
    Nassau
    New York
    Queens
    Suffolk
    Westchester
New Jersey:
    Bergen
    Essex
    Hudson
    Middlesex
    Morris
    Passaic
    Somerset
    Union

                 Area of Application. Survey area plus:

New York:
    Putnam
    Richmond
    Rockland
New Jersey:
    Monmouth
    Ocean (excluding the Fort Dix Military Reservation)
    Sussex

                            Northern New York

                               Survey area

New York:
    Clinton
    Franklin
    Jefferson
    St. Lawrence
Vermont:
    Chittenden
    Franklin
    Grand Isle

                 Area of Application. Survey area plus:

New York:
    Essex
    Lewis

                                Rochester

                               Survey Area

New York:
    Livingston
    Monroe
    Ontario
    Orleans
    Steuben
    Wayne

                  Area of Application. Survey Area Plus

New York:
    Allegany
    Chemung
    Genesee
    Schuyler
    Seneca

[[Page 422]]

    Wyoming
    Yates
Pennsylvania:
    Tioga

                             North Carolina

                                Asheville

                               Survey area

North Carolina:
    Buncombe
    Haywood
    Henderson
    Madison
    Transylvania

                 Area of Application. Survey area plus:

North Carolina:
    Avery
    Burke
    Caldwell
    Cherokee
    Clay
    Graham
    Jackson
    McDowell
    Macon
    Mitchell
    Polk
    Rutherford
    Swain
    Yancey

                         Central North Carolina

                               Survey area

North Carolina:
    Cumberland
    Durham
    Edgecombe
    Harnett
    Johnston
    Orange
    Wake
    Wayne
    Wilson

                 Area of Application. Survey area plus:

North Carolina:
    Alamance
    Bladen
    Caswell
    Chatham
    Davidson
    Davie
    Forsyth
    Franklin
    Granville
    Guilford
    Halifax
    Hoke
    Lee
    Montgomery
    Moore
    Nash
    Northampton
    Person
    Randolph
    Richmond
    Robeson
    Rockingham
    Sampson
    Scotland
    Stokes
    Surry
    Vance
    Warren
    Yadkin
South Carolina:
    Dillon
    Marion
    Marlboro

                                Charlotte

                               Survey area

North Carolina:
    Cabarrus
    Gaston
    Mecklenburg
    Rowan
    Union

                 Area of Application. Survey area plus:

North Carolina:
    Alexander
    Anson
    Catawba
    Cleveland
    Iredell
    Lincoln
    Stanly
    Wilkes
South Carolina:
    Chesterfield
    Lancaster
    York

                       Southeastern North Carolina

                               Survey Area

North Carolina:
    Brunswick
    Carteret
    Columbus
    Craven
    Jones
    Lenoir
    New Hanover
    Onslow
    Pamlico
    Pender

                 Area of Application. Survey area plus:

North Carolina:
    Beaufort
    Bertie
    Dare
    Duplin
    Greene
    Hertford
    Hyde

[[Page 423]]

    Martin
    Pitt
    Tyrrell
    Washington
South Carolina:
    Horry

                              North Dakota

                               Survey area

North Dakota:
    Burleigh
    Cass
    Grand Forks
    McLean
    Mercer
    Morton
    Oliver
    Traill
    Ward
Minnesota:
    Clay
    Polk

                 Area of Application. Survey area plus:

North Dakota:
    Adams
    Barnes
    Benson
    Billings
    Bottineau
    Bowman
    Burke
    Cavalier
    Dickey
    Divide
    Dunn
    Eddy
    Emmons
    Foster
    Golden Valley
    Grant
    Griggs
    Hettinger
    Kidder
    La Moure
    Logan
    McHenry
    McIntosh
    McKenzie
    Mountrail
    Nelson
    Pembina
    Pierce
    Ramsey
    Ransom
    Renville
    Richland
    Rolette
    Sargent
    Sheridan
    Sioux
    Slope
    Stark
    Steele
    Stutsman
    Towner
    Walsh
    Wells
    Williams
Minnesota:
    Becker
    Clearwater
    Kittson
    Mahnomen
    Marshall
    Norman
    Otter Tail
    Pennington
    Red Lake
    Roseau
    Wilkin

                                  Ohio

                               Cincinnati

                               Survey area

Ohio:
    Clermont
    Hamilton
    Warren
Kentucky:
    Boone
    Campbell
    Kenton
Indiana:
    Dearborn

                  Area of Application: Survey are plus:

Ohio:
    Adams
    Brown
    Butler
    Highland
Indiana:
    Franklin
    Ohio
    Ripley
    Switzerland
Kentucky:
    Bracken
    Carroll
    Gallatin
    Grant
    Mason
    Pendleton

                                Cleveland

                               Survey area

Ohio:
    Cuyahoga
    Geauga
    Lake
    Medina

                 Area of Application. Survey area plus:

Ohio:
    Ashland
    Ashtabula
    Columbiana
    Erie
    Huron

[[Page 424]]

    Lorain
    Mahoning
    Ottawa
    Portage
    Sandusky
    Senaca
    Stark
    Summit
    Trumbull
    Wayne

                                Columbus

                               Survey area

Ohio:
    Delaware
    Fairfield
    Franklin
    Licking
    Madison
    Pickaway

                 Area of Application. Survey area plus:

Ohio:
    Coshocton
    Crawford
    Fayette
    Guernsey
    Hancock
    Hardin
    Hocking
    Holmes
    Knox
    Marion
    Morrow
    Muskingum
    Perry
    Richland
    Ross
    Union
    Wyandot

                                 Dayton

                               Survey area

Ohio:
    Champaign
    Clark
    Greene
    Miami
    Montgomery
    Preble

                 Area of Application. Survey area plus:

Ohio:
    Auglaize
    Clinton
    Darke
    Logan
    Shelby
Indiana:
    Randolph
    Union
    Wayne

                                Oklahoma

                              Oklahoma City

                               Survey area

Oklahoma:
    Canadian
    Cleveland
    McCain
    Oklahoma
    Pottawatomie

                 Area of Application. Survey area plus:

Oklahoma:
    Alfalfa
    Atoka
    Beckham
    Blaine
    Bryan
    Caddo
    Carter
    Coal
    Custer
    Dewey
    Ellis
    Garfield
    Garvin
    Grady
    Grant
    Harper
    Hughes
    Johnston
    Kingfisher
    Lincoln
    Logan
    Love
    Major
    Marshall
    Murray
    Noble
    Payne
    Pontotoc
    Roger Mills
    Seminole
    Washita
    Woods
    Woodward

                                  Tulsa

                               Survey area

Oklahoma:
    Creek
    Mayes
    Muskogee
    Osage
    Pittsburg
    Rogers
    Tulsa
    Wagoner

                 Area of Application. Survey area plus:

Oklahoma:
    Adair
    Cherokee
    Choctaw

[[Page 425]]

    Craig
    Delaware
    Haskell
    Kay
    Latimer
    LeFlore
    McCurtain
    McIntosh
    Nowata
    Okfuskee
    Okmulgee
    Ottawa
    Pawnee
    Pushmataha
    Sequoyah
    Washington
Arkansas:
    Benton
    Carroll
    Washington

                                 Oregon

                                Portland

                               Survey area

Oregon:
    Clackamas
    Marion
    Multnomah
    Polk
    Washington
Washington:
    Clark

                 Area of Application. Survey area plus:

Oregon:
    Clatsop
    Columbia
    Gilliam
    Hood River
    Sherman
    Tillamook
    Wasco
    Yamhill
Washington:
    Cowlitz
    Klickitat
    Pacific
    Skamania
    Wahkiakum

                           Southwestern Oregon

                               Survey area

Oregon:
    Douglas
    Jackson
    Lane

                 Area of Application. Survey area plus:

Oregon:
    Benton
    Coos
    Crook
    Curry
    Deschutes
    Jefferson
    Josephine
    Klamath
    Lake
    Lincoln
    Linn

                              Pennsylvania

                               Harrisburg

                               Survey Area

Pennsylvania:
    Cumberland
    Dauphin
    Lebanon
    York

                 Area of Application. Survey area plus:

Pennsylvania:
    Adams
    Berks
    Juniata
    Lancaster
    Lycoming (Allenwood Federal Prison Camp portion only.)
    Mifflin
    Montour
    Northumberland
    Perry
    Schuylkill
    Snyder
    Union

                              Philadelphia

                               Survey Area

Pennsylvania:
    Bucks
    Chester
    Delaware
    Montgomery
    Philadelphia
New Jersey:
    Burlington
    Camden
    Gloucester

                 Area of Application. Survey area plus:

Pennsylvania:
    Lehigh
    Northampton
New Jersey:
    Atlantic
    Cape May
    Cumberland
    Hunterdon
    Mercer
    Ocean (Fort Dix Military Reservation only)
    Warren
Pennsylvania:
    Bucks
    Chester
    Delaware
    Montgomery
    Philadelphia

[[Page 426]]

New Jersey:
    Burlington
    Camden
    Gloucester

                 Area of Application. Survey area plus:

Pennsylvania:
    Lehigh
    Northampton
New Jersey:
    Atlantic
    Cape May
    Cumberland
    Hunterdon
    Mercer
    Ocean
    Warren

                               Pittsburgh

                               Survey Area

Pennsylvania:
    Allegheny
    Beaver
    Butler (Effective as of the first day of the month of the first 
full-scale wage survey in the Pittsburgh wage area following April 17, 
1996.)
    Washington
    Westmoreland

                  Area of Application--Survey Area Plus

Pennsylvania:
    Armstrong
    Bedford
    Blair
    Cambria
    Cameron
    Centre
    Clarion
    Clearfield
    Clinton
    Crawford
    Elk
    Erie
    Fayette
    Forest
    Greene
    Huntingdon
    Indiana
    Jefferson
    Lawrence
    McKean
    Mercer
    Potter
    Somerset
    Venango
    Warren
Ohio:
    Belmont
    Carroll
    Harrison
    Jefferson
    Tuscarawas
West Virginia:
    Brooke
    Hancock
    Marshall
    Ohio

                          Scranton-Wilkes-Barre

                               Survey Area

Pennsylvania:
    Lackawanna
    Luzerne
    Monroe

                  Area of Application. Survey Area Plus

Pennsylvania:
    Bradford
    Carbon
    Columbia
    Lycoming (Excluding Allenwood Federal Prison Camp)
    Pike
    Sullivan
    Susquehanna
    Wayne
    Wyoming

                               Puerto Rico

                               Survey Area

Puerto Rico (Municipios):
    San Juan
    Bayamon
    Canovanas
    Carolina
    Catano
    Guaynabo
    Humacao
    Loiza
    Toa Baja
    Trujillo Alto

                    Area of Application: Puerto Rico

                              Rhode Island

                            Narragansett Bay

                               Survey Area

Rhode Island:
    Bristol
    Newport
    The following cities and towns in:
    Kent County
    Anthony
    Coventry
    East Greenwich
    Greene
    Warwick
    West Warwick
    Providence County
    Ashton
    Burrillville
    Central Falls
    Cranston
    Cumberland
    Cumberland Hill
    East Providence
    Esmond

[[Page 427]]

    Forestdale
    Greenville
    Harrisville
    Johnston
    Lincoln
    Manville
    Mapleville
    North Providence
    North Smithfield
    Oakland
    Pascoag
    Pawtucket
    Providence
    Saylesville
    Slatersville
    Smithfield
    Valley Falls
    Wallum Lake
    Woonsocket
    Washington County
    Davisville
    Galilee
    La Fayette
    Narragansett
    North Kingstown
    Point Judith
    Quonset Point
    Saunerstown
    Slocum
Massachusetts:
The following cities and towns in:
    Bristol County
    Attleboro
    Fall River
    North Attleboro
    Rehoboth
    Seekonk
    Somerset
    Swansea
    Westport
    Norfolk County
    Caryville
    Plainville
    South Bellingham
    Worcester County
    Blackstone
    Millville

                 Area of Application. Survey area plus:

Rhode Island:
The following cities and towns in:
    Kent County
    West Greenwich
    Providence County
    Foster
    Glocester
    Scituate
    Washington County
    Charlestown
    Exeter
    New Shoreham
    Richmond
    South Kingstown
Massachusetts:
The following cities and towns in:
    Bristol County
    Acushnet
    Berkley
    Dartmouth
    Dighton
    Fairhaven
    Freetown
    Mansfield
    New Bedford
    Norton
    Raynham
    Taunton

                             South Carolina

                               Charleston

                               Survey Area

South Carolina:
    Berkeley
    Charleston
    Dorchester

                 Area of Application. Survey area plus:

South Carolina:
    Beaufort (The portion north of Broad River.)
    Colleton
    Georgetown
    Williamsburg

                                Columbia

                               Survey area

South Carolina:
    Darlington
    Florence
    Kershaw
    Lee
    Lexington
    Richland
    Sumter

                 Area of Application. Survey area plus:

South Carolina:
    Abbeville
    Anderson
    Calhoun
    Cherokee
    Chester
    Clarendon
    Fairfield
    Greenville
    Greenwood
    Laurens
    Newberry
    Oconee
    Orangeburg
    Pickens
    Saluda
    Spartanburg
    Union

                              SOUTH DAKOTA

                          EASTERN SOUTH DAKOTA

                               Survey Area

South Dakota:

[[Page 428]]

    Minnehaha

                 Area of Application. Survey area plus:

South Dakota:
    Aurora
    Beadle
    Bennett
    Bon Homme
    Brookings
    Brown
    Brule
    Buffalo
    Campbell
    Charles Mix
    Clark
    Clay
    Codington
    Corson
    Davison
    Day
    Deuel
    Dewey
    Douglas
    Edmunds
    Faulk
    Grant
    Gregory
    Haakon
    Hamlin
    Hand
    Hanson
    Hughes
    Hutchinson
    Hyde
    Jerauld
    Jones
    Kingsbury
    Lake
    Lincoln
    Lyman
    McCook
    McPherson
    Marshall
    Mellette
    Miner
    Moody
    Potter
    Roberts
    Sanborn
    Spink
    Stanley
    Sully
    Todd
    Tripp
    Turner
    Union
    Walworth
    Washabaugh
    Yankton
    Ziebach
Iowa:
    Dickinson
    Emmet
    Lyon
    Osceola
Minnesota:
    Jackson
    Lincoln
    Lyon
    Murray
    Nobles
    Pipestone
    Rock

                                Tennessee

                            Eastern Tennessee

                               Survey Area

Tennessee:
    Carter
    Hawkins
    Sullivan
    Unicoi
    Washington
Virginia (city):
    Bristol
Virginia (counties):
    Scott
    Washington

                  Area of Application--Survey Area Plus

Tennessee:
    Cocke
    Greene
    Hancock
    Johnson
Virginia:
    Buchanan
    Grayson
    Lee
    Russell
    Smyth
    Tazewell
North Carolina:
    Alleghany
    Ashe
    Watauga
Kentucky:
    Harlan
    Letcher

                                 Memphis

                               Survey area

Tennessee:
    Shelby
    Tipton
Arkansas:
    Crittenden
    Mississippi
Mississippi:
    De Soto

                 Area of Application. Survey area plus:

Tennessee:
    Carroll
    Chester
    Crockett
    Dyer
    Fayette
    Gibson
    Hardeman
    Hardin

[[Page 429]]

    Haywood
    Lake
    Lauderdale
    Madison
    McNairy
    Obion
Arkansas:
    Craighead
    Cross
    Lee
    Poinsett
    St. Francis
Mississippi:
    Benton
    Lafayette (Holly Springs National Forest portion only.)
    Marshall
    Pontotoc (Holly Springs National Forest portion only.)
    Tate
    Tippah
    Tunica
    Union (Holly Springs National Forest portion only.)
Missouri:
    Dunklin
    Pemiscot

                                Nashville

                               Survey area

Tennessee:
    Cheatham
    Davidson
    Dickson
    Montgomery
    Robertson
    Rutherford
    Sumner
    Williamson
    Wilson
Kentucky:
    Christian

                 Area of Application. Survey area plus:

Tennessee:
    Anderson
    Bedford
    Benton
    Bledsoe
    Blount
    Bradley
    Campbell
    Cannon
    Claiborne
    Clay
    Coffee
    Cumberland
    Decatur
    DeKalb
    Fentress
    Grainger
    Grundy
    Hamblen
    Hamilton
    Henderson
    Henry
    Hickman
    Houston
    Humphreys
    Jackson
    Jefferson
    Knox
    Lewis
    Loudon
    McMinn
    Macon
    Marion
    Marshall
    Maury
    Meigs
    Monroe
    Morgan
    Overton
    Perry
    Pickett
    Polk
    Putnam
    Rhea
    Roane
    Scott
    Sequatchie
    Sevier
    Smith
    Stewart
    Trousdale
    Union
    Van Buren
    Warren
    Weakley
    White
Kentucky:
    Adair
    Allen
    Ballard
    Barren
    Butler
    Caldwell
    Calloway
    Carlisle
    Clinton
    Cumberland
    Edmonson
    Fulton
    Graves
    Hickman
    Hopkins
    Logan
    Lyon
    McCracken
    Marshall
    Metcalfe
    Monroe
    Muhlenberg
    Russell
    Simpson
    Todd
    Trigg
    Warren
Georgia:
    Catossa
    Dade
    Walker

[[Page 430]]

                                  Texas

                                 Austin

                               Survey area

Texas:
    Hays
    Milam
    Travis
    Williamson

                 Area of Application. Survey area plus:

Texas:
    Bastrop
    Blanco
    Burleson
    Burnet
    Caldwell
    Fayette
    Lampasas
    Lee
    Llano
    Mason
    San Saba

                             Corpus Christi

                               Survey Area

Texas:
    Nueces
    San Patricio

                  Area of Application--Survey Area Plus

Texas:
    Aransas
    Bee
    Brooks (Effective as of the first day of the first applicable pay 
period beginning on or after April 17, 1996.
    Calhoun
    Cameron (Effective as of the first day of the first applicable pay 
period beginning on or after April 17, 1996.
    Goliad
    Hidalgo (Effective as of the first day of the first applicable pay 
period beginning on or after April 17, 1996.
    Jim Wells
    Kenedy (Effective as of the first day of the first applicable pay 
period beginning on or after April 17, 1996.
    Kleberg
    Live Oak
    Refugio
    Starr (Effective as of the first day of the first applicable pay 
period beginning on or after April 17, 1996.
    Victoria
    Willacy (Effective as of the first day of the first applicable pay 
period beginning on or after April 17, 1996.

                            Dallas-Fort Worth

                               Survey area

Texas:
    Collin
    Dallas
    Denton
    Ellis
    Grayson
    Hood
    Johnson
    Kaufman
    Parker
    Rockwall
    Tarrant
    Wise

                 Area of Application. Survey area plus:

Texas:
    Cooke
    Delta
    Erath
    Fannin
    Henderson
    Hopkins
    Hunt
    Jack
    Lamar
    Montague
    Navarro
    Palo Pinto
    Rains
    Smith
    Somervell
    Van Zandt
    Wood

                                 El Paso

                               Survey area

Texas:
    El Paso
New Mexico:
    Dona Ana
    Otero

                 Area of Application. Survey area plus:

New Mexico:
    Chaves
    Eddy
    Grant
    Hidalgo
    Lincoln (Only White Sands Proving Ground portions.)
    Luna
    Sierra
    Socorro (Only White Sands Proving Ground portions.)
Texas:
    Culberson
    Hudspeth

                      Houston-Galveston-Texas City

                               Survey area

Texas:
    Brazoria
    Fort Bend
    Galveston
    Harris

[[Page 431]]

    Liberty
    Montgomery
    Waller

                 Area of Application. Survey area plus:

Texas:
    Angelina
    Austin
    Chambers
    Colorado
    Grimes
    Hardin
    Houston
    Jackson
    Jasper
    Jefferson
    Lavaca
    Madison
    Matagorda
    Nacogdoches
    Newton
    Orange
    Polk
    Sabine
    San Augustine
    San Jacinto
    Shelby
    Trinity
    Tyler
    Walker
    Washington
    Wharton

                               San Antonio

                               Survey Area

Texas:
    Bexar
    Comal
    Guadalupe

                  Area of Application--Survey Area Plus

Texas:
    Atascosa
    Bandera
    De Witt
    Dimmit
    Duval
    Edwards
    Frio
    Gillespie
    Gonzales
    Jim Hogg
    Karnes
    Kendall
    Kerr
    Kinney
    La Salle
    McMullen
    Maverick
    Medina
    Real
    Uvalde
    Val Verde
    Webb
    Wilson
    Zapata
    Zavala

                                Texarkana

                               Survey area

Texas:
    Bowie
Arkansas:
    Little River
    Miller

                 Area of Application. Survey area plus:

Texas:
    Camp
    Cass
    Franklin
    Marion
    Morris
    Red River
    Titus
    Upshur
Arkansas:
    Columbia
    Hempstead
    Howard
    Lafayette
    Nevada
    Sevier

                                  Waco

                               Survey Area

Texas:
    Bell
    Coryell
    McLennan

                 Area of Application. Survey area plus:

Texas:
    Anderson
    Bosque
    Brazos
    Falls
    Freestone
    Hamilton
    Hill
    Leon
    Limestone
    Mills
    Robertson

                              Western Texas

                               Survey area

Texas:
    Callahan
    Ector
    Howard
    Jones
    Lubbock
    Midland
    Nolan
    Taylor
    Tom Green

[[Page 432]]

                 Area of Application. Survey area plus:

Texas:
    Andrews
    Armstrong
    Bailey
    Borden
    Brewster
    Briscoe
    Brown
    Carson
    Castro
    Childress
    Cochran
    Coke
    Coleman
    Collingsworth
    Comanche
    Concho
    Cottle
    Crane
    Crockett
    Crosby
    Dallam
    Dawson
    Deaf Smith
    Dickens
    Donley
    Eastland
    Fisher
    Floyd
    Gaines
    Garza
    Glasscock
    Gray
    Hale
    Hall
    Hansford
    Hartley
    Haskell
    Hemphill
    Hockley
    Hutchinson
    Irion
    Jeff Davis
    Kent
    Kimble
    King
    Lamb
    Lipscomb
    Loving
    Lynn
    McCulloch
    Martin
    Menard
    Mitchell
    Moore
    Motley
    Ochiltree
    Oldham
    Parmer
    Pecos
    Potter
    Presidio
    Randall
    Reagan
    Reeves
    Roberts
    Runnels
    Schleicher
    Scurry
    Shackelford
    Sherman
    Stephens
    Sterling
    Stonewall
    Sutton
    Swisher
    Terrell
    Terry
    Throckmorton
    Upton
    Ward
    Wheeler
    Winkler
    Yoakum
Oklahoma:
    Beaver
    Cimarron
    Texas
New Mexico:
    Lea

               Wichita Falls, Texas--Southwestern Oklahoma

                               Survey area

Texas:
    Archer
    Clay
    Wichita
Oklahoma:
    Comanche
    Cotton
    Stephens
    Tillman

                 Area of Application. Survey area plus:

Texas:
    Baylor
    Foard
    Hardeman
    Knox
    Wilbarger
    Young
Oklahoma:
    Greer
    Harmon
    Jackson
    Jefferson
    Kiowa

                                  Utah

                               Survey Area

Utah:
    Box Elder
    Davis
    Salt Lake
    Tooele
    Utah
    Weber

    Area of Application. Survey area plus:


[[Page 433]]


Utah:
    Beaver
    Cache
    Carbon
    Daggett
    Duchesne
    Emery
    Garfield
    Grand
    Iron
    Juab
    Millard
    Morgan
    Piute
    Rich
    San Juan (Only includes the Canyonlands National Park portion.)
    Sanpete
    Sevier
    Summit
    Uintah
    Wasatch
    Washington
    Wayne
Colorado:
    Mesa
    Moffat

                                Virginia

                 Norfolk-Portsmouth-Newport News-Hampton

                               Survey area

Virginia (cities):
    Chesapeake
    Hampton
    Newport News
    Norfolk
    Poquoson
    Portsmouth
    Suffolk
    Virginia Beach
    Williamsburg
Virginia (counties):
    Gloucester
    James City
    York
North Carolina:
    Currituck

                 Area of Application. Survey area plus:

Virginia (cities):
    Franklin
Virginia (counties):
    Accomack
    Isle of Wight
    Mathews
    Northampton
    Southampton
    Surry
North Carolina:
    Camden
    Chowan
    Gates
    Pasquotank
    Perquimans
Maryland:
    Assateague Island part of Worcester

                                Richmond

                               Survey area

Virginia (cities):
    Colonial Heights
    Hopewell
    Petersburg
    Richmond
Virginia (counties):
    Charles City
    Chesterfield
    Dinwiddie
    Goochland
    Hanover
    Henrico
    New Kent
    Powhatan
    Prince George

                 Area of Application. Survey area plus:

Virginia (cities):
    Charlottesville
    Emporia
    Fredericksburg
Virginia (counties):
    Albemarle
    Amelia
    Brunswick
    Buckingham
    Caroline
    Charlotte
    Cumberland
    Essex
    Fluvanna
    Greensville
    King and Queen
    King William
    Lancaster
    Louisa
    Lunenberg
    Mecklenburg
    Middlesex
    Northumberland
    Nottoway
    Orange
    Prince Edward
    Richmond
    Spotsylvania
    Sussex
    Westmoreland

                                 Roanoke

                               Survey area

Virginia (cities):
    Radford
    Roanoke
    Salem
Virginia (counties):
    Botetourt
    Craig
    Montgomery
    Roanoke

[[Page 434]]

                 Area of Application. Survey area plus:

Virginia (cities):
    Bedford
    Buena Vista
    Clifton Forge
    Covington
    Danville
    Galax
    Lexington
    Lynchburg
    Martinsville
    South Boston
    Staunton
    Waynesboro
Virginia (counties):
    Alleghany
    Amherst
    Appomattox
    Augusta
    Bath
    Bedford
    Bland
    Campbell
    Carroll
    Floyd
    Franklin
    Giles
    Halifax
    Henry
    Highland
    Nelson
    Patrick
    Pittsylvania
    Pulaski
    Rockbridge
    Wythe

                               Washington

                         Seattle-Everett-Tacoma

                               Survey area

Washington:
    King
    Kitsap
    Pierce
    Snohomish

                 Area of Application. Survey area plus:

Washington:
    Chelan (North Cascades Park section only.)
    Clallam
    Grays Harbor
    Island
    Jefferson
    Lewis
    Mason
    San Juan
    Skagit
    Thurston
    Whatcom

                 Southeastern Washington-Eastern Oregon

                               Survey area

Washington:
    Benton
    Franklin
    Walla Walla
    Yakima
Oregon:
    Umatilla

                 Area of Application. Survey area plus:

Oregon:
    Baker
    Grant
    Harney
    Malheur
    Morrow
    Union
    Wallowa
    Wheeler
Washington:
    Kittitas (Only includes the Yakima Firing Range portion.)

                                 Spokane

                               Survey area

Washington:
    Spokane

                 Area of Application. Survey area plus:

Washington:
    Adams
    Asotin
    Chelan (Excluding North Cascades Park.)
    Columbia
    Douglas
    Ferry
    Garfield
    Grant
    Kittitas (Does not include the Yakima Firing Range portion.)
    Lincoln
    Okanogan
    Pend Oreille
    Stevens
    Whitman
Idaho:
    Benewah
    Bonner
    Boundary
    Clearwater
    Idaho
    Kootenai
    Latah
    Lewis
    Nez Perce
    Shoshone

                              West Virginia

                               Survey Area

West Virginia:
    Cabell
    Harrison
    Kanawha
    Marion
    Monongalia
    Putnam

[[Page 435]]

    Wayne
Ohio:
    Lawrence
Kentucky:
    Boyd
    Greenup

                  Area of Application--Survey Area Plus

West Virginia:
    Barbour
    Boone
    Braxton
    Calhoun
    Clay
    Doddridge
    Fayette
    Gilmer
    Grant
    Greenbrier
    Jackson
    Lewis
    Lincoln
    Logan
    McDowell
    Mason
    Mercer
    Mingo
    Monroe
    Nicholas
    Pendleton
    Pleasants
    Pocahontas
    Preston
    Raleigh
    Randolph
    Ritchie
    Roane
    Summers
    Taylor
    Tucker
    Tyler
    Upshur
    Webster
    Wetzel
    Wirt
    Wood
    Wyoming
Ohio:
    Athens
    Gallia
    Jackson
    Meigs
    Monroe
    Morgan
    Noble
    Pike
    Scioto
    Vinton
    Washington
Kentucky:
    Carter
    Elliott
    Floyd
    Johnson
    Lawrence
    Lewis
    Magoffin
    Martin
    Pike
Virginia (city):
    Norton (Effective as of April 17, 1996.
Virginia (counties):
    Dickenson
    Wise

                                Wisconsin

                                 Madison

                               Survey area

Wisconsin:
    Dane

                 Area of Application. Survey area plus:

Wisconsin:
    Columbia
    Dodge
    Grant
    Green
    Green Lake
    Iowa
    Jefferson
    Lafayette
    Marquette
    Rock
    Sauk

                                Milwaukee

                               Survey Area

Wisconsin:
    Milwaukee
    Ozaukee
    Washington
    Waukesha

                 Area of Application. Survey area plus:

Wisconsin:
    Brown
    Calumet
    Door
    Fond du Lac
    Kenosha
    Kewaunee
    Manitowoc
    Outagamie
    Racine
    Sheboygan
    Walworth
    Winnebago

                         Southwestern Wisconsin

                               Survey area

Wisconsin:
    Chippewa
    Eau Claire
    La Crosse
    Monroe
    Trempealeau

                 Area of Application. Survey area plus:

Wisconsin:

[[Page 436]]

    Adams
    Barron
    Buffalo
    Clark
    Crawford
    Dunn
    Florence
    Forest
    Jackson
    Juneau
    Langlade
    Lincoln
    Marathon
    Marinette
    Menominee
    Oconto
    Oneida
    Pepin
    Portage
    Price
    Richland
    Rusk
    Shawano
    Taylor
    Vernon
    Vilas
    Waupaca
    Waushara
    Wood
Minnesota:
    Fillmore
    Houston
    Wabasha
    Winona

                                 WYOMING

                               Survey Area

Wyoming:
    Albany
    Laramie
    Natrona
South Dakota:
    Pennington

                 Area of application. Survey area plus:

Wyoming:
    Campbell
    Carbon
    Converse
    Crook
    Fremont
    Goshen
    Hot Springs
    Johnson
    Lincoln
    Niobrara
    Platte
    Sheridan
    Sublette
    Sweetwater
    Uinta
    Washakie
    Weston
Nebraska:
    Banner
    Box Butte
    Cheyenne
    Dawes
    Deuel
    Garden
    Kimball
    Morrill
    Scotts Bluff
    Sheridan
    Sioux
South Dakota:
    Butte
    Custer
    Fall River
    Harding
    Jackson
    Lawrence
    Meade
    Perkins
    Shannon

[46 FR 21344, Apr. 10, 1981]

    Editorial Note: For Federal Register citations affecting Appendix C 
to subpart B of part 532, see the List of CFR Sections Affected, which 
appears in the Finding Aids section of the printed volume and on GPO 
Access.

   Appendix D to Subpart B of Part 532--Nonappropriated Fund Wage and 
                              Survey Areas

    This appendix lists the wage area definitions for NAF employees. 
With a few exceptions, each area is defined in terms of county units or 
independent cities. Each wage area definition consists of:
    (1) Wage area title. Wage areas usually carry the title of the 
county or counties surveyed.
    (2) Survey area definition. Lists each county or independent city in 
the survey area.
    (3) Area of application definition. Lists each county or independent 
city which, in addition to the survey area, is in the area of 
application.

                DEFINITIONS OF WAGE AND WAGE SURVEY AREAS

                                 Alabama

                                 Calhoun

                               Survey area

Alabama:
    Calhoun

                 Area of Application. Survey area plus:

Alabama:
    Jefferson

                                 Madison

                               Survey area

Alabama:
    Madison

[[Page 437]]

                 Area of Application. Survey area plus:

Tennessee:
    Coffee
    Davidson
    Hamilton
    Rutherford

                               Montgomery

                               Survey area

Alabama:
    Montgomery

                  Area of Application Survey area plus:

Alabama:
    Dale
    Dallas
    Macon

                                 Alaska

                                Anchorage

                               Survey Area

Alaska: (Borough)
    Anchorage
    Area of application. Survey area plus:
Alaska: (Boroughs and census areas)
    Fairbanks North Star
    Juneau
    Kenai Peninsula
    Ketchikan Gateway
    Kodiak Island
    Sitka
    Southeast Fairbanks
    Valdez-Cordova
    Yukon-Koyukuk

                                 Arizona

                                Maricopa

                               Survey area

Arizona:
    Maricopa

                 Area of Application. Survey area plus:

Arizona:
    Coconino
    Yavapai

                                  Pima

                               Survey area

Arizona:
    Pima

                 Area of Application. Survey area plus:

Arizona:
    Cochise
    Yuma

                 Area of Application. Survey area plus:

California:
    Imperial

                    Area of Application. Survey area.

                                Arkansas

                                 Pulaski

                               Survey area

Arkansas:
    Pulaski

                 Area of Application. Survey area plus:

                                Arkansas:

    Jefferson
    Sebastian
    Washington

                               California

                                  Kern

                               Survey Area

California:
    Kern

                  Area of Application. Survey Area Plus

California:
    Fresno
    Kings

                               Los Angeles

                               Survey area

California:
    Los Angeles

                    Area of Application. Survey area.

California:
    Del Norte
    Humboldt
    Mendocino

                                Monterey

                               Survey area

California:
    Monterey

                    Area of Application. Survey area.

                                 Orange

                               Survey area

California:
    Orange

                    Area of Application. Survey area.

                                Riverside

                               Survey area

California:
    Riverside

[[Page 438]]

                    Area of Application. Survey area.

                               Sacramento

                               Survey area

California:
    Sacramento

                 Area of Application. Survey area plus:

California:
    Yuba
Oregon:
    Jackson
    Klamath

                             San Bernardino

                               Survey area

California:
    San Bernardino

                    Area of Application. Survey area.

                                San Diego

                               Survey area

California:
    San Diego

                    Area of Application. Survey area.

                               San Joaquin

                               Survey area

California:
    San Joaquin

                    Area of Application. Survey area.

                              Santa Barbara

                               Survey area

California:
    Santa Barbara

                 Area of Application. Survey area plus:

California:
    San Luis Obispo

                               Santa Clara

                               Survey area

California:
    Santa Clara

                 Area of application. Survey area plus:

California:
    Alameda
    Contra Costa
    San Francisco
    San Mateo

                                 Solano

                               Survey Area

California:
    Solano

                 Area of Application. Survey area plus:

California:
    Marin
    Napa
    Sonoma

                                 Ventura

                               Survey area

California:
    Ventura

                    Area of Application. Survey area:

                                Colorado

                              Adams-Denver

                               Survey area

Colorado:
    Adams
    Denver

                 Area of Application. Survey area plus:

Colorado:
    Arapahoe
    Mesa

                                 El Paso

                               Survey area

Colorado:
    El Paso

                 Area of Application. Survey area plus:

Colorado:
    Bent
    Otero
    Pueblo

                               Connecticut

                               New London

                               Survey area

Connecticut:
    New London

                 Area of Application. Survey area plus:

Connecticut:
    New Haven

                                Delaware

                                  Kent

                               Survey area

    Delaware:
    Kent

                    Area of Application. Survey area.

Delaware:
    Sussex
Maryland:
    Kent

[[Page 439]]

                          District of Columbia

                               Survey area

District of Columbia:
    Washington, DC

                    Area of Application. Survey area.

                                 Florida

                                   Bay

                               Survey area

Florida
    Bay

                    Area of Application. Survey area.

                                 Brevard

                               Survey area

Florida:
    Brevard

                    Area of Application. Survey area.

                                  Dade

                               Survey area

Florida:
    Dade

                 Area of Application. Survey area plus:

Florida:
    Palm Beach

                                  Duval

                               Survey area

Florida:
    Duval

                 Area of Application. Survey area plus:

Florida:
    Alachua
    Clay
    Columbia
Georgia:
    Camden

                                Escambia

                               Survey area

Florida:
    Escambia

                 Area of Application. Survey area plus:

Florida:
    Santa Rosa

                              Hillsborough

                               Survey area

Florida:
    Hillborough

                 Area of Application. Survey area plus:

Florida:
    Pinellas
    Polk

                                 Monroe

                               Survey area

Florida:
    Monroe

                    Area of Application. Survey area.

                                Okaloosa

                               Survey area

Florida:
    Okaloosa

                 Area of Application. Survey area plus:

                                 Florida

    Walton

                                 Orange

                               Survey area

Florida:
    Orange

                    Area of Application. Survey area.

                                 Georgia

                                 Chatham

                               Survey area

Georgia:
    Chatham

                 Area of Application. Survey area plus:

Georgia:
    Glynn
    Liberty
South Carolina:
    Beaufort

                           Clayton-Cobb-Fulton

                               Survey area

Georgia:
    Clayton
    Cobb
    Fulton

                 Area of Application. Survey area plus:

Georgia:
    Bartow
    Clarke
    De Kalb

                                Columbus

                               Survey area

Georgia:
    Columbus

[[Page 440]]

                 Area of application: Survey area plus:

Georgia:
    Chattahoochee

                                Dougherty

                               Survey area

Georgia:
    Doughtery

                    Area of application. Survey area.

                                 Houston

                               Survey area

Georgia:
    Houston

                 Area of application. Survey area plus:

Georgia:
    Laurens

                                 Lowndes

                               Survey area

Georgia:
    Lowndes

                    Area of application. Survey area.

                                Richmond

                               Survey area

Georgia:
    Richmond

                 Area of application: Survey area plus:

South Carolina:
    Aiken

                                  Guam

                               Survey area

Guam

                    Area of application: Survey area.

                                 Hawaii

                                Honolulu

                               Survey area

Hawaii:
    Honolulu

                 Area of application. Survey area plus:

Hawaii (counties):
    Hawaii
    Kauai
    Maui
Pacific Islands
Midway Island
Johnston Island
American Samoa

                                  Idaho

                               Ada-Elmore

                               Survey area

Idaho:
    Ada
    Elmore

                    Area of application. Survey area.

                                Illinois

                        Illinois Lake Survey Area

Illinois:
    Lake

                 Area of application. Survey area plus:

Illinois:
    Cook
    Vermilion (Effective date December 13, 1996)
Michigan:
    Dickinson
    Marquette
Wisconsin:
    Dane
    Milwaukee

                               Rock Island

                               Survey area

Illinois:
    Rock Island

                 Area of application. Survey area plus:

Illinois:
    Carroll
Iowa:
    Johnson

                                St. Clair

                               Survey area

Illinois:
    St. Clair

                 Area of application. Survey area plus:

Illinois:
    Madison
    Williamson
Missouri: (cities)
    St. Louis
Missouri: (counties)
    Jefferson
    Pulaski

                                 Kansas

                                Sedgwick

                               Survey area

Kansas:
    Sedgwick

                 Area of application. Survey area plus:

Kansas:

[[Page 441]]

    Geary
    Saline

                       Leavenworth/Jackson-Johnson

                               Survey area

Kansas:
    Leavenworth
Missouri:
    Jackson
    Johnson

                 Area of application: Survey area plus:

Kansas:
    Shawnee
Missouri:
    Boone
    Camden
    Cass

                                Kentucky

                          Christian-Montgomery

                               Survey area

Kentucky:
    Christian
Tennessee:
    Montgomery

                    Area of application. Survey area.

                      Hardin-Jefferson Survey Area

Kentucky:
    Hardin
    Jefferson

                 Area of application. Survey area plus:

Indiana:
    Jefferson
    Martin (Effective date December 13, 1996)
Kentucky:
    Fayette
    Madison
    Warren

                                Louisiana

                              Bossier-Caddo

                               Survey area

Louisiana:
    Bossier
    Caddo

                 Area of application. Survey area plus:

Texas:
    Bowie

                                 Orleans

                               Survey area

Louisiana:
    Orleans

                 Area of application. Survey area plus:

                                Louisiana

    Plaquemines

                                 Rapides

                               Survey area

Louisiana:
    Rapides

                 Area of application. Survey area plus:

Louisiana:
    Vernon

                                  Maine

                               Cumberland

                               Survey area

Maine:
    Cumberland

                 Area of application. Survey area plus:

Maine:
    Aroostook
    Hancock
    Kennebec
    Knox
    Penobscot
    Sagadahoc
    Washington

                                  York

                               Survey area

Maine:
    York

                 Area of application. Survey area plus:

New Hampshire:
    Rockingham
Vermont:
    Windsor

                                Maryland

                              Anne Arundel

                               Survey area

Maryland:
    Anne Arundel

                 Area of application. Survey area plus:

Maryland: (cities)
    Baltimore
Maryland: (counties)
    Baltimore

                            Charles-St. Marys

                               Survey area

Maryland:
    Charles
    St. Marys

[[Page 442]]

                  Area of application. Survey are plus:

Maryland:
    Calvert
Virginia:
    King George

                                Frederick

                               Survey Area

Maryland:
    Frederick

                 Area of Application. Survey area plus:

West Virginia:
    Berkeley

                                 Harford

                               Survey area

Maryland:
    Harford

                 Area of application. Survey area plus:

Maryland:
    Cecil

                        Montgomery-Prince Georges

                               Survey area

Maryland:
    Montgomery
    Prince Georges

                    Area of application. Survey area.

                              Massachusetts

                                 Hampden

                               Survey area

Massachusetts:
    Hampden

                 Area of application. Survey area plus:

Connecticut:
    Hartford
Massachusetts:
    Hampshire

                                Middlesex

                               Survey Area

Massachusetts:
    Middlesex

                 Area of application. Survey area plus:

Massachusetts:
    Norfolk
    Plymouth
    Suffolk
New Hampshire:
    Hillsborough

                                Michigan

                                 Macomb

                               Survey area

Michigan:
    Macomb

                 Area of application. Survey area plus:

Michigan:
    Alpena
    Calhoun
    Crawford
    Grand Traverse
    Huron
    Iosco
    Leelanau
    Ottawa
    Saginaw
    Washtenaw
    Wayne
Ohio:
    Ottawa

                                Minnesota

                                Hennepin

                               Survey area

Minnesota:
    Hennepin

                 Area of application. Survey area plus:

Minnesota:
    Morrison
    Murray
    Ramsey
    Stearns
    St. Louis
Wisconsin:
    Juneau
    Monroe
    Polk

                               Mississippi

                                Harrison

                               Survey area

Mississippi:
    Harrison

                 Area of application. Survey area plus:

Alabama:
    Mobile
Mississippi:
    Forest
    Jackson

                               Lauderdale

                               Survey area

Mississippi:
    Lauderdale

                 Area of application. Survey area plus:

Mississippi:

[[Page 443]]

    Hinds
    Rankin
    Warren

                                 Lowndes

                               Survey area

Mississippi:
    Lowndes

                     Area of application area plus:

Alabama:
    Tuscaloosa

                                 Montana

                                 Cascade

                               Survey area

Montana:
    Cascade

                 Area of application. Survey area plus:

Montana:
    Fergus
    Flathead
    Hill
    Lewis and Clark
    Valley
    Yellowstone

                                Nebraska

                              Douglas-Sarpy

                               Survey area

Nebraska:
    Douglas
    Sarpy

                 Area of application. Survey area plus:

Iowa:
    Marion
    Polk
    Woodbury
Nebraska:
    Hall
    Lancaster
    Saunders
South Dakota:
    Minnehaha

                                 Nevada

                            Churchill-Washoe

                               Survey area

Nevada:
    Churchill
    Washoe

                 Area of Application. Survey area plus:

California:
    Lassen
    Mono
Nevada:
    Mineral

                                  Clark

                               Survey area

Nevada:
    Clark

                    Area of Application. Survey area.

New Jersey
Burlington
Survey Area
New Jersey:
    Burlington
    Area of Application. Survey area plus:
Delaware:
    New Castle
New Jersey:
    Atlantic
    Ocean

                                Monmouth

                               Survey area

New Jersey:
    Monmouth

                    Area of Application. Survey area.

                                 Morris

                               Survey area

New Jersey:
    Morris

                 Area of Application. Survey area plus:

New Jersey:
    Somerset
Pennsylvania:
    Monroe

                                  Ocean

                               Survey area

New Jersey:
    Ocean

                    Area of Application. Survey area.

                               New Mexico

                               Bernalillo

                               Survey area

New Mexico:
    Bernalillo

                 Area of Application. Survey area plus:

New Mexico:
    McKinley

                                  Curry

                               Survey area

New Mexico:
    Curry

                 Area of Application. Survey area plus:

Texas:

[[Page 444]]

    Lubbock
    Potter

                                Dona Ana

                               Survey area

New Mexico:
    Dona Ana

                 Area of Application. Survey area plus:

New Mexico:
    Chaves
    Otero

                                New York

                          Jefferson Survey Area

New York
    Jefferson

                  Area of Application. Survey Area Plus

New York
    Albany
    Oneida
    Onondaga
    Ontario
    Schenectady
    Steuben

                              Kings-Queens

                               Survey area

New York:
    Kings
    Queens

                 Area of Application. Survey area plus:

New Jersey:
    Essex
    Hudson
New York:
    Bronx
    Nassau
    New York
    Richmond
    Suffolk

                                 Niagara

                               Survey area

New York:
    Niagara

                 Area of Application. Survey area plus:

New York:
    Erie
    Genesee
Pennsylvania:
    Erie

                                 Orange

                               Survey area

New York:
    Orange

                 Area of Application. Survey area plus:

New York:
    Dutchess
    Westchester

                             North Carolina

                                 Craven

                               Survey area

North Carolina:
    Craven

                 Area of Application. Survey area plus:

North Carolina:
    Carteret
    Dare
    Onslow

                               Cumberland

                               Survey area

North Carolina:
    Cumberland

                 Area of Application. Survey area plus:

North Carolina:
    Durham
    Rowan

                                 Onslow

                               Survey Area

North Carolina:
    Onslow

                 Area of Application. Survey area plus:

North Carolina:
    New Hanover (Effective date March 31, 1993)

                                  Wayne

                               Survey area

North Carolina:
    Wayne

                 Area of Application. Survey area plus:

North Carolina:
    Halifax

                              North Dakota

                               Grand Forks

                               Survey area

North Dakota:
    Grand Forks

                 Area of Application. Survey area plus:

North Dakota:
    Cass
    Cavalier
    Pembina
    Steele

[[Page 445]]

                                  Ward

                               Survey area

North Dakota:
    Ward

                 Area of Application. Survey area plus:

North Dakota:
    Divide

                                  Ohio

                      Greene-Montgomery Survey Area

Ohio:
    Greene
    Montgomery

                 Area of application. Survey area plus:

Indiana:
    Allen
    Grant
    Marion
    Miami
Ohio:
    Clinton
    Franklin
    Hamilton
    Licking
    Ross
West Virginia:
    Raleigh
    Wayne

                                Oklahoma

                                Comanche

                               Survey area

Oklahoma:
    Comanche

                 Area of Application. Survey area plus:

Oklahoma:
    Cotton
    Jackson

                                Oklahoma

                               Survey area

Oklahoma:
    Oklahoma

                 Area of Application. Survey area plus:

Oklahoma:
    Garfield
    Muskogee
    Pittsburg

                              Pennsylvania

                                Allegheny

                               Survey area

Pennsylvania:
    Allegheny

                 Area of Application. Survey area plus:

Ohio:
    Cuyahoga
    Trumbull
Pennsylvania:
    Butler
    Westmoreland
West Virginia:
    Harrison

                               Montgomery

                               Survey area

Pennsylvania:
    Montgomery
    Survey area
Pennsylvania:
    Montgomery
    Area of Application. Survey area plus:
Pennsylvania:
    Bucks
    Chester
    Luzerne
    Philadelphia

                               Cumberland

                               Survey area

Pennsylvania:
    Cumberland

                 Area of Application. Survey area plus:

Pennsylvania:
    Blair,Franklin

                                  York

                               Survey area

Pennsylvania:
    York

                 Area of Application. Survey area plus:

Pennsylvania:
    Lebanon

                               Puerto Rico

                            Guaynabo-San Juan

                               Survey area

Puerto Rico: (municipalities)
    Guaynabo
    San Juan

                 Area of application. Survey area plus:

Puerto Rico: (municipalities)
    Aguadilla
    Isabela
    Ponce
    Salinas
    Toa Baja
    Ceiba
    Vieques
U.S. Virgin Islands:
    St. Croix
    St. Thomas

[[Page 446]]

                              Rhode Island

                                 Newport

                               Survey Area

Rhode Island:
    Newport

                 Area of application. Survey area plus:

Massachusetts:
    Barnstable
    Nantucket
Rhode Island:
    Providence
    Washington

                             South Carolina

                               Charleston

                               Survey Area

South Carolina:
    Charleston

                 Area of Application. Survey area plus:

South Carolina:
    Berkeley
    Horry (Effective date March 31, 1993)

                                Richland

                               Survey area

South Carolina:
    Richland

                 Area of Application. Survey area plus:

North Carolina:
    Buncombe
South Carolina:
    Sumpter
Tennessee:
    Washington

                              South Dakota

                               Pennington

                               Survey area

South Dakota:
    Pennington

                 Area of Application. Survey area plus:

Montana:
    Custer
South Dakota:
    Fall River
    Meade
Wyoming:
    Sheridan

                                Tennessee

                                 Shelby

                               Survey area

Tennessee:
    Shelby

                 Area of Application. Survey area plus:

Arkansas:
    Mississippi
Missouri:
    Butler

                                  Texas

                                  Bell

                               Survey area

Texas:
    Bell

                 Area of Application. Survey area plus:

Texas:
    Burnet (Effective date October 1, 1993.)
    Coryell
    Falls

                                  Bexar

                               Survey area

Texas:
    Bexar

                 Area of Application. Survey area plus:

Texas:
    Comal
    Kerr
    Travis (Effective date October 1, 1993.)
    Val Verde

                                 Dallas

                               Survey area

Texas:
    Dallas

                 Area of Application. Survey area plus:

Texas:
    Fannin
    Galveston
    Harris

                                 El Paso

                               Survey area

Texas:
    El Paso

                    Area of Application. Survey area.

                                 Nueces

                               Survey area

Texas:
    Nueces

                 Area of Application. Survey area plus:

Texas:
    Bee
    Calhoun
    Kleberg
    San Patricio
    Webb

[[Page 447]]

                                 Tarrant

                               Survey area

Texas:
    Tarrant

                 Area of Application. Survey area plus:

Texas:
    Cooke
    Palo Pinto

                                 Taylor

                               Survey area

Texas:
    Taylor

                    Area of Application. Survey area.

                                Tom Green

                               Survey area

Texas:
    Tom Green

                 Area of Application. Survey area plus:

Texas:
    Howard

                                 Wichita

                               Survey area

Texas:
    Wichita

                    Area of Application. Survey area.

                                  Utah

                          Davis-Salt Lake-Weber

                               Survey area

Utah:
    Davis
    Salt Lake
    Weber

                 Area of Application. Survey area plus:

Utah:
    Box Elder
    Tooele
    Uintah

                                Virginia

                      Alexandria-Arlington-Fairfax

                               Survey area

Virginia: (cities)
    Alexandria
Virginia: (counties)
    Arlington
    Fairfax

                    Area of Application. Survey area.

                          Chesterfield-Richmond

                               Survey area

Virginia: (cities)
    Richmond
Virginia: (counties)--
    Chesterfield

                 Area of Application. Survey area plus:

Virginia: (cities)
    Bedford
    Charlottesville
    Salem
Virginia: (counties)
    Caroline
    Nottoway
    Prince George
West Virginia:
    Pendleton

                          Hampton-Newport News

                               Survey area

Virginia: (cities)
    Hampton
    Newport News

                 Area of Application. Survey area plus:

Virginia: (cities)
    Williamsburg
Virginia: (counties)
    York

                    Norfolk-Portsmouth-Virginia Beach

                               Survey area

Virginia: (cities)
    Norfolk
    Portsmouth
    Virginia Beach

                 Area of Application. Survey area plus:

North Carolina:
    Pasquotank
Virginia: (cities)
    Chesapeake
    Suffolk
Virginia: (counties)
    Accomack
    Northampton

                             Prince William

                               Survey area

Virginia:
    Prince William

                 Area of Application. Survey area plus:

Virginia:
    Fauquier

[[Page 448]]

                               Washington

                                 Kitsap

                               Survey area

Washington
    Kitsap

                 Area of Application. Survey area plus:

Washington:
    Clallam

                                 Pierce

                               Survey area

Washington:
    Pierce

                 Area of Application. Survey area plus:

Oregon:
    Clatsop
    Coos
    Douglas
    Multnomah
    Tillamook
Washington:
    Clark
    Grays Harbor

                                Snohomish

                               Survey Area

Washington:
    Snohomish

                 Area of Application. Survey area plus:

Washington:
    Island
    King
    Yakima

                                 Spokane

                               Survey area

Washington:
    Spokane

                 Area of Application. Survey area plus:

Washington:
    Adams
    Walla Walla

                                 Wyoming

                                 Laramie

                               Survey area

Wyoming:
    Laramie

                    Area of Application. Survey area.

[46 FR 21344, Apr. 10, 1981]

    Editorial Note: For Federal Register citations affecting Appendix D 
to subpart B of part 532, see the List of CFR Sections Affected, which 
appears in the Finding Aids section of the printed volume and on GPO 
Access.



      Subpart C--Determining Rates for Principal Types of Positions



Sec. 532.301  Definitions.

    For purposes of this subpart:
    Nearest similar wage area means the nearest wage area which is most 
similar to the local wage area in terms of private employment, 
population, relative numbers of private employers in major industry 
categories, and kinds and sizes of industry establishments and in which 
adequate private establishments exist in the survey area whose 
activities are similar to those in the dominant industry.
    Principal types of appropriated or nonappropriated fund positions 
means those groups of occupations which require work of a specialized 
nature and which are peculiar to a specific Government industry which is 
the dominant industry among the total wage employment in the wage area.
    Specialized private industry means private industry establishments 
in those industry groups, comparable to the specialized Government 
industries listed in Sec. 532.303 of this section, which must be 
included in a wage survey in order to obtain data comparable to a 
dominant industry.



Sec. 532.303  Specialized industry.

    (a)(1) Under the appropriated fund wage system, a ``specialized 
industry'' is a Federal activity engaged in the production or repair of 
aircraft, ammunition, artillery and combat vehicles, communication 
equipment, electronic equipment, guided missiles, heavy duty equipment, 
shipbuilding, sighting and fire control equipment, or small arms.
    (2) Under the nonappropriated fund wage system a ``specialized 
industry'' includes only nonappropriated fund operated eating and 
drinking places. Additional industries may be considered as specialized 
industries upon approval of the Office of Personnel Management.



Sec. 532.305  Dominant industry.

    (a)(1) A specialized industry is a ``dominant industry'' if the 
number of wage employees in the wage area who

[[Page 449]]

are subject to the wage schedule for which the survey is made and 
employed in occupations which comprise the principal types of 
appropriated or nonappropriated fund positions in the specialized 
industry comprise:
    (i) For appropriated fund activities,
    (A) At least 25 percent of the total wage employment or
    (B) 1,000 or more employees in a wage area having more than 4,000 
wage employees; and
    (ii) For nonappropriated fund activities
    (A) At least 25 percent of the total wage employment or
    (B) 100 or more wage employees in a wage area having 400 or more 
wage employees.
    (2) If two or more specialized industries in a wage area qualify as 
dominant industries, the two specialized industries having the largest 
number of wage employees shall be the dominant industries for purposes 
of applying the requirements of this subpart.



Sec. 532.307  Determinating whether a dominant industry exists in a wage area.

    (a) The chairperson of the local wage survey committee shall, before 
a full-scale wage survey is scheduled to begin, notify all appropriated 
or nonappropriated fund activities having employees subject to the wage 
schedules for which the survey is conducted so that organizations and 
individuals may submit written recommendations and supporting evidence 
to the local wage survey committee concerning principal types of 
appropriated or nonappropriated fund positions in the area. Each 
appropriated or nonappropriated fund activity shall publicize the 
opportunity to make such recommendations.
    (b)(1) Before conducting a full-scale wage survey an occupational 
inventory of employees subject to the wage schedules for which the 
survey is conducted shall be obtained from each appropriated or 
nonappropriated fund activity in the area having such employees.
    (2) After reviewing the occupational inventory and considering the 
recommendations received pursuant to paragraph (a) of this section, the 
local wage survey committee shall formulate its recommendations and 
prepare a written report concerning the existence of specialized 
industries within the wage area.
    (3) The report of the recommendations, the occupational inventory, 
and the recommendations and supporting evidence received pursuant to 
paragraph (a) of this section shall be forwarded to the lead agency.
    (c) The lead agency shall refer the occupational inventory and the 
reports received pursuant to paragraph (b) of this section to the agency 
wage committee for its consideration and recommendation if:
    (1) The lead agency proposes not to accept the recommendation of the 
local wage survey committee concerning the specifications of the local 
wage survey; or
    (2) The local wage survey committee's report is accompanied by a 
minority report.
    (d) The lead agency shall determine, in writing, after taking into 
consideration the reports and recommendations received under paragraphs 
(b) and (c) of this section, and prior to ordering a full-scale wage 
survey to begin, whether the principal types of appropriated or 
nonappropriated fund positions in a local wage area comprise a dominant 
industry. The determination shall remain in effect until the next full-
scale wage survey in the area.

[46 FR 21344, Apr. 10, 1981, as amended at 55 FR 46179, Nov. 1, 1990]



Sec. 532.309  Determining adequacy of specialized private industry.

    (a) Specialized private industry comparable to an appropriated fund 
dominant industry is adequate when:
    (1) The survey area is one of the 25 largest Standard Metropolitan 
Statistical Areas, or the total number of employees of private industry 
establishments in the specialized private industry located in the survey 
area is at least equal to the total number of appropriated fund wage 
employees in occupations which comprise the principal types of 
appropriated positions in the dominant industry who are subject to the 
wage schedules for which the survey is made; or

[[Page 450]]

    (2) For any dominant industry except ``ammunition,'' the job matches 
obtained from the specialized private industry include one regular 
survey job in the WG-01 through 04 range, one regular survey job in the 
WG-05 through 08 range, one regular survey job in the WG-09 and above 
range, and one special survey job in the WG-09 and above range all 
providing at least 20 unweighted samples each; and three other regular 
or special survey jobs, each providing at least 10 unweighted samples.
    (3) For the dominant industry ``ammunition,'' the job matches 
obtained from the specialized survey industries include one regular 
survey job in the WG-01 through 04 range, one special survey job in the 
WG-05 through 08 range, and one regular survey job in the WG-09 through 
15 range, all providing at least 20 unweighted samples each; and three 
other regular or special survey jobs, each providing at least 10 
unweighted samples.
    (b) Specialized private industry comparable to a nonappropriated 
fund dominant industry is adequate when:
    (1) The total number of employees of private industry establishments 
similar to the dominant industry located in the survey are at least 
equal to the number of nonappropriated fund wage employees in positions 
which comprise the principal types of nonappropriated fund positions in 
the dominant industry who are subject to the wage schedules for which 
the survey is made; and
    (2) The job matches obtained from all industries surveyed for 
regular survey jobs related to the dominant industry include one regular 
survey job in the NA-01 through 04 range providing at least 10 samples; 
and one regular survey job in the NA-05 through 15 range and one other 
regular survey job, each providing at least five samples.



Sec. 532.311  Survey of specialized private industry related to a dominant industry.

    If it is determined that there are one or more dominant industries 
within a wage area, the lead agency shall insure that the survey 
includes the industries and survey jobs related to the dominant 
industries. When the related industry within the local wage survey area 
fails to meet the criteria in Sec. 532.309 of this subpart, the lead 
agency shall obtain data related to the dominant industry from the 
survey area of the wage area which is determined to be the nearest 
similar area which will provide adequate data under the criteria in 
Sec. 532.309 of this subpart.

[46 FR 21344, Apr. 10, 1981, as amended at 55 FR 46179, Nov. 1, 1990]



Sec. 532.313  Private sector industries.

    (a) For appropriated fund surveys, a lead agency shall use the 
following private sector industries in making its determinations for 
each specialized industry:

                                Aircraft

SIC 3721 Aircraft
SIC 3724 Aircraft engines and engine parts
SIC 3728 Aircraft parts and auxiliary equipment
SIC 3764 Guided missile and space vehicle propulsion units and 
          propulsion unit parts
SIC 3769 Guided missile and space vehicle parts and auxiliary equipment
SIC 4512 Air transportation, scheduled
SIC 4513 Air courier services
SIC 4522 Air transportaiton, nonscheduled carriers
SIC 4581 Airports, flying fields, and airport terminal services

                               Ammunition

SIC 2892 Explosives
SIC 3482 Small arms ammunition
SIC 3483 Ammunition, except for small arms

                      Artillery and combat vehicles

SIC 3273 Ready mixed concrete
SIC 3489 Ordnance and accessories
SIC 351 Engines and turbines
SIC 3523 Farm machinery and equipment
SIC 3524 Lawn and garden tractors and home lawn and garden equipment
SIC 3531 Construction machinery and equipment
SIC 3536 Hoists, industrial cranes, and monorail systems
SIC 3537 Industrial trucks, tractors, trailers, and stackers
SIC 3711 Motor vehicles and passenger car bodies
SIC 3713 Truck and bus bodies
SIC 3714 Motor vehicle parts an accessories
SIC 3715 Truck trailers
SIC 3795 Tanks and tank components
SIC 4041 Railway express service
SIC 421 Trucking, local and long distance
SIC 4812 Radiotelephone communications

[[Page 451]]

SIC 4813 Telephone communciation, except radiotelphone
SIC 4911 Electric services
SIC 492 Gas production and distribution
SIC 493 Combination electric and other utility services
SIC 501 Motor vehicles and motor vehicle parts and supplies, except SIC 
          5015--motor vehicle parts, used
SIC 5082 Construction and mining machinery and equipment
SIC 5083 Farm and garden machinery and equipment

                             Communications

SIC 3612 Power, distribution, and specialty transformers
SIC 3663 Radio and TV broadcasting and communication equipment
SIC 3669 Communication equipment, not elsewhere classified
SIC 3812 Search, navigation, guidance, aeronautical, and nautical 
          systems, instruments, and equipment
SIC 3825 Instruments for measuring and testing of electricity and 
          electrical signals
SIC 4812 Radiotelephone communciations
SIC 4813 Telephone communication, except radiotelphone
SIC 4832 Radio broadcasting
SIC 4833 Television broadcasting
SIC 4841 Cable and other pay TV services
SIC 4899 Communciation services, NEC

                               Electronics

SIC 3571 Electronic computers
SIC 3572 Computer storage devices
SIC 3575 Computer terminals
SIC 3577 Computer peripheral equipment, not elsewhere classified
SIC 3663 Radio and TV broadcasting and communication equipment
SIC 3669 Communication equipment, not elsewhere classified
SIC 3672 Printed circuit boards
SIC 3674 Semi-conductors and related devices
SIC 3675 Electronic capacitors
SIC 3676 Resistor, for electronic applications
SIC 3677 Electronic coils, transformers, and other inductors
SIC 3678 Connecters, for electronic applications
SIC 3679 Electronic components, not elsewhere classified
SIC 3695 Recording media
SIC 3812 Search, navigation, guidance, aeronautical, and nautical 
          systems, instruments, and equipment
SIC 5044 Office equipment
SIC 5045 Computer and computer peripheral equipment and software

                             Guided missiles

SIC 3571 Electronic computers
SIC 3572 Computer storage devices
SIC 3575 Computer terminals
SIC 3577 Computer peripheral equipment, not elsewhere classified
SIC 3663 Radio and TV broadcasting and communication equipment
SIC 3669 Communication equipment, not elsewhere classified
SIC 3724 Aircraft engines and engine parts
SIC 3728 Aircraft parts and auxiliary equipment
SIC 3761 Guided missiles and space vehicles
SIC 3764 Guided missile and space vehicle propulsion units and 
          propulsion unit parts
SIC 3769 Guided missile and space vehicle parts and auxiliary equipment
SIC 3812 Search, navigation, aeronautical, and nautical systems, 
          instruments, and equipment
SIC 8711 Engineering services
SIC 8712 Architectural services
SIC 8713 Surveying services

                          Heavy duty equipment

SIC 3531 Construction machinery and equipment
SIC 3536 Hoists, industrial cranes, and monorail systems
SIC 3537 Industrial trucks, tractors, trailers, and stackers
SIC 5082 Construction and mining machinery and equipment

                              Shipbuilding

SIC 3731 Shipbuilding and repairing

                   Sighting and fire control equipment

SIC 3571 Electronic computers
SIC 3572 Computer storage devices
SIC 3575 Computer terminals
SIC 3577 Computer peripheral equipment, not elsewhere classified
SIC 3663 Radio and TV broadcasting and communication equipment
SIC 3669 Communication equipment, not elsewhere classified
SIC 3812 Search, navigation, guidance, aeronautical, and nautical 
          systems, instruments, and equipment
SIC 3827 Optical instruments and lenses

                               Small arms

SIC 3484 Small arms.

    (b) Industries in SICs 3273, 4041, 421, 4812, 4813, 4911, 492 and 
493, listed in paragraph (a) of this section are limited in special job 
coverage to automotive mechanic, diesel engine mechanic, and heavy 
mobile equipment mechanic.

[[Page 452]]

    (c) For nonappropriated fund surveys, the lead agency shall use SIC 
581 (eating and drinking places industry) in making its determination 
for a specialized industry.

[55 FR 46179, Nov. 1, 1990; 55 FR 52267, Dec. 21, 1990]



Sec. 532.315  Additional survey jobs.

    (a) For appropriated fund surveys, when the lead agency adds to the 
industries to be surveyed, it shall add to the required survey jobs the 
specialized survey jobs listed below opposite the industry added:

------------------------------------------------------------------------
  Specialized industry      Specialized survey jobs          Grade
------------------------------------------------------------------------
Aircraft................  Electronics Mechanic......  WG-11
                          Aircraft Structures         WG-7
                           Assembler B.
                          Aircraft Structures         WG-9
                           Assembler A.
                          Aircraft Mechanic.........  WG-10
                          Aircraft Mechanic includes  ..................
                          Aircraft Electrician......  WG-10
                          Aircraft Welder...........  WG-10
                          Aircraft Sheetmetal Worker  WG-10
                          Hydromechanical Fuel        WG-10
                           Control Repairer.
                          Aircraft Engine Mechanic..  WG-10
                          Aircraft Jet Engine         WG-10
                           Mechanic.
                          Flight Line Mechanic......  WG-10
                          Aircraft Attendant (ground  WG-7
                           services).
Ammunition..............  Munitions Handler.........  WG-4
                          Munitions Operator........  WG-4
                          Munitions Operator........  WG-6
                          Munitions Operator........  WG-8
                          Munitions Operator........  WG-9
                          Explosives Operator.......  WG-9
Artillery and combat      Automotive Mechanic         WG-10
 vehicles.                 (limited to data obtained
                           in special industries).
                          Heavy Mobile Equipment      WG-10
                           Mechanic.
                          Artillery Repairer........  WG-9
                          Combat Vehicle Mechanic...  WG-8
                          Combat Vehicle Mechanic     WG-10
                           (Engine).
                          Combat Vehicle Mechanic...  WG-11
                          Diesel Engine Mechanic      WG-10
                           (limited to data obtained
                           in special industries.
Communications..........  Telephone Installer-        WG-9
                           Repairer.
                          Central Office Repairer...  WG-11
                          Electronic Test Equipment   WG-11
                           Repairer.
                          Television Station          WG-11
                           Mechanic.
Electronics.............  Electronics Mechanic......  WG-11
                          Industrial Electronic       WG-10
                           Controls Repairer.
                          Electronic Test Equipment   WG-11
                           Repairer.
                          Electronic Computer         WG-11
                           Mechanic.
                          Television Station          WG-11
                           Mechanic.
Guided missiles.........  Electronic Computer         WG-11
                           Mechanic.
                          Guided Missile Mechanical   WG-11
                           Repairer.
Heavy duty equipment....  Heavy Mobile Equipment      WG-10
                           Mechanic.
Shipbuilding............  Electronics Mechanic......  WG-11
                          Electrician, Ship.........  WG-10
                          Pipefitter, Ship..........  WG-10
                          Shipfitter................  WG-10
                          Shipwright................  WG-10
                          Machinist (Marine)........  WG-10
Sighting and fire         Electronic Computer         WG-11
 control.                  Mechanic.
                          Fire Control Instrument     WG-11
                           Repairman.
                          Electronic Fire Control     WG-11
                           Systems Repairer.
                          Electronic Fire Control     WG-12
                           Systems Repairer.
                          Electronic Fire Control     WG-13
                           Systems Repairer.
Small arms..............  Small Arms Repairer.......  WG-8
------------------------------------------------------------------------

    (b) For nonappropriated fund surveys, a lead agency must obtain 
prior approval of OPM to add a job not listed in Sec. 532.223 of this 
subpart.

[55 FR 46180, Nov. 1, 1990]



Sec. 532.317  Use of data from the nearest similar area.

    (a)(1) For prevailing rate employees other than those in the 
Department of Defense, the lead agency shall, in establishing the 
regular schedule under the provisions of this subpart, analyze and use 
the acceptable data from the nearest similar wage area together with the 
data obtained from inside the local wage survey area. The regular 
schedule for Department of Defense prevailing rate employees shall be 
based on local wage data only.
    (2) The total number of job matches obtained from the nearest 
similar wage area shall be equal to the number required for adequacy in 
Sec. 532.309(a) (2) and (3) of this subpart for appropriated fund 
surveys and Sec. 532.309(b)(2) of this subpart for nonappropriated fund 
surveys.
    (3) Data shall be selected for inclusion on the basis of the most 
populous survey jobs as determined by the weighted job matches found in 
the dominant industry in the selected reference area. In identifying 
survey jobs for which reference area samples will be included, the jobs 
required at limited grade ranges shall be selected before jobs in the 
unlimited grade range. When there is a tie in the selection procedure, 
the highest graded job shall be selected first.

[[Page 453]]

    (4) If there are two dominant industries for which data are obtained 
from nearest similar areas, the procedure described in paragraph (a)(2) 
of this section shall be applied independently for each of the 
specialized industries.
    (b)(1) The wage rates established for a grade by using data from the 
nearest similar area may not exceed the wage rates for the same grade in 
the nearest similar area.
    (2) If data are obtained from two nearest similar areas for two 
dominant industries, the wage rates established for a grade by using 
these data may not exceed the higher of the wage rates for the same 
grade in the two nearest similar areas.
    (c) The wage data obtained from the nearest similar area or areas 
may not be used to reduce the wage rates for any grade in the local area 
below the rates that would be established for that grade without the use 
of the data from the nearest similar area or areas.

[46 FR 21344, Apr. 10, 1981, as amended at 54 FR 38197, Sept. 15, 1989. 
Redesignated and amended at 55 FR 46179, Nov. 1, 1990]



                      Subpart D--Pay Administration



Sec. 532.401  Definitions.

    In this subpart:
    Change to lower grade means a change in the position of an employee 
who, while continuously employed--
    (1) Moves from a position in one grade of a prevailing rate schedule 
established under this part to a position in a lower grade of the same 
type prevailing rate schedule, whether in the same or different wage 
area;
    (2) Moves from a position under a prevailing rate schedule 
established under this part to a position under a different prevailing 
rate schedule (e.g., WL to WG) with a lower representative rate; or
    (3) Moves from a position not under a prevailing rate schedule to a 
position with a lower representative rate under a prevailing rate 
schedule.
    Equivalent increase means an increase or increases in an employee's 
rate of basic pay equal to or greater than the difference between the 
rate of pay for the grade and step occupied by the employee and the rate 
of pay for the next higher step of that grade, except in the situations 
specified in Sec. 532.417 of this subpart. In the case of a promotion, 
the grade and step occupied means the grade and step to which promoted.
    Existing scheduled rate of pay means the scheduled rate of pay 
received immediately before the effective date of a transfer, 
reassignment, promotion, change to a lower grade, within-grade increase, 
or revision of a wage schedule.
    Highest previous rate means the highest scheduled rate of pay 
previously paid to a person while employed in a job in any branch of the 
Federal Government, a mixed-ownership corporation, or the government of 
the District of Columbia. It is based on a regular tour of duty under an 
appointment not limited to 90 days or less, or for a continuous period 
of no less than 90 days under one or more appointments without a break 
in service.
    Promotion means a change in the position of an employee who, while 
continuously employed--
    (1) Moves from a position in one grade of a prevailing rate schedule 
established under this part to a position in a higher grade of the same 
type prevailing rate schedule, whether in the same or different wage 
area;
    (2) Moves from a position under a prevailing rate schedule 
established under this part to a position under a different prevailing 
rate schedule (e.g., WG to WL) with a higher representative rate; or
    (3) Moves from a position not under a prevailing rate schedule to a 
position with a higher representative rate under a prevailing rate 
schedule.
    Rate of basic pay means the scheduled rate of pay plus any night or 
environmental differential.
    Reassignment means a change of an employee, while serving 
continuously in the same agency, from one job to another without 
promotion or change to a lower grade.
    Representative rate means the going rate, i.e., the rate or step 
keyed to the prevailing rate determination. For example:
    (1) The established rate on a single rate schedule;
    (2) The second rate on a five-rate regular wage schedule;

[[Page 454]]

    (3) The fourth rate on the General Schedule; or
    (4) The fourth rate of a class under the Foreign Service Officer and 
Foreign Service Staff schedule.
    Retained rate means the rate of pay an employee is receiving which 
is higher than the maximum scheduled rate of pay of the Federal Wage 
System grade or pay level to which the employee is assigned.
    Scheduled rate of pay means the rate of pay fixed by law or 
administrative action, including a retained rate of pay, for the job 
held by an employee before any deductions and exclusive of additional 
pay of any kind.

[46 FR 21344, Apr. 10,1981, as amended at 55 FR 46180, Nov. 1, 1990; 60 
FR 62701, Dec. 7, 1995]



Sec. 532.403  New appointments.

    (a) Except as provided in paragraphs (b) and (c) of this section, a 
new appointment to a position shall be made at the minimum rate of the 
appropriate grade.
    (b) An agency may make a new appointment at a rate above the minimum 
rate of the appropriate grade in recognition of an appointees' special 
qualifications.
    (c) An agency shall make a new appointment at a step-rate above the 
minimum rate of a grade if the lead agency for the wage area has 
designated, in accordance with Sec. 532.249, a step-rate above the first 
step-rate of a grade as the minimum step-rate at which a position may be 
filled.

[46 FR 21344, Apr. 10, 1981, as amended at 58 FR 32274, June 9, 1993]



Sec. 532.405  Use of highest previous rate.

    (a)(1) Subject to the provisions of Sec. 532.407 of this subpart and 
part 536 of this chapter, when an employee is reemployed, reassigned, 
transferred, promoted, or changed to a lower grade, the agency may fix 
the pay at any rate of the new grade which does not exceed the 
employee's highest previous rate.
    (2) However, if the employee's highest previous rate falls between 
two step-rates of the new grade, the agency may fix the pay at the 
higher of the two.
    (b)(1) When an employee's type of appointment is changed in the same 
job, an agency may continue to pay the existing scheduled rate or may 
pay any higher rate of the grade which does not exceed the employee's 
highest previous rate.
    (2) However, if the highest previous rate falls between two step 
rates of the grade, the agency may pay the higher rate.
    (c)(1) The highest previous rate, if earned in a wage job, is the 
current rate of the grade and step-rate of the former job on the same 
type of wage schedule in the wage area in which the employee is being 
employed, or the actual earned rate, whichever is higher.
    (2) If earned on a General Schedule or another pay system other than 
the Federal Wage System, it is the current rate for the same grade and 
rate of that schedule.
    (d) The highest previous rate may be based upon a rate of pay 
received during a temporary promotion, so long as the temporary 
promotion is for a period of not less than 1 year. This limitation does 
not apply upon permanent placement in a position at the same or higher 
grade.

[46 FR 21344, Apr. 10, 1981, as amended at 60 FR 62701, Dec. 7, 1995]



Sec. 532.407  Promotion.

    (a) An employee who is promoted is entitled to be paid at the lowest 
scheduled rate of the grade to which promoted which exceeds the 
employee's existing scheduled rate of pay by at least four percent of 
the representative rate of the grade from which promoted.
    (b) If there is no rate in the grade to which an employee is 
promoted which meets the requirement of paragraph (a) of this section 
the employee shall be entitled to the higher of: (1) the existing 
scheduled rate of pay in accordance with part 536 of this chapter; or 
(2) the maximum scheduled rate of the grade to which promoted.
    (c) If the promotion is to a position in a different wage area, the 
agency shall determine the employee's pay entitlement as if there were 
two pay actions--a promotion and a reassignment--and shall process them 
in the order which gives the employee the maximum benefit.

[[Page 455]]



Sec. 532.409  Grading or regrading of positions.

    Except as provided in Sec. 532.703(b)(10), a change in an employee's 
rate of basic pay as a result of the grading or regrading of the 
employee's position shall be effective on the date the grading or 
regrading action is finally approved by the agency or on a subsequent 
specifically stated date.



Sec. 532.411  Details.

    An appropriated fund employee detailed to a position other than the 
position to which appointed shall be paid at the rate of the position to 
which appointed.



Sec. 532.413  Simultaneous action.

    (a) If an employee becomes entitled to more than one pay change at 
the same time, the employing agency shall process the pay changes in the 
order which will provide the maximum benefit, except as required by 
paragraph (b) of this section.
    (b) If an employee becomes entitled to an increase in pay and 
subject to a personnel or appointment change at the same time, the 
increased rate of pay is deemed to be the employee's existing scheduled 
rate of pay when the personnel or appointment change is processed.



Sec. 532.415  Application of new or revised wage schedules.

    (a) The head of each installation or activity in a wage area shall 
place new or revised wage schedules into effect at the beginning of the 
first full shift on the date specified on the schedule by the lead 
agency.
    (b) No agency may retroactively change any personnel or pay actions 
taken between the effective date of a new or revised wage schedule and 
the date it is actually put into effect if the personnel or pay actions 
taken during this period of time are more advantageous to an employee 
than the same personnel or pay action would have been had the new or 
revised wage schedule been placed into effect on the date specified by 
the lead agency.
    (c) In applying a new or revised wage schedule, the scheduled rate 
of pay of an employee paid at one of the steps of the employee's grade 
on an old wage schedule shall be adjusted upward to the newly adjusted 
rate for the same numerical step of the grade whenever there is an 
increase in rates. Except when there is a decrease in wage rates because 
of a statutory reduction in scheduled rates, the employee is entitled to 
pay retention as provided in 5 CFR 536.104(a)(3).

[46 FR 21344, Apr. 10, 1981, as amended at 60 FR 62701, Dec. 7, 1995]



Sec. 532.417  Within-grade increases.

    (a) An employee paid under a regular Federal Wage System schedule 
with a work performance rating of satisfactory or better shall advance 
automatically to the next higher step within the grade in accordance 
with section 5343(e)(2) of title 5, United States Code.
    (b) Waiting periods for within-grade increases shall begin:
    (1) On the first day of a new appointment as an employee subject to 
this part;
    (2) On the first day of a period of service after a break in service 
or time in a nonppay status in excess of 52 weeks; or
    (3) On receipt of an equivalent increase.
    (c) Creditable service. The following periods of time shall be 
considered creditable service for purposes of waiting periods for 
within-grade increases:
    (1) Time during which an employee is in receipt of pay, including 
periods of leave with pay;
    (2) Time during which an employee with a prearranged regular 
scheduled tour of duty is in a nonpay status to the extent that the time 
in a nonpay status does not exceed, in the aggregate:
    (i) One workweek in the waiting period for step 2;
    (ii) Three workweeks in the waiting period for step 3; or
    (iii) Four workweeks in the waiting period for steps 4 and 5;
    (3) Time during which an employee or former employee is on leave of 
absence or is separated from Federal service and is entitled to 
continuation of pay or compensation under subchapter I of chapter 81 of 
title 5, United States Code. This does not apply to prevailing rate 
employees within a Department of

[[Page 456]]

Defense or Coast Guard nonappropriated fund instrumentality;
    (4) A period of military service when:
    (i) An employee is on leave of absence to perform such service and 
returns to pay status through the exercise of a restoration right 
provided by law, Executive order, or regulation; or
    (ii) A former employee is reemployed with the Federal Service not 
later than 52 calendar weeks after separation from such service or 
hospitalization continuing thereafter for a period of not more than one 
year. Military service means honorable active service in the Armed 
Forces, in the Regular or Reserve Corps of the Public Health Service 
after June 30, 1960, or as a commissioned officer of the Environmental 
Science Services Administration after June 30, 1961, but does not 
include service in the National Guard, except when ordered to active 
duty in the service of the United States.
    (5) The time between an employee's separation from an earlier 
position and the date of the employee's return to a civilian position 
through the exercise of a reemployment right granted by law, Executive 
Order, or regulation;
    (6) Time during which an employee is performing service, which is 
creditable under section 8332(b) (5) or (7) of title 5, United States 
Code;
    (7) The time during which an employee is detailed to a non-Federal 
position under subchapter VI of chapter 33 of title 5, United States 
Code; and
    (8) Nonworkdays intervening between an employee's last regularly 
scheduled workday in one position and the first regularly scheduled 
workday in a new position.
    (9) Time during which an employee is temporarily employed by another 
agency in a position covered by this subpart.
    (d) Effective date. A within-grade increase shall be effective at 
the beginning of the first applicable pay period following the day an 
employee becomes eligible for the increase.
    (e) Equivalent increase. The following shall not be counted as 
equivalent increases:
    (1) Application of a new or revised wage schedule or application of 
a new pay or evaluation plan;
    (2) Payment of additional compensation in the form of nonforeign or 
foreign post differentials or nonforeign cost-of-living allowances;
    (3) Adjustment of the General Schedule;
    (4) Premium payment for overtime and holiday duty;
    (5) Payment of night shift differential;
    (6) Hazard pay differentials;
    (7) Payment of rates above the minimum rate of the grade in 
recognition of specific qualifications, or in jobs in specific hard-to-
fill occupations;
    (8) Correction of an error in a previous demotion or reduction in 
pay;
    (9) Temporary limited promotion followed by change to lower grade to 
the former or a different lower grade;
    (10) A transfer or reassignment in the same grade and step to 
another local wage area with a higher wage schedule;
    (11) Repromotion to a former or intervening grade of any employee 
whose earlier change to lower grade was not for cause and was not at the 
employee's request; and
    (12) An increase resulting from the grant of a quality step increase 
under the General Schedule.

[46 FR 21344, Apr. 10, 1981, as amended at 49 FR 37055, Sept. 21, 1984; 
55 FR 46180, Nov. 1, 1990]



Sec. 532.419  Grade and pay retention.

    (a) In accordance with section 9(a)(1) of Public Law 92-392 (86 
Stat. 564, 573), an employee's initial rate of pay on conversion to a 
wage schedule established under the provisions of subchapter IV of 
chapter 53, title 5, United States Code, shall be determined under 
conversion rules prescribed by the Office of Personnel Management.
    (b) Except as provided in paragraph (a) of this section, an 
employee's eligibility for grade and/or pay retention shall be 
determined in accordance with the provisions of part 536 of this title.



                Subpart E--Premium Pay and Differentials



Sec. 532.501  Definitions.

    In this subpart:
    Administrative workweek means a period of seven consecutive calendar 
days.

[[Page 457]]

    Basic workweek for full time employees means the days and hours 
within an administrative workweek which make up the employee's regularly 
scheduled 40-hour workweek.
    Environmental differential means a differential paid for a duty 
involving unusually severe hazards or working conditions.
    Irregular or occasional overtime work means overtime work which is 
not part of the regularly scheduled administrative workweek.
    Night shift differential means the differential paid the employee 
when the majority of regularly scheduled nonovertime hours worked fall 
between 3 p.m. and 8 a.m.
    Overtime work means authorized and approved hours of work performed 
by an employee in excess of eight hours in a day or in excess of 40 
hours in an administrative workweek, and includes irregular or 
occasional overtime work and regular overtime work.
    Premium pay means additional compensation for overtime, or Sunday 
work, and standby duty.
    Sunday work means work performed during a regularly scheduled tour 
of duty within a basic workweek when any part of that work which is not 
overtime work is performed on Sunday.
    Regular overtime work means overtime work which is a part of the 
regularly scheduled administrative workweek.
    Regularly scheduled administrative workweek means:
    (1) For full-time employees, the period within an administrative 
workweek within which employees are scheduled to be on duty regularly.
    (2) For part-time employees, it means the days and hours within an 
administrative workweek during which these employees are scheduled to be 
on duty regularly.
    Tour of duty means the hours of a day, i.e., a daily tour of duty, 
and the days of an administrative workweek, i.e., a weekly tour of duty, 
that are scheduled in advance and during which an employee is required 
to perform on a regularly recurring basis.



Sec. 532.503  Overtime pay.

    (a)(1) Employees who are exempt from the overtime pay provisions of 
the Fair Labor Standards Act of 1938, as amended, shall be paid overtime 
pay in accordance with 5 U.S.C. 5544 and this section. Employees who are 
nonexempt shall be paid overtime pay in accordance with part 551 of this 
chapter.
    (2) Hours of work in excess of eight in a day are not included in 
computing hours of work in excess of 40 hours in an administrative 
workweek.
    (b) Effect of leave on overtime pay. (1) Hours during which an 
employee is absent from duty on paid leave during time when the employee 
otherwise would have been required to be on duty shall be considered 
hours of work in determining whether the employee is entitled to 
overtime pay for work performed in excess of eight hours a day or 40 
hours a week.
    (2) For the purposes of paragraph (b)(1) of this section paid leave 
includes but is not limited to:
    (i) Annual or sick leave;
    (ii) Authorized absence on a day off from duty granted by Executive 
or administrative order; or
    (iii) Authorized absence on a legal holiday;
    (3) Hours during which an employee is absent from duty on leave 
without pay during a time when he/she otherwise would have been required 
to be on duty shall not be considered hours of work in determining 
whether he/she is entitled to overtime pay for work performed in excess 
of eight hours in a day or 40 hours in a week.
    (c) Callback overtime work. Irregular or occasional overtime work 
performed by an employee on a day when work was not regularly scheduled 
for the employee or for which the employee has been required to return 
to the place of employment shall be considered to be at least two hours 
in duration for the purpose of overtime pay, regardless of whether the 
employee performs work for two hours.
    (d)(1) An employee regularly assigned to a night shift, who performs 
overtime work which extends into or falls entirely within a day shift, 
shall be entitled to overtime pay computed on the night rate.
    (2) When the overtime is performed on a nonworkday the employee 
shall be entitled to overtime pay computed on

[[Page 458]]

the rate of the employee's last previous regularly scheduled shift.
    (e)(1) An employee regularly assigned to a rotating schedule 
involving work on both day and night shifts who performs overtime work 
which extends or falls entirely within the succeeding shift shall be 
entitled to overtime pay computed on the rate of the employee's 
regularly scheduled shift in effect for that calendar day.
    (2) When the overtime is performed on a nonworkday, the employee 
shall be entitled to overtime pay computed on the average rate of basic 
pay for all regularly scheduled shifts worked by the employee during the 
basic workweek.
    (f) For an employee covered by 5 U.S.C. 5544, hours in a standby or 
on-call status or while sleeping or eating shall not be credited for the 
purpose of determining hours of work in excess of 8 hours in a day.

[46 FR 21344, Apr. 10, 1981, as amended at 56 FR 20341, May 3, 1991; 57 
FR 59279, Dec. 15, 1992]



Sec. 532.504  Compensatory time off.

    (a) At the request of an employee, the head of an agency may grant 
compensatory time off from an employee's tour of duty instead of payment 
under Sec. 532.503 or the Fair Labor Standards Act of 1938, as amended, 
for an equal amount of irregular or occasional overtime work.
    (b) At the request of an employee, the head of an agency may grant 
compensatory time off from an employee's basic work requirement under a 
flexible work schedule under 5 U.S.C. 6122 instead of payment under 
Sec. 532.503 or the Fair Labor Standards Act of 1938, as amended, for an 
equal amount of overtime work, whether or not irregular or occasional in 
nature.
    (c) An agency may not require that an employee be compensated for 
overtime work with an equal amount of compensatory time off from the 
employee's tour of duty. An employee may not directly or indirectly 
intimidate, threaten, or coerce, or attempt to intimidate, threaten, or 
coerce any other employee for the purpose of interfering with such 
employee's rights to request or not to request compensatory time off in 
lieu of payment for overtime hours.
    (d) The head of a department may fix a time limit for an employee to 
request or take compensatory time off and may provide that an employee 
who fails to take compensatory time earned under paragraph (a) or (b) of 
this section before the time limit fixed shall lose the right to 
compensatory time off and to overtime pay unless the failure is due to 
an exigency of the service beyond the employee's control.

[62 FR 28307, May 23, 1997]



Sec. 532.505  Night shift differentials.

    (a) Employees shall be entitled to receive night shift differentials 
in accordance with section 5343 of title 5, United States Code.
    (b) Absence on holidays. An employee regularly assigned to a shift 
for which a night shift differential is payable shall be paid the night 
shift differential for a period of excused absence on a legal holiday or 
other day off from duty granted by Executive or administrative order.
    (c) Travel status. An employee regularly assigned to a shift for 
which a night shift differential is payable shall be paid the night 
shift differential for hours of the employee's tour of duty while in 
official travel status, regardless of whether the employee is performing 
work.
    (d) Temporary tour of duty. (1) An employee regularly assigned to a 
night shift who is temporarily assigned to a day shift or to a night 
shift having a lower night shift differential shall continue to receive 
the regular night shift differential, a temporary detail for training 
purposes is also included--see 5 CFR 410.602.
    (2) An employee regularly assigned to a night shift, who is 
temporarily assigned to another night shift having a higher 
differential, shall be paid the higher differential if a majority of the 
employee's regularly scheduled nonovertime hours of work on the 
temporary shift fall within hours having the higher differential.
    (3) An employee regularly assigned to a day shift who is temporarily 
assigned to a night shift shall be paid a night shift differential.

[[Page 459]]

    (e) Leave with pay. (1) An employee regularly assigned to a night 
shift shall be paid a night shift differential during a period of leave 
with pay.
    (2) An employee regularly assigned to a day shift who is temporarily 
assigned to a night shift shall be paid a night shift differential for 
any leave with pay taken when scheduled to work night shifts.
    (3) An employee assigned to a regular rotating schedule involving 
work on both day and night shifts shall be paid a night shift 
differential only for any leave with pay taken when scheduled to work 
night shifts.
    (4) An employee who is not regularly assigned to a day shift or a 
night shift but whose shift is changed at irregular intervals shall be 
paid a night shift differential during leave with pay if the employee 
received a night shift differential for the last shift worked preceding 
leave with pay.



Sec. 532.507  Pay for holiday work.

    (a) An employee who is entitled to holiday premium pay and who 
performs work on a holiday which is not overtime work shall be paid the 
employee's rate of basic pay plus premium pay at a rate equal to the 
rate of basic pay.
    (b) An employee shall be paid for overtime work performed on a 
holiday at the same rate as for overtime on other workdays.
    (c) An employee who is entitled to holiday premium pay and who is 
required to report for work on a holiday shall be paid at least two 
hours of holiday pay whether or not work is actually performed.



Sec. 532.509  Pay for Sunday work.

    A wage employee whose regular work schedule includes an 8-hour 
period of service which is not overtime work, a part of which is on 
Sunday, is entitled to additional pay under the provisions of section 
5544 of title 5, United States Code.

[46 FR 21344, Apr. 10, 1981, as amended by 58 FR 3201, Jan. 8, 1993]



Sec. 532.511  Environmental differentials.

    (a) Entitlements to environmental differential pay.(1) In accordance 
with section 5343(c)(4) of title 5, United States Code, an employee 
shall be paid an environmental differential when exposed to a working 
condition or hazard that falls within one of the categories approved by 
the Office of Personnel Management.
    (2) Each installation or activity must evaluate its situations 
against the guidelines issued by the Office of Personnel Management to 
determine whether the local situation is covered by one or more of the 
defined categories.
    (b) Amount of environmental differential payable. (1) An employee 
entitled to an environmental differential shall be paid an amount equal 
to the percentage rate authorized by the Office of Personnel Management 
for the category in which the working condition or hazard falls, 
multiplied by the rate for the second step of WG-10 for the appropriated 
fund employees and NA-10 for the nonappropriated fund employees on the 
current regular non-supervisory wage schedule for the wage area for 
which the differential is payable, counting one-half cent and over as a 
whole cent.
    (2) An employee entitled to an environmental differential on an 
actual exposure basis shall be paid a minimum of one hour's differential 
pay for the exposure. For exposure beyond one hour, the employee shall 
be paid in increments of one quarter hour for each 15 minutes or portion 
thereof in excess of 15 minutes. Entitlement begins with the first 
instance of exposure and ends one hour later, except that when exposure 
continues beyond the hour, it shall be considered ended at the end of 
the quarter hour in which exposure actually terminated.
    (3) An employee entitled to an environmental differential on the 
basis of hours in a pay status shall be paid for all hours in a pay 
status on the day on which he/she is exposed to the situation.
    (4) An employee may not be paid more than one environmental 
differential for a particular period of work.
    (5) The payment of environmental differential pay is computed on the 
basis of the highest environmental differential rate authorized during 
the period of entitlement.
    (6) The number of hours an employee is paid environmental 
differential shall

[[Page 460]]

not exceed the number of hours of duty performed by the employee on the 
day of exposure except as required by paragraph (b)(3) of this section.
    (c) Basic pay. Environmental differential pay is part of basic pay 
and shall be used to compute premium pay (pay for overtime, holiday, or 
Sunday work), the amount from which retirement deductions are made, and 
the amount on which group life insurance is based. It is not part of 
basic pay for purposes of lump-sum annual leave payments and severance 
pay nor is its loss an adverse action.
    (d) The schedule of environmental differentials is set out as 
appendix A to this subpart and is incorporated in and made a part of 
this section.

[46 FR 21344, Apr. 10, 1981, as amended at 49 FR 49841, Dec. 24, 1984; 
55 FR 46180, Nov. 1, 1990]



Sec. 532.513  Flexible and compressed work schedules.

    Federal Wage System employees who are authorized to work flexible 
and compressed work schedules under sections 6122 and 6127 of title 5, 
United States Code, shall be paid premium pay in accordance with 
subchapter II of chapter 61 of title 5, United States Code. Subpart D of 
part 610 of this chapter supplements subchapter II and must be read 
together with it.

[62 FR 28307, May 23, 1997]

     Appendix A to Subpart E of Part 532--Schedule of Environmental 
Differentials Paid for Exposure to Various Degrees of Hazards, Physical 
         Hardships, and Working Conditions of an Unusual Nature

    This appendix lists the environmental differentials authorized for 
exposure to various degrees of hazards, physical hardships, and working 
conditions of an unusual nature.

                   Part I--Payment for Actual Exposure
------------------------------------------------------------------------
Differential
    rate              Category for which payable          Effective date
  (percent)
------------------------------------------------------------------------
        100   1. Flying. Participating in flights under   Nov. 1, 1970.
               one or more types of the following
               conditions.
              a. Test flights of a new or repaired plane
               or modified plane when the repair or
               modification may affect the flight
               characteristics of the plane;
              b. Flights for test performance of plane
               under adverse conditions such as in low
               altitude or severe weather conditions,
               maximum load limits, or overload;
              c. Test missions for the collection of
               measurement data where two or more
               aircraft are involved and flight
               procedures require formation flying and/
               or rendezvous at various altitudes and
               aspect angles;
              d. Flights deliberately undertaken in
               extreme weather conditions such as flying
               into a hurricane to secure weather data;
              e. Flights to deliver aircraft which have
               been prepared for one-time flight without
               being test flown prior to delivery
               flight;
              f. Flights for pilot proficiency training
               in aircraft new to the pilot under
               simulated emergency conditions which
               parallel conditions encountered in
               performing flight tests;
              g. Low-level flights in small aircraft
               including helicopters at altitude of 150
               meters (500 feet) and under in daylight
               and 300 meters (1,000 feet) and under at
               night when the flights are over
               mountainous terrain, or in fixed-wing
               aircraft involving maneuvering at the
               heights and times specified above, or in
               helicopters maneuvering and hovering over
               water at altitudes of less than 150
               meters (500 feet);
              h. Low-level flights in an aircraft flying
               at altitudes of 60 meters (200 feet) and
               under while conducting wildlife surveys
               and law enforcement activities, animal
               depredation abatement and making
               agricultural applications, and conducting
               or facilitating search and rescue
               operations; flights in helicopters at low
               levels involving line inspection,
               maintenance, erection, or salvage
               operations;
              i. Flights involving launch or recovery
               aboard an aircraft carrier;
              j. Reduced gravity light testing in an
               aircraft flying a parabolic flight path
               and providing a testing environment
               ranging from weightlessness up through 20
               meters per second \2\ (2 gravity)
               conditions;
         25   2. High work..............................  Nov. 1, 1970.
              a. Working on any structure of at least 30
               meters (100 feet) above the ground, deck,
               floor or roof, or from the bottom of a
               tank or pit;
              b. Working at a lesser height:
              (1) If the footing is unsure or the
               structure is unstable; or
              (2) If safe scaffolding, enclosed ladders
               or other similar protective facilities
               are not adequate (for example, working
               from a swinging stage, boatswain chair, a
               similar support); or
              (3) If adverse conditions such as
               darkness, steady rain, high wind, icing,
               lightning or similar environmental
               factors render working at such height(s)
               hazardous.

[[Page 461]]

 
         15   3. Floating targets. Servicing equipment    Nov. 1, 1970.
               on board a target ship or barge in which
               the employee is required to board or
               leave the target vessel by small boat or
               helicopter.
          4   4. Dirty work. Performing work which        Nov. 1, 1970.
               subjects the employee to soil of body or
               clothing:
              a. Beyond that normally to be expected in
               performing the duties of the
               classification; and
              b. Where the condition is not adequately
               alleviated by the mechanical equipment or
               protective devices being used, or which
               are readily available, or when such
               devices are not feasible for use due to
               health considerations (excessive
               temperature, asthmatic conditions, etc);
               or
              c. When the use of mechanical equipment,
               or protective devices, or protective
               clothing results in an unusual degree of
               discomfort.
          4   5. Cold work. a. Working in cold storage    Nov. 1, 1970.
               or other climate-controlled areas where
               the employee is subjected to temperatures
               at or below freezing (0 degrees Celsius
               (32 degrees Fahrenheit)).
              b. Working in cold storage or other         Mar. 13, 1977.
               climate-controlled areas where the
               employee is subjected to temperatures at
               or below freezing (0 degrees Celsius (32
               degrees Fahrenheit)) where such exposure
               is not practically eliminated by the
               mechanical equipment or protective
               devices being used.
          4   6. Hot work. a. Working in confined spaces  Nov. 1, 1970.
               wherein the employee is subjected to
               temperatures in excess of 43 degrees
               Selsius (110 degrees Fahrenheit).
              b. Working in confined spaces wherein the   Mar. 13, 1977.
               employee is subjected to temperatures in
               excess of 43 degrees Selsius (110 degrees
               Fahrenheit) where such exposure is not
               practically eliminated by the mechanical
               equipment or protective devices being
               used.
          4   7. Welding preheated metals. Welding        Nov. 1, 1970.
               various metals or performing an integral
               part of the welding process when the
               employee must work in confined spaces in
               which large sections of metal have been
               preheated to 66 degrees Celsius (150
               degrees Fahrenheit) or more, and the
               discomfort is not alleviated by
               protective devices or other means, or
               discomforting protective equipment must
               be worn.
          4   8. Micro-soldering or wire welding and      Nov. 1, 1970.
               assembly. Working with binocular-type
               microscopes under conditions which
               severely restrict the movement of the
               employee and impose a strain on the eyes,
               in the soldering or wire welding and
               assembly of miniature electronic
               components..
         25   9. Exposure to hazardous weather or         July 1, 1972.
               terrain. Exposure to dangerous conditions
               of terrain, temperature and/or wind
               velocity, while working or traveling when
               such exposure introduces risk of
               significant injury or death to employees;
               such as the following:
              Examples:
              --Working on cliffs, narrow ledges, or
               steep mountainous slopes, with or without
               mechanical work equipment, where a loss
               of footing would result in serious injury
               or death.
              --Working in areas where there is a danger
               of rockfalls or avalanches.
              --Traveling in the secondary or unimproved
               roads to isolated mountaintop
               installations at night, or under adverse
               weather conditions (snow, rain, or fog)
               which limits visibility to less than 30
               meters (100 feet), when there is danger
               of rock, mud, or snowslides
              --Traveling in the wintertime, either on
               foot or by vehicle, over secondary or
               unimproved roads or snowtrails, in
               sparsely settled or isolated areas to
               isolated installations when there is
               danger of avalanches, or during
               ``whiteout'' phenomenon which limits
               visibility to less than 3 meters (10
               feet)
              --Working or traveling in sparsely settled
               or isolated areas with exposure to
               temperatures and/or wind velocity shown
               to be of considerable or very great
               danger on the windchill chart (Exhibit 1
               of this appendix), and shelter (other
               than temporary shelter) or assistance is
               not readily available
              --Snowplowing or snow and ice removal on
               primary, secondary or other class of
               roads, when (a) there is danger of
               avalanche or (b) there is danger of
               missing the road and falling down steep
               mountainous slopes, because of lack of
               snow-stakes, ``whiteout'' conditions, or
               sloping icepack covering the snow
         25   10. Unshored work. Working in excavation    July 1, 1972.
               areas before the installation of proper
               shoring or other securing barriers, or in
               catastrophe areas, where there is a
               possibility of cave-in, building collapse
               or falling debris when such exposures
               introduce risk of significant injury or
               death to employees, such as the
               following:
              Examples:
              --Working adjacent to the walls of an
               unshored excavation at depths greater
               than 1.8 meters (6 feet) (except when the
               full depth of the excavation is in stable
               solid rock, hard slag, or hard shale, or
               the walls have been graded to the angle
               of repose; that is, where the danger of
               slides is practically eliminated), when
               work is performed at a distance from the
               wall which is less than the height of the
               wall
              --Working within or immediately adjacent
               to a building or structure which has been
               severely damaged by earthquake, fire,
               tornado or similar cause
              --Working underground in the construction
               and/or inspection of tunnels and shafts
               before the necessary lining of the
               passageway have been installed
              --Duty underground in abandoned mines
               where lining of tunnels or shafts is in a
               deteriorated condition
         15   11. Ground work beneath hovering            July 1, 1972.
               helicopter. Participating in operation to
               attach or detach external load to
               helicopter hovering just overhead.

[[Page 462]]

 
         15   12. Hazardous boarding or leaving of        July 1, 1972.
               surface craft. Boarding or leaving
               vessels or transferring equipment to or
               from a surface craft under adverse
               conditions of foul weather, ice, or night
               when sea state is high (0.9 meter (3
               feet) and above), and deck conditions and/
               or wind velocity in relation to the size
               of the craft introduce unusual risks to
               employees.
              Examples:
              --Boarding or leaving vessels at sea.
              --Boarding or leaving, or transferring
               equipment between small boats or rafts
               and steep, rocky, or coral-surrounded
               shorelines
              --Transferring equipment between a small
               boat and a rudimentary dock by improvised
               or temporary facility such as an
               unfastened plank leading from boat to
               dock
              --Boarding or leaving, or transferring
               equipment from or to ice covered floats,
               rafts, or similar structures when there
               is danger of capsizing due to the added
               weight of the ice
          8   13. Cargo handling during lightering        July 1, 1972.
               operations. Off-lading of cargo and
               supplies from surface ships to Landing
               Craft-Medium (LCM) boats when swells or
               wave action are sufficiently severe as to
               cause sudden listing or pitching of the
               deck surface or shifting or falling of
               equipment, cargo, or supplies which could
               subject the employee to falls, crushing,
               ejection into the water or injury by
               swinging cargo hooks.
         15   14. Duty aboard surface craft. Duty aboard  July 30, 1972.
               a surface craft when the deck conditions
               or sea state and wind velocity in
               relation to the size of the craft
               introduces the risk of significant injury
               or death to employees, such as the
               following:.
              Participating as a member of a water
               search and rescue team in adverse weather
               conditions when winds are blowing at 56
               km/h (35 m.p.h.) (classified as gale
               winds) or in water search and rescue
               operations at night
              --Participating as a member of a weather
               projects team when work is performed
               under adverse weather conditions, when
               winds are blowing at 56 km/h (35 m.p.h.),
               and/ or when seas are in excess of 4.3
               meters (14 feet), or when working on
               outside decks when decks are slick and
               icy when swells are in excess of 0.9
               meter (3 feet)
              --When embarking, disembarking or
               traveling in small craft (boat) on Lake
               Ponchartrain when wind direction is from
               north northeast or northwest, and wind
               velocity is over 7.7 meters per second
               (15 knots); or when travel on Lake
               Ponchartrain is necessary in small craft,
               without radar equipment, due to emergency
               or unavoidable conditions and the trip is
               made in dense fog run procedures
              --Participating in deep research vessel
               sea duty wherein the team member is
               engaged in handling equipment on or over
               the side of the vessel when the sea state
               is high (6.2-meter-per-second (12-knot)
               winds and 0.9 meter (3-foot) waves) and
               the work is done on relatively
               unprotected deck areas
              --Transferring from a ship to another ship
               via a chair harness hanging from a
               highline between the ships when both
               vessels are under way
              --Duty performed on floating platforms,
               camels, or rafts, using tools equipment
               or materials associated with ship repair
               or construction activities, where swells
               or wave action are sufficiently severe to
               cause sudden listing or pitching of the
               deck surface or dislodgement of equipment
               which could subject the employee to
               falls, crushing, or ejection into the
               water
         50   15. Work at extreme heights. Working at     Oct. 22, 1972.
               heights 30 meters (100 feet) or more
               above the ground, deck, floor or roof, or
               from the bottom of a tank or pit on such
               open structures as towers, girders,
               smokestacks and similar structures:
              (1) If the footing is unsure or the
               structure is unstable; or
              (2) If safe scaffolding, enclosed ladders
               or other similar protective facilities
               are not adequate (for example, working
               from a swinging stage, boatswain chair,
               or a similar support); or
              (3) If adverse conditions such as
               darkness, steady rain, high wind, icing,
               lightning, or similar environmental
               factors render working at such height(s)
               hazardous
          6   16. Fibrous Glass Work. Working with or in  Feb. 28, 1975.
               close proximity to fibrous glass material
               which results in exposure of the skin,
               eyes or respiratory system to irritating
               fibrous glass particles or slivers where
               exposure is not practically eliminated by
               the mechnical equipment or protective
               devices being used.
         50   17. High Voltage Electrical Energy.         Apr. 11, 1977.
               Working on energized electrical lines
               rated at 4,160 volts or more which are
               suspended from utility poles or towers,
               when adverse weather conditions such as
               steady rain, high winds, icing,
               lightning, or similar environmental
               factors make the work unusually
               hazardous.
          6   18. Welding, Cutting or Burning in          Jan. 18, 1978.
               Confined Spaces. Welding, cutting, or
               burning within a confined space which
               necessitates working in a horizontal or
               nearly horizontal position, under
               conditions requiring egress of at least
               4.3 meters (14 feet) over and through
               obstructions including: (1) access
               openings and baffles having dimensions
               which greatly restrict movements, and (2)
               irregular inner surfaces of the structure
               or structure components.
------------------------------------------------------------------------


[[Page 463]]


            Part II--Payment on Basis of Hours in Pay Status
------------------------------------------------------------------------
Differential
    rate              Category for which payable          Effective date
  (percent)
------------------------------------------------------------------------
         50   1. Duty aboard submerged vessel. Duty       Nov. 1, 1970.
               aboard a submarine or other vessel such
               as a deep-research vehicle while
               submerged..
          8   2. Explosives and incendiary material--     Nov. 1, 1970.
               high degree hazard. Working with or in
               close proximity to explosives and
               incendiary material which involves
               potential personal injury such as
               permanent or temporary, partial or
               complete loss of sight or hearing,
               partial or complete loss of any or all
               extremities; other partial or total
               disabilities of equal severity; and/or
               loss of life resulting from work
               situations wherein protective devices and/
               or safety measures either do not exist or
               have been developed but have not
               practically eliminated the potential for
               such personal injury. Normally, such work
               situations would result in extensive
               property damage requiring complete
               replacement of equipment and rebuilding
               of the damaged area; and could result in
               personal injury to adjacent employees.
              Examples
              --Working with, or in close proximity to
               operations involved in research, in
               testing, manufacturing, inspection,
               renovation, maintenance and disposal,
               such as:
              --Screening, blending, drying, mixing, and
               pressing of sensitive explosives and
               pyrotechnic compositions such as lead
               azide, black powder and photoflash powder
              --Manufacture and distribution of raw
               nitroglycerine
              --Nitration, neutralization,
               crystallization, purification, screening
               and drying of high explosives
              --Manufacture of propellants, high
               explosives and incendiary materials
              --Melting, cast loading, pellet loading,
               drilling, and thread cleaning of high
               explosives
              --Manufacture of primary or initiating
               explosives such as lead azide
              --Manufacture of primer or detonator mix
              --Loading and assembling high-energy
               output flare pellets
              --All dry-house activities involving
               propellants or explosives
              --Demilitarization, modification,
               renovation, demolition, and maintenance
               operations on sensitive explosives and
               incendiary materials
              --All operations involving fire fighting
               on an artillery range or at an ammunition
               manufacturing plant or storage area,
               including heavy duty equipment operators,
               truck drivers, etc.
              --All operations involving regrading and
               cleaning of artillery ranges
              --At-sea shock and vibration tests. Arming
               explosive charges and/or working with, or
               in close proximity to, explosive-armed
               charges in connection with at-sea shock
               and vibration tests of naval vessels,
               machinery, equipment and supplies
              --Handling or engaging in destruction
               operations on an armed (or potentially
               armed) warhead
          4   3. Explosives and incendiary material--low  Nov. 1, 1970.
               degree hazard. a. Working with or in
               close proximity to explosives and
               incendiary material which involves
               potential injury such as laceration of
               hands, face, or arms of the employee
               engaged in the operation and possible
               adjacent employees; minor irritation of
               the skin; minor burns and the like;
               minimal damage to immediate or adjacent
               work area or equipment being used.
              b. Working with or in close proximity to    Mar. 13, 1977.
               explosives and incendiary material which
               involves potential injury such as
               laceration of hands, face, or arms of the
               employee engaged in the operation and
               possible adjacent employees; minor
               irritation of the skin; minor burns and
               the like; minimal damage to immediate or
               adjacent work area or equipment being
               used and wherein protective device and/or
               safety measures have not practically
               eliminated the potential for such injury
              Examples
              --All operations involving loading,
               unloading, storage and hauling of
               explosive and incendiary ordnance
               material other than small arms
               ammunition. (Distribution of raw
               nitroglycerine is covered under high
               degree hazard--see category 2 above.)
              --Duties such as weighing, scooping,
               consolidating and crimping operations
               incident to the manufacture of stab,
               percussion, and low energy electric
               detonators (initiators) utilizing
               sensitive primary explosives compositions
               where initiation would be kept to a low
               order of propagation due to the limited
               amounts permitted to be present or
               handled during the operations
              --Load, assembly and packing of primers,
               fuses, propellant charges, lead cups,
               boosters, and time-train rings
              --Weighing, scooping, loading in bags and
               sewing of ignitor charges and propellant
               zone charges
              --Loading, assembly, and packing of hand-
               held signals, smoke signals, and colored
               marker signals
              --Proof-testing weapons with a known
               overload of powder or charges
              --Arming/disarming or the installation/
               removal of any squib, explosive device,
               or component thereof, connected to or
               part of a solid propulsion system,
               including work situations involving
               removal, inspection, test and
               installation of aerospace vehicle egress
               and jettison systems and other cartridge
               actuated devices and rocket assisted
               systems or components thereof, when
               accidental or inadvertent operation of
               the system or a component might occur

[[Page 464]]

 
          8   4. Poisons (toxic chemicals)--high degree   Nov. 1, 1970.
               hazard. Working with or in close
               proximity to poisons (toxic chemicals),
               other than tear gas or similar irritants,
               which involves potential serious personal
               injury such as permanent or temporary,
               partial or complete loss of faculties and/
               or loss of life including exposure of an
               unusual degree to toxic chemicals, dust,
               or fumes of equal toxicity generated in
               work situations by processes required to
               perform work assignments wherein
               protective devices and/or safety measures
               have been developed but have not
               practically eliminated the potential for
               such personal injury.
              Examples                                    ..............
              --Handling and storing toxic chemical
               agents including monitoring of areas to
               detect presence of vapor or liquid
               chemical agents; examining of material
               for signs of leakage or deteriorated
               material; decontaminating equipment and
               work sites; work relating to disposal of
               deteriorated material (exposure to
               conjunctivitis, pulmonary edema, blood
               infection, impairment of the nervous
               system, possible death)
              --Renovation, maintenance, and
               modification of toxic chemicals, guided
               missiles, and selected munitions
              --Operating various types of chemical
               engineering equipment in a restricted
               area such as reactors, filters, stripping
               units, fractioning columns, blenders,
               mixers, pumps, and the like utilized in
               the development, manufacturing, and
               processing of toxic or experimental
               chemical warfare agents
              --Demilitarizing and neutralizing toxic
               chemical munitions and chemical agents
              --Handling or working with toxic chemicals
               in restricted areas during production
               operations
              --Preparing analytical reagents, carrying
               out colorimetric and photometric
               techniques, injecting laboratory animals
               with compounds having toxic,
               incapacitating or other effects
              --Recording analytical and biological
               tests results where subject to above
               types of exposure
              --Visually examining chemical agents to
               determine conditions or detect leaks in
               storage containers
              --Transferring chemical agents between
               containers
              --Salvaging and disposing of chemical
               agents
          4   5. Poisons (toxic chemicals)--low egress    Nov. 1, 1970.
               hazard. a. Working with or in close
               proximity to poisons (toxic chemicals
               other than tear gas or similar irritating
               substances) in situations for which the
               nature of the work does not require the
               individual to be in as direct contact
               with, or exposure to, the more toxic
               agents as in the case with the work
               described under high hazard for this
               class of hazardous agents.
              b. Working with or in close proximity to    Mar. 13, 1977.
               poisons (toxic chemicals other than tear
               gas or similar irritating substances) in
               situations for which the nature of the
               work does not require the individual to
               be in as direct contact with, or exposure
               to, the more toxic agents as in the case
               with the work described under high hazard
               for this class of hazardous agents and
               wherein protective devices and/or safety
               measures have not practically eliminated
               the potential for personal injury
              Example                                     ..............
              --Handling for shipping, marking,
               labeling, hauling and storing loaded
               containers of toxic chemical agents that
               have been monitored
          8   6. Micro-organisms--high degree hazard.     Nov. 1, 1970.
               Working with or in close proximity to
               micro-organisms which involves potential
               personal injury such as death, or
               temporary, partial, or complete loss of
               faculties or ability to work due to
               acute, prolonged, or chronic disease.
               These are work situations wherein the use
               of safety devices and equipment, medical
               prophylactic procedures such as vaccines
               and antiserims and other safety measures
               do not exist or have been developed but
               have not practically eliminated the
               potential for such personal injury.
              Examples
              --Direct contact with primary containers
               of organisms pathogenic for man such as
               culture flasks, culture test tubes,
               hypodermic syringes and similar
               instruments, and biopsy and autopsy
               material. Operating or maintaining
               equipment in biological experimentation
               or production
              --Cultivating virulent organisms on         ..............
               artificial media, including embryonated
               hen's eggs and tissue cultures where
               inoculation or harvesting of living
               organisms is involved for production of
               vaccines, toxides, etc., or for sources
               of material for research investigations
               such as antigenic analysis and chemical
               analysis
          4   7. Micro-organisms--low degree hazard. a.   Nov. 1, 1970.
               Working with or in close proximity to
               micro-organisms in situations for which
               the nature of the work does not require
               the individual to be in direct contact
               with primary containers of organisms
               pathogenic for man, such as culture
               flasks, culture test tubes, hypodermic
               syringes and similar instruments, and
               biopsy and autopsy material
              b. Working with or in close proximity to    Mar. 13, 1977.
               micro-organisms in situations for which
               the nature of the work does not require
               the individual to be in direct contact
               with primary containers of organisms
               pathogenic for man, such as culture
               flasks, culture test tubes, hypodermic
               syringes and similar instruments, and
               biopsy and autopsy material and wherein
               the use of safety devices and equipment
               and other safety measures have not
               practically eliminated the potential for
               personal injury

[[Page 465]]

 
          8   8. Pressure chamber and centrifugal         July 1, 1972.
               stress. Exposure in pressure chamber
               which subjects employee to physical
               stresses or where there is potential
               danger to participants by reason of
               equipment failure or reaction to the test
               conditions; or exposure which subjects an
               employee to a high degree of centrifugal
               force which causes an unusual degree of
               discomfort
              Examples
              --Participating as a subject in diving
               research tests which seek to establish
               limits for safe pressure profiles by
               working in a pressure chamber simulating
               diving or, as an observer to the test or
               as a technician assembling underwater
               mock-up components for the test, when the
               observer or technician is exposed to high
               pressure gas piping systems, gas
               cylinders, and pumping devices which are
               susceptible to explosive ruptures
              --Participating in altitude chamber         ..............
               studies ranging from 5500 to 45,700
               meters (18,000 to 150,000 feet) either as
               subject or as observer exposed to the
               same conditions as the subject
              --Participating as subject in centrifuge    ..............
               studies involving elevated G forces above
               the level of 49 meters per second \2\ (5
               G's) whether or not at reduced
               atmospheric pressure
              --Participating as a subject in a           ..............
               rotational flight simulator in studies
               involving continuous rotation in one axis
               through 360[deg] at rotation rates
               greater than 15 r.p.m. for periods
               exceeding three minutes
          8   9. Work in fuel storage tanks. When         July 1, 1972.
               inspecting, cleaning or repairing fuel
               storage tanks where there is no ready
               access to an exit, under conditions
               requiring a breathing apparatus because
               all or part of the oxygen in the
               atmosphere has been displaced by toxic
               vapors or gas, and failure of the
               breathing apparatus would result in
               serious injury or death within the time
               required to leave the tank
              10. Firefighting. Participating or          July 1, 1972.
               assisting in firefighting operations on
               the immediate fire scene and in direct
               exposure to the hazards inherent in
               containing or extinguishing fires
         25   High degree                                 ..............
              --Fighting forest and range fires on the    ..............
               fireline
          8   Low degree                                  ..............
              --All other firefighting                    ..............
          8   11. Experimental landing/recovery           July 1, 1972.
               equipment tests
              --Participating in tests of experimental    ..............
               or prototype landing and recovery
               equipment where personnel are required to
               serve as test subjects in spacecraft
               being dropped into the sea or laboratory
               tanks
          8   12. Land impact or pad abort of space       July 1, 1972.
               vehicle. Actual participation in dearming
               and safing explosive ordnance, toxic
               propellant, and high-pressure vessels on
               vehicles that have land impacted or on
               vehicles on the launch pad that have
               reached a point in the countdown where no
               remote means are available for returning
               the vehicle to a safe condition
          4   13. Mass explosives and/or incendiary       July 1, 1972.
               material. Working within a controlled
               danger area in, on, or around wharves,
               transfer areas, or temporary holding
               areas in a transshipment facility when
               explosives are in the process of being
               shifted to or from a conveyance
              Such an area shall include land and sea
               areas within which it has been determined
               that personnel are subject to an unusual
               degree of exposure or liability to
               serious injury or death from potential
               explosive effect
              A transshipment facility for this purpose   ..............
               is a port or sea terminal established for
               the marshalling or temporary assembly of
               explosives prior to shipment where
               amounts in excess of 113,400 kilograms
               (250,000 pounds) net explosive weight
               (NEW) are present on a regular or
               recurring basis
          4   14. Duty aboard aircraft carrier. Duty      July 1, 1972.
               aboard an aircraft carrier when exposed
               to hazards connected with aircraft launch
               and recovery:
              Examples                                    ..............
              --Participating in carrier suitability
               trials aboard aircraft carriers when work
               is performed on the flight deck during
               launch, recovery and refueling operations
              --Operating or monitoring camera equipment  Mar. 4, 1974.
               adjacent to flight deck in the area of
               maximum hazard during landing sequence
               while conducting photographic surveys
               aboard aircraft carriers during periods
               of heavy aircraft operations
          8   15. Participating in missile liquid         ..............
               propulsion or solid propulsion
               situations. Participating in research and
               development, or preoperational test and
               evaluation situation involving missile
               liquid or solid propulsion systems where
               mechanical, or other equipment
               malfunction, or accidental combination of
               certain fuels and/or chemicals, or
               transient voltage and current buildup on
               or within the system when the system is
               in a ``go'' condition on the test stand,
               or sled, can result in explosion, fire,
               premature ignition or firing
              Examples                                    ..............
              --Test stand or track tests, when adequate
               protective devices and/or safety measures
               either do not exist or have been
               developed but have not practically
               eliminated the potential for personal
               injury, under any of the following
               conditions:
              a. Tanks are being pressurized above
               normal servicing pressure
              b. Assembly, disassembly, or repair of
               contaminated plumbing containing
               inhibited red fuming nitric acid and
               unsymmetrical dimethylhydrazine or other
               hypergolic fuels is required
              c. Fueling and defeuling                    ..............

[[Page 466]]

 
              --Hoisting hypergolic liquid fueled         ..............
               systems into, or out of, a test stand,
               where the working area is confined, and
               external plumbing is present resulting in
               a situation where the plumbing may be
               damaged causing a leak
              --Tests on foreign missiles where           ..............
               technical data is questionable or not
               available
              --Manned test firings of small, close       ..............
               support missiles for which safety
               performance data are not yet available
              --Removal of a missile, propulsion system   ..............
               or component thereof from a test stand,
               fixture, or environmental chamber where
               there is reason to believe that the item
               may be unusually hazardous due to damage
               resulting from the test
          8   16. Asbestos. Working in an area where      Mar. 9, 1975.
               airborne concentrations of asbestos
               fibers may expose employees to potential
               illness or injury and protective devices
               or safety measures have not practically
               eliminated the potential for such
               personal illness or injury
          8   17. Working at high altitudes. Performing   April 2, 1999.
               work at a land-based work site more than
               3900 meters (12,795 feet) in altitude,
               provided the employee is required to
               commute to the work site on the same day
               from a substantially lower altitude under
               circumstances in which the rapid change
               in altitude may result in acclimation
               problems
------------------------------------------------------------------------


[[Page 467]]

                                Exhibit 1
[GRAPHIC] [TIFF OMITTED] TC01SE91.000


[[Page 468]]



                   windchill chart in non-metric units
[GRAPHIC] [TIFF OMITTED] TC01SE91.001


[55 FR 46180, Nov. 1, 1990; 55 FR 52267, Dec. 21, 1990; 55 FR 53608, 
Dec. 31, 1990; 58 FR 32274, June 9, 1993; 64 FR 15916, Apr. 2, 1999]



                      Subpart F--Job Grading System



Sec. 532.601  General.

    The Office of Personnel Management shall establish a job grading 
system in accordance with section 5346 of title 5, United States Code. 
Appropriate instructions to agencies on the application of the job 
grading system shall be published by the Office of Personnel Management. 
Agencies are required to grade all jobs subject to this part in 
accordance with such instructions.



               Subpart G--Job Grading Reviews and Appeals



Sec. 532.701  General.

    A prevailing rate employee may at any time appeal the occupational 
series, grade, or title to which the employee's job is assigned, but may 
not appeal under this subpart the standards established for the job, nor 
other matters such as the accuracy of the job description, the rate of 
pay, or the propriety of a wage schedule rate. The filing of a job-
grading appeal does not negate any other appeal or grievance rights 
which may be available under applicable law, rule, regulation, or 
negotiated agreement.

[51 FR 18561, May 21, 1986]



Sec. 532.703  Agency review.

    (a) Each agency shall establish a system processing an employee's 
application for review of the correctness of the series, grade or title 
of the employee's job.

    Note: Application for review will be hereafter referred to as an 
``application''.

    (b) In establishing the system required by this subpart, an agency, 
as a minimum, shall provide that the following requisites be met.

[[Page 469]]

    (1) The provisions of the system shall be published and the agency's 
employees shall be informed where a published copy is available for 
review.
    (2) An application shall be in writing and contain the reasons the 
employee believes the position is erroneously graded.
    (3) An application may be filed at any time. However, when the 
application involves a downgrading or other job-grading action which 
resulted in a reduction in grade or loss or pay, in order to be entitled 
to retroactive corrective action, an employee must request a review 
under the provisions of this subpart within 15 calendar days of the 
effective date of the change to lower grade.
    (4) An employee may select a representative, and the employee and 
the representative, when the representative is also employed by the same 
agency, shall be granted a reasonable time in presenting the application 
and shall be assured freedom from restraint, interference, coercion, or 
reprisal in presenting the application.
    (5) An employee shall promptly furnish such facts as may be 
requested by the agency.
    (6) An application shall be canceled and the employee so notified in 
the following circumstances:
    (i) On receipt of a written request by the employee;
    (ii) Failure of the employee to furnish required information or 
otherwise fail to proceed with the advancement of his application in a 
timely manner; however, instead of cancellation for failure by the 
employee to prosecute, the application may be adjudicated by the agency 
if the information is sufficient for that purpose; or
    (iii) On notice that the employee has left the job, except when the 
employee would be entitled to the retroactive benefits including 
benefits allowable after the death of an employee appellant.
    (7) The application shall be processed and decided promptly. No more 
than one level of review may be established within an agency before a 
final decision is issued, and that level of review, when possible, must 
be above the level of classification authority which classified the 
position.
    (8) When an employee applies for a review of a downgrading or other 
job-grading action that resulted in a reduction of pay, and the decision 
of an agency reverses in whole or in part the downgrading or other job-
grading action, the effective date of that decision shall be retroactive 
to the effective date of the action being reviewed when the initial 
application to the agency was submitted in accordance with paragraph 
(b)(3) of this section. However, when the agency decision raises the 
grade or level of the job above its grade or level immediately preceding 
the downgrading, retroactivity shall apply only to the extent of 
restoration to the grade or level immediately preceding the downgrading.
    (9) The right to a retroactive effective date is preserved when an 
agency finds that an employee was not notified of the applicable time 
limit for review and was not otherwise aware of the limit or that 
circumstances beyond the employee's control prevented filing the 
application within the prescribed time limit.
    (10) The effective date of a change in the series, title or grade of 
a job shall be specified in the agency decision and, unless otherwise 
required by this subpart, may not be earlier than the date of the 
decision. However, in no case may it be later than the beginning of the 
first pay period which begins after the 60th calendar day from the date 
the application was filed. However, when the agency decision will result 
in a downgrading or other job-grading action that will reduce the pay of 
the incumbent of the job, the effective date may not be set earlier than 
the date on which the decision can be effected in accordance with 
procedures required by applicable law and regulation. The retroactive 
reclassification may be based only on duties and responsibilities 
existing at the time of downgrading or loss of pay and not on duties and 
responsibilities later assigned.
    (11) When an application has been properly filed and the employee 
dies before the application has been processed, if a favorable decision 
would entitle the employee to retroactive corrective action, the 
application will be

[[Page 470]]

processed to completion after the employee's death and any appropriate 
corrective action made by amending the records of the agency.
    (12) The decision on an application shall:
    (i) Be based on the record,
    (ii) Be in writing,
    (iii) Inform the employee either in the decision or as an attachment 
to the decision of the reasons for the decision, including an analysis 
of the employee's job, i.e., comparing the job with the appropriate 
standard, and
    (iv) Inform the employee of the right to appeal the decision to the 
Office of Personnel Management and of the time limits within which the 
application must be filed.
    (c) The agency is responsible for compiling and maintaining a job-
grading review file which will constitute the record and which will not 
contain any document or information which the employee has not been 
given an opportunity to review.

[46 FR 21344, Apr. 10, 1981, as amended at 51 FR 18561, May 21, 1986]



Sec. 532.705  Appeal to the Office of Personnel Management.

    (a)(1) An employee may appeal the occupation series, grade or title 
of the job to the appropriate office of the Office of Personnel 
Management only (i) after the agency has issued a decision under the 
system established under Sec. 532.703; and (ii) if the employee files 
the appeal with the Office of Personnel Management within 15 calendar 
days after receipt of the decision of the agency.
    (2) The Office of Personnel Management may extend this time limit if 
it is shown that the employee was not notified of the applicable time 
limit and was not otherwise aware of the limit, or that circumstances 
beyond the employee's control prevented filing an appeal within the 
prescribed time limit.
    (b) An employee shall make the appeal in writing and shall identify 
specifically the portions of the decision or job analysis of the agency 
with which the employee disagrees.
    (c) The Office of Personnel Management shall base its decision on 
the record established in the agency, except that when the Office of 
Personnel Management investigates or audits the job it may take the 
results of the investigation or audit into consideration. In the event 
the Office of Personnel Management audits the job, the employee's 
representative may not be present.
    (d) The Office of Personnel Management shall notify the employee and 
the agency in writing of its decision. The effective date of a change in 
the series, title and grade of a job directed by the Office of Personnel 
Management shall be specified in the decision of the Office of Personnel 
Management, computed from the date the employee filed the application 
with the agency, and determined under Sec. 532.703(b)(10). However, when 
the decision will result in a downgrading or other job-grading action 
that will reduce the pay of the incumbent of the job, the effective date 
may not be set earlier than the date on which the decision can be 
effected in accordance with procedures required by applicable law and 
regulation.
    (e) The appeal of an employee shall be canceled and the employee so 
notified in the following circumstances:
    (1) On receipt of the employee's written request;
    (2) On failure to prosecute, when the employee does not furnish 
requested information and duly proceed with the advancement of the 
appeal; however, instead of cancellation for failure to prosecute, an 
appeal may be adjudicated if the information is sufficient for that 
purpose. The Office of Personnel Management may reopen a canceled appeal 
on a showing that circumstances beyond the control of the employee 
prevented the employee from prosecuting the appeal; or
    (3) On notice that the employee has left the job, except when 
entitled to retroactive benefits, including benefits allowable after the 
death of an appellant.
    (f) The Office of Personnel Management may, at its discretion, 
reopen and reconsider any job-grading decision made by a regional office 
when requested by an employee or an agency. This authority may be used 
under circumstances such as the following:
    (1) An employee or an agency presents material facts not previously

[[Page 471]]

considered by the regional office involved;
    (2) There is room for reasonable doubt as to the appropriateness of 
a regional office decision; or
    (3) The potential impact of a regional office decision on similar 
jobs under other regional offices is sufficiently significant to make 
central office review of the decision desirable.
    (g) The Director of the Office of Personnel Management may, at his 
or her discretion, reopen and reconsider any previous decision when the 
party requesting reopening submits written argument or evidence which 
tends to establish that:
    (1) New and material evidence is available that was not readily 
available when the previous decision was issued;
    (2) The previous decision involves an erroneous interpretation of 
law or regulation or a misapplication of established policy; or
    (3) The previous decision is of a precedential nature involving a 
new or unreviewed policy consideration that may have effects beyond the 
actual case at hand, or is otherwise of such an exceptional nature as to 
merit the personal attention of the Director of the Office of Personnel 
Management.
    (h) A final decision by the Office of Personnel Management 
constitutes a certificate which is mandatory and binding on all 
administrative, certifying, payroll, disbursing, and accounting 
officials of the Government.

[46 FR 21344, Apr. 10, 1981, as amended at 51 FR 18561, May 21, 1986]



Sec. 532.707  Availability of information.

    (a) The Office, upon a request which identifies the individual from 
whose file the information is sought, shall disclose the following 
information from an appeal file to a member of the public, except when 
the disclosure would constitute a clearly unwarranted invasion of 
personal privacy:
    (1) Confirmation of the name of the individual from whose file the 
information is sought and the names of the other parties concerned;
    (2) The status of the appeal;
    (3) The results of the appeal (i.e., proper title, pay plan, series, 
and grade);
    (4) The classification requested (i.e., title, pay plan, series, and 
grade); and
    (5) With the consent of the parties concerned, other reasonably 
identified information from the file.
    (b) The Office will disclose to the parties concerned the 
information contained in an appeal file in proceedings under this part. 
For the purposes of this section, the parties concerned means the 
Government employee or former Government employee involved in the 
proceedings, his or her representative designated in writing, and the 
representative of the agency or the Office involved in the proceeding.

[50 FR 3313, Jan. 24, 1985]



 Subpart H--Payment of Unrestricted Rates for Recruitment or Retention 
                                Purposes



Sec. 532.801  Payment of unrestricted rates for recruitment or retention purposes.

    (a) When authorized by specific statutory authority providing for 
exceptions to pay limitations imposed by statute, the Office of 
Personnel Management (OPM) may approve exceptions to the pay limitations 
if OPM determines that such exceptions are necessary to ensure the 
recruitment or retention of qualified employees.
    (b) Requests for payment of unrestricted rates under this subpart 
shall be submitted by employing agencies' headquarters to the 
appropriate lead agency. The lead agency shall coordinate each request 
with other agencies, as necessary, and submit a consolidated request to 
OPM. The consolidated request shall include any available supporting 
wage survey data and a formal recommendation by the lead agency to 
approve or disapprove the request.
    (c) Rates authorized under paragraph (a) of this section shall be 
equal to the regular or special schedule unrestricted (uncapped) rates 
and may be authorized for use within all or part of a wage area for a 
designated occupation or occupational specialization and grade.
    (d) In approving rates under this subpart, OPM shall consider the 
factors specified in Sec. 532.251(b) of this part.

[[Page 472]]

    (e) The unrestricted rates authorized under this subpart shall be 
shown on the appropriate regular or special schedule or as an amendment 
to the schedule and shall indicate the wage area (or part thereof) and 
each occupation or occupational specialization and grade for which the 
rates are authorized. These rates shall be paid by all agencies having 
such positions in the wage area (or part thereof) specified.

[57 FR 57876, Dec. 8, 1992]



PART 534--PAY UNDER OTHER SYSTEMS--Table of Contents




Subpart A [Reserved]

          Subpart B--Student-Employees in Government Hospitals

Sec.
534.201 General.
534.202 Coverage.
534.203 Maximum stipends.
534.204 Previous authorizations.

      Subpart C--Basic Pay for Employees of Temporary Organizations

534.301 Purpose.
534.302 Coverage.
534.303 Basic pay for executive level positions.
534.304 Basic pay for staff positions.
534.305 Pay periods and computation of pay.

Subpart D--Pay and Performance Awards Under the Senior Executive Service

534.401 Definitions and setting individual basic pay.
534.402 Aggregate compensation.
534.403 Performance awards.
534.404 Pay computation for members of the Senior Executive Service.
534.405 Restrictions on premium pay and compensatory time.

    Subpart E--Pay for Senior-Level and Scientific and Professional 
                                Positions

534.501 Coverage.
534.502 Pay range.
534.503 Pay setting.
534.504 Annual adjustment in pay.
534.505 Pay related matters.
534.506 Conversion provisions.

        Subpart F--Pay for Administrative Appeals Judge Positions

534.601 Coverage.
534.602 Definitions.
534.603 Rates of basic pay.
534.604 Pay administration.
534.605 Conversion.

    Authority: 5 U.S.C. 1104, 3161(d), 5307, 5351, 5352, 5353, 5376, 
5383, 5384, 5385, 5541, and 5550a.

Subpart A [Reserved]



          Subpart B--Student-Employees in Government Hospitals

    Source: 44 FR 54693, Sept. 21, 1979, unless otherwise noted.



Sec. 534.201  General.

    Under subchapter V of chapter 53 of title 5, United States Code 
(U.S.C. 5351-5356), agencies may pay stipends and provide certain 
services to certain student-employees assigned or attached to hospitals, 
clinics, or medical or dental laboratories operated by agencies. 
Student-employees covered under the program are excluded from certain 
provisions of law relating to classification, General Schedule pay, 
premium pay, leave, and hours of duty. This subpart authorizes the 
coverage of certain positions under this program and establishes maximum 
stipends for student-employees in the program.



Sec. 534.202  Coverage.

    In addition to the student-employees specified in 5 U.S.C. 
5351(2)(A), the following student-employees are covered under this 
program, provided they are assigned or attached principally for training 
purposes to a hospital, clinic, or medical or dental laboratory operated 
by an agency:
    (1) Any student-employee whom an agency finds is properly covered 
under this program, provided that the student-employee is a registered 
student at an accredited academic institution and that the assignment or 
attachment for training purposes to the hospital, clinic, or medical or 
dental laboratory is a part of a medical or dental training program 
accredited by an appropriate accrediting body;
    (2) Any student-employee whom an agency finds is properly covered 
under

[[Page 473]]

this program, provided that the student-employee, during the period of 
assignment or attachment to the hospital, clinic, or medical or dental 
laboratory, will receive experience or training that is required to 
obtain a certificate or license in a medical or dental field; or
    (3) Any student-employee not otherwise covered under this program 
whom the Office of Personnel Management approves for coverage as a 
student-employee under this program.

[44 FR 54693, Sept. 21, 1979, as amended at 64 FR 68931, Dec. 9, 1999]



Sec. 534.203  Maximum stipends.

    (a) Except as authorized under paragraph (b) or (c) of this section, 
stipends are to be set by the agency, subject to the maximum stipends 
prescribed in the following table:

                                           Maximum Stipends Prescribed
----------------------------------------------------------------------------------------------------------------
                                             Academic level of approved training      Maximums by grade and step
               Code symbol                                 program                               \1\
----------------------------------------------------------------------------------------------------------------
L-A.....................................  Below high school graduation.............  GS-1-1 (minus 3 steps).
L-1.....................................  First year college undergraduate.........  GS-2-1 (minus 3 steps).
L-2.....................................  Second year college undergraduate........  GS-3-1 (minus 3 steps).
L-3.....................................  Third year college undergraduate.........  GS-3-3 (minus 3 steps).
L-4.....................................  Fourth year college undergraduate........  GS-4-2 (minus 3 steps).
L-5.....................................  First year postgraduate predoctoral......  GS-5-1 (minus 3 steps).
L-6.....................................  Second year postgraduate predoctoral.....  GS-7-1 (minus 3 steps).
L-6.....................................  Third year medical school................  GS-7-1 (minus 3 steps).
L-7.....................................  Third year postgraduate predoctoral......  GS-9-1 (minus 3 steps).
L-7.....................................  Fourth year medical school...............  GS-9-1 (minus 3 steps).
L-8.....................................  Fourth year postgraduate predoctoral.....  GS-10-1 (minus 3 steps).
L-8.....................................  Medical or dental internship.............  GS-10-1 (minus 3 steps).
L-9.....................................  Fifth year postgraduate w/o doctorate....  GS-11-1 (minus 3 steps).
L-9.....................................  First year postgraduate (Ph. D.).........  GS-11-1 (minus 3 steps).
L-9.....................................  First year medical or dental residency...  GS-11-1 (minus 3 steps).
L-10....................................  Second year postdoctoral (Ph. D.)........  GS-12-1 (minus 3 steps).
L-10....................................  Second year medical or dental residency..  GS-12-1 (minus 3 steps).
L-11....................................  Third year medical or dental residency...  GS-12-4 (minus 3 steps).
L-12....................................  Fourth year medical or dental residency..  GS-13-1 (minus 3 steps).
L-13....................................  Fifth year medical residency.............  GS-14-1 (minus 3 steps).
----------------------------------------------------------------------------------------------------------------
\1\ The maximum money amount in each case is derived by subtracting from the statutory salary for the
  appropriate grade a sum equivalent to three step increments of that grade. This amount includes overtime pay,
  maintenance allowances, and other payments in money or kind.

    (b) An agency may pay a student-employee a stipend in excess of the 
amount prescribed under paragraph (a) of this section only if the Office 
of Personnel Management has determined that a higher maximum stipend is 
warranted for the student-employee.
    (c) Maximum stipends for positions in the Public Health Service in 
which duty requires intimate contact with persons afflicted with leprosy 
are increased above the rates prescribed in paragraph (a) of this 
section to the same extent that additional pay is provided by Public 
Health Service Regulations (42 CFR 22.1) for employees subject to the 
General Schedule (part 531 of this chapter).
    (d) Overtime pay, maintenance allowances, and other payments in 
money or kind for a student-employee must be considered as part of the 
student-employee's stipend for the purposes of this section, and 
therefore, may not be used to cause the stipend to exceed the maximum 
stipend established under this section.
    (e) A trainee at a non-Federal hospital, clinic, or medical or 
dental laboratory who is assigned to a Federal hospital, clinic, or 
medical or dental laboratory as an affiliate for a part of his or her 
training may not receive a stipend from the Federal agency other than 
any maintenance allowance that is provided.



Sec. 534.204  Previous authorizations.

    The provisions of this subpart do not terminate any authorization 
approved by the Civil Service Commission or the Office of Personnel 
Management before February 15, 1979, and such authorizations remain in 
effect until modified or terminated by an agency or the Office

[[Page 474]]

of Personnel Management in accordance with the provisions of this 
subpart.



      Subpart C--Basic Pay for Employees of Temporary Organizations

    Source: 67 FR 3582, Jan. 25, 2002, unless otherwise noted.



Sec. 534.301  Purpose.

    This subpart provides rules for determining the rate of basic pay 
and locality-adjusted rate of basic pay for employees who are appointed 
to positions in temporary organizations and compensated under 5 U.S.C. 
3161. Such temporary organizations are established by law or Executive 
order. This subpart does not provide authority to establish other forms 
of compensation and benefits not authorized by title 5, United States 
Code, or another specific statutory authority.

[67 FR 63049, Oct. 10, 2002]



Sec. 534.302  Coverage.

    This subpart applies to employees in executive level and staff 
positions in temporary organizations. Such employees are not subject to 
the provisions applicable to General Schedule employees covered by 
chapter 51 and subchapter III of chapter 53 of title 5, United States 
Code.

[67 FR 63049, Oct. 10, 2002]



Sec. 534.303  Basic pay for executive level positions.

    (a) Rates of basic pay for executive level positions of temporary 
organizations may not exceed the maximum rate of basic pay established 
for the Senior Executive Service under 5 U.S.C. 5382. Therefore, the 
highest rate of basic pay for executive level positions of temporary 
organizations, not including any applicable locality-based comparability 
payment under 5 U.S.C. 5304, may not exceed the rate of basic pay for 
level IV of the Executive Schedule.
    (b) Employees in executive level positions of temporary 
organizations must be paid locality payments in addition to basic pay in 
the same manner as employees covered by 5 U.S.C. 5304. Locality-adjusted 
rates of basic pay for executive level positions may not exceed the rate 
of basic pay for level III of the Executive Schedule.



Sec. 534.304  Basic pay for staff positions.

    (a)(1) Rates of basic pay for staff or other non-executive level 
positions of temporary organizations may not exceed the maximum rate of 
basic pay for grade GS-15 of the General Schedule under 5 U.S.C. 5332, 
excluding any locality-based comparability payment under 5 U.S.C. 5304.
    (2) In establishing rates of basic pay for staff and other non-
executive level positions of temporary organizations, the head of a 
temporary organization must give consideration to the significance, 
scope, and technical complexity of the position and the qualifications 
required for the work involved. The head of a temporary organization 
must also take into account the rates of pay applicable to Federal 
employees who have duties that are similar in terms of difficulty and 
responsibility.
    (b) Employees in staff and other non-executive level positions of 
temporary organizations must be paid locality payments in addition to 
basic pay in the same manner as employees covered by 5 U.S.C. 5304. 
Locality-adjusted rates of basic pay may not exceed the locality-
adjusted rate of basic pay for grade GS-15 of the General Schedule under 
5 U.S.C. 5304, for the locality pay area involved (not to exceed the 
rate for level IV of the Executive Schedule).
    (c) Notwithstanding the limitations in paragraphs (a) and (b) of 
this section, the rate of basic pay and locality-adjusted rate of basic 
pay for a senior staff position of a temporary organization may, in a 
case determined by the head of a temporary organization to be 
exceptional, exceed the maximum rates established under those 
paragraphs. However, the higher payable rates may not exceed the 
applicable maximum rate of basic pay or locality-adjusted rate of basic 
pay authorized under this subpart for an executive level position.

[67 3582, Jan. 25, 2002, as amended at 67 FR 63050, Oct. 10, 2002]

[[Page 475]]



Sec. 534.305  Pay periods and computation of pay.

    (a) The requirements of 5 U.S.C. 5504, must be applied to employees 
of temporary organizations. This includes requirements for biweekly pay 
periods and requirements for converting an annual rate of basic pay to a 
basic hourly, daily, weekly, or biweekly rate.
    (b) Employees of temporary organizations must receive basic pay on 
an hourly basis.



Subpart D--Pay and Performance Awards Under the Senior Executive Service

    Source: 54 FR 2987, Jan. 23, 1989, unless otherwise noted.



Sec. 534.401  Definitions and setting individual basic pay.

    (a) Definitions. In this subpart--
    Agency means an executive agency or military department, as defined 
by 5 U.S.C. 105 and 102.
    ES rate means one of the five or more rates of basic pay established 
by the President under 5 U.S.C. 5382 for the Senior Executive Service.
    Senior executive means a member of the Senior Executive Service 
(SES).
    (b) Setting pay upon initial appointment. (1) An appointing 
authority may set the rate of pay of an individual at any ES rate upon 
initial appointment to the SES except under the conditions described in 
paragraph (b)(2) of this section.
    (2) Subject to paragraph (b)(4) of this section, if an individual 
who receives an initial career appointment in the SES--
    (i) Has at least 5 years of current continuous service in one or 
more positions in the competitive service and is appointed without any 
break in service, the initial rate of pay may not be less than the rate 
of basic pay last payable to that individual immediately before the 
appointment.
    (ii) Holds a position that is converted from the competitive service 
to a career reserved position in the SES and as of the conversion date 
the individual has at least 5 years of current continuous service in one 
or more positions in the competitive service, the initial rate of pay 
may not be less than the rate of basic pay last payable to that 
individual immediately before the conversion of the position.
    (3) For the purpose of paragraph (b)(2) of this section, rate of 
basic pay means the rate of pay fixed by law or administrative action 
for the position held by an employee or, in the case of an employee 
entitled to grade or pay retention, the employee's retained rate of pay, 
before any deductions and exclusive of additional pay of any other kind, 
such as locality-based comparability payments under 5 U.S.C. 5304 or 
special pay adjustments for law enforcement officers under section 404 
of the Federal Employees Pay Comparability Act of 1990 (Pub. L. 101-
509).
    (4) If pay setting is subject to paragraph (b)(2) of this section 
and the rate of basic pay in the individual's current position exceeds 
the maximum ES rate, then the initial rate of pay shall be set at the 
maximum ES rate.
    (c) Adjusting pay while in the SES. (1) The pay of a senior 
executive may not be adjusted by an agency more than once in any 12-
month period. A pay adjustment includes:
    (i) The assignment of an ES rate upon initial appointment to the 
SES;
    (ii) The change from one ES rate to another while employed in the 
SES; or
    (iii) The assignment of an ES rate upon reappointment to the SES 
following a break in SES service if the new ES rate is different from 
the executive's former rate or if the break in service exceeds 12 
months.
    (2) An appointing authority may raise the pay for a senior executive 
any number of ES rates at the time of an adjustment.
    (3) An appointing authority may lower the pay for a senior executive 
only one rate at the time of an adjustment. Restrictions on reducing pay 
of career senior executives are in paragraph (f) of this section.
    (d) Setting pay upon transfer. An appointing authority may set the 
pay of a senior executive transferring from another agency at any ES 
rate. If the pay is set at the same rate the executive had in his or her 
former agency, the action is not considered a pay adjustment for 
purposes of paragraph (c) of this section.

[[Page 476]]

    (e) Setting pay following a break in SES service--(1) General.(i) An 
appointing authority may set the pay of a former senior executive at any 
ES rate upon reappointment to the SES if:
    (A) There has been a break in SES service of more than 30 days;
    (B) There has been a break in SES service of 30 days or less, but 
the executive's last ES pay adjustment was more than 12 months earlier; 
or
    (C) The reappointment is in a different agency.
    (ii) Otherwise, pay must be set at the executive's former ES rate 
and may not be adjusted until 12 months from the last SES pay 
adjustment, in accordance with paragraph (c) of this section.
    (2) Reinstatement from a Presidential appointment requiring Senate 
confirmation. These provisions apply to a former career senior executive 
who is reinstated under 5 CFR 317.703.
    (i) If the individual elected, under 5 CFR 317.801(b), to remain 
subject to SES pay provisions while serving under a Presidential 
appointment, pay may be adjusted upon reinstatement to the SES, whether 
in the agency where the individual held the Presidential appointment or 
in another agency, only if 12 months have elapsed since the last SES pay 
adjustment; and the adjustment must be in accordance with paragraph (c) 
of this section.
    (ii) If the individual did not elect to remain subject to the SES 
pay provisions while serving under a Presidential appointment, pay may 
be set at any ES rate upon reinstatement.
    (f) Restrictions on reducing pay of career senior executives. (1) 
The ES rate of a career senior executive may be reduced involuntarily in 
the appointee's agency or upon a transfer of function to another agency 
only:
    (i) For performance reasons, i.e., the executive has received a less 
than fully successful performance rating under 5 CFR part 430, subpart 
C, or has been conditionally recertified or not recertified under 5 CFR 
317.504; or
    (ii) As a disciplinary action resulting from conduct related 
activity, e.g., misconduct, neglect of duty, or malfeasance.
    (2) If the pay reduction is for performance reasons, the agency 
shall provide the executive at least 15 days' advance written notice.
    (3) If the pay reduction is for disciplinary reasons, the agency 
shall:
    (i) Provide the executive at least 30 days' advance written notice;
    (ii) Provide a reasonable time, but not less than 7 days, for the 
executive to answer orally and in writing and to furnish affidavits and 
other documentary evidence in support of the answer;
    (iii) Allow the executive to be represented by an attorney or other 
representative; and
    (iv) Provide the executive a written decision and specific reasons 
therefor at the earliest practicable date.

[54 FR 2987, Jan. 23, 1989, as amended at 58 FR 58261, Nov. 1, 1993; 60 
FR 6389, Feb. 2, 1995; 61 FR 3542, Feb. 1, 1996]



Sec. 534.402  Aggregate compensation.

    Senior executives are subject to the aggregate compensation 
limitations in subpart B of part 530 of this chapter.

[56 FR 18662, Apr. 23, 1991]



Sec. 534.403  Performance awards.

    (a) This section covers the payment of performance awards to career 
appointees in the Senior Executive Service (SES).
    (1) To be eligible for an award, the individual must have been an 
SES career appointee as of the end of the performance appraisal period; 
and the individual's most recent performance rating of record under part 
430, subpart C, of this chapter for the appraisal period must have been 
``Fully Successful'' or higher.
    (2) Individuals eligible for a performance award include:
    (i) A former SES career appointee who elected to retain award 
eligibility under 5 CFR part 317, subpart H. If the salary of the 
individual is above the ES-6 pay rate, the ES-6 rate is used for 
crediting the agency award pool under paragraph (b) of this section and 
the amount the individual may receive under paragraph (c) of this 
section.
    (ii) A reemployed annuitant with an SES career appointment.
    (iii) An SES career appointee who is on detail. If the detail is to 
another agency, eligibility is in the individual's official employing 
agency, i.e., the

[[Page 477]]

agency from which detailed. If the appointee is on a reimbursable 
detail, the agency to which the appointee is detailed may reimburse the 
employing agency for some or all of any award, as agreed upon by the two 
agencies; but the reimbursement does not affect the award pool for 
either agency as calculated under paragraph (b) or this section.
    (3) When making recommendations on performance awards, more than 
one-half of the membership of a Performance Review Board must be career 
SES appointees. The only exception is if OPM has determined under 
Sec. 430.307(d) of this chapter that the Board does not have to have a 
majority of career members when making recommendations on performance 
appraisals of career appointees because there exists an insufficient 
number of career appointees.
    (4) The agency head must consider the recommendations of the 
Performance Review Board (PRB), but the agency head has the final 
authority as to who is to receive a performance award and the amount of 
the award.
    (b) The total amount of performance awards paid during a fiscal year 
by an agency may not exceed the greater of--
    (1) Ten percent of the aggregate career SES basic pay for the agency 
as of the end of the fiscal year prior to the fiscal year in which the 
award payments are made; or
    (2) Twenty percent of the average annual rates of basic pay for 
career SES appointees of the agency as of the end of the fiscal year 
prior to the fiscal year in which the award payments are made.
    (c) The amount of a performance award paid to an individual career 
appointee may not be less than 5 percent nor more than 20 percent of the 
appointee's rate of basic pay as of the end of the performance appraisal 
period. The rate of basic pay does not include locality-based 
comparability payments under 5 U.S.C. 5304 and 5 CFR part 531, subpart 
F, or special law enforcement adjustments under section 404 of the 
Federal Employees Pay Comparability Act of 1990 and 5 CFR part 531, 
subpart C.
    (d) OPM shall issue guidance concerning the distribution of 
performance awards within an agency.
    (e) Agencies shall submit their distribution of performance awards, 
the total amount of awards, and the aggregate payroll or average rate of 
basic pay as computed under paragraph (b) of this section to OPM no 
later than 14 days after the date the performance awards are approved by 
the agency. If OPM determines that an agency's payments do not meet the 
requirements of law or regulations, the agency shall take any corrective 
action directed by OPM.
    (f) Performance awards shall be paid in a lump sum except in those 
instances when it is not possible to pay the full amount because of the 
Executive Level I ceiling on aggregate compensation during a calendar 
year under subpart B of part 530 of this chapter. In that case, any 
amount in excess of the ceiling shall be paid at the beginning of the 
following calendar year in accordance with subpart B of part 530 of this 
chapter. The full performance award, however, is charged against the 
agency bonus pool under paragraph (b) of this section for the fiscal 
year in which the initial payment was made.

[52 FR 2, Jan. 2, 1987, as amended at 55 FR 1353, Jan. 16, 1990; 57 FR 
10125, Mar. 24, 1992; 60 FR 6389, Feb. 2, 1995; 64 FR 72889, Dec. 29, 
1999]



Sec. 534.404  Pay computation for members of the Senior Executive Service.

    (a) Except as provided in paragraph (b), pay for members of the 
senior executive service shall be computed in accordance with 5 U.S.C. 
5504(b).
    (b) From the first day of the first pay period beginning on or after 
January 1, 1984, to derive an hourly rate divide the annual rate by 
2,087.

[49 FR 28389, July 12, 1984]



Sec. 534.405  Restrictions on premium pay and compensatory time.

    (a) Under 5 U.S.C. 5541(2)(xvi) and 5 CFR 550.101(b)(18), members of 
the Senior Executive Service (SES) are excluded from premium pay, 
including overtime pay.
    (b) Since SES members are not eligible for overtime pay, they also 
are not eligible for compensatory time in lieu of overtime pay for work 
performed as

[[Page 478]]

an SES member. SES members are eligible, however, for compensatory time 
off for religious purposes under 5 U.S.C. 5550a and 5 CFR part 550, 
subject J.

[60 FR 6390, Feb. 2, 1995]



    Subpart E--Pay for Senior-Level and Scientific and Professional 
                                Positions

    Source: 56 FR 18662, Apr. 23, 1991, unless otherwise noted.



Sec. 534.501  Coverage.

    (a) This subpart implements 5 U.S.C. 5376 and applies to--
    (1) Senior-level (SL) positions classified above GS-15 pursuant to 5 
U.S.C. 5108; and
    (2) Scientific or professional (ST) positions established under 5 
U.S.C. 3104.
    (b) This subpart does not apply to--
    (1) Senior Executive Service positions established under 5 U.S.C. 
3132, unless the incumbent of the position declined to convert to the 
SES and under Sec. 317.303 of this chapter remained at grade GS-16, 17, 
or 18 (now the SL pay system) or under the ST pay system;
    (2) Positions in the Federal Bureau of Investigation and Drug 
Enforcement Administration Senior Executive Service, Defense 
Intelligence Executive Service, or Senior Cryptologic Executive Service; 
or
    (3) Positions where pay is fixed by administrative action and is 
limited to level IV of the Executive Schedule under 5 U.S.C. 5373.

[56 FR 18662, Apr. 23, 1991, as amended at 57 FR 10125, Mar. 24, 1992]



Sec. 534.502  Pay range.

    A pay rate fixed under this subpart shall be--
    (a) Not less than 120 percent of the minimum rate of basic pay 
payable for GS-15 of the General Schedule; and
    (b) Not greater than the rate of basic pay payable for level IV of 
the Executive Schedule.



Sec. 534.503  Pay setting.

    (a) Each agency with positions subject to this subpart shall 
establish written procedures for setting the pay of incumbents of the 
positions in accordance with the provisions of law and OPM regulations. 
The head of each agency, or his or her designee, shall set the rate of 
pay of individuals under this subpart in accordance with the agency's 
written procedures.
    (b) The agency's written procedures shall include--
    (1) A description of the structure of the pay system;
    (2) The criteria that will be used to assign rates of pay to 
individual employees;
    (3) The 12-month waiting period on pay adjustments, as provided in 
paragraph (c) of this section;
    (4) The designation of the official or officials who will have 
authority to set pay; and
    (5) The management controls that will be applied to assure 
compliance with the procedures and a reasonable distribution of pay 
within the pay range.
    (c) Pay of an individual may not be adjusted more than once in any 
12-month period.
    (1) A pay adjustment includes the assignment of a pay rate upon 
initial appointment.
    (2) An annual adjustment in pay under Sec. 534.504 of this subpart 
shall not be considered a pay adjustment under this paragraph if it does 
not exceed the greater of the annual General Schedule adjustment under 5 
U.S.C. 5303 or the Executive Schedule adjustment under 5 U.S.C. 5318 
effective the same date.
    (3) Pay of an SL or ST employee transferring from another agency, or 
a military department, may be set at any rate. If the pay does not 
exceed the employee's former rate, the pay action does not start a new 
12-month period.
    (d) Any reduction in the basic pay of an individual is subject to 
the provisions of subparts C and D of part 752 of this chapter.

[56 FR 18662, Apr. 23, 1991, as amended at 57 FR 10125, Mar. 24, 1992; 
66 FR 66711, Dec. 27, 2001]



Sec. 534.504  Annual adjustment in pay.

    Effective at the beginning of the first applicable pay period 
commencing on or after the first day of the month in which an adjustment 
takes effect under 5 U.S.C. 5303 in the rates of pay under the General 
Schedule, each rate of pay

[[Page 479]]

established under this subchapter shall be adjusted by such amount as 
the head of the agency considers appropriate, in accordance with the 
provisions of Sec. 534.503 of this part.



Sec. 534.505  Pay related matters.

    (a) Aggregate compensation. Limits on aggregate compensation, 
including basic pay, are in 5 U.S.C. 5307 and part 530, subpart B, of 
this chapter.
    (b) Performance awards. Performance awards may be paid under 5 
U.S.C. chapter 45 and Sec. 451.104(a)(3) of this chapter.

[56 FR 18662, Apr. 23, 1991, as amended at 57 FR 10125, Mar. 24, 1992; 
63 FR 53276, Oct. 5, 1998]



Sec. 534.506  Conversion provisions.

    (a) This section covers initial conversion to the pay system under 5 
U.S.C. 5376 as of the effective date of these regulations.
    (b) The rate of basic pay for any individual converting to a pay 
system under 5 U.S.C. 5376 shall be at least equal to the rate payable 
to that individual immediately before such conversion, including any 
interim geographic adjustment authorized by Schedule 9 of Executive 
Order 12736 of December 12, 1990.
    (c) If there is an increase in an individual's rate of basic pay 
upon conversion, other than to the minimum rate under 5 U.S.C. 5376, the 
increase must be approved by the head of the agency or his or her 
designee.



        Subpart F--Pay for Administrative Appeals Judge Positions

    Source: 66 FR 63908, Dec. 11, 2001, unless otherwise noted.



Sec. 534.601  Coverage.

    (a) This subpart implements 5 U.S.C. 5372b and applies to 
administrative appeals judge positions, the duties of which are not 
classifiable above GS-15 under 5 U.S.C. 5108 and which primarily involve 
reviewing decisions of administrative law judges appointed under 5 
U.S.C. 3105 and rendering final administrative decisions.
    (b) This subpart does not apply to--
    (1) Senior-level positions classified above GS-15 pursuant to 5 
U.S.C. 5108;
    (2) Scientific or professional positions established under 5 U.S.C. 
3104;
    (3) Senior Executive Service positions established under 5 U.S.C. 
3132 or 3151;
    (4) Positions for which pay is fixed by administrative action and 
limited to level IV of the Executive Schedule under 5 U.S.C. 5373;
    (5) Administrative law judge positions appointed under 5 U.S.C. 
3105; or
    (6) Positions in agencies that are excluded from chapter 51 of title 
5, United States Code, by section 5102(a) or 5102(c) or other provision 
of law.



Sec. 534.602  Definitions.

    Administrative appeals judge position means a position not 
classified above GS-15 under 5 U.S.C. 5108 and for which the duties 
primarily involve reviewing decisions of administrative law judges 
appointed under 5 U.S.C. 3105 and rendering final administrative 
decisions.
    Administrative law judge means an individual in an administrative 
law judge position as that term is defined in section 930.202 of this 
chapter.
    Agency means an Executive agency, as defined in 5 U.S.C. 105, 
excluding the U.S. General Accounting Office.
    Head of an agency means the head of an Executive agency or an 
official who has been delegated the authority to act for the head of the 
agency in the matter concerned.



Sec. 534.603  Rates of basic pay.

    (a) The administrative appeals judge pay system (AA) has six rates 
of basic pay--AA-1, 2, 3, 4, 5, and 6. These rates correspond to the 
rates of basic pay for AL-3/A, B, C, D, E, and F, respectively, of the 
administrative law judge pay system established under 5 U.S.C. 5372 and 
part 930, subpart B, of this chapter.
    (b) The rates of basic pay of the administrative appeals judge pay 
system will be adjusted at the same time and in the same manner as 
adjustments are made in the corresponding rates of basic pay for the 
administrative law judge pay system under 5 U.S.C. 5372.

[[Page 480]]



Sec. 534.604  Pay administration.

    (a) The head of each agency must fix the rate of basic pay for each 
administrative appeals judge position within the agency.
    (b) Upon initial appointment, an agency must set the rate of basic 
pay of an administrative appeals judge at the minimum rate AA-1 of the 
administrative appeals judge pay system, except as provided in 
paragraphs (b)(1), (b)(2), and (b)(3) of this section.
    (1) An agency must set the pay of an employee under the General 
Schedule pay system who is appointed to an administrative appeals judge 
position without a break in service at the lowest rate of basic pay of 
the administrative appeals judge pay system that equals or exceeds the 
rate of basic pay the employee received immediately prior to such 
appointment, not to exceed the rate of basic pay for AA-6. If the 
resulting basic pay increase is less than one-half of the dollar value 
of the employee's next within-grade increase, the agency must set the 
employee's rate of basic pay at the next higher rate of basic pay in the 
basic rate range of the administrative appeals judge pay system.
    (2) An agency may offer an administrative appeals judge applicant 
with prior Federal service a rate up to the lowest rate of basic pay of 
the administrative appeals judge pay system that equals or exceeds the 
employee's highest previous rate of basic pay in a Federal civil service 
position, not to exceed the rate of basic pay for AA-6.
    (3) An agency may offer an administrative appeals judge applicant 
with superior qualifications who is not a current Federal employee a 
higher than minimum rate when such a rate is clearly necessary to meet 
the needs of the Government. An agency may pay a higher than minimum 
rate of pay that is next above the applicant's existing pay or earnings, 
up to the maximum rate AA-6. Superior qualifications for applicants 
include, but are not limited to, having legal practice before the hiring 
agency, having practice in another forum with legal issues of concern to 
the hiring agency, or having an outstanding reputation among others in 
the field.
    (c) Administrative appeals judges will advance successively to rates 
AA-2, 3, and 4 upon completion of 52 weeks of service in the next lower 
rate, and to rates 5 and 6 upon completion of 104 weeks of service in 
the next lower rate. Advancement to a higher rate takes effect on the 
first day of the first pay period beginning on or after completion of 
the required period of service. Time in a nonpay status is creditable 
service in the computation of a waiting period in so far as it does not 
exceed 2 weeks for each 52 weeks of service. Time in a nonpay status is 
fully creditable if the absence is due to military service, as defined 
in 5 U.S.C. 8331(13), or receipt of injury compensation under chapter 81 
of title 5, United States Code. Time under pay systems outside the 
administrative appeals judge pay system is not creditable service in 
computing the required waiting period, except that time under the 
administrative law judge pay system established under 5 U.S.C. 5372 is 
creditable when an individual moves from that system to the 
administrative appeals judge pay system without a break in service.
    (d) An agency must use the following procedures to convert an 
administrative appeals judge's annual rate of basic pay to an hourly, 
daily, weekly, or biweekly rate:
    (1) To derive an hourly rate, divide the annual rate of pay by 2,087 
and round to the nearest cent, counting one-half cent and over as the 
next higher cent.
    (2) To derive a daily rate, multiply the hourly rate by the number 
of daily hours of service required by the administrative appeals judge's 
basic daily tour of duty.
    (3) To derive a weekly or biweekly rate, multiply the hourly rate by 
40 or 80, as the case may be.



Sec. 534.605  Conversion.

    On the first day of the first pay period beginning on or after 
December 11, 2001, agencies must convert the rate of basic pay of an 
administrative appeals judge to the lowest rate of basic pay provided by 
Sec. 534.603(a) of this subpart that equals or exceeds the rate of basic 
pay the administrative appeals judge received immediately before that 
date.

[[Page 481]]



PART 536--GRADE AND PAY RETENTION--Table of Contents




           Subpart A--Definitions; Coverage and Applicability

Sec.
536.101 General.
536.102 Definitions.
536.103 Coverage and applicability of grade retention.
536.104 Coverage and applicability of pay retention.
536.105 Exclusions.

 Subpart B--Determination of Retained Grade and Rate of Basic Pay; Loss 
                    of, or Termination of Eligibility

536.201 Comparison of grades in different pay schedules or pay systems.
536.202 Period of grade retention.
536.203 Determination of retained grade.
536.204 Determination of applicable rate schedule.
536.205 Determination of rate of basic pay.
536.206 Criteria for a ``reasonable offer.''
536.207 Loss of eligibility for grade retention.
536.208 Termination of grade retention.
536.209 Loss of eligibility for, or termination of, pay retention.

                   Subpart C--Miscellaneous Provisions

536.301 Placement and classification plans.
536.302 Appeal of termination of benefits because of reasonable offer.
536.303 Documentation.
536.304 Issuance of employee letters.
536.305-536.306 [Reserved]
536.307 Availability of information.
536.308 Applicability of retained grade.

    Authority: 5 U.S.C. 5361-5366; sec. 7202(f) of the Omnibus Budget 
Reconciliation Act of 1990 (Pub. L. 101-508), 104 Stat. 1338-336; sec. 4 
of the Performance Management and Recognition System Termination Act of 
1993 (Pub. L. 103-89), 107 Stat. 981;
    Sec. 536.307 also issued under 5 U.S.C. 552, Freedom of Information 
Act, Pub. L. 92-502.

    Source: 45 FR 85656, Dec. 30, 1980, unless otherwise noted.



           Subpart A--Definitions; Coverage and Applicability



Sec. 536.101  General.

    (a) Title VIII of Public Law 95-454 (The Civil Service Reform Act of 
1978) provides that an employee who is placed in a lower grade as a 
result of reduction-in-force procedures, or whose position is reduced in 
grade as a result of reclassification of the position, is entitled to 
retain for a period of 2 years the grade held immediately before that 
placement or reduction. It also provides the authority for granting an 
employee indefinite pay retention. In addition to specifying criteria 
and conditions for the application of the grade and pay retention 
provisions, the law authorizes the Office of Personnel Management to 
extend the application of these provisions to other individuals and 
situations to which they would not otherwise apply.
    (b) This part contains the regulations--including extensions, 
conditions, criteria, and procedures--which the Office of Personnel 
Management has prescribed for the administration of grade and pay 
retention. This part supplements and implements the provisions of 5 
U.S.C. 5361-5366, and section 801(b) of Public Law 95-454, and must be 
read together with those sections of law.



Sec. 536.102  Definitions.

    For the purposes of this part:
    Demotion at an employee's request means a reduction in grade that is 
initiated by the employee for his or her benefit, convenience, or 
personal advantage. A demotion that is caused or influenced by a 
management action is not considered to be at an employee's request, 
except that a voluntary demotion in response to a management action 
directly related to personal cause is considered to be at the employee's 
request.
    Demotion for personal cause means a reduction in grade based on the 
conduct, character, or unacceptable performance of an employee.
    Employee means an employee as defined in 5 U.S.C. 5361 and also an 
individual who is moved from a position which is not under a covered pay 
schedule to a position which is under a covered pay schedule provided 
that the individual's employment immediately prior to the move was on 
other than a temporary or term basis.
    Employment on a temporary or term basis means employment under an 
appointment having a definite time limitation or designated as temporary 
or term.

[[Page 482]]

    Rate of basic pay means, for any pay system, the rate of pay fixed 
by law or administrative action for the position held by an employee 
before any deductions and exclusive of additional pay of any kind such 
as night or environmental differentials in the case of a prevailing rate 
employee.
    Rate schedule means a specific set of rates within a pay schedule.
    Reorganization means the planned elimination, addition or 
redistribution of functions or duties either wholly within an agency or 
between agencies.
    Representative rate means:
    (1) The fourth step of the grade in the case of a position under the 
General Schedule or the individual's rate under the Senior Executive 
Service or a position subject to the senior-level pay authority under 5 
U.S.C. 5376;
    (2) The second rate of the grade of a position under a regular 
prevailing rate schedule established under subchapter IV of chapter 53 
of title 5, United States Code, or in the case of a position with a 
single rate, the single rate of that position; or
    (3) The rate designated as representative of the position by the 
agency responsible for establishing and adjusting the schedule in the 
case of a position under a schedule different from those covered in 
paragraph (1) or (2) of this definition.
    Temporary promotion means a promotion with a definite time 
limitation, and one which the individual is informed in advance is 
temporary and would normally require that the individual return to his 
or her permanent position at the expiration of that promotion.
    Temporary reassignment means a reassignment with a definite time 
limitation, and one which the individual is informed in advance is 
temporary and would normally require that the individual return to his 
or her permanent position at the expiration of that reassignment.

[45 FR 85656, Dec. 30, 1980, as amended at 50 FR 11795, Mar. 25, 1985; 
50 FR 35494, Aug. 30, 1985; 56 FR 18662, Apr. 23, 1991; 58 FR 65537, 
Dec. 15, 1993; 64 FR 69174, Dec. 10, 1999]



Sec. 536.103  Coverage and applicability of grade retention.

    (a) Grade retention shall apply to an employee who moves to a 
position in a covered pay schedule which is lower graded than the 
position held immediately prior to the demotion in the following 
circumstances:
    (1) As a result of reduction-in-force procedures; or
    (2) As a result of a reclassification process.
    (b) Except as otherwise covered in paragraph (a) of this section, 
the head of the agency may offer grade retention to eligible employees 
who are or might be reduced in grade as the result of a reorganization 
or reclassification decision announced by management in writing. When an 
employee is offered a position with grade retention in anticipation of a 
reduction in grade, the agency shall inform the employee in writing that 
acceptance of the position is not required and that declination of the 
offer has no effect on the employee's entitlement to grade retention 
under paragraph (a) of this section if he or she is actually moved to a 
lower graded position.
    (c)(1) An employee who, immediately before being placed in a lower 
graded position as a result of reduction-in-force procedures, is in a 
position under a covered pay schedule, is eligible for grade retention 
only if the employee has served for 52 consecutive weeks or more in a 
position(s) under a covered pay schedule at a grade(s) higher than the 
position in which the employee is placed, including service performed by 
an employee of a nonappropriated fund instrumentality of the Department 
of Defense or the Coast Guard, as defined in 5 U.S.C. 2105(c), who is 
moved to a position in the civil service employment system of the 
Department of Defense or the Coast Guard, respectively, without a break 
in service of more than 3 days.
    (2) An employee is eligible for grade retention when his or her 
position has been reclassified at a lower grade only if the position 
which is being reduced had been classified at a higher grade(s) for a 
continuous period of at least 1 year immediately before the reduction.
    (3) In situations other than those covered in paragraphs (c)(1) and 
(c)(2)

[[Page 483]]

of this section, an employee is eligible for grade retention if he or 
she, immediately prior to being placed in the lower grade, has served in 
a position in any pay schedule for 52 consecutive weeks or more, 
provided the service was in an agency as defined in 5 U.S.C. 5102 at a 
grade(s) higher than the position in which the employee is placed, 
including service performed by an employee of a nonappropriated fund 
instrumentality of the Department of Defense or the Coast Guard, as 
defined in 5 U.S.C. 2105(c), who is moved to a position in the civil 
service employment system of the Department of Defense or the Coast 
Guard, respectively, without a break in service of more than 3 days.

[45 FR 85656, Dec. 30, 1980, as amended at 57 FR 12404, Apr. 10, 1992]



Sec. 536.104  Coverage and applicability of pay retention.

    (a) Pay retention shall apply to any employee whose rate of basic 
pay would otherwise be reduced:
    (1) As the result of the expiration of the 2-year period of grade 
retention; or
    (2) As a result of reduction-in-force or reclassification when the 
employee does not meet the eligibility requirement for grade retention; 
or
    (3) As a result of a reduction or elimination of scheduled rates, 
special schedules, or special rates, but not as a result of--
    (i) A statutory reduction in scheduled rates of pay under the 
General Schedule, including a reduction authorized under section 5305(c) 
of title 5, United States Code; or
    (ii) A statutory reduction in a prevailing rate schedule established 
under subchapter IV of chapter 53 of title 5, United States Code, and 
part 532 of this chapter.
    (4) As a result of the placement of an employee into a non-special 
rate position or into a lower special rate position from a special rate 
position; or
    (5) As a result of the placement of an employee in a position in a 
lower wage area or in a position in a different pay schedule; or
    (6) As a result of the placement of the employee in a formal 
employee development program generally utilized Governmentwide: Upward 
Mobility, Apprenticeship, and Career Intern Programs.
    (b) Except as otherwise covered in paragraph (a) of this section, 
the head of the agency may provide pay retention to eligible employees 
whose rates of basic pay would otherwise be reduced as the result of a 
management action.
    (c) The head of the agency may grant pay retention to an employee 
whose pay is reduced as the result of the movement of his or her 
position from a nonappropriated fund instrumentality under the 
jurisdiction of the Department of Defense or the Coast Guard to the 
civil service employment system of the Department of Defense or the 
Coast Guard, respectively.

[45 FR 85656, Dec. 30, 1980, as amended at 51 FR 12684, Apr. 15, 1986; 
53 FR 49545, Dec. 8, 1988; 54 FR 51009, Dec. 12, 1989; 57 FR 12404, Apr. 
10, 1992]



Sec. 536.105  Exclusions.

    (a) Grade and pay retention shall not apply to an employee who--
    (1) Moves from a position that is not in an agency as defined in 5 
U.S.C. 5102;
    (2) Is identified under 5 U.S.C. 2105(c), except prevailing rate 
employees included under 5 U.S.C. 5361;
    (3) Is reduced in grade or pay for personal cause or at the 
employee's request;
    (4) Does not satisfactorily complete the probationary period 
prescribed by 5 U.S.C. 3321(a)(2), and, as a result, is removed from a 
supervisory or managerial position; or
    (5) Is entitled to receive basic pay under 5 U.S.C. 3594(c) because 
of removal from the Senior Executive Service and placement in a civil 
service position (other than a Senior Executive Service position) under 
5 U.S.C. 3594(b)(2).
    (b) An employee's entitlement to grade or pay retention is not 
affected by a temporary promotion or temporary reassignment. However, an 
employee serving under a temporary promotion or temporary reassignment 
may not retain a grade or rate of basic pay held during the temporary 
promotion or temporary reassignment.
    (c) Grade retention under Sec. 536.103(a)(1) or (b) shall not apply 
to a

[[Page 484]]

member of the Senior Executive Service or an individual in a position 
subject to the senior-level pay authority in 5 U.S.C. 5376 who is placed 
in a position in a covered pay schedule.

[45 FR 85656, Dec. 30, 1980, as amended at 54 FR 18880, May 3, 1989; 56 
FR 18663, Apr. 23, 1991]



 Subpart B--Determination of Retained Grade and Rate of Basic Pay; Loss 
                    of, or Termination of Eligibility



Sec. 536.201  Comparison of grades in different pay schedules or pay systems.

    For the purpose of determining whether the grade of a position is 
equal to, higher than, or lower than the grade of another position in 
movements between pay schedules or pay systems, the representative rates 
of the positions will be compared.



Sec. 536.202  Period of grade retention.

    (a) An employee entitled to grade retention is entitled to retain 
that grade for 2 years beginning on the date the employee is placed in 
the lower graded position.
    (b) If, during a 2-year period of grade retention, an employee is 
further reduced in grade under circumstances also entitling the employee 
to grade retention, the employee shall continue to retain the previous 
retained grade for the remainder of the previous 2-year retention 
period. At the end of that period, the employee shall be entitled to 
retain the grade of the position from which the further reduction in 
grade was made, until 2 years have passed from the date of the further 
reduction in grade.
    (c) Notwithstanding Sec. 536.207(a)(1) of this part, grade retention 
shall continue to apply to an employee serving under an interim 
appointment made under Sec. 772.102 of this chapter for the duration of 
the original 2-year period if the employee's grade was retained under 
this part in the appointment immediately preceding the interim 
appointment.

[45 FR 85656, Dec. 30, 1980, as amended at 57 FR 3712, Jan. 31, 1992]



Sec. 536.203  Determination of retained grade.

    (a) An employee who is in a position under a covered pay schedule 
immediately prior to the action which gives entitlement to grade 
retention shall retain the grade held immediately prior to the action.
    (b) An employee who is in a position not under a covered pay 
schedule immediately prior to the action which gives entitlement to 
grade retention shall retain:
    (1) The lowest grade of the covered pay schedule in which placed 
which has a representative rate equal to or higher than the 
representative rate of the grade held immediately prior to that 
placement; or
    (2) The highest grade of the covered pay schedule in which placed, 
if there is no grade in the covered pay schedule with a representative 
rate equal to or higher than the representative rate held immediately 
prior to that placement.

[44 FR 54693, Sept. 21, 1979, as amended at 64 FR 69174, Dec. 10, 1999]



Sec. 536.204  Determination of applicable rate schedule.

    (a) When an employee entitled to grade retention is placed in a 
position in a different geographical area, the rate schedule which 
applies to the employee is the rate schedule in the new geographical 
area.
    (b) When an employee entitled to grade retention is placed in a 
position in, or his or her position is changed to, a different 
occupational series, the rate schedule which applies to the individual 
is the rate schedule for the new occupational series.



Sec. 536.205  Determination of rate of basic pay.

    (a) When an employee becomes entitled to grade retention, or moves 
to another position during a period of grade retention under conditions 
which permit continuation of the grade retention entitlement, the 
employee is entitled to the greatest of:
    (1) His or her rate of basic pay before the movement, or
    (2) The rate of basic pay from the applicable rate schedule for the 
grade and step (except as provided by

[[Page 485]]

Sec. 531.204(e)(4) of this chapter) held by the employee before the 
movement, or
    (3) The lowest rate of basic pay from the applicable rate schedule 
for the retained grade which equals or exceeds the employee's rate of 
basic pay before the movement.
    (b) (1) When an employee becomes entitled to pay retention, or moves 
to another position while receiving pay retention, the employee's rate 
of basic pay immediately prior to eligibility or movement shall be 
compared with the range of rates of basic pay for the position to be 
occupied by the employee upon this eligibility or movement.
    (2) The employee is entitled to the lowest rate of basic pay in the 
position to be occupied upon the eligibility or movement which equals or 
exceeds his or her rate of basic pay immediately prior to the 
eligibility or movement. If the rate of basic pay can be accommodated in 
the rate range of the latter position, pay retention does not apply.
    (3) If the employee's rate of basic pay immediately prior to the pay 
retention exceeds the maximum rate of the position to be occupied when 
he or she becomes entitled to pay retention, the employee is entitled to 
the lower of:
    (i) The rate of basic pay payable to the employee immediately before 
the reduction in pay; or
    (ii) 150 percent of the maximum rate of basic pay payable for the 
new grade.
    (4) If an employee moves to another position at the same grade while 
entitled to pay retention, the employee's rate of basic pay after 
movement may not be less than the maximum rate of basic pay for the 
newly applicable rate range.
    (c) When an increase in the scheduled rates of the grade of the 
employee's position occurs while the employee is under pay retention, 
the employee is entitled to 50 percent of the amount of the increase in 
the maximum rate of basic pay payable for the grade of the employee's 
current position.
    (d) When, as a result of an increase in the scheduled rate(s) of the 
grade of the employee's position, an employee's retained rate of basic 
pay becomes equal to or lower than the maximum rate of that grade, the 
employee is entitled to the maximum rate of that grade and pay retention 
ceases.
    (e) An employee who is serving on a temporary promotion at the time 
he or she becomes eligible for pay retention is entitled to retain the 
rate of basic pay which he or she would have been receiving at that time 
had the temporary promotion not occurred.
    (f) Notwithstanding Sec. 536.209(a)(1) of this part, pay retention 
shall continue to apply to an employee serving under an interim 
appointment made under Sec. 772.102 of this chapter if the employee's 
pay was retained under this part in the appointment immediately 
preceding the interim appointment.
    (g) When an employee's entitlement to grade or pay retention 
terminates, the employee's rate of basic pay shall be set in accordance 
with the provisions of parts 531 and 532 of this title unless:
    (1) Grade retention is being terminated as a result of the 
expiration of the 2-year retention period; or
    (2) The employee is moved to a grade equal to or greater than the 
retained grade; or
    (3) The employee is entitled to a higher rate of basic pay under 
paragraph (b) or (d) of this section.

[45 FR 85656, Dec. 30, 1980, as amended at 57 FR 3712, Jan. 31, 1992; 58 
FR 65537, Dec. 15, 1993; 64 FR 69174, Dec. 10, 1999]



Sec. 536.206  Criteria for a ``reasonable offer''.

    For the purposes of this part, an offer of a position, in order to 
be considered a reasonable one, must fulfill the following conditions:
    (1) The offer must be in writing, and must include an official 
position description of the offered position; and
    (2) The offer must inform the employee that an entitlement to grade 
or pay retention will be terminated if the offer is declined and that 
the employee may appeal the reasonableness of the offer as provided in 
Sec. 536.302; and
    (3) The offered position must be of tenure equal to or greater than 
that of the position creating the grade or pay retention entitlement; 
and
    (4) The offered position must be in an agency, as defined in 5 
U.S.C. 5102, although not necessarily in the same agency in which the 
employee is serving at the time of the offer; and

[[Page 486]]

    (5) The offered position must be full-time, unless the employee's 
position immediately before the change creating entitlement to grade or 
pay retention was less than full-time, in which case the offered 
position must have a work schedule of no less time than that of the 
position held before the change; and
    (6) The offered position must be in the same commuting area as the 
employee's position immediately before the offer, unless the employee is 
subject to a mobility agreement or a published agency policy which 
requires employee mobility.



Sec. 536.207  Loss of eligibility for grade retention.

    (a) Eligibility for grade retention as a result of entitlement under 
Sec. 536.103(a) of this part ceases if any of the following conditions 
occurs at any time after the employee receives written notice of the 
reduction in grade action, but before the commencement of the 2-year 
period of grade retention:
    (1) The employee has a break in service of 1 workday or more; or
    (2) The employee is demoted for personal cause or at the employee's 
request; or
    (3) The employee is placed in, or declines a reasonable offer of, a 
position the grade of which is equal to or higher than the retained 
grade; or
    (4) The employee elects in writing to terminate the benefits of 
grade retention.
    (b) Eligibility for grade retention as a result of entitlement under 
Sec. 536.103(b) of this part ceases if any of the following conditions 
occurs at any time after the employee is informed by management of an 
impending reorganization or reclassification which will or could result 
in reduction in grade, but before the commencement of the 2-year period 
of grade retention:
    (1) Any of the conditions listed in paragraph (a) of this section 
except that an employee's request for placement in a lower graded 
position, in lieu of displacing an employee at his or her grade under 
reduction-in-force procedures, is not a declination of a reasonable 
offer for grade retention purposes; or
    (2) The employee fails to enroll in, or to comply with reasonable 
written requirements established to assure full consideration under, a 
program providing priority consideration for placement.



Sec. 536.208  Termination of grade retention.

    (a) Grade retention terminates if any of the conditions listed in 
Sec. 536.207(a) occurs after commencement of the 2-year period of grade 
retention.
    (b) Grade retention as provided by Sec. 536.103(b) also terminates 
if any of the conditions listed in Sec. 536.207(b) occur after the 
commencement of the 2-year period of grade retention.
    (c) The effective date of termination of grade retention benefits 
is:
    (1) The day before placement if the termination is the result of the 
employee's placement in another position; or
    (2) At the end of the last day of the pay period which the employee:
    (i) Declines a reasonable offer; or
    (ii) Elects to waive grade retention benefits; or
    (iii) Fails to enroll in, or comply with reasonable written 
requirements established to assure full consideration under, a program 
providing priority consideration for placement.
    (d) Grade retention terminates on the day before the first day of 
the first pay period beginning on or after April 23, 1991 in the case of 
an employee who, on that date, becomes subject to the senior-level pay 
system established under 5 U.S.C. 5376 and subpart E of part 534 of this 
chapter.

[45 FR 85656, Dec. 30, 1980, as amended at 56 FR 18663, Apr. 23, 1991]



Sec. 536.209  Loss of eligibility for, or termination of, pay retention.

    (a) Eligibility for pay retention, or actual retention of pay, 
ceases if any of the following conditions occurs at any time after the 
employee had received written notification that his or her pay is to be 
reduced:
    (1) The employee has a break in service of 1 workday or more; or
    (2) The employee is entitled to a rate of basic pay which is equal 
to or higher than, or declines a reasonable offer of a position the rate 
of basic pay for which

[[Page 487]]

is equal to or higher than, the rate to which the employee is entitled 
under pay retention; or
    (3) The employee is demoted for personal cause or at the employee's 
request.
    (b) The effective date of termination of pay retention benefits is:
    (1) The day before placement or conversion if the termination is the 
result of the employee's placement in another position or conversion to 
the senior-level pay system established under 5 U.S.C. 5376 and subpart 
E of part 534 of this chapter.
    (2) The end of the last day of the pay period in which the employee 
declines a reasonable offer.

[45 FR 85656, Dec. 30, 1980, as amended at 56 FR 18663, Apr. 23, 1991]



                   Subpart C--Miscellaneous Provisions



Sec. 536.301  Placement and classification plans.

    (a) Agencies which employ individuals subject to this part are 
required to establish in writing placement and classification plans.
    (b) The placement and classification plans must commit the agency 
to:
    (1) Identify and correct classification errors; and
    (2) Correct position management problems; and
    (3) Carry out specific planned efforts to place employees subject to 
this part; and
    (4) Pursue placement efforts that do not adversely affect 
affirmative action goals.



Sec. 536.302  Appeal of termination of benefits because of reasonable offer.

    (a) Except as provided for in paragraph (e) of this section, an 
employee whose grade or pay retention benefits are terminated on the 
grounds the employee declined a reasonable offer of a position the grade 
or pay of which is equal to or greater than his or her retained grade or 
pay may appeal the termination to the Office of Personnel Management.
    (b) An employee who appeals under this section shall file the appeal 
in writing with the Office of Personnel Management not later than 20 
calendar days after being notified that his or her grade of pay 
retention benefits have been terminated, and shall state in the appeal 
the reasons why the employee believes the offer of a position was not a 
reasonable offer.
    (c) The Office of Personnel Management may conduct any investigation 
or hearing it determines necessary to ascertain the facts of the case.
    (d) If a decision by the Office of Personnel Management on an appeal 
under this section requires corrective action by an agency, including 
the retroactive or prospective restoration of grade or pay retention 
benefits, the agency shall take that corrective action.
    (e) Termination of benefits based on a declination of a reasonable 
offer by an employee in an exclusively recognized bargaining unit may be 
reviewed under the negotiated grievance and arbitration procedures in 
accordance with chapter 71 of title 5, United States Code, and the terms 
of any applicable collective bargaining agreement. An employee in an 
exclusively recognized bargaining unit may not appeal a termination of 
benefits to the Office of Personnel Management if the grievance 
procedure of the agreement by which he or she is covered provides for 
this review.
    (f) Decisions issued by the Office of Personnel Management shall be 
considered final decisions. OPM may, at its discretion, reconsider an 
original appellate decision when new and material information is 
presented, in writing, by the employee or the agency, which establishes 
a reasonable doubt as to the appropriateness of the original decision. 
The request must show that the information was not readily available 
when the decision was issued. A request for reconsideration of an 
original appeal decision must be submitted to OPM within 30 calendar 
days of the date of the original decision.

[45 FR 85656, Dec. 30, 1980, as amended at 50 FR 428, Jan. 4, 1985; 50 
FR 45389, Oct. 31, 1985]



Sec. 536.303  Documentation.

    The application of the provisions of this part shall be documented 
in writing as a permanent part of the employee's Official Personnel 
Folder. As a

[[Page 488]]

minimum this documentation will include a copy of the letter described 
in Sec. 536.304.



Sec. 536.304  Issuance of employee letters.

    When an employee is entitled to grade and/or pay retention, the 
employing agency shall give to the employee, with a copy of the 
Notification of Personnel Action (SF-50) documenting entitlement to 
grade and/or pay retention, a letter describing the circumstances 
warranting grade and/or pay retention, and the nature of that 
entitlement.



Sec. 536.305-536.306  [Reserved]



Sec. 536.307  Availability of information.

    (a) The Office, upon a request which identifies the individual from 
whose file the information is sought, shall disclose the following 
information from an appeal file to a member of the public, except when 
the disclosure would constitute a clearly unwarranted invasion of 
personal privacy:
    (1) Confirmation of the name of the individual from whose file the 
information is sought and the names of the other parties concerned;
    (2) The status of the appeal;
    (3) The results of the appeal (i.e., proper title, pay plan, series, 
and grade);
    (4) The classification requested (i.e., title, pay plan, series, and 
grade); and
    (5) With the consent of the parties concerned, other reasonably 
identified information from the file.
    (b) The Office will disclose to the parties concerned, the 
information contained in an appeal file in proceedings under this part, 
except when the disclosure would violate the proscription against the 
disclosure of medical information in Sec. 297.204(c) of this chapter. 
For the purposes of this section, ``the parties concerned'' means the 
Government employee or former Government employee involved in the 
proceedings, his or her representative designated in writing, and the 
representative of the agency or the Office involved in the proceeding.

[50 FR 3313, Jan. 24, 1985, as amended at 54 FR 18879, May 3, 1989]



Sec. 536.308  Applicability of retained grade.

    (a) Except as provided in paragraph (b) of this section, when an 
employee is entitled to grade retention, the retained grade shall be 
treated as the employee's grade for all purposes, including pay and pay 
administration, retirement, life insurance, and eligibility for 
training.
    (b) The retained grade may not be used--
    (1) In any reduction-in-force procedure;
    (2) To determine whether an employee has been demoted for the 
purpose of terminating grade or pay retention;
    (3) To determine whether an employee retains status as a GM employee 
(as defined in Sec. 531.202 of this chapter); or
    (4) To determine whether an employee is exempt or nonexempt from the 
Fair Labor Standards Act of 1938 (as amended).

[58 FR 65537, Dec. 15, 1993, as amended at 59 FR 40794, Aug. 10, 1994]



PART 537--REPAYMENT OF STUDENT LOANS--Table of Contents




Sec.
537.101 Purpose.
537.102 Definitions.
537.103 Agency loan repayment plans.
537.104 Employee eligibility.
537.105 Criteria for payment.
537.106 Procedures for making loan repayments.
537.107 Service agreements.
537.108 Loss of eligibility for loan repayment benefits.
537.109 Employee reimbursements to the Government.
537.110 Records and reports.

    Authority: 5 U.S.C. 5379.

    Source: 66 FR 2791, Jan. 11, 2001, unless otherwise noted.



Sec. 537.101  Purpose.

    This part provides regulations to implement 5 U.S.C. 5379, as 
amended, which authorizes agencies to establish a program under which 
they may agree to repay (by direct payment on behalf of the employee) 
all or part of any outstanding federally insured student loan

[[Page 489]]

or loans previously taken out by a candidate to whom an offer of 
employment has been made, or a current employee of the agency, in order 
to recruit or retain highly qualified personnel.

[66 FR 39406, July 31, 2001]



Sec. 537.102  Definitions.

    In this part:
    Agency has the same meaning as in 5 U.S.C. 4101(l) subparagraph (A), 
(B), (C), (D), or (E).
    Employee has the meaning given that term in 5 U.S.C. 2105, except it 
does not include an employee occupying a position which is excepted from 
the competitive service because of its confidential, policy-determining, 
policy-making, or policy advocating character (i.e., employees serving 
under Schedule C appointments).
    Head of agency means the head of an Executive agency or an official 
who has been delegated the authority to act for the head of the agency 
in the matter concerned.
    Service agreement means a written agreement between an agency and an 
employee under which the employee agrees to a specified period of 
employment with the agency of not less than 3 years, in return for 
payments toward a student loan previously taken out by the employee.
    Student loan means--
    (a) A loan made, insured, or guaranteed under parts B, D or E of 
title IV of the Higher Education Act of 1965; or
    (b) A health education assistance loan made or insured under part A 
of title VII of the Public Health Service Act, or under part E of title 
VIII of that Act.

[66 FR 2791, Jan. 11, 2001, as amended at 66 FR 39406, July 31, 2001]



Sec. 537.103  Agency loan repayment plans.

    (a) Agency loan repayment plans. Before repaying any student loans 
under this part, the head of an agency must establish a student loan 
repayment plan. This plan must include the following elements:
    (1) The designation of officials with authority to review and 
approve offering student loan repayment benefits (agencies should use 
approval delegations which are similar to those used for other 
recruitment and relocation incentives);
    (2) The situations when the loan repayment authority may be used;
    (3) Criteria that must be met or considered in authorizing loan 
repayments, including criteria for determining the size and timing of a 
payment(s);
    (4) Procedures for making loan payments;
    (5) A system for selecting employees to receive repayment benefits 
that ensures fair and equitable treatment;
    (6) Requirements for service agreements (including a basis for 
determining the length of service to be required if greater than the 
statutory minimum) and provisions for recovering any amount outstanding 
from an employee who fails to complete the period of employment 
established under a service agreement and for conditions when the agency 
decides to waive the employee's obligation to reimburse the agency for 
payments made under this part; and
    (7) Documentation and recordkeeping requirements sufficient to allow 
reconstruction of the action taken in each case. (when an employee is 
considered for the repayment benefit.)
    (b) [Reserved]



Sec. 537.104  Employee eligibility.

    In accordance with the other provisions of this part and 5 U.S.C. 
5379, an agency may authorize offering loan repayments benefits to 
recruit or retain--
    (a) Temporary employees who are serving on appointments leading to 
conversion to term or permanent appointments; or
    (b) Term employees with at least 3 years left on their appointment; 
or
    (c) Permanent employees; or
    (d) Employees serving on excepted appointments with conversion to 
term, career, or career conditional appointments (including, but not 
limited to, Career Intern or Presidential Management Intern 
appointments).



Sec. 537.105  Criteria for payment.

    (a) Written determination. Loan repayments made under this part must 
be based on a written determination that,

[[Page 490]]

in the absence of offering loan repayment benefits, the agency would 
encounter difficulty either in filling the position with a highly 
qualified candidate, or retaining a highly qualified employee in that 
position. Agencies can decide for themselves who has the authority to 
make written determinations.
    (b) Determination for recruitment. Each determination for 
recruitment purposes (including the amount to be paid) must be made 
before the employee actually enters on duty in the position for which he 
or she was recruited.
    (c) Determination for retention. Payments authorized in order to 
retain an employee must be based upon a written determination that the 
high or unique qualifications of the employee or special need of the 
agency for the employee's services makes it essential to retain the 
employee, and that, in the absence of offering student loan repayment 
benefits, the employee would be likely to leave for employment outside 
the Federal service. This determination must be based on a written 
description of the extent to which the employee's departure would affect 
the agency's ability to carry out an activity or perform a function that 
is deemed essential to the agency's mission.
    (d) Selecting employees. When selecting employees to receive loan 
repayment benefits, agencies must adhere to merit system principles and 
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 Government service.



Sec. 537.106  Procedures for making loan repayments.

    (a) Conditions for payments. Payments will be at the discretion of 
the agency and are subject to such terms, limitations, or conditions as 
may be mutually agreed to in writing by the agency and employee. 
Payments may be applied only to the indebtedness outstanding at the time 
the agency and the employee enter into an agreement, and may not begin 
before the employee enters on duty with the agency. Student loan 
repayment benefits must be in addition to basic pay and any other form 
of compensation otherwise payable to the employee involved. Tax 
withholdings must be deducted or applied at the time any payment is 
made. Tax withholdings may not be spread out over time. Since these tax 
implications could create a financial hardship for the recipient of the 
repayment benefit, agencies can lessen the impact of tax withholdings on 
an employee's paycheck in one of the following ways:
    (1) Agencies can make smaller payments at periodic intervals 
throughout the fiscal year rather than issue payments under this part in 
one lump sum;
    (2) Employees can write a check to the paying agency to cover their 
tax liability rather than have the tax liability withheld from the 
employee's paycheck;
    (3) Agencies can deduct the amount of taxes to be withheld from the 
loan repayment benefit before issuing payment to the holder of the loan.
    (4) Agencies are strongly advised to consult the Internal Revenue 
Service for further details concerning these options as well as the tax 
withholding implications of payments under this part.
    (b) Loans to be repaid. Before authorizing loan repayments, an 
agency must verify with the holder of the loan that the employee has an 
outstanding student loan that qualifies for repayment under this part. 
Agencies should verify remaining balances to ensure that loans are not 
overpaid. An agency may repay more than one loan as long as the loan 
repayments do not exceed the limits set forth in paragraph (c) of this 
section.
    (c) Size of payments. In determining the size of the loan payments, 
an agency should take into consideration the employee's value to the 
agency, and how far in advance the agency can commit funds. If budgetary 
considerations are an issue, agencies have the discretion to determine 
the repayment benefit amount given to an employee each year. This type 
of arrangement must be included in the written service agreement with 
the employee. The amount paid by the agency is subject to all the 
following maximum limits:
    (1) $6,000 per employee per calendar year; and
    (2) A total of $40,000 per employee.

[[Page 491]]

    (d) Employee responsibility. The employee will be responsible for 
making loan payments on the portion of the loan(s) that continues to be 
the employee's responsibility. Payments under this part do not exempt an 
employee from his or her responsibility and/or liability for any loan(s) 
the individual has taken out. The employee will also be responsible for 
any income tax obligations resulting from the loan repayment benefit.



Sec. 537.107  Service agreements.

    (a) Before any loan repayments may be made, an agency must require 
that the employee sign a written agreement to complete a specified 
period of employment with the agency and to reimburse the agency for 
loan repayment benefits, when required by Sec. 537.109. This agreement 
may also specify any other employment conditions the agency considers to 
be appropriate, such as, but not limited to, the employee's position and 
the duties he or she is expected to perform, work schedule, or level of 
performance.
    (b) The minimum period of employment to be established under a 
service agreement must be 3 years, regardless of the amount of loan 
repayment authorized. Agencies can state in their service agreements 
that increases or renewals of payments made under this part can be made 
without requiring the employee to enter into a new service agreement.
    (c) A service agreement made under this part in no way constitutes a 
right, promise, or entitlement for continued employment or 
noncompetitive conversion to the competitive service. This language 
should be stated in the service agreement.



Sec. 537.108  Loss of eligibility for loan repayment benefits.

    (a) An employee receiving loan repayment benefits from an agency 
will be ineligible for continued benefits from that agency if the 
employee:
    (1) Separates from the agency; or
    (2) Does not maintain an acceptable level of performance, as 
determined under standards and procedures prescribed by the head of the 
agency; or
    (3) Violates any of the conditions of the service agreement.
    (b) For the purpose of applying paragraph (a) of this section, in 
the case of an employee covered by an appraisal system established under 
part 430, subpart B, of this chapter, the employee's most recent rating 
of record must be at least level 3 (``Fully Successful'').



Sec. 537.109  Employee reimbursements to the Government.

    (a) Except as provided in paragraph (d) of this section, an employee 
who fails to complete the period of employment established under a 
service agreement will be indebted to the Federal Government and must 
reimburse the paying agency for the amount of any student loan repayment 
benefits the employee received.
    (b) Failure to complete the period of employment established under a 
service agreement occurs when the employee's service with the agency 
terminates before the employee completes the period of employment 
specified in the service agreement because:
    (1) The employee is separated involuntarily on account of misconduct 
or performance; or
    (2) The employee leaves the agency voluntarily.
    (c) If an employee fails to reimburse the agency for the amount owed 
under paragraph (a) of this section, a sum equal to the amount 
outstanding must be recovered from the employee under the agency's 
regulations for collection by offset from an indebted Government 
employee under 5 U.S.C. 5514 and subpart K of part 550 of this chapter, 
or through the appropriate provisions governing debt collection if the 
individual is no longer a Federal employee.
    (d) Paragraph (a) of this section does not apply when the employee 
fails to complete a period of employment established under a service 
agreement because:
    (1) The employee is involuntarily separated for reasons other than 
misconduct or performance; or
    (2) The employee leaves the agency voluntarily to enter into the 
service of any other agency, unless reimbursement to the paying agency 
is otherwise specified in the service agreement.
    (e) The head of an agency may waive, in whole or in part, a right of 
recovery

[[Page 492]]

of an employee's debt if he or she determines that recovery would be 
against equity and good conscience or against the public interest.
    (f) Any amount repaid, or recovered from, an employee under this 
section will be credited to the appropriation account from which the 
amount involved was originally paid. Any amount so credited will be 
merged with other sums in such account and will be available for the 
same purposes and period, and subject to the same limitations (if any), 
as the sums with which merged.



Sec. 537.110  Records and reports.

    (a) Each agency must keep a record of each determination made under 
this part and make such records available for review upon OPM's request. 
These records may be destroyed after 3 years or after OPM formally 
evaluates the program (whichever comes first).
    (b) Before January 1st of each year, each agency must submit a 
written report to the Office of Personnel Management stating when the 
agency made student loan repayments on behalf of an employee during the 
previous fiscal year. Each report must include:
    (1) The number of employees selected to receive this benefit;
    (2) The job classifications of the employees selected to receive 
benefits under this part; and
    (3) The cost to the Federal government for providing benefits under 
this part.

[66 FR 2791, Jan. 11, 2001, as amended at 66 FR 39406, July 31, 2001]



PART 550--PAY ADMINISTRATION (GENERAL)--Table of Contents




                         Subpart A--Premium Pay

                           General Provisions

Sec.
550.101 Coverage and exemptions.
550.102 Entitlement.
550.103 Definitions.

                      Maximum Earnings Limitations

550.105 Biweekly maximum earnings limitation.
550.106 Annual maximum earnings limitation.
550.107 Premium payments capped on a biweekly basis when an annual 
          limitation otherwise applies.

                              Overtime Pay

550.111 Authorization of overtime pay.
550.112 Computation of overtime work.
550.113 Computation of overtime pay.
550.114 Compensatory time off.

                                Night Pay

550.121 Authorization of night pay differential.
550.122 Computation of night pay differential.

                          Pay for Holiday Work

550.131 Authorization of pay for holiday work.
550.132 Relation to overtime, night, and Sunday pay.

                  Regularly Scheduled Standby Duty Pay

550.141 Authorization of premium pay on an annual basis.
550.142 General restrictions.
550.143 Bases for determining positions for which premium pay under 
          Sec. 550.141 is authorized.
550.144 Rates of premium pay payable under Sec. 550.141.

                  Administratively Uncontrollable Work

550.151 Authorization of premium pay on an annual basis.
550.152 [Reserved]
550.153 Bases for determining positions for which premium pay under 
          Sec. 550.151 is authorized.
550.154 Rates of premium pay payable under Sec. 550.151.

   General Rules Governing Payments of Premium Pay on an Annual Basis

550.161 Responsibilities of the agencies.
550.162 Payment provisions.
550.163 Relationship to other payments.
550.164 Construction and computation of existing aggregate rates.

                           Pay for Sunday Work

550.171 Authorization of pay for Sunday work.
550.172 Relation to overtime, night, and holiday pay.

                    Law Enforcement Availability Pay

550.181 Coverage.
550.182 Unscheduled duty.
550.183 Substantial hours requirement.
550.184 Annual certification.
550.185 Payment of availability pay.
550.186 Relationship to other payments.
550.187 Transitional provisions.

[[Page 493]]

                       Subpart B--Advances in Pay

550.201 Purpose.
550.202 Definitions.
550.203 Advances in pay.
550.204 Agency procedures.
550.205 Recovery of advances in pay.
550.206 Waiver of repayment.

      Subpart C--Allotments and Assignments From Federal Employees

                               Definitions

550.301 Definitions.

                           General Provisions

550.311 Authority of agency.
550.312 General limitations.
550.313 Order of precedence when there is insufficient pay to cover all 
          deductions.

                           Labor Organization

550.321 Authority.
550.322 Saving provision.

         Association of Management Officials and/or Supervisors

550.331 Scope.

                        Combined Federal Campaign

550.341 Scope.

                         Income Tax Withholding

550.351 Scope.

                         Allotments for Savings

550.361 Scope.

                      Alimony and/or Child Support

550.371 Scope.

                  Foreign Affairs Agency Organizations

550.381 Scope.

                  Subpart D--Payments During Evacuation

550.401 Purpose, applicability, authority, and administration.
550.402 Definitions.
550.403 Advance payments; evacuation payments; special allowances.
550.404 Computation of advance payments and evacuation payments; time 
          periods.
550.405 Determination of special allowances.
550.406 Work assignments during evacuation; return to duty.
550.407 Termination of payments during evacuation.
550.408 Review of accounts; service credit.

               Subpart E--Pay From More Than One Position

550.501 Scope.
550.502 Definitions.
550.503 Exceptions in emergencies.
550.504 Other exceptions.
550.505 Report to OPM.

Subpart F [Reserved]

                        Subpart G--Severance Pay

550.701 Introduction.
550.702 Coverage.
550.703 Definitions.
550.704 Eligibility for severance pay.
550.705 Criteria for meeting the requirement for 12 months of continuous 
          employment.
550.706 Criteria for meeting the requirement for involuntary separation.
550.707 Computation of severance pay fund.
550.708 Creditable service.
550.709 Accrual and payment of severance pay.
550.710 Suspension of severance pay.
550.711 Termination of severance pay entitlement.
550.712 Reemployment; recredit of service.
550.713 Records.
550.714 Panama Canal Commission employees.

                           Subpart H--Back Pay

550.801 Applicability.
550.802 Coverage.
550.803 Definitions.
550.804 Determining entitlement to back pay.
550.805 Back pay computations.
550.806 Interest computations.
550.807 Payment of reasonable attorney fees.
550.808 Prohibition against setting aside proper promotions.

Appendix A--Information on Computing Certain Common Deductions From Back 
          Pay Awards

      Subpart I--Pay for Duty Involving Physical Hardship or Hazard

550.901 Purpose.
550.902 Definitions.
550.903 Establishment of hazard pay differentials.
550.904 Authorization of hazard pay differential.
550.905 Payment of hazard pay differential.
550.906 Termination of hazard pay differential.
550.907 Relationship to additional pay payable under other statutes.

Appendix A--Schedule of Pay Differentials Authorized for Hazardous Duty 
          Under Subpart I
Appendix A-1--Windchill Chart

[[Page 494]]

    Subpart J--Adjustment of Work Schedules for Religious Observances

550.1001 Coverage.
550.1002 Compensatory time off for religious observances.

   Subpart K--Collection by Offset From Indebted Government Employees

550.1101 Purpose.
550.1102 Scope.
550.1103 Definitions.
550.1104 Agency regulations.
550.1105 Review and approval of agency regulations.
550.1106 Time limit on collection of debts.
550.1107 Obtaining the services of a hearing official.
550.1108 Requesting recovery through centralized administrative offset.
550.1109 Requesting recovery when the current paying agency is not the 
          creditor agency.
550.1110 Debt collection centers.

  Subpart L--Lump-Sum Payment for Accumulated and Accrued Annual Leave

550.1201 Purpose, applicability, and administration.
550.1202 Definitions.
550.1203 Eligibility.
550.1204 Projecting the lump-sum leave period.
550.1205 Calculating a lump-sum payment.
550.1206 Refunding a lump-sum payment.
550.1207 Recrediting annual leave.

                       Subpart M--Firefighter Pay

550.1301 Purpose, applicability, and administration.
550.1302 Definitions.
550.1303 Hourly rates of basic pay.
550.1304 Overtime hourly rates of pay.
550.1305 Treatment as basic pay.
550.1306 Relationship to other entitlements.
550.1307 Authority to regularize paychecks.

    Source: 33 FR 12458, Sept. 4, 1968, unless otherwise noted.



                         Subpart A--Premium Pay

    Authority: 5 U.S.C. 5304 note, 5305 note, 5541(2)(iv), 
5545a(h)(2)(B) and (i), 5547(b) and (c), 5548, and 6101(c); sections 407 
and 2316, Pub. L. 105-277, 112 Stat. 2681-101 and 2681-828 (5 U.S.C. 
5545a); E.O. 12748, 3 CFR, 1992 Comp., p. 316.

                           General Provisions



Sec. 550.101  Coverage and exemptions.

    (a) Employees to whom this subpart applies. (1) This subpart applies 
to each employee in or under an Executive agency, as defined in 5 U.S.C. 
105, except those named in paragraphs (b) and (c) of this section.
    (2) The sections in this subpart incorporating special provisions 
for certain types of work (Secs. 550.141 through 550.164, inclusive) 
apply also to each employee of the judicial branch or the legislative 
branch who is subject to subchapter V of chapter 55 of title 5, United 
States Code.
    (b) Employees to whom this subpart does not apply. This subpart does 
not apply to:
    (1) An elected official;
    (2) The head of a department;
    (3) [Reserved]
    (4) An employee whose pay is fixed and adjusted from time to time in 
accordance with prevailing rates under subchapter IV of chapter 53 of 
title 5, United States Code, or by a wage board or similar 
administrative authority serving the same purpose, except that 
Sec. 550.113(d) is applicable to such an employee whose rate of basic 
pay is fixed on an annual or monthly basis;
    (5) An employee outside the continental United States or in Alaska 
who is paid in accordance with local prevailing wage rates for the area 
in which employed;
    (6) An employee of the Tennessee Valley Authority;
    (7) An employee of the Central Intelligence Agency (sec. 10, 63 
Stat. 212, as amended; 50 U.S.C. 403j);
    (8) A seaman to whom section 1(a) of the act of March 24, 1943 (57 
Stat. 45; 50 U.S.C. App. 1291(a)) applies;
    (9) A member of the United States Park Police or the United States 
Secret Service Uniformed Division, except for the purpose of night pay 
under Secs. 550.121 and 550.122, pay for holiday work under 
Secs. 550.131 and 550.132, and pay for Sunday work under Secs. 550.171 
and 550.172 of this subpart;
    (10) An officer or member of the crew of a vessel, whose pay is 
fixed and adjusted from time to time as nearly as is consistent with the 
public interest in

[[Page 495]]

accordance with prevailing rates and practices in the maritime industry 
(30 Comp. Gen. 158);
    (11) A civilian keeper of a lighthouse, or a civilian employed on a 
lightship or another vessel of the Coast Guard (14 U.S.C. 432(f));
    (12) A physician, dentist, nurse, or any other employee in the 
Department of Medicine and Surgery, Veterans Administration, whose pay 
is fixed under chapter 73 of title 38, United States Code;
    (13) A student-employee as defined by section 5351 of title 5, 
United States Code;
    (14) An employee of the Environmental Science Services 
Administration engaged in the conduct of meteorological investigations 
in the Arctic region (62 Stat. 286; 15 U.S.C. 327);
    (15) An employee of a Federal land bank, a Federal intermediate 
credit bank, or a bank for cooperatives;
    (16) A ``teacher'' or an individual holding a ``teaching position'' 
as defined by section 901 of title 20, United States Code;
    (17) A Foreign Service officer or a member of the Senior Foreign 
Service; or
    (18) A member of the Senior Executive Service.
    (c) Employees to whom Secs. 550.111, 550.113, and 550.114 of this 
subpart do not apply. Except for the purpose of determining hours of 
work in excess of 8 hours in a day, Secs. 550.111, 550.113, and 550.114 
of this subpart do not apply to an employee who is subject to the 
overtime pay provisions of section 7 of the Fair Labor Standards Act of 
1938 and part 551 of this chapter.
    (d) Services to which this subpart does not apply. This subpart does 
not apply to overtime, night, Sunday, or holiday services for which 
additional pay is provided by the act of:
    (1) February 13, 1911, as amended (36 Stat. 899, as amended; 19 
U.S.C. 261, 267), involving customs inspectors and canine enforcement 
officers;
    (2) July 24, 1919 (41 Stat. 241; 7 U.S.C. 394), involving employees 
engaged in enforcement of the Meat Inspection Act;
    (3) March 2, 1931 (46 Stat. 1467; 8 U.S.C. 1353a), involving 
inspectors and employees, Immigration and Naturalization Service;
    (4) May 27, 1936, as amended (49 Stat. 1380, as amended; 46 U.S.C. 
382b), involving local inspectors of steam vessels and assistants, U.S. 
shipping commissioners, deputies, and assistants, and customs officers 
and employees;
    (5) March 23, 1941 (55 Stat. 46; 47 U.S.C. 154(f)(3)), involving 
certain engineers of the Federal Communications OPM;
    (6) August 4, 1949 (63 Stat. 495; 7 U.S.C. 349a), involving 
employees of the Bureau of Animal Industry who work at establishments 
which prepare virus, serum, toxin, and analogous products for use in the 
treatment of domestic animals; or
    (7) August 28, 1950 (64 Stat. 561; 7 U.S.C. 2260), involving 
employees of the Department of Agriculture performing inspection or 
quarantine services relating to imports into and exports from the United 
States.

[33 FR 12458, Sept. 4, 1968, as amended at 48 FR 3933, Jan. 28, 1983; 56 
FR 20341, May 3, 1991; 57 FR 2432, Jan. 22, 1992; 64 FR 69174, Dec. 10, 
1999]



Sec. 550.102  Entitlement.

    A department (and for the purpose of Secs. 550.141 through 550.164, 
inclusive, a legislative or judicial branch agency) must determine an 
employee's entitlement to premium pay consistent with subchapter V of 
chapter 55 of title 5, United States Code.

[64 FR 69174, Dec. 10, 1999]



Sec. 550.103  Definitions.

    In this subpart:
    Administrative workweek means any period of 7 consecutive days (as 
defined in this section) designated in advance by the head of the agency 
under section 6101 of title 5, United States Code.
    Agency means--
    (1) A department as defined in this section; and
    (2) A legislative or judicial branch agency which has positions that 
are subject to subchapter V of chapter 55 of title 5, United States 
Code.
    Basic workweek, for full-time employees, means the 40-hour workweek 
established in accordance with Sec. 610.111 of this chapter.

[[Page 496]]

    Criminal investigator means a law enforcement officer as defined in 
5 U.S.C. 5541(3) and this section--
    (1) Whose position is properly classified under the GS-1811 or GS-
1812 series in the General Schedule classification system based on OPM 
classification standards (or would be so classified if covered under 
that system);
    (2) Who is a pilot employed by the United States Customs Service;
    (3) Who is a special agent in the Diplomatic Security Service in a 
position which has been properly determined by the Department of State 
to have a Foreign Service primary skill code of 2501;
    (4) Who is a special agent in the Diplomatic Security Service who 
has been placed by the Department of State in a non-covered position on 
a long-term training assignment that will be career-enhancing for a 
current or future assignment as a Diplomatic Security Service special 
agent, provided the employee is expected to return to duties as a 
special agent in a Foreign Service position with a 2501 primary skill 
code or to a position properly classified in the GS-1811 series 
immediately following such training;
    (5) Who occupies a position in the Department of State in which he 
or she performs duties and responsibilities of a special agent requiring 
Foreign Service primary skill code 2501, pending the opening of a 
position with primary skill code 2501 and placement in that position as 
a special agent; or
    (6) Who is a special agent in the Diplomatic Security Service with a 
Foreign Service personal primary skill code of 2501 (or whose position 
immediately prior to the detail was properly classified in the GS-1811 
series) and who meets all of the following three conditions:
    (i) The individual is assigned outside the Department of State;
    (ii) The assigned position would have a primary skill code of 2501 
(or would be properly classified in the GS-1811 series under the General 
Schedule classification system based on OPM classification standards) if 
the position were under the Foreign Service (or General Schedule) in the 
Department of State; and
    (iii) The individual is expected to return to a position as a 
special agent in the Diplomatic Security Service with a 2501 primary 
skill code (or to a position that is properly classified in the GS-1811 
series) immediately following such outside assignment.
    Day (for overtime pay purposes) means any 24-hour period designated 
by an agency within the administrative workweek applicable to the 
employee. A day need not correspond to the 24-hour period of a calendar 
day. If the agency has not designated another period of time, a day is a 
calendar day.
    Department means an executive agency and a military department as 
defined by sections 105 and 102 of title 5, United States Code.
    Emergency means a temporary condition posing a direct threat to 
human life or property, including a forest wildfire emergency.
    Employee means an employee to whom this subpart applies.
    Head of a department means the head of a department and, except for 
the purpose of Sec. 550.101(b)(2), an official who has been delegated 
authority to act for the head of a department in the matter concerned.
    Holiday work means nonovertime work performed by an employee during 
a regularly scheduled daily tour of duty on a holiday designated in 
accordance with Sec. 610.202 of this chapter.
    Irregular or occasional overtime work means overtime work that is 
not part of an employee's regularly scheduled administrative workweek.
    Law enforcement officer means an employee who--
    (1) Is a law enforcement officer within the meaning of 5 U.S.C. 
8331(20) (as further defined in Sec. 831.902 of this chapter) or 5 
U.S.C. 8401(17) (as further defined in Sec. 842.802 of this chapter), as 
applicable;
    (2) In the case of an employee who holds a secondary position, as 
defined in Sec. 831.902 of this chapter, and is subject to the Civil 
Service Retirement System, but who does not qualify to be considered a 
law enforcement officer within the meaning of 5 U.S.C. 8331(20), would 
so qualify if such employee had transferred directly to such position 
after serving as a law enforcement officer within the meaning of such 
section;
    (3) In the case of an employee who holds a secondary position, as 
defined

[[Page 497]]

in Sec. 842.802 of this chapter, and is subject to the Federal Employees 
Retirement System, but who does not qualify to be considered a law 
enforcement officer within the meaning of 5 U.S.C. 8401(17), would so 
qualify if such employee had transferred directly to such position after 
performing duties described in 5 U.S.C. 8401(17)(A) and (B) for at least 
3 years; and
    (4) In the case of an employee who is not subject to either the 
Civil Service Retirement System or the Federal Employees Retirement 
System--
    (i) Holds a position that the agency head (as defined in 
Secs. 831.902 and 842.802 of this chapter) determines would satisfy 
paragraph (1), (2), or (3) of this definition if the employee were 
subject to the Civil Service Retirement System or the Federal Employees 
Retirement System (subject to OPM oversight as described in 
Secs. 831.911 and 842.808 of this chapter); or
    (ii) Is a special agent in the Diplomatic Security Service.
    Nightwork has the meaning given that term in Sec. 550.121, and 
includes any nightwork preformed by an employee as part of his or her 
regularly scheduled administrative workweek.
    Overtime work has the meaning given that term in Sec. 550.111 and 
includes irregular or occasional overtime work and regular overtime 
work.
    Performing work in connection with an emergency means performing 
work that is directly related to resolving or coping with an emergency 
or its immediate aftermath.
    Premium pay means the dollar value of earned hours of compensatory 
time off and additional pay authorized by subchapter V of chapter 55 of 
title 5, United States Code, and this subpart for overtime, night, 
Sunday, or holiday work; or for standby duty, administratively 
uncontrollable overtime work, or availability duty. This excludes 
overtime pay paid to employees under the Fair Labor Standards Act and 
compensatory time off earned in lieu of such overtime pay.
    Protective duties means duties authorized by section 3056(a) of 
title 18, United States Code, or by section 2709(a)(3) of title 22, 
United States Code.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee, including 
any applicable special pay adjustment for law enforcement officers under 
section 404 of the Federal Employees Pay Comparability Act of 1990 (Pub. 
L. 101-509), locality-based comparability payment under 5 U.S.C. 5304, 
or continued rate adjustment under subpart G of part 531 of this 
chapter, before any deductions and exclusive of additional pay of any 
other kind.
    Regular overtime work means overtime work that is part of an 
employee's regularly scheduled administrative workweek.
    Regularly scheduled administrative workweek, for a full-time 
employee, means the period within an administrative workweek, 
established in accordance with Sec. 610.111 of this chapter, within 
which the employee is regularly scheduled to work. For a part-time 
employee, it means the officially prescribed days and hours within an 
administrative workweek during which the employee is regularly scheduled 
to work.
    Regularly scheduled work means work that is scheduled in advance of 
an administrative workweek under an agency's procedures for establishing 
workweeks in accordance with Sec. 610.111, excluding any such work to 
which availability pay under Sec. 550.181 applies.
    Sunday work means nonovertime work performed by a full-time employee 
during a regularly scheduled daily tour of duty when any part of that 
daily tour of duty is on a Sunday. For any such tour of duty, not more 
than 8 hours of work are Sunday work, unless the employee is on a 
compressed work schedule, in which case the entire regularly scheduled 
daily tour of duty constitutes Sunday work.
    Tour of duty means the hours of a day (a daily tour of duty) and the 
days of an administrative workweek (a weekly

[[Page 498]]

tour of duty) that constitute an employee's regularly scheduled 
administrative workweek.

[33 FR 12458, Sept. 4, 1968, as amended at 48 FR 3933, Jan. 28, 1983; 56 
FR 11059, Mar. 15, 1991; 56 FR 20341, May 3, 1991; 57 FR 2434, Jan. 22, 
1992; 57 FR 31630, July 17, 1992; 58 FR 3201, Jan. 8, 1993; 59 FR 66151, 
Dec. 23, 1994; 60 FR 33098, June 27, 1995; 60 FR 67287, Dec. 29, 1995; 
61 FR 3542, Feb. 1, 1996; 63 FR 64592, Nov. 23, 1998; 64 FR 4519, Jan. 
29, 1999; 64 FR 69174, Dec. 10, 1999]

                      Maximum Earnings Limitations



Sec. 550.105  Biweekly maximum earnings limitation.

    (a) Except as provided in paragraph (c) of this section, an employee 
may receive premium pay under this subpart only to the extent that the 
payment does not cause the total of his or her basic pay and premium pay 
for any biweekly pay period to exceed the greater of--
    (1) The maximum biweekly rate of basic pay payable for GS-15 
(including any applicable locality-based comparability payment under 
section 5304 or similar provision of law and any applicable special rate 
of pay under 5 U.S.C. 5305 or similar provision of law); or
    (2) The biweekly rate payable for level V of the Executive Schedule.
    (b) In applying the biweekly limitation under this section, premium 
pay of the types listed in Sec. 550.107(a) must be paid before paying 
any other type of premium pay.
    (c) This section does not apply to--
    (1) Any pay period during which an employee is subject to an annual 
limitation as provided in Sec. 550.106;
    (2) An employee of the Federal Aviation Administration or the 
Department of Defense who receives premium pay under 5 U.S.C. 5546a.

[67 FR 19320, Apr. 19, 2002]



Sec. 550.106  Annual maximum earnings limitation.

    (a)(1) For any pay period in which the head of an agency (or 
designee), or the Office of Personnel Management on its own motion, 
determines that an emergency exists, the agency must pay an affected 
employee premium pay under the limitations described in paragraph (c) of 
this section and Sec. 550.107 instead of under the biweekly limitation 
described in Sec. 550.105(a). An employee is affected if he or she has 
been determined by the head of the agency (or designee) to be performing 
work in connection with the emergency or its aftermath. (See definition 
of ``emergency'' in Sec. 550.103.)
    (2) The head of an agency (or designee) must make the determination 
under paragraph (a)(1) of this section as soon as practicable after the 
work in connection with the emergency or its aftermath begins. 
Entitlement to premium pay under this annual limitation becomes 
effective on the first day of the pay period in which such work began.
    (b)(1) For any pay period in which the head of an agency (or 
designee), in his or her sole discretion, determines that an employee is 
needed to perform work that is critical to the mission of the agency, 
the agency may pay premium pay under the limitations described in 
paragraph (c) of this section and Sec. 550.107 instead of under the 
biweekly limitation described in Sec. 550.105(a).
    (2) Entitlement to premium pay under this annual limitation becomes 
effective on the first day of the pay period designated by the head of 
the agency (or designee).
    (c) In any calendar year during which an employee has been 
determined to be performing emergency or mission-critical work as 
provided in paragraphs (a) or (b) of this section, the employee may 
receive premium pay under this subpart (excluding the types of premium 
pay identified in Sec. 550.107) only to the extent that the payment does 
not cause the total of his or her basic pay and premium pay for the 
calendar year to exceed the greater of--
    (1) The maximum annual rate of basic pay payable for GS-15 
(including any applicable locality-based comparability payment under 
section 5304 or similar provision of law and any applicable special rate 
of pay under 5 U.S.C. 5305 or similar provision of law) in effect on the 
last day of the calendar year; or
    (2) The annual rate payable for level V of the Executive Schedule in 
effect on the last day of the calendar year.

[[Page 499]]

    (d) The annual rates under paragraphs (c)(1) and (2) of this section 
must be computed as follows:
    (1) Compute an hourly rate by dividing the published annual rate of 
basic pay by 2,087 hours and rounding the result to the nearest cent;
    (2) Compute a biweekly rate by multiplying the hourly rate from 
paragraph (d)(1) of this section by 80 hours;
    (3) Compute an annual rate by multiplying the biweekly rate from 
paragraph (d)(2) of this section by the number of pay periods for which 
a paycheck is issued in the given calendar year under the agency's 
payroll cycle (i.e., either 26 or 27).
    (e) An agency may defer payment of the additional premium pay owed 
an employee as a result of the annual limitation until the end of the 
calendar year.
    (f) Any payment made in the current calendar year that corrects an 
underpayment of premium pay in a previous calendar year must be treated 
as being made in the previous calendar year for the purpose of applying 
the annual cap under this section.

[67 FR 19321, Apr. 19, 2002]



Sec. 550.107  Premium payments capped on a biweekly basis when an annual limitation otherwise applies.

    (a) The following types of premium pay remain subject to a biweekly 
limitation when other premium payments are subject to an annual 
limitation under Sec. 550.106:
    (1) Standby duty pay under 5 U.S.C. 5545(c)(1);
    (2) Administratively uncontrollable overtime pay under 5 U.S.C. 
5545(c)(2);
    (3) Availability pay for criminal investigators under 5 U.S.C. 
5545a; and
    (4) Overtime pay for hours in the regular tour of duty of a 
firefighter covered by 5 U.S.C. 5545b.
    (b) An employee must receive premium pay of the types identified in 
paragraph (a) of this section before receiving any other type of premium 
pay.
    (c) In any pay period during which an employee is subject to an 
annual limitation under Sec. 550.106, the employee may receive the types 
of premium pay identified in paragraph (a) of this section only to the 
extent that the payment does not cause the total of his or her basic pay 
and such premium pay for the pay period to exceed the greater of--
    (1) The maximum biweekly rate of basic pay payable for GS-15 
(including any applicable locality-based comparability payment under 
section 5304 or similar provision of law and any applicable special rate 
of pay under 5 U.S.C. 5305 or similar provision of law); or
    (2) The biweekly rate payable for level V of the Executive Schedule.
    (d) Premium pay paid, or projected to be paid, under this section is 
included in determining whether the sum of the employee's basic pay and 
premium pay would exceed the annual limitation under Sec. 550.106.

[67 FR 19321, Apr. 19, 2002]

                              Overtime Pay



Sec. 550.111  Authorization of overtime pay.

    (a) Except as provided in paragraphs (d), (f), and (g) of this 
section, overtime work means work in excess of 8 hours in a day or in 
excess of 40 hours in an administrative workweek that is--
    (1) Officially ordered or approved; and
    (2) Performed by an employee. Hours of work in excess of 8 in a day 
are not included in computing hours of work in excess of 40 hours in an 
administrative workweek.
    (b) Except as otherwise provided in this subpart, a department shall 
pay for overtime work at the rates provided in Sec. 550.113.
    (c) Overtime work in excess of any included in a regularly scheduled 
administrative workweek may be ordered or approved only in writing by an 
officer or employee to whom this authority has been specifically 
delegated.
    (d) For an employee for whom the first 40 hours of duty in an 
administrative workweek is his basic workweek under Sec. 610.111(b) of 
this chapter, overtime work means work in excess of 40 hours in an 
administrative workweek that is:
    (1) Officially ordered or approved, and
    (2) Performed by an employee, when the employee's basic pay exceeds 
the minimum rate for GS-10 (including any

[[Page 500]]

applicable special rate of pay for law enforcement officers or special 
pay adjustment for law enforcement officers under section 403 or 404 of 
the Federal Employees Pay Comparability Act of 1990 (Pub. L. 101-509), 
respectively; a locality-based comparability payment under 5 U.S.C. 
5304; and any applicable special rate of pay under 5 U.S.C. 5305 or 
similar provision of law) or when the employee is engaged in 
professional or technical, engineering or scientific activities. For 
purposes of this section and section 5542(a) of title 5. United States 
Code, an employee is engaged in professional or technical engineering or 
scientfic activities when he or she is assigned to perform the duties of 
a profeesional or support technician position in the physical, 
mathematical, natural, medical, or social sciences or engineering or 
architecture.
    (e) Notwithstanding paragraphs (a) and (d) of this section, when an 
employee's basic workweek includes a daily tour of duty of more than 8 
hours and his hourly rate of basic pay exceeds the hourly rate of 
overtime pay provided by Sec. 550.113, the department shall pay him at 
his basic rate of pay for each hour of his daily tour of duty within his 
basic workweek.
    (f)(1) Except as provided in paragraph (f)(2) of this section, for 
any criminal investigator receiving availability pay under Sec. 550.181, 
overtime work means actual work that is scheduled in advance of the 
administrative workweek--
    (i) In excess of 10 hours on a day containing hours that are part of 
such investigator's basic 40-hour workweek; or
    (ii) On a day not containing hours that are part of such 
investigator's basic 40-hour workweek.
    (2) Notwithstanding paragraph (f)(1) of this section, all overtime 
work scheduled in advance of the administrative workweek on a day 
containing part of a criminal investigator's basic 40-hour workweek must 
be compensated under this section if both of the following conditions 
are met:
    (i) The overtime work involves protective duties authorized by 
section 3056(a) of title 18, United States Code, or section 2709(a)(3) 
of title 22, United States Code; and
    (ii) The investigator performs on that same day at least 2 
consecutive hours of overtime work that are not scheduled in advance of 
the administrative workweek and are compensated by availability pay.
    (3) Any work that would be overtime work under this section but for 
paragraphs (f)(1) and (f)(2) of this section will be compensated by 
availability pay under Sec. 550.181.
    (g) For firefighters compensated under subpart M of this part, 
overtime work means officially ordered or approved work in excess of 106 
hours in a biweekly pay period, or, if the agency establishes a weekly 
basis for overtime pay computations, in excess of 53 hours in an 
administrative workweek.
    (h) Availability hours, as described in Sec. 550.182(c), are not 
hours of work for the purpose of determining overtime pay under this 
section.
    (i) An employee is not entitled to overtime pay under this subpart 
for time spent in training, except as provided in Sec. 410.402 of this 
chapter.

[33 FR 12458, Sept. 4, 1968, as amended at 34 FR 19495, Dec. 10, 1969; 
48 FR 36805, Aug. 15, 1983; 56 FR 20341, May 3, 1991; 57 FR 2434, Jan. 
22, 1992; 59 FR 66151, Dec. 23, 1994; 61 FR 3542, Feb. 1, 1996; 63 FR 
64592, Nov. 23, 1998; 64 FR 4520, Jan. 29, 1999; 64 FR 69175, Dec. 10, 
1999]



Sec. 550.112  Computation of overtime work.

    The computation of the amount of overtime work of an employee is 
subject to the following conditions:
    (a) Time spent in principal activities. Principal activities are the 
activities that an employee is employed to perform. They are the 
activities that an employee performs during his or her regularly 
scheduled administrative workweek (including regular overtime work) and 
activities performed by an employee during periods of irregular or 
occasional overtime work authorized under Sec. 550.111. Overtime work in 
principal activities shall be credited as follows:
    (1) An employee shall be compensated for every minute of regular 
overtime work.
    (2) A quarter of an hour shall be the largest fraction of an hour 
used for

[[Page 501]]

crediting irregular or occasional overtime work under this subpart. When 
irregular or occasional overtime work is performed in other than the 
full fraction, odd minutes shall be rounded up or rounded down to the 
nearest full fraction of an hour used to credit overtime work.
    (b) Time spent in preshift or postshift activities. A preshift 
activity is a preparatory activity that an employee performs prior to 
the commencement of his or her principal activities, and a postshift 
activity is a concluding activity that an employee performs after the 
completion of his or her principal activities. Such activities are not 
principal activities as defined in paragraph (a) of this section.
    (1) (i) If the head of a department reasonably determines that a 
preshift or postshift activity is closely related to an employee's 
principal activities, and is indispensable to the performance of the 
principal activities, and that the total time spent in that activity is 
more than 10 minutes per daily tour of duty, he or she shall credit all 
of the time spent in that activity, including the 10 minutes, as hours 
of work.
    (ii) If the time spent in a preshift or postshift activity is 
compensable as hours of work, the head of the department shall schedule 
the time period for the employee to perform that activity. An employee 
shall be credited with the actual time spent in that activity during the 
time period scheduled by the head of the department. In no case shall 
the time credited for the performance of an activity exceed the time 
scheduled by the head of the department. If the time period scheduled by 
the head of the department for the performance of a pereshift or 
postshift activity is outside the employee's daily tour of duty, the 
employee shall be credited with the time spent performing that activity 
in accordance with paragraph (a)(2) of this section.
    (2) A preshift or postshift activity that is not closely related to 
the performance of the principal activities is considered a preliminary 
or postliminary activity. Time spent in preliminary or postliminary 
activities is excluded from hours of work and is not compensable, even 
if it occurs between periods of activity that are compensable as hours 
of work.
    (c) Leave with pay. An employee's absence from duty on authorized 
leave with pay under subchapter I of chapter 61 of title 5, United 
States Code, during the time when he would otherwise have been required 
to be on duty during a basic workweek (including authorized absence on a 
legal holiday, on a nonworkday established by Executive or 
administrative order, and on compensatory time off as provided in 
Sec. 550.114) is deemed employment and does not reduce the amount of 
overtime pay to which the employee is entitled during an administrative 
workweek. Leave of absence with pay under subchapter I of chapter 61 of 
title 5, United States Code, is charged only for an absence that occurs 
during a basic workweek.
    (d) Leave without pay. (1) For a period of leave without pay in an 
employee's basic workweek, an equal period of service performed outside 
the basic workweek, but in the same administrative workweek, shall be 
substituted and paid for at the rate applicable to his basic workweek 
before any remaining period of service may be paid for at the overtime 
rate on the basis of exceeding 40 hours in a workweek.
    (2) For a period of leave without pay in an employee's daily tour of 
duty, an equal period of service performed outside the daily tour, but 
in the same workday, shall be substituted and paid for at the rate 
applicable to his daily tour of duty before any remaining period of 
service may be paid for at the overtime rate on the basis of exceeding 8 
hours in a workday.
    (e) Absence during overtime periods. Except as provided by paragraph 
(a) of this section, as expressly authorized by statute, or to the 
extent authorized while the employee is in a travel status, a period is 
counted as overtime work only when the employee actually performs work 
during the period or is taking compensatory time off as provided in 
Sec. 550.114.
    (f) Night, Sunday, or holiday work. Hours of night, Sunday, or 
holiday work are included in determining for overtime pay purposes the 
total number of hours of work in an administrative workweek.

[[Page 502]]

    (g) Time in travel status. Time in travel status away from the 
official duty-station of an employee is deemed employment only when:
    (1) It is within his regularly scheduled administrative workweek, 
including regular overtime work; or
    (2) The travel--
    (i) Involves the performance of actual work while traveling;
    (ii) Is incident to travel that involves the performance of work 
while traveling;
    (iii) Is carried out under such arduous and unusual conditions that 
the travel is inseparable from work; or
    (iv) Results from an event which could not be scheduled or 
controlled administratively, including travel by an employee to such an 
event and the return of the employee to his or her official-duty 
station.
    (h) Call-back overtime work. Irregular or occasional overtime work 
performed by an employee on a day when work was not scheduled for him, 
or for which he is required to return to his place of employment, is 
deemed at least 2 hours in duration for the purpose of premium pay, 
either in money or compensatory time off.
    (i) Periods of duty that are compensated by annual premium pay under 
5 U.S.C. 5545(c) (1) or (2) shall not be credited for the purpose of 
determining hours of work in excess of 8 hours in a day.
    (j) Official duty station. An agency may prescribe a mileage radius 
of not greater than 50 miles to determine whether an employee's travel 
is within or outside the limits of the employee's official duty station 
for determining entitlement to overtime pay for travel under paragraph 
(g) of this section except that--
    (1) An agency's definition of an employee's official duty station 
for determining overtime pay for travel may not be smaller than the 
definition of ``official station and post of duty'' under the Federal 
Travel Regulation issued by the General Services Administration (41 CFR 
301-1.3(c)(4)); and
    (2) Travel from home to work and vice versa is not hours of work. 
When an employee travels directly from home to a temporary duty location 
outside the limits of his or her official duty station, the time the 
employee would have spent in normal home to work travel shall be 
deducted from hours of work.
    (k) Standby duty. (1) An employee is on duty, and time spent on 
standby duty is hours of work if, for work-related reasons, the employee 
is restricted by official order to a designated post of duty and is 
assigned to be in a state of readiness to perform work with limitations 
on the employee's activities so substantial that the employee cannot use 
the time effectively for his or her own purposes. A finding that an 
employee's activities are substantially limited may not be based on the 
fact that an employee is subject to restrictions necessary to ensure 
that the employee will be able to perform his or her duties and 
responsibilities, such as restrictions on alcohol consumption or use of 
certain medications.
    (2) An employee is not considered restricted for ``work-related 
reasons'' if, for example, the employee remains at the post of duty 
voluntarily, or if the restriction is a natural result of geographic 
isolation or the fact that the employee resides on the agency's 
premises. For example, in the case of an employee assigned to work in a 
remote wildland area or on a ship, the fact that the employee has 
limited mobility when relieved from duty would not be a basis for 
finding that the employee is restricted for work-related reasons.
    (l) On-call status. An employee is off duty, and time spent in an 
on-call status is not hours of work if--
    (1) The employee is allowed to leave a telephone number or carry an 
electronic device for the purpose of being contacted, even though the 
employee is required to remain within a reasonable call-back radius; or
    (2) The employee is allowed to make arrangements for another person 
to perform any work that may arise during the on-call period.
    (m) Sleep and meal time. (1) Bona fide sleep and meal periods may 
not be considered hours of work, except as provided in paragraphs 
(m)(2), (m)(3), and (m)(4) of this section. If a sleep or meal period is 
interrupted by a call to duty, the time spent on duty is hours of work.

[[Page 503]]

    (2) Sleep and meal periods during regularly scheduled tours of duty 
are hours of work for employees who receive annual premium pay for 
regularly scheduled standby duty under 5 U.S.C. 5545(c)(1).
    (3) When employees are assigned to work shifts of 24 hours or more 
during which they must remain within the confines of their duty station 
in a standby status, and for which they do not receive annual premium 
pay for regularly scheduled standby duty under 5 U.S.C. 5545(c)(1), the 
amount of bona fide sleep and meal time excluded from hours of work may 
not exceed 8 hours in any 24-hour period. No sleep time may be excluded 
unless the employee had the opportunity to have an uninterrupted period 
of at least 5 hours of sleep during the applicable sleep period. For 
work shifts of less than 24 hours, agencies may not exclude on-duty 
sleep periods from hours of work, but must exclude bona fide meal 
periods during which the employee is completely relieved from duty.
    (4) For firefighters compensated under 5 U.S.C. 5545b, on-duty sleep 
and meal time may not be excluded from hours of work.

[33 FR 12458, Sept. 4, 1968, as amended at 33 FR 18669, Dec. 18, 1968; 
48 FR 3934, Jan. 28, 1983; 48 FR 36805, Aug. 15, 1983; 56 FR 20342, May 
3, 1991; 57 FR 59279, Dec. 15, 1992; 59 FR 66332, Dec. 28, 1994; 64 FR 
69175, Dec. 10, 1999]



Sec. 550.113  Computation of overtime pay.

    (a) For each employee whose rate of basic pay does not exceed the 
minimum rate for GS-10 (including any applicable special rate of pay for 
law enforcement officers or special pay adjustment for law enforcement 
officers under section 403 or 404 of the Federal Employees Pay 
Comparability Act of 1990 (Pub. L. 101-509), respectively; a locality-
based comparability payment under 5 U.S.C. 5304; and any applicable 
special rate of pay under 5 U.S.C. 5305 or similar provision of law), 
the overtime hourly rate is 1\1/2\ times his or her hourly rate of basic 
pay.
    (b) For each employee whose rate of basic pay exceeds the minimum 
rate for GS-10 (as determined under paragraph (a) of this section), the 
overtime hourly rate is 1\1/2\ times the hourly rate of basic pay at the 
minimum rate for GS-10 (as determined under paragraph (a) of this 
section), except as provided in 5 U.S.C. 5542(a) (3) and (4).
    (c) An employee is paid for overtime work performed on a Sunday or a 
holiday at the same rate as for overtime work performed on another day.
    (d) An employee whose rate of basic pay is fixed on an annual or 
monthly basis and adjusted from time to time in accordance with 
prevailing rates by a wage board or similar administrative authority 
serving the same purpose is entitled to overtime pay in accordance with 
the provisions of section 5544 of title 5, United States Code. The rate 
of pay for each hour of overtime work of such an employee is computed as 
follows:
    (1) If the rate of basic pay of the employee is fixed on an annual 
basis, divide the rate of basic pay by 2,087 and multiply the quotient 
by one and one-half; and
    (2) If the rate of basic pay of the employee is fixed on a monthly 
basis, multiply the rate of basic pay by 12 to derive an annual rate of 
basic pay, divide the annual rate of basic pay by 2,087, and multiply 
the quotient by one and one-half.

Rates are computed in full cents, counting a fraction of a cent as the 
next higher cent.
    (e)(1) For firefighters compensated under subpart M of this part, 
the overtime hourly rate for all overtime hours is 1\1/2\ times the 
firefighter's hourly rate of basic pay under Sec. 550.1303(a) or (b)(2), 
as applicable, except as provided in paragraph (e)(2) of this section.
    (2) For firefighters compensated under subpart M of this part who 
areexempt from the overtime provisions of the Fair Labor Standards Act 
and whose hourly rate of basic pay under Sec. 550.1303(a) or (b)(2), as 
applicable, exceeds the applicable minimum hourly rate of basic pay for 
GS-10 (as computed under paragraph (a) of this section by dividing the 
annual rate of basic pay by 2087 hours), the overtime hourly rate is 
equal to the greater of--
    (i) One and one-half times the applicable minimum hourly rate of 
basic pay for GS-10 (as computed under paragraph (a) of this section by 
dividing the

[[Page 504]]

annual rate of basic pay by 2087 hours); or
    (ii) The individual's own firefighter hourly rate of basic pay under 
Sec. 550.1303(a) and (b)(2), as applicable.

[33 FR 12458, Sept. 4, 1968, as amended at 56 FR 20342, May 3, 1991; 57 
FR 2434, Jan. 22, 1992; 59 FR 11701, Mar. 14, 1994; 61 FR 3542, Feb. 1, 
1996; 63 FR 64592, Nov. 23, 1998]



Sec. 550.114  Compensatory time off.

    (a) At the request of an employee, the head of an agency (or 
designee) may grant compensatory time off from an employee's tour of 
duty instead of payment under Sec. 550.113 for an equal amount of 
irregular or occasional overtime work.
    (b) At the request of an employee, as defined in 5 U.S.C. 2105, the 
head of an agency (or designee) may grant compensatory time off from an 
employee's basic work requirement under a flexible work schedule under 5 
U.S.C. 6122 instead of payment under Sec. 550.113 for an equal amount of 
overtime work, whether or not irregular or occasional in nature.
    (c) The head of an agency may provide that an employee whose rate of 
basic pay exceeds the maximum rate for GS-10 (including any applicable 
special rate of pay for law enforcement officers or special pay 
adjustment for law enforcement officers under section 403 or 404 of the 
Federal Employees Pay Comparability Act of 1990 (Pub. L. 101-509), 
respectively; a locality-based comparability payment under 5 U.S.C. 
5304; and any applicable special rate of pay under 5 U.S.C. 5305 or 
similar provision of law) shall be compensated for irregular or 
occasional overtime work with an equivalent amount of compensatory time 
off from the employee's tour of duty instead of payment under 
Sec. 550.113 of this part.
    (d) The head of a department may fix a time limit for an employee to 
request or take compensatory time off and may provide that an employee 
who fails to take compensatory time off to which he is entitled under 
paragraph (a) or (b) of this section before the time limit fixed, shall 
lose his right both to compensatory time off and to overtime pay unless 
his failure is due to an exigency of the service beyond his control.
    (e) The dollar value of compensatory time off when it is liquidated, 
or for the purpose of applying pay limitations, is the amount of 
overtime pay the employee otherwise would have received for the hours of 
the pay period during which compensatory time off was earned by 
performing overtime work.

[33 FR 12458, Sept. 4, 1968, as amended at 56 FR 20342, May 3, 1991; 57 
FR 2434, Jan. 22, 1992; 61 FR 3542, Feb. 1, 1996; 62 FR 28307, May 23, 
1997; 64 FR 69175, Dec. 10, 1999]

                                Night Pay



Sec. 550.121  Authorization of night pay differential.

    (a) Except as provided by paragraph (b) of this section, nightwork 
is regularly scheduled work performed by an employee between the hours 
of 6 p.m. and 6 a.m. Subject to Sec. 550.122, and except as otherwise 
provided in this subpart, an employee who performs nightwork is entitled 
to pay for that work at his or her rate of basic pay plus a night pay 
differential amounting to 10 percent of his or her rate of basic pay.
    (b) The head of a department may designate a time after 6 p.m. and a 
time before 6 a.m. as the beginning and end, respectively, of nightwork 
for the purpose of paragraph (a) of this section, at a post outside the 
United States where the customary hours of business extend into the 
hours of nightwork provided by paragraph (a) of this section. Times so 
designated as the beginning or end of nightwork shall correspond 
reasonably with the end or beginning, respectively, of the customary 
hours of business in the locality.
    (c) An employee is not entitled to night pay differential while 
engaged in training, except as provided in Sec. 410.402 of this chapter.

[33 FR 12458, Sept. 4, 1968, as amended at 48 FR 3934, Jan. 28, 1983; 64 
FR 69175, Dec. 10, 1999]



Sec. 550.122  Computation of night pay differential.

    (a) Absence on holidays or in travel status. An employee is entitled 
to a night pay differential for a period when he is excused from 
nightwork on a holiday or other nonworkday and for night

[[Page 505]]

hours of his tour of duty while he is in an official travel status, 
whether performing actual duty or not.
    (b) Absence on leave. An employee is entitled to a night pay 
differential for a period of paid leave only when the total amount of 
that leave in a pay period, including both night and day hours, is less 
than 8 hours.
    (c) Relation to overtime, Sunday, and holiday pay. Night pay 
differential is in addition to overtime, Sunday, or holiday pay payable 
under this subpart and it is not included in the rate of basic pay used 
to compute the overtime, Sunday, or holiday pay.
    (d) Temporary assignment to a different daily tour of duty. An 
employee is entitled to a night pay differential when he or she is 
temporarily assigned during the administrative workweek to a daily tour 
of duty that includes nightwork. This temporary change in a daily tour 
of duty within the employee's regularly scheduled administrative 
workweek is distinguished from a period of irregular or occasional 
overtime work in addition to the employee's regularly scheduled 
administrative workweek.

[33 FR 12458, Sept. 4, 1968, as amended at 48 FR 3934, Jan. 28, 1983]

                          Pay for Holiday Work



Sec. 550.131  Authorization of pay for holiday work.

    (a) Except as otherwise provided in this subpart, an employee who 
performs holiday work is entitled to pay at his or her rate of basic pay 
plus premium pay at a rate equal to his or her rate of basic pay for 
that holiday work that is not in excess of 8 hours.
    (b) An employee is entitled to pay for overtime work on a holiday at 
the same rate as for overtime work on other days.
    (c) An employee who is assigned to duty on a holiday is entitled to 
pay for at least 2 hours of holiday work.
    (d) An employee is not entitled to holiday premium pay while engaged 
in training, except as provided in Sec. 410.402 of this chapter.

[33 FR 12458, Sept. 4, 1968, as amended at 48 FR 3934, Jan. 28, 1983; 64 
FR 69175, Dec. 10, 1999]



Sec. 550.132  Relation to overtime, night, and Sunday pay.

    (a) Premium pay for holiday work is in addition to overtime pay or 
night pay differential, or premium pay for Sunday work payable under 
this subpart and is not included in the rate of basic pay used to 
compute the overtime pay or night pay differential or premium pay for 
Sunday work.
    (b) Notwithstanding premium pay for holiday work, the number of 
hours of holiday work are included in determining for overtime pay 
purposes the total number of hours of work performed in the 
administrative workweek in which the holiday occurs.
    (c) The number of regularly scheduled hours of duty on a holiday 
that fall within an employee's basic workweek on which the employee is 
excused from duty are part of the basic workweek for overtime pay 
computation purposes.

                  Regularly Scheduled Standby Duty Pay



Sec. 550.141  Authorization of premium pay on an annual basis.

    An agency may pay premium pay on an annual basis, instead of the 
premium pay prescribed in this subpart for regularly scheduled overtime, 
night, holiday, and Sunday work, to an employee in a position requiring 
him or her regularly to remain at, or within the confines of, his or her 
station during longer than ordinary periods of duty, a substantial part 
of which consists of remaining in a standby status rather than 
performing work. Premium pay under this section is determined as an 
appropriate percentage, not in excess of 25 percent, of that part of the 
employee's rate of basic pay which does not exceed the minimum rate of 
basic pay for GS-10 (including any applicable locality-based 
comparability payment under 5 U.S.C. 5304 or special rate of pay under 5 
U.S.C. 5305 or similar provision of law).

[56 FR 20342, May 3, 1991, as amended at 61 FR 3542, Feb. 1, 1996]



Sec. 550.142  General restrictions.

    An agency may pay premium pay under Sec. 550.141 only if that 
premium

[[Page 506]]

pay, over a period appropriate to reflect the full cycle of the 
employee's duties and the full range of conditions in his position, 
would be:
    (a) More than the premium pay which would otherwise be payable under 
this subpart for the hours of actual work customarily required in his 
position, excluding standby time during which he performs no work; and
    (b) Less than the premium pay which would otherwise be payable under 
this subpart for the hours of duty required in his position, including 
standby time during which he performs no work.



Sec. 550.143  Bases for determining positions for which premium pay under Sec. 550.141 is authorized.

    (a) The requirement for the type of position referred to in 
Sec. 550.141 that an employee regularly remain at, or within the 
confines of, his station must meet all the following conditions:
    (1) The requirement must be definite and the employee must be 
officially ordered to remain at his station. The employee's remaining at 
his station must not be merely voluntary, desirable, or a result of 
geographic isolation, or solely because the employee lives on the 
grounds.
    (2) The hours during which the requirement is operative must be 
included in the employee's tour of duty. This tour of duty must be 
established on a regularly recurring basis over a substantial period of 
time, generally at least a few months. The requirement must not be 
occasional, irregular, or for a brief period.
    (3) The requirement must be associated with the regularly assigned 
duties of the employee's job, either as a continuation of his regular 
work which includes standby time, or as a requirement to stand by at his 
post to perform his regularly assigned duties if the necessity arises.
    (b) The words ``at, or within the confines, of his station'', in 
Sec. 550.141 mean one of the following:
    (1) At an employee's regular duty station.
    (2) In quarters provided by an agency, which are not the employee's 
ordinary living quarters, and which are specifically provided for use of 
personnel required to stand by in readiness to perform actual work when 
the need arises or when called.
    (3) In an employee's living quarters, when designated by the agency 
as his duty station and when his whereabouts is narrowly limited and his 
activities are substantially restricted. This condition exists only 
during periods when an employee is required to remain at his quarters 
and is required to hold himself in a state of readiness to answer calls 
for his services. This limitation on an employee's whereabouts and 
activities is distinguished from the limitation placed on an employee 
who is subject to call outside his tour of duty but may leave his 
quarters provided he arranges for someone else to respond to calls or 
leaves a telephone number by which he can be reached should his services 
be required.
    (c) The words ``longer than ordinary periods of duty'' in 
Sec. 550.141 mean more than 40 hours a week.
    (d) The words ``a substantial part of which consists of remaining in 
a standby status rather than performing work'' in Sec. 550.141 refer to 
the entire tour of duty. This requirement is met:
    (1) When a substantial part of the entire tour of duty, at least 25 
percent, is spent in a standby status which occurs throughout the entire 
tour;
    (2) If certain hours of the tour of duty are regularly devoted to 
actual work and others are spent in a standby status, that part of the 
tour of duty devoted to standing by is at least 25 percent of the entire 
tour of duty; or
    (3) When an employee has a basic workweek requiring full-time 
performance of actual work and is required, in addition, to perform 
standby duty on certain nights, or to perform standby duty on certain 
days not included in his basic workweek.
    (e) An employee is in a standby status, as referred to in 
Sec. 550.141, only at times when he is not required to perform actual 
work and is free to eat, sleep, read, listen to the radio, or engage in 
other similar pursuits. An employee is performing actual work, rather 
than being in a standby status, when his full attention is devoted to 
his work, even though the nature of his work does not require constant 
activity (for example, a guard on duty at his

[[Page 507]]

post and a technician continuously observing instruments are engaged in 
the actual work of their positions). Actual work includes both work 
performed during regular work periods and work performed when called out 
during periods ordinarily spent in a standby status.



Sec. 550.144  Rates of premium pay payable under Sec. 550.141.

    (a) An agency may pay the premium pay on an annual basis referred to 
in Sec. 550.141 to an employee who meets the requirements of that 
section, at one of the following percentages of that part of the 
employee's rate of basic pay which does not exceed the minimum rate of 
basic pay for GS-10 (including any applicable locality-based 
comparability payment under 5 U.S.C. 5304 or special rate of pay under 5 
U.S.C. 5305 or similar provision of law):
    (1) A position with a tour of duty of the 24 hours on duty, 24 hours 
off duty type and with a schedule of: 60 hours a week--5 percent, unless 
25 or more hours of actual work is customarily required, in which event-
-10 percent; 72 hours a week--15 percent, unless 24 or more hours of 
actual work is customarily required, in which event--20 percent; 84 
hours or more a week--25 percent.
    (2) A position with a tour of duty requiring the employee to remain 
on duty during all daylight hours each day, or for 12 hours each day, or 
for 24 hours each day, with the employee living at his station during 
the period of his assignment to his tour, and with a schedule of: 5 days 
a week--5 percent, unless 25 or more hours of actual work is customarily 
required, in which event--10 percent; 6 days a week--15 percent, unless 
30 or more hours of actual work is customarily required, in which event 
20 percent; 7 days a week--25 percent.
    (3) A position in which the employee has a basic workweek requiring 
fulltime performance of actual work, and is required, in addition, to 
remain on standby duty: 14 to 18 hours a week on regular workdays, or 
extending into a nonworkday in continuation of a period of duty within 
the basic workweek--15 percent; 19 to 27 hours a week on regular 
workdays, or extending into a nonworkday in continuation of a period of 
duty within the basic workweek--20 percent; 28 or more hours a week on 
regular workdays, or extending into a nonworkday in continuation of a 
period of duty within the basic workweek--25 percent; 7 to 9 hours on 
one or more of his regular weekly nonworkdays--15 percent; 10 to 13 
hours on one or more of his regular weekly nonworkdays--20 percent; 14 
or more hours on one or more of his regular weekly nonworkdays--25 
percent.
    (4) When an agency pays an employee one of the rates authorized by 
paragraph (a)(1), (2), or (3) of this section, the agency shall increase 
this rate by adding (i) 2\1/2\ percent to the rate when the employee is 
required to perform Sunday work on an average of 20 to 40 Sundays over a 
year's period or (ii) 5 percent to the rate when the employee is 
required to perform Sunday work on an average of 41 or more Sundays over 
a year's period but the rate thus increased may not exceed 25 percent.
    (b) If an employee is eligible for premium pay on an annual basis 
under Sec. 550.141, but none of the percentages in paragraph (a) of this 
section is applicable, or unusual conditions are present which seem to 
make the applicable rate unsuitable, the agency may propose a rate of 
premium pay on an annual basis for OPM approval. The proposal shall 
include full information bearing on the employee's tour of duty; the 
number of hours of actual work required; and how it is distributed over 
the tour of duty; the number of hours in a standby status required and 
the extent to which the employee's whereabouts and activities are 
restricted during standby periods; the extent to which the assignment is 
made more onerous by night, holiday, or Sunday duty or by hours of duty 
beyond 8 in a day or 40 in a week; and any other pertinent conditions.

[33 FR 12458, Sept. 4, 1968, as amended at 56 FR 20342, May 3, 1991; 61 
FR 3543, Feb. 1, 1996]

[[Page 508]]

                  Administratively Uncontrollable Work



Sec. 550.151  Authorization of premium pay on an annual basis.

    An agency may pay premium pay on an annual basis, instead of other 
premium pay prescribed in this subpart (except premium pay for regular 
overtime work, and work at night, on Sundays, and on holidays), to an 
employee in a position in which the hours of duty cannot be controlled 
administratively and which requires substantial amounts of irregular or 
occasional overtime work, with the employee generally being responsible 
for recognizing, without supervision, circumstances which require the 
employee to remain on duty. Premium pay under this section is determined 
as an appropriate percentage, not less than 10 percent nor more than 25 
percent, of the employee's rate of basic pay (as defined in 
Sec. 550.103).

[57 FR 2435, Jan. 22, 1992, as amended at 61 FR 3543, Feb. 1, 1996]



Sec. 550.152  [Reserved]



Sec. 550.153  Bases for determining positions for which premium pay under Sec. 550.151 is authorized.

    (a) The requirement in Sec. 550.151 that a position be one in which 
the hours of duty cannot be controlled administratively is inherent in 
the nature of such a position. A typical example of a position which 
meets this requirement is that of an investigator of criminal activities 
whose hours of duty are governed by what criminals do and when they do 
it. He is often required to perform such duties as shadowing suspects, 
working incognito among those under suspicion, searching for evidence, 
meeting informers, making arrests, and interviewing persons having 
knowledge of criminal or alleged criminal activities. His hours on duty 
and place of work depend on the behavior of the criminals or suspected 
criminals and cannot be controlled administratively. In such a 
situation, the hours of duty cannot be controlled by such administrative 
devices as hiring additional personnel; rescheduling the hours of duty 
(which can be done when, for example, a type of work occurs primarily at 
certain times of the day); or granting compensatory time off duty to 
offset overtime hours required.
    (b) In order to satisfactorily discharge the duties of a position 
referred to in Sec. 550.151, an employee is required to perform 
substantial amounts of irregular or occasional overtime work. In regard 
to this requirement:
    (1) A substantial amount of irregular or occasional overtime work 
means an average of at least 3 hours a week of that overtime work.
    (2) The irregular or occasional overtime work is a continual 
requirement, generally averaging more than once a week.
    (3) There must be a definite basis for anticipating that the 
irregular or occasional overtime work will continue over an appropriate 
period with a duration and frequency sufficient to meet the minimum 
requirements under paragraphs (b)(1) and (2) of this section.
    (c) The words in Sec. 550.151 that an employee is generally 
``responsible for recognizing, without supervision, circumstances which 
require him to remain on duty'' mean that:
    (1) The responsibility for an employee remaining on duty when 
required by circumstances must be a definite, official, and special 
requirement of his position.
    (2) The employee must remain on duty not merely because it is 
desirable, but because of compelling reasons inherently related to 
continuance of his duties, and of such a nature that failure to carry on 
would constitute negligence.
    (3) The requirement that the employee is responsible for recognizing 
circumstances does not include such clear-cut instances as, for example, 
when an employee must continue working because a relief fails to report 
as scheduled.
    (d) The words ``circumstances which require him to remain on duty'' 
as used in Sec. 550.151 mean that:
    (1) The employee is required to continue on duty in continuation of 
a full daily tour of duty or that after the end of his regular workday, 
the employee resumes duty in accordance with a prearranged plan or an 
awaited event. Performance of only call-back overtime

[[Page 509]]

work referred to in Sec. 550.112(h) does not meet this requirement.
    (2) The employee has no choice as to when or where he may perform 
the work when he remains on duty in continuation of a full daily tour of 
duty. This differs from a situation in which an employee has the option 
of taking work home or doing it at the office; or doing it in 
continuation of his regular hours of duty or later in the evening. It 
also differs from a situation in which an employee has such latitude in 
his working hours, as when in a travel status, that he may decide to 
begin work later in the morning and continue working later at night to 
better accomplish a given objective.

[33 FR 12458, Sept. 4, 1968, as amended at 35 FR 6311, Apr. 18, 1970; 64 
FR 69175, Dec. 10, 1999]



Sec. 550.154  Rates of premium pay payable under Sec. 550.151.

    (a) An agency may pay the premium pay on an annual basis referred to 
in Sec. 550.151 to an employee who meets the requirements of that 
section, at one of the following percentages of the employee's rate of 
basic pay (as defined in Sec. 550.103):
    (1) A position which requires an average of at least 3 but not more 
than 5 hours a week of irregular or occasional overtime work--10 
percent;
    (2) A position which requires an average of over five but not more 
than 7 hours a week of irregular or occasional overtime work--15 
percent;
    (3) A position which requires an average of over seven but not more 
than 9 hours a week or irregular or occasional overtime work--20 
percent;
    (4) A position which requires an average of over 9 hours a week of 
irregular or occasional overtime work--25 percent.
    (b) If an agency proposes to pay an employee premium pay on an 
annual basis under Sec. 550.151 but unusual conditions seem to make the 
applicable rate in paragraph (a) of this section unsuitable, the agency 
may propose a rate of premium pay on an annual basis for OPM approval. 
The proposal shall include full information bearing on the frequency and 
duration of the irregular or occasional overtime work required; the 
nature of the work which prevents hours of duty from being controlled 
administratively; the necessity for the employee being generally 
responsible for recognizing, without supervision, circumstances which 
require him to remain on duty; and any other pertinent conditions.
    (c) The period of time during which an employee continues to receive 
premium pay on an annual basis under Sec. 550.151 under the authority of 
paragraphs (c) or (g) of Sec. 550.162 is not considered in computing the 
average hours of irregular and occasional overtime work under this 
section.

[33 FR 12458, Sept. 4, 1968, as amended at 35 FR 6311, Apr. 18, 1970; 55 
FR 41178, Oct. 10, 1990; 57 FR 2435, Jan. 22, 1992; 61 FR 3543, Feb. 1, 
1996; 67 FR 6641, Feb. 13, 2002]

   General Rules Governing Payments of Premium Pay on an Annual Basis



Sec. 550.161  Responsibilities of the agencies.

    The head of each agency, or an official who has been delegated 
authority to act for the head of an agency in the matter concerned, is 
responsible for:
    (a) Fixing tours of duty; ordering employees to remain at their 
stations in a standby status; and placing responsibility on employees 
for remaining on duty when required by circumstances.
    (b) Determining, in accordance with section 5545(c) of title 5, 
United States Code, and this subpart, which employees shall receive 
premium pay on an annual basis under Sec. 550.141 or Sec. 550.151. These 
determinations may not be retroactive.
    (c) Determining the number of hours of actual work to be customarily 
required in positions involving longer than ordinary periods of duty, a 
substantial part of which consists of standby duty. This determination 
shall be based on consideration of the time required by regular, 
repetitive operations, available records of the time required in the 
past by other activities, and any other information bearing on the 
number of hours of actual work which may reasonably be expected to be 
required in the future.
    (d) Determining the number of hours of irregular or occasional 
overtime work to be customarily required in positions which require 
substantial

[[Page 510]]

amounts of irregular or occasional overtime work with the employee 
generally being responsible for recognizing, without supervision, 
circumstances which require him to remain on duty. This determination 
shall be based on consideration of available records of the hours of 
irregular or occasional overtime work required in the past, and any 
other information bearing on the number of hours of duty which may 
reasonably be expected to be required in the future.
    (e) Determining the rate of premium pay fixed by OPM under 
Sec. 550.144 or Sec. 550.154 which is applicable to each employee paid 
under Sec. 550.141 or Sec. 550.151; or, if no rate fixed under 
Sec. 550.144 or Sec. 550.154 is considered applicable, proposing a rate 
of premium pay on an annual basis to OPM.
    (f) Reviewing determinations under paragraphs (b), (c), (d) and (e) 
of this section at appropriate intervals, and discontinuing payments or 
revising rates of premium pay on an annual basis in each instance when 
that action is necessary to meet the requirements of section 5545(c) of 
title 5, United States Code, and this subpart.

[33 FR 12458, Sept. 4, 1968, as amended at 35 FR 6311, Apr. 18, 1970]



Sec. 550.162  Payment provisions.

    (a) Except as otherwise provided in this section, an employee's 
premium pay on an annual basis under Sec. 550.141 or Sec. 550.151 begins 
on the date that he enters on duty in the position concerned for 
purposes of basic pay, and ceases on the date that he ceases to be paid 
basic pay in the position.
    (b) When an employee is in a position in which conditions warranting 
premium pay on an annual basis under Sec. 550.141 or Sec. 550.151 exist 
only during a certain period of the year, such as during a given season, 
an agency may pay the employee premium pay on an annual basis only 
during the period he is subject to these conditions.
    (c) An agency may continue to pay an employee premium pay on an 
annual basis under Sec. 550.141 or Sec. 550.151:
    (1) For a period of not more than 10 consecutive prescribed workdays 
on temporary assignment to other duties in which conditions do not 
warrant payment of premium pay on an annual basis, and for a total of 
not more than 30 workdays in a calendar year while on such a temporary 
assignment.
    (2) For an aggregate period of not more than 60 prescribed workdays 
on temporary assignment to a formally approved program for advanced 
training duty directly related to duties for which premium pay on an 
annual basis is payable.

An agency may not continue to pay an employee premium pay on an annual 
basis under this paragraph for more than 60 workdays in a calendar year.
    (d) When an employee is not entitled to premium pay on an annual 
basis under Sec. 550.141, he is entitled to be paid for overtime, night, 
holiday, and Sunday work in accordance with other sections of this 
subpart.
    (e) An agency shall continue to pay an employee premium pay on an 
annual basis under Sec. 550.141 or Sec. 550.151 while he is on leave 
with pay during a period in which premium pay on an annual basis is 
payable under paragraphs (a), (b), and (c) of this section.
    (f) Unless an agency discontinues authorization of premium pay under 
Sec. 550.141 or Sec. 550.151 for all similar positions, it may not 
discontinue authorization of such premium pay for an individual 
employee's position--
    (1) During a period of paid leave elected by the employee and 
approved by the agency in lieu of benefits under the Federal Employees' 
Compensation Act, as amended (5 U.S.C. 8101 et seq.), following a job-
related injury;
    (2) During a period of continuation of pay under the Federal 
Employees' Compensation Act, as amended (5 U.S.C. 8101 et seq.);
    (3) During a period of leave without pay, if the employee is in 
receipt of benefits under the Federal Employees' Compensation Act, as 
amended (5 U.S.C. 8101 et seq.). (Note: No premium pay is payable during 
leave without pay; however, the continued authorization may prevent a 
reduction in an employee's retirement benefits if the leave without pay 
period occurs during the employee's high-3 average salary period.)
    (g) Notwithstanding paragraph (c)(1) of this section, an agency may 
continue to pay premium pay under

[[Page 511]]

Sec. 550.151 to an employee during a temporary assignment that would not 
otherwise warrant the payment of AUO pay, if the temporary assignment is 
directly related to a national emergency declared by the President. An 
agency may continue to pay premium pay under Sec. 550.151 for not more 
than 30 consecutive workdays for such a temporary assignment and for a 
total of not more than 90 workdays in a calendar year while on such a 
temporary assignment.

[33 FR 12458, Sept. 4, 1968, as amended at 35 FR 6312, Apr. 18, 1970; 64 
FR 69175, Dec. 10, 1999; 67 FR 6641, Feb. 13, 2002; 68 FR 4681, Jan. 30, 
2003]



Sec. 550.163  Relationship to other payments.

    (a) An employee receiving premium pay on an annual basis under 
Sec. 550.141 may not receive premium pay for regular overtime work or 
work at night or on a holiday or on Sunday under any other section of 
this subpart. An agency shall pay the employee in accordance with 
Secs. 550.113 and 550.114 for irregular or occasional overtime work.
    (b) An employee receiving premium pay on an annual basis under 
Sec. 550.151 may not receive premium pay for irregular or occasional 
overtime work under any other section of this subpart. An agency shall 
pay the employee in accordance with other sections of this subpart for 
regular overtime work, and work at night, on Sundays, and on holidays.
    (c) Overtime, night, holiday, or Sunday work paid under any statute 
other than subchapter V of chapter 55 of title 5, United States Code, is 
not a basis for payment of premium pay on an annual basis under 
Sec. 550.141 or Sec. 550.151.
    (d) (1) Except as provided in paragraph (d)(2) of this section, 
premium pay on an annual basis under Sec. 550.141 or Sec. 550.151 is not 
base pay and is not included in the base used in computing foreign and 
nonforeign allowances and differentials, or any other benefits or 
deductions that are computed on base pay alone.
    (2) Premium pay on an annual basis under Sec. 550.141 is base pay 
for the purpose of section 5595(c), section 8114(e), section 8331(3), 
and section 8704(c) of title 5, United States Code.
    (e) Premium pay on an annual basis under Sec. 550.141 or 
Sec. 550.151 may not be paid to a criminal investigator receiving 
availability pay under Sec. 550.181.

[33 FR 12458, Sept. 4, 1968, as amended at 33 FR 19897, Dec. 28, 1968; 
35 FR 6312, Apr. 18, 1970; 59 FR 66151, Dec. 23, 1994]



Sec. 550.164  Construction and computation of existing aggregate rates.

    (a) Pursuant to section 208(b) of the act of September 1, 1954 (68 
Stat. 1111), nothing in this subpart relating to the payment of premium 
pay on an annual basis may be construed to decrease the existing 
aggregate rate of pay of an employee on the rolls of an agency 
immediately before the date section 5545(c) of title 5, United States 
Code, is made applicable to him by administrative action.
    (b) When it is necessary to determine an employee's existing 
aggregate rate of pay (referred to in this section as existing aggregate 
rate), an agency shall determine it on the basis of the earnings the 
employee would have received over an appropriate period (generally 1 
year) if his tour of duty immediately before the date section 5545(c) of 
title 5, United States Code, is made applicable to him had remained the 
same. In making this determination, basic pay and premium pay for 
overtime, night, holiday, and Sunday work are included in the earnings 
the employee would have received. Premium pay for irregular or 
occasional overtime work may be included only if it was of a significant 
amount in the past and the conditions which required it are expected to 
continue.
    (c) An agency shall recompute an employee's rate of pay based on 
premium pay on an annual basis when he received subsequent increases in 
his rate of basic pay in order to determine whether or not the employee 
should continue to receive an existing aggregate rate or be paid premium 
pay on an annual basis.
    (d) Except as otherwise provided by statute, an agency may not use 
subsequent increases in an employee's rate of basic pay to redetermine 
or increase the employee's existing aggregate rate. However, these 
increases shall be used for other pay purposes, such as the computation 
of retirement deductions

[[Page 512]]

and annuities, payment of overseas allowances and post differentials, 
and determination of the highest previous rate under part 531 of this 
chapter.
    (e) When an agency elects to pay an employee premium pay on an 
annual basis, he is entitled to continue to receive hourly premium pay 
properly payable under sections 5542, 5543, 5545 (a) and (b), and 5546 
of title 5, United States Code, until his base pay plus premium pay on 
an annual basis equals or exceeds his existing aggregate rate. When this 
occurs, the agency shall pay the employee his base pay plus premium pay 
on an annual basis.
    (f) Except when terminated under paragraph (e) of this section, an 
agency shall continue to pay an employee an existing aggregate rate so 
long as:
    (1) He remains in a position to which Sec. 550.141, Sec. 550.151, or 
Sec. 550.162(c) is applicable;
    (2) His tour of duty does not decrease in length; and
    (3) He continues to perform equivalent night, holiday, and irregular 
or occasional overtime work.
    (g) If an employee who is entitled to an existing aggregate rate 
moves from one position to another in the same agency, both of which are 
within the scope of section 5545(c) of title 5, United States Code, he 
is entitled to be paid an existing aggregate rate in the new position 
such as he would have received had he occupied that position when the 
agency elected to make section 5545(c) applicable to it.

                           Pay for Sunday Work



Sec. 550.171  Authorization of pay for Sunday work.

    (a) A full-time employee is entitled to pay at his or her rate of 
basic pay plus premium pay at a rate equal to 25 percent of his or her 
rate of basic pay for each hour of Sunday work (as defined in 
Sec. 550.103) and each hour that would be Sunday work but for the 
placement of the employee in paid leave or excused absence status.
    (b) An employee is not entitled to Sunday premium pay while engaged 
in training, except as provided in Sec. 410.402 of this chapter.

[60 FR 33098, June 27, 1995, as amended at 60 FR 67287, Dec. 29, 1995; 
64 FR 69175, Dec. 10, 1999]



Sec. 550.172  Relation to overtime, night, and holiday pay.

    Premium pay for Sunday work is in addition to premium pay for 
holiday work, overtime pay, or night pay differential payable under this 
subpart and is not included in the rate of basic pay used to compute the 
pay for holiday work, overtime pay, or night pay differential.

                    Law Enforcement Availability Pay



Sec. 550.181  Coverage.

    (a) Each employee meeting the definition of criminal investigator in 
Sec. 550.103, and fulfilling the conditions and requirements of 5 U.S.C. 
5545a and Secs. 550.181 through 550.186, must receive availability pay 
to compensate the criminal investigator for unscheduled duty in excess 
of the 40-hour workweek based on the needs of the employing agency, 
except as provided in paragraph (b) of this section.
    (b) Any Office of Inspector General that employs fewer than five 
criminal investigators may elect not to cover such criminal 
investigators under the availability pay provisions of 5 U.S.C. 5545a.

[64 FR 4520, Jan. 29, 1999]



Sec. 550.182  Unscheduled duty.

    (a) Unscheduled Duty Hours. For the purpose of availability pay, 
unscheduled duty hours are those hours during which a criminal 
investigator performs work, or (except for a special agent in the 
Diplomatic Security Service) is determined by the employing agency to be 
available for work, that are not--
    (1) Part of the 40-hour basic workweek of the investigator; or
    (2) Regularly scheduled overtime hours compensated under 5 U.S.C. 
5542 and Sec. 550.111.
    (b) Regularly Scheduled Overtime Hours. For criminal investigators 
receiving availability pay, regularly scheduled overtime hours 
compensated

[[Page 513]]

under 5 U.S.C. 5542 and Sec. 550.111 are those overtime hours scheduled 
in advance of the investigator's administrative workweek, excluding--
    (1) The first 2 hours of overtime work on any day containing a part 
of the investigator's basic 40-hour workweek, as required by 
Sec. 550.111(f)(1)); or
    (2) The first 2 hours of overtime work performing protective duties 
authorized by section 3056(a) of title 18, United States Code, or 
section 2709(a)(3) of title 22, United States Code, on any day 
containing a part of the investigator's basic 40-hour workweek, unless 
the investigator performs 2 or more consecutive hours of unscheduled 
overtime work on that same day.
    (c) Actual work hours. To be considered to be performing work under 
paragraph (a) of this section, a criminal investigator must be 
performing work as officially ordered or approved, including work 
performed without specific supervisory preapproval, if circumstances 
require the criminal investigator to perform the duty to meet the needs 
of the employing agency, subject to agency policies and procedures 
(including any requirements for after-the-fact validation or approval).
    (d) Availability Hours. To be considered available for work under 
paragraph (a) of this section, a criminal investigator must be 
determined by the employing agency to be generally and reasonably 
accessible to perform unscheduled duty based on the needs of the agency. 
Generally, the agency will place the investigator in availability status 
by directing the investigator to be available during designated periods 
to meet agency needs, as provided by agency policies and procedures. 
Placing the investigator in availability status is not considered 
scheduling the investigator for overtime hours compensated under 5 
U.S.C. 5542 and Sec. 550.111. Availability hours may include hours 
during which an investigator places himself or herself in availability 
status to meet the needs of the agency, subject to agency policies and 
procedures (including any requirements for after-the-fact validation or 
approval). A special agent in the Diplomatic Security Service may not be 
credited with availability hours and will be credited with only hours 
actually worked.
    (e) Ensuring availability. Except as provided in paragraphs (e) and 
(f) of this section, an employing agency shall ensure that each criminal 
investigator's hours of unscheduled duty are sufficient to enable the 
investigator to meet the substantial hours requirement in Sec. 550.183 
and make the certification required under Sec. 550.184.
    (f) Voluntary opt-out. Notwithstanding paragraph (d) of this 
section, an employing agency may, at its discretion, approve a criminal 
investigator's voluntary request that the investigator generally be 
assigned no overtime work (including unscheduled duty) for a designated 
period of time because of a personal or family hardship situation. The 
investigator must sign a written statement documenting this request and 
his or her understanding that availability pay will not be payable 
during the designated period.
    (g) When availability pay is suspended. The employing agency is not 
subject to the requirement of paragraph (d) of this section in the case 
of a criminal investigator for whom availability pay is suspended in 
accordance with Sec. 550.184(d) due to denial or cancellation of the 
required certification based on--
    (1) Failure to perform unscheduled duty as assigned or reported; or
    (2) Inability to perform unscheduled duty for an extended period 
because of a physical or health condition.

[59 FR 66151, Dec. 23, 1994, as amended at 64 FR 4520, Jan. 29, 1999]



Sec. 550.183  Substantial hours requirement.

    (a) A criminal investigator shall be eligible for availability pay 
only if the annual average number of hours of unscheduled duty per 
regular workday is 2 hours or more, as certified in accordance with 
Sec. 550.184. This average is computed by dividing the total unscheduled 
duty hours for the annual period (numerator) by the number of regular 
workdays (denominator).
    (b) For the purpose of this section, regular workday means each day 
in the criminal investigator's basic workweek during which the 
investigator works at least 4 hours, excluding--

[[Page 514]]

    (1) Overtime hours compensated under 5 U.S.C. 5542 and Sec. 550.111;
    (2) Unscheduled duty hours compensated by availability pay under 5 
U.S.C. 5545a and this subpart; and
    (3) Hours during which an investigator is engaged in agency-approved 
training, is traveling under official travel orders, is on approved 
leave, or is on excused absence with pay (including paid holidays).
    (c) In computing average hours under paragraph (a) of this section, 
the total unscheduled duty hours in the numerator shall include--
    (1) Any unscheduled duty hours on a regular workday; and
    (2) Any unscheduled duty hours actually worked by an investigator on 
days that are not regular workdays.

[59 FR 66151, Dec. 23, 1994]



Sec. 550.184  Annual certification.

    (a) Each newly hired criminal investigator who will receive 
availability pay and the appropriate supervisory officer (as designated 
by the head of the agency or authorized designee) shall make an initial 
certification to the head of the agency attesting that the investigator 
is expected to meet the substantial hours requirement in Sec. 550.183 
during the upcoming 1-year period. A similar certification shall be made 
for a criminal investigator who will begin receiving availability pay 
after a period of nonreceipt (e.g., a designated voluntary opt-out 
period under Sec. 550.182(e)).
    (b) Each criminal investigator who is receiving availability pay and 
the appropriate supervisory officer (as designated by the head of the 
agency or authorized designee) shall make an annual certification to the 
head of the agency attesting that the investigator currently meets, and 
is expected to continue to meet during the upcoming 1-year period, the 
substantial hours requirement in Sec. 550.183.
    (c) A certification shall no longer apply when the employee 
separates from Federal service, is employed by another agency, moves to 
a position that does not qualify as a criminal investigator position, or 
begins a voluntary opt-out period under Sec. 550.182(e).
    (d) The employing agency shall ensure that criminal investigators 
receiving availability pay comply with the substantial hours requirement 
in Sec. 550.183, as certified in accordance with this section. The 
employing agency may deny or cancel a certification based on a finding 
that an investigator has failed to perform unscheduled duty 
(availability or work) as assigned or reported, or is unable to perform 
unscheduled duty for an extended period due to physical or health 
reasons. If a certification is denied or canceled, the investigator's 
entitlement to availability pay shall be suspended for an appropriate 
period, consistent with agency policies. If the investigator's 
certification was valid when made, the suspension of availability pay 
shall be effected prospectively.
    (e) An involuntary suspension of availability pay resulting from a 
denial or cancellation of certification under paragraph (d) of this 
section is a reduction in pay for the purpose of applying the adverse 
action procedures of 5 U.S.C. 7512 and part 752 of this chapter, except 
for special agents in the Foreign Service. For special agents in the 
Foreign Service, an involuntary suspension of availability pay resulting 
from a denial or cancellation of certification under paragraph (d) of 
this section will be administered under procedures established by 
regulations of the Department of State.
    (f) The head of an agency (or authorized designee) may prescribe any 
additional regulations necessary to administer the certification 
requirement, including procedures for retroactive correction in cases in 
which a certification is issued belatedly or lapses due to 
administrative error.

[59 FR 66151, Dec. 23, 1994, as amended at 64 FR 4520, Jan. 29, 1999]



Sec. 550.185  Payment of availability pay.

    (a) Availability pay is paid only for periods of time during which a 
criminal investigator receives basic pay. Availability pay is an amount 
equal to the lesser of--(1) 25 percent of a criminal investigator's rate 
of basic pay, as defined in Sec. 550.103, including amounts designated 
as ``salary'' for special agents in the Diplomatic Security Service; or

[[Page 515]]

    (2) The maximum amount that may be paid to avoid exceeding the 
maximum earnings limitation on premium pay for law enforcement officers 
in 5 U.S.C. 5547(c).
    (b) Except as provided in paragraph (c) of this section, a criminal 
investigator who is eligible for availability pay shall continue to 
receive such pay during any period such investigator is attending 
agency-sanctioned training, on agency-ordered travel status, on agency-
approved leave with pay, or on excused absence with pay for relocation 
purposes.
    (c) Agencies may, at their discretion, provide availability pay to 
criminal investigators during training that is considered initial, basic 
training usually provided in the first year of service.
    (d) Agencies may, at their discretion, provide for the continuation 
of availability pay when a criminal investigator is on excused absence 
with pay, except where payment is mandatory under paragraph (b) of this 
section.
    (e) The amount of availability pay payable to a criminal 
investigator for a pay period is not affected by the occurrence of a 
paid holiday during that period.

[59 FR 66151, Dec. 23, 1994, as amended at 60 FR 67287, Dec. 29, 1995; 
64 FR 4521, Jan. 29, 1999]



Sec. 550.186  Relationship to other payments.

    (a) Standby duty pay under Sec. 550.141 and administratively 
uncontrollable overtime pay under Sec. 550.151 may not be paid to a 
criminal investigator receiving availability pay. Receipt of 
availability pay does not affect an investigator's entitlement to other 
types of premium pay (including overtime pay under Sec. 550.111) based 
on hours other than unscheduled duty hours. However, a criminal 
investigator receiving availability pay may not be paid any other 
premium pay based on unscheduled duty hours.
    (b) Availability pay is treated as part of basic pay or basic salary 
only for the following purposes:
    (1) 5 U.S.C. 5524a, pertaining to advances in pay;
    (2) 5 U.S.C. 5595(c), pertaining to severance pay;
    (3) 5 U.S.C. 8114(e), pertaining to workers' compensation;
    (4) 5 U.S.C. 8331(3) and 5 U.S.C. 8401(4), pertaining to retirement 
benefits;
    (5) Subchapter III of chapter 84 of title 5, United States Code, 
pertaining to the Thrift Savings Plan;
    (6) 5 U.S.C. 8704(c), pertaining to life insurance;
    (7) Sections 609(b)(1), 805, 806, and 856 of the Foreign Service Act 
of 1980, as amended (Pub. L. 96-465), pertaining to Foreign Service 
retirement benefits; and
    (8) For any other purposes explicitly provided for by law or as the 
Office of Personnel Management or the Secretary of State (for matters 
exclusively within the jurisdiction of the Secretary) may prescribe by 
regulation.
    (c) The minimum wage and the hours of work and overtime pay 
provisions of the Fair Labor Standards Act do not apply to criminal 
investigators receiving availability pay.

[59 FR 66151, Dec. 23, 1994, as amended at 64 FR 4521, Jan. 29, 1999; 64 
FR 36771, July 8, 1999]



Sec. 550.187  Transitional provisions.

    (a) Except as provided in paragraph (b) of this section, not later 
than the first day of the first pay period beginning on or after October 
30, 1994, each criminal investigator qualified to receive availability 
pay and the appropriate supervisory officer (as designated by the agency 
head or authorized designee) shall make an initial certification to the 
head of the agency that the investigator is expected to meet the 
substantial hours requirement in Sec. 550.183. The head of an agency may 
prescribe procedures necessary to administer this paragraph.
    (b)(1) In the case of criminal investigators who are employed in 
offices of Inspectors General and who, immediately prior to September 
30, 1994, were not receiving administratively uncontrollable overtime 
pay, or were receiving such pay at a rate of less than 25 percent, the 
employing office may delay implementation of availability pay; however, 
availability pay shall be implemented (in accordance with Secs. 550.181 
through 550.186) no later than--

[[Page 516]]

    (i) September 30, 1995, for investigators who are not receiving 
administratively uncontrollable overtime pay; or
    (ii) The first day of the last pay period ending on or before 
September 30, 1995, for investigators who were receiving 
administratively uncontrollable overtime pay at a rate of less than 25 
percent immediately prior to September 30, 1994.
    (2) A criminal investigator who is employed in an Inspector General 
office and was receiving administratively uncontrollable overtime pay at 
a rate of less than 25 percent immediately prior to September 30, 1994, 
shall continue to receive at least that rate or a higher rate, if 
increased by the employing agency, until the availability pay provision 
is implemented for the position (no later than as provided in paragraph 
(b)(1)(ii) of this section).
    (3) Implementation of availability pay for criminal investigators 
under paragraph (b)(1) of this section shall be in accordance with the 
requirements and conditions set forth in Secs. 550.181 through 550.186. 
For qualified investigators, an initial certification shall be made, 
consistent with paragraph (a) of this section.

[59 FR 66151, Dec. 23, 1994]



                       Subpart B--Advances in Pay

    Authority: 5 U.S.C. 5524a, 5545a(h)(2)(B); sections 302 and 404 of 
the Federal Employees Pay Comparability Act of 1990 (Public Law 101-
509), 104 Stat. 1462 and 1466, respectively; E.O. 12748, 3 CFR, 1992 
Comp., p. 316.

    Source: 56 FR 12837, Mar. 28, 1991, unless otherwise noted.



Sec. 550.201  Purpose.

    This subpart provides regulations to implement 5 U.S.C. 5524a which 
provides that the head of each agency may make advance payments of basic 
pay, covering not more than 2 pay periods, to any individual who is 
newly appointed to a position in the agency.



Sec. 550.202  Definitions.

    In this subpart: Agency means an Executive agency, as defined in 5 
U.S.C. 105.
    Employee means an individual employed in or under an agency who is 
appointed to a position with a scheduled tour of duty.
    Head of agency means the head of an agency or an official who has 
been delegated the authority to act for the head of the agency in the 
matter concerned.
    Newly appointed means--
    (a) The first appointment, regardless of tenure, as an employee of 
the Federal Government;
    (b) A new appointment following a break in service of at least 90 
days; or
    (c) A permanent appointment in the competitive service following 
termination of employment under the Student Educational Employment 
Program (as described in Sec. 213.3202 of this chapter), provided such 
employee--
    (1) Was separated from the service, in a nonpay status, or a 
combination of both during the entire 90-day period immediately before 
the permanent appointment; and
    (2) Has fully repaid any former advance in pay under Sec. 550.205.
    Offset or setoff means repayment in installments of an advance in 
pay by payroll deductions or an administrative offset under subpart K of 
this part to collect a debt under 5 U.S.C. 5514 from an indebted 
Government employee.
    Pay period means the pay period established by an agency for an 
employee under 5 U.S.C. 5504.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee, including, 
as applicable, annual premium pay under 5 U.S.C. 5545(c), availability 
pay under 5 U.S.C. 5545a, straight-time pay for regular overtime hours 
for firefighters under 5 U.S.C. 5545b (as provided in Sec. 550.1305(b)), 
night differential for prevailing rate employees under 5 U.S.C. 5343(f), 
and any special pay adjustment for law enforcement officers under 
section 404 of the Federal Employees Pay Comparability Act of 1990 (Pub. 
L. 101-509) or locality-based comparability payment under 5 U.S.C. 5304, 
but not including additional pay of any kind.

[56 FR 12837, Mar. 28, 1991, as amended at 57 FR 2435, Jan. 22, 1992; 58 
FR 41625, Aug. 5, 1993; 59 FR 66153, Dec. 23, 1994; 61 FR 3543, Feb. 1, 
1996; 63 FR 64592, Nov. 23, 1998; 64 FR 69176, Dec. 10, 1999]

[[Page 517]]



Sec. 550.203  Advances in pay.

    (a) The head of an agency may provide for the advance payment of 
basic pay, in one or more installments covering not more than 2 pay 
periods, to an employee who is newly appointed to a position in the 
agency.
    (b) The maximum amount of pay that may be advanced to an employee 
shall be based on the rate of basic pay to which the employee is 
entitled on the date of his or her new appointment with the agency, 
reduced by the amount of any allotments or deductions that would 
normally be deducted from the employee's first regular paycheck.
    (c) An advance in pay may be made to an employee no earlier than the 
date of appointment with the agency and no later than 60 days after the 
date of appointment.
    (d) An advance in pay under this subpart may not be made to any 
employee when an agency expects to make an advance in pay to the same 
employee under 5 U.S.C. 5927 within 2 pay periods after the employee's 
appointment.
    (e) An advance in pay may not be made to the head of an agency or to 
an employee appointed to a position in the expectation of receiving an 
appointment as the head of an agency.

[56 FR 12837, Mar. 28, 1991; 56 FR 40360, Aug. 14, 1991; 58 FR 41625, 
Aug. 5, 1993]



Sec. 550.204  Agency procedures.

    (a) Each agency shall establish written procedures governing advance 
payments. These procedures shall include--
    (1) Criteria to be considered before approval or denial of employee 
requests for advance payments;
    (2) Criteria to be considered before waiving all or part of advance 
payments; and
    (3) Processing and accounting procedures governing advance payments.
    (b) Before making an advance payment, an agency shall require that 
the employee sign an agreement to repay to the Federal Government any 
amount for which repayment has not been waived by the agency head under 
Sec. 550.206 of this part.
    (c) Before making an advance payment, an agency shall provide the 
following information to the employee in writing:
    (1) A statement indicating how the advance in pay will be recovered 
from the employee by the Federal Government, either in installments 
under agency procedures for payroll deductions or by salary offset 
procedures under subpart K of this part;
    (2) The total amount of the advance in pay, the total number of pay 
periods for repayment of the advance in pay, and the amount that will be 
deducted from the pay of the employee by payroll deductions or salary 
offset for each pay period;
    (3) A statement indicating that the employee may prepay all or part 
of the balance of the advance payment at any time before the money is 
due, including instructions as to where and how such prepayments may be 
made.
    (4) A statement indicating that the amount of the advance in pay not 
yet repaid by an employee or waived by the agency head is due and must 
be repaid by the employee if the employee transfers to another agency or 
the individual's employment with the agency is terminated for any 
reason; and
    (5) A statement indicating that any amount of the remaining balance 
of the advance in pay that has not been waived or repaid by the employee 
on transfer or termination for any reason must be recovered by salary 
offset under subpart K of this part and/or by such other method as is 
provided by law.
    (d) The head of an agency may establish procedures under which an 
employee is permitted to make allotments out of an advance in pay for 
such purposes as the head of the agency considers appropriate.

[56 FR 12837, Mar 28, 1991, as amended at 58 FR 41625, Aug. 5, 1993]



Sec. 550.205  Recovery of advances in pay.

    (a) Unless repayment is waived in whole or in part under 
Sec. 550.206 of this part, an agency shall recover an advance in pay by 
installments under agency procedures for payroll deductions or by salary 
offset procedures established under subpart K of this part. An employee 
may prepay all or part of the remaining balance of an advance in

[[Page 518]]

pay at any time before payments are due.
    (b) An agency shall establish a recovery period for each employee to 
repay an advance in pay, but no agency may establish a recovery period 
of longer than 14 pay periods beginning on the date the advance in pay 
is made to the employee under Sec. 550.203 of this part. If a longer 
period for recovery is necessary to avoid exceeding the limitation on 
deductions described in Sec. 550.1104(i) of this part, recovery may be 
accomplished under salary offset procedures established under subpart K 
of this part. Upon written request, an employee may elect a recovery 
period of less than 14 pay periods.
    (c) If an employee transfers to another agency or employment with an 
agency is terminated for any reason, the remaining balance of an advance 
in pay not yet repaid is due and must be repaid to the Federal 
Government unless repayment is waived in whole or in part under 
Sec. 550.206 of this part.
    (d) Any remaining balance of an advance in pay that has not been 
waived under Sec. 550.206 of this part or repaid by an employee upon 
transfer or termination of employment must be recovered by an agency 
using procedures for salary offset under subpart K of this part and/or 
by such other method as is provided by law.

[56 FR 12837, Mar 28, 1991, as amended at 58 FR 41625, Aug. 5, 1993; 64 
FR 69176, Dec. 10, 1999]



Sec. 550.206  Waiver of repayment.

    The head of an agency may waive in whole or in part a right of 
recovery of an advance payment under 5 U.S.C. 5524a and this subpart if 
he or she determines that recovery would be against equity and good 
conscience or against the public interest under criteria established by 
the agency.



      Subpart C--Allotments and Assignments From Federal Employees

    Authority: 5 U.S.C. 5527, E.O. 10982, 3 CFR 1959-1963 Comp., p. 502.

    Source: 46 FR 2325, Jan. 9, 1981, unless otherwise noted.

                               Definitions



Sec. 550.301  Definitions.

    In this subpart:
    Agency means an Executive agency as defined by section 105 of Title 
5, United States Code.
    Allotment means a recurring specified deduction for a legal purpose 
from pay authorized by an employee to be paid to an allottee.
    Allottee means the person or institution to whom an allotment is 
made payable.
    Allotter means the employee from whose pay an allotment is made.
    Association of management officials and/or supervisors means an 
association composed of either management officials and/or supervisors 
with which the agency has established official relationships.
    Combined Federal Campaign means an organization of voluntary health 
and welfare agencies authorized to solicit charitable contributions in a 
local area in accordance with arrangements prescribed by the Director of 
the Office of Personnel Management under Executive Order 10927.
    Continental United States means the several States and the District 
of Columbia, but excluding Alaska and Hawaii.
    Dues means the regular periodic amount specified by an allotter to 
be withheld from his or her pay which is required to maintain the 
allotter as a member in good standing in a labor organization or 
association of management officials and/or supervisors or other 
organization.
    Employee means an employee of an agency, unless otherwise provided.
    Foreign affairs agency means the Department of State, the 
International Communications Agency, the Agency for International 
Development and its successor agency or agencies.
    Labor organization means a labor organization as defined by section 
7103(a)(4) of title 5, United States Code, unless specified otherwise.

[46 FR 2325, Jan. 9, 1981, as amended at 65 FR 44644, July 19, 2000]

[[Page 519]]

                           General Provisions



Sec. 550.311  Authority of agency.

    (a) An agency shall permit an employee to make:
    (1) An allotment for dues to a labor organization under section 7115 
of Title 5, United States Code;
    (2) An allotment for dues to an association of management officials 
and/or supervisors under Sec. 550.331;
    (3) An allotment for charitable contributions to a Combined Federal 
Campaign under Sec. 550.341;
    (4) An allotment for income tax withholding under Sec. 550.351;
    (5) At least two allotments for savings;
    (6) An allotment for savings for an employee assigned to a post of 
duty outside the continental United States under Sec. 550.361;
    (7) An allotment for child support and/or alimony payments under 
Sec. 550.371;
    (8) An allotment to the employing Federal agency to pay an 
employee's share of Federal Employees Health Benefits premiums, 
consistent with part 892 of this chapter.
    (b) In addition to those allotments provided for in paragraph (a) of 
this section, an agency may permit an employee to make an allotment for 
any legal purpose deemed appropriate by the head of the agency. This 
authority does not extend to allotments to the paying agency for the 
purpose of reducing taxable income, except where there is an authority 
specific to Federal employees (statute, Executive order, Presidential 
directive, or OPM regulations) permitting agencies to provide the pretax 
benefit in question.
    (c) The head of an agency may prescribe such additional regulations 
governing allotments as appropriate which are consistent with subchapter 
III of chapter 55 of title 5, United States Code, and this subpart. 
Discretionary allotments under this subpart may be limited in number as 
determined appropriate by the head of the agency.

[46 FR 2325, Jan. 9, 1981, as amended at 64 FR 69176, Dec. 10, 1999; 65 
FR 44644, July 19, 2000; 66 FR 49086, Sept. 26, 2001; 66 FR 67477, Dec. 
31, 2001]



Sec. 550.312  General limitations.

    (a) The allotter must specifically designate the allottee and the 
amount of the allotment.
    (b) The total amount of allotments may not exceed the pay due the 
allotter for a particular period.
    (c) The allotter must personally authorize a change or cancellation 
of an allotment.
    (d) The agency has no liability in connection with any authorized 
allotment disbursed by the agency in accordance with the allotter's 
request.
    (e) Any disputes regarding any authorized allotment are a matter 
between the allotter and the allottee.
    (f) Notwithstanding the requirements in paragraphs (a) and (c) of 
this section, an agency may make an allotment for an employee's share of 
health benefits premiums under Sec. 550.311(a)(8) without specific 
authorization from the employee, unless the employee specifically waives 
such allotment. Agency procedures for processing employee waivers must 
be consistent with procedures established by the Office of Personnel 
Management. (See part 892 of this chapter.)

[46 FR 2325, Jan. 9, 1981, as amended at 64 FR 69176, Dec. 10, 1999; 65 
FR 44644, July 19, 2000]



Sec. 550.313  Order of precedence when there is insufficient pay to cover all deductions.

    (a) Except as provided in paragraph (b) of this section, an agency 
must deduct allotments from any net pay remaining after applying all 
deductions authorized by law, including any deductions for retirement 
and other benefits, Social Security and income tax withholdings, 
collection of a debt to the Government via levy or salary offset, and 
garnishment. If there is insufficient net pay to cover all of the 
employee's allotments, the agency must deduct allotments in the order 
specified under its established rules of precedence.
    (b) An agency must deduct an allotment for an employee's share of 
health benefits premiums under Sec. 550.311(a)(8) before deducting any 
type of tax withholding.

[65 FR 44644, July 19, 2000]

[[Page 520]]

                           Labor Organization



Sec. 550.321  Authority.

    Section 7115, title 5, United States Code, authorizes an employee to 
make an allotment for dues to a labor organization as defined in 
subchapter 1 of chapter 71 of title 5, United States Code. Such an 
allotment shall be effected in accordance with such rules and 
regulations as may be prescribed by the Federal Labor Relations 
Authority.



Sec. 550.322  Saving provision.

    An agency shall permit a supervisor who so desires, to continue an 
allotment of dues to a labor organization as defined by section 2(e) of 
Executive Order 11491, as amended, which was permissible when the 
supervisor was excluded from a formal or exclusive unit by reason of the 
requirements of former section 24(d) of this Order.

         Association of Management Officials and/or Supervisors



Sec. 550.331  Scope.

    An agency shall permit an employee to make an allotment for dues to 
an association of management officials and/or supervisors when the 
employee is a supervisor or management official, and the employee is a 
member of an association of management officials and/or supervisors with 
which the agency has agreed in writing to deduct allotments for the 
payment of dues to the association.

                        Combined Federal Campaign



Sec. 550.341  Scope.

    An agency must permit an employee to make an allotment for 
charitable contributions to a Combined Federal Campaign in accordance 
with Sec. 950.901 of this chapter.

[64 FR 69176, Dec. 10, 1999]

                         Income Tax Withholding



Sec. 550.351  Scope.

    When an employee has a legal obligation to pay, but the agency has 
no legal obligation to withhold, State, District of Columbia, or local 
income or employment taxes, an agency shall permit an employee to make 
an allotment for payment of the taxes.

                         Allotments For Savings



Sec. 550.361  Scope.

    An agency shall permit an employee within the continental United 
States to make up to two allotments of pay to a financial organization 
of his/her choice, for credit to his/her savings account as authorized 
under Department of Treasury regulations codified at part 209 of title 
31, Code of Federal Regulations. Additional allotments to savings for 
these employees will not be permitted under this part.
    An employee assigned to a post of duty outside the continental 
United States who is not covered under Department of Treasury 
regulations at 31 CFR part 209 shall be permitted to make allotments of 
pay to a financial organization of his/her choice for credit to his/her 
savings account.

                      Alimony and/or Child Support



Sec. 550.371  Scope.

    An agency shall permit an employee to make an allotment for alimony 
and/or child support when he or she voluntarily elects to do so. 
However, this provision does not apply to garnishment orders issued to 
enforce child support and/or alimony obligations which are codified at 
part 581 of this title.

                  Foreign Affairs Agency Organizations



Sec. 550.381  Scope.

    If an agency permits an employee to make an allotment for dues to a 
foreign affairs agency organization, the agency must also provide, in 
accordance with section 15 of Executive Order 11636:
    (a) that the employee be allowed to revoke the authorization at 
least every six months; and
    (b) that the allotment terminates when the dues withholding 
agreement between a foreign affairs agency and the organization is 
terminated or ceases to be applicable to the employee.

[[Page 521]]



                  Subpart D--Payments During Evacuation

    Authority: 5 U.S.C. 5527; E.O. 10982, 3 CFR 1959-1963, p. 502.

    Source: 59 FR 66332, Dec. 28, 1994, unless otherwise noted.



Sec. 550.401  Purpose, applicability, authority, and administration.

    (a) Purpose. This subpart provides regulations to administer 
subchapter III (except sections 5524a and 5525) of chapter 55 of title 
5, United States Code. The regulations provide for Governmentwide 
uniformity in making payments during an evacuation to employees or their 
dependents, or both, who are evacuated in the United States because of 
natural disasters or for military or other reasons that create imminent 
danger to their lives.
    (b) Applicability. This subpart applies to--
    (1) Executive agencies, as defined in section 105 of title 5, United 
States Code.
    (2) Employees of an agency who are U.S. citizens or who are U.S. 
nationals;
    (3) Employees of an agency who are not citizens or nationals of the 
United States, but who were recruited with a transportation agreement 
that provides return transportation to the area from which recruited; 
and
    (4) Alien employees of an agency hired within the United States.
    (c) Authority. The head of an agency may make advance payments and 
evacuation payments and pay special allowances as provided by this 
subpart. If the head of an agency proposes to issue regulations that 
deviate from the provisions of this subpart, prior approval of the 
agency regulations, as required by section 4(b) of Executive Order 10982 
of December 25, 1961, must be secured from the Office of Personnel 
Management.
    (d) Administration. The head of an agency having employees subject 
to this subpart is responsible for the proper administration of this 
subpart. Payment of advance payments and evacuation payments and any 
required adjustments shall be made in accordance with procedures 
established by the agency.

[59 FR 66332, Dec. 28, 1994, as amended at 65 FR 41869, July 7, 2000]



Sec. 550.402  Definitions.

    Agency means an Executive agency, as defined in section 105 of title 
5, United States Code.
    Day means a calendar day, except when otherwise specified by the 
head of an agency.
    Dependent means a relative of the employee residing with the 
employee and dependent on the employee for support.
    Designated representative means a person 16 years of age or over who 
is named by an employee for the purpose of caring for a dependent.
    Evacuated employee means an employee of an agency who has received 
an order to evacuate.
    Order to evacuate means an oral or written order to evacuate an 
employee from an assigned area.
    Safe haven means a designated area to which an employee or dependent 
will be or has been evacuated.
    United States means the 50 States, the District of Columbia, the 
Commonwealths of Puerto Rico and the Northern Mariana Islands, and any 
territory or possession of the United States.

[59 FR 66332, Dec. 28, 1994, as amended at 65 FR 41869, July 7, 2000]



Sec. 550.403  Advance payments; evacuation payments; special allowances.

    (a) An advance payment of pay, allowances, and differentials may be 
made to an employee who has received an order to evacuate, provided 
that, in the opinion of the agency head or designated official, payment 
in advance of the date on which an employee otherwise would be entitled 
to be paid is required to help the employee defray immediate expenses 
incidental to the evacuation.
    (b) Evacuation payments of pay, allowances, and differentials may be 
made to an employee during an evacuation and shall be paid on the 
employee's regular pay days when feasible.
    (c) Special allowances, including travel expenses and per diem, may 
be paid to evacuated employees to offset

[[Page 522]]

any direct added expenses that are incurred by the employee as a result 
of his or her evacuation or the evacuation of his or her dependents.
    (d) An advance payment or an evacuation payment may be paid to the 
employee, a dependent 16 years of age or over, or a designated 
representative. When payment is made to someone other than the employee, 
prior written authorization by the employee must have been provided to 
the authorizing agency official.
    (e) Any agency may make payments in an evacuation situation to an 
employee of another Federal agency (or his or her dependent(s) or 
personal representative) who has received an order to evacuate. When a 
payment is made under this subpart by an agency other than the 
employee's agency, the agency making the payment shall immediately 
report the amount and date of the payment to the employee's agency in 
order that prompt reimbursement may be made.



Sec. 550.404  Computation of advance payments and evacuation payments; time periods.

    (a) Payments shall be based on the rate of pay (including 
allowances, differentials, or other authorized payments) to which the 
employee was entitled immediately before the issuance of the order of 
evacuation. All deductions authorized by law, such as retirement or 
social security deductions, authorized allotments, Federal withholding 
taxes, and others, when applicable, shall be made before advance 
payments or evacuation payments are made.
    (b)(1) The amount of advance payments shall cover a time period not 
to exceed 30 days or a lesser number of days, as determined by the 
authorizing agency official.
    (2) Evacuation payments shall cover the period of time during which 
the order to evacuate remains in effect, unless terminated earlier, but 
shall not exceed 180 days. When feasible, evacuation payments shall be 
paid on the employee's regular pay days.
    (c) When an advance payment has been made to or for the account of 
an employee, the amount of the advance payment shall not diminish the 
amount of the evacuation payments that would otherwise be due the 
employee.
    (d)(1) For full-time and part-time employees, the amount of an 
advance payment or an evacuation payment shall be computed on the basis 
of the number of regularly scheduled workdays for the time period 
covered.
    (2) For intermittent employees, the amount of an advance payment or 
evacuation payment shall be computed on the basis of the number of days 
on which the employee would be expected to work during the time period 
covered. The number of days shall be determined, whenever possible, by 
approximating the number of days per week normally worked by the 
employee during an average 6-week period, as determined by the agency.

[59 FR 66633, Dec. 28, 1994; 60 FR 3303, Jan. 13, 1995]



Sec. 550.405  Determination of special allowances.

    In determining the direct added expenses that may be payable as 
special allowances, the following shall be considered:
    (a) An agency must determine the travel expenses and per diem for an 
evacuated employee and the travel expenses for his or her dependents in 
accordance with the Federal Travel Regulation (FTR) and any applicable 
implementing agency regulations, whether or not the employee or 
dependents are actually covered by or subject to the FTR. In addition, 
an agency may authorize per diem for dependents of an evacuated employee 
at a rate equal to the rate payable to the employee, as determined in 
accordance with the FTR (except that the rate for dependents under 12 
years of age is one-half this rate), whether or not the employee or 
dependents are actually covered by or subject to the FTR. Per diem for 
an employee and his or her dependents is payable from the date of 
departure from the evacuated area through the date of arrival at the 
safe haven, including any period of delay en route that is beyond an 
evacuee's control or that may result from evacuation travel 
arrangements.

[[Page 523]]

    (b) Subsistence expenses for an evacuated employee or his or her 
dependents shall be determined at applicable per diem rates for the safe 
haven or for a station other than the safe haven that has been approved 
by appropriate authority. Such subsistence expenses shall begin to be 
paid on the date following arrival and may continue until terminated. 
The subsistence expenses shall be computed on a daily rate basis, as 
follows:
    (1) An agency must compute the applicable maximum per diem rate by 
using the ``lodgings-plus per diem system,'' as defined in the FTR, for 
the employee and each dependent who is 12 years of age or over. For each 
dependent under 12 years of age, the per diem rate is one-half of the 
applicable maximum per diem rate for employees and dependents who are 12 
years of age or over. An agency may pay these maximum rates for a period 
not to exceed the first 30 days of evacuation.
    (2) If, after expiration of the 30-day period, the evacuation has 
not been terminated, the per diem rate shall be computed at 60 percent 
of the rates prescribed in paragraph (b)(1) of this section until a 
determination is made by the agency that subsistence expenses are no 
longer authorized. This rate may be paid for a period not to exceed 180 
days after the effective date of the order to evacuate.
    (3) The daily rate of the subsistence expense allowance actually 
paid an employee shall be either a rate determined in accordance with 
paragraphs (b) (1) and (2) of this section or a lower rate determined by 
the agency to be appropriate for necessary living expenses.
    (c) Payment of subsistence expenses shall be decreased by the 
applicable per-person amount for any period during which the employee is 
authorized regular travel per diem in accordance with the FTR.

[59 FR 66332, Dec. 28, 1994, as amended at 65 FR 41869, July 7, 2000]



Sec. 550.406  Work assignments during evacuation; return to duty.

    (a) Evacuated employees at safe havens may be assigned to perform 
any work considered necessary or required to be performed during the 
period of the evacuation without regard to the grades or titles of the 
employees. Failure or refusal to perform assigned work may be a basis 
for terminating further evacuation payments.
    (b) When part-time employees are given assigned work at the safe 
haven, records of the number of hours worked shall be maintained so that 
payment may be made for any hours of work that are greater than the 
number of hours on which evacuation payments are computed.
    (c) Not later than 180 days after the effective date of the order to 
evacuate, or when the emergency or evacuation situation is terminated, 
whichever is earlier, an employee must be returned to his or her regular 
duty station, or appropriate action must be taken to reassign him or her 
to another duty station.



Sec. 550.407  Termination of payments during evacuation.

    Advance payments or evacuation payments terminate when the agency 
determines that--
    (a) The employee is assigned to another duty station outside the 
evacuation area;
    (b) The employee abandons or is otherwise separated from his or her 
position;
    (c) The employee's employment is terminated by his or her transfer 
to retirement rolls or other type of annuity based on cessation of 
civilian employment;
    (d) The employee resumes his or her duties at the duty station from 
which he or she was evacuated;
    (e) The agency determines that payments are no longer warranted; or
    (f) The date the employee is determined to be covered by the Missing 
Persons Act (50 App. U.S.C. 1001 et seq.), unless payment is earlier 
terminated under these regulations.



Sec. 550.408  Review of accounts; service credit.

    (a) The payroll office having jurisdiction over the employee's 
account shall review each employee's account for the purpose of making 
adjustments at the earliest possible date after the evacuation is 
terminated (or earlier if the

[[Page 524]]

circumstances justify), after the employee returns to his or her 
assigned duty station, or when the employee is reassigned officially.
    (b) The employee's pay shall be adjusted on the basis of the rates 
of pay, allowances, or differentials, if any, to which he or she would 
otherwise have been entitled under all applicable statutes other than 
section 5527 of title 5, United States Code. Any adjustments in the 
employee's account shall also reflect advance payments made to the 
employee under Sec. 550.403(a) of this subpart.
    (c)(1) After an employee's account is reviewed as required by 
paragraph (a) of this section, if it is found that the employee is 
indebted for any part of the advance payment made to him or her or his 
or her dependent(s) or designated representative, recovery of the 
indebtedness shall be effected by the payroll office having jurisdiction 
over the employee's account, unless a waiver of recovery has been 
approved. Repayment of the indebtedness may be made either in full or in 
partial payments, as determined by the head of the agency or designated 
official.
    (2) Recovery of indebtedness for advance payment shall not be 
required when it is determined by the head of the agency or designated 
official that the recovery would be against equity or good conscience or 
against the public interest. Findings that formed the basis for waiver 
of recovery shall be filed in the employee's personnel folder on the 
permanent side.
    (d) For the period or periods covered by any payments made under 
this subpart, the employee shall be considered as performing active 
Federal service in his or her position without a break in service.



               Subpart E--Pay From More Than One Position

    Authority: 5 U.S.C. 5533.



Sec. 550.501  Scope.

    (a) Applicability. (1) This subpart and section 5533 of title 5, 
United States Code, apply in determining an employee's entitlement to 
receive pay from more than one position.
    (2) This subpart and section 5533(a) of title 5, United States Code, 
apply only to an employee holding more than one position when the 
aggregate number of hours worked during a week exceeds 40.
    (b) Coverage. This subpart and section 5533(a) of title 5, United 
States Code, apply to each department and agency (including each 
corporation owned or controlled by the Government of the United States 
and including nonappropriated fund instrumentalities under the 
jurisdiction of the armed forces) in the legislative (except as provided 
in section 5533(c) of that title), judicial, and executive branches of 
the Government of the United States and to the government of the 
District of Columbia.



Sec. 550.502  Definitions.

    In this subpart:
    Employee means a person holding a position.
    Pay means pay paid for services in a position but excludes fees paid 
on other than a time basis.
    Position has the meaning given that term by section 5531 of title 5, 
United States Code.
    Week means the period of 7 calendar days from Sunday through 
Saturday.

[33 FR 12458, Sept. 4, 1968, as amended at 60 FR 67287, Dec. 29, 1995]



Sec. 550.503  Exceptions in emergencies.

    Section 5533(a) of title 5, United States Code, does not apply to 
pay from a position for services performed under emergency conditions 
relating to health, safety, protection of life or property, or national 
emergency.



Sec. 550.504  Other exceptions.

    (a) When a department, agency, or the government of the District of 
Columbia encounters difficulty in obtaining employees to perform 
required personal services because of section 5533(a) of title 5, United 
States Code, it may make an exception from that section upon determining 
that the required services cannot be readily obtained otherwise. The 
exception shall specify the position(s) to which it applies.

[[Page 525]]

    (b) The Office of Personnel Management will publish exceptions of 
general application.

(5 U.S.C. 1104; Pub. L. 95-454, sec. 3(5))

[44 FR 54694, Sept. 21, 1979, as amended at 66 FR 66711, Dec. 27, 2001]



Sec. 550.505  Report to OPM.

    OPM may require a department, agency, or the government of the 
District of Columbia to submit a periodic report on its use of the 
exceptions from section 5533(a) of title 5, United States Code.

[33 FR 12458, Sept. 4, 1968. Redesignated at 37 FR 22717, Oct. 21, 1972]

Subpart F [Reserved]



                        Subpart G--Severance Pay

    Authority: 5 U.S.C. 5595; E.O. 11257, 3 CFR, 1964-1965 Comp., p. 
357.

    Source: 55 FR 6593, Feb. 26, 1990, unless otherwise noted.



Sec. 550.701  Introduction.

    This subpart contains regulations of the Office of Personnel 
Management to implement the provisions of 5 U.S.C. 5595. These 
regulations authorize severance pay for employees who are involuntarily 
separated from Federal service and who meet other conditions of 
eligibility.



Sec. 550.702  Coverage.

    Except as provided in 5 U.S.C. 5595(a)(2) (i) through (viii), this 
subpart applies to each full-time or part-time employee; that is, an 
employee with a regularly scheduled tour of duty who is serving under a 
qualifying appointment, as defined in Sec. 550.703.



Sec. 550.703  Definitions.

    In this subpart:
    Agency means an agency as defined in 5 U.S.C. 5595(a)(1), except the 
government of the District of Columbia.
    Commuting area means the geographic area surrounding a work site 
that encompasses the localities where people live and reasonably can be 
expected to travel back and forth daily to work, as established by the 
employing agency based on the generally held expectations of the local 
community. When an employee's residence is within the standard commuting 
area for a work site, the work site is within the employee's commuting 
area. When an employee's residence is outside the standard commuting 
area for a proposed new work site, the employee's commuting area is 
deemed to include the expanded area surrounding the employee's residence 
and including all destinations that can be reached via a commuting trip 
that is not significantly more burdensome than the current commuting 
trip. This excludes a commuting trip from a residence where the employee 
planned to stay only temporarily until he or she could find a more 
permanent residence closer to his or her work site. For this purpose, a 
commuting trip to a new work site is considered significantly more 
burdensome if it would compel the employee to change his or her place of 
residence in order to continue employment, taking into account commuting 
time and distance, availability of public transportation, cost, and any 
other relevant factors.
    Employed by the Government of the United States refers to employment 
by any part of the Government of the United States, including the United 
States Postal Service and similar independent entities, but excluding 
enlistment or activation in the armed forces (as defined in 5 U.S.C. 
2101).
    Employee (for the purpose of establishing initial entitlement to 
severance pay upon separation) means an employee as defined in 5 U.S.C. 
5595(a)(2), excluding an individual employed by the government of the 
District of Columbia.

    (Note to definition of ``employee'': The term ``individual 
employed'' in 5 U.S.C. 5595(a)(2)(A) refers to an ``employee'' as 
defined in 5 U.S.C. 2105.)

    Immediate annuity means--
    (a) A recurring benefit payable under a retirement system applicable 
to Federal civilian employees or members of the uniformed services that 
the individual is eligible to receive (disregarding any offset described 
in Sec. 550.704(b)(5)) at the time of the involuntary separation from 
civilian service or that begins to accrue within 1 month after such 
separation, excluding

[[Page 526]]

any Social Security retirement benefit; or
    (b) A benefit that meets the conditions in paragraph (a) of this 
definition, except that the benefit begins to accrue more than 1 month 
after separation solely because the employee elected a later commencing 
date (such as allowed under Sec. 842.204 of this chapter).
    Inefficiency means unacceptable performance or conduct that leads to 
a separation under part 432 or 752 of this chapter or an equivalent 
procedure.
    Involuntary separation means a separation initiated by an agency 
against the employee's will and without his or her consent for reasons 
other than inefficiency, including a separation resulting from the 
expiration of a time-limited appointment effected within 3 calendar days 
after separation from a qualifying appointment. In addition, when an 
employee is separated because he or she declines to accept reassignment 
outside his or her commuting area, the separation is ``involuntary'' if 
the employee's position description or other written agreement does not 
provide for such a reassignment. However, an employee's separation is 
not ``involuntary'' if, after such a written mobility agreement is 
added, the employee accepts one reassignment outside his or her 
commuting area, but subsequently declines another such reassignment.
    Nonqualifying appointment means an appointment that does not convey 
eligibility for severance pay under this subpart, including--
    (a) An appointment at a noncovered agency;
    (b) An appointment in which the employee has an intermittent work 
schedule;
    (c) A Presidential appointment;
    (d) An emergency appointment;
    (e) An excepted appointment under Schedule C; a noncareer 
appointment in the Senior Executive Service, as defined in 5 U.S.C. 
3132(a); or an equivalent appointment made for similar purposes; and
    (f) A time-limited appointment (except for a time-limited 
appointment that is qualifying because it is made effective within 3 
calendar days after separation from a qualifying appointment), 
including--
    (1) A term appointment;
    (2) A temporary appointment pending establishment of a register 
(TAPER);
    (3) An overseas limited appointment with a time limitation;
    (4) A limited term or limited emergency appointment in the Senior 
Executive Service, as defined in 5 U.S.C. 3132(a), or an equivalent 
appointment made for similar purposes;
    (5) A Veterans Readjustment Appointment under part 307 of this 
chapter; and
    (6) A Presidential Management Intern appointment under part 362 of 
this chapter.
    Qualifying appointment means--
    (a) A career or career-conditional appointment in the competitive 
service or the equivalent in the excepted service;
    (b) A career appointment in the Senior Executive Service;
    (c) An excepted appointment without time limitation, except under 
Schedule C or an equivalent appointment made for similar purposes;
    (d) An overseas limited appointment without time limitation;
    (e) A status quo appointment, including one that becomes indefinite 
when the employee is promoted, demoted, or reassigned;
    (f) A time-limited appointment in the Foreign Service, when the 
employee was assigned under a statutory authority that carried 
entitlement to reemployment in the same agency, but this right of 
reemployment has expired; and
    (g) A time-limited appointment (including a series of time-limited 
appointments by the same agency without any intervening break in 
service) for full-time employment that takes effect within 3 calendar 
days after the end of one of the qualifying appointments listed in 
paragraphs (a) through (f) of this definition, provided the time-limited 
appointment is not nonqualifying on grounds other than the time-limited 
nature of the appointment.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee, including, 
as applicable, annual premium pay for standby duty under 5 U.S.C. 
5545(c)(1), availability pay under 5 U.S.C. 5545a, straight-time pay for 
regular overtime hours for firefighters

[[Page 527]]

under 5 U.S.C. 5545b (as provided in Sec. 550.1305(b)), night 
differential for prevailing rate employees under 5 U.S.C. 5343(f), and 
any continued rate adjustment under subpart G of part 531 of this 
chapter, special pay adjustment for law enforcement officers under 
section 404 of the Federal Employees Pay Comparability Act of 1990 (Pub. 
L. 101-509), or locality-based comparability payment under 5 U.S.C. 
5304, but not including additional pay of any kind.
    Reasonable offer means the offer of a position that meets all the 
following conditions:
    (a) The offer is in writing;
    (b) The employee meets established qualification requirements; and
    (c) The offered position is--
    (1) In the employee's agency, including an agency to which the 
employee is transferred with his or her function in a transfer of 
functions between agencies;
    (2) Within the employee's commuting area, unless geographic mobility 
is a condition of employment;
    (3) Of equal or greater tenure and with the same work schedule 
(part-time or full-time); and
    (4) Not lower than two grade or pay levels below the employee's 
current grade or pay level, without consideration of grade or pay 
retention under part 536 of this chapter or other authority. In 
movements between pay schedules or pay systems, the representative rate 
of the offered position must not be lower than the representative rate 
of the grade or pay level that is two grades below the grade of the 
current position on the same pay schedule as the current position.
    Representative rate has the meaning given that term in Sec. 536.102 
of this chapter.
    Severance pay fund means the total severance pay to which an 
employee is entitled during a single entitlement under 5 U.S.C. 5595. It 
includes a basic severance pay allowance and, where applicable, an age 
adjustment allowance, as computed under Sec. 550.707.

[55 FR 6593, Feb. 26, 1990, as amended at 56 FR 20342, May 3, 1991; 56 
FR 23736, May 23, 1991; 57 FR 59279, Dec. 15, 1992; 58 FR 58262, Nov. 1, 
1993; 59 FR 66153, Dec. 23, 1994; 61 FR 3543, Feb. 1, 1996; 63 FR 64593, 
Nov. 23, 1998; 64 FR 69176, Dec. 10, 1999]



Sec. 550.704  Eligibility for severance pay.

    (a) To be eligible for severance pay, an employee must:
    (1) Be serving under a qualifying appointment;
    (2) Have completed at least 12 months of continuous service, as 
described in Sec. 550.705; and
    (3) Be removed from Federal service by involuntary separation.
    (b) An employee is not eligible for severance pay if he or she:
    (1) Is serving under a nonqualifying appointment;
    (2) Declines a reasonable offer;
    (3) Is serving under a qualifying appointment in an agency scheduled 
by law or Executive order to be terminated within 1 year after the date 
of the appointment, unless on the date of separation, the agency's 
termination has been postponed to a date more than 1 year after the date 
of the appointment, or the appointment is effected within 3 calendar 
days after separation from a qualifying appointment;
    (4) Is receiving injury compensation under subchapter I of chapter 
81 of title 5, United States Code, unless the compensation is being 
received concurrently with pay or is the result of someone else's death; 
or
    (5) Is eligible upon separation for an immediate annuity from a 
Federal civilian retirement system or from the uniformed services. Such 
an employee is ineligible even if all or part of the annuity is offset 
by payments from a non-Federal retirement system the employee elected 
instead of Federal civilian retirement benefits or disability benefits 
received from the Department of Veterans Affairs.



Sec. 550.705  Criteria for meeting the requirement for 12 months of continuous employment.

    (a) The requirement for 12 months of continuous employment is met 
if, on the date of separation, an employee has held one or more civilian 
Federal positions over a period of 12 months without a single break in 
service of more than 3 calendar days. The positions held must have been 
under:
    (1) One or more qualifying appointments;

[[Page 528]]

    (2) One or more nonqualifying temporary appointments that precede 
the current qualifying appointment; or
    (3) An appointment to a position in a nonappropriated fund 
instrumentality of the Department of Defense or the Coast Guard that 
precedes the current qualifying appointment in the Department of Defense 
or the Coast Guard, respectively.
    (b) When a break in service that is covered by severance pay 
interrupts otherwise continuous Federal employment, the entire period is 
considered continuous service.
    (c) The period during which an employee receives continuation of pay 
or compensation for an injury on the job under chapter 81 of title 5, 
United States Code, is considered continuous Federal service.

[55 FR 6593, Feb. 26, 1990, as amended at 57 FR 12405, Apr. 10, 1992]



Sec. 550.706  Criteria for meeting the requirement for involuntary separation.

    (a) An employee who resigns because he or she expects to be 
involuntarily separated is considered to have been involuntarily 
separated if the employee resigns after receiving--
    (1) Specific written notice that he or she will be involuntarily 
separated by a particular action effective on a particular date; or
    (2) A general written notice of reduction in force or transfer of 
functions which--
    (i) Is issued by a properly authorized agency official;
    (ii) Announces that the agency has decided to abolish, or transfer 
to another commuting area, all positions in the competitive area (as 
defined in Sec. 351.402 of this chapter) by a particular date (no more 
than 1 year after the date of the notice); and
    (iii) States that, for all employees in that competitive area, a 
resignation following receipt of the notice constitutes an involuntary 
separation for severance pay purposes.
    (b) Except for resignations under the conditions described in 
paragraph (a) of this section, all resignations are voluntary 
separations and do not carry entitlement to severance pay.
    (c) A resignation is not considered an involuntary separation if the 
specific or general written notice is canceled before the separation 
(based on that resignation) takes effect.

[55 FR 6593, Feb. 26, 1990, as amended at 64 FR 69177, Dec. 10, 1999].



Sec. 550.707  Computation of severance pay fund.

    (a) Basic severance pay allowance. Except as provided in paragraph 
(b) of this section, the basic severance pay allowance consists of the 
following:
    (1) One week of pay at the rate of basic pay for the position held 
by the employee at the time of separation for each full year of 
creditable service through 10 years;
    (2) Two weeks of pay at the rate of basic pay for the position held 
by the employee at the time of separation for each full year of 
creditable service beyond 10 years; and
    (3) Twenty-five percent of the otherwise applicable amount for each 
full 3 months of creditable service beyond the final full year.
    (b) Basic severance pay allowance for employees with variable work 
schedules or rates of basic pay. In the following circumstances, the 
weekly rate of basic pay used in computing the basic severance pay 
allowance must be determined based on the weekly average for the last 
position held by the employee during the 26 biweekly pay periods 
immediately preceding separation, as follows:
    (1) For positions in which the number of hours in the employee's 
basic work schedule (excluding overtime hours) varies during the year 
because of part-time work requirements, compute the weekly average of 
those hours and multiply that average by the hourly rate of basic pay in 
effect at separation.
    (2) For positions in which the rate of annual premium pay for 
standby duty regularly varies throughout the year, compute the average 
standby duty premium pay percentage and multiply that percentage by the 
weekly rate of basic pay (as defined in Sec. 550.103) in effect at 
separation.

[[Page 529]]

    (3) For prevailing rate positions in which the amount of night shift 
differential pay under 5 U.S.C. 5343(f) varies from week to week under a 
regularly recurring cycle of work schedules, determine for each week in 
the averaging period the value of night shift differential pay expressed 
as a percentage of each week's scheduled rate of pay (as defined in 
Sec. 532.401 of this chapter), compute the weekly average percentage, 
and multiply that percentage by the weekly scheduled rate of pay in 
effect at separation.
    (4) For positions with seasonal work requirements, compute the 
weekly average of hours in a pay status (excluding overtime hours) and 
multiply that average by the hourly rate of basic pay in effect at 
separation.
    (5) For positions held by firefighters compensated under subpart M 
of this part, where the firefighter has a recurring cycle of variable 
workweeks within his or her regular tour of duty (as defined in 
Sec. 550.1302), compute the weekly average of hours in the regular tour 
of duty and determine the weekly rate of basic pay based on the average 
workweek and the rate of basic pay in effect at separation.
    (c) Age adjustment allowance. The basic severance pay allowance is 
augmented by an age adjustment allowance consisting of 2.5 percent of 
the basic severance pay allowance for each full 3 months of age over 40 
years.
    (d) Lifetime limitation. The severance pay fund is limited to that 
amount which would provide 52 weeks of severance pay (taking into 
account weeks of severance pay previously received, as provided in 
Sec. 550.712).

[55 FR 6593, Feb. 26, 1990, as amended at 63 FR 64593, Nov. 23, 1998; 64 
FR 69177, Dec. 10, 1999]



Sec. 550.708  Creditable service.

    The following types of service are creditable for computing an 
employee's severance pay under Sec. 550.707:
    (a) Civilian service as an employee (as defined in 5 U.S.C. 2105), 
excluding time during a period of nonpay status that is not creditable 
for annual leave accrual purposes under 5 U.S.C. 6303(a);
    (b) Service performed with the United States Postal Service or the 
Postal Rate Commission;
    (c) Military service, including active or inactive training with the 
National Guard, when performed by an employee who returns to civilian 
service through the exercise of a restoration right provided by law, 
Executive order, or regulation;
    (d) Service performed by an employee of a nonappropriated fund 
instrumentality of the Department of Defense or the Coast Guard, as 
defined in 5 U.S.C. 2105(c), who moves to a position within the civil 
service employment system of the Department of Defense or the Coast 
Guard, respectively, without a break in service of more than 3 days; and
    (e) Service performed with the government of the District of 
Columbia by an individual first employed by that government before 
October 1, 1987, excluding service as a teacher or librarian of the 
public schools of the District of Columbia.

[55 FR 6593, Feb. 26, 1990, as amended at 57 FR 12405, Apr. 10, 1992; 58 
FR 33499, June 18, 1993; 64 FR 69177, Dec. 10, 1999]



Sec. 550.709  Accrual and payment of severance pay.

    (a) Severance pay accrues on a day-to-day basis following the 
recipient's separation from Federal employment. If severance pay begins 
in the middle of a pay period, 1 day of severance pay accrues for each 
workday or applicable holiday left in the pay period at the same rate at 
which basic pay would have accrued if the recipient were still employed. 
Thereafter, accrual is based on days from Monday through Friday, with 
each day worth one-fifth of 1 week's severance pay. Accrual ceases when 
the severance pay entitlement is suspended or terminated, as provided in 
Secs. 550.710 and 550.711. If severance pay is suspended during a 
nonqualifying time-limited appointment as provided in Sec. 550.710, 
accrual will resume following separation from that appointment.
    (b) Severance payments must be made at the same pay period intervals 
that salary payments would be made if the recipient were still employed. 
The amount of the severance payment is computed using the recipient's 
rate of basic pay in effect immediately before separation, with credit 
for each day of severance pay accrual during the pay

[[Page 530]]

period corresponding to the payment date. A severance payment is subject 
to appropriate deductions for income and Social Security taxes. 
Severance payments are the responsibility of the agency employing the 
recipient at the time of the involuntary separation that triggered the 
current entitlement to severance pay.
    (c) When an individual receives severance pay as the result of an 
involuntary separation from a qualifying time-limited appointment, the 
severance payment is based on the rate of basic pay received at the time 
of that separation. Severance payments are the responsibility of the 
agency that employed the individual under the qualifying time-limited 
appointment.
    (d) When an individual is in a nonpay status immediately before 
separation, the amount of the severance payment is determined using the 
basic pay that he or she would have received if he or she had been in a 
pay status at the time of separation.
    (e) When an individual's severance pay fund is computed under 
Sec. 550.707(b) using an average rate of basic pay, that average rate is 
used to determine the amount of the severance payment. Exception: In the 
case of a seasonal employee, the agency may choose instead to use the 
employee's rate of basic pay at separation (as computed based on the 
employee's work schedule during the established seasonal work period) 
and then authorize severance payments only during that seasonal work 
period.
    (f) In the case of individuals who become employed by a 
nonappropriated fund instrumentality of the Department of Defense or the 
Coast Guard under the conditions described in 5 U.S.C. 5595(h)(4), 
payment of severance pay may be suspended consistent with the rules in 5 
U.S.C. 5595(h) and any supplemental regulations issued by the Department 
of Defense.
    (g) Notwithstanding paragraph (b) of this section, an agency may pay 
severance pay in a single lump sum if expressly authorized by law.

[64 FR 69177, Dec. 10, 1999]



Sec. 550.710  Suspension of severance pay.

    When an individual entitled to severance pay is employed by the 
Government of the United States or the government of the District of 
Columbia under a nonqualifying time-limited appointment, severance pay 
must be suspended during the life of the appointment. Severance pay 
resumes, without any recomputation, when the employee separates from the 
nonqualifying time-limited appointment. The resumed severance payments 
are the responsibility of the agency that originally triggered the 
individual's severance pay entitlement by separating the individual 
while he or she was serving under a qualifying appointment.

[64 FR 69178, Dec. 10, 1999]



Sec. 550.711  Termination of severance pay entitlement.

    Entitlement to severance pay ends when--
    (a) The individual entitled to severance pay is employed by the 
Government of the United States or the government of the District of 
Columbia, unless employed under a nonqualifying time-limited appointment 
as described in Sec. 550.710; or
    (b) The severance pay fund is exhausted.

[64 FR 69178, Dec. 10, 1999]



Sec. 550.712  Reemployment; recredit of service.

    (a) When a former employee is reemployed, the employing agency shall 
record on the appointment document the number of weeks of severance pay 
received (including partial weeks).
    (b) If an employee again becomes entitled to severance pay, the 
agency in which entitlement arises shall recompute the severance pay 
allowance on the basis of all creditable service and current age and 
deduct from the number of weeks it would take to exhaust the allowance 
the number of weeks for which severance pay previously was received.



Sec. 550.713  Records.

    Agencies shall maintain records, by fiscal year, of the number of 
employees who receive severance pay and the total amount of severance 
pay paid. The Office of Personnel Management

[[Page 531]]

may require agencies to report such information to the Office.

[55 FR 6593, Feb. 26, 1990, as amended at 64 FR 69178, Dec. 10, 1999]



Sec. 550.714  Panama Canal Commission employees.

    (a) Notwithstanding any other provisions of this subpart, an 
employee separated from employment with the Panama Canal Commission as a 
result of the implementation of any provision of the Panama Canal Treaty 
of 1977 and related agreements shall not be entitled to severance pay if 
he or she--
    (1) Receives a written offer of reasonably comparable employment 
when such offer is made before separation from Commission employment;
    (2) Accepts reasonably comparable employment within 30 days after 
separation from Commission employment; or
    (3) Was hired by the Commission on or after December 18, 1997.
    (b) The term reasonably comparable employment means a position that 
meets all the following conditions:
    (1) The position is with the Panamanian public entity that assumes 
the functions of managing, operating, and maintaining the Panama Canal 
as a result of the Panama Canal Treaty of 1977;
    (2) The rate of basic pay of the position is not more than 10 
percent below the employee's rate of basic pay as a Panama Canal 
Commission employee;
    (3) The position is within the employee's commuting area;
    (4) The position carries no fixed time limitation as to length of 
appointment; and
    (5) The work schedule (that is, part-time or full-time) of the 
position is the same as that of the position held by the employee at the 
Panama Canal Commission.
    (c) A Panama Canal Commission employee who resigns prior to 
receiving an official written notice that he or she will not be offered 
reasonably comparable employment shall be considered to be voluntarily 
separated. Section 550.706(a) shall be applied, as appropriate, to any 
employee who resigns after receiving such notice.
    (d) Except as otherwise provided by paragraphs (a) through (c) of 
this section, the provisions of this subpart remain applicable to Panama 
Canal Commission employees.

[62 FR 49127, Sept. 19, 1997]



                           Subpart H--Back Pay

    Authority: 5 U.S.C. 5596(c); Pub. L. 100-202, 101 Stat. 1329.



Sec. 550.801  Applicability.

    (a) This subpart contains regulations of the Office of Personnel 
Management to carry out section 5596 of title 5, United States Code, 
which authorizes the payment of back pay, interest, and reasonable 
attorney fees for the purpose of making an employee financially whole 
(to the extent possible) when, on the basis of a timely appeal or an 
administrative determination (including a decision relating to an unfair 
labor practice or a grievance), the employee is found by an appropriate 
authority to have been affected by an unjustified or unwarranted 
personnel action that resulted in the withdrawal, reduction, or denial 
of all or part of the pay, allowances, and differentials otherwise due 
to the employee. This subpart should be read together with this section 
of law.
    (b) This subpart does not apply to any reclassification action.

[46 FR 58275, Dec. 1, 1981, as amended at 53 FR 18072, May 20, 1988]



Sec. 550.802  Coverage.

    (a) Except as provided in paragraph (b) of this section, this 
subpart applies to employees, as defined in Sec. 550.803 of this 
subpart.
    (b) This subpart does not apply to--
    (1) Employees of the government of the District of Columbia; and
    (2) Employees of the Tennessee Valley Authority.

[46 FR 58275, Dec. 1, 1981]



Sec. 550.803  Definitions.

    In this subpart:
    Agency has the meaning given that term in section 5596(a) of title 
5, United States Code.
    Appropriate authority means an entity having authority in the case 
at hand to correct or direct the correction of an

[[Page 532]]

unjustified or unwarranted personnel action, including (a) a court, (b) 
the Comptroller General of the United States, (c) the Office of 
Personnel Management, (d) the Merit Systems Protection Board, (e) the 
Equal Employment Opportunity Commission, (f) the Federal Labor Relations 
Authority and its General Counsel, (g) the Foreign Service Labor 
Relations Board, (h) the Foreign Service Grievance Board, (i) an 
arbitrator in a binding arbitration case, and (j) the head of the 
employing agency or another official of the employing agency to whom 
such authority is delegated.
    Collective bargaining agreement has the meaning given that term in 
section 7103(a)(8) of title 5, United States Code, and (with respect to 
members of the Foreign Service) in section 1002 of the Foreign Service 
Act of 1980 (22 U.S.C. 4102(4)).
    Employee means an employee of an agency. When the term employee is 
used to describe an individual who is making a back pay claim, it also 
may mean a former employee.
    Grievance has the meaning given that term in section 7103(a)(9) of 
title 5, United States Code, and (with respect to members of the Foreign 
Service) in section 1101 of the Foreign Service Act of 1980 (22 U.S.C. 
4131). Such a grievance includes a grievance processed under an agency 
administrative grievance system, if applicable.
    Pay, allowances, and differentials means pay, leave, and other 
monetary employment benefits to which an employee is entitled by statute 
or regulation and which are payable by the employing agency to an 
employee during periods of Federal employment. Agency and employee 
contributions to a retirement investment fund, such as the Thrift 
Savings Plan, are not covered. Monetary benefits payable to separated or 
retired employees based upon a separation from service, such as 
retirement benefits, severance payments, and lump-sum payments for 
annual leave, are not covered.
    Unfair labor practice means an unfair labor practice described in 
section 7116 of title 5, United States Code, and (with respect to 
members of the Foreign Service) in section 1015 of the Foreign Service 
Act of 1980 (22 U.S.C. 4115).
    Unjustified or unwarranted personnel action means an act of 
commission or an act of omission (i.e., failure to take an action or 
confer a benefit) that an appropriate authority subsequently determines, 
on the basis of substantive or procedural defects, to have been 
unjustified or unwarranted under applicable law, Executive order, rule, 
regulation, or mandatory personnel policy established by an agency or 
through a collective bargaining agreement. Such actions include 
personnel actions and pay actions (alone or in combination).

[46 FR 58275, Dec. 1, 1981, as amended at 60 FR 47040, Sept. 11, 1995; 
64 FR 69178, Dec. 10, 1999]



Sec. 550.804  Determining entitlement to back pay.

    (a) When an appropriate authority has determined that an employee 
was affected by an unjustified or unwarranted personnel action, the 
employee shall be entitled to back pay under section 5596 of title 5, 
United States Code, and this subpart only if the appropriate authority 
finds that the unjustified or unwarranted personnel action resulted in 
the withdrawal, reduction, or denial of all or part of the pay, 
allowances, and differentials otherwise due the employee.
    (b) The requirement for a ``timely appeal'' is met when--
    (1) An employee or an employee's personal representative initiates 
an appeal or grievance under an appeal or grievance system, including 
appeal or grievance procedures included in a collective bargaining 
agreement; a claim against the Government of the United States; a 
discrimination complaint; or an unfair labor practice charge; and
    (2) An appropriate authority accepts that appeal, grievance, claim, 
complaint, or charge as timely filed.
    (c) The requirement for an ``administrative determination'' is met 
when an appropriate authority determines, in writing, that an employee 
has been affected by an unjustified or unwarranted personnel action that 
resulted in the withdrawal, reduction, or denial of all or part of the 
pay, allowances, and differentials otherwise due the employee.
    (d) The requirement for ``correction of the personnel action'' is 
met when

[[Page 533]]

an appropriate authority, consistent with law, Executive order, rule, 
regulation, or mandatory personnel policy established by an agency or 
through a collective bargaining agreement, after a review, corrects or 
directs the correction of an unjustified or unwarranted personnel action 
that resulted in the withdrawal, reduction, or denial of all or part of 
the pay, allowances, and differentials otherwise due the employee.
    (e)(1) The pay, allowances, and differentials paid as back pay under 
this subpart (including payments made under any grievance or arbitration 
decision or any settlement agreement) may not exceed that authorized by 
any applicable law, rule, regulation, or collective bargaining 
agreement, including any applicable statute of limitations.
    (2) An agency may not authorize pay, allowances, and differentials 
under this subpart in any case for a period beginning more than 6 years 
before the date of the filing of a timely appeal, or, absent such 
filing, the date of the administrative determination that the employee 
is entitled to back pay, consistent with 31 U.S.C. 3702(b). (See also 
Sec. 178.104 of this chapter.)
    (3) For back pay claims dealing with payments under the Fair Labor 
Standards Act of 1938, as amended (29 U.S.C. 207, et seq.), an agency 
must apply the 2-year statute of limitations (3 years for willful 
violations) in 29 U.S.C. 255a. (See also Sec. 551.702 of this chapter.)

[46 FR 58275, Dec. 1, 1981, as amended at 64 FR 72458, Dec. 28, 1999]



Sec. 550.805  Back pay computations.

    (a) When an appropriate authority corrects or directs the correction 
of an unjustified or unwarranted personnel action that resulted in the 
withdrawal, reduction, or denial of all or part of the pay, allowances, 
and differentials otherwise due an employee--
    (1) The employee shall be deemed to have performed service for the 
agency during the period covered by the corrective action; and
    (2) The agency shall compute for the period covered by the 
corrective action the pay, allowances, and differentials the employee 
would have received if the unjustified or unwarranted personnel action 
had not occurred.
    (b) No employee shall be granted more pay, allowances, and 
differentials under section 5596 of title 5, United States Code, and 
this subpart than he or she would have been entitled to receive if the 
unjustified or unwarranted personnel action had not occurred.
    (c) Except as provided in paragraph (d) of this section, in 
computing the amount of back pay under section 5596 of title 5, United 
States Code, and this subpart, an agency may not include--
    (1) Any period during which an employee was not ready, willing, and 
able to perform his or her duties because of an incapacitating illness 
or injury; or
    (2) Any period during which an employee was unavailable for the 
performance of his or her duties for reasons other than those related 
to, or caused by, the unjustified or unwarranted personnel action.
    (d) In computing the amount of back pay under section 5596 of title 
5, United States Code, and this subpart, an agency shall grant, upon 
request of an employee, any sick or annual leave available to the 
employee for a period of incapacitation if the employee can establish 
that the period of incapacitation was the result of illness or injury.
    (e) In computing the net amount of back pay payable under section 
5596 of title 5, United States Code, and this subpart, an agency must 
make the following offsets and deductions (in the order shown) from the 
gross back pay award:
    (1) Any outside earnings (gross earnings less any associated 
business losses and ordinary and necessary business expenses) received 
by an employee for other employment (including a business enterprise) 
undertaken to replace the employment from which the employee was 
separated by the unjustified or unwarranted personnel action during the 
interim period covered by the corrective action. Do not count earnings 
from additional or ``moonlight'' employment the employee may have 
engaged in while Federally employed (before separation) and while 
erroneously separated.
    (2) Any erroneous payments received from the Government as a result 
of the unjustified or unwarranted personnel action, which, in the case 
of erroneous

[[Page 534]]

payments received from a Federal employee retirement system, must be 
returned to the appropriate system. Such payments must be recovered from 
the back pay award in the following order:
    (i) Retirement annuity payments (i.e., gross annuity less deductions 
for life insurance and health benefits premiums, if those premiums can 
be recovered by the affected retirement system from the insurance 
carrier);
    (ii) Refunds of retirement contributions (i.e., gross refund before 
any deductions);
    (iii) Severance pay (i.e., gross payments before any deductions); 
and
    (iv) A lump-sum payment for annual leave (i.e., gross payment before 
any deductions).
    (3) Authorized deductions of the type that would have been made from 
the employee's pay (if paid when properly due) in accordance with the 
normal order of precedence for deductions from pay established by the 
agency, subject to any applicable law or regulation, including, but not 
limited to, the following types of deductions, as applicable:
    (i) Mandatory employee retirement contributions toward a defined 
benefit plan, such as the Civil Service Retirement System or the defined 
benefit component of the Federal Employees Retirement System;
    (ii) Social Security taxes and Medicare taxes;
    (iii) Health benefits premiums, if coverage continued during a 
period of erroneous retirement (with paid premiums recoverable by the 
retirement system) or is retroactively reinstated at the employee's 
election under 5 U.S.C. 8908(a);
    (iv) Life insurance premiums if--
    (A) Coverage continued during a period of erroneous retirement;
    (B) Coverage was stopped during an erroneous suspension or 
separation and the employee suffered death or accidental dismemberment 
during that period (consistent with 5 U.S.C. 8706(d)); or
    (C) Additional premiums are owed because of a retroactive increase 
in basic pay; and
    (v) Federal income tax withholdings.

    (Note to paragraph (e)(3): See appendix A to this subpart for 
additional information on computing certain deductions.)

    (4) Administrative offsets under 31 U.S.C. 3716 to recover any other 
outstanding debt(s) owed to the Federal Government by the employee, as 
appropriate.
    (f) For the purpose of computing the amount of back pay under 
paragraph (e) of this section, interest shall be included in the amount 
from which deductions for erroneous payments are made, as required by 
Sec. 550.805(e)(2) of this part.
    (g) An agency shall credit annual leave restored to an employee as a 
result of the correction of an unjustified or unwarranted personnel 
action in excess of the maximum leave accumulation authorized by law to 
a separate leave account for use by the employee. The employee shall 
schedule and use annual leave in such a separate leave account as 
follows:
    (1) A full-time employee shall schedule and use excess annual leave 
of 416 hours or less by the end of the leave year in progress 2 years 
after the date on which the annual leave is credited to the separate 
account. The agency shall extend this period by 1 leave year for each 
additional 208 hours of excess annual leave or any portion thereof.
    (2) A part-time employee shall schedule and use excess annual leave 
in an amount equal to or less than 20 percent of the employee's 
scheduled tour of duty over a period of 52 calendar weeks by the end of 
the leave year in progress 2 years after the date on which the annual 
leave is credited to the separate account. The agency shall extend this 
period by 1 leave year for each additional number of hours of excess 
annual leave, or any portion thereof, equal to 10 percent of the 
employee's scheduled tour of duty over a period of 52 calendar weeks.
    (h) Agencies must correct errors that affect an employee's Thrift 
Savings Plan account consistent with regulations prescribed by the 
Federal Retirement Thrift Investment Board. (See parts 1605 and 1606 of 
this title.)

[46 FR 58275, Dec. 1, 1981, as amended at 53 FR 18072, May 20, 1988, and 
53 FR 45886, Nov. 15, 1988; 59 FR 66634, Dec. 28, 1994; 64 FR 69178, 
Dec. 10, 1999]

[[Page 535]]



Sec. 550.806  Interest computations.

    (a)(1) Interest begins to accrue on the date or dates (usually one 
or more pay dates) on which the employee would have received the pay, 
allowances, and differentials if the unjustified or unwarranted 
personnel action had not occurred.
    (2) Interest accrual ends at a time selected by the agency that is 
no more than 30 days before the date of the back pay interest payment. 
No interest is payable if a complete back pay payment is made within 30 
days after any erroneous withdrawal, reduction, or denial of a payment, 
and the interest accrual ending date is set to coincide with the 
interest accrual starting date.
    (b) In computing the amount of interest due under section 5596 of 
title 5, United States Code, the agency shall reduce the amount of pay, 
allowances, and differentials due for each date described in paragraph 
(a) of this section by an amount determined as follows:
    (1) Divide the employee's earnings from other employment during the 
period covered by the corrective action, as described in 
Sec. 550.805(e)(1) of this part, by the total amount of back pay prior 
to any deductions;
    (2) Multiply the ratio obtained in paragraph (b)(1) of this section 
by the amount of pay, allowances, and differentials due for each date 
described in paragraph (a) of this section.
    (c) The agency shall compute interest on the amount of back pay 
computed under section 5596 of title 5, United States Code, and this 
subpart before making deductions for erroneous payments, as required by 
Sec. 550.805(e)(2) of this part.
    (d) The rate or rates used to compute the interest payment shall be 
the annual percentage rate or rates established by the Secretary of the 
Treasury as the overpayment rate under section 6621(a)(1) of title 26, 
United States Code (or its predecessor statute), for the period or 
periods of time for which interest is payable.
    (e) On each day for which interest accrues, the agency shall 
compound interest by dividing the applicable interest rate (expressed as 
a decimal) by 365 (366 in a leap year).
    (f) The agency shall compute the amount of interest due, and shall 
issue the interest payment within 30 days of the date on which accrual 
of interest ends.
    (g) To the extent administratively feasible, the agency shall issue 
payments of back pay and interest simultaneously. If all or part of the 
payment of back pay is issued on or before the date on which accrual of 
interest ends and the interest payment is issued after the payment of 
back pay is issued, the amount of the payment of back pay shall be 
subtracted from the accrued amount of back pay and interest, effective 
with the date the payment of back pay was issued. Interest shall 
continue to accrue on the remaining unpaid amount of back pay (if any) 
and interest until the date on which accrual of interest ends.

[53 FR 18072, May 20, 1988, and 53 FR 45886, Nov. 15, 1988; 64 FR 69179, 
Dec. 10, 1999]



Sec. 550.807  Payment of reasonable attorney fees.

    (a) An employee or an employee's personal representative may request 
payment of reasonable attorney fees related to an unjustified or 
unwarranted personnel action that resulted in the withdrawal, reduction, 
or denial of all or part of the pay, allowances, and differentials 
otherwise due the employee. Such a request may be presented only to the 
appropriate authority that corrected or directed the correction of the 
unjustified or unwarranted personnel action. However, if the finding 
that provides the basis for a request for payment of reasonable attorney 
fees is made on appeal from a decision by an appropriate authority other 
than the employing agency, the employee or the employee's personal 
representative shall present the request to the appropriate authority 
from which the appeal was taken.
    (b) The appropriate authority to which such a request is presented 
shall provide an opportunity for the employing agency to respond to a 
request for payment of reasonable attorney fees.
    (c) Except as provided in paragraph (e) of this section, when an 
appropriate authority corrects or directs the correction of an 
unjustified or unwarranted personnel action that resulted in the 
withdrawal, reduction, or denial of all or part of the pay, allowances,

[[Page 536]]

and differentials otherwise due an employee, the payment of reasonable 
attorney fees shall be deemed to be warranted only if--
    (1) Such payment is in the interest of justice, as determined by the 
appropriate authority in accordance with standards established by the 
Merit Systems Protection Board under section 7701(g) of title 5, United 
States Code; and
    (2) There is a specific finding by the appropriate authority setting 
forth the reasons such payment is in the interest of justice.
    (d) When an appropriate authority determines that such payment is 
warranted, it shall require payment of attorney fees in an amount 
determined to be reasonable by the appropriate authority. When an 
appropriate authority determines that such payment is not warranted, no 
such payment shall be required.
    (e) When a determination by an appropriate authority that an 
employee has been affected by an unjustified or unwarranted personnel 
action that resulted in the withdrawal, reduction, or denial of all or 
part of the pay, allowances, and differentials otherwise due the 
employee is based on a finding of discrimination prohibited under 
section 2302(b)(1) of title 5, United States Code, the payment of 
attorney fees shall be in accordance with the standards prescribed under 
section 706(k) of the Civil Rights Act of 1964, as amended (42 U.S.C. 
2000e-5(k)).
    (f) The payment of reasonable attorney fees shall be allowed only 
for the services of members of the Bar and for the services of law 
clerks, paralegals, or law students, when assisting members of the Bar. 
However, no payment may be allowed under section 5596 of title 5, United 
States Code, and this subpart for the services of any employee of the 
Federal Government, except as provided in section 205 of title 18, 
United States Code, relating to the activities of officers and employees 
in matters affecting the Government.
    (g) A determination concerning whether the payment of reasonable 
attorney fees is in the interest of justice and concerning the amount of 
any such payment shall be subject to review or appeal only if provided 
for by statute or regulation.
    (h) This section does not apply to any administrative proceeding 
that was pending on January 11, 1979.

[46 FR 58275, Dec. 1, 1981. Redesignated at 53 FR 18072, May 20, 1988, 
and 53 FR 45886, Nov. 15, 1988]



Sec. 550.808  Prohibition against setting aside proper promotions.

    Nothing in section 5596 of title 5, United States Code, or this 
subpart shall be construed as authorizing the setting aside of an 
otherwise proper promotion by a selecting official from a group of 
properly ranked and certified candidates.

[46 FR 58275, Dec. 1, 1981, as amended at 53 FR 18072, May 20, 1988, and 
53 FR 45886, Nov. 15, 1988]

 Appendix A to Subpart H of Part 550--Information on Computing Certain 
                 Common Deductions From Back Pay Awards

    To determine the net back payment owed an employee, an agency must 
make certain required deductions. (See Sec. 550.805(e)(3).) To compute 
these deductions, an agency must determine the appropriate base or 
follow other rules, consistent with applicable law. Some deductions, 
such as tax deductions, are not subject to OPM regulation. To assist 
agencies, this appendix summarizes the rules for certain common 
deductions. For further information on Federal tax deductions from back 
pay awards, please contact the Internal Revenue Service directly or 
review relevant IRS publications.

----------------------------------------------------------------------------------------------------------------
                            Type of deduction                                   How to Compute the deduction
----------------------------------------------------------------------------------------------------------------
(a) Mandatory employee retirement contributions..........................  Compute the deduction based on the
                                                                            basic pay portion of gross back pay
                                                                            before adding interest or applying
                                                                            any offset or deduction.
(b) Life insurance premiums..............................................  Compute the deduction based on the
                                                                            basic pay portion of gross back pay
                                                                            before adding interest or applying
                                                                            any offset or deduction.

[[Page 537]]

 
(c) Social Security (OASDI) and Medicare taxes...........................  Compute the deduction based on
                                                                            adjusted gross back pay (gross back
                                                                            pay less the offset for outside
                                                                            earnings under Sec.  550.805(e)(1),
                                                                            but before adding interest). The
                                                                            deduction may be reduced dollar-for-
                                                                            dollar by the amount of any Social
                                                                            Security or Medicare taxes that were
                                                                            withheld from erroneous payments
                                                                            made in the same calendar year as
                                                                            the back pay award, but only if--
                                                                              (1) Those erroneous payments were
                                                                               actually recovered by the
                                                                               Government by offsetting the back
                                                                               pay award as provided in Sec.
                                                                               550.805(e)(2); and
                                                                              (2) Those withheld taxes have not
                                                                               already been repaid to the
                                                                               employee.
                                                                           Note: Social Security taxes are
                                                                            subject to the applicable Social
                                                                            Security tax wage base limit. In
                                                                            addition, see IRS guidance regarding
                                                                            possible correction and refunding of
                                                                            Social Security and Medicare taxes
                                                                            withheld from erroneous payments in
                                                                            a prior calendar year.
(d) Federal income tax withholdings......................................  Compute the deduction based on
                                                                            adjusted gross back pay (gross back
                                                                            pay less the offset for outside
                                                                            earnings under Sec.  550.805(e)(1),
                                                                            but before adding interest) less any
                                                                            part of back pay not subject to
                                                                            income tax deductions, such as
                                                                            nonforeign area cost-of-living
                                                                            allowances and contributions to the
                                                                            Thrift Savings Plan that are
                                                                            deducted from the pay of the
                                                                            employee. The deduction may be
                                                                            reduced dollar-for-dollar by the
                                                                            amount of any Federal income taxes
                                                                            withheld from erroneous payments
                                                                            made in the same calendar year as
                                                                            the back pay award, but only if--
                                                                              (1) Those erroneous payments were
                                                                               actually recovered by the
                                                                               Government by offsetting the back
                                                                               pay award as provided in Sec.
                                                                               550.805(e)(2); and
                                                                              (2) Those withheld taxes have not
                                                                               already been repaid to the
                                                                               employee.
                                                                           Note: Additional Federal income tax
                                                                            withholdings from the interest
                                                                            portion of the back pay award may be
                                                                            required by the Internal Revenue
                                                                            Service in certain specific
                                                                            circumstances.
----------------------------------------------------------------------------------------------------------------


[64 FR 69179, Dec. 10, 1999]



      Subpart I--Pay for Duty Involving Physical Hardship or Hazard

    Authority: 5 U.S.C. 5545(d), 5548(b).



Sec. 550.901  Purpose.

    This subpart prescribes the regulations required by sections 5545(d) 
and 5548(b) of title 5, United States Code, for the payment of 
differentials for duty involving unusual physical hardship or hazard to 
employees.

[56 FR 20344, May 3, 1991]



Sec. 550.902  Definitions.

    In this subpart: Agency has the meaning given that term in 5 U.S.C. 
5102(a)(1).
    Duty involving physical hardship means duty that may not in itself 
be hazardous, but causes extreme physical discomfort or distress and is 
not adequately alleviated by protective or mechanical devices, such as 
duty involving exposure to extreme temperatures for a long period of 
time, arduous physical exertion, or exposure to fumes, dust, or noise 
that causes nausea, skin, eye, ear, or nose irritation.
    Employee means an employee covered by the General Schedule (i.e., 
covered by chapter 51 and subchapter III of chapter 53 of title 5, 
United States Code).
    Hazardous duty means duty performed under circumstances in which an 
accident could result in serious injury or death, such as duty performed 
on a high structure where protective facilities are not used or on an 
open structure where adverse conditions such as darkness, lightning, 
steady rain, or high wind velocity exist.
    Hazard pay differential means additional pay for the performance of 
hazardous duty or duty involving physical hardship.
    Head of an agency means the head of an agency or an official who has 
been delegated the authority to act for the

[[Page 538]]

head of the agency in the matter concerned.

[56 FR 20344, May 3, 1991, as amended at 59 FR 33416, June 29, 1994; 64 
FR 69179, Dec. 10, 1999]



Sec. 550.903  Establishment of hazard pay differentials.

    (a) A schedule of hazard pay differentials, the hazardous duties or 
duties involving physical hardship for which they are payable, and the 
period during which they are payable is set out as appendix A to this 
subpart and incorporated in and made a part of this section.
    (b) Amendments to appendix A of this subpart may be made by OPM on 
its own motion or at the request of the head of an agency (or authorized 
designee). The head of an agency (or authorized designee) may recommend 
the rate of hazard pay differential to be established and must submit, 
with its request for an amendment, information about the hazardous duty 
or duty involving physical hardship showing--
    (1) The nature of the duty;
    (2) The degree to which the employee is exposed to hazard or 
physical hardship;
    (3) The length of time during which the duty will continue to exist;
    (4) The degree to which control may be exercised over the physical 
hardship or hazard; and
    (5) The estimated annual cost to the agency if the request is 
approved.

[56 FR 20344, May 3, 1991, as amended at 64 FR 69179, Dec. 10, 1999]



Sec. 550.904  Authorization of hazard pay differential.

    (a) An agency shall pay the hazard pay differential listed in 
appendix A of this subpart to an employee who is assigned to and 
performs any duty specified in appendix A of this subpart. However, 
hazard pay differential may not be paid to an employee when the 
hazardous duty or physical hardship has been taken into account in the 
classification of his or her position, without regard to whether the 
hazardous duty or physical hardship is grade controlling, unless payment 
of a differential has been approved under paragraph (b) of this section.
    (b) The head of an agency may approve payment of a hazard pay 
differential when--
    (1) The actual circumstances of the specific hazard or physical 
hardship have changed from that taken into account and described in the 
position description; and
    (2) Using the knowledge, skills, and abilities that are described in 
the position description, the employee cannot control the hazard or 
physical hardship; thus, the risk is not reduced to a less than 
significant level.
    (c) For the purpose of this section, the phrase ``has been taken 
into account in the classification of his or her position'' means that 
the duty constitutes an element considered in establishing the grade of 
the position--i.e., the knowledge, skills, and abilities required to 
perform that duty are considered in the classification of the position.
    (d) The head of the agency shall maintain records on the use of the 
authority described in paragraph (b) of this section, including the 
specific hazardous duty or duty involving physical hardship; the 
authorized position description(s); the number of employees paid the 
differential; documentation of the conditions described in paragraph (b) 
of this section; and the annual cost to the agency.
    (e) So that OPM can evaluate agencies' use of this authority and 
provide the Congress and others with information regarding its use, each 
agency shall maintain such other records and submit to OPM such other 
reports and data as OPM shall require.

[59 FR 33416, June 29, 1994]



Sec. 550.905  Payment of hazard pay differential.

    (a) When an employee performs duty for which a hazard pay 
differential is authorized, the agency must pay the hazard pay 
differential for the hours in a pay status on the day (a calendar day or 
a 24-hour period, when designated by the agency) on which the duty is 
performed, except as provided in paragraph (b) of this section. Hours in 
a pay status for work performed during a continuous period extending 
over 2 days must be considered to have been performed on the day on 
which the

[[Page 539]]

work began, and the allowable differential must be charged to that day.
    (b) Employees may not be paid a hazardous duty differential for 
hours for which they receive annual premium pay for regularly scheduled 
standby duty under Sec. 550.141, annual premium pay for administratively 
uncontrollable overtime work under Sec. 550.151, or availability pay for 
criminal investigators under Sec. 550.181.

[64 FR 69180, Dec. 10, 1999]



Sec. 550.906  Termination of hazard pay differential.

    An agency shall discontinue payment of hazard pay differential to an 
employee when--
    (a) One or more of the conditions requisite for such payment ceases 
to exist;
    (b) Safety precautions have reduced the element of hazard to a less 
than significant level of risk, consistent with generally accepted 
standards that may be applicable, such as those published by the 
Occupational Safety and Health Administration, Department of Labor; or
    (c) Protective or mechanical devices have adequately alleviated 
physical discomfort or distress.

[56 FR 20345, May 3, 1991, as amended at 59 FR 33417, June 29, 1994]



Sec. 550.907  Relationship to additional pay payable under other statutes.

    Hazard pay differential is in addition to any additional pay or 
allowances payable under other statutes. It shall not be considered part 
of the employee's rate of basic pay in computing additional pay or 
allowances payable under other statutes.

[56 FR 20345, May 3, 1991]

   Appendix A to Subpart I of Part 550--Schedule of Pay Differentials 
              Authorized for Hazardous Duty Under Subpart I

    hazard pay differential, of part 550 pay administration (general)
------------------------------------------------------------------------
                                             Rate of
                                           hazard pay
                  Duty                    differential   Effective date
                                            (percent)
------------------------------------------------------------------------
    Exposure to Hazardous Weather or
                Terrain:
 
(1) Work in rough and remote terrain.              25   First pay period
 When working on cliffs, narrow ledges,                  beginning after
 or near vertical mountainous slopes                     July 1, 1969.
 where a loss of footing would result in
 serious injury or death, or when
 working in areas where there is danger
 of rock falls or avalanches.
(2) Traveling under hazardous                      25    Do.
 conditions. (a) When travel over
 secondary or unimproved roads to
 isolated mountain top installations is
 required at night, or under adverse
 weather conditions (such as snow, rain,
 or fog) which limits visibility to less
 than 30 meters (100 feet), when there
 is danger of rock, mud, or snow slides.
(b) When travel in the wintertime,                 25    Do.
 either on foot or by means of vehicle,
 over secondary or unimproved roads or
 snow trails, in sparsely settled or
 isolated areas to isolated
 installations is required when there is
 danger of avalanches, or during
 ``whiteout'' phenomenon which limits
 visibility to less than 3 meters (10
 feet).
(c) When work or travel in sparsely                25    Do.
 settled or isolated areas results in
 exposure to temperatures and/or wind
 velocity shown to be of considerable
 danger, or very great danger, on the
 windchill chart (appendix A-1), and
 shelter (other than temporary shelter)
 or assistance is not readily available.
(3) Snow or ice removal operations. When           25    Do.
 participating in snowplowing or snow or
 ice removal operations, regardless of
 whether on primary, secondary or other
 class of roads, when (a) there is
 danger of avalanche, or (b) there is
 danger of missing the road and falling
 down steep mountainous slopes because
 of lack of snow stakes, ``white-out''
 conditions, or sloping ice-pack
 covering the snow.
(4) Water search and rescue operations.            25    Do.
 Participating as a member of a water
 search and rescue team in adverse
 weather conditions when winds are
 blowing at 56 km/h (35 m.p.h.)
 (classified as gale winds) or in water
 search and rescue operations conducted
 at night.
(5) Travel on Lake Pontchartrain. (a)              25    Do.
 When embarking, disembarking or
 traveling in small craft (boat) on Lake
 Pontchartrain when wind direction is
 from north, northeast, or northwest,
 and wind velocity is over 7.7 meters
 per second (15 knots); or.
(b) When travelling in small crafts,               25    Do.
 where craft is not radar equipped, on
 Lake Pontchartrain is necessary due to
 emergency or unavoidable conditions and
 the trip is made in a dense fog under
 fog run procedures.

[[Page 540]]

 
(6) Hazardous boarding or leaving of
 vessels. When duties (a), (b), or (c)
 are performed under adverse conditions
 of foul weather, ice, or night and when
 the sea state is high (0.9 meter (3
 feet) and above):
(a) Boarding or leaving vessels at sea             25   First pay period
 or standing offshore during lightering                  beginning after
 or personnel transfer operations.                       May 7, 1970.
(b) Boarding, leaving, or transferring
 equipment between small boats or rafts
 and steep, rocky, or coral surrounded
 shorelines.
(c) Transferring equipment between a
 small boat and rudimentary dock by
 improvised or temporary facility such
 as an unfastened plank leading from
 boat to dock.
(7) Small craft tests under unsafe sea             25   First pay period
 conditions. Conducting craft tests to                   beginning on or
 determine the seakeeping                                after Sept. 28,
 characteristics of small craft in a                     1972.
 seaway when U.S. storm warnings
 normally indicate unsafe seas for a
 particular size craft.
(8) Working on a drifting sea ice floe.            25   First pay period
 When the job requires that the work be                  beginning after
 performed out on sea ice, e.g.,                         March 16, 1973.
 installing scientific instruments and
 making observations for research
 purposes.
 
   Exposure to Physiological Hazards:
 
(1) Pressurechamber subject. (a)                   25    Do.
 Participating as a subject in diving
 research tests which seek to establish
 limits for safe pressure profiles by
 working in a pressure chamber
 simulating diving or, as an observer to
 the test or as a technician assembling
 underwater mock-up components for the
 test, when the observer or technician
 is exposed to high pressure gas piping
 systems, gas cylinders, and pumping
 devices which are susceptible to
 explosive ruptures.
(b) Working in pressurized sonar domes.             8   First pay period
 Performing checkout of sonar system                     beginning after
 after sonar dome has been pressurized.                  Feb. 16, 1975.
 This may include such duties as
 changing transducer elements, setting
 of transducer turntables, checking of
 cables, piping, valves, circuits,
 underwater telephone, and
 pressurization plugs.
(c) Working in nonpressurized sonar                 4   First pay period
 domes that are a part of an underwater                  beginning after
 system. Performing certification                        Feb. 16, 1975.
 pretrial inspections, involving such
 duties as calibrating, adjusting, and
 photographing equipment, in limited
 space and with limited egress.
(2) Simulated altitude chamber subjects.           25    Do.
 Observers. Participating in simulated
 altitude studies ranging from 5500 to
 45,700 meters (18,000 to 150,000 feet)
 either as subject or as observer
 exposed to the same conditions as the
 subject.
(3) Centrifuge subjects. Participating             25    Do.
 as subject in centrifuge studies
 involving elevated G forces above the
 level of 49 meters per second \2\ (5
 G's) whether or not at reduced
 atmospheric pressure.
(4) Rotational flight simulator subject.           25   First pay period
 Participating as a subject in a                         beginning after
 Rotational Flight Simulator in studies                  July 1, 1969.
 involving continuous rotation in one
 axis through 360[deg] or in a
 combination of any axes through
 360[deg] at rotation rates greater than
 15 r.p.m. for periods exceeding three
 minutes.
Hot Work--Working in confined spaces                4   First pay period
 wherein the employee is subject to                      beginning after
 temperatures in excess of 43[deg] C                     Feb. 16, 1975.
 (110[deg] F).
(5) Environmental thermal-chamber tests:           25   May 4, 1988.
 Subjects and observers exposed to the
 hazards and physical hardships of an
 environmental chamber-thermal test
 which simulates adverse weather or sea
 conditions such as the exposure to
 subzero temperatures; high heat and
 humidiity; and cold water, spray, wind,
 and wave action.
(6) Working at high altitudes.                      8   January 11,
 Performing work at a land-based                         1999.
 worksite more than 3900 meters (12,795
 feet) in altitude, provided the
 employee is required to commute to the
 worksite on the same day from a
 substantially lower altitude under
 circumstances in which the rapid change
 in altitude may result in acclimation
 problems..
 
 Exposure to Hazardous Agents, work with
        or in close proximity to:
 
(1) Explosive or incendiary materials.             25   First pay period
 Explosive or incendiary materials which                 beginning after
 are unstable and highly sensitive.                      July 1, 1969.
(2) At-sea shock and vibration tests.              25    Do.
 Arming explosive charges and/or working
 with, or in close proximity to,
 explosive armed charges in connection
 with at-sea shock and vibration tests
 of naval vessels, machinery, equipment
 and supplies.
(3) Toxic chemical materials. Toxic                25    Do.
 chemical materials when there is a
 possibility of leakage or spillage.
(4) Fire retardant materials tests.                25    Do.
 Conducting tests on fire retardant
 materials when the tests are performed
 in ventilation restricted rooms where
 the atmosphere is continuously
 contaminated by obnoxious odors and
 smoke which causes irritation to the
 eyes and respiratory tract.
(5) Virulent biologicals. Materials of             25    Do.
 micro-organic nature which when
 introduced into the body are likely to
 cause serious disease or fatality and
 for which protective devices do not
 afford complete protection.

[[Page 541]]

 
(6) Asbestos. Significant risk of                   8   June 8, 1993
 exposure to airborne concentrations of
 asbestos fibers in excess of the
 permissible exposure limits (PELS) in
 the standard for asbestos provided in
 title 29, Code of Federal Regulations,
 Secs.  1910.1001 or 1926.58, when the
 risk of exposure is directly connected
 with the performance of assigned
 duties. Regulatory changes in Sec.
 1910.1001 or 1926.58 are hereby
 incorporated in and made a part of this
 category, effective on the first day of
 the first pay period beginning on or
 after the effective date of the changes.
 
     Participating in Liquid Missile
   Propulsion Tests and Certain Solid
         Propulsion Operations:
 
(1) Tanking and detanking. Tanking or              25   First pay period
 detanking operations of a missile or                    beginning after
 the test stand ``run'' bottles with                     July 1, 1969.
 liquid propellants.
(2) Hoisting a tanked missile. Hoisting            25    Do.
 a tanked missile or a solid propellant
 propulsion system into and/or over the
 test stand.
(3) Pressure tests. Pressure tests on              25    Do.
 loaded missiles, missile tanks, or run
 bottles during prefire preparations.
(4) Test stand tests. Test stand                   25    Do.
 operations on loaded missiles under
 environmental conditions where the high
 or low temperatures could cause a
 failure of a critical component.
(5) Disassembly and breakdown.                     25    Do.
 Disassembly and breakdown of a
 contaminated missile system or test
 stand plumbing after test.
(6) ``Go'' condition test stand work.              25    Do.
 Working on any test stand above the 15-
 meter (50-foot) level or any stand work
 while the system is in a ``go''
 condition.
(7) Arming and dearming propulsion                 25    Do.
 systems. Arming, dearming or the
 installation and/or removal of any
 squib, explosive device, or a component
 thereof connected to, or part of, any
 live or potentially expended liquid or
 solid propulsion system.
(8) Demolition and destruct tests.                 25    Do.
 Demolition, hazards classification, or
 destruct type tests where the specimen
 is nonstandard and/or unproven and the
 test techniques do not conform to
 standard or proven procedures.
 
       Work in Fuel Storage Tanks:
 
When inspecting, cleaning or repairing             25    Do.
 fuel storage tanks where there is no
 ready access to an exit, under
 conditions requiring a breathing
 apparatus because all or part of the
 oxygen in the atmosphere has been
 displaced by toxic vapors or gas, and
 failure of the breathing apparatus
 would result in serious injury or death
 within the time required to leave the
 tank.
              Firefighting:
 
(1) Forest and range fires.                        25    Do.
 Participating as a member of a
 firefighting crew in fighting forest
 and range fires on the fireline.
(2) Equipment, installation, or building           25    Do.
 fires. Participating as an emergency
 member of a firefighting crew in
 fighting fires of equipment,
 installations, or buildings.
(3) In-water under-pier firefighting               25    Do.
 operations. Participating in in-water
 under-pier firefighting operations
 (involving hazards beyond those
 normally encountered in firefighting on
 land, e.g., strong currents, cold water
 temperature, etc.).
 
         Work in Open Trenches:
 
Work in an open trench 4.6 meters (15              25    Do.
 feet) or more deep until proper shoring
 has been installed.
 
            Underground Work:
 
Work underground performed in the                  25    Do.
 construction of tunnels and shafts, and
 the inspection of such underground
 construction, until the necessary
 lining of the shaft or tunnel has
 eliminated the hazard.
 
            Underwater Duty:
 
(1) Submerged submarine or deep research           25    Do.
 vehicle. Duty aboard a submarine or
 deep research vehicle when it submerges.

[[Page 542]]

 
(2) Diving. Diving, including SCUBA                25    Do.
 (self-contained underwater breathing
 apparatus) diving, required in
 scientific and engineering pursuits, or
 search and rescue operations, when:
(a) at a depth of 6 meters (20 feet) or
 more below the surface; or,
(b) visibility is restricted; or,
(c) in rapidly flowing or cold water;
 or,
(d) vertical access to the surface is
 restricted by ice, rock, or other
 structure; or,
(e) testing or working with hardware
 which presents special hazards (such as
 work with high voltage equipment or
 work with underwater mockup components
 in an underwater space simulation
 study).
 
 Sea Duty Aboard Deep Research Vessels:
 
Participating in sea duty wherein the              25    Do.
 team member is engaged in handling
 equipment on or over the side of the
 vessel when the sea-state is high (6.2
 meter-per-second winds (12-knot winds)
 and 0.9-meter waves (3-foot waves) and
 the work is done on deck in relatively
 unprotected areas.
 
   Collection of Aircraft Approach and
       Landing Environmental Data:
 
When operating or monitoring camera                25   First pay period
 equipment adjacent to flight deck in                    beginning after
 the area of maximum hazard during                       July 1, 1969.
 landing sequence while conducting
 photographic surveys aboard aircraft
 carriers during periods of heavy
 aircraft operations.
 
 Experimental Landing/Recovery Equipment
                 Tests:
 
Participating in tests of experimental             25    Do.
 or prototype landing and recovery
 equipment where personnel are required
 to serve as test subjects in spacecraft
 being dropped into the sea or
 laboratory tanks.
 
    Land Impact or Pad Abort of Space
                Vehicle:
 
Actual participating in dearming and               25    Do.
 safing explosive ordinance, toxic
 propellant and high pressure vessels on
 vehicles that have land impacted or on
 vehicles on the launch pad that have
 reached a point in the countdown where
 no remote means are available for
 returning the vehicle to a safe
 condition.
 
              Height Work:
 
Working on any structure of at least 15            25    Do.
 meters (50 feet) above the base level,
 ground, deck, floor, roof, etc., under
 open conditions, if the structure is
 unstable or if scaffolding guards or
 other suitable protective facilities
 are not used, or if performed under
 adverse conditions such as snow, sleet,
 ice on walking surfaces, darkness,
 lightning, steady rain, or high wind
 velocity.
 
        Flying, participating in:
 
(1) Pilot proficiency training. Flights            25    Do.
 for pilot proficiency training in
 aircraft new to the pilot under
 simulated emergency conditions which
 parallel conditions encountered in
 performing flight tests.
(2) Delivery of new aircraft for flight            25    Do.
 testing. Flights to deliver aircraft
 which has been prepared for one-time
 flight without being test flown prior
 to delivery flight.
(3) Test flights of new modified, or               25    Do.
 repaired aircraft. Test flights of a
 new or repaired aircraft or modified
 aircraft when the modification may
 affect the flight characteristics of
 the aircraft.
(4) Reduced gravity--parabolic arc                 25    Do.
 flights--subjects/observers. Reduced
 gravity flight testing in an aircraft
 flying a parabolic flight path and
 providing a testing environment ranging
 from weightlessness up through +20
 meters per second \2\ (+2 gravity
 conditions).
(5) Launch and recovery. Test flights              25    Do.
 involving launch and recovery aboard an
 aircraft carrier.
(6) Limited control flights. Flights               25    Do.
 undertaken under unusual and adverse
 conditions (such as extreme weather,
 maximum load or overload, limited
 visibility, extreme turbulence, or low
 level flights involving fixed or
 tactical patterns) which threaten or
 severely limit control of the aircraft.
(7) Flight tests of expandable aircraft            25    Do.
 tires. Landing to test aircraft tires
 designed to deflate upon retraction,
 undertaken to appraise the normal
 deflate-reinflate cycle and also to
 evaluate the capability to make a
 satisfactory landing with the tires
 deflated.
(8) Landing and taking-off in polar                25    Do.
 areas. Landing in polar areas on
 unprepared snow or ice surfaces and/or
 taking-off under the same conditions.
 
      Experimental Parachute Jumps:
 
Participating as a jumper in field                 25    Do.
 exercises to test and evaluate new
 types of jumping equipment and/or
 jumping techniques.
 
Ground Work Beneath Hovering Helicopter:
 
Participating in ground operations to              25    Do.
 attach external load to helicopter
 hovering just overhead.

[[Page 543]]

 
Sling-suspended transfers. When                    25   First pay period
 performance of duties requires transfer                 beginning after
 from a helicopter to a ship via a sling                 Oct. 11, 1969.
 on the end of a steel cable or from a
 ship to another ship via a chair
 harness hanging from a highline between
 the ships when both vessels are
 underway.
Carrier suitability trials aboard                  25    Do.
 aircraft carriers. Participating in
 carrier suitability trials aboard
 aircraft carriers when work is
 performed on the flight deck during
 launch, recovery, and refueling
 operations.
Cargo handling during lightering                   25    Do.
 operations. Off-loading of cargo and
 supplies from surface ships to Landing
 Craft--Medium (LCM) boats involving
 exposure not only to falling cargo but
 such other hazards as shifting cargo
 within the LCM, swinging cargo hooks,
 and possibility of falling between the
 LCM and cargo vessel.
Work in unsafe structures: Working                 25   First pay period
 within or immediately adjacent to a                     beginning on or
 building or structure which has been                    after Apr. 11,
 severely damaged by earthquake, fire,                   1976.
 tornado, flood, or similar cause, when
 the structure has been declared unsafe
 by competent technical authority, and
 when such work is considered necessary
 for the safety of personnel or recovery
 of valuable materials or equipment, and
 the work is authorized by competent
 authority.
Tropical Jungle Duty: Work outdoors in
 undeveloped jungle regions outside the
 continental United States. Work must
 involve both of the following:
   (1) An unusual degree of physical
   hardship caused by high heat,
   humidity, or other inclement
   conditions; and
   (2) An unusual danger of serious
   injury or illness due to:
     (a) Travel on unimproved roads or
     rudimentary trails in rugged
     terrain (e.g., walking on narrow
     trails in steep mountainous areas,
     fording deep, fast-moving rivers,
     and crossing deep crevasses via log
     or other unsafe means);
     (b) Immediate presence of dangerous
     wildlife (e.g., venomous snakes,
     poisonous insects, and large
     carnivores); or
     (c) Known exposure to serious                 25   June 14, 1989.
     disease for which adequate
     protection cannot be provided.
------------------------------------------------------------------------


(5 U.S.C. 5595; E.O. 11257, 3 CFR 1964-1965 Comp., p. 357)

[34 FR 11083, July 1, 1969; 34 FR 12623, Aug. 2, 1969, as amended at 34 
FR 15747, Oct. 11, 1969; 35 FR 7172, May 7, 1970; 37 FR 20248, Sept. 28, 
1972; 39 FR 7115, Mar. 16, 1973; 40 FR 7437, Feb. 20, 1975; 41 FR 12635, 
Mar. 26, 1976; 41 FR 14165, Apr. 2, 1976; 53 FR 36557, Sept. 21, 1988; 
54 FR 8267, Feb. 28, 1989; 54 FR 25224, June 14, 1989 and 55 FR 1354, 
Jan. 14, 1990; 56 FR 20345, May 3, 1991; 58 FR 32050, June 8, 1993; 58 
FR 32276, June 9, 1993; 64 FR 1502, Jan. 11, 1999]

[[Page 544]]

         Appendix A-1 to Subpart I of Part 550--Windchill Chart
[GRAPHIC] [TIFF OMITTED] TC01SE91.002


[[Page 545]]



                   windchill chart in non-metric units
[GRAPHIC] [TIFF OMITTED] TC01SE91.003


[33 FR 12458, Sept. 4, 1968, as amended at 58 FR 32277, June 9, 1993]

    Subpart J--Adjustment of Work Schedules for Religious Observances

    Authority: 5 U.S.C. 5550a.

Sec. 550.1001  Coverage.

    This subpart applies to each employee in or under an executive 
agency as defined by section 105 of title 5, United States Code.

[43 FR 46288, Oct. 6, 1978, and 51 FR 23036, June 25, 1986]

Sec. 550.1002  Compensatory time off for religious observances.

    (a) These regulations are issued pursuant to title IV of Public Law 
95-390, enacted September 29, 1978. Under the law and these regulations, 
an employee whose personal religious beliefs require the abstention from 
work during certain periods of time may elect to engage in overtime work 
for time lost for meeting those religious requirements.
    (b) To the extent that such modifications in work schedules do not 
interfere with the efficient accomplishment of an agency's mission, the 
agency shall in each instance afford the employee the opportunity to 
work compensatory overtime and shall in each instance grant compensatory 
time off to an employee requesting such time off for religious 
observances when the employee's personal religious beliefs require that 
the employee abstain from work during certain periods of the workday or 
workweek.
    (c) For the purpose stated in paragraph (b) of this section, the 
employee may work such compensatory overtime before or after the grant 
of compensatory time off. A grant of advanced compensatory time off 
should be repaid

[[Page 546]]

by the appropriate amount of compensatory overtime work within a 
reasonable amount of time. Compensatory overtime shall be credited to an 
employee on an hour for hour basis or authorized fractions thereof. 
Appropriate records will be kept of compensatory overtime earned and 
used.
    (d) The premium pay provisions for overtime work in subpart A of 
part 550 of title 5, Code of Federal Regulations, and section 7 of the 
Fair Labor Standards Act of 1938, as amended, do not apply to 
compensatory overtime work performed by an employee for this purpose.

[43 FR 46288, Oct. 6, 1978, as amended at 51 FR 23036, June 25, 1986]

   Subpart K--Collection by Offset From Indebted Government Employees

    Authority: 5 U.S.C. 5514; sec. 8(1) of E.O. 11609; redesignated in 
sec. 2-1 of E.O. 12107.

    Source: 49 FR 27472, July 3, 1984, unless otherwise noted.

Sec. 550.1101  Purpose.

    This subpart provides the standards to be used by Federal agencies 
to prepare regulations implementing 5 U.S.C. 5514 and by OPM to review 
and approve such agency regulations, and establishes procedural 
guidelines to recover debts from the current pay account of an employee 
when the employee's creditor and paying agencies are not the same.

Sec. 550.1102  Scope.

    (a) Coverage. This subpart applies to agencies and employees defined 
by Sec. 550.1103.
    (b) Applicability. This subpart and 5 U.S.C. 5514 apply in 
recovering certain debts by administrative offset, except where the 
employee consents to the recovery, from the current pay account of the 
employee. Because salary offset is a type of administrative offset, debt 
collection procedures for salary offset which are not specified in 5 
U.S.C. 5514 and these regulations should be consistent with the 
provisions of the Federal Claims Collections Standards (FCCS) (dealing 
with administrative offset generally) and 31 CFR part 285 (dealing with 
centralized administrative offset under 31 U.S.C. 3716). Section 
550.1108 addresses the use of centralized administrative offset 
procedures to effect salary offset. Generally, the procedures under 
Sec. 550.1109 should apply only when centralized administrative offset 
cannot be accomplished.
    (1) Excluded debts. The procedures contained in this subpart do not 
apply to debts arising under the Internal Revenue Code (26 U.S.C. 1 et 
seq.) or the tariff laws of the United States or to any case where 
collection of a debt by salary offset is explicitly provided for or 
prohibited by another statute (e.g., travel advances in 5 U.S.C. 5705 
and employee training expenses in 5 U.S.C. 4108).
    (2) Waiver requests. This subpart does not preclude an employee from 
requesting waiver of an erroneous payment under 5 U.S.C. 5584, 10 U.S.C. 
2774, or 32 U.S.C. 716, or in any way questioning the amount or validity 
of a debt, in the manner prescribed by the head of the responsible 
agency. Similarly, this subpart does not preclude an employee from 
requesting waiver of the collection of a debt under any other applicable 
statutory authority.

[49 FR 27472, July 3, 1984, as amended at 63 FR 72099, Dec. 31, 1998]

Sec. 550.1103  Definitions.

    For purposes of this subpart--
    Agency means an executive department or agency; a military 
department; the United States Postal Service; the Postal Rate 
Commission; the United States Senate; the United States House of 
Representatives; any court, court administrative office, or 
instrumentality in the judicial or legislative branches of the 
Government; or a Government corporation.
    Creditor Agency means the agency to which the debt is owed, 
including a debt collection center when acting in behalf of a creditor 
agency in matters pertaining to the collection of a debt (as provided in 
Sec. 550.1110).
    Debt means an amount owed to the United States from sources which 
include loans insured or guaranteed by the United States and all other 
amounts due the United States from fees, leases, rents, royalties, 
services,

[[Page 547]]

sales of real or personal property, overpayments, penalties, damages, 
interest, fines and forfeitures (except those arising under the Uniform 
Code of Military Justice), and all other similar sources.
    Debt collection center means the Department of the Treasury or other 
Government agency or division designated by the Secretary of the 
Treasury with authority to collect debts on behalf of creditor agencies 
in accordance with 31 U.S.C. 3711(g).
    Disposable pay means that part of current basic pay, special pay, 
incentive pay, retired pay, retainer pay, or in the case of an employee 
not entitled to basic pay, other authorized pay remaining after the 
deduction of any amount required by law to be withheld (other than 
deductions to execute garnishment orders in accordance with parts 581 
and 582 of this chapter). Among the legally required deductions that 
must be applied first to determine disposable pay are levies pursuant to 
the Internal Revenue Code (title 26, United States Code) and deductions 
described in Sec. 581.105(b) through (f) of this chapter.
    Employee means a current employee of an agency, including a current 
member of the Armed Forces or a Reserve of the Armed Forces (Reserves).
    FCCS means the Federal Claims Collection Standards published in 4 
CFR parts 101 through 105.
    Paying agency means the agency employing the individual and 
authorizing the payment of his or her current pay.
    Salary offset means an administrative offset to collect a debt under 
5 U.S.C. 5514 by deduction(s) at one or more officially established pay 
intervals from the current pay account of an employee without his or her 
consent.
    Waiver means the cancellation, remission, forgiveness, or non-
recovery of a debt allegedly owed by an employee to an agency as 
permitted or required by 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 
716, 5 U.S.C. 8346(b), or any other law.

[49 FR 27472, July 3, 1984, as amended at 51 FR 16670, May 6, 1986; 63 
FR 72100, Dec. 31, 1998]

Sec. 550.1104  Agency regulations.

    Under this subpart and 5 U.S.C. 5514, each creditor agency must 
issue regulations, subject to approval by the Office of Personnel 
Management (OPM), governing the collection of a debt by salary offset. 
Each agency is responsible for assuring that the regulations governing 
collection of internal debts are uniformly and consistently applied to 
all its employees. Agency regulations issued under authority of 5 U.S.C. 
5514 must contain the following minimum provisions:
    (a) Applicability or scope. Indicate whether regulations cover 
internal or Government-wide collections under 5 U.S.C. 5514, or both.
    (b) Entitlement to notice, hearing, written responses and decisions. 
Identify when the employee is entitled to notice, when hearings will be 
offered, when the employee is entitled to a response or decision after 
exercising his or her rights under Sec. 5514 and this subpart, and if 
the hearing official's decision is not in the employee's favor or the 
employee chooses not to request a hearing, what other rights and 
remedies are available under the statutes or regulations governing the 
program that requires the collection to be made. Except as provided in 
paragraph (c) of this section, each employee from whom the creditor 
agency proposes to collect a debt under this subpart is entitled to 
receive from the creditor agency--
    (1) A written notice as described in paragraph (d) of this section;
    (2) The opportunity to petition for a hearing and, if a hearing is 
given, to receive a written decision from the official holding the 
hearing on the following issues:
    (i) The determination of the creditor agency concerning the 
existence or amount of the debt; and
    (ii) The repayment schedule, if it was not established by written 
agreement between the employee and the creditor agency.
    (c) Exception to entitlement to notice, hearing, written responses, 
and final decisions. In regulations covering internal collections, an 
agency must except from the provisions of paragraph (b) of this section-
-
    (1) Any adjustment to pay arising out of an employee's election of 
coverage or a change in coverage under a Federal benefits program 
requiring periodic deductions from pay, if the

[[Page 548]]

amount to be recovered was accumulated over 4 pay periods or less;
    (2) A routine intra-agency adjustment of pay that is made to correct 
an overpayment of pay attributable to clerical or administrative errors 
or delays in processing pay documents, if the overpayment occurred 
within the 4 pay periods preceding the adjustment and, at the time of 
such adjustment, or as soon thereafter as practical, the individual is 
provided written notice of the nature and the amount of the adjustment 
and point of contact for contesting such adjustment; or
    (3) Any adjustment to collect a debt amounting to $50 or less, if, 
at the time of such adjustment, or as soon thereafter as practical, the 
individual is provided written notice of the nature and the amount of 
the adjustment and a point of contact for contesting such adjustment.
    (d) Notification before deductions begin. Provide for notification 
before deductions begin. Except as provided in paragraph (c) of this 
section, deductions under the authority of 5 U.S.C. 5514 must not be 
made unless the head of the creditor agency (or authorized designee) 
provides the employee at least 30 days before any deduction, written 
notice stating at a minimum:
    (1) The creditor agency's determination that a debt is owed, 
including the origin, nature, and amount of that debt;
    (2) The creditor agency's intention to collect the debt by means of 
deduction from the employee's current disposable pay account;
    (3) The frequency and amount of the intended deduction (stated as a 
fixed dollar amount or as a percentage of pay, not to exceed 15 percent 
of disposable pay) and the intention to continue the deductions until 
the debt is paid in full or otherwise resolved;
    (4) An explanation of the creditor agency's policy concerning 
interest, penalties, and administrative costs, including a statement 
that such assessments must be made unless excused in accordance with the 
FCCS as defined in Sec. 550.1103;
    (5) The employee's right to inspect and copy Government records 
relating to the debt or, if employee or his or her representative cannot 
personally inspect the records, to request and receive a copy of such 
records;
    (6) If not previously provided, the opportunity (under terms 
agreeable to the creditor agency) to establish a schedule for the 
voluntary repayment of the debt or to enter into a written agreement to 
establish a schedule for repayment of the debt in lieu of offset. The 
agreement must be in writing, signed by both the employee and the 
creditor agency; and documented in the creditor agency's files (see the 
FCCS);
    (7) The employee's right to a hearing conducted by an official 
arranged by the creditor agency (an administrative law judge, or 
alternatively, a hearing official not under the control of the head of 
the agency) if a petition is filed as prescribed by the creditor agency;
    (8) The method and time period for petitioning for a hearing;
    (9) That the timely filing of a petition for hearing will stay the 
commencement of collection proceedings;
    (10) That a final decision on the hearing (if one is requested) will 
be issued at the earliest practical date, but not later than 60 days 
after the filing of the petition requesting the hearing unless the 
employee requests and the hearing official grants a delay in the 
proceedings;
    (11) That any knowingly false or frivolous statements, 
representations, or evidence may subject the employee to:
    (i) Disciplinary procedures appropriate under chapter 75 of title 5, 
United States Code, part 752 of title 5, Code of Federal Regulations, or 
any other applicable statutes or regulations;
    (ii) Penalties under the False Claims Act, Secs. 3729-3731 of title 
31, United States Code, or any other applicable statutory authority; or
    (iii) Criminal penalties under Secs. 286, 287, 1001, and 1002 of 
title 18, United States Code or any other applicable statutory 
authority.
    (12) Any other rights and remedies available to the employee under 
statutes or regulations governing the program for which the collection 
is being made; and
    (13) Unless there are applicable contractual or statutory provisions 
to the contrary, that amounts paid on or deducted for the debt which are 
later

[[Page 549]]

waived or found not owed to the United States will be promptly refunded 
to the employee.
    (e) Petitions for hearing. (1) Prescribe the method and time period 
for petitioning for a hearing. Ordinarily, a hearing may be requested by 
filing a written petition addressed to the appropriate creditor agency 
official stating why the employee believes the determination of the 
creditor agency concerning the existence or amount of the debt is in 
error.
    (2) The employee's petition or statement must be signed by the 
employee and fully identify and explain with reasonable specificity all 
the facts, evidence and witnesses, if any, which the employee believes 
support his or her position.
    (f) Petitions for hearing made after time expires. Prescribe the 
action to be taken on a petition for hearing made after the expiration 
of the period provided in the notice described in paragraph (d) of this 
section. Ordinarily a creditor agency should accept requests if the 
employee can show that the delay was because of circumstances beyond his 
or her control or because of failure to receive notice of the time limit 
(unless otherwise aware of it).
    (g) Form of hearings, written responses, and final decisions. (1) 
Define the form and content of hearings, written responses, and written 
decisions to be provided when the employee exercises his or her rights 
under Sec. 5514 and this subpart.
    (2) The form and content of hearings granted under this subpart will 
depend on the nature of the transactions giving rise to the debts 
included within each debt collection program. Agencies should refer to 
the FCCS for information on hearing form and content.
    (3) Written decisions provided after a request for hearing must, at 
a minimum, state the facts purported to evidence the nature and origin 
of the alleged debt; the hearing official's analysis, findings and 
conclusions, in light of the hearing, as to the employee's and/or 
creditor agency's grounds, the amount and validity of the alleged debt 
and, where applicable, the repayment schedule.
    (h) Method and source of deductions. Identify the method and source 
of deductions. At a minimum, agency regulations must identify the method 
of collection as salary offset and the source of deductions as current 
disposable pay, except as provided in paragraphs (l) and (m) of this 
section.
    (i) Limitation on amount of deductions. Prescribe the limitations on 
the amount of the deduction. Ordinarily, the size of installment 
deductions must bear a reasonable relationship to the size of the debt 
and the employee's ability to pay (see the FCCS). However, the amount 
deducted for any period must not exceed 15 percent of the disposable pay 
from which the deduction is made, unless the employee has agreed in 
writing to the deduction of a greater amount.
    (j) Duration of deductions. Prescribe the duration of deductions. 
Ordinarily, debts must be collected in one lump-sum where possible. 
However, if the employee is financially unable to pay in one lump-sum or 
the amount of the debt exceeds 15 percent of disposable pay for an 
officially established pay interval, collection must be made in 
installments. Such installment deductions must be made over a period not 
greater than the anticipated period of active duty or employment, as the 
case may be, except as provided in paragraphs (l) and (m) of this 
section.
    (k) When deductions may begin. Prescribe when deductions will be 
scheduled to begin in internal agency collections.
    (l) Liquidation from final check. Provide for offset under 31 U.S.C. 
3716, if the employee retires or resigns or if his or her employment or 
period of active duty ends before collection of the debt is completed, 
from subsequent payments of any nature (e.g., final salary payment, 
lump-sum leave, etc.) due the employee from the paying agency as of the 
date of separation to the extent necessary to liquidate the debt.
    (m) Recovery from other payments due a separated employee Provide 
for offset under 31 U.S.C. 3716 from later payments of any kind due the 
former employee from the United States, where appropriate, if the debt 
cannot be liquidated by offset from any final payment due the former 
employee as of the date of separation. (See the FCCS.)

[[Page 550]]

    (n) Interest, penalties, and administrative costs. Provide for the 
assessment of interest, penalties, and administrative costs on debts 
being collected under this subpart. These charges and the waiving of 
them must be prescribed in accordance with the FCCS.
    (o) Non-waiver of rights by payments. Provide that an employee's 
involuntary payment, of all or any portion of a debt being collected 
under 5 U.S.C. 5514 must not be construed as a waiver of any rights 
which the employee may have under 5 U.S.C. 5514 or any other provision 
of contract or law, unless there are statutory or contractual provisions 
to the contrary.
    (p) Refunds. (1) Provide for promptly refunding to the appropriate 
party, amounts paid or deducted under this subpart when--
    (i) A debt is waived or otherwise found not owing to the United 
States (unless expressly prohibited by statute or regulation); or
    (ii) The employee's paying agency is directed by an administrative 
or judicial order to refund amounts deducted from his or her current 
pay.
    (2) Refunds do not bear interest unless required or permitted by law 
or contract.

[33 FR 12458, Sept. 4, 1968, as amended at 63 FR 72100, Dec. 31, 1998; 
64 FR 69180, Dec. 10, 1999]

Sec. 550.1105  Review and approval of agency regulations.

    (a) Initial OPM review of agency regulations. (1) Creditor agencies 
must submit regulations to the Office of Personnel Management (OPM) for 
review in accordance with 5 U.S.C. 5514 and this subpart prior to 
publication of final regulations or prior to implementation, if 
intragency collection procedures are not published. Submissions must be 
for agency-wide and/or Government-wide collections.
    (2) Creditor agency regulations must contain all provisions 
specified in Sec. 550.1104. If agency regulations are incomplete, OPM 
will return them with information as to what must be done to obtain 
approval.
    (b) Proposed changes in salary offset regulations. If a creditor 
agency proposes significant changes in the regulations covering 
provisions specified in Sec. 550.1104, the proposed revisions must be 
submitted to OPM for review and approval prior to implementation.
    (c) Supplemental regulations. When a creditor agency has issued 
approved regulations covering the provisions specified in Sec. 550.1104, 
the agency may issue any supplemental regulations or instructions, 
consistent with its approved regulations, which are necessary for solely 
internal operations, without prior OPM approval.

Sec. 550.1106  Time limit on collection of debts.

    Under the FCCS as defined in Sec. 550.1103, agencies may not 
initiate offset to collect a debt more than 10 years after the 
Government's right to collect the debt first accrued, with certain 
exceptions explained in that paragraph.

[51 FR 21325, June 12, 1986, as amended at 63 FR 72100, Dec. 31, 1998]

Sec. 550.1107  Obtaining the services of a hearing official.

    (a) When the debtor does not work for the creditor agency and the 
creditor agency cannot provide a prompt and appropriate hearing before 
an administrative law judge or before a hearing official furnished 
pursuant to another lawful arrangement, the creditor agency may contact 
an agent of the paying agency designated in appendix A of part 581 of 
this chapter to arrange for a hearing official, and the paying agency 
must then cooperate as provided by the FCCS as defined in Sec. 550.1103 
and provide a hearing official.
    (b) When the debtor works for the creditor agency, the creditor 
agency may contact any agent (of another agency) designated in appendix 
A of part 581 of this chapter to arrange for a hearing official. 
Agencies must then cooperate as required by the FCCS and provide a 
hearing official.
    (c) The determination of a hearing official designated under this 
section is considered to be an official certification regarding the 
existence and amount of the debt for purposes of executing salary offset 
under 5 U.S.C. 5514. A creditor agency may make a certification to the 
Secretary of the Treasury under Sec. 550.1108 or a paying agency under 
Sec. 550.1109 regarding the existence and amount of the debt based on 
the

[[Page 551]]

certification of a hearing official. If a hearing official determines 
that a debt may not be collected via salary offset, but the creditor 
agency finds that the debt is still valid, the creditor agency may still 
seek collection of the debt through other means, such as offset of other 
Federal payments, litigation, etc.

[51 FR 16670, May 6, 1986, as amended at 63 FR 72100, Dec. 31, 1998]

Sec. 550.1108  Requesting recovery through centralized administrative 
          offset.

    Under 31 U.S.C. 3716, creditor agencies must notify the Secretary of 
the Treasury of all debts that are delinquent as defined in the FCCS 
(over 180 days) so that recovery may be made by centralized 
administrative offset. This includes those debts the agency seeks to 
recover from the pay account of an employee of another agency via salary 
offset. The Secretary of the Treasury and other Federal disbursing 
officials will match payments, including Federal salary payments, 
against these debts. Where a match occurs, and all the requirements for 
offset have been met, the payments will be offset to collect the debt. 
Prior to offset of the pay account of an employee, an agency must comply 
with the requirements of 5 U.S.C. 5514, this subpart, and agency 
regulations issued thereunder. Specific procedures for notifying the 
Secretary of the Treasury of a debt for purposes of collection by 
centralized administrative offset are contained in 31 CFR part 285 and 
the FCCS. At its discretion, a creditor agency may notify the Secretary 
of the Treasury of debts that have been delinquent for 180 days or less, 
including debts the agency seeks to recover from the pay account of an 
employee via salary offset.

[63 FR 72101, Dec. 31, 1998]

Sec. 550.1109  Requesting recovery when the current paying agency is not 
          the creditor agency.

    When possible, salary offset through the centralized administrative 
offset procedures in Sec. 550.1108 should be attempted before applying 
the procedures in this section.
    (a) Responsibilities of creditor agency. Upon completion of the 
procedures established by the creditor agency under 5 U.S.C. 5514, the 
creditor agency must do the following:
    (1) The creditor agency must certify, in writing, that the employee 
owes the debt, the amount and basis of the debt, the date on which 
payment(s) is due, the date the Government's right to collect the debt 
first accrued, and that the creditor agency's regulations implementing 5 
U.S.C. 5514 have been approved by OPM.
    (2) If the collection must be made in installments, the creditor 
agency also must advise the paying agency of the amount or percentage of 
disposable pay to be collected in each installment, and if the creditor 
agency wishes, the number and the commencing date of the installments 
(if a date other than the next officially established pay period is 
required).
    (3) Unless the employee has consented to the salary offset in 
writing or signed a statement acknowledging receipt of the required 
procedures and the written consent or statement is forwarded to the 
paying agency, the creditor agency also must advise the paying agency of 
the action(s) taken under 5 U.S.C. 5514 and give the date(s) the 
action(s) was taken.
    (4) Except as otherwise provided in this paragraph, the creditor 
agency must submit a debt claim containing the information specified in 
paragraphs (a) (1) through (3) of this section and an installment 
agreement (or other instruction on the payment schedule), if applicable, 
to the employee's paying agency.
    (5) If the employee is in the process of separating, the creditor 
agency must submit its debt claim to the employee's paying agency for 
collection as provided in Sec. 550.1104(1). The paying agency must 
certify the total amount of its collection and notify the creditor 
agency and the employee as provided in paragraph (c)(1) of this section. 
If the paying agency is aware that the employee is entitled to payments 
from the Civil Service Retirement and Disability Fund, or other similar 
payments, it must provide written notification to the agency responsible 
for making such payments that the debtor owes a debt (including the 
amount) and that the provisions of this section have

[[Page 552]]

been fully complied with. However, the creditor agency must submit a 
properly certified claim to the agency responsible for making such 
payments before the collection can be made.
    (6) If the employee is already separated and all payments due from 
his or her former paying agency have been paid, the creditor agency may 
request, unless otherwise prohibited, that money due and payable to the 
employee from the Civil Service Retirement and Disability Fund (5 CFR 
831.1801 et seq.), or other similar funds, be administratively offset to 
collect the debt. (See 31 U.S.C. 3716 and the FCCS.)
    (b) Responsibilities of paying agency--(1) Complete claim. When the 
paying agency receives a properly certified debt claim from a creditor 
agency, deductions should be scheduled to begin prospectively at the 
next officially established pay interval. The employee must receive 
written notice that the paying agency has received a certified debt 
claim from the creditor agency (including the amount) and written notice 
of the date deductions from salary will commence and of the amount of 
such deductions.
    (2) Incomplete claim. When the paying agency receives an incomplete 
debt claim from a creditor agency, the paying agency must return the 
debt claim with a notice that procedures under 5 U.S.C. 5514 and this 
subpart must be provided and a properly certified debt claim received 
before action will be taken to collect from the employee's current pay 
account.
    (3) Review. The paying agency is not required or authorized to 
review the merits of the determination with respect to the amount or 
validity of the debt certified by the creditor agency.
    (c) Employees who transfer from one paying agency to another. (1) 
If, after the creditor agency has submitted the debt claim to the 
employee's paying agency, the employee transfers to a position served by 
a different paying agency before the debt is collected in full, the 
paying agency from which the employee separates must certify the total 
amount of the collection made on the debt. One copy of the certification 
must be furnished to the employee, another to the creditor agency along 
with notice of the employee's transfer. However, the creditor agency 
must submit a properly certified claim to the new paying agency before 
collection can be resumed.
    (2) When an employee transfers to another paying agency, the 
creditor agency need not repeat the due process procedures described by 
5 U.S.C. 5514 and this subpart to resume the collection. However, the 
creditor agency is responsible for reviewing the debt upon receiving the 
former paying agency's notice of the employee's transfer to make sure 
the collection is resumed by the new paying agency.

[51 FR 21325, June 12, 1986. Redesignated and amended at 63 FR 72100, 
Dec. 31, 1998]

Sec. 550.1110  Debt collection centers.

    A debt collection center may act in behalf of a creditor agency to 
collect claims via salary offset consistent with this section, subject 
to any limitations on its authority established by the creditor agency 
it represents or by the U.S. Department of the Treasury.
    (a) A debt collection center may be authorized to enter into a 
written agreement with the indebted employee regarding the repayment 
schedule or, in the absence of such agreement, to establish the terms of 
the repayment schedule.
    (b) A debt collection center may make certifications to the 
Secretary of the Treasury under Sec. 550.1108 or to a paying agency 
under Sec. 550.1109 based on the certifications it has received from the 
creditor agency or a hearing official.
    (c) A debt collection center responsible for collecting a particular 
debt may not act in behalf of a creditor agency for the purpose of 
making determinations regarding the existence or amount of that debt.
    (d) A debt collection center responsible for collecting a particular 
debt may arrange for a hearing on the existence or amount of the debt or 
the repayment schedule by an administrative law judge or, alternatively, 
another hearing official not under the supervision or control of the 
head of the creditor agency or the debt collection center.

[63 FR 72101, Dec. 31, 1998]

[[Page 553]]

  Subpart L--Lump-Sum Payment for Accumulated and Accrued Annual Leave

    Authority: 5 U.S.C. 5553, 6306, and 6311.

    Source: 64 FR 36771, July 8, 1999, unless otherwise noted.

Sec. 550.1201  Purpose, applicability, and administration.

    (a) Purpose. This subpart provides regulations to implement sections 
5551, 5552, and 6306 of title 5, United States Code, and must be read 
together with those sections. Sections 5551 and 5552 provide for the 
payment of a lump-sum payment for accumulated and accrued annual leave 
when an employee:
    (1) Separates from Federal service; or
    (2) Enters on active duty in the armed forces and elects to receive 
a lump-sum payment for accumulated and accrued annual leave. Section 
6306 requires that when an employee is reemployed in the Federal service 
prior to the expiration of the lump-sum period, he or she must refund an 
amount equal to the pay covering the period between the date of 
reemployment and the expiration of the period of annual leave (i.e., the 
lump-sum leave period).
    (b) Applicability. This subpart applies to--
    (1) Any employee who separates, dies, or transfers under the 
conditions prescribed in Sec. 550.1203; and
    (2) Any employee or individual employed by a territory or possession 
of the United States who enters on active duty in the armed forces and 
who elects to receive a lump-sum payment for accumulated and accrued 
annual leave.
    (c) Administration. The head of an agency having employees subject 
to this subpart is responsible for the proper administration of this 
subpart.

Sec. 550.1202  Definitions.

    In this subpart--Accumulated and accrued annual leave means any 
annual leave accumulated and accrued, as these terms are defined in 
Sec. 630.201 of this chapter, plus any annual leave credited to an 
employee under 5 U.S.C. 6304(c) and Sec. 630.301(d) of this chapter and 
any annual leave restored under 5 U.S.C. 6304(d). Accumulated and 
accrued annual leave does not include annual leave received by a leave 
recipient under the voluntary leave transfer or leave bank programs 
established under subchapters III and IV of chapter 63 of title 5, 
United States Code, or annual leave advanced to an employee under 5 
U.S.C. 6302(d).
    Administrative workweek has the meaning given that term in 
Sec. 610.102 of this chapter.
    Agency means--(1) An executive agency and a military department as 
defined in sections 105 and 102 of title 5, United States Code, 
respectively; and
    (2) A legislative or judicial agency or a unit of the legislative or 
judicial branch of the Federal Government that has positions in the 
competitive service.
    Employee has the meaning given that term in 5 U.S.C. 2105.
    Lump-sum payment means a final payment to an employee for 
accumulated and accrued annual leave.
    Mixed tour of duty means a condition of employment for positions in 
which a fluctuating workload requires an employee to work full-time or 
part-time for a limited portion of the year and on an intermittent basis 
for the remainder of the year.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee before any 
deductions and exclusive of additional pay of any kind.
    Transfer means the movement of an employee to another position 
without a break in service of 1 workday or more.

Sec. 550.1203  Eligibility.

    (a) An agency must make a lump-sum payment for accumulated and 
accrued annual leave when an employee--(1) Separates or retires from the 
Federal service;
    (2) Dies; or
    (3) Transfers to a position that is not covered by subchapter I of 
chapter 63 of title 5, United States Code, and his or her accumulated 
and accrued annual leave cannot be transferred, except as provided in 
paragraphs (c), (d), and (e) of this section.
    (b) The Department of Defense (DOD) must make a lump-sum payment to 
an employee who has unused annual leave that was restored under 5 U.S.C.

[[Page 554]]

6304(d)(3) when he or she transfers from a DOD installation undergoing 
closure or realignment to a position in any other department or agency 
of the Federal Government or moves to a position within DOD not located 
at an installation undergoing closure or realignment.
    (c) An employee who enters on active duty in the armed forces may 
elect to receive a lump-sum payment for accumulated and accrued annual 
leave or may request to have the annual leave remain to his or her 
credit until return from active duty. However, an agency must make a 
lump-sum payment for any annual leave previously restored under 5 U.S.C. 
6304(d) when the employee enters active duty. The agency may not 
recredit the restored leave when the employee returns to Federal 
service.
    (d) An employee who transfers to a position in a public 
international organization under 5 U.S.C. 3582 may elect to retain 
accumulated and accrued annual leave to his or her credit at the time of 
transfer or receive a lump-sum payment for such annual leave under 5 
U.S.C. 3582(a)(4). However, the agency must make a lump-sum payment for 
any annual leave previously restored under 5 U.S.C. 6304(d) when the 
employee transfers to the public international organization. The agency 
may not recredit the leave under these circumstances.
    (e) An agency must make a lump-sum payment to an employee who 
transfers to a position excepted from subchapter I of chapter 63 of 
title 5, United States Code, by 5 U.S.C. 6301(2)(x)-(xiii) for any 
annual leave restored under 5 U.S.C. 6304(d) upon transfer to an 
excepted position. However, the agency may not make a lump-sum payment 
for any annual leave in the employee's regular leave account upon 
transfer to the excepted position. The agency must hold such annual 
leave in abeyance for recredit if the employee is subsequently 
reemployed without a break in service in a position to which his or her 
accumulated and accrued annual leave may be transferred. If the employee 
later becomes eligible for a lump-sum payment under the conditions 
specified in this section, the current employing agency must make a 
lump-sum payment for the annual leave held in abeyance. The agency must 
compute the lump-sum payment under Sec. 550.1205(b) based on the pay the 
employee was receiving immediately before the date of the transfer to 
the position excepted by 5 U.S.C. 6301(2)(x)-(xiii). An employee who 
elects to retain his or her leave benefits upon accepting a Presidential 
appointment, as permitted by 5 U.S.C. 3392(c), is not entitled to 
receive a lump-sum payment.
    (f) In the case of an employee who transfers to a position that is 
not covered by subchapter I of chapter 63 of title 5, United States 
Code, and to which only a portion of his or her accumulated and accrued 
annual leave may be transferred, the agency must make a lump-sum payment 
for any remaining annual leave that cannot be transferred. The agency 
must compute the lump-sum payment under Sec. 550.1205(b) based on the 
pay the employee was receiving immediately before the date of the 
transfer to the position not covered by subchapter I of chapter 63 of 
title 5, United States Code. This does not apply to an employee 
transferring to an excepted position covered by paragraph (e) of this 
section.
    (g) An agency must make a lump-sum payment for accumulated and 
accrued annual leave to an employee in a missing status (as defined in 5 
U.S.C. 5561(5)) on or after January 1, 1965, or the employee may elect 
to have such leave restored in a separate leave account under 5 U.S.C. 
6304(d)(2) upon his or her return to Federal service. The agency must 
compute the lump sum payment under Sec. 550.1205(b) based on the rate of 
pay in effect at the time the annual leave became subject to forfeiture 
under 5 U.S.C. 6304(a), (b), or (c).
    (h) An agency may not make a lump-sum payment for accumulated or 
accrued annual leave to--(1) An employee who transfers between positions 
covered by subchapter I of chapter 63 of title 5, United States Code;
    (2) An employee who transfers to a position not covered by 
subchapter I of chapter 63 of title 5, United States Code, but to which 
all of his or her accumulated and accrued annual leave may be 
transferred;

[[Page 555]]

    (3) An employee who transfers to the government of the District of 
Columbia or the U.S. Postal Service;
    (4) A nonappropriated fund employee of the Department of Defense or 
the Coast Guard who moves without a break in service of more than 3 days 
to an appropriated fund position within the Department of Defense or the 
Coast Guard, respectively, under 5 U.S.C. 6308(b); or
    (5) An employee who is concurrently employed in more than one part-
time position and who separates from one of the part-time positions. 
Instead, the former employing agency must transfer the employee's 
accumulated and accrued annual leave to the current agency (if the part-
time positions are in different agencies) or credit the employee's 
annual leave account in the current position (if the part-time positions 
are in the same agency).
    (6) An employee who elects to retain his or her leave benefits upon 
accepting a Presidential appointment, as permitted by 5 U.S.C. 3392(c).
    (i) An agency must establish a policy for determining when an 
employee in a continuing employment program with a mixed tour of duty 
will receive a lump-sum payment for annual leave. The agency may choose 
to pay an employee a lump-sum payment when he or she is assigned 
intermittent duty or hold the employee's annual leave in abeyance during 
intermittent duty and recredit it when the employee returns without a 
break in service to full-time or part-time employment. If the agency 
decides to hold the employee's annual leave in abeyance, it must also 
hold in abeyance the credit for any fractional pay period earned and 
recredit the annual leave on a pro rata basis, as provided in 
Sec. 630.204 of this chapter, when the employee returns to full-time or 
part-time employment. In developing its policy, each agency must 
consider the likelihood that the employee will return to work, as well 
as the agency's mission requirements and staffing needs. The agency's 
policy must ensure that employees are treated in a fair and equitable 
manner.

Sec. 550.1204  Projecting the lump-sum leave period.

    (a) A lump-sum payment must equal the pay an employee would have 
received had he or she remained in the Federal service until the 
expiration of the accumulated and accrued annual leave to the employee's 
credit. The agency must project the lump-sum period leave beginning on 
the first workday (counting any holiday) occurring after the date the 
employee becomes eligible for a lump-sum payment under Sec. 550.1203 and 
counting all subsequent workdays and holidays until the expiration of 
the period of annual leave. The period of leave used for calculating the 
lump-sum payment must not be extended by any holidays under 5 U.S.C. 
6103 (or applicable Executive or administrative order) which occur 
immediately after the date the employee becomes eligible for a lump-sum 
payment under Sec. 550.1203; annual leave donated to an employee under 
the leave transfer or leave bank programs under subparts I and J of part 
630 of this chapter; compensatory time off earned under 5 U.S.C. 5543 
and Sec. 550.114(d) or Sec. 551.531(d) of this chapter; or credit hours 
accumulated under an alternative work schedule established under 5 
U.S.C. 6126.
    (b) For employees whose annual leave was held in abeyance 
immediately prior to becoming eligible for a lump-sum payment, the 
agency must project the lump-sum payment beginning on the first workday 
occurring immediately after the date the employee becomes eligible for a 
lump-sum payment under Sec. 550.1203, consistent with paragraph (a) of 
this section.

Sec. 550.1205  Calculating a lump-sum payment.

    (a) An agency must compute a lump-sum payment based on the types of 
pay listed in paragraph (b) of this section, as in effect at the time 
the affected employee becomes eligible for a lump-sum payment under 
Sec. 550.1203 and any adjustments in pay included in paragraphs (b)(2), 
(3), and (4) of this section. The agency must calculate a lump-sum 
payment by multiplying the number of

[[Page 556]]

hours of accumulated and accrued annual leave by the applicable hourly 
rate of pay, including other applicable types of pay listed in paragraph 
(b) of this section, or by using a mathematically equivalent method, 
such as multiplying weeks of annual leave by the applicable weekly rate 
of pay. If the agency calculates a lump-sum payment using weekly rates, 
the number of weeks of annual leave must be rounded to the fourth 
decimal place (e.g., 0.4444). The agency must convert an annual rate of 
pay to an hourly rate of pay by dividing the annual rate of pay by 2,087 
(or 2,756 for firefighters, if applicable) and rounding it to the 
nearest cent, counting one-half cent and over as the next higher cent.
    (b) The agency must compute a lump-sum payment using the following 
types of pay and pay adjustments, as applicable:
    (1) The greatest of the following rates of pay:
    (i) An employee's rate of basic pay, including any applicable 
special salary rate established under 5 U.S.C. 5305 or similar provision 
of law or a special rate for law enforcement officers under section 403 
of the Federal Employees Pay Comparability Act of 1990 (FEPCA), Pub. L. 
101-509, 104 Stat. 1465, or a retained rate of pay under subpart B of 
part 536 of this chapter;
    (ii) A locality rate of pay under subpart F of part 531 of this 
chapter or similar provision or law, where applicable;
    (iii) A special law enforcement adjusted rate of pay under subpart C 
of part 531 of this chapter, where applicable, including a rate 
continued under Sec. 531.307 of this chapter; or
    (iv) A continued rate of pay under subpart G of part 531 of this 
chapter.
    (2) Any statutory adjustments in pay or any general system-wide 
increases in pay, such as adjustments under sections 5303, 5304, 5305, 
5318, 5362, 5363, 5372, 5372a, 5376, 5382, or 5392 of title 5, United 
States Code, that become effective during the lump-sum leave period. The 
agency must adjust the lump-sum payment to reflect the increased rate on 
and after the effective date of the pay adjustment.
    (3) In the case of a prevailing rate employee, the agency must 
include in the lump-sum payment the scheduled rate of pay under 5 U.S.C. 
5343, 5348, or 5349 and any applicable adjustments in rates that are 
determined under 5 U.S.C. 5343, 5348, or 5349 that become effective 
during the lump-sum leave period. The agency must adjust the lump-sum 
payment to reflect the increased prevailing rate on and after the 
effective date of the rate adjustment.
    (4) A within-grade increase under 5 U.S.C. 5335 or 5343(e)(2) if the 
employee has met the requirements of Sec. 531.404 or Sec. 532.417 of 
this chapter prior to the date the employee becomes eligible for a lump-
sum payment under Sec. 550.1203.
    (5) The following types of premium pay (to the extent such premium 
pay was actually payable to the employee):
    (i) Night differential under 5 U.S.C. 5343(f) for nonovertime hours 
at the percentage rate received by a prevailing rate employee for the 
last full workweek immediately prior to separation, death, or transfer;
    (ii) Premium pay under 5 U.S.C. 5545(c) or 5545a if the employee was 
receiving premium pay for the pay period immediately prior to the date 
the employee became eligible for a lump-sum payment under Sec. 550.1203. 
The agency must base the lump-sum payment on the percentage rate 
received by the employee for the pay period immediately prior to the 
date the employee became eligible for a lump-sum payment under 
Sec. 550.1203. In cases where the amount of premium pay actually payable 
in the final pay period was limited by a statutory cap, the agency must 
base the lump-sum payment on a reduced percentage rate that reflects the 
actual amount of premium pay the employee received in that pay period; 
and
    (iii) Overtime pay under 5 U.S.C. 5545b and Sec. 550.1304 of this 
chapter for overtime hours in an employee's uncommon tour of duty (as 
defined in Sec. 630.201 of this chapter), established in accordance with 
Sec. 630.210 of this chapter. The uncommon tour of duty must be 
applicable to the employee for the pay period immediately prior to the 
date the employee became eligible for a lump-sum payment under 
Sec. 550.1203. The agency must calculate overtime pay using the same 
methodology it

[[Page 557]]

used to calculate the employee's entitlement to overtime pay as provided 
in Sec. 550.1304 of this chapter in the pay period immediately prior to 
the date the employee became eligible for a lump-sum payment under 
Sec. 550.1203. An agency may not change an employee's work schedule for 
the sole purpose of avoiding or providing payment of premium pay under 
Sec. 550.1205(b)(5)(i)-(iv) in a lump-sum payment.
    (6) Overtime pay under the Fair Labor Standards Act of 1938, as 
amended (FLSA), for overtime work that is regularly scheduled during an 
employee's established uncommon tour of duty, as defined in 
Sec. 630.201(b)(1) of this chapter and established under Sec. 630.210(a) 
of this chapter, for which the employee receives standby duty pay under 
5 U.S.C. 5545(c)(1). The agency must include FLSA overtime pay in a 
lump-sum payment if an uncommon tour of duty was applicable to the 
employee for the pay period immediately prior to the date the employee 
became eligible for a lump-sum payment under Sec. 550.1203. The agency 
must calculate FLSA overtime pay using the same methodology it used to 
calculate the employee's entitlement to FLSA overtime pay for the pay 
period immediately prior to the date the employee became eligible for a 
lump-sum payment under Sec. 550.1203. An agency may not change an 
employee's work schedule for the sole purpose of avoiding or providing 
payment of FLSA overtime pay in a lump-sum payment.
    (7) A supervisory differential under 5 U.S.C. 5755 based on the 
percentage rate (or dollar amount) received by the employee for the pay 
period immediately prior to the date the employee became eligible for a 
lump-sum payment under Sec. 550.1203.
    (8) A cost-of-living allowance and/or post differential in a 
nonforeign area under 5 U.S.C. 5941 if the employee's official duty 
station is in the nonforeign area when he or she becomes eligible for a 
lump-sum payment under Sec. 550.1203.
    (9) A post allowance in a foreign area under 5 U.S.C. 5924(1) and 
the Standardized Regulations (Government Civilians, Foreign Areas) if 
the employee's official duty station is in the foreign area when he or 
she becomes eligible for a lump-sum payment under Sec. 550.1203.
    (c) The head of an agency must prescribe regulations or standards 
for the inclusion of any other kinds of pay authorized in statutes other 
than title 5, United States Code, in a lump-sum payment. Such 
regulations or standards must be consistent with 5 U.S.C. 5551, 5552, 
6306, and other applicable provisions of law.
    (d) A lump-sum payment may not include any other pay not 
specifically listed in paragraph (b) of this section, except as provided 
in paragraph (c) of this section.
    (e) An employee may not earn leave for the period covered by a lump-
sum payment.
    (f) A lump-sum payment is not subject to deductions for retirement 
under the Civil Service Retirement System or the Federal Employees' 
Retirement System established by chapters 83 and 84 of title 5, United 
States Code, respectively; health benefits under the Federal Employees 
Health Benefits program established by chapter 89 of title 5, United 
States Code; life insurance under the Federal Employees' Group Life 
Insurance program established by chapter 87 of title 5, United States 
Code; and savings under the Thrift Savings Plan established by 
subchapter III of chapter 84 of title 5, United States Code.
    (g) For a reemployed annuitant who becomes eligible for a lump-sum 
payment under Sec. 550.1203, the agency must compute the lump-sum 
payment using the annuitant's pay before any reductions required under 
Sec. 831.802 of this chapter.
    (h) A lump-sum payment is subject to garnishment under parts 581 and 
582 of this chapter and to administrative offset (for recovery of debts 
to the Federal Government) under 31 U.S.C. chapter 37.

Sec. 550.1206  Refunding a lump-sum payment.

    (a) When an employee who received a lump-sum payment for accumulated 
and accrued annual leave under 5 U.S.C. 5551 is reemployed in the 
Federal service prior to the end of the period covered by the lump-sum 
payment, the employee must refund to the

[[Page 558]]

employing agency an amount equal to the pay included in the lump-sum 
payment under Sec. 550.1205(b) that covers the period between the date 
of reemployment and the expiration of the lump-sum leave period, except 
as provided in paragraphs (b) and (c) of this section. The agency must 
compute the refund based on the pay used to compute the lump-sum payment 
under Sec. 550.1205(b). However, annual leave restored under 5 U.S.C. 
6304(d) that was included in a lump-sum payment is not subject to refund 
if an agency reemploys the employee prior to the expiration of the lump-
sum leave period. The agency must subtract such restored annual leave 
from the lump-sum leave period before calculating the refund. An agency 
may permit an employee to refund the lump-sum payment for annual leave 
in installments, but may not waive collection. If an agency permits the 
lump-sum refund to be paid in installments, the employee must refund the 
lump-sum payment in full within 1 year after the date of reemployment.
    (b) An employee who is reemployed in a position listed in 5 U.S.C. 
6301(2)(ii), (iii), (vi), or (vii) is not required to refund a lump-sum 
payment under paragraph (a) of this section.
    (c) An employee who is reemployed in a position that has no leave 
system to which annual leave can be recredited is not required to refund 
a lump-sum payment under paragraph (a) of this section, except that 
individuals reemployed as Presidential appointees must refund a lump-sum 
payment and the annual leave will be held in abeyance, as provided in 
Sec. 550.1207(e).
    (d) An individual first hired by the District of Columbia government 
on or after October 1, 1987, who received a lump-sum payment upon 
separation from the District of Columbia government and who is employed 
by the Federal Government prior to the expiration of the lump-sum leave 
period must refund the lump-sum payment, and the agency must recredit 
the annual leave under Sec. 550.1207.
    (e) An employee who retired from the Federal Government and received 
a lump-sum payment under Sec. 550.1203 of this chapter, and who is 
reemployed under a temporary appointment of less than 90 days prior to 
the expiration of the lump-sum leave period, is required to refund the 
lump-sum payment, and the agency must recredit the annual leave under 
Sec. 550.1207. The employee may use the recredited annual leave during 
the temporary appointment.

Sec. 550.1207  Recrediting annual leave.

    (a) When an employee pays a full refund to an agency under 
Sec. 550.1206(a), the agency must recredit to the employee an amount of 
annual leave equal to the days or hours of work (including holidays) 
remaining between the date of reemployment and the expiration of the 
lump-sum period. The recredited annual leave is available for use by the 
employee on and after the date the annual leave is recredited. The 
agency must recredit annual leave as follows:
    (1) When an employee is reemployed in the Federal service in a 
position covered by subchapter I of chapter 63 of title 5, United States 
Code, the employing agency must recredit an amount of annual leave equal 
to the days or hours of work (including holidays) remaining between the 
date of reemployment and the expiration of the lump-sum period.
    (2) When an employee is reemployed in the Federal service in a 
position that is not covered by subchapter I of chapter 63 of title 5, 
United States Code, but is covered by a different leave system, the 
employing agency must recredit to the employee an amount of annual leave 
representing the days or hours of work (including holidays) remaining 
between the date of reemployment and the expiration of the lump-sum 
period, as determined under Sec. 630.501(b) of this chapter. If the 
unexpired period of leave covers a larger amount of leave than can be 
recredited under the different leave system, the employee must refund 
only the amount that represents the leave that can be recredited.
    (3) When an employee is reemployed prior to the expiration of the 
lump-sum leave period, the agency may not recredit to the employee the 
annual leave restored under 5 U.S.C. 6304(d) that was included in a 
lump-sum payment. The agency must subtract such restored annual leave 
from the lump-sum leave period before it determines the amount of annual 
leave to recredit under paragraph (a)(1) of this section.

[[Page 559]]

    (b) Any annual leave the agency recredits to the employee under 
paragraph (a) of this section is subject at the beginning of the next 
leave year to the maximum annual leave limitation established by 5 
U.S.C. 6304(a), (b), (c), or (f), as appropriate, for the position in 
which the employee is reemployed, except as provided in paragraphs (c) 
and (d) of this section.
    (c) If the amount of annual leave to be recredited under paragraph 
(a) of this section is more than the maximum annual leave limitation for 
the position in which reemployed, and the employee's former maximum 
annual leave limitation was established under 5 U.S.C. 6304(a), (b), 
(c), or (f), as appropriate, the agency must establish the employee's 
new maximum annual leave limitation on the date of reemployment as a 
personal leave ceiling equal to the amount of annual leave to be 
recredited under paragraph (a) of this section. The new maximum annual 
leave limitation is subject to reduction in the same manner as provided 
in 5 U.S.C. 6304(c) until the employee's accumulated annual leave is 
equal to or less than the maximum annual leave limitation for the 
position in which reemployed.
    (d) If the amount of annual leave to be recredited under paragraph 
(a) of this section is more than the maximum annual leave limitation for 
the position in which the employee is reemployed, and the employee's 
former maximum annual leave limitation was established under an 
authority other than 5 U.S.C. 6304(a), (b), (c), or (f), as appropriate, 
the agency must establish the employee's new maximum annual leave 
limitation on the date of reemployment as a personal leave ceiling equal 
to the employee's former maximum annual leave limitation. The new 
maximum annual leave limitation is subject to reduction in the same 
manner as provided in 5 U.S.C. 6304(c) until the employee's accumulated 
annual leave is equal to or less than the maximum annual leave 
limitation for the position in which reemployed.
    (e) When an employee is reemployed in a position listed in 5 U.S.C. 
6301(2)(x)-(xiii), the agency must recredit and hold in abeyance the 
amount of annual leave that would have been recredited under paragraph 
(a) of this section. The agency must include unused annual leave in a 
lump-sum payment when the employee becomes eligible for a lump-sum 
payment under Sec. 550.1203. If the employee transfers from a position 
listed in 5 U.S.C. 6301(2)(x)-(xiii) to a position covered by subchapter 
I of chapter 63 of title 5, United States Code, or to a position under a 
different formal leave system to which his or her annual leave can be 
recredited, the employing agency must recredit the annual leave to the 
employee's credit as provided in paragraph (a) of this section.
    (f) An agency must document the calculation of an employee's lump-
sum payment as provided in Sec. 550.1205(b) so as to permit the 
subsequent calculation of any refund required under Sec. 550.1206(a) and 
any recredit of annual leave required under this section.

                       Subpart M--Firefighter Pay

    Authority: 5 U.S.C. 5545b, 5548, and 5553.

    Source: 63 FR 64593, Nov. 23, 1998, unless otherwise noted.

Sec. 550.1301  Purpose, applicability, and administration.

    (a) Purpose. This subpart provides regulations governing the pay of 
covered Federal firefighters. It implements sections 5542(f) and 5545b 
of title 5, United States Code, as added by section 628 of section 
101(h) of Pub. L. 105-277, and must be read together with those sections 
of law.
    (b) Applicability. This subpart applies to any firefighter as 
defined in Sec. 550.1302.
    (c) Administration. The head of an agency having employees subject 
to this subpart is responsible for the proper administration of this 
subpart.

Sec. 550.1302  Definitions.

    In this subpart:
    Annual rate of basic pay (except as otherwise provided in 
Secs. 550.1305 and 550.1308) means the annual rate fixed under the rate 
schedule applicable to the position held by the firefighter, including a 
locality rate schedule established under 5 U.S.C. 5304 or a special rate 
schedule established under 5

[[Page 560]]

U.S.C. 5305, before any deductions and exclusive of additional pay of 
any other kind.
    Basic 40-hour workweek means--
    (1) A standard 40-hour workweek consisting of five 8-hour workdays 
that is part of the firefighter's regular tour of duty; or
    (2) A designated block of hours within a firefighter's regular tour 
of duty that, on a fixed and recurring basis, consists of 40 hours of 
actual work during each administrative week (or 80 hours of actual work 
in each biweekly pay period), excluding sleep and standby duty hours, 
provided the regular tour of duty does not consist primarily of 24-hour 
shifts.
    Firefighter means an employee--
    (1) Whose regular tour of duty, as in effect throughout the year, 
averages at least 106 hours per biweekly pay period; and
    (2) Who is in a position--
    (i) Covered by the General Schedule and classified in the Fire 
Protection and Prevention Series, GS-0081, consistent with standards 
published by the Office of Personnel Management;
    (ii) In a demonstration project established under chapter 47 of 
title 5, United States Code, or an alternative personnel system under a 
similar authority, which otherwise would be covered by the General 
Schedule, and which is classified in the Fire Protection and Prevention 
Series, GS-0081, consistent with standards published by the Office of 
Personnel Management, but only if application of 5 U.S.C. 5545b has not 
been waived; or
    (iii) Covered by the General Schedule and classified in the GS-0099, 
General Student Trainee Series (as required by Sec. 213.3202(b) of this 
chapter), if the position otherwise would be classified in the GS-0081 
series.
    Firefighter hourly rate of basic pay means an hourly rate computed 
by dividing the applicable annual rate of basic pay by 2756 hours, as 
described in Sec. 550.1303.
    Irregular hours means hours of work that are outside a firefighter's 
regular tour of duty.
    Overtime hours means hours of work in excess of 106 hours in a 
biweekly pay period, or, if the agency establishes a weekly basis for 
overtime pay computations, hours of work in excess of 53 hours in an 
administrative workweek.
    Overtime pay means pay for overtime hours.
    Regular tour of duty means a firefighter's official work schedule, 
as established by the employing agency on a regular and recurring basis 
(or on a temporary basis in cases where a temporary change in schedules 
results in a reduction in regular work hours or a change in the pay 
computation method used under Sec. 550.1303). The tour of duty may 
consist of a fixed number of hours each week or a fixed recurring cycle 
of work schedules in which the number of hours per week varies in a 
repeating pattern. The regular tour of duty includes only those overtime 
hours that are part of the fixed recurring work schedule. However, 
irregular hours are deemed to be included in a firefighter's regular 
tour of duty if those hours are substituted for hours in the regular 
tour of duty for which leave without pay is taken, as provided in 
Sec. 550.1303(d).

[63 FR 64593, Nov. 23, 1998, as amended at 67 FR 15466, Apr. 2, 2002]

Sec. 550.1303  Hourly rates of basic pay.

    (a) For firefighters with a regular tour of duty that does not 
include a basic 40-hour workweek (e.g., firefighters whose schedules 
generally consist of 24-hour shifts with a significant amount of 
designated standby and sleep time), the hourly rate of basic pay is 
computed by dividing the applicable annual rate of basic pay by 2756 
hours. The resulting firefighter hourly rate of basic pay is multiplied 
by all nonovertime hours to determine the pay for those hours.
    (b) For firefighters with a regular tour of duty that includes a 
basic 40-hour workweek, the hourly rate of basic pay is computed by 
dividing the applicable annual rate of basic pay by--
    (1) 2087 hours, for hours within the basic 40-hour workweek (or 80-
hour biweekly pay period); and
    (2) 2756 hours, for any additional nonovertime hours.
    (c) A firefighter's daily, weekly, or biweekly rate of basic pay 
must be computed using the applicable rates, as

[[Page 561]]

derived under paragraphs (a) and (b) of this section.
    (d) If a firefighter takes leave without pay during his or her 
regular tour of duty, the agency shall substitute any irregular hours 
worked in the same biweekly pay period for those hours of leave without 
pay. (If a firefighter's overtime pay is computed on a weekly basis, the 
irregular hours must be worked in the same administrative workweek.) For 
firefighters whose regular tour of duty includes a basic 40-hour 
workweek, the agency shall first substitute irregular hours for hours of 
leave without pay in the basic 40-hour workweek, which are paid at an 
hourly rate based on the 2087 divisor. All other substituted hours are 
paid at an hourly rate based on the 2756 divisor, using the applicable 
overtime rate for overtime hours. The annual rate used to compute any 
such hourly rate is the annual rate in effect at the time the hour was 
actually worked.

[63 FR 64593, Nov. 23, 1998, as amended at 67 FR 15467, Apr. 2, 2002]

Sec. 550.1304  Overtime hourly rates of pay.

    (a) For a firefighter who is covered by (i.e., nonexempt from) the 
overtime provisions of the Fair Labor Standards Act (FLSA), the overtime 
hourly rate of pay equals 1\1/2\ times the firefighter hourly rate of 
basic pay for that firefighter, as established under Sec. 550.1303(a) 
and (b)(2).
    (b) For a firefighter who is exempt from the FLSA, the overtime 
hourly rate is computed as provided in Sec. 550.113(e).
    (c) For any firefighter, overtime pay for any pay period is derived 
by multiplying the applicable overtime hourly rate by all overtime hours 
within that period.

Sec. 550.1305  Treatment as basic pay.

    (a) The sum of pay for nonovertime hours that are part of a 
firefighter's regular tour of duty (as computed under Sec. 550.1303) and 
the straight-time portion of overtime pay for hours in a firefighter's 
regular tour of duty is treated as basic pay only for the following 
purposes:
    (1) Retirement deductions and benefits under chapters 83 and 84 of 
title 5, United States Code;
    (2) Life insurance premiums and benefits under chapter 87 of title 
5, United States Code;
    (3) Severance pay under section 5595 of title 5, United States Code;
    (4) Cost-of-living allowances and post differentials under section 
5941 of title 5, United States Code; and
    (5) Advances in pay under section 5524a of title 5, United States 
Code.
    (b) The straight-time portion of overtime pay for hours in a 
firefighter's regular tour of duty is derived by multiplying the 
applicable firefighter hourly rate of basic pay computed under 
Sec. 550.1303(a) and (b)(2) by the number of overtime hours in the 
firefighter's regular tour of duty.
    (c) Pay for any nonovertime hours outside a firefighter's regular 
tour of duty is computed using the firefighter hourly rate of basic pay 
as provided in Sec. 550.1303(a) and (b)(2), but that pay is not 
considered basic pay for any purpose, except in applying Secs. 550.105 
and 550.106.
    (d) For firefighters compensated under Sec. 550.1303(b), pay for 
nonovertime hours within the regular tour of duty, but outside the basic 
40-hour workweek, is basic pay only for the purposes listed in paragraph 
(a) of this section and for the purpose of applying Sec. 410.402(b)(6) 
of this chapter and Secs. 550.105 and 550.106.
    (e) Locality pay under 5 U.S.C. 5304 is basic pay for firefighters 
only to the extent provided in this subpart, Sec. 531.606(b) of this 
chapter, or other specific provision of law.

[63 FR 64593, Nov. 23, 1998, as amended at 67 FR 15467, Apr. 2, 2002]

Sec. 550.1306  Relationship to other entitlements.

    (a) A firefighter who is compensated under this subpart is entitled 
to overtime pay as provided under this subpart, but may not receive 
additional premium pay under any other provision of subchapter V of 
chapter 55 of title 5, United States Code, including night pay, Sunday 
pay, holiday pay, and hazardous duty pay. A firefighter is not entitled 
to receive paid holiday

[[Page 562]]

time off when not working on a holiday, but may be allowed to use annual 
or sick leave, as appropriate, or may be granted excused absence at the 
agency's discretion.
    (b) A firefighter who is subject to section 7(k) of the Fair Labor 
Standards Act (FLSA) and who is subject to this subpart is deemed to be 
appropriately compensated under section 7(k) of the FLSA if the 
requirements of Sec. 550.1304(a) are satisfied.
    (c) In computing a lump-sum payment for accumulated annual leave 
under 5 U.S.C. 5551 and 5552 for firefighters with an uncommon tour of 
duty established under Sec. 630.210 of this chapter for leave purposes, 
an agency must use the rates of pay for the position held by the 
firefighter that apply to hours in that uncommon tour of duty, including 
regular overtime pay for such hours.
    (d) A firefighter compensated under this subpart shall receive basic 
pay and overtime pay for his or her regular tour of duty in any week in 
which attendance at agency-sanctioned training reduces the hours in the 
firefighter's regular tour of duty, as provided in Sec. 410.402(b)(6) of 
this chapter.
    (e) In applying the compensatory time off provision in 
Sec. 550.114(c), compare the firefighter's annual rate of basic pay to 
the annual rate of basic pay for GS-10, step 10.

[63 FR 64593, Nov. 23, 1998, as amended at 67 FR 15467, Apr. 2, 2002]

Sec. 550.1307  Authority to regularize paychecks.

    Upon a written request from the head of an agency (or designee), the 
Office of Personnel Management may approve an agency's plan to reduce or 
eliminate variation in the amount of firefighters' biweekly paychecks 
caused by work scheduling cycles that result in varying hours in the 
firefighters' tours of duty from pay period to pay period. Such a plan 
must provide that the total pay any firefighter would otherwise receive 
for regular tours of duty over the firefighter's entire work scheduling 
cycle must, to the extent practicable, remain the same.



PART 551--PAY ADMINISTRATION UNDER THE FAIR LABOR STANDARDS ACT--Table of Contents




                      Subpart A--General Provisions

Sec.
551.101 General.
551.102 Authority and administration.
551.103 Coverage.
551.104 Definitions.

                  Subpart B--Exemptions and Exclusions

551.201 Agency authority.
551.202 General principles governing exemptions.
551.203 Exemption of General Schedule employees.
551.204 Exemption of Federal Wage System employees.
551.205 Executive exemption criteria.
551.206 Administrative exemption criteria.
551.207 Professional exemption criteria.
551.208 Effect of performing temporary work or duties on FLSA exemption 
          status.
551.209 Foreign exemption criteria.
551.210 Exemption of employees receiving availability pay.
551.211 Statutory exclusion.

                   Subpart C--Minimum Wage Provisions

                             Basic Provision

551.301 Minimum wage.

                             Subminimum Wage

551.311 Subminimum wage.

                        Subpart D--Hours of Work

                           General Provisions

551.401 Basic principles.
551.402 Agency responsibility.

         Application of Principles in Relation to Normal Workday

551.411 Workday.
551.412 Preparatory or concluding activities.

        Application of Principles in Relation to Other Activities

551.421 Regular working hours.
551.422 Time spent traveling.
551.423 Time spent in training or attending a lecture, meeting, or 
          conference.
551.424 Time spent adjusting grievances or performing representational 
          functions.
551.425 Time spent receiving medical attention.
551.426 Time spent in charitable activities.

[[Page 563]]

                           Special Situations

551.431 Time spent on standby duty or in an on-call status.
551.432 Sleep time.

                   Subpart E--Overtime Pay Provisions

                            Basic Provisions

551.501 Overtime pay.

                        Overtime Pay Computations

551.511 Hourly regular rate of pay.
551.512 Overtime pay entitlement.
551.513 Entitlement to other forms of pay.
551.514 Nondiscretionary bonuses.

                        Fractional Hours of Work

551.521 Fractional hours of work.

                          Compensatory Time Off

551.531 Compensatory time off.

                     Special Overtime Pay Provisions

551.541 Employees engaged in fire protection activities or law 
          enforcement activities.

                         Subpart F--Child Labor

551.601 Minimum age standards.
551.602 Responsibilities.

                  Subpart G--FLSA Claims and Compliance

551.701 Applicability.
551.702 Time limits.
551.703 Avenues of review.
551.704 Claimant's representative.
551.705 Filing an FLSA claim.
551.706 Responsibilities.
551.707 Withdrawal or cancellation of an FLSA claim.
551.708 Finality and effect of OPM FLSA claim decision.
551.709 Availability of information.
551.710 Where to file an FLSA claim with OPM.

    Authority: 5 U.S.C. 5542(c); Sec. 4(f) of the Fair Labor Standards 
Act of 1938, as amended by Pub. L. 93-259, 88 Stat. 55 (29 U.S.C. 204f).



                      Subpart A--General Provisions

    Source: 62 FR 67244, Dec. 23, 1997, unless otherwise noted.



Sec. 551.101  General.

    (a) The Fair Labor Standards Act of 1938, as amended (referred to as 
``the Act'' or ``FLSA''), provides for minimum standards for both wages 
and overtime entitlement, and delineates administrative procedures by 
which covered worktime must be compensated. Included in the Act are 
provisions related to child labor, equal pay, and portal-to-portal 
activities. In addition, the Act exempts specified employees or groups 
of employees from the application of certain of its provisions. It 
prescribes penalties for the commission of specifically prohibited acts.
    (b) This part contains the regulations, criteria, and conditions 
that the Office of Personnel Management has prescribed for the 
administration of the Act. This part supplements and implements the Act, 
and must be read in conjunction with it.



Sec. 551.102  Authority and administration.

    (a) Office of Personnel Management. Section 3(e)(2) of the Act 
authorizes the application of the provisions of the Act to any person 
employed by the Government of the United States, as specified in that 
section. Section 4(f) of the Act authorizes the Office of Personnel 
Management (OPM) to administer the provisions of the Act. OPM is the 
administrator of the provisions of the Act with respect to any person 
employed by an agency, except as specified in paragraphs (b), (c), and 
(d) of this section.
    (b) The Equal Employment Opportunity Commission administers the 
equal pay provisions contained in section 6(d) of the Act.
    (c) The Department of Labor administers the Act for the following 
United States Government entities:
    (1) The Library of Congress;
    (2) The United States Postal Service;
    (3) The Postal Rate Commission; and
    (4) The Tennessee Valley Authority.
    (d) Office of Compliance. The Congressional Accountability Act of 
1995, as amended, sections 1301 et seq. of title 2, United States Code, 
extends rights and protections of the FLSA to employees of the following 
United States Government entities, and assigns certain administrative 
responsibilities to the Office of Compliance:
    (1) The United States House of Representatives;
    (2) The United States Senate;:
    (3) The Capitol Guide Service;

[[Page 564]]

    (4) The Capitol Police;
    (5) The Congressional Budget Office;
    (6) The Office of the Architect of the Capitol;
    (7) The Office of the Attending Physician; and
    (8) The Office of Compliance.



Sec. 551.103  Coverage.

    (a) Covered. Any employee of an agency who is not specifically 
excluded by another statute is covered by the Act. This includes any 
person who is--
    (1) Defined as an employee in section 2105 of title 5, United States 
Code;
    (2) A civilian employee appointed under other appropriate authority; 
or
    (3) Suffered or permitted to work by an agency whether or not 
formally appointed.
    (b) Not covered. The following persons are not covered under the 
Act:
    (1) A person appointed under appropriate authority without 
compensation;
    (2) A trainee;
    (3) A volunteer; or
    (4) A member of the Uniformed Services.



Sec. 551.104  Definitions.

    In this part--
    Act or FLSA means the Fair Labor Standards Act of 1938, as amended 
(29 U.S.C. 201 et seq.).
    Administrative employee means an employee who meets the criteria in 
Sec. 551.206.
    Agency, for purposes of OPM's administration of the Act, means any 
instrumentality of the United States Government, or any constituent 
element thereof acting directly or indirectly as an employer, as this 
term is defined in section 3(d) of the Act and in this section, but does 
not include the entities of the United States Government listed in 
Sec. 551.102(c) for which the Department of Labor administers the Act or 
Sec. 551.102(d)(1) through (8), whose employees are covered by the 
Congressional Accountability Act of 1995, as amended, which makes 
applicable the rights and protections of the FLSA and assigns certain 
administrative responsibilities to the Office of Compliance.
    Claim means a written allegation from a current or former employee 
concerning his or her FLSA exemption status determination or entitlement 
to minimum wage or overtime pay for work performed under the Act. The 
term ``claim'' is used generically in subpart G of this part to include 
complaints under the child labor provisions of the Act.
    Claim period means the time during which the cause or basis of the 
claim occurred.
    Claimant means a current or former employee who files an FLSA claim.
    Customarily and regularly means a frequency which must be greater 
than occasional but which may be less than constant. For example, the 
requirement in Sec. 551.205(a)(2) will be met by an employee who 
normally and recurrently exercises discretion and independent judgment 
in the day-to-day performance of duties.
    Discretion and independent judgment means work that involves 
comparing and evaluating possible courses of conduct, interpreting 
results or implications, and independently taking action or making a 
decision after considering the various possibilities. However, firm 
commitments or final decisions are not necessary to support exemption. 
The ``decisions'' made as a result of the exercise of independent 
judgment may consist of recommendations for action rather than the 
actual taking of action. The fact that an employee's decisions are 
subject to review, and that on occasion the decisions are revised or 
reversed after review, does not mean that the employee is not exercising 
discretion and independent judgment of the level required for exemption. 
Work reflective of discretion and independent judgment must meet the 
three following criteria:
    (1) The work must be sufficiently complex and varied so as to 
customarily and regularly require discretion and independent judgment in 
determining the approaches and techniques to be used, and in evaluating 
results. This precludes exempting an employee who performs work 
primarily requiring skill in applying standardized techniques or 
knowledge of established procedures, precedents, or other guidelines 
which specifically govern the employee's action.
    (2) The employee must have the authority to make such determinations

[[Page 565]]

during the course of assignments. This precludes exempting trainees who 
are in a line of work which requires discretion but who have not been 
given authority to decide discretionary matters independently.
    (3) The decisions made independently must be significant. The term 
``significant'' is not so restrictive as to include only the kinds of 
decisions made by employees who formulate policies or exercise broad 
commitment authority. However, the term does not extend to the kinds of 
decisions that affect only the procedural details of the employee's own 
work, or to such matters as deciding whether a situation does or does 
not conform to clearly applicable criteria.
    Emergency means a temporary condition that poses a direct threat to 
human life or safety, serious damage to property, or serious disruption 
to the operations of an activity, as determined by the employing agency.
    Employ means to engage a person in an activity that is for the 
benefit of an agency, and includes any hours of work that are suffered 
or permitted.
    Employee means a person who is employed--
    (1) As a civilian in an executive agency as defined in section 105 
of title 5, United States Code;
    (2) As a civilian in a military department as defined in section 102 
of title 5, United States Code;
    (3) In a nonappropriated fund instrumentality of an executive agency 
or a military department;
    (4) In a unit of the judicial branch of the Government that has 
positions in the competitive service; or
    (5) The Government Printing Office.
    Employer, as defined in section 3(d) of the Act, means any person 
acting directly or indirectly in the interest of an employer in relation 
to an employee and includes a public agency, but does not include any 
labor organization (other than when acting as an employer) or anyone 
acting in the capacity of officer or agent of such labor organization.
    Essential part of administrative or professional functions means 
work that is included as an integral part of administrative or 
professional exempt work. This work is identified by examining the 
processes involved in performing the exempt function. For example, the 
processes involved in evaluating a body of information include 
collecting and organizing information; analyzing, evaluating, and 
developing conclusions; and frequently, preparing a record of findings 
and conclusions. Often collecting or compiling information and preparing 
reports or other records, if divorced from the evaluative function, are 
nonexempt tasks. When an employee who performs the evaluative functions 
also performs some or all of these related steps, all such work (for 
example, collecting background information, recording test results, 
tabulating data, or typing reports) is included in the employee's exempt 
duties.
    Executive employee means an employee who meets the criteria in 
Sec. 551.205.
    Exempt area means any foreign country, or any territory under the 
jurisdiction of the United States other than the following locations:
    (1) A State of the United States;
    (2) The District of Columbia;
    (3) Puerto Rico;
    (4) The U.S. Virgin Islands;
    (5) Outer Continental Shelf Lands as defined in the Outer 
Continental Shelf Lands Act (67 Stat. 462);
    (6) American Samoa;
    (7) Guam;
    (8) Midway Atoll;
    (9) Wake Island;
    (10) Johnston Island; and
    (11) Palmyra.
    FLSA exempt means not covered by the minimum wage and overtime 
provisions of the Act.
    FLSA exemption status means an employee's designation by the 
employing agency as either FLSA exempt or FLSA nonexempt from the 
minimum wage and overtime provisions of the Act.
    FLSA exemption status determination claim means a claim from a 
current or former employee challenging the correctness of his or her 
FLSA exemption status determination.
    FLSA nonexempt means covered by the minimum wage and overtime 
provisions of the Act.

[[Page 566]]

    FLSA overtime pay, for the purpose of Sec. 551.208, means overtime 
pay under this part.
    FLSA pay claim means a claim from a current or former employee 
concerning his or her entitlement to minimum wage or overtime pay for 
work performed under the Act.
    Foreign exemption means a provision of the Act under which the 
minimum wage, overtime, and child labor provisions of the Act do not 
apply to any employee who spends all hours of work in a given workweek 
in an exempt area.
    Formulation or execution of management programs or policies means 
work that involves management programs and policies which range from 
broad national goals expressed in statutes or Executive orders to 
specific objectives of a small field office. Employees make policy 
decisions or participate indirectly, through developing or recommending 
proposals that are acted on by others. Employees significantly affect 
the execution of management programs or policies typically when the work 
involves obtaining compliance with such policies by other individuals or 
organizations, within or outside of the Federal Government, or making 
significant determinations furthering the operation of programs and 
accomplishment of program objectives. Administrative employees engaged 
in such work typically perform one or more phases of program management 
(that is, planning, developing, promoting, coordinating, controlling, or 
evaluating operating programs of the employing organization or of other 
organizations subject to regulation or other controls).
    Hours of work means all time spent by an employee performing an 
activity for the benefit of an agency and under the control or direction 
of the agency. Hours of work are creditable for the purposes of 
determining overtime pay under subpart D of this subpart. Section 
551.401 of subpart D further explains this term. However, whether time 
is credited as hours of work is determined by considering many factors, 
such as the rules in subparts D and E of this subpart, provisions of 
law, Comptroller General decisions, OPM policy guidance, agency policy 
and regulations, negotiated agreements, the rules in part 550 of this 
chapter (for hours of work for travel), and the rules in part 410 of 
this chapter (for hours of work for training).
    Management or general business function or supporting service, as 
distinguished from production functions, means the work of employees who 
provide support to line managers.
    (1) These employees furnish such support by--
    (i) Providing expert advice in specialized subject matter fields, 
such as that provided by management consultants or systems analysts;
    (ii) Assuming facets of the overall management function, such as 
safety management, personnel management, or budgeting and financial 
management;
    (iii) Representing management in such business functions as 
negotiating and administering contracts, determining acceptability of 
goods or services, or authorizing payments; or
    (iv) Providing supporting services, such as automated data 
processing, communications, or procurement and distribution of supplies.
    (2) Neither the organizational location nor the number of employees 
performing identical or similar work changes management or general 
business functions or supporting services into production functions. The 
work, however, must involve substantial discretion on matters of enough 
importance that the employee's actions and decisions have a noticeable 
impact on the effectiveness of the organization advised, represented, or 
serviced.
    Nonexempt area means any of the following locations:
    (1) A State of the United States;
    (2) The District of Columbia;
    (3) Puerto Rico;
    (4) The U.S. Virgin Islands;
    (5) Outer Continental Shelf Lands as defined in the Outer 
Continental Shelf Lands Act (67 Stat. 462);
    (6) American Samoa;
    (7) Guam;
    (8) Midway Atoll;
    (9) Wake Island;
    (10) Johnston Island; and
    (11) Palmyra.

[[Page 567]]

    Participation in the executive or administrative functions of a 
management official means the participation of employees, variously 
identified as secretaries, administrative or executive assistants, 
aides, etc., in portions of the managerial or administrative functions 
of a supervisor whose scope of responsibility precludes personally 
attending to all aspects of the work. To support exemption, such 
employees must be delegated and exercise substantial authority to act 
for the supervisor in the absence of specific instructions or 
procedures, and take actions which significantly affect the supervisor's 
effectiveness.
    Perform work in connection with an emergency means to perform work 
that is directly related to resolving or coping with an emergency, or 
its immediate aftermath, as determined by the employing agency.
    Preserve the claim period means to establish the period of possible 
entitlement to back pay by filing a written claim with either the agency 
employing the claimant during the claim period or with OPM. The date the 
agency or OPM receives the claim is the date that determines the period 
of possible entitlement to back pay.
    Primary duty typically means the duty that constitutes the major 
part (over 50 percent) of an employee's work. A duty constituting less 
than 50 percent of the work may be credited as the primary duty for 
exemption purposes provided that duty--
    (1) Constitutes a substantial, regular part of a position;
    (2) Governs the classification and qualification requirements of the 
position; and
    (3) Is clearly exempt work in terms of the basic nature of the work, 
the frequency with which the employee must exercise discretion and 
independent judgment, and the significance of the decisions made.
    Professional employee means an employee who meets the criteria in 
Sec. 551.207.
    Reckless disregard of the requirements of the Act means failure to 
make adequate inquiry into whether conduct is in compliance with the 
Act.
    Recognized organizational unit means an established and defined 
organizational entity which has regularly assigned employees and for 
which a supervisor is responsible for planning and accomplishing a 
continuing workload. This distinguishes supervisors from leaders who 
head temporary groups formed to perform assignments of limited duration.
    Situations 1 through 4 means the four basic situations described 
under Factor I, Nature of Supervisory Responsibility, in the Federal 
Wage System Job Grading Standard for Supervisors. The situations depict 
successively higher levels of supervisory responsibility and authority 
for scheduling work operations, planning use of resources to accomplish 
work, directing subordinates in performing work assignments, and 
carrying out administrative duties.
    Statute of limitations means the time frame within which an FLSA pay 
claim must be filed, starting from the date the right accrued. All FLSA 
pay claims filed on or after June 30, 1994, are subject to a 2-year 
statute of limitations, except in cases of willful violation where the 
statute of limitations is 3 years.
    Suffered or permitted work means any work performed by an employee 
for the benefit of an agency, whether requested or not, provided the 
employee's supervisor knows or has reason to believe that the work is 
being performed and has an opportunity to prevent the work from being 
performed.
    Supervisory and closely related work means work that is included in 
the calculation of exempt work for supervisory positions.
    (1) Work is considered closely related to exempt supervisory work if 
it contributes to the effective supervision of subordinate workers, or 
the smooth functioning of the unit supervised, or both. Examples of 
closely related work include the following:
    (i) Maintaining various records pertaining to workload or employee 
performance;
    (ii) Performing setup work that requires special skills, typically 
is not performed by production employees in the occupation, and does not 
approach the volume that would justify hiring a specially trained 
employee to perform; and

[[Page 568]]

    (iii) Performing infrequently recurring or one-time tasks which are 
impractical to delegate because they would disrupt normal operations or 
take longer to explain than to perform.
    (2) Activities in which both workers and supervisors are required to 
engage themselves are considered to be closely related to the primary 
duty of the position, for example, physical training during tours of 
duty for firefighting and law enforcement personnel.
    Temporary work or duties means work or duties an employee must 
temporarily perform that are not consistent with the primary or grade-
controlling duty of the employee's official position description. The 
period of temporary work or duties may or may not involve a different 
geographic duty location.
    Title 5 overtime pay, for the purpose of Sec. 551.208, means 
overtime pay under part 550 of this chapter.
    Trainee means a person who does not meet the definition of employee 
in this section and who is assigned or attached to a Federal activity 
primarily for training. A person who attends a training program under 
the following conditions is considered a trainee and, therefore, is not 
an employee of the Government of the United States for purposes of the 
Act:
    (1) The training, even though it includes actual operation of the 
facilities of the Federal activity, is similar to that given in a 
vocational school or other institution of learning;
    (2) The training is for the benefit of the individual;
    (3) The trainee does not displace regular employees, but, rather, is 
supervised by them;
    (4) The Federal activity which provides the training derives no 
immediate advantage from the activities of the trainee; on occasion its 
operations may actually be impeded;
    (5) The trainee is not necessarily entitled to a job with the 
Federal activity at the completion of the training period; and
    (6) The agency and the trainee understand that the trainee is not 
entitled to the payment of wages from the agency for the time spent in 
training.
    Volunteer means a person who does not meet the definition of 
employee in this section and who volunteers or donates his or her 
service, the primary benefit of which accrues to the performer of the 
service or to someone other than the agency. Under such circumstances 
there is neither an expressed nor an implied compensation agreement. 
Services performed by such a volunteer include personal services that, 
if left unperformed, would not necessitate the assignment of an employee 
to perform them.
    Willful violation means a violation in circumstances where the 
agency knew that its conduct was prohibited by the Act or showed 
reckless disregard of the requirements of the Act. All of the facts and 
circumstances surrounding the violation are taken into account in 
determining whether a violation was willful.
    Work of an intellectual nature means work requiring general 
intellectual abilities, such as perceptiveness, analytical reasoning, 
perspective, and judgment applied to a variety of subject matter fields, 
or work requiring mental processes which involve substantial judgment 
based on considering, selecting, adapting, and applying principles to 
numerous variables. The employee cannot rely on standardized application 
of established procedures or precedents, but must recognize and evaluate 
the effect of a continual variety of conditions or requirements in 
selecting, adapting, or innovating techniques and procedures, 
interpreting findings, and selecting and recommending the best 
alternative from among a broad range of possible actions.
    Work of a specialized or technical nature means work which requires 
substantial specialized knowledge of a complex subject matter and of the 
principles, techniques, practices, and procedures associated with that 
subject matter field. This knowledge characteristically is acquired 
through considerable on-the-job training and experience in the 
specialized subject matter field, as distinguished from professional 
knowledge characteristically acquired through specialized academic 
education.
    Workday means the period between the commencement of the principal 
activities that an employee is engaged to

[[Page 569]]

perform on a given day and the cessation of the principal activities for 
that day. The term is further explained in Sec. 551.411.
    Worktime, for the purpose of determining FLSA exemption status, 
means time spent actually performing work. This excludes periods of time 
during which an employee performs no work, such as standby time, sleep 
time, meal periods, and paid leave.
    Worktime in a representative workweek means the average percentages 
of worktime over a period long enough to even out normal fluctuations in 
workloads and be representative of the job as a whole.
    Workweek means a fixed and recurring period of 168 hours--seven 
consecutive 24-hour periods. It need not coincide with the calendar week 
but may begin on any day and at any hour of a day. For employees subject 
to part 610 of this chapter, the workweek shall be the same as the 
administrative workweek defined in Sec. 610.102 of this chapter.
    Workweek basis means the unit of time used as the basis for applying 
overtime standards under the Act and, for employees under flexible or 
compressed work schedules, under 5 U.S.C. 6121(6) or (7). The Act takes 
a single workweek as its standard and does not permit averaging of hours 
over two or more weeks, except for employees engaged in fire protection 
or law enforcement activities under section 7(k) of the Act.

[62 FR 67244, Dec. 23, 1997; 63 FR 2304, Jan. 14, 1998]



                  Subpart B--Exemptions and Exclusions

    Source: 62 FR 67247, Dec. 23, 1997, unless otherwise noted.



Sec. 551.201  Agency authority.

    The employing agency may designate an employee FLSA exempt only when 
the agency correctly determines that the employee meets one or more of 
the exemption criteria of this subpart and such supplemental 
interpretations or instructions issued by OPM.



Sec. 551.202  General principles governing exemptions.

    In all exemption determinations, the agency must observe the 
following principles:
    (a) Each employee is presumed to be FLSA nonexempt unless the 
employing agency correctly determines that the employee clearly meets 
one or more of the exemption criteria of this subpart and such 
supplemental interpretations or instructions issued by OPM.
    (b) Exemption criteria must be narrowly construed to apply only to 
those employees who are clearly within the terms and spirit of the 
exemption.
    (c) The burden of proof rests with the agency that asserts the 
exemption.
    (d) An employee who clearly meets the criteria for exemption must be 
designated FLSA exempt. If there is a reasonable doubt as to whether an 
employee meets the criteria for exemption, the employee should be 
designated FLSA nonexempt.
    (e) There are groups of General Schedule employees who are FLSA 
nonexempt because they do not fit any of the exemption categories. These 
groups include the following:
    (1) Nonsupervisory General Schedule employees in equipment operating 
and protective occupations, and most clerical occupations (see the 
definition of participation in the executive or administrative functions 
of a management official in subpart A of this part);
    (2) Nonsupervisory General Schedule employees performing technician 
work in positions properly classified below GS-9 (or the equivalent 
level in other comparable white-collar pay systems) and many, but not 
all, of those positions properly classified at GS-9 or above (or the 
equivalent level in other comparable white-collar pay systems); and
    (3) Nonsupervisory General Schedule employees at any grade level in 
occupations requiring highly specialized technical skills and knowledges 
that can be acquired only through prolonged job training and experience, 
such as the Air Traffic Control series, GS-2152, or the Aircraft 
Operations series, GS-2181, unless such employees are performing 
predominantly administrative functions rather than the technical work of 
the occupation.

[[Page 570]]

    (f) Although separate criteria are provided for the exemption of 
executive, administrative, and professional employees, those categories 
are not mutually exclusive. All exempt work, regardless of category, 
must be considered. The only restriction is that, when the requirements 
of one category are more stringent, the combination of exempt work must 
meet the more stringent requirements.
    (g) Failure to meet the criteria for exemption under what might 
appear to be the most appropriate criteria does not preclude exemption 
under another category. For example, an engineering technician who fails 
to meet the professional exemption criteria may be performing exempt 
administrative work, or an administrative officer who fails to meet the 
administrative criteria may be performing exempt executive work.
    (h) Although it is normally feasible and more convenient to identify 
the exemption category, this is not essential. An exemption may be based 
on a combination of functions, no one of which constitutes the primary 
duty, or the employee's primary duty may involve two categories which 
are intermingled and difficult to segregate. This does not preclude 
designating an employee FLSA exempt, provided the work as a whole 
clearly meets the other exemption criteria.
    (i) The designation of an employee as FLSA exempt or nonexempt 
ultimately rests on the duties actually performed by the employee.



Sec. 551.203  Exemption of General Schedule employees.

    (a) GS-4 or below. Any employee in a position properly classified at 
GS-4 or below (or the equivalent level in other comparable white-collar 
pay systems) is nonexempt, unless the employee is subject to the foreign 
exemption in Sec. 551.209.
    (b) GS-5 or above. Any employee in a position properly classified at 
GS-5 or above (or the equivalent level in other comparable white-collar 
pay systems) is exempt only if the employee is an executive, 
administrative, or professional employee as defined in this subpart, 
unless the employee is subject to Sec. 551.208 (the effect of performing 
temporary work or duties on FLSA exemption status) or Sec. 551.209 (the 
foreign exemption).



Sec. 551.204  Exemption of Federal Wage System employees.

    (a) Nonsupervisory. A nonsupervisory employee in the Federal Wage 
System or in other comparable wage systems is nonexempt, unless the 
employee is subject to Sec. 551.208 (the effect of performing temporary 
work or duties on FLSA exemption status) or Sec. 551.209 (the foreign 
exemption).
    (b) Supervisory. A supervisory employee in the Federal Wage System 
or in other comparable wage systems is exempt only if the employee is an 
executive employee as defined in Sec. 551.205, unless the employee is 
subject to Sec. 551.208 (the effect of performing temporary work or 
duties on FLSA exemption status) or Sec. 551.209 (the foreign 
exemption).



Sec. 551.205  Executive exemption criteria.

    An executive employee is a supervisor or manager who manages a 
Federal agency or any subdivision thereof (including the lowest 
recognized organizational unit with a continuing function) and 
customarily and regularly directs the work of subordinate employees and 
meets both of the following criteria:
    (a) Primary duty test. The primary duty test is met if the employee-
-
    (1) Has authority to make personnel changes that include, but are 
not limited to, selecting, removing, advancing in pay, or promoting 
subordinate employees, or has authority to suggest or recommend such 
actions with particular consideration given to these suggestions and 
recommendations; and
    (2) Customarily and regularly exercises discretion and independent 
judgment in such activities as work planning and organization; work 
assignment, direction, review, and evaluation; and other aspects of 
management of subordinates, including personnel administration.
    (b) 80-percent test. In addition to the primary duty test that 
applies to all employees, the following employees must spend 80 percent 
or more of the worktime in a representative workweek on supervisory and 
closely related work to meet the 80-percent test:

[[Page 571]]

    (1) Employees in positions properly classified in the General 
Schedule at GS-5 or GS-6 (or the equivalent level in other comparable 
white-collar pay systems);
    (2) Firefighting or law enforcement employees in positions properly 
classified in the General Schedule at GS-7, GS-8, or GS-9 who are 
subject to section 207(k) of title 29, United States Code; and
    (3) Supervisors in positions properly classified in the Federal Wage 
System below situation 3 of Factor I of the Federal Wage System Job 
Grading Standard for Supervisors (or the equivalent level in other 
comparable wage systems).



Sec. 551.206  Administrative exemption criteria.

    An administrative employee is an advisor or assistant to management, 
a representative of management, or a specialist in a management or 
general business function or supporting service and meets all four of 
the following criteria:
    (a) Primary duty test. The primary duty test is met if the 
employee's work--
    (1) Significantly affects the formulation or execution of management 
programs or policies; or
    (2) Involves management or general business functions or supporting 
services of substantial importance to the organization serviced; or
    (3) Involves substantial participation in the executive or 
administrative functions of a management official.
    (b) Nonmanual work test. The employee performs office or other 
predominantly nonmanual work which is--
    (1) Intellectual and varied in nature; or
    (2) Of a specialized or technical nature that requires considerable 
special training, experience, and knowledge.
    (c) Discretion and independent judgment test. The employee 
frequently exercises discretion and independent judgment, under only 
general supervision, in performing the normal day-to-day work.
    (d) 80-percent test. In addition to the primary duty test that 
applies to all employees, General Schedule employees in positions 
properly classified at GS-5 or GS-6 (or the equivalent level in other 
comparable white-collar pay systems) must spend 80 percent or more of 
the worktime in a representative workweek on administrative functions 
and work that is an essential part of those functions to meet the 80-
percent test.

[62 FR 67247, Dec. 23, 1997; 63 FR 2304, Jan. 14, 1998]



Sec. 551.207  Professional exemption criteria.

    A professional employee is an employee who meets all of the 
following criteria, or any teacher who is engaged in the imparting of 
knowledge or in the administration of an academic program in a school 
system or educational establishment.
    (a) Primary duty test. The primary duty test is met if the 
employee's work consists of--
    (1) Work that requires knowledge in a field of science or learning 
customarily and characteristically acquired through education or 
training that meets the requirements for a bachelor's or higher degree, 
with major study in or pertinent to the specialized field as 
distinguished from general education; or is performing work, comparable 
to that performed by professional employees, on the basis of specialized 
education or training and experience which has provided both theoretical 
and practical knowledge of the specialty, including knowledge of related 
disciplines and of new developments in the field; or
    (2) Work in a recognized field of artistic endeavor that is original 
or creative in nature (as distinguished from work which can be produced 
by a person endowed with general manual or intellectual ability and 
training) and the result of which depends on the invention, imagination, 
or talent of the employee; or
    (3) Work that requires theoretical and practical application of 
highly-specialized knowledge in computer systems analysis, programming, 
and software engineering or other similar work in the computer software 
field. The work must consist of one or more of the following:

[[Page 572]]

    (i) The application of systems analysis techniques and procedures, 
including consulting with users, to determine hardware, software, or 
system functional specifications; or
    (ii) The design, development, documentation, analysis, creation, 
testing, or modification of computer systems or programs, including 
prototypes, based on and related to user or system design 
specifications; or
    (iii) The design, documentation, testing, creation, or modification 
of computer programs related to machine operating systems; or
    (iv) A combination of the duties described in paragraphs (a)(3)(i), 
(a)(3)(ii), and (a)(3)(iii) of this section, the performance of which 
requires the same level of skills.
    (b) Intellectual and varied work test. The employee's work is 
predominantly intellectual and varied in nature, requiring creative, 
analytical, evaluative, or interpretative thought processes for 
satisfactory performance.
    (c) Discretion and independent judgment test. The employee 
frequently exercises discretion and independent judgment, under only 
general supervision, in performing the normal day-to-day work.
    (d) 80-percent test. In addition to the primary duty test that 
applies to all employees, General Schedule employees in positions 
properly classified at GS-5 or GS-6 (or the equivalent level in other 
comparable white-collar pay systems), must spend 80 percent or more of 
the worktime in a representative workweek on professional functions and 
work that is an essential part of those functions to meet the 80-percent 
test.



Sec. 551.208  Effect of performing temporary work or duties on FLSA exemption status.

    (a) Applicability--(1)When applicable. This section applies only 
when an employee must temporarily perform work or duties that are not 
consistent with the primary or grade-controlling duty of the employee's 
official position description. The period of temporary work or duties 
may or may not involve a different geographic duty location. The FLSA 
exemption status of employees during a period of temporary work or 
duties must be determined as described in this section.
    (2) When not applicable. This section does not apply when an 
employee is detailed to an identical additional position as the 
employee's position or to a position of the same grade, series code, 
basic duties, and FLSA exemption status as the employee's position.
    (b) Effect on nonexempt employees.(1) A nonexempt employee who must 
temporarily perform work or duties that are not consistent with the 
primary or grade-controlling duty of the employee's official position 
description remains nonexempt for the entire period of temporary work or 
duties unless all three of the following conditions are met:
    (i) 30-day test. The period of temporary work or duties exceeds 30 
calendar days; and
    (ii) Exempt work or duty. The employee's primary duty for the period 
of temporary work or duties is exempt work or duty as defined in this 
part; and
    (iii) Positions at GS-7 or above, or at situation 3 or 4. The 
employee's position (including a position to which the employee is 
temporarily promoted) is properly classified in the General Schedule at 
GS-7 or above (or the equivalent level in other comparable white-collar 
pay systems) or properly classified in the Federal Wage System as a 
supervisor at situation 3 or 4 of Factor I of the Federal Wage System 
Job Grading Standard for Supervisors (or the equivalent level in other 
comparable wage systems).
    (2) If a nonexempt employee becomes exempt under the criteria in 
paragraph (b)(1) of this section--
    (i) The employee must be considered exempt for the entire period of 
temporary work or duties; and
    (ii) If the employee received FLSA overtime pay for work performed 
during the first 30 calendar days of the temporary work or duties, the 
agency must recalculate the employee's total pay retroactive to the 
beginning of that period because the employee is now not entitled to the 
FLSA overtime pay received but may be owed title 5 overtime pay.
    (c) Effect on exempt employees.(1) An exempt employee not covered by 
the

[[Page 573]]

special provision of paragraph (c)(3) of this section who must 
temporarily perform work or duties that are not consistent with the 
primary or grade-controlling duty of the employee's official position 
description remains exempt for the entire period of temporary work or 
duties unless all three of the following conditions are met:
    (i) 30-day test. The period of temporary work or duties exceeds 30 
calendar days; and
    (ii) Not exempt work or duty. The employee's primary duty for the 
period of temporary work or duties is not exempt work or duty as defined 
in this part; and
    (iii) Positions at GS-7 or above, or at situation 3 or 4. The 
employee's position (including a position to which the employee is 
temporarily promoted) is properly classified in the General Schedule at 
GS-7 or above (or the equivalent level in other comparable white-collar 
pay systems) or properly classified in the Federal Wage System as a 
supervisor at situation 3 or 4 of Factor I of the Federal Wage System 
Job Grading Standard for Supervisors (or the equivalent level in other 
comparable wage systems).
    (2) If an exempt employee becomes nonexempt under the criteria in 
paragraph (c)(1) of this section--
    (i) The employee must be considered nonexempt for the entire period 
of temporary work or duties; and
    (ii) If the employee received title 5 overtime pay for work 
performed during the first 30 calendar days of the temporary work or 
duties, the agency must recalculate the employee's total pay retroactive 
to the beginning of that period because the employee may now not be 
entitled to some or all of the title 5 overtime pay received but may be 
owed FLSA overtime pay.
    (3) Special provision for exempt employees at GS-5 or GS-6, or below 
situation 3. The exemption status of certain exempt employees who must 
temporarily perform work or duties that are not consistent with the 
primary or grade-controlling duty of their official position description 
must be determined on a workweek basis for the period of temporary work 
or duties. Such employees are exempt employees whose positions 
(including a position to which the employee is temporarily promoted) are 
properly classified in the General Schedule at GS-5 or GS-6 (or the 
equivalent level in other comparable white-collar pay systems), or are 
properly classified in the Federal Wage System below situation 3 of 
Factor I of the Federal Wage System Job Grading Standard for Supervisors 
(or the equivalent level in other comparable wage systems). The 
exemption status determination of these employees will result in the 
employee either remaining exempt or becoming nonexempt for that 
workweek, as described in paragraphs (c)(3)(i) and (c)(3)(ii) of this 
section.
    (i) Remain exempt. An exempt employee remains exempt for a given 
workweek only if the employee performs exempt work or duties for 80 
percent or more of the worktime in that workweek.
    (ii) Become nonexempt. An exempt employee becomes nonexempt for a 
given workweek only if the employee performs nonexempt work or duties 
for more than 20 percent of the worktime in that workweek.
    (d) Emergency situation. Notwithstanding any other provisions of 
this section, and regardless of an employee's grade level, the agency 
may determine that an emergency situation exists that directly threatens 
human life or safety, serious damage to property, or serious disruption 
to the operations of an activity, and there is no recourse other than to 
assign qualified employees to temporarily perform work or duties in 
connection with the emergency. In such a designated emergency--
    (1) Nonexempt employee. The exemption status of a nonexempt employee 
remains nonexempt whether the employee performs nonexempt work or exempt 
work during the emergency; and
    (2) Exempt employee. The exemption status of an exempt employee must 
be determined on a workweek basis. The exemption status determination of 
exempt employees will result in the employee either remaining exempt or 
becoming nonexempt for that workweek, as described in paragraphs 
(d)(2)(i) and (d)(2)(ii) of this section.
    (i) Remain exempt. An exempt employee remains exempt for any 
workweek in which the employee performs exempt work or duties for 80 
percent or

[[Page 574]]

more of the worktime in a given workweek.
    (ii) Become nonexempt. An exempt employee becomes nonexempt for any 
workweek in which the employee performs nonexempt work or duties for 
more than 20 percent of the worktime in a given workweek.

[62 FR 67247, Dec. 23, 1997; 63 FR 2304, Jan. 14, 1998]



Sec. 551.209  Foreign exemption criteria.

    (a) Application. When the foreign exemption applies, the minimum 
wage, overtime, and child labor provisions of the Act do not apply to 
any employee who spends all hours of work in a given workweek in an 
exempt area. When an employee meets one of the two criteria in paragraph 
(b) of this section, the foreign exemption applies until the employee 
spends any hours of work in any nonexempt area as defined in 
Sec. 551.102.
    (b) Foreign exemption applies. If an employee meets one of the two 
following criteria, the employee is subject to the foreign exemption of 
the Act and the minimum wage, overtime, and child labor provisions of 
the Act do not apply:
    (1) The employee is permanently stationed in an exempt area and 
spends all hours of work in a given workweek in one or more exempt 
areas; or
    (2) The employee is not permanently stationed in an exempt area, but 
spends all hours of work in a given workweek in one or more exempt 
areas.
    (c) Foreign exemption does not apply. For any given workweek, the 
minimum wage, overtime, and child labor provisions of the Act apply to 
an employee permanently stationed in an exempt area who spends any hours 
of work in any nonexempt area. For that workweek, the employee is not 
subject to the foreign exemption, and the agency must determine the 
exemption status of such an employee as described paragraphs (c)(1) and 
(c)(2) of this section. The foreign exemption does not resume until the 
employee again meets one of the criteria in paragraph (b) of this 
section.
    (1) Same duties. If the duties performed during that workweek are 
consistent with the primary or grade-controlling duties of the 
employee's official position description, the agency must designate the 
employee the same FLSA exemption status as if the employee were 
permanently stationed in any nonexempt area.
    (2) Different duties. If the duties performed during that workweek 
are not consistent with the primary or grade-controlling duties of the 
employee's official position description--
    (i) The agency must first designate the employee the same FLSA 
exemption status as the employee would have been designated based on the 
duties included in the employee's official position description if the 
employee were permanently stationed in any nonexempt area; and
    (ii) The agency must determine the employee's exemption status for 
that workweek by applying Sec. 551.208.
    (d) Resumption of foreign exemption. When an employee returns to any 
exempt area from performing any hours of work in any nonexempt area, the 
employee is not subject to the foreign exemption until the employee 
meets one of the criteria in paragraph (b) of this section.



Sec. 551.210  Exemption of employees receiving availability pay.

    The following employees are exempt from the hours of work and 
overtime pay provisions of the Act:
    (a) A criminal investigator receiving availability pay under 
Sec. 550.181 of this chapter; and
    (b) A pilot employed by the United States Customs Service who is a 
law enforcement officer as defined in section 5541(3) of title 5, United 
States Code, and who receives availability pay under section 5545a(i) of 
title 5, United States Code.



Sec. 551.211  Statutory exclusion.

    A customs officer who receives overtime pay under subsection (a) or 
premium pay under subsection (b) of section 267 of title 19, United 
States Code, for time worked may not receive pay or other compensation 
for that work under any other provision of law. As used in section 5, 
the term ``customs

[[Page 575]]

officer'' means a United States Customs Service supervisory or 
nonsupervisory customs inspector or a supervisory or nonsupervisory 
canine enforcement officer.



                   Subpart C--Minimum Wage Provisions

                             Basic Provision



Sec. 551.301  Minimum wage.

    (a)(1) Except as provided in paragraph (a)(2) of this section and 
Sec. 551.311, an agency shall pay each of its employees wages at rates 
not less than the minimum wage specified in section 6(a)(1) of the Act 
for all hours of work as defined in subpart D of this part.
    (2) The minimum wage provisions of the Act do not apply to a 
criminal investigator receiving availability pay under Sec. 550.181.
    (b) An employee has been paid in compliance with the minimum wage 
provisions of this subpart if the employee's hourly regular rate of pay, 
as defined in Sec. 551.511(a) of this part, for the workweek is equal to 
or in excess of the rate specified in section 6(a)(1) of the Act.

[45 FR 85664, Dec. 30, 1980, as amended at 59 FR 66154, Dec. 23, 1994]

                             Subminimum Wage



Sec. 551.311  Subminimum wage.

    An agency may, if it meets certain criteria published by the Office 
of Personnel Management, employ certain groups of less than fully 
productive employees (e.g., handicapped patient workers) at rates less 
than the minimum wage specified in section 6(a)(1) of the Act.

[45 FR 85664, Dec. 30, 1980]



                        Subpart D--Hours of Work

    Source: 45 FR 85664, Dec. 30, 1980, unless otherwise noted.

                           General Provisions



Sec. 551.401  Basic principles.

    (a) All time spent by an employee performing an activity for the 
benefit of an agency and under the control or direction of the agency is 
``hours of work.'' Such time includes:
    (1) Time during which an employee is required to be on duty;
    (2) Time during which an employee is suffered or permitted to work; 
and
    (3) Waiting time or idle time which is under the control of an 
agency and which is for the benefit of an agency.
    (b) For an employee, as defined in 5 U.S.C. 5541(2), hours in a paid 
nonwork status (e.g., paid leave, holidays, compensatory time off, or 
excused absences) are ``hours of work'' under this part.
    (c) Hours in an unpaid nonwork status (e.g., leave without pay, 
furlough, absence without leave) are not ``hours of work'' under this 
part.
    (d) Time that is considered hours of work under this part shall be 
used only to determine an employee's entitlement to minimum wages or 
overtime pay under the Act, and shall not be used to determine hours of 
work for pay administration under title 5, United States Code, or any 
other authority.
    (e) Irregular or occasional overtime work performed by an employee 
on a day on which work was not scheduled for that employee or for which 
the employee is required to return to his or her place of employment is 
deemed at least 2 hours in duration for the purpose of determining 
whether the employee may be entitled to overtime pay under this part, 
either in money or compensatory time off.
    (f) For the purpose of determining hours of work in excess of 8 
hours in a day under this part, agencies shall credit hours of work 
under Sec. 410.402 of this chapter, part 532 of this chapter and 5 
U.S.C. 5544, and part 550 of this chapter, as applicable.
    (g) For the purpose of determining hours of work in excess of 40 
hours in a week or in excess of another applicable overtime work 
standard under section 7(k) of the Fair Labor Standards Act, agencies 
shall credit hours of work under Sec. 410.402 of this chapter, part 532 
of this chapter and 5 U.S.C. 5544, and part 550 of this chapter, as 
applicable, that will not be compensated as hours of work in excess of 8 
hours in a day, as well as any additional hours of work under this part.

[[Page 576]]

    (h) For the purpose of determining overtime pay for work in excess 
of 40 hours in a workweek under this part, time spent in a travel status 
is hours of work as provided in Sec. 551.422 of this part and 
Sec. 550.112(g) of this chapter or 5 U.S.C. 5544, as applicable.

[45 FR 85664, Dec. 30, 1980, as amended at 52 FR 47687, Dec. 16, 1987, 
and 53 FR 27147, July 19, 1988; 56 FR 20343, May 3, 1991; 57 FR 59279, 
Dec. 15, 1992; 64 FR 69180, Dec. 10, 1999]



Sec. 551.402  Agency responsibility.

    (a) An agency is responsible for exercising appropriate controls to 
assure that only that work for which it intends to make payment is 
performed.
    (b) An agency shall keep complete and accurate records of all hours 
worked by its employees.

         Application of Principles in Relation to Normal Workday



Sec. 551.411  Workday.

    (a) For the purposes of this part, workday means the period between 
the commencement of the principal activities that an employee is engaged 
to perform on a given day, and the cessation of the principal activities 
for that day. All time spent by an employee in the performance of such 
activities is hours of work. The workday is not limited to a calendar 
day or any other 24-hour period.
    (b) Any rest period authorized by an agency that does not exeed 20 
minutes and that is within the workday shall be considered hours of 
work.
    (c) Bona fide meal periods are not considered hours of work, except 
for on-duty meal periods for employees engaged in fire protection or law 
enforcement activities who receive compensation for overtime hours of 
work under 5 U.S.C. 5545(c)(1) or (2) or 5545b. However, for employees 
engaged in fire protection or law enforcement activities who have 
periods of duty of more than 24 hours, on-duty meal periods may be 
excluded from hours of work by agreement between the employer and the 
employee, except as provided in Sec. 551.432(e) and (f).

[45 FR 85664, Dec. 30, 1980, as amended at 48 FR 36805, Aug. 15, 1983; 
57 FR 59279, Dec. 15, 1992; 67 FR 15467, Apr. 2, 2002]



Sec. 551.412  Preparatory or concluding activities.

    (a)(1) If an agency reasonably determines that a preparatory or 
concluding activity is closely related to an employee's principal 
activities, and is indispensable to the performance of the principal 
activities, and that the total time spent in that activity is more than 
10 minutes per workday, the agency shall credit all of the time spent in 
that activity, including the 10 minutes, as hours of work.
    (2) If the time spent in a preparatory or concluding activity is 
compensable as hours of work, the agency shall schedule the time period 
for the employee to perform that activity. An employee shall be credited 
with the actual time spent in that activity during the time period 
scheduled by the agency. In no case shall the time credited for the 
performance of an activity exceed the time scheduled by the agency. The 
employee shall be credited for the time spent performing preparatory or 
concluding activities in accordance with paragraph (b) of Sec. 551.521 
of this part.
    (b) A preparatory or concluding activity that is not closely related 
to the performance of the principal activities is considered a 
preliminary or postliminary activity. Time spent in preliminary or 
postliminary activities is excluded from hours of work and is not 
compensable, even if it occurs between periods of activity that are 
compensable as hours of work.

[48 FR 36805, Aug. 15, 1983]

        Application of Principles in Relation to Other Activities



Sec. 551.421  Regular working hours.

    (a) Under the Act there is no requirement that a Federal employee 
have a regularly scheduled administrative workweek. However, under title 
5 United States Code, and part 610 of this chapter, the head of an 
agency is required to establish work schedules for his or her employees. 
In determining what activities constitute hours of work under the Act, 
there is generally a distinction based on whether the activity is 
performed by an employee

[[Page 577]]

during regular working hours or outside regular working hours. For 
purposes of this part, ``regular working hours'' means the days and 
hours of an employee's regularly scheduled administrative workweek 
established under part 610 of this chapter.
    (b) [Reserved]

[45 FR 85664, Dec. 30, 1980, as amended at 48 FR 36806, Aug. 15, 1983]



Sec. 551.422  Time spent traveling.

    (a) Time spent traveling shall be considered hours of work if:
    (1) An employee is required to travel during regular working hours;
    (2) An employee is required to drive a vehicle or perform other work 
while traveling;
    (3) An employee is required to travel as a passenger on a one-day 
assignment away from the official duty station; or
    (4) An employee is required to travel as a passenger on an overnight 
assignment away from the official duty station during hours on 
nonworkdays that correspond to the employee's regular working hours.
    (b) An employee who travels from home before the regular workday 
begins and returns home at the end of the workday is engaged in normal 
``home to work'' travel; such travel is not hours of work. When an 
employee travels directly from home to a temporary duty location outside 
the limits of his or her official duty station, the time the employee 
would have spent in normal home to work travel shall be deducted from 
hours of work as specified in paragraphs (a)(2) and (a)(3) of this 
section.
    (c) An employee who is offered one mode of transportation, and who 
is permitted to use an alternative mode of transportation, or an 
employee who travels at a time other than that selected by the agency, 
shall be credited with the lesser of:
    (1) The actual travel time which is hours of work under this 
section; or
    (2) The estimated travel time which would have been considered hours 
of work under this section had the employee used the mode of 
transportation offered by the agency, or traveled at the time selected 
by the agency.
    (d) Except as provided in paragraph (b) of this section, an agency 
may prescribe a mileage radius of not greater than 50 miles to determine 
whether an employee's travel is within or outside the limits of the 
employee's official duty station for determining entitlement to overtime 
pay for travel under this part. However, an agency's definition of an 
employee's official duty station for determining overtime pay for travel 
may not be smaller than the definition of ``official station and post of 
duty'' under the Federal Travel Regulation issued by the General 
Services Administration (41 CFR 301-1.3(c)(4)).

[45 FR 85664, Dec. 30, 1980, as amended at 59 FR 66635, Dec. 28, 1994]



Sec. 551.423  Time spent in training or attending a lecture, meeting, or conference.

    (a) Time spent in training, whether or not it is under the purview 
of part 410 of this chapter, shall be administered as follows:
    (1) Time spent in training during regular working hours shall be 
considered hours of work.
    (2) Time spent in training outside regular working hours shall be 
considered hours of work if:
    (i) The employee is directed to participate in the training by his 
or her employing agency; and
    (ii) The purpose of the training is to improve the employee's 
performance of the duties and responsibilities of his or her current 
position.
    (3) Time spent in apprenticeship or other entry level training, or 
internship or other career related work study training, or training 
under the Veterans Readjustment Act (5 CFR part 307) outside regular 
working hours shall not be considered hours of work, provided no 
productive work is performed during such periods, except as provided by 
Sec. 410.402(b) of this chapter and paragraphs (f) and (g) of 
Sec. 551.401.
    (4) Time spent by an employee performing work for the agency during 
a period of training shall be considered hours of work.
    (b) The following phrases contained in paragraph (a) of this 
section, are further clarified:
    (1) Directed to participate means that the training is required by 
the agency and the employee's performance or

[[Page 578]]

continued retention in his or her current position will be adversely 
affected by nonenrollment in such training. The fact that an agency pays 
for all or part of the expenses of training does not create an 
entitlement to overtime hours of work unless participation in the 
training is directed by the agency.
    (2) Training ``to improve the employee's performance * * * of his or 
her current position'' is distinguished from upward mobility training or 
developmental training to provide an employee the knowledge or skills 
needed for a subsequent position in the same career field.
    (c) Time spent by an employee within an agency's allowance of 
preparatory time for attendance at training shall be considered hours of 
work if such preparatory time is:
    (1) During an employee's regular working hours; or
    (2) Outside the employee's regular working hours, and the purpose of 
the training meets the requirements of paragraph (a)(2) of this section.
    (d) Time spent attending a lecture, meeting, or conference shall be 
considered hours of work if attendance is:
    (1) During an employee's regular working hours; or
    (2) Outside an employee's regular working hours, and
    (i) The employee is directed by an agency to attend such an event; 
or
    (ii) The employee performs work for the benefit of the agency during 
such attendance.

[45 FR 85664, Dec. 30, 1980, as amended at 64 FR 69180, Dec. 10, 1999]



Sec. 551.424  Time spent adjusting grievances or performing representational functions.

    (a) Time spent by an employee adjusting his or her grievance (or any 
appealable action) with an agency during the time the employee is 
required to be on the agency's premises shall be considered hours of 
work.
    (b) ``Official time'' granted an employee by an agency to perform 
representational functions during those hours when the employee is 
otherwise in a duty status shall be considered hours of work. This 
includes time spent by an employee performing such functions during 
regular working hours (including regularly scheduled overtime hours), or 
during a period of irregular, unscheduled overtime work, provided an 
event arises incident to representational functions that must be dealt 
with during the irregular, unscheduled overtime period.



Sec. 551.425  Time spent receiving medical attention.

    (a) Time spent waiting for and receiving medical attention for 
illness or injury shall be considered hours of work if:
    (1) The medical attention is required on a workday an employee 
reported for duty and subsequently became ill or was injured;
    (2) The time spent receiving medical attention occurs during the 
employee's regular working hours; and
    (3) The employee receives the medical attention on the agency's 
premises, or at the direction of the agency at a medical facility away 
from the agency's premises.
    (b) Time spent taking a physical examination that is required for 
the employee's continued employment with the agency shall be considered 
hours of work.



Sec. 551.426  Time spent in charitable activities.

    Time spent working for public or charitable purposes at an agency's 
request, or under an agency's direction or control, shall be considered 
hours of work. However, time spent voluntarily in such activities 
outside an employee's regular working hours is not hours of work.

                           Special Situations



Sec. 551.431  Time spent on standby duty or in an on-call status.

    (a)(1) An employee is on duty, and time spent on standby duty is 
hours of work if, for work-related reasons, the employee is restricted 
by official order to a designated post of duty and is assigned to be in 
a state of readiness to perform work with limitations on the employee's 
activities so substantial that the employee cannot use the time 
effectively for his or her own purposes. A finding that an employee's 
activities are substantially limited may not be

[[Page 579]]

based on the fact that an employee is subject to restrictions necessary 
to ensure that the employee will be able to perform his or her duties 
and responsibilities, such as restrictions on alcohol consumption or use 
of certain medications.
    (2) An employee is not considered restricted for ``work-related 
reasons'' if, for example, the employee remains at the post of duty 
voluntarily, or if the restriction is a natural result of geographic 
isolation or the fact that the employee resides on the agency's 
premises. For example, in the case of an employee assigned to work in a 
remote wildland area or on a ship, the fact that the employee has 
limited mobility when relieved from duty would not be a basis for 
finding that the employee is restricted for work-related reasons.
    (b) An employee will be considered off duty and time spent in an on-
call status shall not be considered hours of work if:
    (1) The employee is allowed to leave a telephone number or to carry 
an electronic device for the purpose of being contacted, even though the 
employee is required to remain within a reasonable call-back radius; or
    (2) The employee is allowed to make arrangements such that any work 
which may arise during the on-call period will be performed by another 
person.

[45 FR 85664, Dec. 30, 1980, as amended at 64 FR 69180, Dec. 10, 1999]



Sec. 551.432  Sleep time.

    (a) Except as provided in paragraph (b) of this section, bona fide 
sleep time that fulfills the following conditions shall not be 
considered hours of work if:
    (1) The work shift is 24 hours or more;
    (2) During such time there are adequate facilities such that an 
employee may usually enjoy an uninterrupted period of sleep; and
    (3) There are at least 5 hours available for such time during the 
sleep period.
    (b) For employees engaged in law enforcement or fire protection 
activities who receive annual premium pay under 5 U.S.C. 5545(c)(1) or 
(2), the requirements of paragraph (a) of this section apply, except 
that on-duty sleep time may be excluded from hours of work only if the 
work shift is more than 24 hours.
    (c) The total amount of bona fide sleep and meal time that may be 
excluded from hours of work may not exceed 8 hours in a 24-hour period.
    (d) If sleep time is interrupted by a call to duty, the time spent 
on duty is considered hours of work.
    (e) On-duty sleep and meal time during regularly scheduled hours for 
which standby duty premium pay under 5 U.S.C. 5545(c)(1) is payable may 
not be excluded from hours of work.
    (f) For firefighters compensated under 5 U.S.C. 5545b, on-duty sleep 
and meal time may not be excluded from hours of work.

[45 FR 85664, Dec. 30, 1980, as amended at 57 FR 59279, Dec. 15, 1992; 
64 FR 69180, Dec. 10, 1999]



                   Subpart E--Overtime Pay Provisions

    Source: 45 FR 85665, Dec. 30, 1980, unless otherwise noted.

                            Basic Provisions



Sec. 551.501  Overtime pay.

    (a) An agency shall compensate an employee who is not exempt under 
subpart B of this part for all hours of work in excess of 8 in a day or 
40 in a workweek at a rate equal to one and one-half times the 
employee's hourly regular rate of pay, except that an employee shall not 
receive overtime compensation under this part--
    (1) On the basis of periods of duty in excess of 8 hours in a day 
when the employee receives compensation for that duty under 5 U.S.C. 
5545(c)(1) or (2) or 5545b;
    (2) On the basis of hours of work in excess of 8 hours in a day that 
are not overtime hours of work under Sec. 410.402 of this chapter, part 
532 of this chapter and 5 U.S.C. 5544, or part 550 of this chapter;
    (3) On the basis of hours of work in excess of 8 hours in a day for 
an employee covered by 5 U.S.C. 5544 for any hours in a standby or on-
call status or while sleeping or eating;

[[Page 580]]

    (4) On the basis of hours of work in excess of 8 hours in a day for 
an individual who is not an employee, as defined in 5 U.S.C. 5541(2), 
for purposes of 5 U.S.C. 5542, 5543, and 5544;
    (5) On the basis of hours of work in excess of 40 hours in a 
workweek for an employee engaged in fire protection or law enforcement 
activities when the employee is receiving compensation under 5 U.S.C. 
5545(c)(1) or (2) or 5545b, or is not an employee (as defined in 5 
U.S.C. 5541(2)) for the purposes of 5 U.S.C. 5542, 5543, and 5544;
    (6) For hours of work that are not ``overtime hours,'' as defined in 
5 U.S.C. 6121, for employees under flexible or compressed work 
schedules;
    (7) For hours of work compensated by compensatory time off under 
Sec. 551.531 of this part; and
    (8) For fractional hours of work, except as provided in Sec. 551.521 
of this part.
    (b) An employee's ``workweek'' is a fixed and recurring period of 
168 hours--seven consecutive 24-hour periods. It need not coincide with 
the calendar week but may begin on any day and at any hour of a day. For 
employees subject to part 610 of this chapter, the workweek shall be the 
same as the administrative workweek defined in Sec. 610.102 of this 
chapter.
    (c) In this subpart, ``irregular or occasional overtime work'' is 
overtime work that is not scheduled in advance of the employee's 
workweek.
    (d) The maximum earnings limitations described in Secs. 550.105, 
550.106, and 550.107 of this chapter do not apply to overtime pay due 
the employee under this subpart.

[45 FR 85665, Dec 30, 1980, as amended at 56 FR 11060, Mar. 15, 1991; 56 
FR 20343, May 3, 1991; 57 FR 59279, Dec. 15, 1992; 63 FR 64594, Nov. 23, 
1998; 64 FR 69180, Dec. 10, 1999]

                        Overtime Pay Computations



Sec. 551.511  Hourly regular rate of pay.

    (a) An employee's ``hourly regular rate'' is computed by dividing 
the total remuneration paid to an employee in the workweek by the total 
number of hours of work in the workweek for which such compensation was 
paid.
    (b) ``Total remuneration'' includes all remuneration for employment 
paid to, or on behalf of, an employee except:
    (1) Payments as rewards for service the amount of which is not 
measured by or dependent on hours of work, production, or efficiency 
(e.g., a cash award for a suggestion made by an employee and adopted by 
an agency);
    (2) Reimbursements for travel expenses, or other similar expenses, 
incurred by an employee in furtherance of an agency's interest, which 
are not related to hours of work;
    (3) Payments made in recognition of services performed during a 
given period, if both the fact that payment is to be made and the amount 
of the payment are determined at the sole discretion of the agency 
(i.e., discretionary cash awards or bonuses);
    (4) Contributions by an agency to a fund for retirement, insurance, 
or similar benefits;
    (5) Extra compensation provided by a premium rate paid for hours of 
work performed by an employee in excess of eight in a day, or in excess 
of the normal workweek applicable to the employee;
    (6) Extra compensation provided by a premium rate paid for hours of 
work performed by an employee on a Sunday or a holiday where such 
premium rate is at least one and one-half times the employee's rate of 
pay for work performed in nonovertime hours on other days; or
    (7) Extra compensation provided by a premium rate paid for hours of 
work performed by an employee outside his or her regular working hours, 
where such premium rate is at least one and one-half times the 
employee's rate of pay for work performed in nonovertime hours.

[45 FR 85665, Dec. 30, 1980, as amended at 52 FR 47688, Dec. 16, 1987, 
and 53 FR 27147, July 19, 1988; 56 20343, May 3, 1991; 64 FR 69180, Dec. 
10, 1999]



Sec. 551.512  Overtime pay entitlement.

    (a) An employee's overtime entitlement under this subpart includes:
    (1) The straight time rate of pay times all overtime hours worked; 
plus
    (2) One-half times the employee's hourly regular rate of pay times 
all overtime hours worked.
    (b) An employee's ``straight time rate of pay'' is equal to the 
employee's rate of pay for his or her position (exclusive

[[Page 581]]

of any premiums, differentials, or cash awards or bonuses) except for an 
employee who is authorized annual premium pay under Sec. 550.141 or 
Sec. 550.151 of this chapter. For an employee who is authorized annual 
premium pay, straight time rate of pay is equal to basic pay plus annual 
premium pay divided by the hours for which the basic pay plus annual 
premium pay are intended.
    (c) An employee has been paid in compliance with the overtime pay 
provisions of this subpart only if the employee has received pay at a 
rate at least equal to the employee's straight time rate of pay for all 
nonovertime hours of work in the workweek.

[45 FR 85665, Dec. 30, 1980, as amended at 64 FR 69181, Dec. 10, 1999]



Sec. 551.513  Entitlement to other forms of pay.

    Overtime pay under this subpart shall be paid in addition to all 
pay, other than overtime pay, to which the employee is entitled under 
title 5, United States Code, or any other authority. An employee 
entitled to overtime pay under this subpart and overtime pay under any 
authority outside of title 5, United States Code, shall be paid under 
whichever authority provides the greater overtime pay entitlement in the 
workweek.

[57 FR 59280, Dec. 15, 1992]



Sec. 551.514  Nondiscretionary bonuses.

    (a) When an employee earns a nondiscretionary cash award or bonus 
(as opposed to discretionary cash awards or bonuses as described in 
Sec. 551.511(b)(3)), the bonus must be taken into account in determining 
overtime pay for the period of time during which the bonus was earned. 
An agency may meet the overtime pay requirements for the bonus period by 
using one of the procedures described in paragraphs (b) and (c) of this 
section. The procedures in paragraphs (b)(1) and (b)(2) of this section 
calculate the additional overtime pay the employee is due. The 
procedures in paragraphs (b)(3), (c)(2), and (c)(3) of this section 
describe methods where the overtime pay requirements are met in the 
calculation or distribution of the bonus itself.
    (b) Individual computation methods--(1) Week-by-week recomputation 
method. The agency may compute the additional overtime pay owed an 
employee by allocating the nondiscretionary bonus payable under the 
agency bonus plan to the weeks or hours during which it was earned and 
recomputing the employee's total remuneration, hourly regular rate, and 
overtime pay for each applicable workweek in the bonus period.
    (2) Bonus hourly rate method. The agency may assume that an equal 
amount of the nondiscretionary bonus applies to each hour worked during 
the bonus period and derive a bonus hourly rate by dividing the 
employee's total bonus by the total number of hours worked by the 
employee during the bonus period. Then the agency may compute the 
employee's additional overtime pay by multiplying one-half of that bonus 
hourly rate by the total number of overtime hours worked by the employee 
during the bonus period.
    (3) Percentage bonus method. An agency may establish a 
nondiscretionary bonus as a fixed percentage of total pay (i.e., pre-
bonus total remuneration, including straight time pay for any overtime 
hours, plus any half-rate overtime pay under Sec. 551.512(a)(2)) to be 
earned by the employee during a future period of service. This method 
may not be used to circumvent any bonus limitations that might otherwise 
apply. At the agency's discretion, the portion of the bonus attributable 
to the employee's half-rate overtime pay under Sec. 551.512(a)(2) may be 
excluded in applying bonus limitations, since it can be viewed as 
constituting additional FLSA overtime pay. (This method does not apply 
to nondiscretionary bonuses established as a percentage of a segment of 
pay, such as ratings-based cash awards under Sec. 451.104(g) of this 
chapter that are expressed as a percentage of basic pay, excluding 
locality adjustments. To meet overtime pay requirements for these types 
of bonuses, use one of the methods described in paragraphs (b)(1) or 
(b)(2) of this section.)
    (c) Group-based bonus distribution methods. (1) For employees who 
have earned nondiscretionary group cash awards or bonuses, payment of a 
bonus

[[Page 582]]

under one of the methods of distribution described in paragraphs (c)(2) 
and (c)(3) of this section is considered to be in full compliance with 
the overtime pay requirements of this subpart. These methods may not be 
used to circumvent any bonus limitations that might otherwise apply.
    (2) Percentage method. (i) Identify the amount of the group bonus 
under the agency's bonus plan and the period of time during which it was 
earned;
    (ii) Establish the group bonus as a percentage of the total pay 
(i.e., total remuneration before considering the group bonus, including 
straight time pay for any overtime hours, plus any half-rate overtime 
pay under Sec. 551.512(a)(2)) earned by employees in the group during 
the bonus period; and (iii) Multiply the percentage in paragraph 
(c)(2)(ii) of this section times each individual employee's total pay 
earned during the bonus period to determine each employee's share of the 
group bonus.
    (3) Boosted hour method. (i) Identify the amount of the group bonus 
under the agency's bonus plan and the period of time during which it was 
earned;
    (ii) Determine the total number of boosted hours for all employees 
under the group bonus plan by adding up the total number of hours of 
work by those employees (nonovertime and overtime hours) and increasing 
that sum by one-half of the total number of overtime hours;
    (iii) Divide the amount of the group bonus by the total number of 
boosted hours for all employees under the group bonus plan to determine 
the amount of the bonus allocable to each hour; and (iv) Multiply this 
hourly bonus amount by the number of boosted hours credited to each 
individual employee in the bonus period to determine each employee's 
share of the group bonus.

[64 FR 69181, Dec. 10, 1999]

                        Fractional Hours of Work



Sec. 551.521  Fractional hours of work.

    (a) An employee shall be compensated for every minute of regular 
overtime work.
    (b) A quarter of an hour shall be the largest fraction of an hour 
used for crediting irregular or occasional overtime work under this 
subpart. When irregular or occasional overtime work is performed in 
other than the full fraction, odd minutes shall be rounded up or rounded 
down to the nearest full fraction of an hour used to credit overtime 
work.

[48 FR 36806, Aug. 15, 1983]

                          Compensatory Time Off



Sec. 551.531  Compensatory time off.

    (a) At the request of an employee who is not exempt under subpart B 
of this part, the head of an agency (or designee) may grant compensatory 
time off from an employee's tour of duty instead of payment under 
Sec. 551.501 for an equal amount of irregular or occasional overtime 
work.
    (b) At the request of an employee, as defined in 5 U.S.C. 2105, the 
head of an agency may grant compensatory time off from an employee's 
basic work requirement under a flexible work schedule under 5 U.S.C. 
6122 instead of payment under Sec. 551.501 of this part for an equal 
amount of overtime work, whether or not irregular or occasional in 
nature.
    (c) An agency may not require that an employee be compensated for 
overtime work under this subpart with an equivalent amount of 
compensatory time off from the employee's tour of duty. An employee may 
not directly or indirectly intimidate, threaten, or coerce, or attempt 
to intimidate, threaten, or coerce any other employee for the purpose of 
interfering with such employee's rights to request or not to request 
compensatory time off in lieu of payment for overtime hours.
    (d) The head of an agency may fix time limits for an employee to 
request and take compensatory time off under this section. If 
compensatory time off is not requested or taken within the established 
time limits, the employee must be paid for overtime work at the overtime 
rate in effect for the work period in which it was earned under this 
subpart.
    (e) The dollar value of compensatory time off when it is liquidated, 
or for the purpose of applying pay limitations, is the amount of 
overtime pay

[[Page 583]]

the employee otherwise would have received for the hours of the pay 
period during which compensatory time off was earned by performing 
overtime work.

[56 FR 20343, May 3, 1991, as amended at 62 FR 28307, May 23, 1997; 64 
FR 69181, Dec. 10, 1999]

                     Special Overtime Pay Provisions



Sec. 551.541  Employees engaged in fire protection activities or law enforcement activities.

    (a) An employee engaged in fire protection activities or law 
enforcement activities shall be paid at a rate equal to one and one-half 
times the employee's hourly regular rate of pay for those hours in a 
tour of duty which exceed the overtime standard for a work period 
specified in section 7(k) of the Act or which are in excess of 40 hours 
in a workweek for such an employee who does not receive compensation for 
those hours of work under 5 U.S.C. 5545 (c)(1) or (c)(2) or 5545b.
    (b) The ``tour of duty'' of an employee engaged in these activities 
shall include all time the employee is on duty. Meal periods and sleep 
periods are included in the tour of duty except as otherwise provided in 
Secs. 551.411(c) and 551.432(b) of this part.
    (c) Each agency shall establish the ``work period'' to be used for 
application of section 7(k) of the Act. The work period shall be at 
least seven days and not more than 28 days.
    (d) A firefighter subject to section 7(k) of the Act who is 
compensated under part 550, subpart M, of this chapter is deemed to be 
appropriately compensated under section 7(k) of the Act and this part if 
the requirements of Sec. 550.1304(a) of this chapter are satisfied. (See 
5 U.S.C. 5545b(d)(2).)

[45 FR 85665, Dec. 30, 1980, as amended at 57 FR 59280, Dec. 15, 1992; 
63 FR 64595, Nov. 23, 1998; 64 FR 69181, Dec. 10, 1999]



                         Subpart F--Child Labor

    Source: 62 FR 67251, Dec. 23, 1997, unless otherwise noted.



Sec. 551.601  Minimum age standards.

    (a) 16-year minimum age. The Act, in section 3(l), sets a general 
16-year minimum age, which applies to all employment subject to its 
child labor provisions, with certain exceptions not applicable here.
    (b) 18-year minimum age. The Act, in section 3(l), also sets an 18-
year minimum age with respect to employment in any occupation found and 
declared by the Secretary of Labor to be particularly hazardous for the 
employment of minors of such age or detrimental to their health or well-
being.



Sec. 551.602  Responsibilities.

    (a) Agencies must remain cognizant of and abide by regulations and 
orders published in part 570 of title 29, Code of Federal Regulations, 
by the Secretary of Labor regarding the employment of individuals under 
the age of 18 years. These regulations and orders govern the minimum age 
at which persons under the age of 18 years may be employed and the 
occupations in which they may be employed. Persons under the age of 18 
years must not be employed in occupations or engage in work deemed 
hazardous by the Secretary of Labor.
    (b) OPM will decide complaints concerning the employment of persons 
under the age of 18 years. Complaints must be filed following the 
procedures set forth in subpart G of this part.



                  Subpart G--FLSA Claims and Compliance

    Source: 62 FR 67251, Dec. 23, 1997, unless otherwise noted.



Sec. 551.701  Applicability.

    (a) Applicable. This subpart applies to FLSA exemption status 
determination claims, FLSA pay claims for minimum wage or overtime pay 
for work performed under the Act, and complaints arising under the child 
labor provisions of the Act.
    (b) Not applicable. This subpart does not apply to claims or 
complaints arising under the equal pay provisions of the Act. The equal 
pay provisions of the Act are administered by the Equal Employment 
Opportunity Commission.

[[Page 584]]



Sec. 551.702  Time limits.

    (a) Claims. A claimant may at any time file a complaint under the 
child labor provisions of the Act or an FLSA claim challenging the 
correctness of his or her FLSA exemption status determination. A 
claimant may also file an FLSA claim concerning his or her entitlement 
to minimum wage or overtime pay for work performed under the Act; 
however, time limits apply to FLSA pay claims. All FLSA pay claims filed 
on or after June 30, 1994, are subject to a 2-year statute of 
limitations (3 years for willful violations).
    (b) Statute of limitations. An FLSA pay claim filed on or after June 
30, 1994, is subject to the statute of limitations contained in the 
Portal-to-Portal Act of 1947, as amended (section 255a of title 29, 
United States Code), which imposes a 2-year statute of limitations, 
except in cases of a willful violation where the statute of limitations 
is 3 years. In deciding a claim, a determination must be made as to 
whether the cause or basis of the claim was the result of a willful 
violation on the part of the agency.
    (c) Preserving the claim period. A claimant or a claimant's 
designated representative may preserve the claim period by submitting a 
written claim either to the agency employing the claimant during the 
claim period or to OPM. The date the agency or OPM receives the claim is 
the date that determines the period of possible entitlement to back pay. 
The claimant is responsible for proving when the claim was received by 
the agency or OPM. The claimant should retain documentation to establish 
when the claim was received by the agency or OPM, such as by filing the 
claim using certified, return receipt mail, or by requesting that the 
agency or OPM provide written acknowledgment of receipt of the claim. If 
a claim for back pay is established, the claimant will be entitled to 
pay for a period of up to 2 years (3 years for a willful violation) back 
from the date the claim was received.



Sec. 551.703  Avenues of review.

    (a) Negotiated grievance procedure (NGP) as exclusive administrative 
remedy. If at any time during the claim period, a claimant was a member 
of a bargaining unit covered by a collective bargaining agreement that 
did not specifically exclude matters under the Act from the scope of the 
negotiated grievance procedure, the claimant must use that negotiated 
grievance procedure as the exclusive administrative remedy for all 
claims under the Act. There is no right to further administrative review 
by the agency or by OPM. The remaining sections in this subpart (that 
is, Secs. 551.704 through 551.710) do not apply to such employees.
    (b) Non-NGP administrative review by agency or OPM. A claimant may 
file a claim with the agency employing the claimant during the claim 
period or with OPM, but not both simultaneously, regarding matters 
arising under the Act if, during the entire claim period, the claimant--
    (1) Was not a member of a bargaining unit, or
    (2) Was a member of a bargaining unit not covered by a collective 
bargaining agreement, or
    (3) Was a member of a bargaining unit covered by a collective 
bargaining agreement that specifically excluded matters under the Act 
from the scope of the negotiated grievance procedure.
    (c) Judicial review. Nothing in this subpart limits the right of a 
claimant to bring an action in an appropriate United States court. 
Filing a claim with an agency or with OPM does not satisfy the statute 
of limitations governing FLSA claims filed in court. OPM will not decide 
an FLSA claim that is in litigation.



Sec. 551.704  Claimant's representative.

    A claimant may designate a representative to assist in preparing or 
presenting a claim. The claimant must designate the representative in 
writing. A representative may not participate in OPM interviews unless 
specifically requested to do so by OPM. An agency may disallow a 
claimant's representative who is a Federal employee in any of the 
following circumstances:
    (a) When the individual's activities as a representative would cause 
a conflict of interest or position;
    (b) When the designated representative cannot be released from his 
or her official duties because of the priority needs of the Government; 
or

[[Page 585]]

    (c) When the release of the designated representative would give 
rise to unreasonable costs to the Government.



Sec. 551.705  Filing an FLSA claim.

    (a) Filing an FLSA claim. A claimant may file an FLSA claim with 
either the agency employing the claimant during the claim period or with 
OPM, but a claimant cannot pursue the same claim with both at the same 
time. OPM encourages a claimant to obtain a decision on the claim from 
the agency before filing the claim with OPM. However, a claimant is not 
required to do this. This a matter of personal discretion and a claimant 
may use either avenue. A claimant who receives an unfavorable decision 
on a claim from the agency may still file the claim with OPM. However, a 
claimant may not file the claim with the agency after receiving an 
unfavorable decision from OPM. An OPM decision on a claim is final and 
is not subject to further administrative review.
    (b) FLSA claim filed with agency. An FLSA claim filed with an agency 
should be made according to appropriate agency procedures. At the 
request of the claimant, the agency may forward the claim to OPM on the 
claimant's behalf. The claimant is responsible for ensuring that OPM 
receives all the information requested in paragraph (b) of this section.
    (c) FLSA claim filed with OPM. An FLSA claim filed with OPM must be 
made in writing and must be signed by the claimant or the claimant's 
representative. Relevant information may be submitted to OPM at any time 
following the initial submission of a claim to OPM and prior to OPM's 
decision on the claim. The claim must include the following:
    (1) The identity of the claimant (see Sec. 551.706(a)(2) regarding 
requesting confidentiality) and any designated representative, the 
agency employing the claimant during the claim period, the position (job 
title, series, and grade) occupied by the claimant during the claim 
period, and the current mailing address, commercial telephone number, 
and facsimile machine number, if available, of the claimant and any 
designated representative;
    (2) A description of the nature of the claim and the specific issues 
or incidents giving rise to the claim, including the time period covered 
by the claim;
    (3) A description of actions taken by the claimant to resolve the 
claim within the agency and the results of any actions taken;
    (4) A copy of any relevant decision or written response by the 
agency;
    (5) Evidence available to the claimant or the claimant's designated 
representative which supports the claim, including the identity, 
commercial telephone number, and location of other individuals who may 
be able to provide information relating to the claim;
    (6) The remedy sought by the claimant;
    (7) Evidence, if available, that the claim period was preserved in 
accordance with Sec. 551.702. The date the claim is received by the 
agency or OPM becomes the date on which the claim period is preserved;
    (8) A statement from the claimant that he or she was or was not a 
member of a collective bargaining unit at any time during the claim 
period;
    (9) If the claimant was a member of a bargaining unit, a statement 
from the claimant that he or she was or was not covered by a negotiated 
grievance procedure at any time during the claim period, and if covered, 
whether that procedure specifically excluded the claim from the scope of 
the negotiated grievance procedure;
    (10) A statement from the claimant that he or she has or has not 
filed an action in an appropriate United States court; and
    (11) Any other information that the claimant believes OPM should 
consider.



Sec. 551.706  Responsibilities.

    (a) Claimant--(1) Providing information to OPM. For all FLSA claims, 
the claimant or claimant's designated representative must provide any 
additional information requested by OPM within 15 workdays after the 
date of the request, unless the claimant or the claimant's 
representative requests additional time and OPM grants a longer period 
of time in which to provide the

[[Page 586]]

requested information. The disclosure of information by a claimant is 
voluntary. However, OPM may be unable to render a decision on a claim 
without the information requested. In such a case, the claim will be 
cancelled without further action being taken by OPM. In the case of an 
FLSA pay claim, it is the claimant's responsibility to provide evidence 
that the claim period was preserved in accordance with Sec. 551.702 and 
of the liability of the agency and the claimant's right to payment.
    (2) Requesting confidentiality. If the claimant wishes the claim to 
be treated confidentially, the claim must specifically request that the 
identity of the claimant not be revealed to the agency. Witnesses or 
other sources may also request confidentiality. OPM will make every 
effort to conduct its investigation in a way to maintain 
confidentiality. If OPM is unable to obtain sufficient information to 
render a decision and preserve the requested confidentiality, OPM will 
notify the claimant that the claim will be cancelled with no further 
action by OPM unless the claimant voluntarily provides written 
authorization for his or her name to be revealed.
    (b) Agency. (1) In FLSA exemption status determination claims, the 
burden of proof rests with the agency that asserts the FLSA exemption.
    (2) The agency must provide the claimant with a written 
acknowledgment of the date the claim was received.
    (3) Upon a claimant's request, and subject to any Privacy Act 
requirements, an agency must provide a claimant with information 
relevant to the claim.
    (4) The agency must provide any information requested by OPM within 
15 workdays after the date of the request, unless the agency requests 
additional time and OPM grants a longer period of time in which to 
provide the requested information.



Sec. 551.707  Withdrawal or cancellation of an FLSA claim.

    (a) Withdrawal. A claimant or the claimant's representative may 
withdraw a claim at any time prior to the issuance of an OPM FLSA claim 
decision by providing written notice to the OPM office where the claim 
was filed.
    (b) Cancellation. OPM may, at its discretion, cancel an FLSA claim 
if the claimant or the claimant's designated representative fails to 
provide requested information within 15 workdays after the date of the 
request, unless the claimant or the claimant's representative requests 
additional time and OPM grants a longer period of time in which to 
provide the requested information. OPM may, at its discretion, 
reconsider a cancelled claim on a showing that circumstances beyond the 
claimant's control prevented pursuit of the claim.



Sec. 551.708  Finality and effect of OPM FLSA claim decision.

    OPM will send an FLSA claim decision to the claimant or the 
claimant's representative and the agency. An FLSA claim decision made by 
OPM is final. There is no further right of administrative appeal. At its 
discretion, OPM may reconsider a decision upon a showing that material 
information was not considered or there was a material error of law, 
regulation, or fact in the original decision. A decision by OPM under 
the Act is binding on all administrative, certifying, payroll, 
disbursing, and accounting officials of agencies for which OPM 
administers the Act. Upon receipt of a decision, the agency employing 
the claimant during the claim period must take all necessary steps to 
comply with the decision, including adherence with compliance 
instructions provided with the decision. All compliance actions must be 
completed within the time specified in the decision, unless an extension 
of time is requested by the agency and granted by OPM. The agency should 
identify all similarly situated current and, to the extent possible, 
former employees, ensure that they are treated in a manner consistent 
with the decision, and inform them in writing of their right to file an 
FLSA claim with the agency or OPM.



Sec. 551.709  Availability of information.

    (a) Except when the claimant has requested confidentiality, the 
agency and the claimant must provide to each

[[Page 587]]

other a copy of all information submitted with respect to the claim.
    (b) When a claimant has not requested confidentiality, OPM will 
disclose to the parties concerned the information contained in an FLSA 
claim file. When a claimant has requested confidentiality, OPM will 
delete any information identifying the claimant before disclosing the 
information in an FLSA claim file to the parties concerned. For the 
purposes of this subpart, the parties concerned means the claimant, any 
representative designated in writing, and any representative of the 
agency or OPM involved in the proceeding.
    (c) Except when the claimant has requested confidentiality or the 
disclosure would constitute a clearly unwarranted invasion of personal 
privacy, OPM, upon a request which identifies the individual from whose 
file the information is sought, will disclose the following information 
from a claim file to a member of the public:
    (1) Confirmation of the name of the individual from whose file the 
information is sought and the names of the other parties concerned;
    (2) The remedy sought;
    (3) The status of the claim;
    (4) The decision on the claim; and
    (5) With the consent of the parties concerned, other reasonably 
identified information from the file.



Sec. 551.710  Where to file an FLSA claim with OPM.

    An FLSA claim must be filed with the OPM office serving the area 
where the cause or basis of the claim occurred. Following are OPM 
addresses and service areas.

                     OPM Atlanta Oversight Division

75 Spring Street SW., Suite 972, Atlanta, GA 30303-3109
Alabama, Florida, Georgia, Mississippi, North Carolina, South Carolina, 
Tennessee, Virginia (except the Virginia locations listed under the 
Washington, DC Oversight Division)

                     OPM Chicago Oversight Division

230 S. Dearborn Street, DPN 30-6, Chicago, IL 60604-1687
llinois, Indiana, Iowa, Kansas, Kentucky, Michigan, Minnesota, Missouri, 
Nebraska, North Dakota, Ohio, South Dakota, West Virginia, Wisconsin

                      OPM Dallas Oversight Division

1100 Commerce Street, Room 4C22, Dallas, TX 75242-9968
Arizona, Arkansas, Colorado, Louisiana, Montana, New Mexico, Oklahoma, 
Texas, Utah, Wyoming

                   OPM Philadelphia Oversight Division

600 Arch Street, Room 3400, Philadelphia, PA 19106-1596
Connecticut, Delaware, Maine, Maryland (except the Maryland locations 
listed under the Washington, DC Oversight Division), Massachusetts, New 
Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Vermont, 
Puerto Rico, Virgin Islands

                  OPM San Francisco Oversight Division

120 Howard Street, Room 760, San Francisco, CA 94105-0001
Alaska, California, Hawaii, Idaho, Nevada, Oregon, Washington, Pacific 
Ocean Area

                  OPM Washington, DC Oversight Division

1900 E Street NW., Room 7675, Washington, DC 20415-0001
The District of Columbia
In Maryland: the counties of Charles, Montgomery, and Prince George's.
In Virginia: the counties of Arlington, Fairfax, King George, Loudoun, 
Prince William, and Stafford; the cities of Alexandria, Fairfax, Falls 
Church, Manassas, and Manassas Park; and any overseas area not listed in 
the service area of another Oversight division.



PART 553--REEMPLOYMENT OF MILITARY AND CIVILIAN RETIREES TO MEET EXCEPTIONAL EMPLOYMENT NEEDS--Table of Contents




                      Subpart A--General Provisions

Sec.
553.101 Applicability.
553.102 Definitions.
553.103 General policy.

 Subpart B--Special Provisions for Reemployment Without Penalty To Meet 
                Exceptional Recruiting or Retention Needs

553.201 Requesting OPM approval for reemployment without reduction in 
          individual cases.
553.202 Request for delegation of authority to approve reemployment 
          without reduction in emergencies.
553.203 Status of individuals serving without reduction.

    Authority: 5 U.S.C. 8344, 8468, Sec. 651, Pub. L. 106-65 (113 STAT. 
664).

[[Page 588]]


    Source: 56 FR 6206, Feb. 14, 1991, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 553.101  Applicability.

    This part applies to employment of civilian annuitants who would be 
subject to termination of annuity or annuity offset under 5 U.S.C. 8344 
or 5 U.S.C. 8468. Agencies may request exceptions as provided in subpart 
B of this part from the reemployed annuitant provisions of 5 U.S.C. 8344 
(for Civil Service Retirement System annuitants) or 8468 (for Federal 
Employees' Retirement System annuitants), as appropriate.

[65 FR 19644, Apr. 12, 2000]



Sec. 553.102  Definitions.

    (a) Agency, as used in this part, means an executive agency as 
defined in 5 U.S.C. 105.
    (b) Annuitant, as used in this part, refers to a current or former 
civilian employee who is receiving, or meets the legal requirements and 
is applying or has announced intention to apply for, an annuity under 
subchapter III of chapter 83 or chapter 84 of title 5, United States 
Code, based on his or her service.
    (c) Retiree, as used in this part refers to an annuitant as defined 
in paragraph (b) of this section.

[56 FR 6206, Feb. 14, 1991, as amended at 65 FR 19644, Apr. 12, 2000]



Sec. 553.103  General policy.

    (a) Agency discretion and responsibility. The decision to request an 
exception, or to grant an exception under delegated authority, for any 
individual under any of the provisions of this part will be at the 
discretion of the employing agency. A determination made in connection 
with one position does not require a like determination in connection 
with any other position. In deciding whether to request an exception or 
grant an exception under delegated authority, each agency is expected to 
weigh fiscal responsibility and employee equity and should consider such 
factors as availability of funds as well as the criteria set out in this 
part.
    (b) Application of exceptions. An exception to the salary offset 
provisions of 5 U.S.C. 8344 or 8468 authorized by OPM or an agency under 
this part applies only to the particular individual for whom it was 
authorized and only while that individual continues to serve in the same 
or a successor position. The exception terminates upon the individual's 
assignment to a different position unless a new exception is authorized 
under the provisions of this part.

[56 FR 6206, Feb. 14, 1991, as amended at 65 FR 19644, Apr. 12, 2000]



 Subpart B--Special Provisions for Reemployment Without Penalty To Meet 
                Exceptional Recruiting or Retention Needs



Sec. 553.201  Requesting OPM approval for reemployment without reduction in individual cases.

    (a) Request by agency head. The head of an agency may request OPM to 
approve individual exceptions on a case-by-case basis to meet temporary 
emergency hiring needs or when the agency has encountered exceptional 
difficulty in recruiting or retaining a qualified candidate for a 
particular position. Authority to submit such a request may not be 
redelegated to an official below the agency's headquarters level (or, in 
the case of the Department of Defense, to an official below the 
headquarters level of the military department or Defense agency).
    (b) Requirements for all requests. (1) Each request must identify 
the individual for whom the exception is requested, the appointing 
authority to be used, and the position to which he or she will be 
appointed.
    (2) The request must be submitted in accordance with the criteria 
set out in paragraph (c), paragraph (d), or paragraph (e) of this 
section.
    (3) Unless the request is submitted in accordance with paragraph (e) 
of this section, the individual must be off the agency's rolls before 
submission.
    (4) Unless the request is submitted in accordance with paragraph (c) 
of this section, or involves employment that is excluded from retirement 
coverage, a request for continuation of an annuity that would otherwise 
be terminated under 5 U.S.C. 8344 or 8468 must show that continuation of 
the annuity would

[[Page 589]]

be within the spirit of the applicable law.
    (c) Requests based on an emergency hiring need. An agency may 
request reemployment without penalty for an individual whose services 
are needed on a temporary basis to respond to an emergency involving a 
direct threat to life or property or other unusual circumstances. 
Requests submitted on this basis must meet the following criteria:
    (1) Nature of emergency. Describe the military threat, natural 
disaster, or other unforeseen occurrence, the date it occurred, and the 
expected duration of the emergency response effort.
    (2) Need for the individual's services. The agency must show either 
that the individual is uniquely qualified for the emergency response 
work to be done or that the number of positions to be filled and/or 
urgency of response justifies making the particular appointment without 
further delay. OPM will not approve reemployment without penalty under 5 
U.S.C. 8344, or 8468 solely to meet normal seasonal workload 
fluctuations.
    (d) Requests based on severe recruiting difficulty. Generally, 
requests for exception will be based on exceptional difficulty in 
recruiting a qualified candidate for a particular position. Requests 
submitted on this basis must include a description of the length, 
breadth, and results of the agency's recruiting efforts for the position 
and any other factors demonstrating that a legitimate recruiting need 
cannot be met without the requested waiver. These factors may include, 
but are not limited to, unusual qualification requirements or working 
conditions, possibility of job reengineering or contracting, or a need 
to fill the position without further delay.
    (e) Exceptions based on need to retain a particular individual. In 
very rare cases, an exception may be appropriate when an agency needs to 
retain the services of a particular individual who is uniquely qualified 
for an ongoing project. Requests submitted on this basis must meet the 
following criteria:
    (1) Critical nature of project. The agency must describe the 
importance of the project to the agency's mission, the potential costs 
of project failure or delay, legislative or Presidential deadlines, if 
any, and any other factors demonstrating that the project is unusually 
critical. Exceptions will not be approved under this paragraph merely to 
avoid delay in scheduled completion of ongoing work.
    (2) Candidate's unique qualifications. The agency must describe the 
knowledges, skills, and abilities possessed by the individual that are 
essential for successful completion of the project and that could not be 
acquired by another appointee within a reasonable time.
    (3) Need for retention. The agency must show good cause to believe 
that the employee will retire (or, in the case of an individual 
currently reemployed without an exception, will resign from that 
position) and that the agency will lose his or her services if the 
exception is not granted.
    (4) Other staffing options. While an agency in this situation is not 
required to conduct outside recruiting, the request for exception must 
address why the work could not be assigned to other employees involved 
with the same project.
    (f) Length of exceptions. OPM may specify a time limit for 
reemployment without penalty of any individual approved under this 
subpart. If the agency wishes to continue the exception for an 
individual beyond the specified time, the request for renewal must 
demonstrate that the conditions justifying the initial exception still 
exist.

[56 FR 6206, Feb. 14, 1991, as amended at 57 FR 12406, Apr. 10, 1992; 65 
FR 19644, Apr. 12, 2000]



Sec. 553.202  Request for delegation of authority to approve reemployment without reduction in emergencies.

    (a) Request by agency head. The head of an agency may request OPM to 
delegate to the agency authority to approve individual exceptions on a 
case-by-case basis in specific circumstances. Authority to submit such a 
request may not be redelegated to an official below the agency's 
headquarters level (or, in the case of the Department of Defense, to an 
official below the headquarters level of the military department or 
Defense agency).

[[Page 590]]

    (b) Content of request. The request for delegation must include:
    (1) Description of the situations for which authority is requested. 
The situations must result from emergencies posing immediate and direct 
threat to life or property or emergencies resulting from other unusual 
circumstances.
    (2) Identification of the occupations, grades, and locations of 
positions that might be filled under the delegated authority.
    (3) Statement of the expected duration of the reemployment to be 
approved under the requested authority.
    (c) Delegation agreement. OPM will set out the conditions for use of 
each authority that it delegates under the provisions of this section in 
a delegation agreement. The agreement will remain in effect without time 
limit unless OPM specifies a termination date in the agreement, or 
unless OPM withdraws the delegated authority upon finding that the 
circumstances justifying the delegation have changed substantially or 
that the agency has failed to manage the authority in accordance with 
the law, the regulations, and the agreement itself.

[56 FR 6206, Feb. 14, 1991, as amended at 57 FR 12406, Apr. 10, 1992]



Sec. 553.203  Status of individuals serving without reduction.

    (a) Reemployed civilian annuitants. Annuitants reemployed with full 
salary and annuity under an exception granted in accordance with this 
part are not considered employees for purposes of subchapter III of 
chapter 83 or chapter 84 of title 5, United States Code. They may not 
elect to have retirement contributions withheld from their pay; they may 
not use any employment for which an exception is granted as a basis for 
a supplemental or recomputed annuity; and they may not participate in 
the Thrift Savings Plan.
    (b) Retired members of the uniformed services. Except for 
individuals to whom paragraph (a) of this section is applicable, retired 
members of uniformed services are considered employees for the purposes 
of subchapter III of chapter 83 or chapter 84 of title 5, United States 
Code, subject to the same conditions as apply to any other employees.

[56 FR 6206, Feb. 14, 1991, as amended at 57 FR 12406, Apr. 10, 1992; 65 
FR 19644, Apr. 12, 2000]



PART 572--TRAVEL AND TRANSPORTATION EXPENSES; NEW APPOINTEES AND INTERVIEWS--Table of Contents




Sec.
572.101 Agency authority.
572.102 Agency discretion.
572.103 Recordkeeping.

    Authority: 5 U.S.C. 5706b and 5723.

    Source: 56 FR 6204, Feb. 14, 1991, unless otherwise noted.



Sec. 572.101  Agency authority.

    (a) An agency may determine which positions qualify for the payment 
of a new appointee's travel expenses to the first post of duty. Payment 
of travel and transportation expenses will be in accordance with the 
Federal Travel Regulation (FTR) (41 CFR chapters 301-304).
    (b) An agency may determine which interviewees are eligible for 
payment of pre-employment interview travel expenses. Payment of these 
travel expenses will be in accordance with the FTR.

[56 FR 28307, June 20, 1991]



Sec. 572.102  Agency discretion.

    Payment of travel expenses for any individual candidate or appointee 
will be at the discretion of the employing agency. A decision by one 
agency that payment is appropriate for a particular position does not 
require a like determination by any other agency filling similar 
positions. A decision made in connection with one specific vacancy does 
not require a like decision in connection with future vacancies. In 
deciding to pay travel and transportation or interview expenses in 
filling any position, the agency should consider such factors as 
availability of funds as well as the desirability of conducting 
interviews for a particular job or offering a recruiting incentive to a 
particular candidate.

[[Page 591]]



Sec. 572.103  Recordkeeping.

    Each agency will maintain records of payments made under this 
authority and will make those records available to OPM on request.



PART 575--RECRUITMENT AND RELOCATION BONUSES; RETENTION ALLOWANCES; SUPERVISORY DIFFERENTIALS--Table of Contents




                     Subpart A--Recruitment Bonuses

Sec.
575.101 Purpose.
575.102 Delegation of authority.
575.103 Definitions.
575.104 Agency recruitment bonus plans; higher level review and 
          approval; and criteria for payment.
575.105 Payment of recruitment bonus.
575.106 Service agreement.
575.107 Repayment of recruitment bonus.
575.108 Internal monitoring.
575.109 Records and reports.

                      Subpart B--Relocation Bonuses

575.201 Purpose.
575.202 Delegation of authority.
575.203 Definitions.
575.204 Agency relocation bonus plans; higher level review and approval; 
          criteria for payment; and exceptions to case-by-case approval.
575.205 Payment of relocation bonus.
575.206 Service agreement.
575.207 Repayment of relocation bonus.
575.208 Internal monitoring.
575.209 Records and reports.

                     Subpart C--Retention Allowances

575.301 Purpose.
575.302 Delegation of authority.
575.303 Definitions.
575.304 Conditions for payment.
575.305 Agency retention allowance plans; higher level review and 
          approval; and criteria for payment.
575.306 Payment of retention allowance.
575.307 Reduction or termination of retention allowance.
575.308 Internal monitoring.
575.309 Records and reports.

                  Subpart D--Supervisory Differentials

575.401 Purpose.
575.402 Delegation of authority.
575.403 Definitions.
575.404 Use of authority.
575.405 Calculation and payment of supervisory differential.
575.406 Adjustment or termination of supervisory differential.
575.407 Records.

                Subpart E--Extended Assignment Incentives

575.501 Purpose.
575.502 Definitions.
575.503 Who may approve the payment of an extended assignment incentive?
575.504 What requirements must an agency satisfy before authorizing the 
          payment of an extended assignment incentive?
575.505 What criteria must an agency use to determine who will receive 
          an extended assignment incentive?
575.506 When is an agency prohibited from paying an extended assignment 
          incentive?
575.507 What is the maximum extended assignment incentive that may be 
          paid for a period of service?
575.508 What is the maximum amount of service that may be covered by an 
          extended assignment incentive?
575.509 Is an extended assignment incentive considered basic pay for any 
          purpose?
575.510 What requirements are associated with service agreements?
575.511 What happens when an employee is involuntarily separated or 
          involuntarily reassigned prior to completion of the service 
          period?
575.512 When may an agency terminate a service agreement?
575.513 What are the agency's and the employee's obligations when an 
          employee fails to fulfill the terms of a service agreement?
575.514 What are an agency's monitoring responsibilities?
575.515 What records and reports are required?

    Authority: 5 U.S.C. 1104(a)(2), 5753, 5754, 5755, and 5757; Pub. L. 
107-273, 116 stat. 1780; secs. 302 and 404 of the Federal Employees Pay 
Comparability Act of 1990 (FEPCA), Pub. L. 101-509, 104 Stat. 1462 and 
1466, respectively; E.O. 12748, 3 CFR, 1992 Comp., p. 316.

    Source: 56 FR 12838, Mar. 28, 1991, unless otherwise noted.



                     Subpart A--Recruitment Bonuses



Sec. 575.101  Purpose.

    This subpart provides regulations to implement 5 U.S.C. 5753, which 
authorizes payment of a recruitment bonus of up to 25 percent of the 
annual rate of basic pay to a newly appointed employee, provided there 
is a determination that, in the absence of such a

[[Page 592]]

bonus, difficulty would be encountered in filling the position.

[60 FR 33325, June 28, 1995]



Sec. 575.102  Delegation of authority.

    (a) Except as provided in paragraph (b) of this section, the head of 
an agency (or, with respect to positions not under the General Schedule, 
the head of an Executive agency) may pay a recruitment bonus to an 
employee who is newly appointed to--
    (1) A General Schedule position paid under 5 U.S.C. 5332;
    (2) A senior-level or scientific or professional position paid under 
5 U.S.C. 5376;
    (3) A Senior Executive Service position paid under 5 U.S.C. 5383 or 
a Federal Bureau of Investigation and Drug Enforcement Administration 
Senior Executive Service position paid under 5 U.S.C. 3151;
    (4) A position as a law enforcement officer, as defined in 
Sec. 550.103 of this chapter.
    (5) A position under the Executive Schedule established under 
subchapter II of chapter 53 of title 5, United States Code, or a 
position the rate of pay for which is fixed by law at a rate equal to a 
rate for the Executive Schedule;
    (6) An executive branch position filled by Presidential appointment 
(with or without the advice and consent of the Senate); or
    (7) A prevailing rate position, as defined in 5 U.S.C. 5342(a)(3).
    (b) The delegation of authority under paragraph (a) of this section 
shall not apply to the payment of a recruitment bonus to--
    (1) The head of an agency, including an agency headed by a collegial 
body composed of two or more individual members; or
    (2) An employee appointed to a position in the expectation of 
receiving an appointment as the head of an agency.
    (c) The head of an Executive agency may request that OPM authorize 
the payment of a recruitment bonus to one or more categories of 
employees of his or her agency not otherwise covered by 5 U.S.C. 5753 or 
this subpart.
    (d) When OPM finds that an agency is not paying recruitment bonuses 
in conformance with the agency's recruitment bonus plan and the criteria 
established under Sec. 575.104 of this part or otherwise determines that 
the agency is not using this authority selectively and judiciously, it 
may--
    (1) Direct the agency to revoke or suspend the authority granted to 
any organizational component of the agency and with respect to any 
category or categories of employees and require that prior approval be 
secured at headquarters level before paying a recruitment bonus to such 
employees; or
    (2) Revoke or suspend the authority granted to the head of the 
agency by paragraph (a) of this section for all or any part of the 
agency and with respect to any category or categories of employees and 
require that prior OPM approval be secured before paying a recruitment 
bonus to such employees.

[56 FR 12838, Mar. 28, 1991, as amended at 57 FR 37398, Aug. 19, 1992; 
58 FR 3201, Jan. 8, 1993; 58 FR 65537, Dec. 15, 1993; 64 FR 69181, Dec. 
10, 1999; 66 FR 37883, July 20, 2001]



Sec. 575.103  Definitions.

    In this subpart: Agency has the meaning given that term in 5 U.S.C. 
5102.
    Commuting area has the meaning given that term in Sec. 575.203.
    Employee means--
    (a) An employee in or under an agency who is newly appointed; or
    (b) An individual not yet employed who has received a written offer 
to be newly appointed and has signed a written service agreement in 
accordance with Sec. 575.106 prior to payment of the recruitment bonus.
    Head of agency means the head of an agency or an official who has 
been delegated the authority to act for the head of the agency in the 
matter concerned.
    Involuntarily separated refers to a separation initiated by an 
agency against the employee's will and without his or her consent for 
reasons other than cause on charges of misconduct or delinquency. An 
involuntary separation includes a separation resulting from the 
employee's actual inability to do the work following genuine efforts to 
do so, but does not include a separation under part 752 of this chapter 
or an equivalent procedure for reasons that involve culpable wrongdoing 
on the part of the employee. In addition, when an employee is separated 
because he or

[[Page 593]]

she declines to accept reassignment outside his or her commuting area, 
the separation is involuntary if the employee's position description or 
other written agreement does not provide for such reassignment. However, 
an employee's separation is not involuntary if, after such a written 
mobility agreement is added, the employee accepts one reassignment 
outside his or her commuting area, but subsequently declines another 
such reassignment.
    Newly appointed refers to--
    (a) The first appointment, regardless of tenure, as an employee of 
the Federal Government; or
    (b) An appointment as an employee of the Federal Government 
following a break in service of at least 90 days from the candidate's 
last period of Federal employment, other than--
    (1) Employment under the Student Educational Employment Program 
under Sec. 213.3202;
    (2) Employment as a law clerk trainee under Sec. 213.3102(e) of this 
chapter;
    (3) Employment while a student during school vacations under a 
short-term temporary appointing authority;
    (4) Employment under a provisional appointment designated under 
Sec. 316.403 if the new appointment is permanent and immediately follows 
the provisional appointment; or
    (5) Employment under a temporary appointment that is neither full-
time nor the principal employment of the candidate.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position to which the employee is or will 
be newly appointed before deductions and exclusive of additional pay of 
any kind, such as locality-based comparability payments under 5 U.S.C. 
5304 or special pay adjustments for law enforcement officers under 
section 404 of the Federal Employees Pay Comparability Act of 1990 (Pub. 
L. 101-509).
    Service agreement means a written agreement between an agency and a 
newly appointed employee under which the employee agrees to a specified 
period of employment with the appointing agency in return for payment of 
a recruitment bonus.

[56 FR 12838, Mar. 28, 1991, as amended at 57 FR 37398, Aug. 19, 1992; 
60 FR 33325, June 28, 1995; 61 FR 3543, Feb. 1, 1996; 64 FR 69181, Dec. 
10, 1999]



Sec. 575.104  Agency recruitment bonus plans; higher level review and approval; and criteria for payment.

    (a) Agency recruitment bonus plans. (1) Before paying a recruitment 
bonus under this subpart, the head of an agency shall establish a 
recruitment bonus plan.
    (2) A recruitment bonus plan shall include the following elements:
    (i) The designation of officials with authority to review and 
approve payment of recruitment bonuses;
    (ii) Criteria that must be met or considered in authorizing bonuses, 
including criteria for determining the amount of a bonus;
    (iii) Procedures for paying bonuses;
    (iv) Requirements for service agreements; and
    (v) Documentation and recordkeeping requirements sufficient to allow 
reconstruction of the action.
    (b) Higher level review and approval. (1) Except as provided in 
paragraph (b)(2) of this section, each determination to pay a 
recruitment bonus, including the amount of such bonus, shall be reviewed 
and approved by an official of the agency who is at a higher level than 
the official who made the initial decision, unless there is no official 
at a higher level in the agency.
    (2) When necessary to make a timely offer of employment, a higher 
level official may establish criteria for offering recruitment bonuses 
in advance and authorize the recommending official to offer a 
recruitment bonus (in any amount within a pre-established range) to any 
candidate without further review or approval.
    (c) Criteria for payment. (1) Each bonus paid under this subpart 
shall be based on a written determination that, in the absence of such a 
bonus, the agency would encounter difficulty in filling the position. 
Such a determination shall be made before the employee actually enters 
on duty in the position for which he or she was recruited. An

[[Page 594]]

agency may target groups of positions that have been difficult to fill 
in the past or that may be difficult to fill in the future and may make 
the required written determination to offer a recruitment bonus on a 
group basis.
    (2) In determining whether a recruitment bonus should be paid and in 
determining the amount of any such payment, an agency shall consider the 
following factors, as applicable in the case at hand:
    (i) The success of recent efforts to recruit candidates for similar 
positions, including indicators such as offer acceptance rates, the 
proportion of positions filled, and the length of time required to fill 
similar positions;
    (ii) Recent turnover in similar positions;
    (iii) Labor-market factors that may affect the ability of the agency 
to recruit candidates for similar positions now or in the future;
    (iv) Special qualifications needed for the position; and
    (v) The practicality of using the superior qualifications 
appointment authority provided by 5 U.S.C. 5333 and Sec. 531.203(b) of 
this chapter alone or in combination with a recruitment bonus.

[56 FR 12838, Mar. 28, 1991; 56 FR 14290, Apr. 8, 1991, as amended at 60 
FR 33326, June 28, 1995]



Sec. 575.105  Payment of recruitment bonus.

    A recruitment bonus shall be calculated as a percentage of the 
employee's annual rate of basic pay (not to exceed 25 percent) and paid 
as a lump sum. It shall not be considered part of an employee's rate of 
basic pay for any purpose.

[60 FR 33326, June 28, 1995]



Sec. 575.106  Service agreement.

    (a) Before a recruitment bonus may be paid, an agency shall require 
that the employee sign a written service agreement to complete a 
specified period of employment with the appointing agency (or successor 
agency in the event of a transfer of function).
    (b) The minimum period of employment to be established under a 
service agreement for a recruitment bonus shall be 6 months.

[60 FR 33326, June 28, 1995]



Sec. 575.107  Repayment of recruitment bonus.

    (a) Except as provided in paragraph (d) of this section, an employee 
who fails to complete the period of employment established under a 
service agreement shall be indebted to the Federal Government and shall 
repay the recruitment bonus on a pro rata basis. The amount to be repaid 
shall be determined by providing credit for each full month of 
employment completed by the employee under the service agreement.
    (b) Failure to complete the period of employment established under a 
service agreement occurs when the employee's service with the appointing 
agency terminates before the employee completes the period of employment 
specified in the service agreement.
    (c) Amounts owed by an employee under paragraph (a) of this section 
shall be recovered from the employee under the agency's regulations for 
collection by offset from an indebted Government employee under 5 U.S.C. 
5514 and subpart K of part 550 of this chapter.
    (d) Paragraph (a) of this section does not apply when an employee 
fails to complete a period of employment established under a service 
agreement because the employee is involuntarily separated.
    (e) A right of recovery of an employee's debt under 5 U.S.C. 5514 
may be waived in whole or in part by the head of the agency if he or she 
determines that recovery would be against equity and good conscience or 
against the public interest.



Sec. 575.108  Internal monitoring.

    Each agency shall monitor the use of recruitment bonuses to ensure 
that its recruitment bonus plan conforms to the requirements established 
under this subpart and that the payment of recruitment bonuses conforms 
to the criteria established under this subpart.

[60 FR 33326, June 28, 1995]

[[Page 595]]



Sec. 575.109  Records and reports.

    (a) Each agency shall keep a record of each determination required 
by Sec. 575.104(c) of this part and make such records available for 
review upon request by OPM. Each agency shall promptly submit a report 
of each such determination as a part of its regular submission to OPM's 
Central Personnel Data File.
    (b) So that OPM can evaluate agencies' use of this authority and 
provide the Congress and others with information regarding the use of 
recruitment bonuses, each agency shall maintain such other records and 
submit to OPM such other reports and data as OPM shall require.



                      Subpart B--Relocation Bonuses



Sec. 575.201  Purpose.

    This subpart provides regulations to implement 5 U.S.C. 5753, which 
authorizes payment of a relocation bonus of up to 25 percent of the 
annual rate of basic pay to an employee who must relocate to accept a 
position in a different commuting area, provided there is a 
determination that, in the absence of such a bonus, difficulty would be 
encountered in filling the position.

[60 FR 33326, June 28, 1995]



Sec. 575.202  Delegation of authority.

    (a) Except as provided in paragraph (b) of this section, the head of 
an agency (or, with respect to positions not under the General Schedule, 
the head of an Executive agency) may pay a relocation bonus to an 
employee appointed to--
    (1) A General Schedule position paid under 5 U.S.C. 5332;
    (2) A senior-level or scientific or professional position paid under 
5 U.S.C. 5376;
    (3) A Senior Executive Service position paid under 5 U.S.C. 5383 or 
a Federal Bureau of Investigation and Drug Enforcement Administration 
Senior Executive Service position paid under 5 U.S.C. 3151;
    (4) A position as a law enforcement officer, as defined in 
Sec. 550.103 of this chapter.
    (5) A position under the Executive Schedule established under 
subchapter II of chapter 53 of title 5, United States Code, or a 
position the rate of pay for which is fixed by law at a rate equal to a 
rate for the Executive Schedule;
    (6) An executive branch position filled by Presidential appointment 
(with or without the advice and consent of the Senate); or
    (7) A prevailing rate position, as defined in 5 U.S.C. 5342(a)(3).
    (b) The delegation of authority under paragraph (a) of this section 
shall not apply to the payment of a relocation bonus to--
    (1) The head of an agency, including an agency headed by a collegial 
body composed of two or more individual members; or
    (2) An employee appointed to a position in the expectation of 
receiving an appointment as the head of an agency.
    (c) The head of an Executive agency may request that OPM authorize 
the payment of a relocation bonus to one or more categories of employees 
of his or her agency not otherwise covered by 5 U.S.C. 5753 or this 
subpart.
    (d) When OPM finds that an agency is not paying relocation bonuses 
in conformance with the agency's relocation bonus plan and the criteria 
established under Sec. 575.204 of this part or otherwise determines that 
the agency is not using this authority selectively and judiciously, it 
may--
    (1) Direct the agency to revoke or suspend the authority granted to 
any organizational component of the agency and with respect to any 
category or categories of employees and require that prior approval be 
secured at headquarters level before paying a relocation bonus to such 
employees; or
    (2) Revoke or suspend the authority granted to the head of the 
agency by paragraph (a) of this section for all or any part of the 
agency and with respect to any category or categories of employees and 
require that prior OPM approval be secured before paying a relocation 
bonus to such employees.

[56 FR 12838, Mar. 28, 1991, as amended at 57 FR 37398, Aug. 19, 1992; 
58 FR 3201, Jan. 8, 1993; 58 FR 65537, Dec. 15, 1993; 64 FR 69181, Dec. 
10, 1999; 66 FR 37883, July 20, 2001]



Sec. 575.203  Definitions.

    In this subpart: Agency has the meaning given that term in 5 U.S.C. 
5102.

[[Page 596]]

    Commuting area means the geographic area surrounding a work site 
that encompasses the localities where people live and reasonably can be 
expected to travel back and forth daily to work, as established by the 
employing agency based on the generally held expectations of the local 
community. When an employee's residence is within the standard commuting 
area for a work site, the work site is within the employee's commuting 
area. When an employee's residence is outside the standard commuting 
area for a proposed new work site, the employee's commuting area is 
deemed to include the expanded area surrounding the employee's residence 
and including all destinations that can be reached via a commuting trip 
that is not significantly more burdensome than the current commuting 
trip. This excludes a commuting trip from a residence where the employee 
planned to stay only temporarily until he or she could find a more 
permanent residence closer to his or her work site. For this purpose, a 
commuting trip to a new work site is considered significantly more 
burdensome if it would compel the employee to change his or her place of 
residence in order to continue employment, taking into account commuting 
time and distance, availability of public transportation, cost, and any 
other relevant factors.
    Employee means--
    (a) An individual in the civil service (as defined in 5 U.S.C. 2101) 
who is relocated without a break in service upon appointment to a 
position in or under an agency in a different commuting area; or
    (b) An employee in or under an agency whose duty station is changed 
permanently or temporarily to a different commuting area.
    Head of agency means the head of an agency or an official who has 
been delegated the authority to act for the head of the agency in the 
matter concerned.
    Involuntarily separated refers to a separation initiated by an 
agency against the employee's will and without his or her consent for 
reasons other than cause on charges of misconduct or delinquency. An 
involuntary separation includes a separation resulting from the 
employee's actual inability to do the work following genuine efforts to 
do so, but does not include a separation under part 752 of this chapter 
or an equivalent procedure for reasons that involve culpable wrongdoing 
on the part of the employee. In addition, when an employee is separated 
because he or she declines to accept assignment outside his or her 
commuting area, the separation is involuntary if the employee's position 
description or other written agreement does not provide for such 
reassignment. However, an employee's separation is not involuntary if, 
after such a written mobility agreement is added, the employee accepts 
one reassignment outside his or her commuting area, but subsequently 
declines another such reassignment.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position to which the employee is being 
relocated or, in the case of an employee who is entitled to grade or pay 
retention, the employee's retained rate of pay, before deductions and 
exclusive of additional pay of any kind, such as locality-based 
comparability payments under 5 U.S.C. 5304 or special pay adjustments 
for law enforcement officers under section 404 of the Federal Employees 
Pay Comparability Act of 1990 (Pub. L. 101-509).
    Service agreement means a written agreement between an agency and an 
employee under which the employee agrees to a specified period of 
employment with the agency at the new duty station to which relocated in 
return for payment of a relocation bonus.

[56 FR 12838, Mar. 28, 1991, as amended at 57 FR 37398, Aug. 19, 1992; 
60 FR 33326, June 28, 1995; 60 FR 35601, July 10, 1995; 61 FR 3543, Feb. 
1, 1996; 64 FR 69182, Dec. 10, 1999]



Sec. 575.204  Agency relocation bonus plans; higher level review and approval; criteria for payment; and exceptions to case-by-case approval.

    (a) Agency relocation bonus plans. (1) Before paying a relocation 
bonus under this subpart, the head of an agency shall establish a 
relocation bonus plan.
    (2) A relocation bonus plan shall include the following elements:
    (i) The designation of officials with authority to review and 
approve payment of relocation bonuses;

[[Page 597]]

    (ii) Criteria that must be met or considered in authorizing bonuses, 
including criteria for determining the size of a bonus;
    (iii) Procedures for paying bonuses;
    (iv) Requirements for service agreements; and
    (v) Documentation and recordkeeping requirements sufficient to allow 
reconstruction of the action.
    (b) Higher level review and approval. Except as provided in 
paragraph (d) of this section, each determination to pay a relocation 
bonus, including the amount of such bonus, shall be reviewed and 
approved by an official of an agency who is at a higher level than the 
official who made the initial decision, unless there is no official at a 
higher level in the agency.
    (c) Criteria for payment. (1) Each bonus paid under this subpart 
shall be based on a written determination that, in the absence of such a 
bonus, the agency would encounter difficulty in filling the position. 
Each such determination shall be made before the employee actually 
enters on duty in the position to which he or she was relocated. An 
agency may target groups of positions that have been difficult to fill 
in the past or that may be difficult to fill in the future. However, 
except as provided in paragraph (d) of this section, any determination 
to pay a bonus shall be made on a case-by-case basis for each employee.
    (2) In determining whether a relocation bonus should be paid and in 
determining the amount of any such payment, an agency shall consider the 
following factors, as applicable in the case at hand:
    (i) The success of recent efforts to recruit candidates for similar 
positions, including indicators such as offer acceptance rates, the 
proportion of positions filled, and the length of time required to fill 
similar positions;
    (ii) Recent turnover in similar positions;
    (iii) Labor market factors that may affect the ability of the agency 
to recruit candidates for similar positions now or in the future; and
    (iv) Special qualifications needed for the position.
    (d) Exceptions to case-by-case approval. The head of an agency may 
waive, for a specified period of time, the case-by-case approval 
requirement for any employee whose rating of record is at least Level 3 
(``Fully Successful'' or equivalent), when--
    (1) The employee is a member of a specified group of employees 
subject to a mobility agreement, and the head of the agency determines 
that relocation bonuses are necessary to ensure the agency's ability to 
retain employees subject to such an agreement; or
    (2) A major organizational unit of the agency is relocated to a 
different commuting area, and the head of the agency determines that 
relocation bonuses are necessary for specified groups of employees to 
ensure the continued operation of that unit without undue disruption of 
an activity or function that is deemed essential to the agency's mission 
and/or without undue disruption of service to the public.

[56 FR 12838, Mar. 28, 1991, as amended at 57 FR 37399, Aug. 19, 1992; 
60 FR 33326, June 28, 1995]



Sec. 575.205  Payment of relocation bonus.

    (a) A relocation bonus shall be calculated as a percentage of the 
employee's annual rate of basic pay and paid as a lump sum. Except as 
provided in paragraph (b) of this section, the amount of a relocation 
bonus may not exceed 25 percent of the employee's annual rate of basic 
pay. It shall not be considered part of an employee's rate of basic pay 
for any purpose.
    (b) The amount of a relocation bonus may not exceed the greater of 
$15,000 or 25 percent of a law enforcement officer's annual rate of 
basic pay in the case of--
    (1) A law enforcement officer, as defined in Sec. 550.103 of this 
chapter, with respect to whom the provisions of chapter 51 of title 5, 
United States Code, apply;
    (2) A member of the United States Secret Service Uniformed Division;
    (3) A member of the United States Park Police;
    (4) A special agent within the Diplomatic Security Service;
    (5) A probation officer (referred to in section 3672 of title 18, 
United States Code); and

[[Page 598]]

    (6) A pretrial services officer (referred to in section 3153 of 
title 18, United States Code).
    (c) Before a relocation bonus may be paid to an employee, the 
employee must establish a residence in the new commuting area.

[56 FR 12838, Mar. 28, 1991, as amended at 57 FR 37399, Aug. 19, 1992; 
58 FR 3201, Jan. 8, 1993; 60 FR 33326, June 28, 1995; 64 FR 69182, Dec. 
10, 1999]



Sec. 575.206  Service agreement.

    Before a relocation bonus may be paid, an agency shall require that 
the employee sign a written service agreement to complete a specified 
period of employment with the appointing agency (or the successor agency 
in the event of a transfer of function) at the new duty station.

[60 FR 33327, June 28, 1995]



Sec. 575.207  Repayment of relocation bonus.

    (a) Except as provided in paragraph (d) of this section, an employee 
who fails to complete the period of employment established under a 
service agreement shall be indebted to the Federal Government and shall 
repay the relocation bonus on a pro rata basis. The amount to be repaid 
shall be determined by providing credit for each full month of 
employment completed by the employee under the service agreement.
    (b) Failure to complete the period of employment established under a 
service agreement occurs when the employee's service with the agency at 
the new duty station terminates before the employee completes the period 
of employment specified in the service agreement.
    (c) Amounts owed by an employee under paragraph (a) of this section 
shall be recovered from the employee under the agency's regulations for 
collection by offset from an indebted Government employee under 5 U.S.C. 
5514 and subpart K of part 550 of this chapter.
    (d) Paragraph (a) of this section does not apply when an employee 
fails to complete the period of employment established under a service 
agreement because the employee is involuntarily separated or because of 
a written determination by the head of the agency that it is necessary 
to relocate the employee to a position in a different commuting area.
    (e) A right of recovery of an employee's debt under 5 U.S.C. 5514 
may be waived in whole or in part by the head of the agency if he or she 
determines that recovery would be against equity and good conscience or 
against the public interest.



Sec. 575.208  Internal monitoring.

    Each agency shall monitor the use of relocation bonuses to ensure 
that its relocation bonus plan conforms to the requirements established 
under this subpart and that the payment of relocation bonuses conforms 
to the criteria established under this subpart.

[60 FR 33327, June 28, 1995]



Sec. 575.209  Records and reports.

    (a) Each agency shall keep a record of each determination required 
by Sec. 575.204(c) of this part and make such records available for 
review upon request by OPM. Each agency shall promptly submit a report 
of each such determination as a part of its regular submission to OPM's 
Central Personnel Data File.
    (b) So that OPM can evaluate agencies' use of this authority and 
provide the Congress and others with information regarding the use of 
relocation bonuses, each agency shall maintain such other records and 
submit to OPM such other reports and data as OPM shall require.



                     Subpart C--Retention Allowances



Sec. 575.301  Purpose.

    This subpart provides regulations to implement 5 U.S.C. 5754, which 
authorizes payment of a retention allowance of up to 25 percent of basic 
pay to a current employee if the unusually high or unique qualifications 
of the employee or a special need of the agency for the employee's 
services makes it essential to retain the employee, and the agency 
determines that the employee would be likely to leave in the absence of 
a retention allowance.

[[Page 599]]



Sec. 575.302  Delegation of authority.

    (a) Except as provided in paragraph (b) of this section, the head of 
an agency (or, with respect to positions not under the General Schedule, 
the head of an Executive agency) may pay a retention allowance to an 
employee who holds--
    (1) A General Schedule position paid under 5 U.S.C. 5332;
    (2) A senior-level or scientific or professional position paid under 
5 U.S.C. 5376;
    (3) A Senior Executive Service position paid under 5 U.S.C. 5383 or 
a Federal Bureau of Investigation and Drug Enforcement Administration 
Senior Executive Service position paid under 5 U.S.C. 3151;
    (4) A position as a law enforcement officer, as defined in 
Sec. 550.103 of this chapter;
    (5) A position under the Executive Schedule established under 
subchapter II of chapter 53 of title 5, United States Code, or a 
position the rate of pay for which is fixed by law at a rate equal to a 
rate for the Executive Schedule;
    (6) An executive branch position filled by Presidential appointment 
(with or without the advice and consent of the Senate); or
    (7) A prevailing rate position, as defined in 5 U.S.C. 5342(a)(3).
    (b) The delegation of authority under paragraph (a) of this section 
shall not apply to the payment of a retention allowance to the head of 
an agency, including an agency headed by a collegial body composed of 
two or more individual members.
    (c) The head of an Executive agency may request that OPM authorize 
the payment of a retention allowance to one or more categories of 
employees of his or her agency not otherwise covered by 5 U.S.C. 5754 or 
this subpart.
    (d) When OPM finds that an agency is not paying retention allowances 
in conformance with the agency's retention allowance plan and the 
criteria established under Sec. 575.305 of this part or otherwise 
determines that the agency is not using this authority selectively and 
judiciously, it may--
    (1) Direct the agency to revoke or suspend the authority granted to 
any organizational component of the agency and with respect to any 
category or categories of employees and require that prior approval be 
secured at headquarters level before paying a retention allowance to 
such employees; or
    (2) Revoke or suspend the authority granted to the the head of the 
agency by paragraph (a) of this section for all or any part of the 
agency and with respect to any category or categories of employees and 
require that prior OPM approval be secured before paying a retention 
allowance to such employees.

[56 FR 12838, Mar. 28, 1991, as amended at 57 FR 37399, Aug. 19, 1992; 
58 FR 65537, Dec. 15, 1993; 59 FR 11701, Mar. 14, 1994; 60 FR 33327, 
June 28, 1995; 64 FR 69182, Dec. 10, 1999; 66 FR 37883, July 20, 2001]



Sec. 575.303  Definitions.

    In this subpart: Agency has the meaning given that term in 5 U.S.C. 
5102.
    Employee means an employee in or under an agency.
    Head of agency means the head of an agency or an official who has 
been delegated the authority to act for the head of the agency in the 
matter concerned.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee or, in the 
case of an employee who is entitled to grade or pay retention, the 
employee's retained rate of pay, before deductions and exclusive of 
additional pay of any kind, such as locality-based comparability 
payments under 5 U.S.C. 5304 or special pay adjustments for law 
enforcement officers under section 404 of the Federal Employees Pay 
Comparability Act of 1990 (Pub. L. 101-509).

[56 FR 12838, Mar. 28, 1991, as amended at 57 FR 37399, Aug. 19, 1992; 
60 FR 33327, June 28, 1995; 61 FR 3543, Feb. 1, 1996]



Sec. 575.304  Conditions for payment.

    (a) An agency may not begin payment of a retention allowance during 
a period of employment established under any service agreement required 
for payment of a recruitment bonus under subpart A of this part or 
relocation bonus under subpart B of this part. After retention allowance 
payments have commenced, a relocation bonus may be paid without 
affecting the payment of a retention allowance.

[[Page 600]]

    (b) An agency may pay a retention allowance to an employee if the 
employee is likely to leave the Federal service for any reason.
    (c) An agency may not pay a retention allowance to an employee who 
is likely to leave his or her position for employment in the executive, 
legislative, or judicial branch of the Federal Government, whether in 
the same or a different agency.
    (d) An agency may not offer a retention allowance to an individual 
(or authorize the payment of such an allowance) prior to the 
individual's employment with the agency.

[56 FR 12838, Mar. 28, 1991; 56 FR 40360, Aug. 14, 1991, as amended at 
60 FR 33327, June 28, 1995; 60 FR 35601, July 10, 1995; 64 FR 71634, 
Dec. 22, 1999]



Sec. 575.305  Agency retention allowance plans; higher level review and approval; and criteria for payment.

    (a) Agency retention allowance plans. (1) Before paying a retention 
allowance under this subpart, the head of an agency shall establish a 
retention allowance plan.
    (2) A retention allowance plan shall include the following elements:
    (i) The designation of officials with authority to review and 
approve payment of retention allowances;
    (ii) Criteria that must be met or considered in authorizing 
allowances, including criteria for determining the size of an allowance;
    (iii) Procedures for paying allowance; and
    (iv) Documentation and recordkeeping requirements sufficient to 
allow reconstruction of the action.
    (b) Higher level review and approval. Each determination to pay a 
retention allowance, including the amount of such allowance, shall be 
reviewed and approved by an official of an agency who is at a higher 
level than the official who made the initial decision, unless there is 
no official at a higher level in the agency.
    (c) Criteria for payment. (1) Each allowance paid under this subpart 
shall be based on a written determination that the unusually high or 
unique qualifications of the employee or a special need of the agency 
for the employee's services makes it essential to retain the employee 
and that, in the absence of such an allowance, the employee would be 
likely to leave the Federal service.
    (2) The determination required by paragraph (c)(1) of this section 
shall be based on a written description of the extent to which the 
employee's departure would affect the agency's ability to carry out an 
activity or perform a function that is deemed essential to the agency's 
mission.
    (3) In determining whether a retention allowance should be paid and 
in determining the amount of any such payment, an agency shall consider 
the following factors, as applicable in the case at hand:
    (i) The success of recent efforts to recruit candidates and retain 
employees with qualifications similar to those possessed by the employee 
for positions similar to the position held by the employee; and
    (ii) The availability in the labor market of candidates for 
employment who, with minimal training or disruption of service to the 
public, could perform the full range of duties and responsibilities 
assigned to the position held by the employee.
    (d) Approval of retention allowances for groups or categories of 
employees. (1)(i) An agency may authorize a retention allowance of up to 
10 percent of an employee's rate of basic pay for a group or category of 
employees (excluding individuals covered by Sec. 575.302(a) (2), (3), 
(5), or (6) or those in similar positions with respect to which the 
authority to approve retention allowances has been delegated to agency 
heads by OPM under Sec. 575.302(c)) based on a written determination 
that the category of employees has unusually high or unique 
qualifications, or that the agency has a special need for the employees' 
services that makes it essential to retain the employees in that 
category, and that it is reasonable to presume that there is a high risk 
that a significant number of employees in the targeted category are 
likely to leave Federal service in the absence of the allowance.
    (ii) The determination that there is a high risk that a significant 
number of employees in the targeted category are

[[Page 601]]

likely to leave may be based on evidence of extreme labor market 
conditions, high demand in the private sector for the knowledge and 
skills possessed by the employees, significant disparities between 
Federal and private sector salaries, or other similar conditions.
    (iii) The targeted category should be narrowly defined using factors 
that relate to the conditions described in paragraph (d)(1)(i) of this 
section. Factors that may be appropriate include the following: 
occupational series, grade level, distinctive job duties, unique 
qualifications, assignment to a special project, minimum agency service 
requirements, organization or team designation, geographic location, and 
performance level.
    (While performance level may be a factor used in defining the 
targeted category, performance level by itself is not sufficient to 
justify a retention allowance. Performance level may function as a 
supporting factor in authorizing an allowance or setting the allowance 
rate only to the extent it directly relates to the conditions in 
paragraph (d)(1)(i).)
    (2) Upon the request of the head of an agency, OPM may approve a 
retention allowance in excess of 10 percent, but not more than 25 
percent, of an employee's rate of basic pay for a group of category or 
employees which meets the conditions specified in paragraph (d)(1) of 
this section. OPM may require that such requests be coordinated with 
other agencies having similarly situated employees in the same category. 
Group retention allowance requests must include--(i) A description of 
the group or category and number of employees to be covered by the 
proposed retention allowance;
    (ii) A written determination that the group or category or employees 
meets the conditions specified in paragraph (d)(1) of this section;
    (iii) The proposed percentage retention allowance payment and a 
justification for that percentage;
    (iv) The expected duration of retention allowance payments; and
    (v) Any other information pertinent to the case at hand.
    (3) All other conditions and requirements for payment under this 
subpart must be met before a retention allowance may be paid to any 
individual employee under paragraphs (d)(1) or (d)(2) of this section.

[56 FR 12838, Mar. 28, 1991, as amended at 60 FR 33327, June 28, 1995; 
63 FR 34121, June 23, 1998; 64 FR 71634, Dec. 22, 1999]



Sec. 575.306  Payment of retention allowance.

    (a) A retention allowance shall be calculated as a percentage of the 
employee's rate of basic pay (not to exceed 25 percent) and paid in the 
same manner and at the same time as basic pay--i.e., the allowance shall 
be paid at an hourly rate for each hour during which the employee 
receives basic pay. It shall not be considered part of an employee's 
rate of basic pay for any purpose.
    (b) The head of an agency may not authorize a retention allowance 
for an employee if or to the extent that such an allowance, when added 
to the employee's estimated aggregate compensation, as defined in 
Sec. 530.202 of this chapter, would cause the aggregate compensation 
actually received by the employee during the calendar year to exceed the 
rate payable for level I of the Executive Schedule at the end of the 
calendar year.
    (c) Except as provided in Sec. 575.307(a) of this part, an agency 
may continue payment of a retention allowance as long as the conditions 
giving rise to the original determination to pay the allowance still 
exist. However, at least annually, each determination to pay an 
allowance shall be reviewed by the agency to determine whether the 
payment is still warranted, and this determination shall be certified in 
writing by the approving official.
    (d) A retention allowance is not pay for purposes of a lump-sum 
payment for annual leave under 5 U.S.C. 5551 or 5552.

[56 FR 12838, Mar. 28, 1991, as amended at 58 FR 50249, Sept. 27, 1993; 
60 FR 33327, June 28, 1995]



Sec. 575.307  Reduction or termination of retention allowance.

    (a) The agency must reduce or terminate the authorized amount of a 
retention allowance to the extent necessary

[[Page 602]]

to ensure that the employee's estimated aggregate compensation, as 
defined in Sec. 530.202 of this chapter, does not exceed the rate for 
level I of the Executive Schedule at the end of the calendar year.
    (b) The head of an agency may reduce or terminate payment of a 
retention allowance when it determines that--
    (1) A lesser amount (or none at all) would be sufficient to retain 
the employee (or group or category of employees);
    (2) Labor-market factors make it more likely (or reasonably likely) 
to recruit a candidate with qualifications similar to those possessed by 
the employee (or group or category of employees);
    (3) The agency's need for the services of the employee (or group or 
category of employees) has been reduced to a level that makes it 
unnecessary to continue payment at the level originally approved (or at 
all); or
    (4) Budgetary considerations make it difficult to continue payment 
at the level originally approved (or at all).
    (c) The reduction or termination of a retention allowance may not be 
appealed. However, the preceding sentence shall not be construed to 
extinguish or lessen any right or remedy under subchapter II of chapter 
12 of title 5, United States Code, or any of the laws referred to in 5 
U.S.C. 2302(d).

[56 FR 12838, Mar. 28, 1991, as amended at 58 FR 50250, Sept. 27, 1993; 
64 FR 69182, Dec. 10, 1999; 64 FR 71635, Dec. 22, 1999]



Sec. 575.308  Internal monitoring.

    Each agency shall monitor the use of retention allowances to ensure 
that its retention allowance plan conforms to the requirements 
established under this subpart and that the payment of retention 
allowances conforms to the criteria established under this subpart.

[60 FR 33327, June 28, 1995]



Sec. 575.309  Records and reports.

    (a) Each agency shall keep a record of each determination required 
by Sec. 575.305(c) of this part and make such records available for 
review upon request by OPM. Each agency shall promptly submit a report 
of each such determination as a part of its regular submission to OPM's 
Central Personnel Data File.
    (b) So that OPM can evaluate agencies' use of this authority and 
provide the Congress and others with information regarding the use of 
retention allowances, each agency shall maintain such other records and 
submit to OPM such other reports and data as OPM shall require.



                  Subpart D--Supervisory Differentials

    Source: 56 FR 20338, May 3, 1991, unless otherwise noted.



Sec. 575.401  Purpose.

    This subpart provides regulations to implement 5 U.S.C. 5755, which 
authorizes payment of a supervisory differential to an employee under 
the General Schedule who has supervisory responsibility for one or more 
civilian employees not under the General Schedule if one or more of the 
subordinate civilian employees would, in the absence of such a 
differential, be paid more than the supervisory employee.



Sec. 575.402  Delegation of authority.

    (a) The head of an agency may pay a supervisory differential to a 
supervisor who is--
    (1) In a General Schedule position paid under 5 U.S.C. 5332; and
    (2) Responsible for providing direct, technical supervision over the 
work of one or more civilian employees whose positions are not under the 
General Schedule if the continuing pay (as determined under 
Sec. 575.405(d) of this part) of one or more of the subordinates would, 
in the absence of such a differential, be more than the continuing pay 
(as determined under Sec. 575.405(c) of this part) of the supervisor.
    (b) A supervisory differential may not be paid on the basis of 
supervising a civilian employee whose rate of basic pay exceeds the 
maximum rate of basic pay established for grade GS-15 on the pay 
schedule applicable to the GS supervisor, including a schedule for any 
applicable locality rate of pay under 5 U.S.C. 5304, a special law 
enforcement adjusted rate of pay under section 404 of the Federal 
Employees Pay Comparability Act of 1990 (Pub. L. 101-509),

[[Page 603]]

or any applicable special rate of pay under 5 U.S.C. 5305.

[56 FR 20338, May 3, 1991, as amended at 57 FR 37394, Aug. 19, 1992; 58 
FR 65537, Dec. 15, 1993; 61 FR 3543, Feb. 1, 1996]



Sec. 575.403  Definitions.

    In this subpart:
    Agency has the meaning given that term in 5 U.S.C. 5102.
    Continuing pay means the aggregate of all continuing payments and 
annual premium pay received by an employee at any one time.
    Continuing payment means basic pay and any other form of pay that is 
paid in the same manner and at the same time as basic pay--i.e., for 
periods during which an employee receives basic pay.
    Employee has the meaning given that term in 5 U.S.C. 5102.
    Head of agency means the head of an agency or an official who has 
been delegated the authority to act for the head of the agency in the 
matter concerned.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee before 
deductions and exclusive of additional pay of any kind, such as 
locality-based comparability payments under 5 U.S.C. 5304 or special pay 
adjustments for law enforcement officers under section 404 of the 
Federal Employees Pay Comparability Act of 1990 (Pub. L. 101-509).
    Supervisor has the meaning given that term in 5 U.S.C. 7103(a)(10).

[56 FR 20338, May 3, 1991, as amended at 57 FR 2435, Jan. 22, 1992; 61 
FR 3543, Feb. 1, 1996]



Sec. 575.404  Use of authority.

    (a) Each determination to pay a supervisory differential shall be 
made in writing under procedures established by each agency.
    (b) The procedures established by each agency under paragraph (a) of 
this section shall provide that--
    (1) Each determination to pay a supervisory differential, including 
the amount of such differential, shall be reviewed and approved by an 
official of the agency who is at higher level than the official who made 
the initial decision, unless there is no official at a higher level in 
the agency; and
    (2) In determining whether to use the authority under 5 U.S.C. 5755 
and this subpart and in determining the amount of such differential, the 
relationship in pay among supervisors under the General Schedule in the 
same organizational component of the agency shall be considered, as well 
as the relationship in pay between the supervisor and his or her 
subordinate(s).
    (3) Each determination to pay a supervisory differential shall be 
documented.



Sec. 575.405  Calculation and payment of supervisory differential.

    (a) A supervisory differential shall be calculated as a percentage 
of the supervisor's rate of basic pay or as a dollar amount and shall be 
paid in the same manner and at the same time as the supervisor's basic 
pay--i.e., the differential shall be paid at an hourly rate for each 
hour during which the supervisor receives basic pay.
    (b) The amount of a supervisory differential shall not cause the 
supervisor's continuing pay, as determined under paragraph (c) of this 
section, to exceed the continuing pay of the highest paid subordinate 
not under the General Schedule, as determined under paragraph (d) of 
this section, by more than 3 percent.
    (c) For purposes of comparing the continuing pay of a supervisor 
whose position is under the General Schedule with the continuing pay of 
a subordinate whose position is not under the General Schedule, the 
following payments shall be included in determining the amount of 
continuing pay received by the supervisor:
    (1) Basic pay, including a retained rate of pay under 5 U.S.C. 5363 
and part 536 of this chapter or other similar authority:
    (2) A locality-based comparability payment under 5 U.S.C. 5304, a 
continued rate adjustment under subpart G of part 531 of this chapter, 
or a special pay adjustment for law enforcement officers under section 
404 of the Federal Employees Pay Comparability Act of 1990 (Pub. L. 101-
509);
    (3) A staffing differential under section 209 of the Federal 
Employees Pay Comparability Act of 1990 (Pub. L. 101-509);

[[Page 604]]

    (4) A retention allowance under 5 U.S.C. 5754;
    (5) Any other continuing payment, except night, Sunday, or holiday 
premium pay or a hazardous duty differential under chapter 55 of title 
5, United States Code;
    (6) Premium pay paid on an annual basis under 5 U.S.C. 5545(c); and
    (7) Availability pay under 5 U.S.C. 5545a.
    (d) For purposes of comparing the continuing pay of a supervisor 
whose position is under the General Schedule with the continuing pay of 
a subordinate whose position is not under the General Schedule, the 
following payments shall be included in determining the amount of 
continuing pay received by the subordinate:
    (1) Basic pay, excluding a night or environmental differential under 
5 U.S.C. 5343(f) or part 532 of this chapter, respectively, or other 
similar authority and a retained rate of pay under 5 U.S.C. 5363 and 
part 536 of this chapter or other similar authority;
    (2) A locality-based comparability payment under 5 U.S.C. 5304, a 
special law enforcement adjusted rate of pay under section 404 of the 
Federal Employees Pay Comparability Act of 1990 (Pub. L. 101-509), or 
another locality-based payment under similar authority, excluding a 
continued rate adjustment under subpart G of part 531 of this chapter;
    (3) Any other continuing payment, except Sunday or holiday pay or 
another similar payment under title 5, United States Code, or other 
similar authority and a retention allowance under 5 U.S.C. 5754 or other 
similar authority; and
    (4) Premium pay paid on an annual basis under an authority similar 
to 5 U.S.C. 5545(c).
    (e) For the purpose of making any of the comparisons required by 
this subpart, continuing pay shall be calculated on an annual basis for 
both the supervisor and the subordinate.
    (f) Payment of a supervisory differential is subject to the 
aggregate limitation on pay under 5 U.S.C. 5307 and subpart B of part 
530 of this chapter.
    (g) A supervisory differential shall not be considered part of the 
supervisor's rate of basic pay for any purpose.

[56 FR 20338, May 3, 1991, as amended at 57 FR 2435, Jan. 22, 1992; 57 
FR 37394, Aug. 19, 1992; 59 FR 66154, Dec. 23, 1994; 61 FR 3544, Feb. 1, 
1996]



Sec. 575.406  Adjustment or termination of supervisory differential.

    (a) An agency may establish procedures that allow for adjusting or 
terminating a supervisory differential at any time the agency determines 
it is appropriate to do so.
    (b) A supervisory differential shall be terminated when the 
continuing pay of the supervisor (not including the supervisory 
differential) exceeds the continuing pay of the highest paid subordinate 
whose position is not under the General Schedule.
    (c) A supervisory differential shall be reduced or terminated, as 
appropriate, when the continuing pay of the supervisor (including the 
supervisory differential) exceeds the continuing pay of the highest paid 
subordinate whose position is not under the General Schedule by more 
than 3 percent.
    (d) The effective date of a reduction or termination of a 
supervisory differential under paragraph (b) or (c) of this section 
shall be not later than 30 calendar days after the date on which the 
event that necessitates the reduction or termination occurs.
    (e) Each determination to adjust a supervisory differential shall be 
made in writing under procedures established by each agency similar to 
those established under Sec. 575.404 of this part.
    (f) The reduction or termination of a supervisory differential may 
not be appealed. However, the preceding sentence shall not be construed 
to extinguish or lessen any right or remedy under subchapter II of 
chapter 12 of title 5, United States Code, or under any of the laws 
referred to in 5 U.S.C. 2302(d).

[56 FR 20338, May 3, 1991, as amended at 57 FR 37394, Aug. 19, 1992]



Sec. 575.407  Records.

    (a) Each agency shall keep a record of each determination required 
by Secs. 575.404(a) and 575.406(e) of this part. Each record shall 
contain sufficient information to allow reconstruction of

[[Page 605]]

the action, including the basis for determining the amount of the 
differential and the comparison of continuing pay required by 
Sec. 575.405(b) of this part.
    (b) Each agency shall promptly submit a report of each determination 
made to establish, adjust, or terminate a supervisory differential as a 
part of its regular submission to OPM's Central Personnel Data File.



                Subpart E--Extended Assignment Incentives

    Source: 68 FR 53669, Sept. 12, 2003, unless otherwise noted.



Sec. 575.501  Purpose.

    This subpart contains OPM regulations implementing 5 U.S.C. 5757, 
which authorizes the payment of extended assignment incentives. Subject 
to the requirements of this subpart, an agency may pay an extended 
assignment incentive to eligible Federal employees assigned to positions 
located in a territory or possession of the United States, the 
Commonwealth of Puerto Rico, or the Commonwealth of the Northern Mariana 
Islands who agree to complete a specified additional period of 
employment with the agency in that location.



Sec. 575.502  Definitions.

    In this subpart:
    Agency means an ``Executive agency,'' as defined in 5 U.S.C. 105.
    Authorized agency official means the head of an agency or an 
official who is authorized to act for the head of the agency in the 
matter concerned.
    Employee means an employee of an agency who satisfies the definition 
of that term in 5 U.S.C. 2105.
    Involuntarily reassigned refers to a reassignment initiated by an 
agency against an employee's will and without he employee's consent for 
reasons other than cause on charges of misconduct, delinquency, or 
inefficiency.
    Involuntarily separated refers to a separation initiated by an 
agency against an employee's will and without the employee's consent for 
reasons other than cause on charges of misconduct, delinquency, or 
inefficiency. In addition, when an employee is separated because he or 
she declines to accept reassignment to another geographic area outside 
one of the covered locations, the separation is involuntary if the 
employee's position description or other written agreement does not 
provide for such reassignment. However, an employee's separation is not 
involuntary if, after such a written mobility agreement is added, the 
employee accepts one reassignment outside his or her particular 
territory, possession, or commonwealth, but subsequently declines 
another reassignment. An employee's separation as a result of disability 
retirement, a disability that prevents an employee from continuing 
Federal service or is the basis for separation by the agency as 
determined by acceptable medical evidence, or the death of an employee 
is considered to be an involuntary separation.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee before 
deductions and exclusive of additional pay of any kind. For example, a 
rate of basic pay may not include nonforeign area cost-of-living 
allowances under 5 U.S.C. 5941, night shift differentials under 5 U.S.C. 
5343(f), or environmental differentials under 5 U.S.C. 5343(c)(4).
    Service agreement means a written agreement between an agency and an 
employee under which the employee agrees to a specified period of 
employment with the agency in a particular territory, possession, or 
commonwealth in return for payment of an extended assignment incentive.
    Service period means an agreed-upon period of employment an employee 
is obligated to complete under a service agreement.
    Territory, possession, or commonwealth means a territory or a 
possession of the United States, the Commonwealth of Puerto Rico, or the 
Commonwealth of the Northern Mariana Islands.



Sec. 575.503  Who may approve the payment of an extended assignment incentive?

    An authorized agency official must review and approve the offer of 
an extended assignment incentive for an employee, including the amount 
of such incentive. The authorized agency official must be at a higher 
level than the official who made the initial decision

[[Page 606]]

to offer an extended assignment incentive, unless there is no official 
at a higher level in the agency.



Sec. 575.504  What requirements must an agency satisfy before authorizing the payment of an extended assignment incentive?

    Before paying an extended assignment incentive under this subpart, 
an agency must establish an extended assignment incentive plan. This 
plan must include the following elements:
    (a) The designation of authorized agency officials who must review 
and approve the payment of extended assignment incentives;
    (b) The categories of employees which are prohibited from receiving 
an extended assignment incentive;
    (c) The criteria that must be met or considered in authorizing 
extended assignment incentives, including criteria for determining the 
size of an incentive;
    (d) The requirements governing service agreements, including the 
obligations of the agency and the employee when the service period is 
not completed;
    (e) The procedures for paying extended assignment incentives; and
    (f) Documentation and recordkeeping requirements sufficient to allow 
reconstruction of the action.



Sec. 575.505  What criteria must an agency use to determine who will receive an extended assignment incentive?

    (a) An agency must base the payment of an extended assignment 
incentive on a written determination that--
    (1) The eligible employee has completed at least 2 years of 
continuous service immediately before the commencement of the service 
agreement in one or more civil service positions located in a particular 
territory, possession, or commonwealth;
    (2) It is in the best interest of the Government to encourage the 
employee to complete a specified additional period of employment with 
the agency in that location; and
    (3) Replacing the employee with another employee possessing the 
required qualifications and experience would be difficult.
    (b) In determining whether it is in the best interest of the 
Government to retain an employee under paragraph (a)(2) of this section, 
an agency may consider how the employee's departure would affect the 
agency's ability to operate effectively or to carry out an activity or 
perform a function which the agency deems essential to its mission.
    (c) Any determination to approve an extended assignment incentive 
must be made on a case-by-case basis for each employee. However, an 
agency may consider common factors that apply to a category of 
employees, such as past recruitment and retention problems or the 
anticipation of such problems in the future.



Sec. 575.506  When is an agency prohibited from paying an extended assignment incentive?

    (a) An extended assignment incentive may not be paid to the head of 
an agency, including an agency headed by a collegial body composed of 
two or more individual members.
    (b) An agency may not begin paying an extended assignment incentive 
to an otherwise eligible employee who is fulfilling the requirements of 
a service agreement for the payment of a recruitment or relocation bonus 
or who is receiving a retention allowance. (See 5 CFR part 575, subparts 
A, B, and C.)



Sec. 575.507  What is the maximum extended assignment incentive that may be paid for a period of service?

    (a) The total amount of extended assignment incentive payments that 
may be paid for a service period may not exceed the greater of--
    (1) An amount equal to 25 percent of the annual rate of basic pay of 
the employee at the beginning of the service period times the number of 
years (including fractions of a year) in the service period; or
    (2) $15,000 per year (including fractions of a year) in the service 
period.
    (b) For hourly rate employees who do not have a scheduled annual 
rate of basic pay, the annual rate in paragraph (a) of this section is 
computed by multiplying the applicable hourly rate in effect at the 
beginning of the service period by 2,087 hours.
    (c) The number of years in the service period is computed by 
dividing the total number of calendar days in the

[[Page 607]]

service period (as established under Sec. 575.510(a)) by 365 and 
rounding the result to two decimal places. For example, a service period 
covering 39 biweekly pay periods equals 546 days, and 546 days divided 
by 365 days equals 1.50 years.



Sec. 575.508  What is the maximum amount of service that may be covered by an extended assignment incentive?

    An employee's total service under one or more extended assignment 
incentive service agreements with a particular agency for service in a 
particular territory, possession, or commonwealth may not exceed 5 
years. For this purpose, a year is equal to 365 days, resulting in a 
total service limit of 1,825 days.



Sec. 575.509  Is an extended assignment incentive considered basic pay for any purpose?

    No, an extended assignment incentive is not considered part of an 
employee's rate of basic pay for any purpose, nor is it included for the 
purpose of calculating a lump-sum payment for annual leave under 5 CFR 
550.1205.



Sec. 575.510  What requirements are associated with service agreements?

    (a) Before paying an extended assignment incentive, the agency must 
require the employee to sign a written service agreement to complete a 
specified period of employment with the agency in a particular 
territory, possession, or commonwealth. The service period must meet the 
following conditions:
    (1) The service period must begin on the first day of a pay period 
and end on the last day of a pay period; and
    (2) The service period must not cause an employee to exceed the 5-
year lifetime limitation described in Sec. 575.508.
    (b) In addition to the service requirement in paragraph (a) of this 
section, the service agreement may specify other terms and conditions of 
employment applicable to the employee. For example, the service 
agreement may specify the employee's work schedule, type of position, 
and performance level. In addition, the service agreement may address 
the extent to which periods of time on a detail, in a nonpay status, or 
in a paid leave status are creditable towards the completion of the 
service period.
    (c) The service agreement must specify the method of payment of an 
extended assignment agreement. The agency may choose to pay an extended 
assignment incentive in an initial lump-sum payment at the beginning of 
the service period, in installments at the end of specified periods 
throughout the service period (biweekly, monthly, quarterly, etc.), in a 
lump-sum payment at the end of the entire service period, or through a 
combination of payment methods.
    (d) The service agreement must include the conditions under which 
the employee would be required to repay an extended assignment incentive 
under Sec. 575.513.
    (e) The service agreement must specify the conditions under which 
the payment of an extended assignment incentive may be terminated by the 
agency under Sec. 575.512.
    (f) The service agreement must specify the conditions under which 
the agency may be obligated to pay an additional incentive payment for 
partially completed service, as provided in Sec. 575.513(d).
    (g) The service agreement must specify the conditions under which 
the agency may impose a repayment penalty under Sec. 575.513(e) for an 
employee who fails to fulfill the terms of the service agreement.
    (h) The service agreement must specify the conditions under which 
the agency may be obligated to pay an incentive payment attributable to 
some or all of the employee's uncompleted service for employees covered 
by Sec. 575.511 or Sec. 575.512.



Sec. 575.511  What happens when an employee is involuntarily separated or involuntarily reassigned prior to completion of the service period?

    An employee who is involuntarily separated or is involuntarily 
reassigned to a position outside the particular territory, possession, 
or commonwealth involved is not indebted to the Federal Government for 
any extended assignment incentive payments he or she has received. The 
employee is entitled to keep all incentive payments

[[Page 608]]

received and, if applicable, is entitled to receive any additional 
amount representing the difference between the amount received and the 
prorated share of the total incentive attributable to completed service. 
The employee may receive a portion or all of the incentive payment 
attributable to uncompleted service only to the extent provided in the 
service agreement.

[68 FR 53669, Sept. 12, 2003; 68 FR 56665, Oct. 1, 2003]



Sec. 575.512  When may an agency terminate a service agreement?

    (a) An agency may unilaterally terminate a service agreement based 
solely on the business needs of the agency. For example, an authorized 
agency official may terminate a service agreement when the employee's 
position is affected by a reduction in force or when there are 
insufficient funds to continue the planned incentive payments.
    (b) If an agency terminates a service agreement under paragraph (a) 
of this section, the employee is entitled to keep all incentive payments 
received and, if applicable, is entitled to receive any additional 
amount representing the difference between the amount received and the 
prorated share of the total incentive attributable to completed service. 
The employee may receive a portion or all of the incentive payment 
attributable to uncompleted service only to the extent provided in the 
service agreement.



Sec. 575.513  What are the agency's and the employee's obligations when an employee fails to fulfill the terms of a service agreement?

    (a) This section does not apply when an employee is involuntarily 
separated or involuntarily reassigned to a position outside the 
particular territory, possession, or commonwealth involved, as provided 
in Sec. 575.511 or when an agency unilaterally terminates a service 
agreement under Sec. 575.112.
    (b) An employee is indebted to the Federal Government and must repay 
the paying agency for an appropriate portion of an extended assignment 
incentive received by the employee if--
    (1) The employee fails to complete the period of employment required 
in his or her service agreement; or
    (2) The employee violates any other condition specified in the 
service agreement that would trigger termination of the agreement.
    (c)(1) If an employee does not fulfill the terms of a service 
agreement under the circumstances prescribed in paragraph (b) of this 
section and has received incentive payments whose value as a percentage 
of the planned total sum of incentive payments for the entire service 
period exceeds the percentage reflecting the portion of the service 
period completed by the employee, he or she must repay the excess 
payment and any additional repayment penalty imposed by the agency under 
paragraph (e) of this section.
    (2) For example, consider an employee who signed a 364-day (26 pay 
period) service agreement and received the full amount of the extended 
assignment incentive as an initial lump-sum payment. If the employee 
voluntarily leaves after 20 pay periods (280 days), the employee will 
have received 100 percent of the total extended assignment incentive 
while completing only 76.9 percent (280/364) of the service period. The 
excess is 23.1 percent. Therefore, the employee must repay 23.1 percent 
(84/364) of the incentive. The employee is entitled to keep 76.9 percent 
of the incentive, unless the agency imposes an additional repayment 
penalty for failure to fulfill the service agreement under paragraph (e) 
of this section.
    (d)(1) If an employee does not fulfill the terms of the service 
agreement under the circumstances prescribed in paragraph (b) of this 
section and has received incentive payments whose value as a percentage 
of the planned total sum of incentive payments for the entire service 
period is less than or equal to the percentage reflecting the portion of 
the service period completed by the employee, the employee has no 
repayment obligation unless the agency imposes an additional repayment 
penalty under paragraph (e) of this section. The agency may pay an 
additional incentive payment for some or

[[Page 609]]

all of the service completed by the employee if such additional payment 
is required by the service agreement. The total amount of incentive 
payments received by the employee may not exceed the prorated share of 
the planned incentive attributable to completed service.
    (2) For example, consider an employee who signed a 364-day (26 pay 
period) service agreement to receive a total extended assignment payment 
of $24,501 in two equal installment payments--i.e., $12,250.50 at the 
end of 13 pay periods of completed service and $12,250.50 at the end of 
the required service period. If the employee voluntarily leaves after 20 
pay periods (280 days), the employee will have received only 50 percent 
of the total extended assignment incentive while completing 76.9 percent 
(280/364) of the service agreement. The agency may pay the employee an 
additional amount of up to 26.9 percent of the incentive payment that is 
attributable to completed service, as allowed under the terms of the 
service agreement, assuming the agency does not impose an additional 
repayment penalty for failure to fulfill the service period under 
paragraph (e) of this section.
    (e) An agency may impose an additional repayment penalty on an 
employee who does not fulfill the terms of a service agreement. This 
repayment penalty is in addition to any repayment required by paragraph 
(c) of this section. The specific terms and conditions governing the 
repayment penalty must be included in the service agreement. For 
example, an agency may adopt a schedule or formula that provides for 
varying penalty amounts based on the portion of the service period 
completed by the employee.
    (f) If an employee fails to reimburse the paying agency for the full 
amount owed under this section, the amount outstanding must be recovered 
from the employee under the agency's regulations for collection by 
offset from an indebted Government employee under 5 U.S.C. 5514 and 5 
CFR part 550, subpart K, or through the appropriate provisions for debt 
collection if the individual is no longer a Federal employee. However, 
the head of the agency may waive the debt under 5 U.S.C. 5584, if 
warranted.



Sec. 575.514   What are an agency's monitoring responsibilities?

    Each agency must monitor the use of extended assignment incentives 
to ensure that the agency's extended assignment incentive plan and the 
payment of extended assignment incentives are consistent with the 
requirements and criteria established under 5 U.S.C. 5757 and this 
subpart.



Sec. 575.515  What records and reports are required?

    (a) Each agency must keep a record of each determination required by 
this subpart and make such records available for review upon OPM's 
request.
    (b) Each agency must provide any information requested by OPM for 
its report to Congress, as required by 5 U.S.C. 5757(d). Before February 
15, 2006, each agency must submit a written report to OPM on--
    (1) The agency's use of extended assignment incentives by providing 
the data required in paragraph (c) of this section;
    (2) Whether the use of extended assignment incentives influenced 
employees to stay longer than their initial tour of duty at their 
current duty stations; and
    (3) The agency's recommendations for changes necessary to improve 
the effectiveness of extended assignment incentives.
    (c) Each agency report must contain the following data for the 
period from May 2, 2003, to December 31, 2005:
    (1) The number of extended assignment service agreements that 
commenced in each fiscal year;
    (2) The dollar amount expended on extended assignment incentives in 
each fiscal year;
    (3) The number of employees who declined an extended assignment 
incentive, by occupational series and geographic location;
    (4) The number of employees who signed an extended assignment 
incentive service agreement, the total amount of the planned incentives, 
and the total number of years of agreed-upon service, by occupational 
series and geographic location;

[[Page 610]]

    (5) The number of employees whose service agreements were terminated 
before completion of the agreed-upon service period, with subcounts 
showing the number covered by Sec. 575.511, Sec. 575.512, and 
Sec. 575.513, respectively.
    (6) The number of employees who incurred a repayment debt under 
Sec. 575.513 (including any repayment penalty under Sec. 575.513(e)) and 
the total amount of repayment debt incurred; and
    (7) The portion of the repayment debt that, as of December 31, 2005-
-
    (i) Has been recovered;
    (ii) Is subject to ongoing collection efforts; and
    (iii) Has been waived or written off.



PART 576--VOLUNTARY SEPARATION INCENTIVE PAYMENTS--Table of Contents




           Subpart A--Voluntary Separation Incentive Payments

Sec.
576.101 Definitions.
576.102 Voluntary separation incentive payment implementation plans.
576.103 Offering voluntary separation incentive payments to employees.
576.104 Additional agency requirements.
576.105 Existing voluntary separation incentive payment authorities.

    Subpart B--Waiver of Repayment of Voluntary Separation Incentive 
                                Payments

576.201 Definitions.
576.202 Repayment requirement.
576.203 Waivers of the voluntary separation incentive repayment 
          requirement.

    Authority: 5 U.S.C. 3521, 3522, 3523, 3524, and 3525.

    Source:  68 FR 5529, Feb. 4, 2003, unless otherwise noted.



           Subpart A--Voluntary Separation Incentive Payments.



Sec. 576.101  Definitions.

    Section 3521(1) of title 5, United States Code, contains the 
definition of Agency, and section 3521(2) of title 5, United States 
Code, contains the definition of Employee, as used in this subpart.



Sec. 576.102  Voluntary separation incentive payment implementation plans.

    (a) Section 3522 of title 5, United States Code, specifies the 
information that the head of an agency must submit to the Office of 
Personnel Management (OPM). OPM will consult with the Office of 
Management and Budget (OMB) regarding the plan and will notify the 
agency head in writing when the plan is approved. The agency must have 
OPM approval before offering incentives under this authority.
    (b) In submitting a plan to OPM under section 3522(a) of title 5, 
United States Code, the head of an agency may submit:
    (1) A specific voluntary separation incentive payment implementation 
plan outlining the intended use of the incentive payments, or
    (2) The agency's human capital plan, which outlines the intended use 
of the incentive payments and the expected changes in the agency's 
organizational structure after the agency has completed the incentive 
payments.
    (c) In either case, the plan must include:
    (1) Identification of the specific positions and functions to be 
reduced or eliminated, identified by organizational unit, geographic 
location, occupational category, grade level and any other factors 
related to the position, such as skills and knowledge;
    (2) A description of the categories of employees who will be offered 
incentives identified by organizational unit, geographic location, 
occupational category, grade level and any other factors, such as 
skills, knowledge, or retirement eligibility;
    (3) The time period during which incentives may be paid;
    (4) The number and maximum amounts of voluntary separation incentive 
payments to be offered;
    (5) A description of how the agency will operate without the 
eliminated or restructured positions and functions;
    (6) A proposed organizational chart displaying the expected changes 
in the agency's organizational structure after the agency has completed 
the incentive payments; and
    (7) If the agency has requested, or will request Voluntary Early 
Retirement Authority, a description of how

[[Page 611]]

that authority will be used in conjunction with separation incentives;
    (8) If the agency is offering separation incentives under any other 
statutory authority, a description of how that authority is being used.



Sec. 576.103  Offering voluntary separation incentive payments to employees.

    Section 3523 of title 5, United States Code, covers:
    (a) The basis for an agency to offer a voluntary separation 
incentive payment;
    (b) The computation of a voluntary separation incentive payment; and
    (c) The appropriations or funds that the agency uses to pay the 
voluntary separation incentive payment.



Sec. 576.104  Additional agency requirements.

    (a) After OPM approves an agency's plan for voluntary separation 
incentive payments, the agency is required to immediately notify OPM of 
any subsequent changes in the conditions that served as the basis for 
the approval of the voluntary separation incentive payments. OPM will 
consult with OMB and notify the agency in writing if there are changes 
in the OPM approval of the agency plan.
    (b) Agencies are required to provide OPM with interim and final 
voluntary separation incentive payment reports, as covered in OPM's 
approval letter to the agency. OPM may suspend or cancel a voluntary 
separation incentive payment authority if the agency is not in 
compliance with the reporting requirements or reporting schedule 
specified in OPM's letter approving that authority.



Sec. 576.105  Existing voluntary separation incentive payment authorities.

    As provided in section 1313(a)(3) of Public Law 107-296, any agency 
exercising voluntary separation incentive authority in effect on January 
24, 2003, may continue to offer voluntary separation incentives 
consistent with that authority until that authority expires. An agency 
that is eligible to offer voluntary separation incentive payments under 
this authority and under any other statutory authority may choose which 
authority it wishes to use, or offer incentives under both.



    Subpart B--Waiver of Repayment of Voluntary Separation Incentive 
                                Payments



Sec. 576.201  Definitions.

    Section 3524(a) of title 5, United States Code, contains the 
definition of Employment as used in this subpart.



Sec. 576.202  Repayment requirement.

    (a) Section 3524(b) of title 5, United States Code, contains the 
repayment requirement that applies if an executive branch employee who 
received a voluntary separation incentive payment as described in 
subpart A of this part, and accepts any employment for compensation with 
the Government of the United States within 5 years after the date of the 
separation on which the payment is based. The individual must repay the 
entire amount of the voluntary separation incentive payment to the 
agency that paid the voluntary separation incentive payment before the 
individual's first day of reemployment.
    (b) An executive branch employee who received a voluntary separation 
incentive payment on or after March 30, 1994, under statutory authority 
other than subpart A of this part, and who accepts any employment for 
compensation with the Government of the United States within 5 years 
after the date of the separation on which the payment is based, may be 
required by the authorizing statute to repay the entire amount.



Sec. 576.203  Waivers of the voluntary separation incentive repayment requirement.

    (a)(1) Section 3524(c)(1) of title 5, United States Code, covers the 
conditions under which the Director of OPM may, at the request of the 
head of the hiring agency, waive the repayment required in Sec. 576.202.
    (2) Section 3524(a)(2) of title 5, United States Code, provides that 
the waiver provision under section 3524(c)(1) of title 5, United States 
Code, does not extend to a repayment obligation resulting from 
employment under a personal

[[Page 612]]

services contract or other direct contract.
    (b) For a voluntary separation incentive payment made under 
statutory authority other than subpart A of this part, the agency should 
review the authorizing statute and, if a waiver is permitted, submit a 
request as specified by that statute.



PART 581--PROCESSING GARNISHMENT ORDERS FOR CHILD SUPPORT AND/OR ALIMONY--Table of Contents




                   Subpart A--Purpose and Definitions

Sec.
581.101 Purpose.
581.102 Definitions.
581.103 Moneys which are subject to garnishment.
581.104 Moneys which are not subject to garnishment.
581.105 Exclusions.
581.106 Future payments.

                      Subpart B--Service of Process

581.201 Agent to receive process.
581.202 Service of process.
581.203 Information minimally required to accompany legal process.

                   Subpart C--Compliance With Process

581.301 Suspension of payment.
581.302 Notification of obligor.
581.303 Response to legal process or interrogatories.
581.304 Nonliability for disclosure.
581.305 Honoring legal process.
581.306 Lack of moneys due from, or payable by, a governmental entity 
          served with legal process.
581.307 Compliance with legal process requiring the payment of attorney 
          fees, interest, and/or court costs.

         Subpart D--Consumer Credit Protection Act Restrictions

581.401 Aggregate disposable earnings.
581.402 Maximum garnishment limitations.

           Subpart E--Implementation by Governmental Entities

581.501 Rules, regulations, and directives by governmental entities.

Appendix A to Part 581--List of Agents Designated to Accept Legal 
          Process
Appendix B to Part 581--List of Agents Designated To Facilitate the 
          Service of Legal Process on Federal Employees

    Authority: 42 U.S.C. 659; 15 U.S.C. 1673; E.O. 12105 (43 FR 59465 
and 3 CFR 262) (1979).

    Source: 45 FR 85667, Dec. 30, 1980, unless otherwise noted.



                   Subpart A--Purpose and Definitions



Sec. 581.101  Purpose.

    (a) Notwithstanding any other provision of law (including section 
407 of title 42, United States Code, section 5301 of title 38, United 
States Code, and sections 8346 and 8470 of title 5, United States Code), 
section 659 of title 42, United States Code, as amended, provides that 
moneys, the entitlement to which is based upon remuneration for 
employment, due from, or payable by, the United States or the District 
of Columbia to any individual, shall be subject, in like manner and to 
the same extent as if the United States or the District of Columbia were 
a private person:
    (1) To legal process for the enforcement of an obligor's legal 
obligations to provide child support, alimony, or both, resulting from 
an action brought by an individual obligee; and
    (2) To withholding in accordance with State law enacted pursuant to 
subsections (a)(1) and (b) of section 666 of title 42, United States 
Code, and to regulations of the Secretary of Health and Human Services 
under such subsections, and to any other legal process brought by a 
State agency subject to regulations of the Secretary of Health and Human 
Services that is administering a program under an approved State plan to 
enforce the legal obligations of obligors to provide child support and 
alimony.
    (b) Section 659 of title 42, United States Code, as amended, 
provides further that each governmental entity shall be subject to the 
same requirements as would apply if the governmental entity were a 
private person, except as set forth in this part.

[63 FR 14757, Mar. 26, 1998]



Sec. 581.102  Definitions.

    In this part: (a) The executive branch of the Government of the 
United States means all ``governmental entities'' as

[[Page 613]]

defined in this section, including therein the territories and 
possessions of the United States, the United States Postal Service, the 
Postal Rate Commission, any wholly owned Federal corporation created by 
an Act of Congress, and the government of the District of Columbia.
    (b) Governmental entity means each department, both civilian and 
military, agency, independent establishment, or instrumentality of the 
executive branch, including the United States Postal Service, the Postal 
Rate Commission, any wholly owned Federal corporation created by an Act 
of Congress, any office, commission, bureau, or other administrative 
subdivision or creature of the executive branch, and the governments of 
the District of Columbia and of the territories and possessions of the 
United States.
    (c) Private person means a person who does not have sovereign or 
other special immunity or privilege which causes that person not be be 
subject to legal process.
    (d) Child support means the amounts required to be paid for the 
support and maintenance of a child, including a child who has attained 
the age of majority under the law of the issuing State, or a child and 
the parent with whom the child is living, which provides for monetary 
support, health care, arrearages or reimbursement, and which may include 
other related costs and fees, interest and penalties, income 
withholding, attorney's fees, and other relief.
    (e) Alimony means periodic payments of funds for the support and 
maintenance of the spouse (or former spouse) of the individual, and 
(subject to and in accordance with State law) includes separate 
maintenance, alimony pendente lite, maintenance, and spousal support, 
and includes attorney's fees, interest, and court costs when and to the 
extent that the same are expressly made recoverable as such pursuant to 
a decree, order, or judgment issued in accordance with applicable State 
law by a court of competent jurisdiction. Alimony does not include child 
support or any payment or transfer of property or its value by an 
individual to the spouse or a former spouse of the individual in 
compliance with any community property settlement, equitable 
distribution of property, or other division of property between spouses 
or former spouses.
    (f) Legal process means any writ, order, summons, notice to withhold 
income pursuant to subsection (a)(1) or (b) of section 666 of title 42, 
United States Code, or other similar process in the nature of 
garnishment, which may include an attachment, writ of execution, court 
ordered wage assignment, or in the case where a child support order is 
submitted by a child support agency using the standard Order/Notice to 
withhold income for child support as required by section 324 of Pub. L. 
104-193 and which--
    (1) Is issued by:
    (i) A court of competent jurisdiction, including Indian tribal 
courts, within any State, territory, or possession of the United States, 
or the District of Columbia;
    (ii) A court of competent jurisdiction in any foreign country with 
which the United States has entered into an agreement that requires the 
United States to honor such process; or
    (iii) An authorized official pursuant to an order of a court of 
competent jurisdiction or pursuant to State or local law; or
    (iv) A State agency authorized to issue income withholding notices 
pursuant to State or local law or pursuant to the requirements of 
section 666(b) to title 42 of the United States Code; and
    (2) Is directed to, and the purpose of which is to compel, a 
governmental entity, to make a payment from moneys otherwise payable to 
an individual, to another party to satisfy a legal obligation of the 
individual to provide child support, alimony or both.
    (g) Legal obligation means an obligation to pay alimony and/or child 
support that is enforceable under appropriate State or local law. A 
legal obligation may include current as well as past due alimony and/or 
child support debts depending on the law in the jurisdiction from which 
the legal process was issued.
    (h) Obligor means an individual having a legal obligation to pay 
alimony and/or child support.
    (i) Remuneration for employment means compensation paid or payable

[[Page 614]]

for personal services, whether such compensation is denominated as 
wages, salary, commission, bonus, pay, or otherwise, and includes, but 
is not limited to, those items set forth in Sec. 581.103.
    (j) Party means the person or persons to whom alimony and/or child 
support payments should be made, or, in the case of an agency 
established by State or local law, the agency which has been assigned, 
by law or by agreement, the right to receive such payment or payments.
    (k) Individual obligee means any individual or entity other than a 
State agency authorized to issue income withholding notices pursuant to 
the requirements of section 666(b) to title 42 of the United States 
Code.

[45 FR 85667, Dec. 30, 1980, as amended at 48 FR 26279, June 7, 1983; 55 
FR 1355, Jan. 16, 1990; 63 FR 14757, Mar. 26, 1998]



Sec. 581.103  Moneys which are subject to garnishment.

    (a) For the personal service of a civilian employee obligor:
    (1) Saved pay;
    (2) Retained pay;
    (3) Night differentials;
    (4) Sunday and holiday premium pay;
    (5) Overtime pay;
    (6) Standby duty pay, administratively uncontrollable overtime pay, 
and availability pay;
    (7) Environmental differentials;
    (8) Hazardous duty pay;
    (9) Tropical differentials;
    (10) Recruitment incentives, recruitment and relocation bonuses and 
retention allowances;
    (11) Equalization allowance;
    (12) Any payment in consideration of accrued leave;
    (13) Severance pay;
    (14) Sick pay;
    (15) Physicians comparability allowances;
    (16) Special pay for physicians and dentists;
    (17) Amounts paid pursuant to a personal services contract where the 
contractor recipient performed the services and received the payments in 
the capacity as a Federal employee;
    (18) Merit pay;
    (19) Incentive pay;
    (20) Cash awards, including performance-based cash awards;
    (21) Agency and Presidential incentive awards (except where such 
award is for making a suggestion);
    (22) Senior Executive Service rank and performance awards;
    (23) Moneys due for the services of a deceased employee obligor, 
including:
    (i) Overtime or premium pay;
    (ii) Amounts due as refunds of pay deductions for United States 
savings bonds;
    (iii) Payments for accumulated and current accrued annual or 
vacation leave as provided for in section 5581 of title 5 of the United 
States Code;
    (iv) Retroactive pay as provided for in section 5344(b)(2) of title 
5 of the United States Code; and
    (v) Amounts of checks drawn for moneys due which were not delivered 
by the governmental entity to the employee obligor prior to the employee 
obligor's death or which were not negotiated and returned to the 
governmental entity because of the death of the employee obligor, except 
those moneys due that are listed in Sec. 581.104(i);
    (24) Locality-based comparability payments or continued rate 
adjustments;
    (25) Staffing differentials;
    (26) Supervisory differentials;
    (27) Special pay adjustments for law enforcement officers in 
selected cities;
    (28) Advances in pay; and
    (29) Voluntary separation incentive payments.
    (b) For the personal service of an obligor in the uniformed services 
of the United States:
    (1) Basic pay (including service academy cadet and midshipmen pay);
    (2) Special pay (including enlistment and re-enlistment bonuses);
    (3) Lump sum reserve bonus;
    (4) Continuation pay for physicians and dentists;
    (5) Special pay for physicians, dentists, optometrists, and 
veterinarians;
    (6) Incentive pay;
    (7) Variable incentive pay;
    (8) Inactive duty training pay;
    (9) Administrative duty pay;
    (10) Academy official pay (other than personal money allowances);

[[Page 615]]

    (11) Any payments made in consideration of accrued leave (basic pay 
portion only);
    (12) Readjustment pay;
    (13) Disability retired pay;
    (14) Severance pay (including disability severance pay);
    (15) Cash awards (NOAA Corps);
    (16) Special separation benefits; and
    (17) Voluntary separation incentives.
    (c) For obligors generally:
    (1) Periodic benefits, including a periodic benefit as defined in 
section 428(h)(3) of title 42 of the United States Code, title II of the 
Social Security Act, to include a benefit payable in a lump sum if it is 
commutation of, or a substitute for, periodic payments; or other 
payments to these individuals under the programs established by 
subchapter II of chapter 7 of title 42 of the United States Code (Social 
Security Act); and payments under chapter 9 of title 45 of the United 
States Code (Railroad Retirement Act) or any other system, plan, or fund 
established by the United States (as defined in section 662(a) of title 
42 of the United States Code) which provides for the payment of:
    (i) Pensions;
    (ii) Retirement benefits;
    (iii) Retired/retainer pay;
    (iv) Annuities; and
    (v) Dependents' or survivors' benefits when payable to the obligor;
    (2) Refunds of retirement contributions where an application has 
been filed;
    (3) Amounts received under any federal program for compensation for 
work injuries; and
    (4) Benefits received under the Longshoremen's and Harbor Workers' 
Compensation Act.
    (5) Compensation for death under any federal program, including 
death gratuities authorized under 5 U.S.C. 8133(f); 5 U.S.C. 8134(a); 
Pub. L. 103-332, section 312; and Pub. L. 104-208, section 651.
    (6) Any payment under any federal program established to provide 
``black lung'' benefits;
    (7) Any payment by the Secretary of Veterans Affairs as compensation 
for a service-connected disability paid by the Secretary to a former 
member of the Armed Forces who is in receipt of retired or retainer pay 
if the former member has waived either the entire amount or a portion of 
the retired or retainer pay in order to receive such compensation. In 
such cases, only that part of the Department of Veterans Affairs payment 
that is in lieu of the waived retired pay or waived retainer pay is 
subject to garnishment.

[45 FR 85667, Dec. 30, 1980, as amended at 48 FR 26279, June 7, 1983; 55 
FR 1356, Jan. 16, 1990; 56 FR 36723, Aug. 1, 1991; 58 FR 35846, July 2, 
1993; 59 FR 66154, Dec. 23, 1994; 61 FR 3544, Feb. 1, 1996; 63 FR 14758, 
Mar. 26, 1998]



Sec. 581.104  Moneys which are not subject to garnishment.

    (a) Payments made pursuant to the provisions of the Federal Tort 
Claims Act, as amended, sections 1346(b) and 2671 et seq., of title 28 
of the United States Code;
    (b) Payments or portions of payments made by the Department of 
Veterans Affairs pursuant to sections 501-562 of title 38 of the United 
States Code, in which the entitlement of the payee is based on non-
service-connected disability or death, age, and need;
    (c) Refunds and other payments made in connection with overpayments 
or erroneous payments of income tax and other taxes levied under title 
26 of the United States Code;
    (d) Grants;
    (e) Fellowships;
    (f) Education and vocational rehabilitation benefits for veterans 
and eligible persons under chapters 30, 31, 32, 35, and 36 of title 38, 
United States Code, and chapters 106 and 107 of title 10, United States 
Code;
    (g) Contracts, except where the contractor recipient performed 
personal services and received payments in his/her capacity as an 
employee of a governmental entity; and
    (h) Reimbursement for expenses incurred by an individual in 
connection with his/her employment, or allowances in lieu thereof, and 
other payments and allowances, including, but not limited to:
    (1) In the case of civilian employees:
    (i) Uniform allowances;
    (ii) Travel and transportation expenses (including mileage 
allowances);
    (iii) Relocation expenses;
    (iv) Storage expenses;

[[Page 616]]

    (v) Post differentials;
    (vi) Foreign areas allowances;
    (vii) Education allowances for dependents;
    (viii) Separate maintenance allowances;
    (ix) Post allowances and supplementary post allowances;
    (x) Home service transfer allowances;
    (xi) Quarters allowances;
    (xii) Cost-of-living allowances (COLA), when applicable to an 
employee in a foreign area or an employee stationed outside of the 
continental United States or in Alaska;
    (xiii) Remote worksite allowance; and
    (xiv) Per diem allowances.
    (2) In the case of members of the uniformed services:
    (i) Position pay (Navy only);
    (ii) Basic allowance for quarters;
    (iii) Basic allowance for subsistence;
    (iv) Station allowances;
    (v) Armed Forces health professions scholarship stipends;
    (vi) Public Health Service scholarship stipends;
    (vii) Travel and transportation allowances;
    (viii) Dislocation allowances;
    (ix) Family separation allowances;
    (x) ROTC subsistence allowance;
    (xi) Allowance for recruiting expenses;
    (xii) Education allowances for dependents;
    (xiii) Clothing allowances for enlisted personnel;
    (xiv) Uniform allowances; and
    (xv) Personal money allowances for General and Flag officers, and 
for the Surgeon General of the United States.
    (3) In the case of volunteers serving under either the Domestic 
Volunteer Service Act or the Peace Corps Act, all allowances, including, 
but not limited to, readjustment allowances, stipends, and 
reimbursements for out-of-pocket expenses.
    (i) Moneys due a deceased employee obligor where the amounts are 
reimbursement for expenses incurred by the deceased employee in 
connection with his/her employment, or allowances in lieu thereof, 
including:
    (1) Per diem instead of subsistence, mileage, and amounts due in 
reimbursement of travel expenses, including incidental and miscellaneous 
expenses in connection therewith;
    (2) Allowances on change of official station;
    (3) Quarters allowances; and
    (4) Cost-of-living allowances (COLA), when applicable as a result of 
the deceased employee obligor's having been in a foreign area or 
stationed outside of the continental United States or in Alaska.
    (j) Supplemental Security Income (SSI) payments made pursuant to 
sections 1381 et seq., of title 42 of the United States Code (title XVI 
of the Social Security Act).

[45 FR 85667, Dec. 30, 1980, as amended at 48 FR 26280, June 7, 1983; 55 
FR 1356, Jan. 16, 1990; 56 FR 36724, Aug. 1, 1991; 58 FR 35846, July 2, 
1993; 60 FR 5044, Jan. 25, 1995; 63 FR 14758, Mar. 26, 1998]



Sec. 581.105  Exclusions.

    In determining the amount of any ``moneys due from, or payable by, 
the United States'' to any individual, there shall be excluded amounts 
which:
    (a) Are owed by the individual to the United States, except that an 
indebtedness based on a levy for income tax under section 6331 of title 
26 of the United States Code, shall not be excluded in complying with 
legal process for the support of minor children if the legal process was 
entered prior to the date of the levy;
    (b) Are required by law to be deducted from the remuneration or 
other payment involved, including, but not limited to:
    (1) Amounts withheld from benefits payable under title II of the 
Social Security Act where the withholding is required by law;
    (2) Federal employment taxes;
    (3) Amounts mandatorily withheld for the United States Soldiers' and 
Airmen's Home;
    (4) Fines and forfeitures ordered by a court-martial or by a 
commanding officer; and
    (5) Amounts deducted for Medicare;
    (c) Are properly withheld for Federal, State, or local income tax 
purposes, if the withholding of the amounts is authorized or required by 
law and if amounts withheld are not greater than would be the case if 
the individual claimed all dependents to which he/she

[[Page 617]]

were entitled. The withholding of additional amounts pursuant to section 
3402(i) of title 26 of the United States Code may be permitted only when 
the individual presents evidence of a tax obligation which supports the 
additional withholding;
    (d) Are deducted as health insurance premiums, including, but not 
limited to, amounts deducted from civil service annuities for Medicare 
where such deductions are requested by the Health Care Financing 
Administration;
    (e) Are deducted as normal retirement contributions, not including 
amounts deducted for supplementary coverage. For purposes of this 
section, all amounts contributed under sections 8351 and 8432(a) of 
title 5 of the United States Code to the Thrift Savings Fund are deemed 
to be normal retirement contributions. Amounts withheld as Survivor 
Benefit Plan or Retired Serviceman's Family Protection Plan payments are 
considered to be normal retirement contributions. Except as provided in 
this paragraph, amounts voluntarily contributed toward additional 
retirement benefits are considered to be supplementary; or
    (f) Are deducted as normal life insurance premiums from salary or 
other remuneration for employment, not including amounts deducted for 
supplementary coverage. Both Servicemen's Group Life Insurance and 
``Basic Life'' Federal Employees' Group Life Insurance premiums are 
considered to be normal life insurance premiums; all optional Federal 
Employees' Group Life Insurance premiums and life insurance premiums 
paid for by allotment, such as National Service Life Insurance, are 
considered to be supplementary.

[45 FR 85667, Dec. 30, 1980, as amended at 48 FR 26280, June 7, 1983; 55 
FR 1356, Jan. 16, 1990; 63 FR 14758, Mar. 26, 1998]



Sec. 581.106  Future payments.

    Moneys paid by a governmental entity which may be due and payable to 
an individual at some future date, shall not be considered due the 
individual unless and until all of the conditions necessary for payment 
of the moneys to the individual have been met, including, but not 
limited to, the following conditions which might apply:
    (a) Retirement;
    (b) Resignation from a position in the Federal service; or
    (c) Application for payment of moneys by the individual.



                      Subpart B--Service of Process



Sec. 581.201  Agent to receive process.

    (a) Appendix A to this part lists agents designated to accept 
service of process.
    (b) The head of each governmental entity shall submit to the Office 
of the General Counsel, Office of Personnel Management, 1900 E Street 
NW., Washington, DC 20415, for publication in appendix A to this part, 
the following information concerning the agent(s) designated to accept 
service of process:
    (1) Title;
    (2) Mailing address;
    (3) Telephone number; and
    (4) Geographical area or region, if applicable.
    (c) United States Attorneys are not considered appropriate agents to 
accept service of process.

[45 FR 85667, Dec. 30, 1980, as amended at 55 FR 1356, Jan. 16, 1990]



Sec. 581.202  Service of process.

    (a) A party using this part shall serve legal process on the agent 
designated in appendix A to this part, or if no agent has been 
designated for the governmental entity having payment responsibility for 
the moneys involved, then upon the head of that governmental entity, 
which has moneys due and payable to the obligor. Where the legal process 
is directed to, and the purpose of the legal process is to compel a 
governmental entity which holds moneys which are otherwise payable to an 
individual, to make a payment from such moneys in order to satisfy a 
legal obligation of such individual to provide child support or make 
alimony payments, the legal process need not expressly name the 
governmental entity as a garnishee.
    (b) Service shall be accomplished pursuant to State procedures in 
effect pursuant to subsection (a)(1) or (b) of section 666 of title 42 
of the United States Code. The designated agent shall note the date and 
time of receipt on the legal process. The governmental

[[Page 618]]

entity shall make every reasonable effort to facilitate proper service 
of process on its designated agent(s). If legal process is not directed 
to any particular official within the entity, or if it is addressed to 
the wrong individual, the recipient shall, nonetheless, forward the 
legal process to the designated agent. However, valid service is not 
accomplished until the legal process is received in the office of the 
designated agent. Moreover, the Government will not be liable for any 
costs or damages resulting from an agency's failure to timely serve 
process or to correct faulty service of process.
    (c) Where it does not appear from the face of the process that it 
has been brought to enforce the legal obligation(s) defined in 
Sec. 581.102(d) and/or (e), the process must be accompanied by a 
certified copy of the court order or other document establishing such 
legal obligations(s).
    (d) Where the State or local law provides for the issuance of legal 
process without a support order, such other documentation establishing 
that it was brought to enforce legal obligation(s) defined in 
Sec. 581.102(d) and/or (e) must be submitted.
    (e) In order for the party who caused the legal process to be served 
to receive the additional five (5) percent provided for in either 
Sec. 581.402(a) or (b), it must appear on the face of the legal process 
that the process was brought for the enforcement of a support order for 
a period which is twelve (12) weeks in arrears, or a certified copy of 
the support order, or other evidence acceptable to the head of the 
governmental entity, establishing this fact, must be submitted.

[45 FR 85667, Dec. 30, 1980, as amended at 48 FR 26280, June 7, 1983; 55 
FR 1356, Jan. 16, 1990; 58 FR 35846, July 2, 1993; 63 FR 14758, Mar. 26, 
1998]



Sec. 581.203  Information minimally required to accompany legal process.

    (a) Sufficient identifying information must accompany the legal 
process in order to enable processing by the governmental entity named. 
Therefore, the following identifying information about the obligor, if 
known, is requested:
    (1) Full name;
    (2) Date of birth;
    (3) Employment number, social security number, Department of 
Veterans Affairs claim number, or civil service retirement claim number;
    (4) Component of the governmental entity for which the obligor 
works, and the official duty station or worksite; and
    (5) Status of the obligor, e.g., employee, former employee, or 
annuitant.
    (b) If the information submitted is not sufficient to identify the 
obligor, the legal process shall be returned directly to the court, or 
other authority, with an explanation of the deficiency. However, prior 
to returning the legal process, if there is sufficient time, an attempt 
should be made to inform the party who caused the legal process to be 
served, or the party's representative, that it will not be honored 
unless adequate identifying information is supplied.

[45 FR 85667, Dec. 30, 1980, as amended at 48 FR 26280, June 7, 1983; 55 
FR 1357, Jan. 16, 1990]



                   Subpart C--Compliance With Process



Sec. 581.301  Suspension of payment.

    Upon proper service of legal process, together with all 
supplementary documents and information as required by Secs. 581.202 and 
581.203, the head of the governmental entity, or his/her designee, shall 
identify the obligor to whom that governmental entity holds moneys due 
and payable as remuneration for employment and shall suspend, i.e., 
withhold, payment of such moneys for the amount necessary to permit 
compliance with the legal process in accordance with this part.

[48 FR 26280, June 7, 1983]



Sec. 581.302  Notification of obligor.

    (a) As soon as possible, but not later than fifteen (15) calendar 
days after the date of valid service of legal process, the agent 
designated to accept legal process shall send to the obligor, at his or 
her duty station or last known home address, written notice:
    (1) That such process has been served, including a copy of the legal 
process,

[[Page 619]]

and, if submitted, such other documents as may be required by 
Sec. 581.202;
    (2) Of the maximum garnishment limitations set forth in 
Sec. 581.402, with a request that the obligor submit supporting 
affidavits or other documentation necessary for determining the 
applicable percentage limitation;
    (3) That by submitting supporting affidavits or other necessary 
documentation, the obligor consents to the disclosure of such 
information to the garnishor; and
    (4) Of the percentage that will be deducted if he/she fails to 
submit the documentation necessary to enable the governmental entity to 
respond to the legal process within the time limits set forth in 
Sec. 581.303.
    (b) The governmental entity may provide the obligor with the 
following additional information:
    (1) Copies of any other documents submitted in support of the legal 
process;
    (2) That the United States does not represent the interests of the 
obligor in the pending legal proceedings;
    (3) That the obligor may wish to consult legal counsel regarding 
defenses to the legal process that he or she may wish to assert; and
    (4) That obligors in the uniformed services may avail themselves of 
the protections provided in sections 520, 521, and 523 of the Soldiers' 
and Sailors' Civil Relief Act of 1940 (50 U.S. Code App. 501 et seq.).



Sec. 581.303  Response to legal process or interrogatories.

    (a) Whenever the designated agent is validly served with legal 
process pursuant to State procedures in effect pursuant to subjection 
(a)(1) or (b) of section 666 of title 42, United States Code, within 30 
calendar days, or within such longer period as may be prescribed by 
applicable State law, the agent shall comply with all applicable 
provisions of section 666, including as follows:
    (1) If an agent is served with notice concerning amounts owed by an 
obligor to more than one person, the agent shall comply with section 
666(b)(7);
    (2) Allocation of moneys due and payable to an individual under 
section 666(b) shall be governed by section 666(b) and the regulations 
prescribed under such section by the Secretary of Health and Human 
Services;
    (3) Such moneys as remain after compliance with paragraphs (a)(1) 
and (a)(2) of this section shall be available to satisfy any other such 
legal process on a first-come, first-served basis, with any such legal 
process being satisfied out of such moneys as remain after the 
satisfaction of all such legal process which have been previously 
served.
    (4) The agent or the agent's counsel or other designee shall respond 
within 30 calendar days to interrogatories which accompany legal process 
if the information sought in the interrogatory is not available to the 
entity to which it was sent, and the proper entity is known, the 
recipient shall forward the interrogatory to the appropriate entity in 
sufficient time to allow for a timely response.
    (b) If State or local law authorizes the issuance of interrogatories 
prior to or after the issuance of legal process, the agent shall respond 
to the interrogatories within thirty (30) calendar days after receipt: 
Provided, That the document(s) required by Sec. 581.202(c) have been 
presented.

[45 FR 85667, Dec. 30, 1980, as amended at 63 FR 14759, Mar. 26, 1998]



Sec. 581.304  Nonliability for disclosure.

    (a) No Federal employee whose duties include responding to 
interrogatories pursuant to Sec. 581.303(b), shall be subject to any 
disciplinary action or civil or criminal liability or penalty for any 
disclosure of information made by him/her in connection with the 
carrying out of any duties pertaining directly or indirectly to 
answering such interrogatories.
    (b) However, a governmental entity would not be precluded from 
taking disciplinary action against an employee who consistently or 
purposely failed to provide correct information requested by 
interrogatories.

[45 FR 85667, Dec. 30, 1980, as amended at 48 FR 26280, June 7, 1983]



Sec. 581.305  Honoring legal process.

    (a) The governmental entity shall comply with legal process, except 
where the process cannot be complied with because:

[[Page 620]]

    (1) It does not, on its face, conform to the laws of the 
jurisdiction from which it was issued;
    (2) The legal process would require the withholding of funds not 
deemed moneys due from, or payable by, the United States as remuneration 
for employment;
    (3) The legal process is not brought to enforce legal obligation(s) 
for alimony and/or child support;
    (4) It does not comply with the mandatory provisions of this part; 
or
    (5) An order of a court of competent jurisdiction enjoining or 
suspending the operation of the legal process has been served on the 
governmental entity.
    (b) Where notice is received that the obligor has appealed either 
the legal process or the underlying alimony and/or child support order, 
payment of moneys subject to the legal process shall be suspended; i.e., 
moneys shall continue to be withheld, but these amounts shall be 
retained by the governmental entity until the entity is ordered by the 
court, or other authority, to resume payments or otherwise disburse the 
suspended amounts. However, no suspension action shall be taken where 
the applicable law of the jurisdiction wherein the appeal is filed 
requires compliance with the legal process while an appeal is pending. 
Where the legal process has been issued by a court in the District of 
Columbia, a motion to quash shall be deemed equivalent to an appeal.
    (c) Under the circumstances set forth in Sec. 581.305 (a) or (b), or 
where the governmental entity is directed by the Justice Department not 
to comply with the legal process, the entity shall respond directly to 
the court, or other authority, setting forth its objections to 
compliance with the legal process. In addition, the governmental entity 
shall inform the party who caused the legal process to be served, or the 
party's representative, that the legal process will not be honored. 
Thereafter, if litigation is initiated or threatened, the entity shall 
immediately refer the matter to the United States Attorney for the 
district from which the legal process issued. To ensure uniformity in 
the executive branch, governmental entities which have statutory 
authority to represent themselves in court shall coordinate their 
representation with the United States Attorney.
    (d) If a governmental entity is served with more than one legal 
process for the same moneys due or payable to an individual, the entity 
shall comply with Sec. 581.303(a). Provided, That in no event will the 
total amount garnished for any pay or disbursement cycle exceed the 
applicable limitation set forth in Sec. 581.402.
    (e)(1) Neither the United States, any disbursing officer, nor any 
governmental entity shall be liable for any payment made from moneys due 
from, or payable by, the United States to any individual pursuant to 
legal process regular on its face, if such payment is made in accordance 
with this part.
    (2) Neither the United States, any disbursing officer, nor any 
governmental entity shall be liable under this part to pay money damages 
for failure to comply with legal process.
    (f) Governmental entities affected by legal process served under 
this part shall not be required to vary their normal pay or disbursement 
cycles to comply with the legal process. However, legal process, valid 
at the time of service, which is received too late to be honored during 
the disbursement cycle in which it is received, shall be honored to the 
extent that the legal process may be satisfied during the next 
disbursement cycle within the limits set forth in Sec. 581.402. The fact 
that the legal process may have expired during this period would not 
relieve the governmental entity of its obligation to honor legal process 
which was valid at the time of service. If, in the next disbursement 
cycle, no further payment will be due from the entity to the obligor, 
the entity shall follow the procedures set forth in Sec. 581.306.
    (g) If a governmental entity receives legal process which, on its 
face, appears to conform to the laws of the jurisdiction from which it 
was issued, the entity shall not be required to ascertain whether the 
authority which issued the legal process had obtained personal 
jurisdiction over the obligor.
    (h) A failure by the party bringing the garnishment action to comply 
with the provisions of the Uniform Reciprocal Enforcement of Support Act

[[Page 621]]

(URESA) or the Revised Uniform Reciprocal Enforcement of Support Act by 
itself shall not be a valid basis for a governmental entity to refuse to 
comply with legal process.

[45 FR 85667, Dec. 30, 1980, as amended at 48 FR 26280, June 7, 1983; 55 
FR 1357, Jan. 16, 1990; 63 FR 14759, Mar. 26, 1998]



Sec. 581.306  Lack of moneys due from, or payable by, a governmental entity served with legal process.

    (a) When legal process is served on a governmental entity, and the 
individual identified in the legal process as the obligor is found not 
to be entitled to moneys (the entitlement to which is based upon 
remuneration for employment) due from, or payable by, the governmental 
entity, the entity shall follow the procedures set forth in the legal 
process for that contingency or, if no procedures are set forth therein, 
shall return the legal process to the court, or other authority from 
which it was issued, and advise the court, or other authority, that no 
moneys, the entitlement to which is based upon remuneration for 
employment, are due from, or payable by, the governmental entity to the 
named individual.
    (b) Where it appears that remuneration for employment is only 
temporarily exhausted or otherwise unavailable, the court, or other 
authority, shall be fully advised as to why, and for how long, the 
remuneration will be unavailable, if that information is known by the 
governmental entity.
    (c) In instances where an employee obligor separates from his/her 
employment with a governmental entity which is presently honoring a 
continuing legal process, the entity shall inform the party who caused 
the legal process to be served, or the party's representative, and the 
court, or other authority, that the payments are being discontinued. In 
cases where the obligor has a Thrift Savings Fund account, or has 
retired, or has separated and requested a refund of retirement 
contributions, or transferred, or is receiving benefits under the 
Federal Employees' Compensation Act, or where the employee obligor has 
been employed by either another governmental entity or by a private 
employer, and where this information is known by the governmental 
entity, the governmental entity shall provide the party with the 
designated agent for the new disbursing governmental entity or with the 
name and address of the private employer.

[45 FR 85667, Dec. 30, 1980, as amended at 48 FR 26281, June 7, 1983; 55 
FR 1357, Jan. 16, 1990; 58 FR 35846, July 2, 1993]



Sec. 581.307  Compliance with legal process requiring the payment of attorney fees, interest, and/or court costs.

    Before complying with legal process that requires withholding for 
the payment of attorney fees, interest, and/or court costs, the 
governmental entity must determine that the legal process meets both of 
the following requirements:
    (a) The legal process must expressly provide for inclusion of 
attorney fees, interest, and/or court costs as (rather than in addition 
to) child support and/or alimony payments;
    (b) The awarding of attorney fees, interest, and/or court costs as 
child support and/or alimony must be within the authority of the court, 
authorized official, or authorized State agency that issued the legal 
process. It will be deemed to be within the authority of the court, 
authorized official, or authorized State agency to award attorney fees 
as child support and/or alimony if such order is not in violation of or 
inconsistent with State or local law, even if State or local law does 
not expressly provide for such an award.

[55 FR 1357, Jan. 16, 1990]



         Subpart D--Consumer Credit Protection Act Restrictions



Sec. 581.401  Aggregate disposable earnings.

    The ``aggregate disposable earnings'', when used in reference to the 
amounts due from, or payable by, the United States or the District of 
Columbia which are garnishable under the Consumer Credit Protection Act 
for child support and/or alimony, are the obligor's remuneration for 
employment less those amounts deducted in accordance with Sec. 581.105.

[[Page 622]]



Sec. 581.402   Maximum garnishment limitations.

    (a) Except as provided in paragraph (b) of this section, pursuant to 
section 1673(b)(2) (A) and (B) of title 15 of the United States Code 
(the Consumer Credit Protection Act, as amended), unless a lower maximum 
garnishment limitation is provided by applicable State or local law, the 
maximum part of the aggregate disposable earnings subject to garnishment 
to enforce any support order(s) shall not exceed:
    (1) Fifty percent of the obligor's aggregate disposable earnings for 
any workweek, where the obligor asserts by affidavit, or by other 
acceptable evidence, that he or she is supporting a spouse, a dependent 
child, or both, other than the former spouse, child, or both, for whose 
support such order is issued, except that an additional five percent 
will apply if it appears on the face of the legal process, or from other 
evidence submitted in accordance with Sec. 581.202(d), that such 
earnings are to enforce a support order for a period which is 12 weeks 
prior to that workweek. An obligor shall be considered to be supporting 
a spouse, dependent child, or both, only if the obligor provides over 
half of the support for a spouse, dependent child or both.
    (2) Sixty percent of the obligor's aggregate disposable earnings for 
any workweek, where the obligor fails to assert by affidavit or 
establishes by other acceptable evidence, that he or she is supporting a 
spouse, dependent child, or both, other than a former spouse, child, or 
both, with respect to whose support such order is issued, except that an 
additional five percent will apply if it appears on the face of the 
legal process, or from other evidence submitted in accordance with 
Sec. 581.202(d), that such earnings are to enforce a support order for a 
period which is 12 weeks prior to that workweek.
    (3) Where, under Sec. 581.302(a)(2), an obligor submits evidence 
that he or she is supporting a second spouse, child, or both a second 
spouse and dependent child, copies of the evidence shall be sent by the 
governmental entity to the garnishor, or the garnishor's representative, 
as well as to the court, or other authority as specified in 
Sec. 581.102(f)(1), together with notification that the obligor's 
support claim will be honored. If the garnishor disagrees with the 
obligor's support claim, the garnishor should immediately refer the 
matter to the court, or other authority, for resolution.
    (b) In instances where an obligor is receiving remuneration from 
more than one governmental entity, an authority described in 
Sec. 581.102(f)(1) may apply the limitations described in paragraph (a) 
of this section to the total remuneration, i.e., to the combined 
aggregate disposable earnings received by the obligor.

[63 FR 14759, Mar. 26, 1998]



           Subpart E--Implementation by Governmental Entities



Sec. 581.501  Rules, regulations, and directives by governmental entities.

    Appropriate officials of all governmental entities shall, to the 
extent necessary, issue implementing rules, regulations, or directives 
that are consistent with this part or as are otherwise in accordance 
with statutory law.

[63 FR 14759, Mar. 26, 1998]

   Appendix A to Part 581--List of Agents Designated to Accept Legal 
                                 Process

    [This appendix lists the agents designated to accept legal process 
for the Executive Branch of the United States, the United States Postal 
Service, the Postal Rate Commission, the District of Columbia, American 
Samoa, Guam, the Virgin Islands, and the Smithsonian Institution.]

                             I. Departments

                        Department of Agriculture

Office of the Secretary
Office of the Deputy Secretary
Office of the Under Secretaries
Office of the Assistant Secretaries
Director, Executive Resources and Services Division, Office of 
Personnel, Room 334 W--Administration Bldg., 14th St. and Independence 
Ave., SW., Washington, DC 20250, (202) 720-6047

[[Page 623]]

                       Office of Inspector General

Chief Counsel to the Inspector General, Office of Inspector General, 
Room 27E--Administration Bldg., 14th St. and Independence Ave., SW., 
Washington, DC 20250, (202) 720-9110
Administration
Board of Contract Appeals
Chief Financial Officer
Judicial Officer
Office of Administrative Law Judges
Office of Budget and Program Analysis
Office of Civil Rights Enforcement
Office of Communications
Office of Congressional and Intergovernmental Relations
Office of the General Counsel
Office of Information and Resources Management
Office of Operations
Office of Personnel
Office of Small and Disadvantaged Business Utilization

Chief, Employment and Compensation Branch, Office of Personnel--POD, 
Room 31W--Administration Bldg., 14th St. and Independence Ave., SW., 
Washington, DC 20250-9630, (202) 720-7797

Chief Economist Office of risk Assessment and Cost-Benefit Analysis 
World Agricultural Outlook Board

Chief, Economics and Statistics Operations Branch, Human Resources 
Division, Agricultural Research Service, Room 1424--South Bldg., 14th 
St. and Independence Ave., SW., Washington, DC 20250, (202) 720-7657

Farm and Foreign Agricultural Services
Consolidated Farm Service Agency
Foreign Agricultural Service

Chief, Employee and Labor Relations Branch, Human Resources Division, 
Consolidated Farm Service Agency, Room 6732--South Bldg., PO Box 2415, 
Washington, DC 20013, (202) 720-5964

                   Federal Crop Insurance Corporation

Chief, Labor Relations Branch, Federal Crop Insurance Corporation, 
Consolidated Farm Service Agency, Room 6732--South Bldg., 14th St. and 
Independence Ave., SW., Washington, DC 20250, (202) 720-5964

Food, Nutrition, and Consumer Services
Food and Consumer Service

Senior Employee Relations Specialist, Employee Relations Division, Food 
and Consumer Service, 3101 Park Center Drive, Room 623, Alexandria, VA 
22302, (703) 305-2374

                    Marketing and Regulatory Programs

Agricultural Marketing Service (except for employees of the Milk 
Marketing Administration)
Animal and Plant Health Inspection Service
Grain Inspection, Packers and Stockyards Administration

Chief, Human Resources, USDA, APHIS, Butler Square West, 5th Floor, 100 
North 6th Street, Minneapolis, MN 55403, (612) 370-2107

Agricultural Marketing Service
Milk Marketing Employees

Personnel Management Specialist, Agricultural Marketing Service, DA, 
Room 2754--South Bldg., P.O. Box 96456, Washington, DC 20090-6456, (202) 
720-7258

Food Safety and Inspection Service

Chief, Employee Relations Branch, Labor and Employee Relations Division, 
Food Safety and Inspection Service, Room 3175 South Building, 14th & 
Independence Avenue, SW., Washington, DC 20250-3700, 1-800-217-1886

Rural Development
Rural Housing Service
Rural Business-Cooperative Service
Rural Utilities Service

Chief, Human Resources Programs Branch, Human Resources, Rural 
Development, 1400 Independence Avenue, SW., Stop 0730, Washington, DC 
20250-0730, (202) 692-0194

                         Rural Utilities Service

Chief, Rural Utilities Service, Personnel Operations Branch, Human 
Relations Division, Rural Housing and Community Development Service, 
Room 4031--South Bldg., 14th St. and Independence Ave., SW., Washington, 
DC 20250-1382, (202) 720-1382

Natural Resources and Environment
Forest Service
Washington Office

Director, Personnel Management, 900 RP-E, PO Box 96090, Washington, DC 
20090-6090, (703) 235-8102

              International Institute of Tropical Forestry

Director, Call Box 25000, UPR Experimental Station Grounds, Rio Piedras, 
PR 00928-2500, (809) 766-5335

                                Region 1

Regional Forester, Regional Office, Federal Bldg., PO Box 7669, 
Missoula, MT 59807, (406) 329-3003

                                  Idaho

Clearwater--Forest Supervisor, 12730 Highway 12, Orofino, ID 83544, 
(208) 476-4541
Idaho Panhandle National Forests--Forest Supervisor, 1201 Ironwood Dr., 
Coeur d'Alene, ID 83814, (208) 765-7223
Nez Perce--Forest Supervisor, Rt. 2, Box 475, Grangeville, ID 83530, 
(208) 983-1950

[[Page 624]]

                                 Montana

Beaverhead--Forest Supervisor, 420 Barrett St., Dillon, MT 59725-3572, 
(406) 683-3900
Bitterroot--Forest Supervisor, 1801 N. 1st St., Hamilton, MT 59840, 
(406) 363-7121
Custer--Forest Supervisor, Box 2556, Billings, MT 59103, (406) 657-6361
Deerlodge--Forest Supervisor, Federal Bldg., Box 400, Butte, MT 59701, 
(406) 496-3400
Flathead--Forest Supervisor, 1935 3rd Ave., E., Kalispell, MT 59901, 
(406) 755-5401
Gallatin--Forest Supervisor, Federal Bldg., 10 E. Babcock Ave., Box 130, 
Bozeman, MT 59771, (406) 587-6701
Helena--Forest Supervisor, 2880 Skyway Dr., Helena, MT 59601, (406) 449-
5201
Kootenai--Forest Supervisor, 506 Highway 2 W., Libby, MT 59923, (406) 
293-6211
Lewis and Clark--Forest Supervisor, PO Box 869, 1101 15th St. N., Great 
Falls, MT 59403, (406) 791-7700
Lolo--Forest Supervisor, Bldg. 24, Ft. Missoula, Missoula, MT 59801, 
(406) 329-3750

                                Region 2

Regional Forester, Regional Office, 740 Simms St., Lakewood, CO 80255, 
(303) 275-5306

                                Colorado

Arapaho and Roosevelt--Forest Supervisor, 240 W. Prospect, Fort Collins, 
CO 80526, (303) 498-1100
Grand Mesa, Uncompahgre, and Gunnison--Forest Supervisor, 2250 Highway 
50, Delta, CO 81416, (303) 874-7691
Pike and San Isabel--Forest Supervisor, 1920 Valley Dr., Pueblo, CO 
81008, (719) 545-8737
Rio Grande--Forest Supervisor, 1803 West Highway 160, Monte Vista, CO 
81144, (719) 852-5941
Routt--Forest Supervisor, 29587 W. US 40, Suite 20, Steamboat Springs, 
CO 80487-9550, (303) 879-1722
San Juan--Forest Supervisor, 701 Camino Del Rico, Room 301, Durango, CO 
81301, (303) 247-4874
White River--Forest Supervisor, Old Federal Bldg., Box 948, Glenwood 
Springs, CO 81602, (303) 945-2521

                                Nebraska

Nebraska--Forest Supervisor, 125 N. Main St., Chadron, NE 69337, (308) 
432-0300

                              South Dakota

Black Hills--Forest Supervisor, R.R. 2, Box 200, Custer, SD 57730-9504, 
(605) 673-2251

                                 Wyoming

Bighorn--Forest Supervisor, 1969 So. Sheridan Ave., Sheridan, WY 82801, 
(307) 672-0751
Medicine Bow--Forest Supervisor, 2468 Jackson St., Laramie, WY 82070-
6535, (307) 745-8971
Shoshone--Forest Supervisor, 808 Meadow Lane, Cody, WY 82414, (307) 527-
6241

                                Region 3

Regional Forester, Regional Office, Federal Bldg., 517 Gold Ave., SW., 
Albuquerque, NM 87102, (505) 842-3380

                                 Arizona

Apache--Sitgreaves--Forest Supervisor, Federal Bldg., Box 640, 
Springerville, AZ 85938, (602) 333-4301
Coconino--Forest Supervisor, 2323 E. Greenlaw Lane, Flagstaff, AZ 86004, 
(602) 527-3600
Coronado--Forest Supervisor, 300 W. Congress, Tucson, AZ 85701, (692) 
670-4552
Kaibab--Forest Supervisor, 800 S. 6th St., Williams, AZ 86046, (602) 
635-2681
Prescott--Forest Supervisor, 344 South Cortez, Prescott, AZ 86303, (602) 
771-4700
Tonto--Forest Supervisor, 2324 E. McDowell Rd., Phoenix, AZ 85006, (602) 
225-5200

                               New Mexico

Carson--Forest Supervisor, 208 Cruz Alta Rd., PO Box 558, Taos, NM 
87571, (505) 758-6200
Cibola--Forest Supervisor, 2113 Osuna Rd., NE., Suite A, Albuquerque, NM 
87113-1001, (505) 761-4650
Gila--Forest Supervisor, 3005 E. Camino del Bosque, Silver City, NM 
88061, (505) 388-8201
Lincoln--Forest Supervisor, Federal Bldg., 1101 New York Ave., 
Alamogordo, NM 88310-6992, (505) 434-7200
Santa Fe--Forest Supervisor, 1220 St. Francis Dr., Santa Fe, NM 87504, 
(505) 988-6940

                                Region 4

Regional Forester, Regional Office, Federal Bldg., 324 25th St., Ogden, 
UT 84401, (801) 625-5298

                                  Idaho

Boise--Forest Supervisor, 1750 Front Street, Boise, ID 83702, (208) 364-
4100
Caribou--Forest Supervisor, 250 S. 4th Ave., Suite 282, Federal Bldg., 
Pocatello, ID 83201, (208) 236-7500
Challis--Forest Supervisor, HC 63 Box 1671, F.S. Bldg., Challis, ID 
83226, (208) 879-2285
Payette--Forest Supervisor, Box 10206 or 106 W. Park, McCall, ID 83638, 
(208) 634-0700
Salmon--Forest Supervisor, P.O. Box 729, Salmon, ID 83467-0729, (208) 
765-2215
Sawtooth--Forest Supervisor, 2647 Kimberly Rd. East, Twin Falls, ID 
83301-7976, (208) 737-3200
Targhee--Forest Supervisor, 420 N. Bridge St., P.O. Box 208, St. 
Anthony, ID 83445, (208) 624-3151

[[Page 625]]

                                 Nevada

Humboldt--Forest Supervisor, 976 Mountain City Highway, Elko, NV 89801, 
(702) 738-5171
Toiyabe--Forest Supervisor, 1200 Franklin Way, Sparks, NV 89431, (702) 
355-5300

                                  Utah

Ashley--Forest Supervisor, 355 North Vernal Ave., Vernal, UT 84078, 
(801) 789-1181
Dixie--Forest Supervisor, 82 No. 100 E. St., P.O. Box 580, Cedar City, 
UT 84721-0580, (801) 865-3700
Fishlake--Forest Supervisor, 115 E. 900 N, Richfield, UT 84701, (801) 
896-9233
Manti--La Sal--Forest Supervisor, 599 W. Price River Drive, Price, UT 
84501, (801) 637-2817
Uinta--Forest Supervisor, 88 W. 100 N., Provo, UT 84601, (801) 342-5100
Wasatch--Cache--Forest Supervisor, 8236 Federal Bldg., 125 S. State St., 
Salt Lake City, UT 84138, (801) 524-5030

                                 Wyoming

Bridger--Teton--Forest Supervisor, F.S. Bldg., 340 N. Cache, Box 1888, 
Jackson, WY 83001, (307) 739-5500

                                Region 5

Regional Forester, Regional Office, 630 Sansome St., San Francisco, San 
Francisco, CA 94111, (415) 705-2856

                               California

Angeles--Forest Supervisor, 701 N. Santa Anita Ave., Arcadia, CA 91006, 
(818) 574-1613
Cleveland--Forest Supervisor, 10845 Rancho Bernardo Rd., Suite 200, San 
Diego, CA 92127-2107, (619) 673-6180
Eldorado--Forest Supervisor, 100 Forni Rd., Placerville, CA 95667, (916) 
622-5062
Inyo--Forest Supervisor, 873 North Main St., Bishop, CA 93514, (619) 
873-2400
Klamath--Forest Supervisor, 1312 Fairlane Rd., Yreka, CA 96097, (916) 
842-6131
Lassen--Forest Supervisor, 55 S. Sacramento St., Susanville, CA 96130, 
(916) 257-2151
Los Padres--Forest Supervisor, 6144 Calle Real, Goleta, CA 93117, (805) 
683-6711
Mendocino--Forest Supervisor, 420 E. Laurel St., Willows, CA 95988, 
(916) 934-3316
Modoc--Forest Supervisor, 800 W. 12th St., Alturas, CA 96101, (916) 233-
5811
Plumas--Forest Supervisor, 159 Lawrence St., Box 11500, Quincy, CA 
95971-6025, (916) 283-2050
San Bernardino--Forest Supervisor, 1824 S. Commercenter Cir., San 
Bernardino, CA 92408-3430, (909) 383-5588
Sequoia--Forest Supervisor, 900 W. Grand Ave., Porterville, CA 93257-
2035, (209) 784-1500
Shasta--Trinity--Forest Supervisor, 2400 Washington Ave., Redding, CA 
96001, (916) 246-5222
Sierra--Forest Supervisor, 1600 Tollhouse Rd., Clovis, CA 93611, (209) 
297-0706
Six Rivers--Forest Supervisor, 1330 Bayshore Way, Eureka, CA 95501-3834, 
(707) 441-3517
Stanislaus--Forest Supervisor, 19777 Greenley Rd., Sonora, CA 95370, 
(209) 532-3671
Tahoe--Forest Supervisor, 631 Coyote St., PO Box 6003, Nevada City, CA 
95959-6003, (916) 265-4531

                                Region 6

Regional Forester, Regional Office, 333 S.W. 1st Ave., PO Box 3623, 
Portland, OR 97208, (503) 326-3630

                                 Oregon

Deschutes--Forest Supervisor, 1645 Highway 20 E., Bend, OR 97701, (503) 
388-2715
Fremont--Forest Supervisor, 524 North G St., Lakeview, OR 97630, (503) 
947-2151
Malheur--Forest Supervisor, 139 NE Dayton St., John Day, OR 97845, (503) 
575-1731
Mt. Hood--Forest Supervisor, 16400 Champion Way, Sandy, OR 97055, (503) 
668-1613
Ochoco--Forest Supervisor, Box 490, Prineville, OR 97754, (503) 447-6247
Rogue River--Forest Supervisor, Federal Bldg., 333 W. 8th St., Box 520, 
Medford, OR 97501, (503) 776-3600
Siskiyou--Forest Supervisor, Box 440, Grants Pass, OR 97526, (503) 471-
6500
Siuslaw--Forest Supervisor, Box 1148, Corvallis, OR 97339, (503) 750-
7000
Umatilla--Forest Supervisor, 2517 SW Hailey Ave., Pendleton, OR 97801, 
(503) 278-3721
Umpqua--Forest Supervisor, Box 1008, Roseburg, OR 97470, (503) 672-6601
Wallowa--Whitman--Forest Supervisor, Box 907, Baker City, OR 97814, 
(503) 523-6391
Willamette--Forest Supervisor, Box 10607, Eugene, OR 97440, (503) 465-
6521
Winema--Forest Supervisor, 2819 Dahlia, Klamath Falls, OR 97601, (503) 
883-6714

                               Washington

Colville--Forest Supervisor, 765 S. Main, Colville, WA 99114, (509) 684-
7000
Gifford Pinchot--Forest Supervisor, 6926 E. 4th Plain Blvd., Vancouver, 
WA 98668-8944, (206) 750-5000
Mt. Baker--Snoqualmie--Forest Supervisor, 21905 64th Avenue West, 
Mountlake Terrace, WA 98043, (206) 744-3200
Okanogan--Forest Supervisor, 1240 South Second Ave., Okanogan, WA 98840, 
(509) 826-3275
Olympic--Forest Supervisor, 1835 Black Lake Blvd., SW., Olympia, WA 
98512, (206) 956-2300
Wenatchee--Forest Supervisor, 301 Yakima St., PO Box 811, Wenatchee, WA 
98807, (509) 662-4335

[[Page 626]]

                                Region 8

Regional Forester, Regional Office, 1720 Peachtree Rd., NW., Atlanta, GA 
30367, (404) 347-3841

                                 Alabama

National Forests in Alabama--Forest Supervisor, 2946 Chestnut St., 
Montgomery, AL 36107-3010, (205) 832-4470

                                Arkansas

Ouachita--Forest Supervisor, Box 1270, Federal Bldg., Hot Springs 
National Park, AR 71902, (501) 321-5200
Ozark--St. Francis--Forest Supervisor, 605 West Main, Box 1008, 
Russellville, AR 72801, (501) 968-2354

                                 Florida

National Forests in Florida--Forest Supervisor, Woodcrest Office Park, 
325 John Knox Rd., Suite F-100, Tallahassee, FL 32303, (904) 681-7265

                                 Georgia

Chattahoochee and Oconee--Forest Supervisor, 508 Oak St., NW., 
Gainesville, GA 30501, (404) 536-0541

                                Kentucky

Daniel Boone--Forest Supervisor, 100 Vaught Rd., Winchester, KY 40391, 
(606) 745-3100

                                Louisiana

Kisatchie--Forest Supervisor, 2500 Shreveport Hwy., PO Box 5500, 
Pineville, LA 71361-5500, (318) 473-7160

                               Mississippi

National Forests in Mississippi--Forest Supervisor, 100 W. Capital St., 
Suite 1141, Jackson, MS 39269, (601) 965-4391

                             North Carolina

National Forests in North Carolina--Forest Supervisor, Post and Otis 
Streets, PO Box 2750, Asheville, NC 28802, (704) 257-4200

                   Puerto Rico and the Virgin Islands

Caribbean National Forest--Forest Supervisor, Call Box 25000, Rio 
Piedras, PR 00928-2500, (809) 766-5335

                             South Carolina

Francis Marion and Sumter National Forests--Forest Supervisor, 4923 
Broad River Rd., Columbia, SC 29212, (803) 765-5222

                                Tennessee

Cherokee--Forest Supervisor, 2800 N. Ocoee St., NE., PO Box 2010, 
Cleveland, TN 37320, (615) 476-9700

                                  Texas

National Forests in Texas--Forest Supervisor, Homer Garrison Federal 
Bldg., 701 N. First St., Lufkin, TX 75901, (409) 639-8501

                                Virginia

George Washington--Forest Supervisor, PO Box 233, Harrison Plaza, 
Harrisonburg, VA 22801, (703) 433-2491

                                Region 9

Regional Forester, Regional Office, 310 W. Wisconsin Ave., Room 500, 
Milwaukee, WI 53203, (414) 297-3674

                                Illinois

Shawnee--Forest Supervisor, 901 S. Commercial St., Harrisburg, IL 62946, 
(618) 253-7114

                                 Indiana

Hoosier--Forest Supervisor, 811 Constitution Ave., Bedford, IN 47421, 
(812) 275-5987

                                Michigan

Hiawatha--Forest Supervisor, 2727 N. Lincoln Rd., Escanaba, MI 49829, 
(906) 786-4062
Huron--Manistee--Forest Supervisor, 421 S. Mitchell St., Cadillac, MI 
49601, (616) 775-2421
Ottawa--Forest Supervisor, 2100 E. Cloverland Dr., Ironwood, MI 49938, 
(906) 932-1330

                                Minnesota

Chippewa--Forest Supervisor, Rt. 3 Box 244, Cass Lake, MN 56633, (218) 
335-8600
Superior--Forest Supervisor, Box 338, Federal Bldg., 515 W. First St., 
Duluth, MN 55802, (218) 720-5324

                                Missouri

Mark Twain--Forest Supervisor, 401 Fairgrounds Rd., Rolla, MO 65401, 
(314) 364-4621
New Hampshire and Maine, White Mountain--Forest Supervisor, Federal 
Bldg., 719 Main St., PO Box 638, Laconia, NH 03247, (603) 528-8721

                                  Ohio

Wayne--Forest Supervisor, 219 Columbus Rd., Athens, OH 45701-1399, (614) 
592-6644

                              Pennsylvania

Allegheny--Forest Supervisor, 222 Liberty St., Box 847, Warren, PA 
16365, (814) 723-5150

                                 Vermont

Green Mountain and Finger Lakes--Forest Supervisor, 231 N. Main St., 
Rutland, NY 05701, (802) 747-6700

[[Page 627]]

                              West Virginia

Monongahela--Forest Supervisor, USDA Bldg., 200 Sycamore St., Elkins, WV 
26241-3962, (304) 636-1800

                                Wisconsin

Chequamegon--Forest Supervisor, 1170 4th Ave. South, Park Falls, WI 
54552, (715) 762-2461
Nicolet--Forest Supervisor, Federal Bldg., 68 S. Stevens, Rhinelander, 
WI 54501, (715) 362-1300

                                Region 10

Regional Forester, Regional Office, Federal Office Bldg., Box 21628, 
Juneau, AK 99802-1628, (907) 586-8719

                                 Alaska

Chugach--Forest Supervisor, 3301 C St., Suite 300, Anchorage, AK 99503-
3998, (907) 271-2500
Tongass--Chatham Area--Forest Supervisor, 204 Siginaka Way, Sitka, AK 
99835, (907) 747-6671
Tongass--Ketchikan Area--Forest Supervisor, Federal Bldg., Ketchikan, AK 
99901, (907) 225-3101
Tongass--Stikine Area--Forest Supervisor, Box 309, Petersburg, AK 99833, 
(907) 772-3841

                  Forest and Range Experiment Stations

Intermountain Research Station, Director, 324 25th Street, Ogden, UT 
84401, (801) 625-5412
North Central Forest Experiment Station, Director, 1992 Folwell Ave., 
St. Paul, MN 55108, (612) 649-5249
Northeastern Forest Experiment Station, Director, 5 Radnor Corporate 
Center, Suite 200, PO Box 6775, Radnor, PA 19087-8775, (610) 975-4017
Pacific Northwest Research Station, Director, PO Box 3890, Portland, OR 
97208-3890, (503) 326-5640
Pacific Southwest Forest and Range Experiment Station, Director, 800 
Buchanan St., West Building, Albany, CA 94710-0011, (510) 559-6310
Rocky Mountain Forest and Range Experiment Station, Director, 240 W. 
Prospect Rd., Fort Collins, CO 80526-2098, (303) 498-1126
Southeastern Forest Experiment Station, Director, 200 Weaver Blvd., PO 
Box 2680, Ashville, NC 28802, (704) 257-4300
Southern Forest Experiment Station, Director, T-10210, U.S. Postal 
Service Bldg., 701 Loyola Ave., New Orleans, LA 70113, (504) 589-3921
Forest Products Laboratory, Director, One Gifford Pinchot Dr., Madison, 
WI 53705-2398, (608) 231-9318
Northeastern Area State and Private Forestry, Director, 5 Radnor 
Corporate Center, Suite 200, PO Box 6775, Radnor, PA 19087-8775, (610) 
975-4103

                 Natural Resources Conservation Service

Regional Administrative Officer, Natural Resources Conservation Service, 
Midwest Regional Office, 2820 Walton Commons West, Suite 123, Madison, 
WI 53704-6785, (608) 224-3000
Regional Administrative Officer, Natural Resources Conservation Service, 
West Regional Office, 650 Capitol Mall, Room 6072, Sacramento, CA 95814, 
(916) 498-5240
Regional Administrative Officer, Natural Resources Conservation Service, 
Southeast Regional Office, 1720 Peachtree Road, NW., Suite 716-N, 
Atlanta, GA 30309-2439, (404) 347-6153
Regional Administrative Officer, Natural Resources Conservation Service, 
East Regional Office, 11710 Beltsville Drive, Suite 100, Calverton 
Office Bldg., 2, Beltsville, MD 20705, (301) 586-1328
Regional Administrative Officer, Natural Resources Conservation Service, 
South Central Regional Office, PO Box 6459, Ft. Worth, TX 76115-0459, 
(817) 334-5258, ext. 3504
Regional Administrative Officer, Natural Resources Conservation Service, 
Northern Plains Regional Office, 100 Centennial Mall North, Room 152, 
Lincoln, NE 68508-3866, (402) 437-5315
Human Resources Officer, Natural Resources Conservation Service, 
National Business Management Center, Bldg. 23, 501 W. Felix Street, PO 
Box 6567, Ft. Worth, TX 76115, (817) 334-5427, ext. 3750
Human Resources Officer, Natural Resources Conservation Service, PO Box 
2890, Room 5215-South Bldg., Washington, DC 20013-2890, (202) 720-4264
Human Resources Officer, Natural Resources Conservation Service, 665 
Opelika Road, PO Box 311, Auburn, AL 36830-0311, (334) 887-4543
Human Resources Officer, Natural Resources Conservation Service, 3003 N. 
Central Ave., Suite 800, Phoenix, AZ 85012-2945, (602) 280-8800
Human Resources Officer, Natural Resources Conservation Service, 700 
West Capitol Avenue, Federal Bldg., Room 5404, Little Rock, AR 72201-
3225, (501) 324-5479
Human Resources Officer, Natural Resources Conservation Service, 2121-C 
2nd Street, Davis, CA 95616, (916) 757-8294
Human Resources Officer, Natural Resources Conservation Services, 655 
Parfet Street, Room E200C, Lakewood, CO 80215-5517, (303) 236-2891, ext. 
219
Human Resources Officer, Natural Resources Conservation Service, 16 
Professional Park Road, Storrs, CT 06268-1299, (860) 487-4034
Human Resources Officer, Natural Resources Conservation Service, 1203 
College Park

[[Page 628]]

Drive, Suite 101, Dover, DE 19904-8713, (302) 678-4173
Human Resources Officer, Natural Resources Conservation Service, 2614 NW 
43rd Street, Gainesville, FL 32606, (352) 338-9525
Human Resources Officer, Natural Resources Conservation Service, Federal 
Bldg., Box 13, 355 E. Hancock Avenue, Athens, GA 30601, (706) 546-2270
Human Resources Officer, Natural Resources Conservation Service, 300 Ala 
Moana Blvd., Rm 4316, PO Box 50004, Honolulu, HI 96850-0002, (808) 541-
1896
Human Resources Officer, Natural Resources Conservation Service, 693 
Federal Bldg., 210 Walnut Street, Des Moines, IA 50309, (515) 284-4588
Human Resources Officer, Natural Resources Conservation Service, 3244 
Elder Street, Room 124, Boise, ID 83705-4711, (208) 378-5712
Human Resources Officer, Natural Resources Conservation Service, 1902 
Fox Drive, Champaign, IL 61820, (217) 398-5288
Human Resources Officer, Natural Resources Conservation Service, 6013 
Lakeside Blvd., Indianapolis, IN 46278, (317) 290-3207, ext. 335
Human Resources Officer, Natural Resources Conservation Service, 760 S. 
Broadway, Salina, KS 67401, (913) 823-4510
Human Resources Officer, Natural Resources Conservation Service, 771 
Corporate Drive, Suite 110, Lexington, KY 40503-5479, (606) 224-7353
Human Resources Officer, Natural Resources Conservation Service, 3737 
Government Street, Alexandria, LA 71302-3327, (318) 473-7786
Human Resources Officer, Natural Resources Conservation Service, 451 
West Street, Amherst, MA 01002-2955, (413) 253-4353
Human Resources Officer, Natural Resources Conservation Service, John 
Hanson Business Center, 339 Busch's Frontage Road, Suite 301, Annapolis, 
MD 21401-5534, (410) 757-0861, ext. 337
Human Resources Officer, Natural Resources Conservation Service, 5 
Godfrey Drive, Orono, ME 04473, (207) 866-7245
Human Resources Officer, Natural Resources Conservation Service, 1405 S. 
Harrison Road, Room 101, East Lansing, MI 48823-5243, (517) 337-6701, 
ext. 1233
Human Resources Officer, Natural Resources Conservation Service, 600 FCS 
Bldg., 375 Jackson St., St. Paul, MN 55101-1854, (612) 290-3678
Human Resources Officer, Natural Resources Conservation Service, 100 
West Capitol Street, Federal Bldg., Suite 1321, Jackson, MS 39269, (601) 
965-5183
Human Resources Manager, Natural Resources Conservation Service, 601 
Business Loop 70 West, Parkade Center, Suite 250, Columbia, MO 65203, 
(573) 876-0904
Human Resources Manager, Natural Resources Conservation Service, Federal 
Building, Room 443, 10 East Babcock Street, Bozeman, MT 59715, (406) 
587-6866
Human Resources Manager, Natural Resources Conservation Service, 4405 
Bland Road, Suite 205, Raleigh, NC 27609, (919) 873-2108
Human Resources Manager, Natural Resources Conservation Service, 220 
Rosser Avenue, P.O. Box 1458, Room 278, Bismarck, ND 58502-1458, (701) 
250-4761
Human Resources Manager, Natural Resources Conservation Service, 100 
Centennial Mall, N., Federal Bldg., Room 152, Lincoln, NE 68508-3866, 
(402) 437-4057
Human Resources Manager, Natural Resources Conservation Service, 2 
Madbury Road, Federal Building, Durham, NH 03824-1499, (868) 686-7581
Human Resources Manager, Natural Resources Conservation Service, 1370 
Hamilton Street, Somerset, NJ 08873, (908) 246-1171, ext. 166
Human Resources Manager, Natural Resources Conservation Service, 6200 
Jefferson Street, NE., Albuquerque, NM 87109-3734, (505) 761-4409
Human Resources Manager, Natural Resources Conservation Service, 5301 
Longley Lane, Bldg. F, Suite 201, Reno, NV 89511, (702) 784-5867
Human Resources Manager, Natural Resources Conservation Service, 441 
South Salina Street, Suite 354, Syracuse, NY 13202-2450, (315) 477-6512
Human Resources Manager, Natural Resources Conservation Service, 200 
North High Street, Room 522, Columbus, OH 43215, (614) 469-6977
Human Resources Manager, Natural Resources Conservation Service, 100 
USDA, Suite 203, Stillwater, OK 74074-2655, (405) 742-1209
Human Resources Manager, Natural Resources Conservation Service, 101 SW 
Main Street, Suite 1300, Portland, OR 97204, (503) 414-3211
Human Resources Manager, Natural Resources Conservation Service, One 
Credit Union Place, Suite 340, Harrisburg, PA 17110-2993, (717) 782-3716
Human Resources Manager, Natural Resources Conservation Service, 1835 
Assembly Street, Room 950, Columbia, SC 29201, (803) 253-3920
Human Resources Manager, Natural Resources Conservation Service, Federal 
Bldg., 200 4th St., SW., Huron, SD 57350-2475, (605) 352-1224
Human Resources Manager, Natural Resources Conservation Service, 675 
U.S. Courthouse, 801 Broadway, Nashville, TN 37203, (615) 736-5388
Human Resources Manager, Natural Resources Conservation Service, W.R. 
Poage Federal Bldg., 101 South Main St., Temple, TX 76501-7682, (817) 
774-1246

[[Page 629]]

Human Resources Manager, Natural Resources Conservation Service, 125 S. 
State Street, Room 4402, P.O. Box 11350, Salt Lake City, UT 84147, (801) 
524-5068
Human Resources Manager, Natural Resources Conservation Service, 69 
Union Street, Winooski, VT 05404-1999, (802) 951-6795, ext. 223
Human Resources Manager, Natural Resources Conservation Service, 1606 
Santa Rosa Road, Culpeper Bldg., Suite 209, Richmond, VA 23229-5014, 
(804) 287-1625
Human Resources Manager, Natural Resources Conservation Service, Rock 
Pointe Tower II, W. 316 Boone Avenue, Suite 450, Spokane, WA 99201-2348, 
(509) 353-2333
Human Resources Manager, Natural Resources Conservation Service, 75 High 
Street, Room 301, Morgantown, WV 26505, (304) 291-4152, ext. 176
Human Resources Manager, Natural Resources Conservation Service, 6515 
Watts Road, Suite 200, Madison, WI 53719-2726, (608) 264-5341, ext. 161
Human Resources Manager, Natural Resources Conservation Service, 100 
East B Street, Room 3124, Casper, WY 82601-1911, (307) 261-6492

Research, Education, and Economics
Agricultural Research Service
Cooperative State Research, Education, and Extension Service
Economic Research Service
National Agricultural Statistics Service
Director, Human Resources Division, Administrative and Financial 
Management Staff, Agricultural Research Service, 5601 Sunnyside Avenue, 
Room 3-1145A, Beltsville, MD 20705-5101, (301) 504-1478

                        National Appeals Division

Administrative Officer, National Appeals Division, 3101 Park Center 
Drive, Room 1020, Alexandria, VA 22302, (703) 305-2566

                         Department of Commerce

    1. Bureau of the Census and the Economics and Statistics 
Administration (ESA): For Census employee-obligors employed by 
Headquarters, a Regional Office, the Hagerstown Telephone Center and the 
Tucson Telephone Center; and for employee-obligors in ESA--Headquarters/
Washington, DC offices only:

Bureau of the Census, Human Resources Division, ATTN: Chief, Pay, 
Processing and Systems Branch, FOB  3, Room 3254, Washington, 
DC 20233, (301) 457-3710

    For employee-obligors employed by the Census Data Preparation 
Division:

Bureau of the Census, Data Preparation Division, ATTN: Chief, Human 
Resources Branch, Bldg. 66, Room 113, Jeffersonville, IN 47132, (812) 
218-3323

    2. Patent and Trademark Office (PTO): Human Resources Manager

U.S. Patent and Trademark Office, Box 3, Washington, DC 20231, (703) 
305-8221

    3. United States and Foreign Commercial Service (US&FCS): Personnel 
Officer

Office of Foreign Service Personnel, Room 3815, 14th & Constitution 
Avenue, NW., Washington, DC 20230, (202) 482-3133

    4. International Trade Administration (ITA) (For employee-obligors 
of the Headquarters/Washington, DC offices only):

Human Resources Manager, Personnel Management Division, Room 4809, 14th 
& Constitution Avenue, NW., Washington, DC 20230, (202) 482-3438

    5. National Institute of Standards and Technology (NIST), the 
Technology Administration (TA), and the National Technical Information 
Service (NTIS) (For NIST employee-obligors other than in Colorado and 
Hawaii; for employee-obligors employed by TA and NTIS):

Personnel Officer, Office of Human Resources Management, Administration 
Building, Room A-123, Gaithersburg, MD 20899, (301) 975-3000

    6. Office of the Inspector General (OIG):

Human Resources Manager, Resource Management Division, Room 7713, 14th & 
Constitution Avenue, NW., Washington, DC 20230, (202) 482-4948

    7. National Oceanic and Atmospheric Administration (NOAA) (For 
employee-obligors in the Headquarters/Washington, DC; the Silver Spring 
and Camp Springs, MD; and the Sterling, VA offices only): Chief

Human Resources Services Division, NOAA, 1315 East-West Highway, Room 
13619, Silver Spring, MD 20910, (301) 713-0524

    8. Office of the Secretary (O/S), Bureau of Economic Analysis (BEA), 
Bureau of Export Administration (BXA), Economic Development 
Administration (EDA), Minority Business Development Agency (MBDA), and 
National Telecommunications and Information Administration (NTIA) (For 
employee-obligors in Washington, DC metro area offices only):

Human Resources Manager, Office of Personnel Operations, Office of the 
Secretary, Room 5005, 14th and Constitution Avenue, NW., Washington, DC 
20230, (202) 482-3827

    9. Regional employees of NOAA, NIST, BXA, EDA, MBDA, ITA, NTIA, to 
the Human Resources Manager servicing the region or State in which they 
are employed, as follows:
    a. Central Region. For NOAA employee-obligors in the States of: 
Alabama, Arkansas, Florida, Georgia, Illinois, Indiana, Iowa, Kentucky, 
Louisiana, Michigan, Minnesota, Mississippi, Missouri, Ohio, Tennessee, 
and Wisconsin; for National Marine Fisheries Service employees in the 
states of North Carolina, South Carolina and Texas; and for

[[Page 630]]

National Weather Service employees in the States of Colorado, Kansas, 
Nebraska, North Dakota, South Dakota, and Wyoming; for employee-obligors 
in the BXA, EDA, MBDA, and ITA in the States of Alabama, Arkansas, 
Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, 
Michigan, Minnesota, Mississippi, Missouri, Nebraska, New York, Ohio, 
Oklahoma, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, 
and Wisconsin:

Human Resources Manager, Central Administrative Support Center (CASC), 
Federal Building, Room 1736, 601 East 12th Street, Kansas City, MO 
64106, (816) 426-2056

    b. Eastern Region. For NOAA employee-obligors in the States of: 
Connecticut, Delaware, Maine, Maryland, Massachusetts, New Hampshire, 
New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, 
South Carolina, Vermont, Virginia, West Virginia, Puerto Rico, and the 
Virgin Islands; for employee-obligors in the BXA, EDA, MBDA, and ITA in 
the States of Connecticut, Delaware, Maine, Maryland, Massachusetts, New 
Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode 
Island, South Carolina, Tennessee, Vermont, Virginia, Puerto Rico, and 
the Virgin Islands:

Human Resources Manager, Eastern Administrative Support Center (EASC), 
NOAA EC, 200 World Trade Center, Norfolk, VA 23510, (757) 441-6517

    c. Mountain Region. For NOAA employee-obligors in the States of: 
Alaska, Colorado, Florida, Hawaii, Idaho, and Oklahoma, at the South 
Pole and in American Samoa; and for the National Weather Service 
employees in the States of Alabama, Arkansas, Florida, Georgia, 
Louisiana, Mississippi, New Mexico, Oklahoma, Tennessee, Texas and in 
Puerto Rico; for employee-obligors in BXA, EDA, MBDA, NIST, and NTIA in 
the States of Arkansas, Colorado, Hawaii, Iowa, Louisiana, Missouri, 
Montana, South Dakota, Texas, Utah and Wisconsin:

Human Resources Office, Mountain Administrative Support Center (MASC), 
MC22A, 325 Broadway, Boulder, CO 80303-3328, (303) 497-3578

    d. Western Region. For NOAA employee-obligors in the States of 
Arizona, California, Montana, Nevada, Oregon, Utah, Washington, and the 
Trust Territories; for employee-obligors in BXA, EDA, MBDA, and ITA in 
the States of Arizona, California, Nevada, Oregon, Utah, Washington, and 
the Trust Territories:

Human Resources Manager, Western Administrative Support Center (WASC), 
NOAA WC2, 7600 Sand Point Way, NE., Bin C15700, Seattle, WA 89115-0070, 
(206) 526-6057

    10. In cases where the name of the operating unit cannot be 
determined:

Director for Human Resources Management, U.S. Department of Commerce, 
14th and Constitution Avenue, NW., Room 5001, (202) 482-4807

                          Department of Defense

    Unless specifically listed below, all military members (active, 
retired, reserve, and national guard), and all civilian employees of the 
Department of Defense:

Assistant General Counsel for Garnishment Operations, Defense Finance 
and Accounting Service, Cleveland Center--Code L (DFAS-CL/L), P.O. Box 
998002, Cleveland, OH 44199-8002, (216) 522-5301

                                  Army

    a. Civilian employees in Germany:

Commander, 266th Theater Finance Corps, Attention: AEUCF-CPF, Unit 
29001, APO AE 09007, 011-49-6221-57-7977/6044

    b. Nonappropriated fund civilian employees of the Army:

                             Post Exchanges

Army and Air Force Exchange Service, Attention: CM-C-RI, P.O. Box 
660202, Dallas, TX 75266-0202, (214) 312-2011

                                  Navy

    a. Military Sealift Command Pacific Mariners:

Office of Counsel (Code N2), Military Sealift Command, Pacific, 280 
Anchor Way, Suite 1W, Oakland, CA 94625-5010

    b. Military Sealift Command Atlantic Mariners:

Office of Counsel, Military Sealift Command, Atlantic, Military Ocean 
Terminal, Building 42, Bayonne, NJ 07002-5399

    c. Nonappropriated fund civilian employees of Navy Exchanges or 
related nonappropriated fund instrumentalities administered by the Navy 
Resale Systems Office:

Commanding Officer, Navy Exchange Service Command, 3280 Virginia Beach 
Blvd., Virginia Beach, VA 23452, (804) 631-3614

    d. Nonappropriated fund civilian employees at Navy clubs, messes or 
recreational facilities:

Chief of Navy Personnel, Director, Morale, Welfare, and Recreation 
Division (MWR), Washington, DC 20370, (202) 433-3005

    e. Nonappropriated fund personnel of activities that fall outside 
the purview of the Chief of Navy Personnel or the Commanding Officer of 
the Navy Exchange Service Command, such as locally established morale, 
welfare and other social and hobby clubs, such process may be served on 
the commanding officer of the activity concerned.

[[Page 631]]

                              Marine Corps

    Nonappropriated fund civilian employees, process may be served on 
the commanding officer of the activity concerned.

                                Air Force

    a. Nonappropriated fund civilian employees of base exchanges:

Army and Air Force Exchange Service, Attention: FA-F/R, PO Box 650038, 
Dallas, TX 75265-0038, (214) 312-2119

    b. Nonappropriated fund civilian employees of all other Air Force 
nonappropriated fund activities:

Office of Legal Counsel, Air Force Services Agency, 10100 Reunion Place, 
Suite 503, San Antonio, TX 78216-4138, (210) 652-7051

                         Department of Education

Assistant Secretary, Office of Management, FB-10, Room 2164, 600 
Independence Avenue, SW., Washington, DC 20202-2110, (202) 401-0470

                          Department of Energy

                          Power Administration

                     1. Alaska Power Administration

Administrator, Alaska Power Administration, Department of Energy, PO Box 
020050, Juneau, AK 99802-0050, (907) 586-7405

                   2. Bonneville Power Administration

Chief, Payroll Section DSDP, Bonneville Power Administration, Department 
of Energy, 905 NE. 11th Avenue, Portland, OR 97232, (503) 230-3203

                  3. Southeastern Power Administration

Chief, Payroll Branch, Department of Energy, Forrestal Building, Room 
1E-184, 1000 Independence Avenue, SW., Washington, DC 20585, (202) 586-
5581

                  4. Southwestern Power Administration

Chief Counsel, Southwestern Power Administration, Department of Energy, 
PO Box Drawer 1619, Tulsa, OK 74101, (918) 581-7426

                  5. Western Area Power Administration

General Counsel, Western Area Power Administration, Department of 
Energy, PO Box 3402, Golden, CO 80401, (303) 231-1529

                              Field Offices

                    1. Albuquerque Operations Office

Chief Counsel, Albuquerque Operations Office, Department of Energy, PO 
Box 5400, Albuquerque, NM 87115, (505) 844-7265

                      2. Chicago Operations Office

Chief Counsel, Chicago Operations Office, Department of Energy, 9800 
South Cass Avenue, Argonne, IL 60439, (312) 972-2032

                       3. Idaho Operations Office

Financial Services Division-Payroll, 850 Energy Drive, Idaho Falls, ID 
83401, (208) 526-0459

                       4. Nevada Operations Office

Chief, Payroll Branch, CR-431, Department of Energy, GTN Building, Room 
259, Washington, DC 20585, (301) 903-4012

                     5. Oak Ridge Operations Office

Chief Counsel, Oak Ridge Operations Office, Department of Energy, P.O. 
Box 20001, Oak Ridge, TN 37831-8510, (615) 576-1200

                      6. Richland Operations Office

Chief Counsel, Richland Operations Office, Department of Energy, P.O. 
Box 550, Richland, WA 99352, (509) 376-7311

                      7. Oakland Operations Office

Director, Finance and Accounting Division, Department of Energy, 1301 
Clay Street, Oakland, CA 94612-5208, (510) 637-1532

                   8. Savannah River Operations Office

Director, Financial Management and Program Support Division, Department 
of Energy, P.O. Box A, Aiken, SC 29802, (803) 725-5590

    9. Washington DC Headquarters, Pittsburgh Naval Reactors Office, 
 Schenectady Naval Reactors Office, and All Other Organizations Within 
                        the Department of Energy

Chief, Payroll Branch, CR-431, Department of Energy, GTN Building, Room 
E-259, Washington, DC 20585, (301) 903-4012

                 Department of Health and Human Services

Garnishment Agent, Office of General Counsel, Room 5362--North Building, 
330 Independence Ave., SW., Washington, DC 20201, (202) 619-0150

               Department of Housing and Urban Development

Director, Systems Support Division, Employee Service Center, 451 7th 
Street, SW., Room 2284, Washington, DC 20410, (202) 708-0241

                       Department of the Interior

Chief, Payroll Operations Division, Attn: Code D-2605, Bureau of 
Reclamation, Administrative Service Center, Department of the Interior, 
P.O. Box 272030, 7201 West Mansfield Avenue, Denver, CO 80227-9030, 
(303) 969-7739

[[Page 632]]

                          Department of Justice

                     Offices, Boards, and Divisions

Personnel Group/Payroll Operations, 1331 Pennsylvania Avenue, NW., Suite 
1170, Washington, DC 20530, (202) 514-6008

                     Office of the Inspector General

Personnel Division, 1425 New York Avenue, NW., Suite 7000, Washington, 
DC 20005, (202) 616-4501

    For employees of any office of a United States Attorney and for 
employees of the Executive Office for United States Attorneys:

Assistant Director, Executive Office for United States Attorneys, 
Personnel Staff, Bicentennial Building, 600 E Street, NW., Room 8017, 
Washington, DC 20530

                     United States Marshals Service

Personnel Office, 600 Army Navy Drive, Room 850, Arlington, VA 22202-
4210, (202) 307-9637

                       Office of Justice Programs

Office of Personnel, 633 Indiana Avenue, NW., Room 600, Washington, DC 
20530, (202) 307-0730

                         U.S. Trustees Programs

Personnel Office, 901 E Street, NW., Room 770, Washington, DC 20530, 
(202) 616-1000

                     Drug Enforcement Administration

Office of Personnel, Employee Relations Unit, 700 Army Navy Drive, Room 
3164, Arlington, VA 22202-4210, (202) 307-1222

                 Immigration and Naturalization Service

Personnel Support, Immigration and Naturalization Service, 425 I Street, 
NW., Room 2038, Washington, DC 20536, (202) 514-2525
Human Resources and Career Development, Immigration and Naturalization 
Service, One Federal Drive 400, Whipple Bldg., Fort Snelling, 
MN 55111, (612) 725-3211
Human Resources and Career Development, Immigration and Naturalization 
Service, 70 Kimball Avenue, South Burlington, VT 05403, (802) 660-5137
Human Resources and Career Development, Immigration and Naturalization 
Service, 7701 N. Stemmons Freeway, Dallas TX 75247, (214) 655-6032
Personnel Office, Immigration and Naturalization Service, P.O. Box 
30070, Laguna Niguel, CA 92607, (714) 643-4934
Federal Prisons Systems, U.S. Penitentiary, Personnel Office, 1300 
Metropolitan, Leavenworth, KS 66048, (913) 682-8700
Federal Correctional Institution, Personnel Office, Route 37, Danbury, 
CT 06811, (203) 743-6471
Personnel Office, 320 1st Street, NW., Room 161, Washington, DC 20534, 
(202) 307-3135
U.S. Penitentiary, Personnel Office, Highway 63 South, Terre Haute, IN 
47808, (812) 238-1531
U.S. Penitentiary, Personnel Office, RD 5, Lewisburg, PA 17837, 
(717) 523-1251
Federal Correctional Institution, Personnel Office, P.O. Box 1000, 
Anthony, NM 88021, (915) 886-3422
Federal Correctional Institution, Personnel Office, Kettler River Road, 
Sandstone, MN 55072, (612) 245-2262
U.S. Penitentiary, Personnel Office, 601 McDonough Blvd., SE., Atlanta, 
GA 30315, (404) 622-6241
Federal Correctional Institution, Personnel Office, PO Box 9999, Milan, 
MI 48160, (313) 439-1511
Federal Correctional Institution, Personnel Office, PO Box 888, Ashland, 
KY 41105, (606) 928-6414
Federal Correctional Institution, Personnel Office, 501 Capital Cir., 
NE., Tallahassee, FL 32301, (904) 878-2173
Federal Correctional Institution, Personnel Office, Greenbag Road, 
Morgantown, WV 26505, (304) 296-4416
U.S. Medical Center, Federal Prison, Personnel Office, 1900 W. Sunshine, 
Springfield, MO 65808, (417) 862-7041
Federal Correctional Institution, Personnel Office, 2113 N. HWY 175, 
Seagoville, TX 75159, (214) 287-2911
Federal Correctional Institution, Personnel Office, 1000 River Road, 
Petersburg, VA 23804-1000, (804) 733-7881
Federal Prison Camp, Personnel Office, Glen Ray Road, Box B, Alderson, 
WV 24910 (304) 445-2901
U.S. Penitentiary, Personnel Office, 3901 Klein Blvd., Lompoc, CA 93436, 
(805) 735-3245
Federal Correctional Institution, Personnel Office, Highway 66 West, El 
Reno, OK 73036, (405) 262-4875
Federal Correctional Institution, Personnel Office, 9595 W. Quincy 
Avenue, Englewood, CO 80123, (303) 985-1566
Federal Correctional Institution, Personnel Office, 1299 Seaside Avenue, 
Terminal Island, CA 90731, (310) 831-8961
U.S. Penitentiary, Personnel Office, Rt. 5, P.O. Box 2000, Marion, IL 
62959, (618) 964-1441
Federal Correctional Institution, Personnel Office, 3150 Norton Road, 
Fort Worth, TX 76119, (817) 535-2111
Metropolitan Correctional Center, Personnel Office, 150 Park Row, New 
York, NY 10007, (212) 791-9130
Federal Correctional Institution, Personnel Office, P.O. Box 1000, 
Butner, NC 27509, (919) 575-4541
Federal Correctional Institution, Personnel Office, RR 2, Box 
820, Safford, AZ 85546, (602) 348-1337
Bureau of Prisons, South Central Regional Office, Personnel Office, 4211 
Cedar

[[Page 633]]

Springs, Suite 300, Dallas, TX 75219, (214) 767-9700
Federal Correctional Institution, Personnel Office, Oxford, WI 53952, 
(608) 584-5511
Federal Medical Center, Personnel Office, 3301 Leestown Road, Lexington, 
KY 40511, (606) 255-6812
Federal Correctional Institution, Personnel Office, 5701 8th Street, 
Dublin, CA 94568, (510) 833-7500
Federal Correctional Institution, Personnel Office, 8901 S. Wilmot Road, 
Tucson, AZ 85706, (602) 574-7100
Bureau of Prisons, Personnel Office, SE Regional Office, 523 McDonough 
Blvd., SE., Atlanta, GA 30315, (404) 624-5252
Bureau of Prisons, North Central Regional Office, Personnel Office, 4th 
& State Avenue, 8th Floor--Tower II, Kansas City, KS 66101-2492, (913) 
551-1144
Bureau of Prisons, Personnel Office, NE Region, U.S. Customs, 2nd & 
Chestnut, 7th Floor, Philadelphia, PA 19106, (215) 597-6302
Bureau of Prisons, Personnel Office, W. Regional Office, 7950 Dublin 
Blvd., 3rd Floor, Dublin, CA 94568, (510) 803-4710
Metropolitan Correctional Center, Personnel Office, 71 W. Van Buren 
Street, Chicago, IL 60605, (312) 322-0567
Metropolitan Correctional Center, Personnel Office, 808 Union Street, 
San Diego, CA 92101, (619) 232-4311
Metropolitan Correctional Center, Personnel Office, 15801 SW 137th 
Avenue, Miami, FL 33177, (305) 255-6788
Federal Correctional Institution, Personnel Office, 1101 John A. Denie 
Road, Memphis, TN 38134, (901) 372-2269
Federal Prison Camp, Personnel Office, P.O. Box 1000, Montgomery, PA 
17752, (717) 547-1641
Federal Correctional Institution, Personnel Office, P.O. Box 730, HWY 
95, Bastrop, TX 78602-0730, (512) 321-3903
Federal Prison Camp, Personnel Office, Eglin AFB, Eglin AFB, FL 32542, 
(904) 882-8522
Federal Correctional Institution, Personnel Office, 565 E Renfroe Road, 
Talladega, AL 35160, (205) 362-0410
Federal Prison Camp, Personnel Office, P.O. Box 500, Boron, CA 93516, 
(619) 762-5161
Federal Correctional Institution, Personnel Office, 1900 Simler Avenue, 
Big Spring, TX 79720, (915) 263-8304
Federal Correctional Institution, Personnel Office, P.O. Box 600, 
Otisville, NY 10963, (914) 386-5855
Federal Correctional Institution, Personnel Office, P.O. Box 300, 
Raybrook, NY 12977, (518) 891-5400
Federal Correctional Institution, Personnel Office, 37900 North 45th 
Avenue, Dept. 1680, Phoenix, AZ 85027, (602) 465-5112
Federal Correctional Institution, Personnel Office, P.O. Box 5050, 
Oakdale, LA 71463, (318) 335-4070
Federal Medical Center, Personnel Office, P.O. Box 4600, Rochester, MN 
55903, (507) 287-0674
Federal Correctional Institution, Personnel Office, P.O. Box 1000, 
Loretto, PA 15940, (814) 472-4140
Federal Prison Camp, Personnel Office, Maxwell AFB, Montgomery, AL 
36112, (205) 834-3681
Federal Correctional Institution, Personnel Office, 3625 FCI Road, 
Marianna, FL 32446, (904) 526-6377
Metropolitan Detention Center, Personnel Office, 535 N. Alameda Street, 
Los Angeles, CA 90012, (213) 485-0439
Federal Prison Camp, Personnel Office, P.O. Box 680, Yankton, SD 57078, 
(605) 665-3265
Federal Prison Camp, Personnel Office, Drawer 2197, Bryan, TX 77803, 
(409) 823-1879
Federal Prison Camp, Personnel Office, Saufley Field, Pensacola, FL 
32509, (904) 457-1911
Federal Correctional Institution, Personnel Office, 3600 Guard Road, 
Lompoc, CA 93436, (805) 736-4154
Federal Correctional Institution, Personnel Office, Box 5000, Bradford, 
PA 16701, (814) 362-8900
Federal Prison Camp, Personnel Office, Seymour Johnson AFB, Goldsboro, 
NC 27533, (919) 735-9711
Federal Prison Camp, Personnel Office, Nellis AFB, Nellis, NV 89191, 
(702) 644-5001
Federal Correctional Institution, Personnel Office, P.O. Box 5001, 
Sheridan, OR 97378, (503) 843-4442
Federal Correctional Institution, Personnel Office, 2600 Highway 301 
South, Jesup, GA 31545, (912) 427-0870
Federal Correctional Institution, Personnel Office, P.O. Box 280, 
Fairton, NJ 08320, (609) 453-4068
Federal Prison Camp, Personnel Office, P.O. Box 1400, Duluth, MN 55814, 
(218) 722-8634
Federal Prison Camp, Personnel Office, P.O. Box 16300, El Paso, TX 
79906, (915) 540-6150
Federal Correctional Institution, Personnel Office, P.O. Box 4000, Three 
Rivers, TX 78071, (512) 786-3576
Federal Detention Center, Personnel Office, P.O. Box 5060, Oakdale, LA 
71463, (318) 335-4070
Federal Prison Camp, Personnel Office, 6696 Navy Road, Millington, TN 
38053, (901) 872-2277
Federal Medical Center, Personnel Office, P.O. Box 68, Carville, LA 
70721, (504) 389-5044
Federal Correctional Institution, Personnel Office, P.O. Box 789, 
Minersville, PA 17954, (717) 544-7121
Federal Prison Camp, Personnel Office, Homestead, FL 33039, (305) 258-
9676
Federal Prison Camp, Personnel Office, Box 40150, Tyndall AFB, FL 32403, 
(904) 286-6777

[[Page 634]]

Metropolitan Detention Center, Personnel Office, P.O. Box 34028, Ft. 
Buchanan, PR 00934, (809) 749-4480
Bureau of Prisons 580, Personnel Office, Management & 
Specialist Training Center, 791 Chambers Road, Aurora, CO 80011, (303) 
361-0567
LSCI, P.O. Box 1500, White Deer, PA 17887, (717) 547-1990
Federal Correctional Institution, Personnel Office, Rt. 8 Box 58, Fox 
Hollow Road, Manchester, KY 40962, (606) 598-4153
Metropolitan Detention Center, Personnel Office, 100 29th Street, 
Brooklyn, NY 11232, (718) 832-1039
U.S. Penitentiary-High, 5880 State Hwy, 67 South, Florence, CO 81226, 
(719) 784-9454
Federal Correctional Institution, Personnel Office, 5880 State Hwy, 67 
South, Florence, Co 81226, (719) 784-9100
Federal Correctional Institution, Personnel Office, P.O. Box 699, 
Estill, SC 29918, (803) 625-4607
Federal Correctional Institution, Personnel Office, P.O. Box 2500, White 
Deer, PA 17887, (717) 547-7950
Federal Detention Center, Personnel Office, 1638, Northwest 82nd Avenue, 
Miami, FL 33126, (305) 597-4884
Bureau of Prisons, Personnel Office, Mid Atlantic Region, 10010 
Junctions Dr., 100-N, Annapolis Junction, MD 20701, (301) 317-
3199
U.S. Penitentiary, Personnel Office, P.O. Box 3500, White Deer, PA 
17887, (717) 547-0963
North Central Regional Office, Personnel Office, 4th & State Ave., 8th 
Floor--Tower II, Kansas City, KS 66101-2492, (913) 551-1114
Federal Prison Camp, Personnel Office, Glen Ray Road--Box B, Alderson, 
WV 24910-0700, (304) 445-2901
Federal Correctional Complex, Personnel Office, P.O. Box 999, 904 NE 
50th Way, Coleman, FL 33521-0999, (904) 748-0999
Federal Correctional Institution, Personnel Office, Fort Dix, P.O. Box 
38, Trenton, NJ 08640, (609) 723-1100
Federal Medical Center, Personnel Office, P.O. Box 27066, J St., Bldg. 
3000, Ft. Worth, TX 76127-7066, (817) 782-3834

                     Federal Bureau of Investigation

 Chief, Payroll Administration and Processing Unit, Room 1885, 935 
Pennsylvania Avenue, NW., Washington, DC 20535, (202) 324-5881.

                           Department of Labor

    1. Payments to employees of the Department of Labor:

Director, Office of Accounting, Department of Labor, 200 Constitution 
Avenue, NW., Washington, DC 20210, (202) 219-8314

    2. Process relating to those exceptional cases where there is money 
due and payable by the United States under the Longshoreman's Act should 
be directed to the:

Associate Director for Longshore and Harbor Worker's Compensation, 
Department of Labor, 200 Constitution Avenue, NW., Washington, DC 20210, 
(202) 219-8721

    3. Process relating to benefits payable under the Federal Employees' 
Compensation Act should be directed to the appropriate district office 
of the Office of Workers' Compensation Programs:

                             District No. 1

District Director, Office of Workers' Compensation Programs, John F. 
Kennedy Building, Room 1800, Government Center, Boston, MA 12203, (617) 
565-2137

  Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and 
                                 Vermont

                             District No. 2

District Director, Office of Workers' Compensation Programs, 201 Varick 
Street, Room 750, P.O. Box 566, New York, NY 10014-0566, (212) 337-2075

        New Jersey, New York, Puerto Rico, and the Virgin Islands

                             District No. 3

District Director, Office of Workers' Compensation Programs, Gateway 
Building, 3535 Market Street, Philadelphia, PA 19104, (215) 596-1457

                Delaware, Pennsylvania, and West Virginia

                             District No. 6

District Director, Office of Workers' Compensation Programs, 214 N. 
Hogan Street, Suite 1026, Jacksonville, FL 32202, (904) 232-2821

Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South 
                         Carolina, and Tennessee

                             District No. 9

District Director, Office of Workers' Compensation Programs, 1240 East 
9th Street, Cleveland, OH 44199, (216) 522-3800

                       Indiana, Michigan, and Ohio

                             District No. 10

District Director, Office of Workers' Compensation Programs, 230 S. 
Dearborn Street, 8th Floor, Chicago, IL 60604, (312) 353-5656

                   Illinois, Minnesota, and Wisconsin

                             District No. 11

Regional Director, Office of Workers' Compensation Programs, 1910 
Federal Office Building, 911 Walnut Street, Kansas City, MO 64106, (816) 
426-2195

[[Page 635]]

                  Iowa, Kansas, Missouri, and Nebraska

                             District No. 12

District Director, Office of Workers' Compensation Programs, 1801 
California Street, Suite 915, Denver, CO 80202, (303) 391-6000

    Colorado, Montana, North Dakota, South Dakota, Utah, and Wyoming

                             District No. 13

District Director, Office of Workers' Compensation Programs, 71 
Stevenson Street, 2nd Floor, P.O. Box 3769, San Francisco, CA 94119-
3769, (415) 744-6610

              Arizona, California, Hawaii, Guam, and Nevada

                             District No. 14

District Director, Office of Workers' Compensation Programs, 111 Third 
Avenue, Suite 615, Seattle, WA 98101, (206) 553-5508

                  Alaska, Idaho, Oregon, and Washington

                             District No. 16

District Director, Office of Workers' Compensation Programs, 525 Griffin 
Street, Room 100, Dallas, TX 75202, (214) 767-2580

          Arkansas, Louisiana, New Mexico, Oklahoma, and Texas

                             District No. 25

District Director, Office of Workers' Compensation Programs, 800 N. 
Capitol Street, Room 800, Washington, DC 20211, (202) 724-0713

              District of Columbia, Maryland, and Virginia

    4. Process relating to claims arising out of the places set forth 
below and process seeking to attach Federal Employees' Compensation Act 
benefits payable to employees of the Department of Labor should be 
directed to the:

Regional Director, Office of Workers' Compensation Programs, 1910 
Federal Office Building, 911 Walnut Street, Kansas City, MO 64106, (816) 
426-2195

                           Department of State

Executive Director (L/EX), Office of the legal Adviser, Department of 
State, 22nd and C Streets, NW., Room 5519A, Washington, DC 20520, (202) 
647-8323

                      Department of Transportation

                         Office of the Secretary

General Counsel, Department of Transportation, 400 7th Street, SW., 
Washington, DC 20590, (202) 366-4702

    Agent designated to accept legal process issued by courts in the 
District of Columbia:

Assistant Chief Counsel, AGC-100, Department of Transportation, 701 
Pennsylvania Avenue, NW., Suite 925, Washington, DC 20004, (202) 376-
6416

    Agent designated to accept legal process issued by courts in the 
District of Columbia:

Assistant Chief Counsel, MC-7, Department of Transportation, P.O. Box 
25082, Oklahoma City, OK 73125, (405) 954-3296

    Agent designated to accept legal process issued by courts in the 
State of New Jersey:

Assistant Chief Counsel, ACT-7, FAA Technical Center, Department of 
Transportation, Atlantic City, NJ 08405, (609) 485-7087

                        United States Coast Guard

Commanding Officer (LGL), Coast Guard Human Resources, Service and 
Information Center, 444 SE. Quincy Street, Topeka, KS 66683-3591, (785) 
357-3595

                     Federal Aviation Administration

    1. Headquarters (Washington, DC) and overseas employees:
    Agent designated to accept legal process issued by courts in the 
District of Columbia:

Assistant Chief Counsel, AGC-100, General Legal Services Division, 
Federal Aviation Administration, 400 Seventh Street, SW., Suite PL-200A, 
Washington, DC 20590, (202) 366-4099.

    Agent designated to accept legal process issued by courts in the 
State of Oklahoma:

Assistant Chief Counsel, AMC-7, Federal Aviation Administration, P.O. 
Box 25082, Oklahoma City, OK 73125, (405) 954-3296.

    Agent designated to accept legal process issued by courts in the 
State of New Jersey:

Assistant Chief Counsel, ACT-7, FAA Technical Center, Federal Aviation 
Administration, Atlantic City, NJ 08405, (609) 485-7087

    Agent designated to accept legal process issued by courts in the 
State of Alaska:

Assistant Chief Counsel, AAL-7, Federal Aviation Administration, 222 
West 7th Avenue, 14, Anchorage, AL 99533, (907) 271-5269

    Agent designated to accept legal process issued by courts in the 
States of Maine, New Hampshire, Vermont, Massachusetts, Rhode Island, 
and Connecticut:

Assistant Chief Counsel, ANE-7, Federal Aviation Administration, 12 New 
England Executive Park, Burlington, MA 01803, (617) 238-7040

    Agent designated to accept legal process issued by courts in the 
States of New York, Pennsylvania, Maryland, West Virginia, Delaware, and 
Virginia:

Assistant Chief Counsel, AEA-7, Federal Aviation Administration, JFK 
International Airport, Fitzgerald Federal Building, Jamaica, NY 11430, 
(718) 553-1035


[[Page 636]]


    Agent designated to accept legal process issued by courts in the 
States of Kentucky, Tennessee, North Carolina, South Carolina, Georgia, 
Florida, Alabama, and Mississippi:

Assistant Chief Counsel, ASO-7, Federal Aviation Administration, P.O. 
Box 20636, Atlanta, GA 30320, (404) 763-7204

    Agent designated to accept legal process issued by courts in the 
States of Louisiana, Arkansas, Texas, and New Mexico:

Assistant Chief Counsel, ASW-7, Federal Aviation Administration, 2601 
Meacham Boulevard, Forth Worth, TX 76137-4298, (817) 222-5064

    Agent designated to accept legal process issued by courts in the 
States of Nebraska, Iowa, Missouri, and Kansas:

Assistant Chief Counsel, ACE-7, Federal Aviation Administration, 601 
East 12th Street, Federal Building, Kansas City, MO 64106, (816) 426-
5446

    Agent designated to accept legal process issued by courts in the 
State of Ohio, Indiana, Illinois, Michigan, Wisconsin, Minnesota, North 
Dakota, and South Dakota:

Assistant Chief Counsel, AGL-7, Federal Aviation Administration, O'Hare 
Lake Office Center, 2300 East Devon Avenue, Des Plaines, IL 60018, (708) 
294-7108

    Agent designated to accept legal process issued by courts in the 
States of Colorado, Utah, Wyoming, Montana, Idaho, Oregon, and 
Washington:

Assistant Chief Counsel, AMN-7, Federal Aviation Administration, 1601 
Lind Avenue, SW., Renton, WA 98055-4056, (206) 227-2007

    Agent designated to accept legal process issued by courts in the 
States of Hawaii, Arizona, Nevada, and California:

Assistant Chief Counsel, AWP, Federal Aviation Administration, PO Box 
92007, World Postal Center, Los Angeles, CA 90009, (310) 297-1270

                       Department of the Treasury

                        (1) Departmental Offices

Assistant General Counsel (Administrative and General Law), Treasury 
Department, 1500 Pennsylvania Avenue, NW., Room 1410, Washington, DC 
20220, (202) 622-0450

                  (2) Office of Foreign Assets Control

Chief Counsel, Second Floor, Treasury Annex, 1500 Pennsylvania Avenue, 
NW., Washington, DC 20220, (202) 622-2410

                    (3) Financial Management Service

Chief Counsel, Financial Management Service, 401 14th Street, SW., Room 
531, Washington, DC 20227, (202) 874-6680

                      (4) Internal Revenue Service

Chief, Special Processing Unit, Garnishing Processing Center, 214 North 
Kanawha Street, Beckley, WV 25801, (304) 256-6200

                (5) Bureau of Alcohol, Tobacco & Firearms

Chief Counsel, 650 Massachusetts Avenue, NW., Room 6100, Washington, DC 
20226, (202) 927-7772

                      (6) Bureau of the Public Debt

Deputy Chief Counsel, Bureau of the Public Debt, Room 119, Hintgen 
Building, Parkersburg, WV 26106-1328, (304) 480-5192

                           (7) Secret Service

Legal Counsel, 1800 G Street, NW., Room 842, Washington, DC 20023, (202) 
435-5771

                   (8) Bureau of Engraving & Printing

Legal Counsel, 14th & C Streets, NW., Room 306M, Washington, DC 20228, 
(202) 874-2500

              (9) Office of the Comptroller of the Currency

                        Washington Headquarters.

Director of Litigation, Office of the Comptroller of the Currency, 250 E 
Street SW., Washington, DC 20219-0001, (202) 874-5280

                            District Offices

District Counsel, Office of the Comptroller of the Currency, Northeasten 
District, 1114 Avenue of the Americas, Suite 3900, New York, NY 10036-
7730, (212) 790-4010
District Counsel, Office of the Comptroller of the Currency, 
Southeastern District, Marquis One Tower, Suite 600, 245 Peachtree 
Center Ave., NE., Atlanta, GA 30303-1223, (404) 588-4520
District Counsel, Office of the Comptroller of the Currency, Central 
District, One Financial Place, Suite 2700, 440 South LaSalle St., 
Chicago, IL 60605-1073, (312) 663-8020
District Counsel, Office of the Comptroller of the Currency, Midwestern 
District, 2345 Grand Avenue, Suit 700, Kansas City, MO 64108-2683, (816) 
556-1870
District Counsel, Office of the Comptroller of the Currency, 
Southwestern District, 1600 Lincoln Plaza, 500 North Akard Street, 
Dallas, TX 75201-3345, (214) 720-7012
District Counsel, Office of the Comptroller of the Currency, Western 
District, 50 Fremont Street, Suite 3900, San Francisco, CA 94105-2292, 
(415) 545-5980

                         (10) United States Mint

Chief Counsel, 633 3rd Street, NW., Room 733, Washington, DC 20220, 
(202) 874-6040

              (11) Federal Law Enforcement Training Center

Legal Counsel, Building 69, Glynco, GA 31524, (912) 267-2100

[[Page 637]]

                          (12) Customs Service

Assistant Chief Counsel, PO Box 68914, Indianapolis, IN 46278, (317) 
298-1233

                    (13) Office of Thrift Supervision

Chief Counsel, 1700 G Street, NW., Fifth Floor, Washington, DC 20552, 
(202) 906-6251

                     Department of Veterans Affairs

    The fiscal officer at each Department of Veterans Affairs (VA) 
facility shall be the designated agent for VA employee obligers at that 
facility. When a facility at which an individual is employed does not 
have a fiscal officer, the address and telephone number listed is for 
the fiscal officer servicing such a facility. In those limited cases 
where a portion of VA service-connected benefits may be subject to 
garnishment, service of process, unless otherwise indicated below, 
should be made at the regional office nearest the veteran obligor's 
permanent residence.

                                 Alabama

Fiscal Officer, Birmingham Medical Center, Send to: Fiscal Officer, VA 
Medical Center, 215 Perry Hill Road, Montgomery, AL 36193, (205) 272-
4670, ext. 4709
National Cemetery Area Office, 700 South 19th Street, Birmingham, AL 
35233, (205) 939-2103
Mobile Outpatient Clinic Substation, Send to: Fiscal Officer, VA Medical 
Center, Gulfport, MS 39501, (601) 863-1972, ext. 225
Fiscal Officer, Montgomery Regional Office, 474 South Court Street, 
Montgomery, AL 36104, (205) 832-7172
Fiscal Officer Montgomery Medical Center, 215 Perry Hill Road, 
Montgomery, AL 36109, (205) 272-4670, ext. 204
Fiscal Officer, Tuscaloosa Medical Center, Tuscaloosa, AL 35401, (205) 
553-3760
Fiscal Officer, Tuskegee Medical Center, Tuskegee, AL 36083, (205) 727-
0550, ext. 0622

                                 Alaska

Fiscal Officer, Anchorage Regional Office, Outpatient Clinic, 235 East 
8th Avenue, Anchorage, AK 99501, (907) 271-2250
Juneau VA Office, Send to: Fiscal Officer, VA Regional Office, 235 East 
8th Avenue, Anchorage, AK 99501, (907) 271-2250
Sitka National Cemetery Area Office, Send to: Fiscal Officer, VA 
Regional Office, 235 East 8th Avenue, Anchorage, AK 99501, (907) 271-
2250

                                 Arizona

Cave Creek National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Seventh Street & Indian School Road, Phoenix, AZ 85012, 
(602) 277-5551
Fiscal Officer, Phoenix Regional Office, 3225 North Central Avenue, 
Phoenix, AZ 85012, (606) 241-2735
Fiscal Officer, Phoenix Medical Center, Seventh Street & Indian School 
Road, Phoenix, AZ 85012, (602) 277-5551
Fiscal Officer, Prescott Medical Center, Prescott, AZ 86313, (602) 445-
4860, ext. 264
Prescott National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Prescott, AZ 86313, (602) 445-4860, ext. 264
Fiscal Officer, Tucson Medical Center, Tucson, AZ 85723, (602) 792-1450, 
ext. 710

                                Arkansas

Fayetteville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Fayetteville, AR 72701, (501) 443-4301
Fiscal Officer, Fayetteville Medical Center, Fayetteville, AR 72701, 
(501) 443-4301
Fort Smith National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Fayetteville, AR 72701, (501) 443-4301
Fiscal Officer, Little Rock Regional Office, 1200 W. 3d Street, Little 
Rock, AR 72201, (501) 378-5142
Fiscal Officer, John L. McClellan Memorial, Veterans Hospital, 4300 West 
7th Street (04), Little Rock, AR 72205, (501) 661-1202, ext. 1310
Fiscal Officer, VA Regional Office, Send to: VA Medical Center, 11000 N. 
College Avenue, Fayetteville, AR 72701, (501) 444-5007
Fiscal Officer, VA Regional Office, Building 65, Fort Roots, PO Box 
1280, North Little Rock, Little Rock, AR 72115, (501) 370-3741

                               California

Bell Supply Depot, Send to: Fiscal Officer, VA Supply Depot, PO Box 27, 
Hines, IL 60141, (312) 681-6800
Fiscal Officer, Fresno Medical Center, 2615 East Clinton Avenue, Fresno, 
CA 94703, (209) 225-6100
Fiscal Officer, Livermore Medical Center, Livermore, CA 94550, (415) 
447-2560, ext. 317
Fiscal Officer, Loma Linda Medical Center, 11201 Benton Street, Loma 
Linda, CA 92357, (714) 825-7084, ext. 2550/2551
Fiscal Officer, Long Beach Medical Center, 5901 East Seventh Street, 
Long Beach, CA 90822, (213) 498-1313, ext. 2101
Fiscal Officer, Los Angeles Regional Office, Federal Building, 11000 
Wilshire Blvd., Los Angeles, CA 90024, (213) 209-7565

    Jurisdiction over the following counties in California: Inyo, Kern, 
Los Angeles, Orange, San Bernadino, San Luis Obispo, Santa Barbara and 
Ventura.

Los Angeles Data Processing Center, Send to: Fiscal Officer, VA Regional 
Office, Federal Bldg., 11000 Wilshire Blvd., Los Angeles, CA 90024, 
(213) 209-7565
Fiscal Officer, Los Angeles Medical Center--Brentwood Division, Los 
Angeles, CA 90073, (213) 478-3478
Fiscal Officer, Los Angeles Medical Center--Wadsworth Division, Los 
Angeles, CA 90073, (213) 478-3478

[[Page 638]]

Fiscal Officer, Los Angeles Outpatient Clinic, 425 South Hill Street, 
Los Angeles, CA 90013, (213) 894-3870
Los Angeles Regional Office of Audit, Send to: Fiscal Officer, VA 
Medical Center--Brentwood Division, Los Angeles, CA 90073, (213) 824-
4402
Los Angeles Field Office of Audit, Send to: Fiscal Officer, VA Medical 
Center--Wadsworth Division, Los Angeles, CA 90073, (213) 478-3478
Los Angeles National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center--Brentwood Division, Los Angeles, CA 90073, (213) 478-
3478
Fiscal Officer, Martinez Medical Center, 150 Muir Rd., Martinez, CA 
94553, (415) 228-6680, ext. 235
Fiscal Officer, Palo Alto Medical Center, 3801 Miranda Avenue, Palo 
Alto, CA 94304, (415) 493-5000, ext. 5643
Riverside National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center--Wadsworth Division, Los Angeles, CA 90073, (213) 478-
3478
San Bruno National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 4150 Clement Street, San Bruno, CA 94121, (415) 221-
4810, ext. 315/316
Fiscal Officer, San Diego Medical Center, 3350 La Jolla Village Drive, 
San Diego, CA 92161, (714) 453-7500, ext. 3351
San Diego Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
3350 La Jolla Village Drive, San Diego, CA 92161, (714) 453-7500, ext. 
3351
Fiscal Officer, San Diego Regional Office, 2022 Camino Del Rio North, 
San Diego, CA 92108, (714) 289-5703

    Jurisdiction over the following counties in California: Imperial, 
Riverside and San Diego

San Francisco National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Officer, 4150 Clement Street, San Francisco, CA 94121, (415) 
556-0483
Fiscal Officer, San Francisco Regional Office, 211 Main Street, San 
Francisco, CA 94105, (415) 974-0160

    Jurisdiction over all counties in California except Inyo, Kern, Los 
Angeles, Orange, San Bernardino, San Luis Obispo, Santa Barbara, 
Ventura, Imperial, Riverside, San Diego, Alpine, Lassen, Modoc and Mono.

Fiscal Officer, San Francisco Medical Center, 4150 Clement Street, San 
Francisco, CA 94121, (415) 221-4810, ext. 315/316
Fiscal Officer, Sepulveda Medical Center, 16111 Plummer Street, 
Sepulveda, CA 91343, (818) 891-2377

                                Colorado

Fiscal Officer, Denver Regional Office, Denver Federal Center, Building 
20, Denver, CO 80225, (303) 234-3920
Fiscal Officer, Denver Medical Center, 1055 Clermont Street, Denver, CO 
80220, (303) 393-2813
Denver National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1055 Clermont Street, Denver, CO 80220, (303) 393-2813
Fort Logan National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1055 Clermont Street, Denver, CO 80220, (303) 393-2813
Fort Lyon National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Fort Lyon, CO 81038, (719) 384-3987
Fiscal Officer, Fort Lyon Medical Center, Fort Lyon, CO 81038, (719) 
384-3987
Fiscal Officer, Grand Junction Medical Center, 2121 North Avenue, Grand 
Junction, CO 81501, (303) 242-0731, ext. 275

                               Connecticut

Fiscal Officer, Hartford Regional Office, 450 Main Street, Hartford, CT 
06103, (203) 244-3217
Fiscal Officer, Newington Medical Center, 555 Willard Avenue, Newington, 
CT 06111, (203) 666-6951, ext. 369
Fiscal Officer, West Haven Medical Center, 950 Campbell Avenue, West 
Haven, CT 06516, (203) 932-5711, ext. 859

                                Delaware

Fiscal Officer, Wilmington Medical and Regional Office Center, 1601 
Kirkwood Highway, Wilmington, DE 19805, (302) 633-5432

                          District of Columbia

Finance Division Chief (047H), Washington Central Office, 810 Vermont 
Avenue, NW., Room C-50, Washington, DC 20420, (202) 233-3901
Washington Veterans Canteen Service Field Office, Send to: Finance 
Division Chief (047H), VA Central Office, 810 Vermont Avenue, NW., Room 
C-50, Washington, DC 20420, (202) 233-3901
Fiscal Officer, Washington Regional Office, 941 North Capitol Street, 
NE., Washington, DC 20421, (202) 208-1349

    Jurisdiction over all foreign countries or overseas areas except 
Mexico, American Samoa, Guam, Midway, Wake, the Trust Territory of the 
Pacific Islands, the Virgin Islands and the Philippines. Also, 
jurisdiction over Prince George's and Montgomery Counties in Maryland; 
Fairfax and Arlington Counties and the cities of Alexandria, Fairfax and 
Falls Church in Virginia.

Fiscal Officer, Washington Medical Center, 50 Irving Street, NW., 
Washington, DC 20422, (202) 745-8229

[[Page 639]]

                                 Florida

Fiscal Officer, Bay Pines Medical Center, National Cemetery Area Office, 
Bay Pines, FL 33504, (813) 398-9321
Fiscal Officer, Gainesville Medical Center, Archer Road, Gainesville, FL 
32601, (904) 376-1611, ext. 6685
Jacksonville Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, 1601 SW. Archer Road, Gainesville, FL 32602, (904) 376-
1611, ext. 6685
Jacksonville VA Office, Send to: Fiscal Officer, VA Regional Office, 144 
First Avenue, South, St. Petersburg, FL 33731, (813) 893-3236
Fiscal Officer, Lake City Medical Center, 801 South Marion Street, Lake 
City, FL 32055, (904) 755-3016
Miami VA Office, Send to: Fiscal Officer, VA Regional Office, 144 First 
Avenue, South, St. Petersburg, FL 33731, (813) 893-3236
Fiscal Officer, Miami Medical Center, 1201 Northwest 16th Street, Miami, 
FL 33125, (305) 324-4284
Orlando Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, 1300 North 30th Street, Tampa, FL 33612, (813) 971-4500
Fiscal Officer, James A. Haley Veterans' Hospital, 13000 Bruce B. Downs 
Blvd., Tampa, FL 33612, (813) 972-7501
Riviera Beach Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, 1201 Northwest 16th Street, Miami, FL 33125, (305) 324-
4284
Pensacola National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Gulfport, MS 39501, (601) 863-1972, ext. 225
St. Augustine National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Archer Road, Gainesville, FL 32602, (904) 376-1611, ext. 
6685
Fiscal Officer, St. Petersburg Regional Office, 144 First Avenue, South, 
St. Petersburg, FL 33612, (813) 893-3236

                                 Georgia

Fiscal Officer, Atlanta Regional Office, 730 Peachtree Street, NE., 
Atlanta, GA 30365, (404) 347-5008
Atlanta Veterans Canteen Service Field Office, Send to: Fiscal Officer, 
VA Medical Center, 1670 Clairmont Road, Decatur, GA 30033, (404) 321-
6111
Atlanta National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Office, 1670 Clairmont Road, Decatur, GA 30033, (404) 321-6111
Atlanta Field Office of Audit, Send to: Fiscal Officer, VA Regional 
Office, 730 Peachtree Street, NE., Atlanta, GA 30301, (404) 347-5008
Fiscal Officer, Augusta Medical Center, Augusta, GA 30904, (404) 733-
4471, ext. 675/676
Fiscal Officer, VA Medical Center, 2460 Wrightsboro Road, Augusta, GA 
30910, (404) 724-5116
Fiscal Officer, Decatur Medical Center, 1670 Clairmont Road, Decatur, GA 
30033, (404) 321-6111, ext. 6320
Fiscal Officer, Dublin Medical Center, Dublin, GA 31021, (912) 272-1210, 
ext. 373
Marietta National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1670 Clairmont Road, Decatur, GA 30033, (404) 321-6111

                                 Hawaii

Fiscal Officer, Honolulu Regional Office, PO Box 50188, Honolulu, HI 
96850, (808) 541-1490
    Jurisdiction over Islands of American Samoa, Guam, Wake, Midway and 
Trust Territory of the Pacific Islands

Honolulu National Cemetery Area Office, Send to: Fiscal Officer, VA 
Regional Office, PO Box 50188, Honolulu, HI 96850, (808) 546-2109

                                  Idaho

Fiscal Officer, Boise Medical Center, 500 West Fort Street, Boise, ID 
83702, (208) 336-5100, ext. 7312
Fiscal Officer, Boise Regional Office, Federal Bldg. & U.S. Courthouse, 
550 West Fort Street, Box 044, Boise, ID 83724, (208) 334-1009

                                Illinois

Alton National Cemetery Area Office, Send to: Fiscal Officer, VA Medical 
Center, St. Louis, MO 63125, (314) 894-4631
AMF O'Hare Field Office of Audit, Send to: Fiscal Officer, VA Medical 
Center, Hines, IL 60141, (312) 343-7200, ext. 2481
Fiscal Officer, Chicago Medical Center (Lakeside), 33 East Huron Street, 
Chicago, IL 60611, (312) 943-6600
Fiscal Officer, Chicago Medical Center (West Side), 820 South Damen 
Avenue, Chicago, IL 60612, (312) 666-6500, ext. 3338
Fiscal Officer, Chicago Regional Office, 536 South Clark Street, 
Chicago, IL 60680, (312) 886-9417
Fiscal Officer, Danville Medical Center, 1900 E. Main Street, Danville, 
IL 61832, (217) 442-8000
Danville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1900 E. Main Street, Danville, IL 61832, (217) 442-8000, 
ext. 210
Fiscal Officer, Hines Medical Center, Hines, IL 60141, (312) 343-7200, 
ext. 2481
Hines Marketing Center, Send to: Fiscal Officer, VA Supply Depot, PO Box 
27, Hines, IL 60141, (312) 681-6800
Fiscal Officer, Hines Supply Depot, PO Box 27, Hines, IL 60141, (312) 
681-6800
Fiscal Officer, Hines Data Processing Center, PO Box 66303, AMF O'Hare, 
Hines, IL 60666, (312) 681-6650

[[Page 640]]

Fiscal Officer, Marion Medical Center, Marion, IL 62959, (618) 997-5311
Mound City National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 2401 West Main Street, Marion, IL 62959, (618) 997-5311
Fiscal Officer, North Chicago Medical Center, North Chicago, IL 60064, 
(312) 689-1900
Quincy National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Iowa City, IA 52240, (319) 338-0581, ext. 304
Rock Island National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Iowa City, IA 52240, (319) 338-0581, ext. 304
Springfield National Cemetery Area Officer, Send to: Fiscal Officer, VA 
Medical Center, 1900 E. Main Street, Danville, IL 61832, (217) 442-8000

                                 Indiana

Evansville Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, Marion, IL 62959, (618) 997-5311
Fiscal Officer, Fort Wayne Medical Center, 1600 Randalia Drive, Fort 
Wayne, IN 46805, (219) 426-5431
Fiscal Officer, Indianapolis Regional Office, 575 North Pennsylvania 
Street, Indianapolis, IN 46204, (317) 269-7840
Fiscal Officer, Indianapolis Medical Center, 1481 West 10th Street, 
Indianapolis, IN 46202, (317) 635-7401, ext. 2363
Indianapolis National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1481 West 10th Street, Indianapolis, IN 46202, (317) 
635-7401, ext. 2363
Fiscal Officer, Marion Medical Center, Marion, IN 46952, (317) 674-3321, 
ext. 214
Marion National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Marion, IN 46952, (317) 674-3321, ext. 211
New Albany National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 800 Zorn Avenue, Louisville, KY 40202, (502) 895-3401

                                  Iowa

Fiscal Officer, Des Moines Regional Office, 210 Walnut Street, Des 
Moines, IA 50309, (515) 284-4220
Fiscal Officer, Des Moines Medical Center, 30th & Euclid Avenue, Des 
Moines, IA 50310, (515) 699-5999
Fiscal Officer, Iowa City Medical Center, Iowa City, IA 52246, (319) 
338-0581, ext. 7702
Keokuk National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Iowa City, IA 52246, (319) 338-0581, ext. 7702
Keokuk National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Iowa City, IA 52246, (319) 338-0581, ext. 7702

                                 Kansas

Ft. Leavenworth National Cemetery Area Office, Send to: Fiscal Officer, 
VA Medical Center, Leavenworth, KS 66048, (913) 682-2000, ext. 214
Ft. Scott National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Leavenworth, KS 66048, (913) 682-2000, ext. 214
Leavenworth National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Leavenworth, KS 66048, (913) 682-2000, ext. 214
Fiscal Officer, Leavenworth Medical Center, Leavenworth, KS 66048, (913) 
682-2000, ext. 214
Fiscal Officer, Topeka Medical Center, 2200 Gage Blvd., Topeka, KS 
66622, (913) 272-3111, ext. 521
Fiscal Officer, Wichita Medical Center, 5500 East Kellogg, Wichita, KA 
67211 (316) 685-2221, ext. 256
Wichita Regional Office, Send to: VA Medical Center, 5500 East Kellogg, 
Wichita, KS 67211, (316) 685-2111, ext. 256

    Process for VA service-connected benefits should also be sent to the 
Wichita Medical Center rather than to the Wichita Regional Office.

Fiscal Officer, VA Regional Office, 901 George Washington Blvd, Wichita, 
KS 67211, (316) 269-6813

                                Kentucky

Danville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Lexington, KY 40507, (606) 223-4511
Fiscal Officer, Knoxville Medical Center, Knoxville, KY 50138, (515) 
842-3101, ext. 241
Lebanon National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Lexington, KY 40507, (606) 233-4511
Lexington National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Lexington, KY 40507, (606) 233-4511
Fiscal Officer, Lexington Medical Center, Lexington KY 40507, (606) 233-
4511
Fiscal Officer, Louisville Regional Office, 600 Federal Place, 
Louisville, KY 40202, (502) 582-6482
Fiscal Officer, Louisville Medical Center, 800 Zorn Avenue, Louisville, 
KY 40202, (502) 895-3401, ext. 241
Louisville National Cemetery Area Office (Zachry Taylor), Send to: 
Fiscal Officer, VA Medical Center, 800 Zorn Avenue, Louisville, KY 
40202, (502) 895-3401, ext. 241
Louisville National Cemetery Area Office (Cave Hill), Send to: Fiscal 
Officer, VA Medical Center, 800 Zorn Avenue, Louisville, KY 40202, (502) 
895-3401, ext. 241
Nancy National Cemetery Area Office, Send to: Fiscal Office, VA Medical 
Center, Lexington, KY 40507, (606) 233-4511
Nicholasville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Lexington, KY 40507, (606) 233-4511

[[Page 641]]

Perryville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Lexington, KY 40507, (606) 233-4511

                                Louisiana

Fiscal Officer, Alexandria Medical Center, Alexandria LA 71303, (318) 
473-0010, ext. 2281
Baton Rouge National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1601 Perdido Street, New Orleans, LA 70146, (504) 568-
0811
Fiscal Officer, New Orleans Regional Office, 701 Loyola Avenue, New 
Orleans, LA 70133, (504) 589-6604
Fiscal Officer, New Orleans Medical Center, 1601 Perdido Street, New 
Orleans, LA 70146, (504) 568-0811
Baton Rouge National Cemetery, 220 North 19th Street, Baton Rouge, LA 
70806, (504) 389-0788
Pineville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Alexandria, LA 71301, (318) 442-0251
Fiscal Officer, Shreveport Medical Center, 510 East Stoner Avenue, 
Shreveport, LA 71101, (318) 221-8411, ext. 722
Shreveport VA Office, Send to: Fiscal Officer, VA Regional Officer, 701 
Loyola Avenue, New Orleans, LA 70113, (504) 589-6604
Port Hudson (Zachary) National Cemetery Area Office, Send to: Fiscal 
Officer, VA Medical Center, 1601 Perdido Street, New Orleans, LA 70146, 
(504) 568-0811

                                  Maine

Portland VA Office, Send to: Fiscal Officer, VA Center, Togus, ME 04330, 
(207) 623-8411
Fiscal Officer, Togus Medical & Regional Office Center, Togus, ME 04330, 
(207) 623-8411
Togus National Cemetery Area Office, Send to: Fiscal Officer, VA Center, 
Togus, ME 04330, (207) 623-8411

                                Maryland

Annapolis National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 3900 Loch Raven Blvd., Baltimore, MD 21218, (301) 467-
9932, ext. 5281/5282
Fiscal Officer, Baltimore Regional Office, Federal Bldg., 31 Hopkins 
Plaza, Baltimore, MD 21201, (301) 962-4410

    Jurisdiction does not include Prince George's and Montgomery 
Counties which are included under the Washington, DC Regional Office

Baltimore Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
3900 Loch Raven Blvd., Baltimore, MD 21218, (301) 467-9932, ext. 5281/
5282
Fiscal Officer, Baltimore Medical Center, 3900 Loch Raven Blvd., 
Baltimore, MD 21218, (301) 467-9932, ext. 5281/5282
Baltimore National Cemetery Area Office (Loudon Park), Send to: Fiscal 
Officer, VA Medical Center, 3900 Loch Raven Blvd., Baltimore, MD 21218, 
(301) 467-9932, ext. 5281/5282
Fiscal Officer, Fort Howard Medical Center, Fort Howard, MD 21052, (301) 
687-8768, ext. 328
Hyattsville Field Office of Audit, Send to: Fiscal Division Chief 
(047H), VA Central Office, Room C-50, 810 Vermont Avenue, Washington, DC 
20420, (202) 389-3901
Fiscal Officer, Perry Point Medical Center, Perry Point, MD 21902, (301) 
642-2411, ext. 5224/5225

                              Massachusetts

Fiscal Officer, Bedford Medical Center, 200 Springs Road, Bedford, MA 
01730, (617) 275-7500
Fiscal Officer, Boston Regional Office, John F. Kennedy Bldg., Room 
400C, Government Center, Boston, MA, (617) 565-2616

    Jurisdiction over certain towns in Bristol and Plymouth Counties and 
the counties of Barnstable, Dukes and Nantucket is allocated to the 
Providence, Rhode Island Regional Office.

Boston Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
150 South Huntington Avenue, Boston, MA 02130, (617) 232-9500, ext. 427/
420
Fiscal Officer, Boston Medical Center, 150 South Huntington Avenue, 
Boston, MA 02130, (617) 232-9500, ext. 427/420
Bourne National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Brockton, MA 02401, (617) 583-4500, ext. 266
Fiscal Officer, Brockton Medical Center, Brockton, MA 02401 (617) 583-
4500, ext. 266
Lowell Outpatient Clinic Substation, Send to: Fiscal Officer, VA Medical 
Center, 150 South Huntington Avenue, Boston, MA 02130 (617) 322-9500, 
ext 427/420
New Bedford Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, Providence, RI 02908, (401) 273-7100
Fiscal Officer, Northampton Medical Center, Northampton, MA 01060, (413) 
584-4040
Springfield Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, Northampton, MA 01060, (413) 584-4040
Springfield VA Office, Send to: Fiscal Officer, VA Regional Office, John 
F. Kennedy Bldg., Room 400C, Government Center, Boston, MA 02203, (617) 
565-2616
Fiscal Officer, West Roxbury Medical Center, 1400 Veterans of Foreign 
Wars Parkway, West Roxbury, MA 02132, (617) 323-7700, ext. 5650
Worcester Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, 1400 Veterans of Foreign Wars Parkway, West Roxbury, MA 
02132, (617) 323-7700, ext. 5650

                                Michigan

Fiscal Officer, Allen Park Medical Center, Allen Park, MI 48101, (313) 
562-6000, ext. 535

[[Page 642]]

Fiscal Officer, Ann Arbor Medical Center, 2215 Fuller Road, Ann Arbor, 
MI 48105, (313) 769-7100, ext. 288/289
Fiscal Officer, Battle Creek Medical Center, Battle Creek, MI 49016, 
(616) 966-5600, ext. 3566
Grand Rapids Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, Battle Creek, MI 49016, (616) 966-5600, ext. 3566
Fiscal Officer, Detroit Regional Office, 477 Michigan Avenue, Detroit, 
MI 48226, (313) 226-4190
Fiscal Officer, Iron Mountain Medical Center, Iron Mountain, MI 49801, 
(906) 774-3300, ext. 308
Fiscal Officer, Saginaw Medical Center, 1500 Weiss Street, Saginaw, MI 
48602, (517) 793-2340, ext. 3061

                                Minnesota

Fiscal Officer, Minneapolis Medical Center, 54th & 48th Avenue, South 
Minneapolis, MN 55417, (612) 725-6767, ext. 6311
Fiscal Officer, St. Cloud Medical Center, St. Cloud, MN 56301, (612) 
252-1600, ext. 411
Fiscal Officer, St. Paul Center (Regional Office), Federal Building, Ft. 
Snelling, St. Paul, MN 55111, (612) 725-4075
Fiscal Officer, VA Medical Center, One Veterans Drive, Minneapolis, MN 
55417, (612) 725-2150

    Jurisdiction over the counties of Becker, Beltrami, Clay, 
Clearwater, Kittson, Lake of the Woods, Mahnomen, Marshall, Norman, 
Otter Tail, Pennington, Polk, Red Lake, Roseau and Wilkin is allocated 
to the Fargo, North Dakota Center.

St. Paul National Cemetery Area Office, Send to: VA Medical Center, 54th 
& 48th Avenue, South, Minneapolis, MN 55417, (612) 725-6767, ext. 6311
St. Paul Data Processing Center, Send to: Fiscal Officer, VA Center, 
Federal Building, Ft. Snelling, St. Paul, MN 55111, (612) 725-3075
St. Paul Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
54th & 48th Avenue, Minneapolis, MN 55111, (612) 725-6767, ext. 6311

                               Mississippi

Biloxi National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Biloxi, MS 39531, (601) 863-1972, ext. 225
Fiscal Officer, Biloxi Medical Center, Biloxi, MS 39531, (601) 863-1972, 
ext. 225
Corrinth National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1030 Jefferson Avenue, Memphis, TN 38104, (901) 523-8990
Fiscal Officer, Gulfport Medical Center, Gulfport, MS 39601, (601) 863-
1972, ext. 225
Fiscal Officer, Jackson Medical Center, 1500 East Woodrow Wilson Drive, 
Jackson, MS 39216, (601) 362-4471, ext. 1281
Fiscal Officer, VA Regional Office, Federal Building, 100 W. Capitol 
St., Suite 207, Jackson, MS 39269, (601) 965-4853
Natchez National Cemetery, Send to: Fiscal Officer, VA Medical Center, 
1500 E. Woodrow Wilson Dr., Jackson, MS 39216, (601) 362-4471, ext. 1281

    Process for VA service-connected benefits should also be sent to the 
Jackson Medical Center rather than to the Jackson Regional Office.

                                Missouri

Fiscal Officer, Columbia Medical Center, 800 Stadium Road, Columbia, MO 
62501, (314) 443-2511
Jefferson City National Cemetery Area Office, Send to: Fiscal Officer, 
VA Medical Center, 800 Stadium Road, Columbia, MO 65201, (314) 443-2511, 
ext. 6050
Fiscal Officer, Kansas City Medical Center, 4801 Linwood Blvd., Kansas 
City, MO 64128, (816) 861-4700, ext. 214
Fiscal Officer, Poplar Bluff Medical Center, Poplar Bluff, MO 63901, 
(314) 686-4151
St. Louis National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, St. Louis, MO 63125, (314) 894-4931
Fiscal Officer, St. Louis Regional Office, 1520 Market Street, St. 
Louis, MO 63103, (314) 539-3112
Fiscal Officer, VA Medical Center, 1500 N. Westwood Blvd., Poplar Bluff, 
MO 63901, (314) 686-4151, ext. 265
St. Louis Veterans Canteen Service Field Office, Send to: Fiscal 
Officer, VA Medical Center, St. Louis, MO 63125, (314) 894-4631
Fiscal Officer, St. Louis Medical Center, St. Louis, MO 63125, (314) 
894-4631
St. Louis Records Processing Center, Send to: Fiscal Officer, VA 
Regional Office, 1520 Market Street, St. Louis, MO 63103, (314) 539-3112
Springfield National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Fayetteville, AR 72701, (501) 443-4301

                                 Montana

Fiscal Officer, Fort Harrison Medical & Regional Office Center, Fort 
Harrison, MT 59636, (406) 442-6410
Fiscal Officer, Mile City Medical Center, 210 N. Broadwell, Miles City, 
MT 59301, (406) 232-3060

                                Nebraska

Fiscal Officer, Grand Island Medical Center, 2201 N. Broadwell, Grand 
Island, NE 68801, (308) 382-3660, ext. 244
Fiscal Officer, Lincoln Regional Office, 100 Centennial Mall North, 
Lincoln NE 68510, (402) 437-5041
Fiscal Officer, Lincoln Regional Office, 600 South 70th Street, Lincoln 
NE 68510, (402) 489-3802, ext. 332

[[Page 643]]

Maxwell National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Grand Island, NE 68801, (308) 382-3660, ext. 244
Fiscal Officer, Omaha Medical Center, 4101 Woolworth Avenue, Omaha, NE, 
(402) 346-8800, ext. 4538

                                 Nevada

Las Vegas Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
1000 Locust Street, Reno, NV 89250, (702) 786-7200, ext. 244
Fiscal Officer, Reno Regional Office, 1201 Terminal Way, Reno, NV (702) 
784-5637

    Jurisdiction over the following counties in California: Alpine, 
Lassen, Modoc and Mono.

Fiscal Officer, Reno Medical Center, 1000 Locust Street, Reno, NV 89520, 
(702) 786-7200, ext. 244
Henderson Outpatient Clinic, Send to: Fiscal Officer, Reno Medical 
Center, 1000 Locust Street, Reno, NV 89520, (702) 786-7200, ext. 244

                              New Hampshire

Fiscal Officer, Manchester Regional Office, 275 Chestnut Street, 
Manchester, NH 03103, (603) 666-7638
Fiscal Officer, Manchester Medical Center 718 Smyth Road, Manchester, NH 
03104, (603) 624-4366

                               New Jersey

Beverly National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, University and Woodland Avenues, Philadelphia, PA 19104, 
(215) 382-2400, ext. 291/292
Fiscal Officer, East Orange Medical Center, Tremont Avenue and So. 
Center Street, East Orange, NJ 07019, (201) 676-1000, ext. 1771
Fiscal Officer, Lyons Medical Center, Lyons, NJ 07939, (201) 647-0180, 
ext. 4302
Newark Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
Tremont Avenue and So. Center Street, East Orange, NJ 07019, (201) 676-
1000, ext. 125
Fiscal Officer, Newark Regional Office, 20 Washington Place, Newark, NJ 
07102, (201) 645-3507
Salem National Cemetery Area Office, Send to: Fiscal Officer, VA Center, 
1601 Kirkwood Highway, Wilmington, DE 19805, (302) 994-2511
Fiscal Officer, Somerville Supply Depot, Somerville, NJ 08876, (210) 
725-2540

                               New Mexico

Fiscal Officer, Albuquerque Regional Office, 500 Gold Avenue, SW., 
Albuquerque, NM 87102, (505) 766-2204
Fiscal Officer, Albuquerque Medical Center, 2100 Ridgecrest Drive, SE., 
Albuquerque NM 87108, (505) 265-1711
Santa Fe National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 2100 Ridgecrest Drive, SE., Albuquerque, NM 87108, (505) 
265-1711, ext. 2214

                                New York

Fiscal Officer, Albany Medical Center, 113 Holland Ave., Albany, NY 
12202, (518) 462-3311, ext. 355
Fiscal Officer, VA Medical Center, 800 Irving Center, Syracuse, NY 
13210, (315) 476-7461, ext. 2358
Albany VA Office, Send to: Fiscal Officer, VA Regional Office, 252 
Seventh Avenue & 24th Street, New York, NY 10001, (211) 620-6293
Fiscal Officer, Batavia Medical Center, Redfield Parkway, Batavia, NY 
14020, (716) 345-7500, ext. 215
Fiscal Officer, Bath Medical Center, Bath, NY 14810, (607) 776-2111, 
ext. 1502
Fiscal Officer, Bronx Medical Center, 140 W. Kings Bridge Road, Bronx, 
NY 10408, (212) 584-9000, ext. 1502/1717
Fiscal Officer, Brooklyn Medical Center, 800 Poly Place, Brooklyn, NY 
11209, (718) 630-3542
Brooklyn National Cemetery Area Office, Fiscal Officer, VA Medical 
Center, 800 Poly Place, Brooklyn, NY 11209, (718) 630-2541
Brooklyn Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
800 Poly Place, Brooklyn, NY 11209, (718) 630-3542
Fiscal Officer, Buffalo Regional Office, 111 West Huron Street, Buffalo, 
NY 14202, (716) 846-5251
Brooklyn Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
800 Poly Place, Brooklyn, NY 11209, (718) 630-3542
Fiscal Officer, Buffalo Regional Office, 111 West Huron Street, Buffalo, 
NY 14202, (716) 846-5251

    Jurisdiction over all counties in New York not listed under the New 
York Regional Office.

Fiscal Officer, Buffalo Medical Center, 3495 Bailey Avenue, Buffalo, NY 
14215, (716) 862-3335/(716) 834-9200, ext. 3335
Calverton National Cemetery Area Office, Send to: Fiscal Office, VA 
Medical Center, Northport, NY 11768, (516) 261-4400, ext. 7101/7103
Fiscal Officer, Canandiague Medical Center, Canandaigua, NY 14424, (716) 
394-2000, ext. 3368
Fiscal Officer, Castle Point Medical Center, Castle Point, NY 12511, 
(914) 882-5404
Elmira National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Bath, NY 14810, (607) 776-2111
Farmingdale National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Northport, NY 11768, (516) 261-4400, ext. 2462/2463
Fiscal Officer, Montrose Medical Center, Montrose, NY 10548, (914) 737-
4400, ext. 2463

[[Page 644]]

Fiscal Officer, New York Medical Center, First Avenue at East 24th 
Street, New York, NY 10010, (212) 686-7320
New York Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
First Avenue at East 24th Street, New York, NY 10010, (212) 686-7320
New York Prosthetics Center, Send to: Fiscal Officer, VA Regional 
Office, 252 Seventh Avenue, New York, NY 10001, (212) 620-6293
Fiscal Officer, New York Regional Office, 252 Seventh Avenue at 24th 
Street, New York, NY 10001, (212) 620-6293

    Jurisdiction over the following counties in New York: Albany, Bronx, 
Clinton, Columbia, Delaware, Dutchess, Essex, Franklin, Fulton, Greene, 
Hamilton, Kings, Montgomery, Nassau, New York, Orange, Otsego, Putnam, 
Queens, Rensselaer, Richmond, Rockland, Saratoga, Schenectady, Schharie, 
Suffolk, Sullivan, Ulster, Warren, Washington and Westchester.

New York Veterans Canteen Service Field Office, Send to: Fiscal Officer, 
VA Medical Center, First Avenue at East 24th Street, New York, NY 10010, 
(202) 686-7320
Fiscal Officer, Northport Medical Center, Northport, NY 11768, (516) 
261-4400, ext. 2462/2463
Rochester VA Office, Send to: Fiscal Officer, VA Regional Office, 111 
West Huron Street, Buffalo, NY 14202, (716) 846-5251
Rochester Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, Batavia, NY 14020, (716) 343-7500, ext. 215
Fiscal Officer, Syracuse Medical Center, Irving Avenue & University 
Place, Syracuse, NY 13210, (315) 476-7461
Syracuse VA Office, Send to: Fiscal Officer, VA Regional Office, 111 
West Huron Street, Buffalo, NY 14202, (716) 846-5251

                             North Carolina

Fiscal Officer, Asheville Medical Center, 1100 Tunnel Road, Asheville, 
NC 28801, (704) 298-7911, ext. 5616
Fiscal Officer, Durham Medical Center, 508 Fulton Street, Durham, NC 
27705, (919) 671-6913
Fiscal Officer, Fayetteville Medical Center, 2300 Ramsey Street, 
Fayetteville, NC 28301, (919) 488-2120
New Bern National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 2300 Ramsey Street, Fayetteville, NC 28301, (919) 488-
2120
Raleigh National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 508 Fulton Street, Durham, NC 27705, (919) 286-0411, 
ext. 6469
Fiscal Officer, Salisbury Medical Center, Salisbury, NC 28144, (704) 
636-2351
Salisbury National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Salisbury, NC 28144, (704) 636-2351
Wilmington National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 2300 Ramsey Street, Fayetteville, NC 28301, (919) 488-
2120
Fiscal Officer, Winston-Salem Regional Office, 251 North Main Street, 
Winston-Salem, NC 27102 (919) 761-3513
Winston-Salem Outpatient Regional Office, Send to: Fiscal Officer, VA 
Medical Center, Salisbury, NC 28144, (704) 636-2351

                              North Dakota

Fiscal Officer, Fargo Medical and Regional Office Center, 21st & Elm, 
Fargo, ND 58102, (701) 232-3241, ext. 249

    See listing under the St. Paul, Minnesota Center for the names of 
the counties in Minnesota which come under the jurisdiction of the 
Fargo, North Dakota Center.

                                  Ohio

Fiscal Officer, Chillicothe Medical Center, 17273 State Route 104, 
Chillicothe, OH 45601, (614) 773-1141, ext. 203
Fiscal Officer, Cincinnati Medical Center, 3200 Vine Street, Cincinnati, 
OH 45220, (513) 550-5040, ext. 4113
Fiscal Officer, VA Medical Center, 2090 Kenny Road, Columbus, OH 43221, 
(614) 469-6712
Cincinnati VA Office, Send to: Fiscal Officer, VA Regional Office, 1240 
East Ninth Street, Cleveland, OH 44199, (216) 522-3540
Fiscal Officer, Cleveland Regional Office, 1240 East Ninth Street, 
Cleveland, OH 44199, (216) 522-3540
Fiscal Officer, Cleveland Medical Center, 10,000 Brecksville Rd, 
Brecksville, OH 44141, (216) 526-3030, ext. 7170
Fiscal Officer, Columbus Outpatient Clinic, 456 Clinic Drive, Columbus, 
OH 43210, (614) 469-6712
Columbus VA Office, Send to: Fiscal Officer, VA Regional Office, 1240 
East Ninth Street, Cleveland, OH 44199, (216) 522-3540
Dayton National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Dayton, OH 45248, (513) 268-6511, ext. 262-2157
Fiscal Officer, VA Medical Center, 4100 W. Third Street, Dayton, OH 
45428, (513) 262-2157

                                Oklahoma

Fort Gibson National Cemetery Area Office, Fiscal Officer, VA Medical 
Center, Memorial Station, Honor Heights Drive, Muskogee, OK 74401, (918) 
683-3261, ext. 392
Fiscal Officer, Muskogee Regional Office, 125 South Main Street, 
Muskogee, OK 74401, (918) 687-2169
Fiscal Officer, Muskogee Medical Center, Memorial Station, Honor Heights 
Drive, Muskogee, OK 74401, (918) 683-3261, ext. 392
Fiscal Officer, Oklahoma City Medical Center, 921 Northeast 13th Street, 
Oklahoma, OK 73104, (405) 272-9876, ext. 500

[[Page 645]]

Oklahoma City VA Office, Send to: Fiscal Officer, VA Regional Office, 
125 South Main St., Muskogee, OK 74401, (908) 687-2169

                                 Oregon

Portland National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 3710 SW U.S. Veterans Hospital Road, Portland, OR 97201, 
(503) 220-8262, ext. 6948
Fiscal Officer, Portland Regional Office, 1220 SW 3rd Avenue, Portland, 
OR 97204, (503) 221-2521
Fiscal Officer, Portland Medical Center, 3710 SW U.S. Veterans Hospital 
Road, Portland, OR 97201, (503) 220-8262, ext. 6948
Portland Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
3710 SW U.S. Veterans Hospital Road, Portland, OR 97210, (503) 222-9221, 
ext. 6984
Fiscal Officer, VA Medical Center, Garden Valley Blvd., Roseburg, OR 
97470, (503) 440-1000, ext. 4261
Roseburg National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Garden Valley Blvd., Roseburg, OR 97470, (503) 672-4411
Fiscal Officer, White City Domiciliary, White City, OR 97501, (503) 826-
2111, ext. 241
White City National Cemetery Area, Send to: Fiscal Officer, VA Office, 
Domiciliary, White City, OR 97503, (503) 826-2111, ext. 241

                              Pennsylvania

Fiscal Officer, Altoona Medical Center, Altoona, PA 16603, (814) 943-
8164, ext. 7046
Annville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Lebanon, PA 17042, (717) 272-6621, ext. 229
Fiscal Officer, VA Medical Center, Butler, PA, 16001, (412) 287-4781, 
ext. 4505
Fiscal Officer, Coatsville Medical Center, Coatsville, PA 19320, (215) 
384-7711, ext. 342
Fiscal Officer, Erie Medical Center, 135 East 38th Street, Erie, PA 
16501, (814) 868-8661
Harrisburg Outpatient Clinic Substation, Fiscal Officer, VA Medical 
Center, Lebanon, PA 17042, (717) 272-6621, ext. 229
Fiscal Officer, Lebanon Medical Center, Lebanon Medical Center, Lebanon, 
PA, 17042, (717) 272-6621, ext. 229
Fiscal Officer, Philadelphia Center (Regional Office), PO Box 8079, 
Philadelphia, PA 19101, (215) 951-5321

    Jurisdiction over the following counties in Pennsylvania: Adams, 
Berks, Bradford, Bucks, Cameron, Carbon, Centre, Chester, Clinton, 
Columbia, Cumberland, Dauphin, Delaware, Franklin, Juniata, Lackawanna, 
Lancaster, Lebanon, Lehigh, Luzerne, Lycoming, Mifflin, Monroe, 
Montgomery, Montour, Northampton, Northumberland, Perry, Philadelphia, 
Pike, Potter, Schuylkill, Snyder, Sullivan, Susquehanna, Tioga, Union, 
Wayne, Wyoming and York.

Philadelphia Data Processing Center, Send to: Fiscal Officer, VA Medical 
Center, P.O. Box 13399, Philadelphia, PA 19101, (215) 951-5321
Philadelphia National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, University & Woodland Avenues, Philadelphia, PA 19104, 
(215) 951-5321
Fiscal Officer, VA Medical Center, University & Woodland Avenues, 
Philadelphia, PA 19104, (125) 951-5321
Fiscal Officer, Pittsburgh Regional Office, 1000 Liberty Avenue, 
Pittsburgh, PA 15222, (412) 644-4394

    Jurisdiction over all of the counties in Pennsylvania that are not 
listed under the Philadelphia Center (Regional Office) and jurisdiction 
over the following counties in West Virginia: Brooke, Hancock, Marshall 
and Ohio.

Fiscal Officer, Pittsburgh Medical Center, Highland Drive, Pittsburgh, 
PA 15206, (412) 363-4900, ext. 4235
Fiscal Officer, Pittsburgh Medical Center, University Drive C, 
Pittsburgh, PA 15240 (412) 683-3000, ext. 675
Fiscal Officer, Wilkes-Barre Medical Center, 1111 East End Blvd., 
Wilkes-Barre, PA 18711, (717) 824-3521, ext. 7211

                               Philippines

    Manila Regional Office Outpatient Clinic and Manila Regional Office 
Center
    For either of the above, send to:

Director, Department of Veterans Affairs, APO, San Francisco, CA 96528, 
011-632-521-7116, ext. 2560

                               Puerto Rico

Raymon National Cemetery Area Office, Send to: Fiscal Officer, VA 
Center, GPO, Box 4867, San Juan, PR 00936, (890) 766-5115
Hato Regional Office, GPO, Box 4867, San Juan, PR 00936, (809) 766-5115
Mayaguez Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Center, GPO, Box 4867, San Juan, PR 00936, (809) 763-0275
Rio Piedras Medical and Regional Office Center, Send to: Fiscal Officer, 
VA Center, GPO, Box 4867, San Juan, PR 00936, (809) 758-7575, ext. 4953
Fiscal Officer, VA Medical Center, One Veterans Plaza, San Juan, PR 
00927-5800, (809) 766-5365/(809) 766-5953

                              Rhode Island

Fiscal Officer, Providence Regional Office, 321 South Main Street, 
Providence, RI 02903, (401) 528-4439

    Jurisdication over the following towns and counties in 
Massachusetts: all towns in Bristol County except Mansfield and Easton, 
the towns of Lakeville, Middleboro, Carver, Rochester. Mattapoisett, 
Marion, and Wareham in Plymouth County; and the counties of Dukes, 
Nantucket and Barnstable.


[[Page 646]]


Fiscal Officer, Providence Medical Center, Davis Park, Providence, RI 
02908, (401) 475-3019

                             South Carolina

Beaufort National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 109 Bee Street, Charleston, SC 29403, (803) 577-5011, 
ext. 222
Fiscal Officer, Charleston Medical Center, 109 Bee Street, Charleston, 
SC 29403, (803) 577-5011, ext. 222
Fiscal Officer, Columbia Regional Office, 1801 Assembly Street, 
Columbia, SC 29201, (803) 765-5210
Fiscal Officer, Columbia Medical Center, Columbia, SC 29201, (803) 776-
4000, ext. 150
Florence National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Columbia, SC 29201, (803) 776-4000, ext. 149
Greenville Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, Columbia, SC 29201, (803) 776-4000, ext. 149

                              South Dakota

Fort Meade National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Fort Meade, SD 57741 (605) 347-2511, ext. 272
Fiscal Officer, VA Medical Center, Fort Meade, SD 57741 (605) 347-2511, 
ext. 272
Hot Springs National Cemetery Area Office, Fiscal Officer, VA Medical 
Center, Hot Springs, SD 57747 (605) 745-4101, ext. 246
Fiscal Officer, Hot Springs Medical Center, Hot Springs, SD 57747, (605) 
745-4101
Fiscal Officer, Sioux Falls Medical and Regional Office Center, PO Box 
5046, Sioux Falls, SD 57117, (605) 333-6823

                                Tennessee

Chattanooga Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, 1310 24th Avenue, South, Nashville, TN 37203, (615) 327-
4651
Chattanooga National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Murfreesboro, TN 37123, (615) 893-1360
Knoxville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Mountain Home, TN 37684, (615) 926-1171, ext. 7601
Knoxville Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, 1320 24th Avenue, South, Nashville, TN 37203, (615) 327-
4651, ext. 553
Madison National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1320 24th Avenue, South, Nashville, TN 37203, (615) 327-
4651, ext. 553
Fiscal Officer, Memphis Medical Center, 1030 Jefferson Avenue, Memphis, 
TN 38104, (901) 523-8990, ext. 5838
Memphis National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1030 Jefferson Avenue, Memphis, TN 38104, (901) 523-
8990, ext. 5838
Fiscal Officer, Mountain Home Medical Center, Mountain Home, TN 37684, 
(615) 926-1171, ext. 7601
Mountain Home National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Mountain Home, TN 37684, (615) 926-1171
Fiscal Officer, Murfreesboro Medical Center, Murfreesboro, TN 37130, 
(615) 893-1360, ext. 3198
Fiscal Officer, National Regional Office, 110 Ninth Avenue South, 
Nashville, TN 37203, (615) 736-5352
Fiscal Officer, Medical Center, 1310 24th Avenue, South, Nashville, TN 
37212, (615) 327-4751, ext. 5147

                                  Texas

Fiscal Officer, Amarillo Medical Center, 6010 Amarillo Blvd. W., 
Amarillo, TX 79106, (806) 355-9703, ext. 7370
Fiscal Officer, Austin Data Processing Center, 1615 East Woodward 
Street, Austin, TX 78772, (512) 482-4028
Beaumont Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, 2002 Holcombe Blvd., Houston, TX 77211, (713) 795-7493
Fiscal Officer, Big Spring Medical Center, Big Spring, TX 79720, (915) 
263-7361, ext. 326
Fiscal Officer, Bonham Medical Center, East 96th & Lipscomb Street, 
Bonham, TX 75418, (218) 583-2111, ext. 240
Corpus Christi Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, 7400 Merton Minter Blvd., San Antonio, TX 78284, (512) 
696-9660, ext. 5871
Fiscal Officer, Dallas Medical Center, 4500 South Lancaster Road, 
Dallas, TX 75216, (214) 376-5451, ext. 5238
Dallas VA Office, Send to: Fiscal Officer, VA Regional Office, 1400 
North Valley Mills Drive, Waco, TX 76799, (817) 757-6454
Fiscal Officer, El Paso Outpatient Clinic, 5919 Brook Hollow Drive, el 
Paso, TX 79925, (915) 579-7960
Fort Bliss National Cemetery Area Office, Send to: Fiscal Officer, VA 
Outpatient Clinic, 5919 Brook Hollow Drive, El Paso, TX 79925, (915) 
579-7960
Fiscal Officer, Houston Medical Center, 2002 Holcombe Blvd., Houston, TX 
77211, (713) 795-7493
Fiscal Officer, Houston Regional Office, 2515 Murworth Drive, Houston, 
TX 77054, (713) 660-4121

    Jurisdiction over the country of Mexico and the following counties 
in Texas: Angelina, Aransas, Atascosa, Austin, Bandera, Bee, Bexar, 
Blanco, Brazoria, Brewster, Brooks, Caldwell, Calhoun, Cameron, 
Chambers, Colorado, Comal, Crockett, DeWitt, Dimmitt, Duval, Edwards, 
Fort Bend, Frio, Galveston, Gillespie, Goliad, Gonzales, Grimes, 
Guadalupe, Hardin, Harris, Hays, Hidalgo, Houston, Jackson, Jasper,

[[Page 647]]

Jefferson, Jim Hogg, Jim Wells, Karnes, Kenndall, Kennedy, Kerr, Kimble, 
Kinney, Kleberg, LaSalle, Lavaca, Liberty, Live Oak, McCulloch, 
McMullen, Mason, Matagorda, Maverick, Medina, Menard, Montgomery, 
Necogdoches, Newton, Nueces, Orange, Pecos, Polk, Real, Refugio, Sabine, 
San Augustine, San Jacinto, San Patrico, Schleicher, Shelby, Starr, 
Sutton, Terrell, Trinity, Tyler, Val Verde, Victoria, Walker, Waller, 
Washington, Webb, Wharton, Willacy, Wilson, Zapata and Zavala.

Houston National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 2002 Holcombe Blvd., Houston, TX 77211, (713) 795-7493
Fiscal Officer, Kerrville Medical Center, Kerrville, TX 78028, (512) 
896-2020, ext. 300
Kerrville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Kerrville, TX 78028, (512) 896-2020, ext. 300
Lubbock VA Office, Send to: Fiscal Officer, VA Regional Office, 1400 
North Valley Mills Drive, Waco, TX 76799, (817) 657-6464, ext. 635
Fiscal Officer, Lubbock Outpatient Clinic, 1205 Texas Avenue, Lubbock, 
TX 79401, (806) 762-7209
Fiscal Officer, Marlin Medical Center, 1016 Ward Street, Marlin, TX 
76661, (817) 883-3511, ext. 224
McAllen Outpatient Clinic Substation, Send to: Fiscal Officer, VA 
Medical Center, 7400 Merton Minter Blvd., San Antonio, TX 78284, (512) 
696-9660, ext. 5871
Fiscal Officer, San Antonio Medical Center, 7400 Merton Minter Blvd., 
San Antonio, TX 78284, (512) 696-9660, ext. 5871
San Antonio VA Office, Send to: Fiscal Officer, VA Regional Office, 2515 
Murworth Drive, Houston, TX 77054 (713) 226-4185
San Antonio National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 7400 Merton Minter Blvd., San Antonio, TX 78284, (512) 
696-9660, ext. 5871
San Antonio National Cemetery Area Office, (Fort Sam Houston), Send to: 
Fiscal Officer, VA Medical Center, 7400 Merton Minter Blvd., San 
Antonio, TX 78284, (512) 696-9660, ext. 5871
Fiscal Officer, Temple Medical Center, Temple, TX 76501, (817) 778-4811
Fiscal Officer, Waco Regional Office, 1400 North Valley Mills Drive, 
Waco, TX 76799, (817) 756-6454

    Jurisdiction over all counties in Texas not listed under the Houston 
Regional Office.

Fiscal Officer, Waco Medical Center, Memorial Drive, Waco, TX 76703, 
(817) 752-6581
Waco Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
Memorial Drive, Waco, TX 76703, (817) 752-6581

                                  Utah

Fiscal Officer, Salt Lake City Regional Office, 125 South State Street, 
Salt Lake City, UT 84147, (801) 524-5361
Fiscal Officer, Salt Lake City Medical Center, 500 Foothill Blvd., Salt 
Lake City, UT 85148, (810) 584-1213

                                 Vermont

Fiscal Officer, White River Junction, Medical and Regional Office 
Center, White River Junction, VT 05001, (802) 295-9363, ext. 1034

                                Virginia

Alexandria National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 50 Irving Street, NW., Washington, DC 20422, (202) 745-
8228
Culpeper National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Martinsburg, WV 25401, (304) 263-0811, ext. 3176
Danville National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Salem, VA 24153, (703) 982-2463
Hopewell National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1201 Broad Rock Road, Richmond, VA 23249, (804) 230-1304
Leesburg National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 50 Irving Street, NW., Washington, DC 20422, (202) 745-
8228
Mechanicsville National Cemetery Area Office, Send to: Fiscal Officer, 
VA Medical Center, 1201 Broad Rock Road, Richmond, VA 23249, (804) 230-
1304
Fiscal Officer, Hampton Medical Center, Hampton, VA 23667, (804) 722-
9961
Hampton National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Hampton, VA 23667, (807) 722-9961
Quantico National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 50 Irving Street, NW., Washington, DC 20422, (202) 745-
8228
Fiscal Officer, Richmond Medical Center, 1201 Broad Rock Road, Richmond, 
VA 23249, (804) 230-1304
Richmond National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, 1201 Broad Rock Road, Richmond, VA 23249, (804) 230-1304
Fiscal Officer, Roanoke Regional Office, 210 Franklin Road, SW., 
Roanoke, VA 24011, (703) 982-6116

    Jurisdiction over Fairfax and Arlington Counties and the cities of 
Alexandria, Fairfax, and Falls Church is allocated to the Washington, DC 
Regional Office.

Fiscal Officer, Salem Medical Center, Salem, VA 24153, (703) 982-2463
Sandston national Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center,

[[Page 648]]

1201 Broad Rock Road, Richmond, VA 23249, (804) 231-9011, ext. 205
Staunton National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Salem, VA 24135, (703) 982-2463
Winchester National Cemetery Area Office, Send to: Fiscal Officer, VA 
Medical Center, Martinsburg, WV 25401, (304) 263-0811, ext. 3176

                               Washington

Fiscal Officer, American Lake Medical Center, Tacoma, WA 98493, (206) 
582-8440, ext. 6049
Fiscal Officer, Seattle Regional Office, 915 Second Avenue, Seattle, WA 
98714, (206) 442-5025
Fiscal Officer, Seattle Medical Center, 1160 S. Columbian Way, Seattle, 
WA 98198, (206) 764-2226
Seattle Outpatient Clinic, Send to: Fiscal Officer, VA Medical Center, 
1160 S. Columbia Way, Seattle, WA 98198, (206) 764-2226
Fiscal Officer, Spokane Medical Center--North, 4815 Assembly Street, 
Spokane, WA 99205, (509) 327-0283, ext. 286
Vancouver Medical Center, Send to: Fiscal Officer, VA Medical Center, 
3710 SW U.S. Veterans Hospital Road, Portland, OR 97201, (503) 220-8262, 
ext. 6948

                              West Virginia

Fiscal Officer, Beckley Medical Center, 200 Veterans Avenue, Beckley, WV 
25801, (304) 225-2121, ext. 4174
Fiscal Officer, Clarksburg Medical Center, Clarksburg, WV 26301, (304) 
623-3461, ext. 3389
Grafton National Cemetery Area Office, Fiscal Officer, VA Medical 
Center, Clarksburg, WV 26301, (304) 623-3461, ext. 335
Fiscal Officer, Huntington Regional Office, 640 Fourth Avenue, 
Huntington, WV 25701, (304) 529-5477.

    Jurisdiction over the counties of Brooke, Hancock, Marshall and Ohio 
is allocated to the Pittsburgh, Pennsylvania Regional Office.

Fiscal Officer, Huntington Medical Center, 1540 Spring Valley Drive, 
Huntington, WV 25704, (304) 429-6741, ext. 2422
Fiscal Officer, Martinsburg Medical Center, Martinsburg, WV 25401, (304) 
263-0811, ext. 3176
Wheeling Outpatient Clinic Substation, Fiscal Officer, VA Medical 
Center, University Drive C, Pittsburgh, PA 15240, (412) 683-7675

                                Wisconsin

Fiscal Officer, Madison Medical Center, 2500 Overlook Terrace, Madison, 
WI 53705, (608) 262-7050
Fiscal Officer, Milwaukee (Wood) Regional Office, PO Box 6, Wood, WI 
53193, (414) 671-8121
Fiscal Officer, Tomah Medical Center, Tomah, WI 54660, (608) 372-1786
Fiscal Officer, VA Medical Center, 5000 West National Avenue, Milwaukee, 
WI 53295, (414) 384-2000, ext. 2591
Wood National Cemetery Area Office, Fiscal Officer, VA Medical Center, 
5000 West National Avenue, Milwaukee, WI 53295, (414) 384-2000, ext. 
2591

                                 Wyoming

Fiscal Officer, Cheyenne Medical & Regional, Office Center, 2360 East 
Pershing Blvd., Cheyenne, WY 82001, (307) 672-7339
Fiscal Officer, Sheridan Medical Center, Sheridan, WY 82801, (307) 672-
3473

                     Social Security Administration

    1. For the garnishment of the remuneration of employees:

Garnishment Agent, Office of the General Counsel, Room 611, Altmeyer 
Building, 6401 Security Blvd., Baltimore, MD 21235, (410) 965-4202

    Effective March 30, 1998, garnishment orders for employees of the 
Social Security Administration should be sent to:

Chief, Payroll Operations Division, Attn.: Code D-2640, Bureau of 
Reclamation, Administrative Services Center, Department of the Interior, 
P.O. Box 272030, Denver, CO 80227-9030, (303) 969-7739

    2. For the garnishment of benefits under Title II of the Social 
Security Act, legal process may be served on the office manager at any 
Social Security District or Branch Office. The addresses and telephone 
numbers of Social Security District and Branch Offices may be found in 
the local telephone directory.

                              II. Agencies

(Unless otherwise indicated below, all agencies of the executive branch 
shall be subject to service of legal process brought for the enforcement 
of an individual's obligation to provide child support and/or make 
alimony payments where such service is sent by certified or registered 
mail, return receipt requested, or by personal service, upon the head of 
the agency.)

                  Agency for International Development

    For employees of the Agency for International Development and the 
Trade and Development Program:

Payroll Division, Office of Financial Management (FM/P), U.S. Agency for 
International Development, Room 403 SA-2, Washington, DC 20523, (202) 
663-2011, (fax) (202) 663-2354

[[Page 649]]

                   Arms Control and Disarmament Agency

General Counsel, Arms Control and Disarmament Agency, 320 21st Street, 
NW., Washington, DC 20451, (202) 647-3596

                       Central Intelligence Agency

Office of Personnel Security, Attn: Chief, Special Activities Staff, 
Washington, DC 20505, (703) 482-1217

                       Commission on Civil Rights

Solicitor, Commission on Civil Rights, 624 9th Street, NW., Suite 632, 
Washington, DC 20425, (202) 376-8351

                  Commodity Futures Trading Commission

Director, Office of Personnel, Commodity Futures Trading Commission, 
Three Lafayette Center, Room 7200, 1155 21st Street, NW., Washington, DC 
20581, (202) 418-5003

                   Consumer Product Safety Commission

(Mail Service), General Counsel, Consumer Product Safety Commission, 
Washington, DC 20207-0001, (202) 504-0980
(Personal Service), General Counsel, Consumer Product Safety Commission, 
4330 East West Highway, Room 700, Bethesda, MD 20814-4408, (301) 504-
0980

                     Environmental Protection Agency

Chief, Headquarters Accounting Operations Branch, Financial Management 
Division (3303), Environmental Protection Agency, 401 M Street, SW., 
Washington, DC 20460, (202) 260-5116

                 Export-Import Bank of the United States

General Counsel, Export-Import Bank of the United States, 811 Vermont 
Avenue, NW., Room 947, Washington, DC 20571, (202) 566-8334

                 Equal Employment Opportunity Commission

Director, Financial Management Division, 1801 L Street, NW., Room 2002, 
Washington, DC 20507, (202) 663-4224

                       Farm Credit Administration

Chief, Fiscal Management Division, Farm Credit Administration, 1501 Farm 
Credit Drive, McLean, VA 22102-5090, (703) 883-4122

                  Federal Deposit Insurance Corporation

Counsel, Federal Deposit Insurance Corporation, 550 17th Street, NW., 
Washington, DC 20429, (202) 898-3686

                       Federal Election Commission

Accounting Officer, Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463, (202) 376-5270

                   Federal Emergency Management Agency

Office of General Counsel, General Law Division, 500 C Street, SW., 
Washington, DC 20472, (202) 646-4105

                    Federal Labor Relations Authority

Director of Personnel, Federal Labor Relations Authority, 607 14th 
Street, NW., Suite 430, Washington, DC 20424, (202) 482-6690

                       Federal Maritime Commission

Director of Personnel or Deputy Director of Personnel, Federal Maritime 
Commission, 800 North Capitol Street, NW., Washington, DC 20573, (202) 
523-5773

               Federal Mediation and Conciliation Service

General Counsel, Federal Mediation and Conciliation Service, 2100 K 
Street, NW., Washington, DC 20427, (202) 653-5305

               Federal Retirement Thrift Investment Board

    Payments to Board employees:

Director of Administration, Federal Retirement Thrift Investment Board, 
1250 H Street, NW., Washington, DC 20005, (202) 942-1670

    Benefits from the Thrift Savings Fund:

General Counsel, Federal Retirement Thrift Investment Board, 1250 H 
Street, NW., Washington, DC 20005, (202) 942-1662

                        Federal Trade Commission

    Garnishment orders for employees of the Federal Trade Commission 
should be sent to:

Chief, Payroll Operations Division, Attn.: Code D-2605, Bureau of 
Reclamation, Administrative Services Center, Department of the Interior, 
7201 West Mansfield Avenue, Denver, CO 80227-9030, (303) 969-7739

                     General Services Administration

    Director, Kansas City Finance Division--6BC, 1500 East Bannister 
Road--Room 1107, Kansas City, MO 64131, (816) 926-7625.

                 Harry S. Truman Scholarship Foundation

Chief, Payroll Operations Division, Attention: Mail Code 2640, National 
Business Center, Department of the Interior, P.O. Box 272030, Denver, CO 
80227-9030, (303) 969-7739

                           Institute of Peace

    Garnishment orders for employees of the Institute of Peace should be 
sent to:

General Services Administration, Director, Finance Division--(6BC), 1500 
E. Bannister Road, Room 1107, Kansas City, MO 64131, (816) 926-1666


[[Page 650]]



                     International Trade Commission

Director, Office of Finance and Budget, 500 E Street, SW., Suite 316, 
Washington, DC 20436, (202) 205-2678

                     Merit Systems Protection Board

Director, Financial and Administrative, Management Division 1120 Vermont 
Avenue, NW., Washington, DC 20419, (202) 653-7263.

              National Aeronautics and Space Administration

                            NASA Headquarters

Associate General Counsel (General), Attention: SN Code GG, NASA 
Headquarters, 300 E Street, SW., Washington, DC 20546, (202) 358-2465

                        NASA Field Installations

Chief Counsel, Ames Research Center, Moffett Field, CA 94035, (415) 694-
5055
Chief Counsel, Dryden Flight Research Center, Edwards, CA 93523, (805) 
258-2827
Chief Counsel, Goddard Space Flight Center, (including Wallops Flight 
Center), Greenbelt, MD 20771, (301) 286-9181
Chief Counsel, Johnson Space Center, Houston, TX 77058, (713) 483-3021
Chief Counsel, Kennedy Space Center, Kennedy Space Center, FL 32899, 
(407) 867-2550
Chief Counsel, Langley Research Center, Hampton, VA 23665, (804) 864-
3221
Chief Counsel, Lewis Research Center, Cleveland, OH 44135, (216) 433-
2318
Chief Counsel, Marshall Space Flight center, Marshall Space Flight 
Center, AL 35812, (205) 544-0012
Chief Counsel, John C. Stennis Space Center, Stennis Space Center, MS 
39529-6000, (601) 688-2164

              National Archives and Records Administration

General Counsel (NSL), Room 305 Archives Building, National Archives and 
Records Administration, 7th and Pennsylvania Avenue, NW., Washington, DC 
20408, (202) 501-5535

                  National Capital Planning Commission

Administrative Officer, National Capital Planning Commission, 1325 G 
Street, NW., Washington, DC 20576, (202) 724-0170

                  National Credit Union Administration

General Counsel, Office of General Counsel, 1775 Duke Street, 
Alexandria, VA 22314-3428, (703) 518-6540

                     National Endowment for the Arts

General Counsel, National Endowment for the Arts, 1100 Pennsylvania 
Avenue, NW., Room 522, Washington, DC 20506, (202) 682-5418

                  National Endowment for the Humanities

General Counsel, National Endowment for the Humanities, Room 530, Old 
Post Office, 1100 Pennsylvania Avenue, NW., Washington, DC 20506, (202) 
606-8322

                     National Labor Relations Board

Director of Personnel, National Labor Relations Board, 1099 14th Street, 
NW., Room 6700, Washington, DC 20570-0001, (202) 273-3904

                        National Mediation Board

Administrative Officer, National Mediation Board, 1301 K Street, NW., 
Suite 250 East, Washington, DC 20572, (202) 523-5950

                   National Railroad Adjustment Board

Staff Director/Grievances, National Railroad Adjustment Board, 175 West 
Jackson Boulevard, Chicago, IL 60604, (312) 886-7300

                       National Science Foundation

General Counsel, 4201 Wilson Boulevard, Arlington, VA 22230, (703) 306-
1060

                        National Security Agency

General Counsel, National Security Agency, 9800 Savage Road, Ft. Meade, 
MD 20755-6000, (301) 688-6054

                  National Transportation Safety Board

Director, Personnel and Training Division, National Transportation 
Safety Board, 800 Independence Avenue, SW., Washington, DC 20594, ATTN: 
AD-30, (202) 382-6718

              Navajo and Hopi Indian Relocation Commission

Attorney, Navajo and Hopi Indian Relocation Commission, 201 East Birch, 
Room 11, P.O. Box KK, Flagstaff, AZ 86002, (602) 779-2721

                      Nuclear Regulatory Commission

Controller, Nuclear Regulatory Commission, Washington, DC 20555, (301) 
492-4750

                     Office of Personnel Management

    Payments to OPM employees:

General Counsel, Office of Personnel Management, 1900 E Street, NW., 
Washington, DC 20415, (202) 606-1700

    Payments of retirement benefits under the Civil Service Retirement 
System and the Federal Employees Retirement System:

Associate Director for Retirement and Insurance, Office of Personnel 
Management, Court Ordered Benefits Branch, PO Box 17, Washington, DC 
20044, (202) 606-0218,

                 Overseas Private Investment Corporation

Director, Human Resources Management, Overseas Private Investment 
Corporation,

[[Page 651]]

1100 New York Avenue, NW., Washington, DC 20527, (202) 336-8524

                         Panama Canal Commission

Secretary, Office of the Secretary, International Square, 1825 I Street, 
NW., Suite 1050, Washington, DC 20006-5402, (202) 634-6441

                  Pension Benefit Guaranty Corporation

General Counsel or Deputy General Counsel, 1200 K Street, NW., 
Washington, DC 20005-4026, (202) 326-4020

                             Presidio Trust

Chief, Payroll Operations Division, Attention: Mail Code 2640, National 
Business Center, Department of the Interior, P.O. Box 272030, Denver, 
CO, 80227-9030, (303) 969-7739

                        Railroad Retirement Board

Deputy General Counsel, Bureau of Law, 844 North Rush Street, Chicago, 
IL 60611, (312) 751-4935

                   Securities and Exchange Commission

Branch Chief, Fiscal Operations, Office of the Comptroller, Securities 
and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549, 
(202) 942-0349

                        Selective Service System

General Counsel, 1515 Wilson Boulevard, Arlington, VA 22209-2425, (703) 
235-2050,

                      Small Business Administration

District Director, Birmingham District Office, 908 South 20th Street, 
Birmingham, AL 35205, (205) 254-1344
District Director, Anchorage District Office, 1016 West 6th Avenue, 
Anchorage, AK 99501, (907) 271-4022
District Director, Phoenix District Office, 3030 North Central Avenue, 
Phoenix, AZ 85012, (602) 261-3611
District Director, Little Rock District Office, 611 Gaines Street, 
Little Rock, AR 72201, (501) 378-5871
District Director, Los Angeles District Office, 350 S. Figueroa Street, 
Los Angeles, CA 90071, (213) 688-2956
District Director, San Diego District Office, 880 Front Street, San 
Diego, CA 92188, (714) 291-5440
District Director, San Francisco District Office, 211 Main Street, San 
Francisco, CA 94105, (415) 556-7490
District Director, Denver District Office, 721 19th Street, Denver, CO 
80202, (303) 837-2607
District Director, Hartford District Office, One Financial Plaza, 
Hartford, CT 06106, (203) 244-3600
District Director, Washington District Office, 1030 15th Street, NW., 
Washington DC 20417, (202) 655-4000
District Director, Jacksonville District Office, 400 West Bay Street, 
Jacksonville, FL 32202, (904) 791-3782
District Director, Miami District Office, 222 Ponce De Leon Blvd., Coral 
Gables, FL 33134, (305) 350-5521
District Director, Atlanta District Office, 1720 Peachtree Street, NW., 
Atlanta, GA 30309, (404) 347-2441
District Director, Honolulu District Office, 300 Ala Moana, Honolulu, HI 
96850, (808) 546-8950
District Director, Boise District Office, 1005 Main Street, Boise, ID 
83701, (208) 384-1096
District Director, Des Moines District Office, 210 Walnut Street, Des 
Moines, IA 50309, (515) 284-4433
District Director, Chicago District Office, 219 South Dearborn Street, 
Chicago, IL 60604, (312) 353-4528
District Director, Indianapolis District Office, 575 N. Pennsylvania 
Street, Indianapolis, IN 46204, (317) 269-7272
District Director, Wichita District Office, 110 East Waterman Street, 
Wichita, KS 67202, (316) 267-6571
District Director, Louisville District Office, 600 Federal Place, 
Louisville, KY 40201, (502) 582-5978
District Director, New Orleans District Office, 1001 Howard Avenue, New 
Orleans, LA 70113, (504) 589-6685
District Director, Augusta District Office, 40 Western Avenue, Augusta, 
ME 04330, (207) 622-6171
District Director, Baltimore District Office, 8600 LaSalle Road, Towson, 
MD 21204, (301) 862-4392
District Director, Boston District Office, 150 Causeway Street, Boston, 
MA 02114, (617) 223-2100
District Director, Detroit District, 477 Michigan Avenue, Detroit, MI 
48116, (313) 226-6075
District Director, Minneapolis District Office, 12 South 6th Street, 
Minneapolis, MN 55402, (612) 725-2362
District Director, Jackson District Office, 101 West Capitol Street, 
Suite 400, Jackson, MS 39201, (601) 965-5371
District Director, Kansas City District Office, 1150 Grande Avenue, 
Kansas City, MO 64106, (816) 374-3416
District Director, St. Louis District Office, One Mercantile Center, St. 
Louis, MO 63101, (314) 425-4191
District Director, Helena District Office, 301 South Park Avenue, 
Helena, MT 59601, (406) 449-5381
District Director, Omaha District Office, 19th & Farnum Street, Omaha, 
NE 68102, (404) 221-4691
District Director, Las Vegas District Office, 301 East Stewart, Las 
Vegas, NV 89101, (702) 385-6611

[[Page 652]]

District Director, Concord District Office, 55 Pleasant Street, Concord, 
NH 03301, (603) 224-4041
District Director, Newark District Office, 970 Broad Street, Newark, NJ 
07102, (201) 645-2434
District Director, Albuquerque District Office, 5000 Marble Avenue, NE., 
Albuquerque, NM 87110, (505) 766-3430
District Director, New York District Office, 26 Federal Plaza, New York, 
NY 10007, (212) 264-4355
District Director, Syracuse District Office, 100 South Clinton Street, 
Syracuse, NY 13260, (315) 423-5383
District Director, Charlotte District Office, 230 South Tryon Street, 
Charlotte, NC 28202, (704) 371-6111
District Director, Fargo District Office, 657 2nd Avenue, North, Fargo, 
ND 58108, (701) 237-5771
District Director, Sioux Falls District Office, 101 South Main Avenue, 
Sioux Falls, SD 57102, (605) 336-2980
District Director, Cleveland District Office, 1240 East 9th Street, 
Cleveland, OH 44199, (216) 522-4180
District Director, Columbus District Office, 85 Marconi Boulevard, 
Columbus, OH 43215, (614) 469-6860
District Director, Oklahoma City District Office, 200 NW. 5th Street, 
Oklahoma City, OK 73102, (405) 231-4301
District Director, Portland District Office, 1220 SW. Third Avenue, 
Portland, OR 97204, (503) 221-2682
District Director, Philadelphia District Office, 231 St. Asaphs Road, 
Bala Cynwyd, PA 19004, (215) 597-3311
District Director, Pittsburgh District Office, 1000 Liberty Avenue, 
Pittsburgh, PA 15222, (412) 644-2780
District Director, Hato Rey District Office, Chardon & Bolivia Streets, 
Hato Rey, PR 00918, (809) 753-4572
District Director, Providence District Office, 57 Eddy Street, 
Providence, RI 02903, (401) 528-4580
District Director, Columbia District Office, 1835 Assembly Street, 
Columbia, SC 29201, (803) 765-5376
District Director, Nashville District Office, 404 James Robertson 
Parkway, Nashville, TN 37219, (615) 251-5881
District Director, Dallas District Office, 1100 Commerce Street, Dallas, 
TX 75242, (214) 767-0605
District Director, Houston District Office, 500 Dallas Street, Houston, 
TX 77002, (713) 226-4341
District Director, Lower Rio Grande Valley District Office, 222 East Van 
Buren Street, Harlingen, TX 78550, (512) 423-4534
District Director, Lubbock District Office, 1205 Texas Avenue, Lubbock, 
TX 79401, (806) 762-7466
District Director, San Antonio District Office, 727 East Durango Street, 
San Antonio, TX 78206, (512) 229-6250
District Director, Salt Lake City District Office, 125 South State 
Street, Salt Lake City, UT 84138, (314) 425-5800
District Director, Montpelier District Office, 87 State Street, 
Montpelier, VT 05602, (802) 229-0538
District Director, Richmond District Office, 400 North 8th Street, 
Richmond, VA 23240, (804) 782-2617
District Director, Seattle District Office, 915 Second Avenue, Seattle, 
WA 98174, (206) 442-5534
District Director, Spokane District Office, West 920 Riverside Avenue, 
Spokane, WA 99210, (509) 456-5310
District Director, Clarksburg District Office, 109 North 3rd Street, 
Clarksburg, WV 26301, (304) 623-5631
District Director, Madison District Office, 212 East Washington Avenue, 
Madison, WI 53703, (608) 264-5261
District Director, Casper District Office, 100 East B Street, Casper, WY 
82602, (307) 265-5266

                       Tennessee Valley Authority

    Payments to TVA employees:

Chairman, Board of Directors, Tennessee Valley Authority, 400 West 
Summit Hill Drive, Knoxville, TN 37902, (423) 632-2101

    Payments of retirement benefits under the TVA Retirement System:

Chairman, Board of Directors, TVA Retirement System, 500 West Summit 
Hill Drive, Knoxville, TN 37902, (423) 632-0202

                      Trade and Development Agency

Effective August 3, 1998, garnishment orders for employees of the United 
States Trade and Development Agency should be sent to: Chief, Payroll 
Operations Division, Attn.: Code D-2640, Bureau of Reclamation, 
Administrative Services Center, Department of the Interior, P.O. Box 
272030, Denver, CO 80227-9030, (303) 969-7739.

                    United States Information Agency

Counsel, U.S. Information Agency, 301 4th Street, SW., Washington, DC 
20547, (202) 485-7976

                 United States Soldiers' & Airmen's Home

Assistant General Counsel for Garnishment Operations, Defense Finance 
and Accounting Service, Cleveland Center, Code L (DFAS--CL/L), PO Box 
998002, Cleveland, OH 44199-8002, (216) 522-5301

[[Page 653]]

      III. United States Postal Service and Postal Rate Commission

         United States Postal Service and Postal Rate Commission

Manager, Payroll Processing Branch, 1 Federal Drive, Ft. Snelling, MN 
55111-9650, (612) 293-6300

   IV. The District of Columbia, American Samoa, Guam, and the Virgin 
                                 Islands

                        The District of Columbia

Assistant City Administrator for Financial Management, The District 
Building, Room 412, 14th and Pennsylvania Avenue, NW, Washington, DC 
20004, (202) 727-6979

                             American Samoa

Director of Administrative Service, American Samoa government, Pago 
Pago, American Samoa 96799, (684) 633-4155

                                  Guam

Attorney General, PO Box DA, Agana, Guam 96910, 472-6841 (Country Code 
671)

                           The Virgin Islands

Attorney General, PO Box 280, St. Thomas, VI 00801, (809) 774-1163

                           V. Instrumentality

                         Smithsonian Institution

    For service of process in garnishment proceedings for child support 
and/or alimony of present Smithsonian Institution employees:

General Counsel, The Smithsonian Institution, MRC 012, 1000 Jefferson 
Drive, SW., Washington, DC 20560, (202) 357-2583

    For service of process in garnishment proceedings for child support 
and/or alimony involving retirement annuities of former trust fund 
employees of the Smithsonian Institution:

General Counsel, Teachers Insurance and Annuity Association of America, 
College Retirement Equity Fund (TIAA/CREF), 730 Third Avenue, New York, 
NY 10017, (212) 490-9000

                  VI. Executive Office of the President

                    Executive Office of the President

Garnishment orders for civilian employees of the Executive Office of the 
President should be sent to: Assistant General Counsel for Garnishment 
Operations, Defense Finance and Accounting Service, Cleveland Center--
Code L (DFAS-CL/L), P.O. Box 998002, Cleveland, OH 44199-8002, (216) 
522-5301.

[63 FR 14759, Mar. 26, 1998; 63 FR 34777, June 26, 1998; 63 FR 56537, 
Oct. 22, 1998]

  Appendix B to Part 581--List of Agents Designated to Facilitate the 
              Service of Legal Process on Federal Employees

    (The agents designated to accept legal process for the garnishment 
of the remuneration for employment due from the United States are listed 
in appendix A to part 581. Appendix B to part 581 lists the agents 
designated to assist in the service of legal process in civil actions 
pursuant to orders of State courts to establish paternity and to 
establish or to enforce support obligations by making Federal employees 
and members of the Uniformed Services available for service of process, 
regardless of the location of the employee's workplace or of the 
member's duty station. Agents are listed in appendix B only for those 
executive agencies where the designations differ from those found in 
appendix A to part 581.)

                          Department of Defense

    The Department of Defense officials identified pursuant to Executive 
Order 12953, section 302, shall facilitate an employee's or member's 
availability for service of process. Additionally, these officials shall 
be responsible for answering inquiries about their respective 
organization's service of process rules. Such officials are not 
responsible for actual service of process and will not accept requests 
to make such service.

                   Office of the Secretary of Defense

Personnel Management Specialist, DoD Civilian Personnel Management 
Service, 1400 Key Blvd., Level A, Arlington, VA 22209

                         Department of the Army

    Members of the uniformed service, active, reserve, and retired.

Office of the Judge Advocate General, ATTN: DAJA-LA, 2200 Army Pentagon, 
Washington, DC 20310-2200, (703) 697-3170.

    Federal civilian employees of the Army, both appropriated fund and 
nonappropriated fund.

Deputy Assistant Secretary, (Civilian Personnel Policy/Director of 
Civilian Personnel), 111 Army Pentagon, Washington, DC 20310-0111, (703) 
695-4237

    Active duty, reserve, and appropriated fund and nonappropriated fund 
employees of the Department of the Army employed within the United 
States.
    Appropriated fund and nonappropriated fund Federal civilian 
employees employed in Panama.

Deputy Chief of Staff for Resource Management, U.S. Army Southern 
Command, Finance & Accounting Office, Civilian Personnel Section, ATTN: 
Unit 7153, SORM-FA-C, APO AA 34004

[[Page 654]]

                         Department of the Navy

    In order to locate, or determine the cognizant command and mailing 
address of a Navy Member:

Bureau of Naval Personnel, Worldwide Locator, (Pers 324D), 2 Navy Annex, 
Washington, DC 20370-3000, (703) 614-3155/5011

    In order to obtain assistance in the service of legal process in 
civil actions pursuant to orders of State courts:

Bureau of Naval Personnel, Office of Legal Counsel (Pers 06), 2 Navy 
Annex, Washington, DC 20370-5006, (703) 614-4110

                       Members of the Marine Corps

Paralegal Specialist, Headquarters, U.S. Marine Corps (JAR), 2 Navy 
Annex, Washington, DC 20380-1775, (703) 614-2510

    For assistance in service of process on Department of the Navy 
civilian employees:

Department of the Navy, Office of Civilian Personnel Mgmt., Office of 
Counsel (Code OL), 800 N. Quincy Street, Arlington, VA 2203, (703) 696-
4717

                       Department of the Air Force

    For all military and civilian personnel:

AFLSA/JACA, 1420 Air Force Pentagon, Washington, DC 20330-1420, (703) 
695-2450

                       Defense Intelligence Agency

Defense Intelligence Agency, ATTN: Office of the General Counsel, The 
Pentagon--Room 2E-238, Washington, DC 20301-7400

                         Defense Mapping Agency

Defense Mapping Agency, Office of Legal Services, 3200 South Second 
Street, St. Louis, MO 63118

                         Defense Nuclear Agency

Associate General Counsel, Defense Nuclear Agency, 6801 Telegraph Road, 
Alexandria, VA 22310-3398, (703) 325-7681

                        On-Site Inspection Agency

General Counsel, Defense Nuclear Agency, 6801 Telegraph Road, 
Alexandria, VA 22310-3398, (703) 325-7681

               Department of Housing and Urban Development

                              Headquarters

Chief, Systems Support Branch, Technology Support Division, 451 7th 
Street, SW., Room 2256, Washington, DC 20410, (202) 708-0241

New England (Massachusetts, Maine, Vermont, New Hampshire, Rhode Island, 
                            and Connecticut)

Human Resources Officer, Thomas P. O'Neill, Jr., Federal Building, 10 
Causeway Street, Room 375, Boston, MA 02222, (617) 565-5435

                          New York, New Jersey

Human Resources Officer, 26 Federal Plaza, New York, NY 10278, (212) 
264-0782

  Mid-Atlantic (Pennsylvania, Maryland, Washington, DC, West Virginia, 
                         Virginia, and Delaware)

Human Resources Officer, The Wanamaker Building, 100 Penn Square East, 
Philadelphia, PA 19107, (215) 656-0593

Southwest (Georgia, North Carolina, Kentucky, Tennessee, South Carolina, 
             Alabama, Mississippi, Puerto Rico, and Florida)

Human Resources Officer, Richard B. Russell Federal Building, 75 Spring 
Street, SW., Atlanta, GA 30303, (404) 331-4078

  Midwest (Illinois, Minnesota, Wisconsin, Michigan, Ohio, and Indiana)

Human Resources Officer, Ralph H. Metcalfe Federal Building, 77 West 
Jackson Boulevard, Chicago, IL 60604, (312) 353-5960

    Southwest (Texas, Oklahoma, Arkansas, Louisiana, and New Mexico)

Human Resources Officer, 1600 Throckmorton, Post Office Box 2905, Fort 
Worth, TX 76113, (817) 885-5471

           Great Plains (Kansas, Missouri, Iowa, and Nebraska)

Human Resources Officer, Gateway Tower II, 400 State Avenue, Kansas 
City, KS 66101, (913) 551-5419

Rocky Mountain (Colorado, Montana, North Dakota, South Dakota, Wyoming, 
                                and Utah)

Human Resources Officer, First Interstate Tower North, 633 17th Street, 
Denver, CO 80202, (303) 672-5259

        Pacific/Hawaii (California, Nevada, Arizona, and Hawaii)

Human Resources Officer, Phillip Burton Federal Building and U.S. 
Courthouse, 450 Golden Gate Avenue, Post Office Box 36003, San 
Francisco, CA 94102, (415) 556-7142

        Northwest/Alaska (Washington, Oregon, Idaho, and Alaska)

Human Resources Officer, Federal Office Building, 909 First Avenue, 
Suite 200, Seattle, WA 98104, (206) 220-5125

[[Page 655]]

                      Department of Transportation

HPT-1 (FHWA), Room 4317, Department of Transportation, Washington, DC 
20590
G-PC (USCG), Room 4100E, CGHQ, Department of Transportation, Washington, 
DC 20590
RAD-10 (FRA), Room 8232, Department of Transportation, Washington, DC 
20590
NAD-20 (NHTSA), Room 5306, Department of Transportation, Washington, DC 
20590
TAD-30 (FTA), Room 7101, Department of Transportation, Washington, DC 
20590
DMA-12 (RSPA), Room 8401, Department of Transportation, Washington, DC 
20590
JM-20 (OIG), Room 7418, Department of Transportation, Washington, DC 
20590
MAR-360 (MARAD), Room 8101, Department of Transportation, Washington, DC 
20590
Personnel Officer (SLSDC), 180 Andrews Street, Masena, NY 13662-1763
AHR-1 (FAA), FOB-10A, Room 500E, Department of Transportation, 
Washington, DC 20590
Chief Counsel, Saint Lawrence Seaway Development Corporation, 400 
Seventh St., SW., Room 5424, Washington, DC 20590

                     Department of Veterans Affairs

                                 Alabama

Human Resources Management Officer, Birmingham Medical Center, 700 South 
19th Street, Birmingham, AL 35233, (205) 933-4478
Montgomery Regional Office, Send to: VBA Southern Area Human Resources, 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Human Resources Management Officer, Montgomery Medical Center, 215 Perry 
Hill Road, Montgomery, AL 36109-3798, (334) 272-4670
Human Resources Management Officer, Tuskegee Medical Center, 2400 
Hospital Road, Tuskegee, AL 36083-5001, (334) 727-0550
Human Resources Management Officer, Tuscaloosa Medical Center, 3701 Loop 
Road, Tuscaloosa, AL 35404, (205) 554-2000, ext. 2542
Fort Mitchell National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 2400 Hospital Road, Tuskegee, AL 36083-5001, 
(334) 727-0550
Mobile Outpatient Clinic Substation, Send to: Human Resources Management 
Officer, VA Medical Center, 400 Veterans Blvd., Biloxi, MS 39531, (601) 
388-5541, ext. 5780

                                 Alaska

Fort Richardson (Sitka) National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center & Regional Office, 2925 DeBarr 
Road, Anchorage, AK 99508-2989, (907) 257-4750
Human Resources Management Officer, Anchorage Medical Center & Regional 
Office, 2925 DeBarr Road, Anchorage, AK 99508-2989, (907) 257-4750

                                 Arizona

Human Resources Management Officer, Prescott Medical Center, 500 N. 
Highway 89, Prescott, AZ 86313-5000, (520) 776-6015
Prescott National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 500 N. Highway 89, Prescott, AZ 
86313-5000, (520) 776-6015
Human Resources Management Officer, Phoenix Medical Center, 650 E. 
Indian School Road, Phoenix, AZ 85012, (602) 277-5551, ext. 7594
Human Resources Management Officer, Tucson Medical Center, 3601 South 
Sixth Avenue, Tuscon, AZ 85723-0001, (520) 629-1803
Phoenix Regional Office, Send to: VBA Western Area Human Resources, 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
Arizona (Cave Creek) Memorial National Cemetery, Send to: Human 
Resources Management Officer, VA Medical Center, 650 E. Indian School 
Road, Phoenix, AZ 85012, (602) 277-5551, ext. 7594

                                Arkansas

Fayetteville National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 1100 N. College Avenue, Fayetteville, AR 
72703, (501) 444-5020
Fort Smith National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 1100 N. College Avenue, Fayetteville, AR 
72703, (501) 444-5020
Little Rock National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 4300 West 7th Street, Little Rock, AR 72114, 
(501) 370-6677
Little Rock Regional Office, Send to: VBA Southern Area Human Resources, 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Human Resources Management Officer, Little Rock Medical Center, 4300 
West 7th Street, Little Rock, AR 72114, (501) 370-6677
Human Resources Management Officer, Fayetteville Medical Center, 1100 N. 
College Avenue, Fayetteville, AR 72703, (501) 444-5020

                               California

Human Resources Management Officer, Palo Alto Medical Center, 3801 
Miranda Avenue, Palo Alto, CA 94304-1207, (415) 493-5000, ext. 5515
Human Resources Management Officer, Loma Linda Medical Center, 11201 
Benton Street, Loma Linda, CA 92357-0002, (909) 825-7084, ext. 3058

[[Page 656]]

San Diego Regional Office, Send to: VBA Western Area Human Resources, 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
Sepulveda VCS Western Region, Send to: Human Resources Management 
Officer, VA Medical Center, 16111 Plummer Street, Sepulveda, CA 91343-
2099, (818) 895-9377
Human Resources Management Officer, San Francisco Medical Center, 4150 
Clement Street, San Francisco, CA 94121-1598, (415) 750-2107
Human Resources Management Officer, Fresno Medical Center, 2615 E. 
Clinton Avenue, Fresno, CA 93703-2223, (209) 225-6100, ext. 5005
Human Resources Management Officer, San Diego Medical Center, 3350 La 
Jolla Village Drive, San Diego, CA 92161-0001, (619) 552-8585
Oakland Regional Office, Send To: VBA Western Area Human Resources, 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
Human Resources Management Officer, Sepulveda Medical Center, 16111 
Plummer Street, Sepulveda, CA 91343-2099, (818) 895-9377
Human Resources Management Officer, Los Angeles, Medical Center, 
Wilshire & Sawtelle Blvds., Los Angeles, CA 90073, (310) 824-3153
Los Angeles Field Office of Audit, Send to: Human Resources Management 
Officer, VA Medical Center, Wilshire & Sawtelle Blvds., Los Angeles, CA 
90073, (310) 824-3153
Los Angeles Regional Office of Audit, Send to: Human Resources 
Management Officer, VA Medical Center, Wilshire & Sawtelle Blvds., Los 
Angeles, CA 90073, (310) 824-3153
Human Resources Management Office, Los Angeles Outpatient Clinic, 351 E. 
Temple St., Los Angeles, CA 90012-3328, (213) 253-2677
Pleasant Hill Northern California System of Clinics, Human Resources 
Management Officer, 2300 Contra Costa Blvd., Suite 440, Pleasant Hills, 
CA 94523-3961, (510) 372-2008
Human Resources Management Officer, Long Beach Medical Center, 5901 E. 
Seventh Street, Long Beach, CA 90882-5201, (310) 494-5642
Los Angeles Regional Office, Send To: VBA Western Area Human Resources 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
San Bruno (Golden Gate) National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, 4150 Clement Street, San 
Francisco, CA 94121-1598, (415) 750-2107
Fort Rosecrans National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 3350 La Jolla Village Drive, San Diego, CA 
92161-0001, (619) 552-8585
Los Angeles National Cemetery, Send to Human Resources Management 
Office, VA Medical Center, Wilshire & Sawtelle Blvds., Los Angeles, CA 
90073, (310) 824-3153
San Joaquin Valley National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, 2615 E. Clinton Avenue, Fresno, 
CA 93703-2223, (209) 225-6100, ext. 5005
Riverside National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 11201 Benton Street, Loma Linda, CA 92357-
0002, (909) 825-7084, ext. 3058
San Francisco National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 4150 Clement Street, San Francisco, CA 
94121-1598, (415) 750-2107
San Diego Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 3350 La Jolla Village Drive, San Diego, CA 
92161-0001, (619) 552-8585

                                Colorado

Human Resources Management Officer, Grand Junction Medical Center, 2121 
North Avenue, Grand Junction, CO 81501, (970) 252-0731, ext. 2062
Human Resources Management Officer, Denver Medical Center, 1055 Clermont 
Street, Denver, CO 80220-0166, (303) 393-2815
Denver Regional Office, Sent to: VBA Western Area Human Resources 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
Human Resources Management Officer, Fort Lyon Medical Center, Fort Lyon, 
CO 81038-5000, (719) 384-3190
Fort Logan National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 1055 Clermont Street, Denver, CO 80220-0166, 
(303) 393-2815
Denver National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1055 Clermont Street, Denver, CO 
80220-0166, (303) 393-2815
VBA Western Area Human Resources Management Office, Human Resources 
Management Director, 12600, W. Colfax Ave., Suite C-300, Lakewood, CO 
80215, (303) 231-5855
Denver Civilian Health and Medical Program (CHAMPVA), Human Resources 
Management Officer, 300 S. Jackson St., Denver, CO 80206, (303) 331-7514
Denver Distribution Center, Send to: VBA Western Area Human Resources, 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215 (303) 231-5855

                               Connecticut

Hartford Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human

[[Page 657]]

Resources Management Director, 31 Hopkins Plaza, Baltimore, MD 21202-
2004, (410) 962-4090
Human Resources Management Officer, Newington Medical Center, 555 
Willard Avenue, Newington, CT 06111, (203) 667-6710
Human Resources Management Officer, West Haven Medical Center, 950 
Campbell Avenue, West Haven, CT 06516, (203) 932-5711

                          District of Columbia

Human Resources Management Officer, Washington DC Medical Center, 50 
Irving Street, NW., Washington, DC 20422, (202) 745-8200
Director, Central Office Human Resources, Management Service, VA Central 
Office, 810 Vermont Ave., NW., Washington, DC 20420, (202) 273-4950
Washington DC Regional Office, Sent to: Eastern Area Servicing 
Assistance Center, Human Resources Management Director, 31 Hopkins 
Plaza, Baltimore, MD 21202-2004, (410) 962-4090

                                Delaware

Human Resources Management Officer, Wilmington Medical and Regional 
Office Center, 1601 Kirkwood Highway, Wilmington, DE 19805, (302) 633-
5340

                                 Florida

Pensacola (Barrancas) National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, 400 Veterans Blvd., Biloxi, MS 
39531, (601) 388-5541, ext. 5780
Human Resources Management Officer, Bay Pines Medical Center, 10000 Bay 
Pines Blvd., Bay Pines, FL 33504, (813) 398-6661, ext. 4116
Florida National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 13000 Bruce B. Downs Blvd., Tampa, FL 33612, (813) 
972-7524
Riviera Beach Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 1201 Northwest 16th Street, Miami, FL 33125, 
(305) 324-4455, ext. 3343
Orlando Outpatient Clinic, Send to: Human Resources Management Officer, 
VA Medical Center, 13000 Bruce B. Downs Blvd., Tampa, FL 33612, (813) 
972-7524
Miami VA Office, Send to: VBA Southern Area Human Resources, Management 
Office, Human Resources Management Director, 6508 Dogwood Parkway, Suite 
E, Jackson, MS 39213, (601) 965-4140
Jacksonville VA Office, Send to: VBA Southern Area Human Resources, 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Jacksonville Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 1601 SW Archer Road, Gainesville, FL 32608-
1197, (904) 374-6045
Daytona Beach Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 1601 SW Archer Road, Gainesville, FL 32608-
1197, (904) 374-6045
Jacksonville Vet Center, Send to: Human Resources Management Officer,
VA Medical Center, 1601 SW Archer Road, Gainesville, FL 32608-1197, 
(904) 374-6045
Human Resources Management Officer, Tampa Medical Center, 13000 Bruce B. 
Downs Blvd., Tampa, FL 33612, (813) 972-7524
Bay Pines National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 10000 Bay Pines Blvd., Bay Pines, FL 33504, 
(813) 398-6661, ext. 4116
Human Resources Management Officer, Gainesville Medical Center, 1601 SW 
Archer Road, Gainesville, FL 32608-1197, (904) 374-6045
St. Petersburg Regional Office, Send to: VBA Southern Area Human 
Resources Management Office, 6508 Dogwood Parkway, Suite E, Jackson, MS 
39213, (601) 965-4140
Human Resources Management Officer, Palm Beach Gardens Medical Center, 
P.O. Box 33207, Palm Beach Gardens, FL 33420, (407) 691-8251
Human Resources Management Officer, Miami Medical Center, 1201 Northwest 
16th Street, Miami, FL 33125, (305) 324-4455, ext. 3343
Human Resources Management Officer, Lake City Medical Center, 801 S. 
Marion Street, Lake City, FL 32025-5898, (904) 755-3016

                                 Georgia

Marietta National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 1670 Clairmont Road, Decatur, GA 30033, (404) 728-
7636
Atlanta Veterans Canteen Service Field Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1670 Clairmont Road, Decatur, GA 
30033, (404) 728-7636
Human Resources Management Officer, Augusta Medical Center, 1 Freedom 
Way, Augusta, GA 30904-6285, (706) 823-3955
Human Resources Management Officer, Dublin Medical Center, 1826 Veterans 
Blvd., Dublin, GA 31021, (912) 277-2753
Atlanta Field Office of Audit, Send to: VBA Southern Area Human 
Resources Management Office, Human Resources Management Director, 6508 
Dogwood Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Atlanta National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1670 Clairmont Road, Decatur, GA 
30033, (404) 728-7636
Human Resources Management Officer, Atlanta Medical Center, 1670 
Clairmont Road, Decatur, GA 30033, (404) 728-7636

[[Page 658]]

Income Verification Match Center, Send to: Human Resources Management 
Officer, VA Medical Center, 1670 Clairmont Road, Decatur, GA 30033, 
(404) 728-7636
Atlanta Regional Office, Send to: VBA Southern Area Human Resources, 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140

                                 Hawaii

Human Resources Management Officer, Honolulu Medical and Regional Office 
Center, 300 Ala Moana Blvd., P.O. Box 50188, Honolulu, HI 96850, (808) 
566-1470
Pacific Memorial National Cemetery, Send to: Human Resources Management 
Officer, VA Medical and Regional Office Center, 300 Ala Moana Blvd., 
P.O. Box 50188, Honolulu, HI 96850, (808) 566-1470

                                  Idaho

Human Resources Management Officer, Boise Medical Center, 500 W. Fort 
Street, Boise, ID 83702-4598, (208) 338-7218
Boise Regional Office, Send to: VBA Western Area Human Resources, 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855

                                Illinois

Human Resources Management Officer, North Chicago Medical Center, 3001 
Green Bay Road, North Chicago, IL 60064, (708) 578-3763
Human Resources Management Office, Hines Medical Center, Edward Hines 
Jr. Hospital, 5th Avenue & Roosevelt Road, Hines, IL 60141, (708) 216-
2601
Rock Island National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, Highway 6 West, Iowa City, IA 52246, (319) 
338-0581, ext. 7720
Danville National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 1900 E. Main Street, Danville, IL 61832, (217) 431-
6548
Human Resources Management Officer, Chicago Lakeside Medical Center, 333 
E. Huron Street, Chicago, IL 60611, (312) 943-6600
Camp Butler National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 1900 E. Main Street, Danville, IL 61832, 
(217) 431-6548
Hines Systems Delivery Center, Send to: Human Resources Management 
Officer, Hines Benefits Delivery Center, PO Box 27 (901A1), Hines, IL 
60141, (708) 681-6680
Human Resources Management Officer, Chicago Medical Center, 820 South 
Damen Avenue, PO Box 8195, Chicago, IL 60680, (312) 633-2174
Chicago Regional Office, Send to: VBA Central Area Human Resources 
Management Office, Human Resources Management Director, 38701 Seven Mile 
Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Human Resources Management Officer, Marion Medical Center, 2401 W. Main 
Street, Marion, IL 62959, (618) 997-5311, ext. 4116
Hines Finance Center, Send to: Human Resources Management Officer, Hines 
Benefits Delivery Center, PO Box 27 (901A1), Hines, IL 60141, (708) 681-
6680
Human Resources Management Officer, Danville Medical Center, 1900 E. 
Main Street, Danville, IL 61832, (217) 431-6548
Hines National Acquisition Center, Send to: Human Resources Management 
Officer, Hines Benefits Delivery Center, PO Box 27 (901A1), Hines, IL 
60141, (708) 681-6680
Hines Benefits Delivery Center, Human Resources Management Officer, PO 
Box 27 (901A1), Hines, IL 60141, (708) 681-6680
Alton National Cemetery Area Office, Send to: Human Resources Management 
Officer, VA Medical Center, Jefferson Barracks, St. Louis, MO 63106, 
(314) 894-6620
Mound City National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 2401 W. Main Street, Marion, IL 
62959, (618) 997-5311, ext. 4116
Quincy National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, Highway 6 West, Iowa City, IA 
52246, (319) 338-0581, ext. 7720

                                 Indiana

Marion National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 1700 East 38th, Marion, IN 46953-4589, (317) 677-3101
Human Resources Management Officer, Marion Medical Center, 1700 East 
38th, Marion, IN 46953-4589, (317) 677-3101
Human Resources Management Officer, Indianapolis Medical Center, 1481 
West 10th Street, Indianapolis, IN 46202, (317) 267-8758
Human Resources Management Officer, Fort Wayne Medical Center, 2121 Lake 
Avenue, Fort Wayne, IN 46805-5100, (219) 460-1342
Indianapolis Regional Office, Send to: VBA Central Area Human Resources 
Management Office, Human Resources Management Director, 38701 Seven Mile 
Road, Suite 345, Livonia, MI 48152, (313) 953-8830
New Albany National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 800 Zorn Avenue, Louisville, KY 40206, (502) 
895-3401, ext. 5866
Evansville Outpatient Clinic Substation, Send to: Human Resources 
Management Officer, VA Medical Center, 2401 W. Main Street, Marion, IL 
62959, (618) 997-5311, ext. 4116
Indianapolis National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1481 West 10th Street, 
Indianapolis, IN 46202, (317) 267-8758

[[Page 659]]

                                  Iowa

Des Moines Regional Office, Send to: VBA Central Area Human Resources 
Management Office, Human Resources Management Director, 38701 Seven Mile 
Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Keokuk National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, Highway 6 West, Iowa City, IA 52246, (319) 338-0581, 
ext. 7720
Human Resources Management Officer, Knoxville Medical Center, 1515 W. 
Pleasant Street, Knoxville, IA 50138, (515) 842-3101, ext. 6219
Human Resources Management Officer, Des Moines Medical Center, 3600 30th 
Street, Des Moines, IA 50310, (515) 271-5812
Human Resources Management Officer, Iowa City Medical Center, Highway 6 
West, Iowa City, IA 52246, (319) 338-0581, ext. 7720

                                 Kansas

Human Resources Management Officer, Topeka Medical Center, 2200 Gage 
Blvd., Topeka, KS 66622, (913) 271-4310
Human Resources Management Officer, Leavenworth Medical Center, 4101 S. 
4th St. Trafficway, Leavenworth, KS 66048, (913) 682-2000, ext. 2500
Leavenworth National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 4101 S. 4th St. Trafficway, Leavenworth, KS 
66048, (913) 682-2000, ext 2500
Human Resources Management Officer, Wichita Medical and Regional Office 
Center, 901 George Washington Blvd., Wichita, KS 67211, (316) 651-3625
Fort Scott National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 4101 S. 4th St. Trafficway, Leavenworth, KS 
66048, (913) 682-2000, ext. 2500
Ft. Leavenworth National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 4101 S. 4th St. Trafficway, 
Leavenworth, KS 66048, (913) 682-2000, ext. 2500

                                Kentucky

Nicholasville (Camp Nelson) National Cemetery Area Office, Send to: 
Human Resources Management Officer, VA Medical Center, 2250 Leestown 
Road, Lexington, KY 40511-1093, (606) 281-3924
Zachary Taylor National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 800 Zorn Avenue, Louisville, KY 
40206, (502) 895-3401, ext. 5866
Human Resources Management Officer, Louisville Medical Center, 800 Zorn 
Avenue, Louisville, KY 40206, (502) 895-3401, ext. 5866
Lebanon National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 800 Zorn Avenue, Louisville, KY 
40206, (502) 895-3401, ext. 5866
Louisville Regional Office, Send to: VBA Central Area Human Resources 
Management Office, Human Resources Management Director, 38701 Seven Mile 
Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Cave Hill National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 800 Zorn Avenue, Louisville, KY 
40206, (502) 895-3401, ext. 5866
Human Resources Management Officer, Lexington Medical Center, 2250 
Leestown Road, Lexington, KY 40511-1093, (606) 281-3924
Danville National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 2250 Leestown Road, Lexington, KY 
40511-1093, (606) 281-3924
Lexington National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 2250 Leestown Road, Lexington, KY 
40511-1093, (606) 281-3924
Nancy National Cemetery Area Office, Send to: Human Resources Management 
Officer, VA Medical Center, 2250 Leestown Road, Lexington, KY 40511-
1093, (606) 281-3924
Perryville National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 2250 Leestown Road, Lexington, KY 
40511-1093, (606) 281-3924

                                Louisiana

Human Resources Management Officer, New Orleans Medical Center, 1601 
Perdido Street, New Orleans, LA 70146, (504) 568-0811
Port Hudson (Zachary) National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, 1601 Perdido Street, New Orleans, 
LA 70146, (504) 568-0811
Human Resources Management Officer, Alexandria Medical Center, Highway 
171, Alexandria, LA 71301, (318) 473-0010, ext. 2262
Human Resources Management Officer, Shreveport Medical Center, 510 E. 
Stoner Avenue, Shreveport, LA 71101-4295, (318) 424-6028
Alexandria (Pinesville) National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, Highway 171, Alexandria, LA 
71301, (318) 473-0010, ext. 2262
New Orleans Regional Office, Send to: VBA Southern Area Human Resources 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Baton Rouge National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1601 Perdido Street, New Orleans, 
LA 70146, (504) 568-0811
Shreveport VA Office, Send to: VBA Southern Area Human Resources 
Management

[[Page 660]]

Office, Human Resources Management Director, 6508 Dogwood Parkway, Suite 
E, Jackson, MS 39213, (601) 965-4140

                                  Maine

Human Resources Management Officer, Togus Medical and Regional Office 
Center, Togus, ME 04330, (207) 623-5713
Portland VA (Vet Center) Office, Send to: Human Resources Management 
Officer, VA Medical and Regional Office Center, Togus, ME 04330, (207) 
623-5713
Togus National Cemetery Area Office, Send to: Human Resources Management 
Officer, VA Medical and Regional Office Center, Togus, ME 04330, (207) 
623-5713

                                Maryland

Human Resources Management Officer, Ft. Howard Medical Center, 9600 N. 
Point Road, Ft. Howard, MD 21052, (410) 687-8343
Ft. Howard VCS Eastern Region, Send to: Human Resources Management 
Officer, VA Medical Center, 9600 N. Point Road, Ft. Howard, MD 21052, 
(410) 687-8343
Baltimore Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human Resources Management Director, 31 Hopkins Plaza, 
Baltimore, MD 21202-2004, (410) 962-4090
Human Resources Management Officer, Baltimore Medical Center, 10 N. 
Greene Street, Baltimore, MD 21201, (410) 605-7200
Baltimore National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 10 N. Greene Street, Baltimore, MD 21201, 
(410) 605-7200
Eastern Area Servicing Assistance Center, Human Resources Management 
Director, 31 Hopkins Plaza, Baltimore, MD 21202-2004, (410) 962-4090
Human Resources Management Officer, Perry Point Medical Center, Building 
101, Perry Point, MD 21902, (410) 642-2411, ext. 5193
Baltimore Rehabilitation, Research and Development Center, Send to: 
Human Resources Management Officer, VA Medical Center, 10 N. Greene 
Street, Baltimore, MD 21201, (410) 605-7200
Annapolis National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 10 N. Greene Street, Baltimore, 
MD 21201, (410) 605-7200
Baltimore Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 10 N. Greene Street, Baltimore, MD 21201, 
(410) 605-7200
Hyattsville Field Office of Audit, Send to: Director, CO Human Resources 
Management Service, VA Central Office, 810 Vermont Ave., NW., 
Washington, DC 20420, (202) 273-4950

                              Massachusetts

Human Resources Management Officer, Boston Medical Center, 150 S. 
Huntington Ave., Boston, MA 02130, (617) 232-9500, ext. 5561
Human Resources Management Officer, Northampton Medical Center, 
Northampton, MA 01060-1288, (413) 582-3027
Boston Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human Resources Management Director, 31 Hopkins Plaza, 
Baltimore, MD 21202-2004, (410) 962-4090
Human Resources Management Officer, Bedford Medical Center, 200 Springs 
Road, Bedford, MA 01730, (617) 275-7500, ext. 2367
Bourne National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 940 Belmont Street, Brockton, MA 02401, (508) 583-
4500, ext. 3260
Human Resources Management Officer, Brockton Medical Center, 940 Belmont 
Street, Brockton, MA 02401, (508) 583-4500, ext. 3260
Boston Outpatient Clinic, Send to: Human Resources Management Officer, 
VA Medical Center, 150 S. Huntington Ave., Boston, MA 02130, (617) 232-
9500, ext. 5561
Lowell Outpatient Clinic, Send to: Human Resources Management Officer, 
VA Medical Center, 150 S. Huntington Ave., Boston, MA 02130, (617) 232-
9500, ext. 5561
New Bedford Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 830 Chalkstone Avenue, Providence, RI 02908-
4799, (401) 457-3072
Springfield Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, Northampton, MA 01060-1288, (413) 582-3027
Springfield VA Office, Send to: Eastern Area Servicing Assistance 
Center, Human Resources Management Director, 31 Hopkins Plaza, 
Baltimore, MD 21202-2004, (410) 962-4090
West Roxbury Medical Center, Send to: Human Resources Management 
Officer, VA Medical Center, 940 Belmont Street, Brockton, MA 02401, 
(508) 583-4500, ext. 3260
Worchester Outpatient Clinic Substation, Send to: Human Resources 
Management Officer, VA Medical Center, 940 Belmont Street, Brockton, MA 
02401, (508) 583-4500, ext. 3260

                                Michigan

Fort Custer National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 5500 Armstrong Rd., Battle Creek, MI 49016, 
(616) 966-5600, ext. 3600
Grand Rapids Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 5500 Armstrong Rd., Battle Creek, MI 49016, 
(616) 966-5600, ext. 3600
Detroit Regional Office, Send to: VBA Central Area Human Resources 
Management

[[Page 661]]

Office, Human Resources Management Director, 38701 Seven Mile Road, 
Suite 345, Livonia, MI 48152, (313) 953-8830
Human Resources Management Officer, Battle Creek Medical Center, 5500 
Armstrong Rd., Battle Creek, MI 49016, (616) 966-5600, ext. 3600
Human Resources Management Officer, Saginaw Medical Center, 1500 Weiss 
Street, Saginaw, MI 48602, (517) 793-2340, ext. 3070
VBA Central Area Human Resources Management Office, Human Resources 
Management Director, 38701 Seven Mile Road, Suite 345, Livonia, MI 
48152, (313) 953-8830
Human Resources Management Officer, Iron Mountain Medical Center, H 
Street, Iron Mountain, MI 49801, (906) 774-3300, ext. 2280
Human Resources Management Officer, Ann Arbor Medical Center, 2215 
Fuller Rd., Ann Arbor, MI 28105, (313) 761-7938
Human Resources Management Officer, Allen Park Medical Center, 
Southfield & Outer Drive, Allen Park, MI 48101, (313) 562-6000, ext. 
3323

                                Minnesota

St. Paul Regional Office and Insurance Center, Send to: VBA Central Area 
Human Resources, Management Office, Human Resources Management Director, 
38701 Seven Mile Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Fort Snelling National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, One Veterans Drive, Minneapolis, MN 55417, 
(612) 725-2061
Fort Snelling Debt Management Center, Send to: VBA Central Area Human 
Resources Management Office, Human Resources Management Director, 38701 
Seven Mile Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Human Resources Management Officer, Minneapolis Medical Center, One 
Veterans Drive, Minneapolis, MN 55417, (612) 725-2061
Human Resources Management Officer, St. Cloud Medical Center, 4801 8th 
Street North, St. Cloud, MN 56303, (612) 255-6301
St. Paul Outpatient Clinic, Send to: Human Resources Management Officer, 
VA Medical Center, One Veterans Drive, Minneapolis, MN 55417, (612) 725-
2061

                               Mississippi

Corinth National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 1030 Jefferson Avenue, Memphis, TN 38104, (901) 523-
8990, ext. 5928
VBA Southern Area Human Resources Management Office, Human Resources 
Management Director, 6508 Dogwood Parkway, Suite E, Jackson, MS 39213, 
(601) 965-4140
Human Resources Management Officer, Biloxi Medical Center, 400 Veterans 
Blvd., Biloxi, MS 39531, (601) 388-5541, ext. 5780
Biloxi National Cemetery, Human Resources Management Officer, VA Medical 
Center, 400 Veterans Blvd., Biloxi, MS 39531, (601) 388-5541, ext. 5780
Jackson Regional Office, Send to: VBA Central Area Human Resources 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Human Resources Management Officer, Jackson Medical Center, 1500 E. 
Woodrow Wilson Blvd., Jackson, MS 39216, (601) 364-1239
Natchez National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 1500 E. Woodrow Wilson Blvd., Jackson, MS 39216, 
(601) 364-1239

                                Missouri

Human Resources Management Officer, St. Louis Medical Center, Jefferson 
Bks., St. Louis, MO 63106, (314) 894-6620
Human Resources Management Officer, Poplar Bluff Medical Center, 1500 N. 
Westwood Blvd., Poplar Bluff, MO 63901, (314) 686-4151, ext. 328
St. Louis Records Processing Center, Send to: VBA Central Area Human 
Resources Management Office, Human Resources Management Director, 38701 
Seven Mile Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Human Resources Management Officer, Kansas City Medical Center, 4801 
Linwood Blvd., Kansas City, MO 64128, (816) 861-4700, ext. 6926
Jefferson Barracks National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, 800 Hospital Drive, Columbia, MO 
65201, (314) 443-2511, ext. 6261
Human Resources Management Officer, Columbia Medical Center, 800 
Hospital Drive, Columbia, MO 65201, (314) 443-2511, ext. 6261
St. Louis Regional Office, Send to: VBA Central Area Human Resources, 
Management Office, Human Resources Management Director, 38701 Seven Mile 
Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Veterans Canteen Service Field Office, Send to: Human Resources 
Management Officer, VA Medical Center, Jefferson Barracks, St. Louis, MO 
63106, (314) 894-6620
Springfield National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 1100 N. College Avenue, Fayetteville, AR 
72703, (501) 444-5020

                                 Montana

Human Resources Management Officer, Fort Harrison Medical Center and 
Regional Office, Fort Harrison, MT 59636, (406) 447-7933
Human Resources Management Officer, Miles City Medical Center, 210 South 
Winchester, Miles City, MT 59301-4798, (406) 232-8287

[[Page 662]]

                                Nebraska

Lincoln Regional Office, Send to: VBA Central Area Human Resources, 
Management Office, Human Resources Management Director, 38701 Seven Mile 
Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Human Resources Management Officer, Lincoln Medical Center, 600 South 
70th Street, Lincoln, NE 68510, (402) 489-3802, ext. 7819
Human Resources Management Officer, Grand Island Medical Center, 2201 N. 
Broadwell Ave., Grand Island, NE 68803, (308) 389-5177
Maxwell (Fort McPherson) National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, 2201 N. Broadwell Ave., Grand 
Island, NE 68803, (308) 389-5177
Human Resources Management Officer, Omaha Medical Center, 4101 Woolworth 
Avenue, Omaha, NE 68105, (402) 449-0614

                                 Nevada

Human Resources Management Officer, Reno Medical Center, 1000 Locust 
Street, Reno, NV 89520-0111, (702) 328-1260
Reno Regional Office, Send to: VBA Western Area Human Resources 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
Las Vegas Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 1000 Locust Street, Reno, NV 89520-0111, 
(702) 328-1260
Henderson Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 1000 Locust Street, Reno, NV 89520-0111, 
(702) 328-1260

                              New Hampshire

Manchester Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human Resources Management Director, 31 Hopkins Plaza, 
Baltimore, MD 21202-2004, (410) 962-4090
Human Resources Management Officer, Manchester Medical Center, 718 Smyth 
Road, Manchester, NH 03104, (603) 624-4366, ext. 6608

                               New Jersey

Beverly National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, University & Woodland Avenues, Philadelphia, PA 
19104, (215) 823-4088
New Regional Office, Send to: Eastern Area Servicing Assistance Center, 
Human Resources Management Director, 31 Hopkins Plaza, Baltimore, MD 
21202-2004, (410) 962-4090
Human Resources Management Officer, East Orange Medical Center, 385 
Tremont Avenue, East Orange, NJ 07018-0195, (201) 676-1000, ext. 1366
James J. Howard Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 385 Tremont Avenue, East Orange, NJ 07018-
0195, (201) 676-1000, ext. 1366
Newark Outpatient Clinic, Send to: Human Resources Management Officer, 
VA Medical Center, 385 Tremont Avenue, East Orange, NJ 07018-0195, (201) 
676-1000, ext. 1366
Human Resources Management Officer, Lyons Medical Center, Knollcroft 
Road, Lyons, NJ 07939, (908) 647-0180, ext. 4002

                               New Mexico

Albuquerque Regional Office, Send to: VBA Western Area Human Resources 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
Santa Fe National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 2100 Ridgecrest Dr., SE., Albuquerque, NM 87108-5138, 
(505) 256-5702

                                New York

Human Resources Management Officer, Bath Medical Center, Bath, NY 14810, 
(607) 776-2111, ext. 1239
Human Resources Management Officer, Brooklyn Medical Center, 800 Poly 
Place, Brooklyn, NY 11209, (718) 630-3660
Human Resources Management Officer, Montrose Medical Center, P.O. Box 
100, Montrose, NY 10548-0100, (914) 737-4400, ext. 2553
Human Resources Management Officer, Syracuse Medical Center, 800 Irving 
Avenue, Syracuse, NY 13210-2799, (315) 477-4531
Human Resources Management Officer, Bronx Medical Center, 130 W. 
Kingsbridge Road, Bronx, NY 10468, (718) 584-9000, ext. 6590
Human Resources Management Officer, New York Medical Center, 423 East 
23rd Street, New York, NY 10010, (212) 686-7500, ext. 7635
Human Resources Management Officer, Castle Point Medical Center, Route 
9D, Castle Point, NY 12511, (914) 831-2000, ext. 5405
Human Resources Management Officer, Northport Medical Center, 79 
Middleville Road, Northport, NY 11768, (516) 261-4400, ext. 2715
Human Resources Management Officer, Albany Medical Center, 113 Holland 
Avenue, Albany, NY 12208, (518) 462-3311, ext. 2231
Calverton National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 79 Middleville Road, Northport, NY 11768, 
(516) 261-4400, ext. 2715
Human Resources Management Officer, Buffalo Medical Center, 3495 Bailey 
Avenue, Buffalo, NY 14215, (716) 862-3605
New York Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human

[[Page 663]]

Resources Management Director, 31 Hopkins Plaza, Baltimore, MD 21202-
2004, (410) 962-4090
Human Resources Management Officer, Batavia Medical Center, 222 Richmond 
Ave., Batavia, NY 14020, (716) 343-7500, ext. 7272
Bath (Elmira) National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, Bath, NY 14810, (607) 776-2111, ext 1239
Long Island National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 79 Middleville Road, Northport, NY 11768, 
(516) 261-4400, ext. 2715
Albany VA (Vet Center) Office, Send to: Human Resources Management 
Officer, VA Medical Center, 113 Holland Avenue, Albany, NY 12208, (518) 
462-3311, ext. 2231
Brooklyn National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 800 Poly Place, Brooklyn, NY 
11209, (718) 630-3660
Brooklyn Outpatient Clinic, Send to: Human Resources Management Officer, 
VA Medical Center, 800 Poly Place, Brooklyn, NY 11209, (718) 630-3660
New York Outpatient Clinic, Send to: Human Resources Management Officer, 
VA Medical Center, 423 East 23rd Street, New York, NY 10010, (212) 686-
7500, ext. 7635
New York Prosthetics Center, Send to: Human Resources Management 
Officer, VA Medical Center, 423 East 23rd Street, New York, NY 10010, 
(212) 686-7500, ext. 7635
New York Veterans Canteen Service Field Office, Send to: Human Resources 
Management Officer, VA Medical Center, 423 East 23rd Street, New York, 
NY 10010, (212) 686-7500, ext. 7635
Rochester VA (Vet Center) Office, Send to: Human Resources Management 
Officer, VA Medical Center, 222 Richmond Ave., Batavia, NY 14020, (716) 
343-7500, ext. 7272
Buffalo Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human Resources Management Director, 31 Hopkins Plaza, 
Baltimore, MD 21202-2004, (410) 962-4090
Rochester Outpatient Clinic Substation, Send to: Human Resources 
Management Officer, VA Medical Center, 222 Richmond Ave., Batavia, NY 
14020, (716) 343-7500, ext. 7272
Human Resources Management Officer, Canandaigua Medical Center, 
Canandaigua, NY 14424, (716) 394-2000, ext. 3700
Syracuse VA Office, Send to: Eastern Area Servicing Assistance Center, 
Human Resources Management Director, 31 Hopkins Plaza, Baltimore, MD 
21202-2004, (410) 962-4090

                             North Carolina

Human Resources Management Officer, Fayetteville Medical Center, 2300 
Ramsey Street, Fayetteville, NC 28301, (919) 822-7055
Raleigh National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 508 Fulton Street, Durham, NC 27705, (919) 286-6901
Human Resources Management Officer, Durham Medical Center, 508 Fulton 
Street, Durham, NC 27705, (919) 286-6901
Human Resources Management Officer, Asheville Medical Center, 1100 
Tunnell Road, Asheville, NC 28805, (704) 299-2535
New Bern National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 2300 Ramsey Street, Fayetteville, NC 28301, (919) 
822-7055
Salisbury National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 1601 Brenner Avenue, Salisbury, NC 28144, 
(704) 638-3432
Winston-Salem Regional Office, Send to: VBA Southern Area Human 
Resources Management Office, Human Resources Management Director, 6508 
Dogwood Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Human Resources Management Officer, Salisbury Medical Center, 1601 
Brenner Avenue, Salisbury, NC 28144, (704) 638-3432
Wilmington National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 2300 Ramsey Street, Fayetteville, 
NC 28301, (919) 822-7055
Winston-Salem Outpatient Regional Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1601 Brenner Avenue, Salisbury, 
NC 28144, (704) 638-3432

                              North Dakota

Human Resources Management Officer, Fargo Medical and Regional Office 
Center, 655 First Avenue, Fargo, ND 58102, (701) 232-3241

                                  Ohio

Human Resources Management Officer, Columbus Outpatient Clinic, 2090 
Kenny Road, Columbus, OH 43221, (614) 257-5501
Cleveland Regional Office, Send to: VBA Central Area Human Resources 
Management Office, Human Resources Management Director, 38701 Seven Mile 
Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Dayton National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 4100 W. Third Street, Dayton, OH 45428, (513) 262-
2107
Human Resources Management Officer, Cincinnati Medical Center, 3200 Vine 
Street, Cincinnati, OH 45220, (513) 559-5051
Cincinnati VA Office, Send to: VBA Central Area Human Resources 
Management Office, Human Resources Management Director, 38701 Seven Mile 
Road, Suite 345, Livonia, MI 48152, (313) 953-8830

[[Page 664]]

Columbus VA Office, Send to: VBA Central Area Human Resources Management 
Office, Human Resources Management Director, 38701 Seven Mile Road, 
Suite 345, Livonia, MI 48152, (313) 953-8830
Human Resources Management Officer, Dayton Medical Center, 4100 W. Third 
Street, Dayton, OH 45428, (513) 262-2107
Human Resources Management Officer, Cleveland Medical Center, 10000 
Brecksville Rd., Brecksville, OH 44141, (216) 526-3030, ext. 7900
Human Resources Management Officer, Chillicothe Medical Center, 17273 
State Route 104, Chillicothe, OH 45601, (614) 773-1141, ext. 7538

                                Oklahoma

Fort Gibson National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, Honor Heights Drive, Muskogee, OK 74401, 
(918) 683-3261, ext. 404
Human Resources Management Officer, Oklahoma City Medical Center, 921 NE 
13th Street, Oklahoma City, OK 73104, (405) 270-5157
Muskogee Regional Office, Send to: VBA Southern Area Human Resources 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Human Resources Management Officer, Muskogee Medical Center, Honor 
Heights Drive, Muskogee, OK 74401, (918) 683-3261, ext. 404
Oklahoma City VA Office, Send to: VBA Southern Area Human Resources 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson MS 39213, (601) 965-4140

                                 Oregon

Portland Regional Office, Send to: VBA Western Area Human Resources 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
Human Resources Management Officer, White City Medical Center, 8495 
Craterlake Highway, White City, OR 97503-1088, (503) 826-2111, ext. 3204
Human Resources Management Officer, Roseburg Medical Center, 913 NW 
Garden Valley Blvd., Roseburg, OR 97470-6153, (503) 440-1260
Human Resources Management Officer, Portland Medical Center, 3710 SW US 
Veterans Hospital Rd., Portland, OR 97207-1034, (503) 220-3403
Eagle Point National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 8495 Craterlake Highway, White City, OR 
97503-1088, (503) 826-2111, ext. 3204
Williamette National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 3710 SW US Veterans Hospital Rd., Portland, 
OR 97207-1034, (503) 220-3403

                              Pennsylvania

Human Resources Management Officer, Pittsburgh Medical Center, 
University Drive C, Pittsburgh, PA 15240, (412) 692-3240
Philadelphia Benefits Delivery Center, Send to: Human Resources 
Management Liaison, VA Regional Office, 5000 Wissahickon Avenue, P.O. 
Box 13399, Philadelphia, PA 19101, (215) 951-5534
Human Resources Management Officer, Wilkes-Barre Medical Center, 1111 
East End Boulevard, Wilkes-Barre, PA 18711, (717) 821-7209
Philadelphia Systems Development Center, Send to: Human Resources 
Management Liaison, VA Regional Office, 5000 Wissahickon Avenue, P.O. 
Box 13399, Philadelphia, PA 19101, (215) 951-5534
Philadelphia National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, University & Woodland Avenues, 
Philadelphia, PA 19104, (215) 823-4088
Annville (Indiantown Gap) National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, 1700 S. Lincoln Avenue, Lebanon, 
PA 17042, (717) 272-6621, ext. 4055
Human Resources Management Officer, Philadelphia Medical Center, 
University & Woodland Avenues, Philadelphia, PA 19104, (215) 823-4088
Human Resources Management Officer, Altoona Medical Center, 2907 
Pleasant Valley Blvd., Altoona, PA 16602-4377, (814) 943-8164, ext. 7039
Human Resources Management Officer, Lebanon Medical Center, 1700 S. 
Lincoln Avenue, Lebanon, PA 17042, (717) 272-6621, ext. 4055
Harrisburg Outpatient Clinic Substation, Send to: Human Resources 
Management Officer, VA Medical Center, 1700 S. Lincoln Avenue, Lebanon, 
PA 17042, (717) 272-6621, ext. 4055
Human Resources Management Officer, Coatesville Medical Center, 1400 
BlackHorse Hill Rd., Coatesville, PA 19320-2096, (610) 383-0234
Human Resources Management Officer, Pittsburgh (HD) Medical Center, 7180 
Highland Drive, Pittsburgh, PA 15206-1297, (412) 365-4755
Human Resources Management Officer, Butler Medical Center, 325 New 
Castle Road, Butler, PA 16001-2480, (412) 477-5051
Pittsburgh Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human Resources Management Director, 31 Hopkins Plaza, 
Baltimore, MD 21202-2004, (410) 962-4090
Philadelphia Regional Office, Human Resources Management Liaison, 5000

[[Page 665]]

Wissahickon Avenue, P.O. Box 13399, Philadelphia, PA 19101, (215) 951-
5534
Human Resources Management Officer, Erie Medical Center, 135 East 38th 
Street, Erie, PA 16504, (814) 868-6205

                               Philippines

Manila Regional Office Outpatient Clinic, Manila Regional Office Center, 
Send to: Director, Department of Veterans Affairs, APO, San Francisco, 
CA 96528, 011-632-521-7116

                               Puerto Rico

Puerto Rico National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, One Veterans Plaza, San Juan, PR 00927-5800, 
(809) 766-5485
Human Resources Management Officer, San Juan Medical Center, One 
Veterans Plaza, San Juan, PR 00927-5800, (809) 766-5485
Mayaguez Outpatient Clinic Substation, Send to: Human Resources 
Management Officer, VA Medical Center, One Veterans Plaza, San Juan, PR 
00927-5800, (809) 766-5485
San Juan Regional Office, Send to: VBA Southern Area Human Resources 
Management Officer, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140

                              Rhode Island

Human Resources Management Officer, Providence Medical Center, 830 
Chalkstone Avenue, Providence, RI 02908-4799, (401) 457-3072
Providence Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human Resources Management Director, 31 Hopkins Plaza, 
Baltimore, MD 21202-2004, (410) 962-4090

                             South Carolina

Florence National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 6439 Garners Ferry Rd., Columbia, SC 29201-1639, 
(803) 695-6835
Human Resources Management Officer, Columbia Medical Center, 6439 
Garners Ferry Rd., Columbia, SC 29201-1639, (803) 695-6835
Greenville Outpatient Clinic Substation, Send to: Human Resources 
Management Officer, VA Medical Center, 6439 Garners Ferry Rd., Columbia, 
SC 29201-1639, (803) 695-6835
Human Resources Management Officer, Charleston Medical Center, 109 Bee 
Street, Charleston, SC 29401-5799, (803) 577-5011, ext. 7610
Beaufort National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 109 Bee Street, Charleston, SC 29401-5799, (803) 577-
5011, ext. 7610
Columbia Regional Office, Send to: VBA Southern Area Human Resources 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140

                              South Dakota

Human Resources Management Officer, Hot Springs Medical Center, 500 
North 5th Street, Hot Springs, SD 57747, (605) 745-2018
Hot Springs National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 500 North 5th Street, Hot Springs, SD 57747, 
(605) 745-2018
Human Resources Management Officer, Fort Meade Medical Center, 113 
Comanche Road, Fort Meade, SD 57741, (605) 347-7090
Fort Meade (Black Hills) National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, 113 Comanche Road, Fort Meade, SD 
57741, (605) 347-7090
Human Resources Management Officer, Sioux Falls Medical and Regional 
Office Center, PO Box 5046, 2501 W. 22nd St., Sioux Falls, SD 57117, 
(605) 333-6852

                                Tennessee

Mountain Home National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, Johnston City, Mountain Home, TN 37684, 
(615) 926-1171, ext. 7181
Nashville (Madison) National Cemetery, Send to: Human Resources 
Management Officer, VA Medical Center, 1310 24th Avenue South, 
Nashville, TN 37212-2637, (615) 327-5381
Chattanooga National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 3400 Lebanon Road, Murfreesboro, TN 37129-
1236, (615) 893-1360, ext. 3317
Knoxville National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, Johnston City, Mountain Home, TN 37684, 
(615) 926-1171, ext. 7181
Memphis National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 1030 Jefferson Avenue, Memphis, TN 38104, (901) 523-
8900, ext. 5928
Human Resources Management Officer, Memphis Medical Center, 1030 
Jefferson Avenue, Memphis, TN 38104, (901) 523-8990, ext. 5928
Human Resources Management Officer, Mountain Home Medical Center, 
Johnston City, Mountain Home, TN 37684, (615) 926-1171, ext. 7181
Human Resources Management Officer, Nashville Medical Center, 1310 24th 
Avenue South, Nashville, TN 37212-2637, (615) 327-5381
Knoxville Outpatient Clinic Substation, Send to: Human Resources 
Management Officer, VA Medical Center, 1310 24th Avenue South, 
Nashville, TN 37212-2637, (615) 327-5381

[[Page 666]]

Nashville Regional Office, Send to: VBA Southern Area Human Resources 
Management Office Human Resources Management Officer, Human Resources 
Management Director, 6508 Dogwood Parkway, Suite E, Jackson, MS 39213, 
(601) 965-4140

                                  Texas

Human Resources Management Officer, San Antonio Medical Center, 7400 
Merton Minter Blvd., San Antonio, TX 78284, (210) 617-5300, ext. 6732
Corpus Christi Outpatient Clinic, Send to: Human Resources Management 
Officer, VA Medical Center, 7400 Merton Minter Blvd., San Antonio, TX 
78284, (210) 617-5300, ext. 6732
McAllen Outpatient Clinic Substation, Send to: Human Resources 
Management Officer, VA Medical Center, 7400 Merton Minter Blvd., San 
Antonio, TX 78284, (210) 617-5300, ext. 6732
Human Resources Management Officer, Temple Medical Center,1901 S. 1st 
Street, Temple, TX 76504, (817) 778-4811, ext. 4429
Human Resources Management Officer, Austin Automation Center, 1615 E. 
Woodard Street, Austin, TX 78772, (512) 326-6054
Human Resources Management Officer, Waco Medical Center, 4800 Memorial 
Drive, Waco, TX 76711, (817) 752-6581, ext. 6346
Waco Outpatient Clinic, Send to: Human Resources Management Officer, VA 
Medical Center, 4800 Memorial Drive, Waco, TX 76711, (817) 752-6581, 
ext. 6346
Human Resources Management Officer, Dallas Medical Center, 4500 S. 
Lancaster Road, Dallas, TX 75216, (214) 372-7032
Human Resources Management Officer, Houston Medical Center, 2002 
Holcombe Blvd., Houston, TX 77030, (713) 794-7458
Beaumont Outpatient Clinic Substation, Send to: Human Resources 
Management Officer, VA Medical Center, 2002 Holcombe Blvd., Houston, TX 
77030, (713) 794-7458
Lufkin Outpatient Clinic, Send to: Human Resources Management Officer, 
VA Medical Center, 2002 Holcombe Blvd., Houston, TX 77030, (713) 794-
7458
Human Resources Management Officer, Waco Medical Center, 4800 Memorial 
Drive, Waco, TX 76711, (817) 752-6581, ext. 6346
Human Resources Management Officer, El Paso Outpatient Clinic, 5919 
Brook Hollow Drive, El Paso, TX 79925, (915) 540-7878
Fort Bliss National Cemetery, Send to: Human Resources Management 
Officer, El Paso Outpatient Clinic, 5919 Brook Hollow Drive, El Paso, TX 
79925, (915) 540-7878
Houston Regional Office, Send to: VBA Southern Area Human Resources 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
San Antonio VA Office, Send to: VBA Southern Area Human Resources 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Human Resources Management Officer, Big Spring Medical Center, 2400 
Gregg St., Big Spring, TX 79720, (915) 264-4820
Austin Systems Development Center, Send to: Human Resources Management 
Officer, Austin Automation Center, 1615 E. Woodard Street, Austin, TX 
78772, (512) 326-6054
Human Resources Management Officer, Amarillo Medical Center, 6010 
Amarillo Blvd. West, Amarillo, TX 79106, (806) 354-7827
Houston National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 2002 Holcombe Blvd., Houston, TX 77030, (713) 794-
7458
San Antonio National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 7400 Merton Minter Blvd., San 
Antonio, TX 78284, (210) 617-5300, ext. 6732
Fort Sam Houston National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, 7400 Merton Minter Blvd., San Antonio, TX 
78284, (210) 617-5300, ext. 6732
Human Resources Management Officer, Kerrville Medical Center, 3600 
Memorial Blvd., Kerrville, TX 78028, (210) 792-2518
Kerrville National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 3600 Memorial Blvd., Kerrville, 
TX 78028, (210) 792-2518
Human Resources Management Officer, Marlin Medical Center, 1016 Ward 
Street, Marlin, TX 76661, (817) 883-3511, ext. 4702
Human Resources Management Officer, Bonham Medical Center, East Ninth & 
Lipscomb Street, Bonham, TX 75418-4091, (903) 583-2111, ext. 6331
Waco Regional Office, Send to: VBA Southern Area Human Resources 
Management Office, Human Resources Management Director, 6508 Dogwood 
Parkway, Suite E, Jackson, MS 39213, (601) 965-4140
Dallas VA Office, Send to: VBA Southern Area Human Resources Management 
Office, Human Resources Management Director, 6508 Dogwood Parkway, Suite 
E, Jackson, MS 39213, (601) 965-4140
Lubbock VA Office, Send to: VBA Southern Area Human Resources Management 
Office, Human Resources Management Director, 6508 Dogwood Parkway, Suite 
E, Jackson, MS 39213, (601) 965-4140
Lubbock Outpatient Clinic, Send to: Human Resources Management Office, 
VA Medical Center, 6010 Amarillo Blvd. West, Amarillo, TX 79106, (806) 
354-7827
Austin Finance Center, Send to: Human Resources Management Officer, 
Austin Automation Center, 1615 E. Woodard Street, Austin, TX 78772, 
(512) 326-6054

[[Page 667]]

                                  Utah

Salt Lake City Regional Office, Send to: VBA Western Area Human 
Resources Management Office, Human Resources Management Director, 126000 
W. Colfax Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
Human Resources Management Officer, Salt Lake City Medical Center, 500 
Foothill Blvd., Salt Lake City, UT 84148-0001, (801) 584-1284

                                 Vermont

Human Resources Management Officer, White River Junction Medical and 
Regional Office Center, White River Junction, VT 05009, (802) 295-9363, 
ext. 5350

                                Virginia

Human Resources Management Officer, Richmond Medical Center, 1201 Broad 
Rock Blvd., Richmond, VA 23249, (804) 230-1305
Human Resources Management Officer, Hampton Medical Center, 100 
          Emancipation Road, Hampton, VA 23667, (804) 722-9961, ext. 
          3160
Richmond National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 1201 Broad Rock Blvd., Richmond, VA 23249 (804) 230-
1305
Quantico National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 50 Irving Street, NW., Washington, DC 20422, (202) 
745-8200
Hampton National Cemetery, Send to: Human Resources Management Officer, 
VA Medical Center, 100 Emancipation Road, Hampton, VA 23667, (804) 722-
9961, ext. 3160
Culpepper National Cemetery, Send to: Human Resources Management 
Officer, VA Medical Center, Route 9, Martinsburg, WV 25401, (304) 263-
0811, ext. 3237
Roanoke Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human Resources Management Director, 31 Hopkins Plaza, 
Baltimore, MD 21202-2004, (410) 962-4090
Human Resources Management Officer, Salem Medical Center, 1970 Roanoke 
Blvd., Salem, VA 24153, (703) 982-2463, ext. 2812
Danville National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1970 Roanoke Blvd., Salem, VA 
24153, (703) 982-2463, ext. 2812
Alexandria National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 50 Irving Street, NW., 
Washington, DC 20422, (202) 745-8200
Leesburg National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 50 Irving Street, NW., 
Washington, DC 20422, (202) 745-8200
Mechanicsville National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1201 Broad Rock Blvd., Richmond, 
VA 23249, (804) 230-1305
Sandston National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1201 Broad Rock Blvd., Richmond, 
VA 23249, (804) 230-1305
Hopewell National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1201 Broad Rock Blvd., Richmond, 
VA 23249 (804) 230-1305
Staunton National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, 1970 Roanoke Blvd., Salem, VA 
24153, (703) 982-2463, ext. 2812
Winchester National Cemetery Area Office, Send to: Human Resources 
Management Officer, VA Medical Center, Route 9, Martinsburg, WV 25401, 
(304) 263-0811, ext. 3237

                               Washington

Seattle Regional Office, Send to: VBA Western Area Human Resources, 
Management Office, Human Resources Management Director, 126000 W. Colfax 
Ave., Suite C-300, Lakewood, CO 80215, (303) 231-5855
Human Resources Management Officer, Walla Walla Medical Center, 77 
Wainwright Drive, Walla Walla, WA 99362-3975, (509) 527-3453
Human Resources Management Officer, Seattle Medical Center, 1660 S. 
Columbian Way, Seattle, WA 98108-1597, (206) 764-2135
Seattle Outpatient Clinic (Vet Center), Send to: Human Resources 
Management Officer, VA Medical Center, 1660 S. Columbian Way, Seattle, 
WA 98108-1597, (206) 764-2135
Human Resources Management Officer, Tacoma Medical Center, American 
Lake, Tacoma, WA 98493, (206) 582-8440, ext. 6054
Human Resources Management Officer, Spokane Medical Center, 4815 North 
Assembly Street, Spokane, WA 99205-6197, (509) 327-0242

                              West Virginia

Human Resources Management Officer, Huntington Medical Center, 1540 
Spring Valley Road, Huntington, WV 25704, (304) 429-6755, ext. 2343
Human Resources Management Officer, Beckley Medical Center, 200 Veterans 
Avenue, Beckley, WV 25801, (304) 255-2121, ext. 4461
Human Resources Management Officer, Clarksburg, Medical Center, 1 
Medical Center Dr., Clarksburg, WV 26301, (304) 623-7697
Human Resources Management Officer, Martinsburg Medical Center, Route 9, 
Martinsburg, WV 25401, (304) 263-0811, ext. 3237
West Virginia (Grafton) National Cemetery, Send to: Human Resources 
Management

[[Page 668]]

Officer, VA Medical Center, 1 Medical Center Dr., Clarksburg, WV 26301, 
(304) 623-7697
Huntington Regional Office, Send to: Eastern Area Servicing Assistance 
Center, Human Resources Management Director, 31 Hopkins Plaza, 
Baltimore, MD 21202-2004, (410) 962-4090

                                Wisconsin

Wood National Cemetery, Send to: Human Resources Management Officer, VA 
Medical Center, 5000 W. National Avenue, Milwaukee, WI 53295, (414) 384-
2000
Milwaukee Regional Office, Send to: VBA Central Area Human Resources 
Management Office, Human Resources Management Director, 38701 Seven Mile 
Road, Suite 345, Livonia, MI 48152, (313) 953-8830
Human Resources Management Officer, Milwaukee Medical Center, 5000 W. 
National Avenue, Milwaukee, WI 53295, (414) 384-2000, ext. 2930
Human Resources Management Officer, Tomah Medical Center, 500 E. 
Veterans Street, Tomah, WI 54660, (608) 372-1636
Human Resources Management Officer, Madison Medical Center, 2500 
Overlook Terrace, Madison, WI 53705, (608) 262-7026

                                 Wyoming

Human Resources Management Officer, Sheridan Medical Center, 1898 Fort 
Road, Sheridan, WY 82801-8320, (307) 672-1673
Human Resources Management Officer, Cheyenne Medical and Regional Office 
Center, 2360 East Pershing Blvd., Cheyenne, WY 82001, (307) 778-7331

                              II. Agencies

                  American Battle Monuments Commission

Chief, Administration, Room 5127, Pulaski Building, 20 Massachusetts 
Avenue, NW., Washington, DC 20314-0001, (202) 761-0533

       Architectural and Transportation Barriers Compliance Board

General Counsel, 1331 F Street, NW., 1000, Washington, DC 
20004-1111, (202) 272-5434, ext. 16

                 Equal Employment Opportunity Commission

Management Director, Office of Management, 1801 L Street, NW., 
Washington, DC 20507, (202) 663-4411

                 Export-Import Bank of the United States

Associate General Counsel, 811 Vermont Avenue, NW., Room 955, 
Washington, DC 20571, (202) 565-3432

                       Farm Credit Administration

Chief, Human Resources Division, Farm Credit Administration, 1501 Farm 
Credit Drive, McLean, VA 22102-5090, (703) 883-4122

                    Federal Communications Commission

Chief, Payroll/Personnel Support Branch, 1919 M Street, NW., Room 212, 
Washington, DC 20554, (202) 481-0136

                  Federal Deposit Insurance Corporation

Chief, Operations Section, Office of Personnel Management, 550 17th 
Street, NW., PA-1730-5018, Washington, DC 20429, (202) 942-3401

                       Federal Election Commission

Assistant General Counsel--Administrative Law, 999 E Street, NW., 
Washington, DC 20463, (202) 219-3690

                  Federal Energy Regulatory Commission

Chief, Payroll Branch, Department of Energy, GTN Building, Room E-259, 
Washington, DC 20585, (301) 903-4012

                      Federal Housing Finance Board

Federal Housing Finance Board, 1777 F Street, NW., Washington, DC 20006, 
(202) 408-2685 or (202) 408-2686

               Federal Retirement Thrift Investment Board

Director of Personnel, 1250 H Street, NW., Suite 400, Washington, DC 
20005, (202) 942-1680

                        Federal Trade Commission

Director, Division of Personnel, 6th Street & Pennsylvania Avenue, NW., 
Room H-148, Washington, DC 20580, (202) 326-2022

                        General Accounting Office

Comptroller General, Attention: Chief, Payroll/Personnel Systems Branch, 
Personnel, Room 1180, 441 G Street, NW., Washington, DC 20415, (202) 
512-5811

                           Institute of Peace

Personnel and Benefits Manager, 1550 M Street, NW., Suite 700, 
Washington, DC 20005, (202) 429-3801

                        Inter-American Foundation

General Counsel, 901 N. Stuart Street, 10th Floor, Arlington, VA 22203, 
(703) 841-3894

                 JFK Assassination Records Review Board

General Counsel, 600 E Street, NW., Washington, DC 20530

               National Archives & Records Administration

Supervisory Personnel Staffing Specialist, Personnel Operations Branch, 
9700 Page Avenue, Room 2002, St. Louis, MO 63132, (314) 538-4953

[[Page 669]]

                  National Capital Planning Commission

General Counsel, 801 Pennsylvania Avenue, NW, Suite 301, Washington, DC 
20576, (202) 724-0174

                      Nuclear Regulatory Commission

Chief, Policy and Labor Relations, Office of Personnel, Washington, DC 
20555, (301) 415-7526

                  Nuclear Waste Technical Review Board

Administrative Officer, 1100 Wilson Blvd., Suite 910, Arlington, VA 
          22209, (703) 235-4473

                        Office of Special Counsel

Director of Management and Associate Special Counsel for Planning and 
Advice, 1730 M Street, NW., Suite 201, Washington, DC 20036-4505, (202) 
653-9485

                               Peace Corps

Associate General Counsel, 1990 K Street, NW., Room 8300, Washington, DC 
20526, (202) 606-3114

                      Resolution Trust Corporation

Payroll Specialist/Paralegal Specialist, 1717 H Street, NW., Washington, 
          DC 20434, (202) 736-3095

                   Securities and Exchange Commission

Personnel Management Specialist, Office of Administrative & Personnel 
Management, 450 5th Street, NW. (Stop 2-3), Washington, DC 20549

                      Small Business Administration

Chief, Personnel/Payroll Systems Branch or Payroll Analyst, 409 3rd 
Street, SW., Suite 4200, Washington, DC 20416, (202) 205-6148 or (202) 
205-6213

                    III. United States Postal Service

                      United States Postal Service

    The United States Postal Service will cooperate with process servers 
in the service of process regarding private civil or criminal matters 
only when service is attempted in person on the subject employee at the 
employee's place of employment, in accordance with the provisions of 39 
CFR 243.2(g). Service of summonses and complaints, in prviate matters, 
by mail to either the agent or employees at their workstations is not 
permitted.
    The Postal Service agent will attempt to facilitate and assist 
personnel of child support enforcement agencies within the limitations 
imposed by the Privacy Act, 5 U.S.C. 552a and relevant Postal 
regulations. The requester must furnish the name and social security 
number of the person who is the subject of the inquiry.

Manager, Payroll Processing Branch, 1 Federal Drive, Ft. Snelling, MN 
55111-9650, (612) 293-6300

[63 FR 14777, Mar. 26, 1998; 63 FR 34777, June 26, 1998; 63 FR 56537, 
Oct. 22, 1998]



PART 582--COMMERCIAL GARNISHMENT OF FEDERAL EMPLOYEES' PAY--Table of Contents




             Subpart A--Purpose, Definitions, and Exclusions

Sec.
582.101 Purpose.
582.102 Definitions.
582.103 Exclusions.

                   Subpart B--Service of Legal Process

582.201 Agent to receive process.
582.202 Service of legal process.
582.203 Information minimally required to accompany legal process.
582.204 Electronic disbursement.

                Subpart C--Compliance With Legal Process

582.301 Suspension of payment.
582.302 Notification of employee-obligor.
582.303 Response to legal process or interrogatories.
582.304 Nonliability for disclosure.
582.305 Honoring legal process.
582.306 Lack of entitlement by the employee-obligor to pay from the 
          agency served with legal process.

         Subpart D--Consumer Credit Protection Act Restrictions

582.401 Aggregate disposable earnings.
582.402 Maximum garnishment limitations.

                  Subpart E--Implementation by Agencies

582.501 Rules, regulations, and directives by agencies.

Appendix A to Part 582--List of Agents Designated To Accept Legal 
          Process

    Authority: 5 U.S.C. 5520a; 15 U.S.C. 1673; E.O. 12897

    Source: 60 FR 13030, Mar. 10, 1995, unless otherwise noted.



             Subpart A--Purpose, Definitions, and Exclusions



Sec. 582.101  Purpose.

    Section 5520a of title 5 of the United States Code provides that 
with certain exceptions set forth in this part, pay

[[Page 670]]

from an agency to an employee is subject to legal process in the same 
manner and to the same extent as if the agency were a private person. 
The purpose of this part is to implement the objectives of section 5520a 
as they pertain to each executive agency of the United States 
Government, except with regard to employees of the United States Postal 
Service, the Postal Rate Commission, and the General Accounting Office.



Sec. 582.102  Definitions.

    In this part--(1) Agency means each agency of the executive branch 
of the Federal Government, excluding the United States Postal Service, 
the Postal Rate Commission, and the General Accounting Office; agency 
does not include the government of the District of Columbia or the 
territories and possessions of the United States. (Section 5520a(j)(1) 
of title 5 of the United States Code provides that separate implementing 
regulations shall be promulgated by the legislative branch and the 
judicial branch; section 5520a(k) provides that separate implementing 
regulations shall be promulgated with regard to members of the uniformed 
services; and Executive Order 12897 provides that separate implementing 
regulations shall be promulgated with regard to employees of the United 
States Postal Service. The regulations promulgated for employees of the 
United States Postal Service also apply to employees of the Postal Rate 
Commission.)
    (2) Employee or employee-obligor means an individual who is employed 
by an agency as defined in this section, including reemployed annuitants 
and retired members of the uniformed services who are employed by an 
agency. Employee does not include a retired employee, member of the 
uniformed services, a retired member of the uniformed services, or an 
individual whose service is based on a contract, including individuals 
who provide personal services based on a contract with an agency.
    (3) Legal process means any writ, order, summons, or other similar 
process in the nature of garnishment, which may include an attachment, 
writ of execution, court ordered wage assignment, or tax levy from a 
State or local government, which--
    (i) Is issued by:
    (A) A court of competent jurisdiction, including Indian tribal 
courts, within any State, territory, or possession of the United States, 
or the District of Columbia. As stated in Sec. 582.101, pay is subject 
to legal process in the same manner and to the same extent as if the 
agency were a private person. There is, therefore, no requirement in 
this part that, for example, legal process be signed by a Judge; or.
    (B) An authorized official pursuant to an order of a court of 
competent jurisdiction or pursuant to State or local law; or
    (C) A State agency authorized to issue income withholding notices 
pursuant to State or local law; and
    (ii) Orders an agency to withhold an amount from the pay of an 
employee-obligor and to make a payment of such withholding to a person, 
for a specifically described satisfaction of a legal debt of the 
employee-obligor, or recovery of attorney fees, interest, or court 
costs;
    (4) Person may include an individual, partnership, corporation, 
association, joint venture, private organization or other legal entity, 
and includes the plural of that term; person may include any of the 
entities that may issue legal process as set forth in Sec. 582.102(3)(i) 
(A), (B), and (C), and a State or local government as well as a foreign 
entity or a foreign governmental unit, but does not include the United 
States or an agency of the United States.
    (5) In conformance with 5 U.S.C. 5520a, pay means basic pay; premium 
pay paid under chapter 55, subchapter V, of title 5 of the United States 
Code; any payment received under chapter 55, subchapters VI, VII, and 
VIII, of title 5 of the United States Code; severance pay and back pay 
under chapter 55, subchapter IX, of title 5 of the United States Code; 
sick pay, and any other paid leave; incentive pay; locality pay 
(including special pay adjustments for law enforcement officers and 
locality-based comparability payments); back pay awards; and any other 
compensation paid or payable for personal services, whether such 
compensation is denominated as pay, wages, salary, lump-

[[Page 671]]

sum leave payments, commission, bonus, award, or otherwise; but does not 
include amounts received under any Federal program for compensation for 
work injuries; awards for making suggestions, reimbursement for expenses 
incurred by an individual in connection with employment, or allowances 
in lieu of thereof as determined by the employing agency.

[60 FR 13030, Mar. 10 1995, as amended at 61 FR 3544, Feb. 1, 1996]



Sec. 582.103  Exclusions.

    In determining the amount of pay subject to garnishment under this 
part, there shall be excluded amounts which:
    (a) Are owed by the employee-obligor to the United States;
    (b) Are required by law to be deducted from the employee-obligor's 
pay, including, but not limited to amounts deducted in compliance with 
the Federal Insurance and Contributions Act (FICA), including amounts 
deducted for Medicare and for Old Age, Survivor, and Disability 
Insurance (OASDI);
    (c) Are properly withheld for Federal, State, or local income tax 
purposes, if the withholding of the amounts is authorized or required by 
law and if amounts withheld are not greater than would be the case if 
the employee-obligor claimed all dependents to which the employee-
obligor were entitled. The withholding of additional amounts pursuant to 
section 3402(i) of title 26 of the United States Code may be permitted 
only when the employee-obligor presents evidence of a tax obligation 
which supports the additional withholding;
    (d) Are deducted as health insurance premiums;
    (e) Are deducted as normal retirement contributions, not including 
amounts deducted for supplementary coverage. For purposes of this 
section, all amounts contributed under sections 8351 and 8432(a) of 
title 5 of the United States Code to the Thrift Savings Fund are deemed 
to be normal retirement contributions. Except as provided in this 
paragraph, amounts voluntarily contributed toward additional retirement 
benefits are considered to be supplementary;
    (f) Are deducted as normal life insurance premiums from salary or 
other remuneration for employment, not including amounts deducted for 
supplementary coverage. Federal Employees' Group Life Insurance premiums 
for ``Basic Life'' coverage are considered to be normal life insurance 
premiums; all optional Federal Employees' Group Life Insurance premiums 
and any life insurance premiums paid for by allotment are considered to 
be supplementary.
    (g) Amounts withheld in compliance with legal process based on child 
support and/or alimony indebtedness are not exclusions.



                   Subpart B--Service of Legal Process



Sec. 582.201  Agent to receive process.

    (a) Except as provided in appendix A to this part, appendix A to 5 
CFR part 581 lists agents designated to accept service of process under 
part 581 and this part.
    (b) United States Attorneys are not considered appropriate agents to 
accept service of process.



Sec. 582.202  Service of legal process.

    (a) A person using this part shall serve interrogatories and legal 
process on the agent to receive process as explained in Sec. 582.201. 
Where the legal process is directed to an agency, and the purpose of the 
legal process is to compel an agency to garnish an employee's pay, the 
legal process need not expressly name the agency as a garnishee.
    (b) Service of legal process may be accomplished by certified or 
registered mail, return receipt requested, or by personal service only 
upon the agent to receive process as explained in Sec. 582.201, or if no 
agent has been designated, then upon the head of the employee-obligor's 
employing agency. The designated agent shall note the date and time of 
receipt on the legal process.
    (c) Parties bringing garnishment actions shall comply with the 
service of process provisions in this section. Service will not be 
effective where parties fail to comply with the service of process 
provisions of this section, notwithstanding whether the person bringing

[[Page 672]]

the garnishment action has complied with the service of process 
requirements of the jurisdiction issuing the legal process.



Sec. 582.203  Information minimally required to accompany legal process.

    (a) Sufficient identifying information must accompany the legal 
process in order to enable processing by the agency. Parties seeking 
garnishment actions, therefore, should provide as many of the following 
identifying pieces of information concerning the employee-obligor as 
possible:
    (1) Full name;
    (2) Date of birth;
    (3) Employment number or social security number;
    (4) Component of the agency for which the employee-obligor works;
    (5) Official duty station or worksite; and
    (6) Home address or current mailing address.
    (b) If the information submitted is not sufficient to identify the 
employee-obligor, the legal process shall be returned directly to the 
court, or other authority, with an explanation of the deficiency. 
However, prior to returning the legal process, if there is sufficient 
time prior to the time limits imposed in Sec. 582.303, an attempt should 
be made to inform the person who caused the legal process to be served, 
or the person's representative, that it will not be honored unless 
adequate identifying information is supplied.



Sec. 582.204  Electronic disbursement.

    The party designated to receive the garnished funds may forward a 
written request to the garnishing agency to have the funds remitted by 
electronic funds transfer, rather than by paper check. The request shall 
include the designated party's name, address, and deposit account 
number, and the name, address, and 9-digit routing transit number of the 
designated party's financial institution. Written requests accompanying 
service of process will be honored beginning with the first remission of 
garnished funds. Written requests received by the agency subsequent to 
service of process will be honored in as timely a manner as the agency 
deems feasible.



                Subpart C--Compliance With Legal Process



Sec. 582.301  Suspension of payment.

    Upon proper service of legal process as specified in Secs. 582.202 
and 582.203, the agency shall suspend, i.e., withhold, payment of such 
moneys for the amount necessary to permit compliance with the legal 
process in accordance with this part.



Sec. 582.302  Notification of employee-obligor.

    (a) As soon as possible, but not later than 15 calendar days after 
the date of valid service of legal process, the agent designated to 
accept legal process shall send to the employee-obligor, at his or her 
duty station or last known home address, written notice that such 
process has been served, including a copy of the legal process;
    (b) The agency may provide the employee-obligor with the following 
additional information:
    (1) Copies of any other documents submitted in support of or in 
addition to the legal process;
    (2) Notice that the United States does not represent the interests 
of the employee-obligor in the pending legal proceedings; and
    (3) Advice that the employee-obligor may wish to consult legal 
counsel regarding defenses to the legal process that he or she may wish 
to assert.



Sec. 582.303  Response to legal process or interrogatories.

    (a) Whenever the designated agent is validly served with legal 
process, the agent shall respond within 30 calendar days after receipt, 
or within such longer period as may be prescribed by applicable State or 
local law. The agent shall also respond within this time period to 
interrogatories which accompany legal process. Notwithstanding State 
law, an agent need only respond once to legal process.
    (b) If State or local law authorizes the issuance of interrogatories 
prior to or after the issuance of legal process, the agent shall respond 
to the interrogatories within 30 calendar days after being validly 
served, or within such longer period as may be prescribed by applicable 
State or local law.

[[Page 673]]



Sec. 582.304  Nonliability for disclosure.

    (a) No agency employee whose duties include responding to 
interrogatories pursuant to Sec. 582.303(b), shall be subject to any 
disciplinary action or civil or criminal liability or penalty for any 
disclosure of information made in connection with the carrying out of 
any duties pertaining directly or indirectly to answering such 
interrogatories.
    (b) However, an agency would not be precluded from taking 
disciplinary action against an employee who consistently or purposely 
failed to provide correct information requested by interrogatories.



Sec. 582.305  Honoring legal process.

    (a) The agency shall comply with legal process, except where the 
process cannot be complied with because:
    (1) It is not regular on its face.
    (2) The legal process would require the withholding of funds not 
deemed pay as described in Sec. 582.102(a)(5).
    (3) It does not comply with section 5520a of title 5 of the United 
States Code or with the mandatory provisions of this part; or
    (4) An order of a court of competent jurisdiction enjoining or 
suspending the operation of the legal process has been served on the 
agency.
    (b) While an agency will not comply with legal process which, on its 
face, indicates that it has expired or is otherwise no longer valid, 
legal process will be deemed valid notwithstanding the fact that the 
underlying debt and/or the underlying judgment arose prior to the 
effective date of section 5520a of title 5 of the United States Code.
    (c)(1) The filing of an appeal by an employee-obligor will not 
generally delay the processing of a garnishment action. If the employee-
obligor establishes to the satisfaction of the employee-obligor's agency 
that the law of the jurisdiction which issued the legal process provides 
that the processing of the garnishment action shall be suspended during 
an appeal, and if the employee-obligor establishes that he or she has 
filed an appeal, the employing agency shall comply with the applicable 
law of the jurisdiction and delay or suspend the processing of the 
garnishment action.
    (2) Notwithstanding paragraph (c)(1) of this section, the employing 
agency shall not be required to establish an escrow account to comply 
with the legal process even if the applicable law of the jurisdiction 
requires private employers to do so.
    (d) Under the circumstances set forth in Sec. 582.305 (a) or (b), or 
where the agency is directed by the Justice Department not to comply 
with the legal process, the agency shall respond directly to the court, 
or other authority, setting forth its reasons for non-compliance with 
the legal process. In addition, the agency shall inform the person who 
caused the legal process to be served, or the person's representative, 
that the legal process will not be honored. Thereafter, if litigation is 
initiated or appears imminent, the agency shall immediately refer the 
matter to the United States Attorney for the district from which the 
legal process issued. To ensure uniformity in the executive branch, 
agencies which have statutory authority to represent themselves in court 
shall coordinate their representation with the United States Attorney.
    (e) In the event that an agency is served with more than one legal 
process or garnishment order with respect to the same payments due or 
payable to the same employee, the agency shall satisfy such processes in 
priority based on the time of service: Provided, That in no event will 
the total amount garnished for any pay or disbursement cycle exceed the 
applicable limitation set forth in Sec. 582.402. Provided further, That 
processes which are not limited in time shall preserve their priority 
based on time of service until fully satisfied. Generally, a modified 
order will retain its original priority while a time limited order will 
lose its priority after it has expired.
    (f) Legal process to which an agency is subject under sections 459, 
461, and 462 of the Social Security Act (42 U.S.C. 659, 661, and 662) 
for the enforcement of an employee's legal obligation to provide child 
support or to make alimony payments, including child support or alimony 
arrearages, shall have priority over any legal process to which an 
agency is subject under this part. In addition to having priority,

[[Page 674]]

compliance with legal process to which an agency is subject under 
sections 459, 461, and 462 of the Social Security Act may exhaust the 
moneys available for compliance with legal process under this part. See 
Sec. 582.402(a).
    (g)(1) Neither the United States, and executive agency, nor any 
disbursing officer shall be liable for any payment made from moneys due 
from, or payable by, the United States to any individual pursuant to 
legal process regular on its face, if such payment is made in accordance 
with this part.
    (2) Neither the United States, an executive agency, nor any 
disbursing officer shall be liable under this part to pay money damages 
for failure to comply with the legal process.
    (h) Agencies affected by legal process served under this part shall 
not be required to vary their normal pay or disbursement cycles to 
comply with the legal process. However, legal process, valid at the time 
of service, which is received too late to be honored during the 
disbursement cycle in which it is received, shall be honored, to the 
extent that the legal process may be satisfied, during the next 
disbursement cycle within the limits set forth in Sec. 582.402. The fact 
that the legal process may have expired during this period would not 
relieve the agency of its obligation to honor legal process which was 
valid at the time of service. If, in the next disbursement cycle, no 
further payment will be due from the agency to the employee-obligor, the 
agency shall follow the procedures set forth in Sec. 582.306.
    (i) Agencies need not establish escrow accounts in order to comply 
with legal process. Therefore, even if the amount garnished by an agency 
in one disbursement cycle is not sufficient to satisfy the entire 
indebtedness, the agency need not retain those funds until the amount 
retained would satisfy the entire indebtedness. On the contrary, 
agencies will, in most instances, remit the garnished amount after each 
disbursement cycle. Agencies need not pro-rate payments for less than a 
full disbursement cycle.
    (j) If an agency receives legal process which is regular on its 
face, the agency shall not be required to ascertain whether the 
authority which issued the legal process had obtained personal 
jurisdiction over the employee-obligor.
    (k) At the discretion of the executive agency, the agency's 
administrative costs in executing a garnishment may be added to the 
garnishment amount and the agency may retain costs recovered as 
offsetting collections. To facilitate recovery of these administrative 
costs, an administrative fee may be assessed for each legal process that 
is received and processed by an agency, provided that the fee 
constitutes the agency's administrative costs in executing the 
garnishment action.
    (l) Where an employee-obligor has filed a bankruptcy petition under 
section 301 or 302 of title 11 of the United States Code, or is the 
debtor named in an involuntary petition filed under section 303 of title 
11, the agency must cease garnishment proceedings affected by the 
automatic stay provision, section 362(a) of title 11. Upon filing a 
petition in bankruptcy or upon learning that he or she is the debtor 
named in an involuntary petition, the employee-obligor should 
immediately notify the agency. To enable the agency to determine if the 
automatic stay applies, the employee-obligor should provide the agency 
with a copy of the filing or a letter from counsel stating that the 
petition was filed and indicating the court and the case number, the 
chapter under which the petition was filed, whether State or federal 
exemptions were elected, and the nature of the claim underlying the 
garnishment order.
    (m) Within 30 days following the collection of the amount required 
in the garnishment order, the creditor may submit a final statement of 
interest that accrued during the garnishment process, and the employing 
agency shall process the statement for payment, provided the garnishment 
order authorizes the collection of such interest. This final statement 
of interest should be accompanied by a statement of account showing how 
the interest was computed.

[60 FR 13030, Mar. 10, 1995, as amended at 63 FR 14787, Mar. 26, 1998]

[[Page 675]]



Sec. 582.306  Lack of entitlement by the employee-obligor to pay from the agency served with legal process.

    (a) When legal process is served on an agency and the individual 
identified in the legal process as the employee-obligor is found not to 
be entitled to pay from the agency, the agency shall follow the 
procedures set forth in the legal process for that contingency or, if no 
procedures are set forth therein, the agency shall return the legal 
process to the court, or other authority from which it was issued, and 
advise the court, or other authority, that the identified employee-
obligor is not entitled to any pay from the agency.
    (b) Where it appears that the employee-obligor is only temporarily 
not entitled to pay from the agency, the court, or other authority, 
shall be fully advised as to why, and for how long, the employee-
obligor's pay will not be garnished, if that information is known by the 
agency and if disclosure of that information would not be prohibited.
    (c) In instances where an employee-obligor separates from employment 
with an agency that had been honoring a continuing legal process, the 
agency shall inform the person who caused the legal process to be 
served, or the person's representative, and the issuing court, or other 
authority, that the garnishment action is being discontinued. In cases 
where the employee-obligor has been employed by either another agency or 
by a private employer, and where this information is known by the 
agency, the agency shall provide the person with the designated agent 
for the new employing agency or with the name and address of the private 
employer.



         Subpart D--Consumer Credit Protection Act Restrictions



Sec. 582.401  Aggregate disposable earnings.

    In accordance with the Consumer Credit Protection Act, the aggregate 
disposable earnings under this part are the employee-obligor's pay less 
those amounts excluded in accordance with Sec. 582.103.



Sec. 582.402  Maximum garnishment limitations.

    Pursuant to section 1673(a)(1) of title 15 of the United States Code 
(the Consumer Credit Protection Act, as amended) and the Department of 
Labor regulations to title 29, Code of Federal Regulations, part 870, 
the following limitations are applicable:
    (a) Unless a lower maximum limitation is provided by applicable 
State or local law, the maximum part of an employee-obligor's aggregate 
disposable earnings subject to garnishment to enforce any legal debt 
other than an order for child support or alimony, including any amounts 
withheld to offset administrative costs as provided for in 
Sec. 582.305(k), shall not exceed 25 percent of the employee-obligor's 
aggregate disposable earnings for any workweek. As appropriate, State or 
local law should be construed as providing a lower maximum limitation 
where legal process may only be processed on a one at a time basis. 
Where an agency is garnishing 25 percent or more of an employee-
obligor's aggregate disposable earnings for any workweek in compliance 
with legal process to which an agency is subject under sections 459, 
461, and 462 of the Social Security Act, no additional amount may be 
garnished in compliance with legal process under this part. Furthermore, 
the following dollar limitations, which are contained in title 29 of the 
Code of Federal Regulations, part 870, must be applied in determining 
the garnishable amount of the employee's aggregate disposable earnings:
    (1) If the employee-obligor's aggregate disposable earnings for the 
workweek are in excess of 40 times the Fair Labor Standards Act (FLSA) 
minimum hourly wage, 25 percent of the employee-obligor's aggregate 
disposable earnings may be garnished. For example, effective September 
1, 1997, when the FLSA minimum wage rate is $5.15 per hour, this rate 
multiplied by 40 equals $206.00 and thus, if an employee-obligor's 
disposable earnings are in excess of $206.00 for a workweek, 25 percent 
of the employee-obligor's disposable earnings are subject to 
garnishment.

[[Page 676]]

    (2) If the employee-obligor's aggregate disposable earnings for a 
workweek are less than 40 times the FLSA minimum hourly wage, 
garnishment may not exceed the amount by which the employee-obligor's 
aggregate disposable earnings exceed 30 times the current minimum wage 
rate. For example, at an FLSA minimum wage rate of $5.15 per hour, the 
amount of aggregate disposable earnings which may not be garnished is 
$154.50 [$5.15 x 30]. Only the amount above $154.50 is garnishable.
    (3) If the employee-obligor's aggregate disposable earnings in a 
workweek are equal to or less than 30 times the FLSA minimum hourly 
wage, the employee-obligator's earnings may not be garnished in any 
amount.
    (b) There is no limit on the percentage of an employee-obligor's 
aggregate disposable earnings that may be garnished for a Federal, State 
or local tax obligation or in compliance with an order of any court of 
the United States having jurisdiction over bankruptcy cases under 
Chapter 13 of title 11 of the United States Code. Orders from courts 
having jurisdiction over bankruptcy cases under Chapter 7 or Chapter 11 
of the United States Code are subject to the maximum garnishment 
restrictions in Sec. 582.402(a).

[60 FR 13030, Mar. 10, 1995, as amended at 63 FR 14788, Mar. 26, 1998]



                  Subpart E--Implementation by Agencies



Sec. 582.501  Rules, regulations, and directives by agencies.

    Appropriate officials of all agencies shall, to the extent 
necessary, issue implementing rules, regulations, or directives that are 
consistent with this part or as are otherwise in accordance with 
statutory law.

[63 FR 14788, Mar. 26, 1998]

   Appendix A to Part 582--List of Agents Designated To Accept Legal 
                                 Process

    Note: The agents designated to accept legal process are listed in 
appendix A to part 581 of this chapter. This appendix A to part 582 
provides listings only for those executive agencies where the 
designations differ from those found in appendix A to part 581 of this 
chapter.

                             I. Departments

Department of Defense. Defense Finance and Accounting Service, Cleveland 
Center, Office of General Counsel, Attention: Code L, P.O. Box 998002, 
Cleveland, OH 44199-8002, (216) 522-5301.
    Agents for receipt of all legal process for all Department of 
Defense civilian employees except where another agent has been 
designated as set forth below.
    For requests that apply to employees of the Army and Air Force 
Exchange Service or to civilian employees of the Defense Contract Audit 
Agency (DCAA) and the Defense Logistics Agency (DLA) who are employed 
outside the United States: See appendix A to part 581 of this chapter.
    For requests that apply to civilian employees of the Army Corps of 
Engineers, the National Security Agency, the Defense Intelligence 
Agency, and non-appropriated fund civilian employees of the Air Force, 
serve the following offices:
Army Nonappropriated Fund Employees in Europe. Commander, 266th Theater 
Finance Command, NAF Payroll, Unit 29001-07, APO AE 09007-0137, 
011-49-6221-57-7752, DSN 379-7752.
National Security Agency. General Counsel, National Security Agency/
Central Security Service, 9800 Savage Rd., Ft. George G. Meade, MD 
20755-6000, (301) 688-6705.
Defense Intelligence Agency. Office of General Counsel, Defense 
Intelligence Agency, Pentagon, 2E238, Washington, DC 20340-1029, (202) 
697-3945.
Air Force Nonappropriated Fund Employees. Office of General Counsel, Air 
Force Services Agency, 10100 Reunion Place, Suite 503, San Antonio, TX 
78216-4138, (210) 652-7051.
    For civilian employees of the Army, Navy and Marine Corps who are 
employed outside the United States, serve the following offices:
Army Civilian Employees in Europe. Commander, 266th Theater Finance 
Command, ATTN: AEUCF-CPF, APO AE 09007-0137, 011-49-6221-57-6303/2136, 
DSN 370-6303/2136.
Army Civilian Employees in Japan. Commander, U.S. Army Finance and 
Accounting Office, Japan, ATTN: APAJ-RM-FA-E-CP, Unit 45005, APO AP 
96343-0087, DSN 233-3362.
Army Civilian Employees in Korea. Commander, 175th Finance and 
Accounting Office, Korea, ATTN: EAFC-FO (Civilian Pay), Unit 15300, APO 
AP 96205-0073, 011-822-791-4599, DSN 723-4599.
Army Civilian Employees in Panama. DCSRM Finance & Accounting Office, 
ATTN: SORM-FAP-C, Unit 7153, APO AA 34004-5000, 011-507-287-6766, DSN 
287-5312.

[[Page 677]]

Navy and Marine Corps Civilian Employees Overseas. Director of the 
Office of Civilian Personnel Management, Office of Counsel, Office of 
Civilian Personnel Management (OCPM-OL), Department of the Navy, 800 N. 
Quincy Street, Arlington, VA 22203-1990, (703) 696-4717.
    Navy and Marine Corps Nonappropriated Fund Employees. The agents are 
the same as those designated to receive garnishment orders of Navy and 
Marine Corps nonappropriated fund personnel for the collection of child 
support and alimony, published at 32 CFR part 734 (1994 ed.), except as 
follows:
    For non-civil service civilian personnel of the Navy Exchanges or 
related nonappropriated fund instrumentalities administered by the Navy 
Exchange Service Command: Commander, Navy Exchange Service Command, 
ATTN: Human Resources Beverly Building, 3280 Virginia Beach Boulevard, 
Virginia Beach, VA 23453-5274, (804) 631-3675.
    For non-civil service civilian personnel of Marine Corps 
nonappropriated fund instrumentalities, process may be served on the 
Commanding Officer of the employing activity ATTN: Morale, Welfare and 
Recreation Director.
Department of the Interior. Chief, Payroll Operations Division Attn: 
Code: D-2605, Bureau of Reclamation. Administrative Service Center, 
Department of the Interior, P.O. Box 272030, 7201 West Mansfield Avenue, 
Denver, CO 80227-9030, (303) 969-7739.



PART 591--ALLOWANCES AND DIFFERENTIALS--Table of Contents




                      Subpart A--Uniform Allowances

Sec.
591.101 Purpose.
591.102 Definitions.
591.103 Governmentwide maximum uniform allowance rate.
591.104 Higher initial maximum uniform allowance rate.

 Subpart B--Cost-of-Living Allowance and Post Differential--Nonforeign 
                                  Areas

591.201 Definitions.

            Cost-of-Living Allowances and Post Differentials

591.202 Why does the Government pay COLAs?
591.203 Why does the Government pay post differentials?
591.204 Who can receive COLAs and post differentials?
591.205 Which areas are nonforeign areas?

                        Cost-of-Living Allowances

591.206 How does OPM establish COLA areas?
591.207 Which areas are COLA areas?
591.208 How does OPM establish COLA rates?
591.209 What is a price index?
591.210 What are weights?
591.211 What are the categories of consumer expenditures?
591.212 How does OPM select survey items?
591.213 What prices does OPM collect?
591.214 How does OPM collect prices?
591.215 Where does OPM collect prices in the COLA and DC areas?
591.216 How does OPM combine survey data for the DC area and for COLA 
          areas with multiple survey areas?
591.217 In which outlets does OPM collect prices?
591.218 How does OPM compute price indexes?
591.219 How does OPM compute shelter price indexes?
591.220 How does OPM calculate energy utility cost indexes?
591.221 How does OPM compute the consumer expenditure weights it uses to 
          combine price indexes?
591.222 How does OPM use the expenditure weights to combine price 
          indexes?
591.223 When does OPM conduct COLA surveys?
591.224 How does OPM adjust price indexes between surveys?
591.225 Which CPIs does OPM use?
591.226 How does OPM apply the CPIs?
591.227 What adjustment factors does OPM add to the price indexes?
591.228 How does OPM convert the price index plus adjustment factor to a 
          COLA rate?
591.229 How does OPM inform agencies and employees of COLA rate changes?

                           Post Differentials

591.230 When does OPM establish post differential areas?
591.231 Which areas are post differential areas?
591.232 How does OPM establish and review post differentials?
591.233 Who can receive a post differential?
591.234 Under what circumstances may people recruited locally receive a 
          post differential?

                         Program Administration

591.235 When do COLA and post differential payments begin?
591.236 When do COLA and post differential payments end?
591.237 Under what circumstances may employees on leave or travel 
          receive a COLA and/or post differential?

[[Page 678]]

591.238 How do agencies pay COLAs and post differentials?
591.239 How do agencies treat COLAs and post differentials for the 
          purpose of overtime pay and other entitlements?
591.240 How are agency and employee representatives involved in the 
          administration of the COLA and post differential programs?
591.241 What are the key activities of the COLA Advisory Committees?
591.242 What is the tenure of a COLA Advisory Committee?
591.243 How many members are on each COLA Advisory Committee?
591.244 How does OPM select COLA Advisory Committee members?

Appendix A to Subpart B to Part 591--Places and Rates at Which 
          Allowances Are Paid
Appendix B to Subpart B to Part 591--Places and Rates at Which 
          Differentials Are Paid

         Subpart C--Allowance Based on Duty at Remote Worksites

591.301 Purpose.
591.302 Coverage.
591.303 Responsibilities of agencies and the Office of Personnel 
          Management.
591.304 Criteria for determining remoteness.
591.305 Allowance rates.
591.306 Employee eligibility for an allowance.
591.307 Payment of allowance rate.
591.308 Relationship to additional pay payable under other statutes.
591.309 Effective date for payment of allowances.
591.310 Effect of regulations in this subpart on allowances established 
          under previous statutes.

Appendix A to Subpart C to Part 591--Daily Transportation Allowance 
          Schedule, Commuting Over Land by Private Motor Vehicle to 
          Remote Duty Posts
Appendix B to Subpart C to Part 591--Daily Inconvenience or Hardship 
          Allowance Schedule, Commuting Over Land by Motor Vehicle to 
          Remote Duty Posts

  Subpart D--Separate Maintenance Allowance for Duty at Johnston Island

591.401 Purpose and applicability.
591.402 Definitions.
591.403 Amount of payment.
591.404 Method of payment.
591.405 Responsibilities of agencies.
591.406 Records and reports.



                      Subpart A--Uniform Allowances

    Authority: 5 U.S.C. 5903; E.O. 12748, 3 CFR 1991 Comp., p. 316.

    Source: 59 FR 43705, Aug. 25, 1994, unless otherwise noted.



Sec. 591.101  Purpose.

    This subpart prescribes the regulations authorized by section 5903 
of title 5, United States Code, for the payment of uniform allowances.



Sec. 591.102  Definitions.

    Agency means an ``Executive agency,'' as defined in 5 U.S.C. 105.
    Employee means an employee in or under an agency.
    Category of employees means any group of employees designated by an 
agency that has the same basic uniform requirements.
    Head of agency means the head of an agency or an official who has 
been delegated the authority to act for the head of the agency in the 
matter concerned.
    Uniform means a specified article or articles of clothing that may 
include, but is not limited to, such items as shoes, boots, hats, 
shirts, slacks, skirts, or outerwear an employee is required by an 
agency to wear to provide a distinctive and easily identifiable 
appearance in performing his or her job. A ``uniform'' does not include 
protective equipment required for the employee's safety under 5 U.S.C. 
7903 or normal business or work attire purchased at the discretion of 
the employee.
    Year means any period of 12 consecutive months designated by an 
agency as the basis for applying the maximum uniform allowance rates 
established under this part.



Sec. 591.103  Governmentwide maximum uniform allowance rate.

    Unless a higher initial maximum uniform allowance rate is payable 
under Sec. 591.104 to an employee who is required by statute, 
regulation, or an agency's written administrative procedures to wear a 
uniform, the head of each agency concerned, out of funds available, 
shall--

[[Page 679]]

    (a) Pay an allowance for a uniform not to exceed $400 a year; or
    (b) Furnish a uniform at a cost not to exceed $400 a year.



Sec. 591.104  Higher initial maximum uniform allowance rate.

    (a) The head of an agency may establish one or more initial maximum 
uniform allowance rates greater than the Governmentwide maximum uniform 
allowance rate established under Sec. 591.103.
    (b) A higher initial maximum uniform allowance rate established 
under this section may not exceed the average total uniform cost for the 
minimum basic uniform for the affected employees and, except as provided 
in paragraph (c) of this section, applies only to the year in which the 
employee becomes subject to a requirement to wear the uniform.
    (c) An agency that establishes one or more higher initial maximum 
uniform allowance rates under this section may divide the cost of the 
minimum basic uniform and continue a higher initial maximum uniform 
allowance for the year following the year the employee first becomes 
subject to the requirement to wear the uniform, provided the agency 
publishes a notice of its intention to continue such payments in the 
Federal Register for notice and comment.
    (d) Before establishing a higher initial maximum uniform allowance 
rate under this section, an agency shall publish in the Federal Register 
for notice and comment--
    (1) A description and justification of the circumstances requiring a 
higher initial maximum uniform allowance rate;
    (2) An estimate of the number of employees affected;
    (3) The specific items required for the basic uniform and the 
average total uniform cost for the affected employees;
    (4) The amount of the proposed higher initial maximum uniform 
allowance rate to be paid during the year the employee first becomes 
subject to the uniform requirement;
    (5) The proposed effective date of the higher initial maximum 
uniform allowance rate; and,
    (6) The intent of the agency (if any) to divide the cost of a 
minimum basic uniform and continue to make higher initial maximum basic 
uniform allowance payments in the year following the year the employee 
first becomes subject to the uniform requirement.
    (e) So that OPM can evaluate agencies' use of this authority and 
provide the Congress and others with information regarding the use of a 
higher initial maximum uniform allowance rate, each agency concerned 
shall maintain such other records and submit to OPM such other reports 
and data as OPM shall require.
    (f) When OPM determines that an agency is using this authority 
inappropriately, OPM may require its prior approval before that agency 
establishes any future higher initial maximum uniform allowance rate.
    (g) An agency may increase a higher initial maximum uniform 
allowance rate only as a result of an increase in the average total 
uniform cost for the affected employees. Before effecting an increase 
under this paragraph, an agency shall follow the notice and comment 
procedures required by paragraph (d) of this section.
    (h) To establish a higher initial maximum uniform allowance rate 
applicable to the initial year a new style or type of minimum basic 
uniform is required for a category of employees, an agency shall use the 
higher initial maximum uniform allowance procedures provided under this 
section.



 Subpart B--Cost-of-Living Allowance and Post Differential--Nonforeign 
                                  Areas

    Authority: 5 U.S.C. 5941; E.O. 10000, 3 CFR, 1943-1948 Comp., p. 
792; and E.O. 12510, 3 CFR, 1985 Comp., p. 338.

    Source: 67 FR 22340, May 3, 2002, unless otherwise noted.



Sec. 591.201  Definitions.

    In this subpart--
    Agency means an Executive agency as defined in section 105 of title 
5, United States Code, but does not include Government-controlled 
corporations.

[[Page 680]]

    Bureau of Labor Statistics (BLS) means the Bureau of Labor 
Statistics of the Department of Labor.
    Commonwealth of the Northern Mariana Islands (CNMI) means the 
Commonwealth of the Northern Mariana Islands, which is part of the Guam/
CNMI COLA area.
    Consumer Expenditure Survey (CES) means the BLS survey of consumers 
and their expenditures.
    Consumer Price Index (CPI) means the BLS survey of the change of 
consumer prices over time.
    Cost-of-living allowance (COLA) means an allowance that the Office 
of Personnel Management (OPM) establishes under 5 U.S.C. 5941 at a 
location in a nonforeign area where living costs are substantially 
higher than in the Washington, DC, area.
    Cost-of-living allowance area means a geographic area for which OPM 
has authorized a COLA. COLA areas are listed in Sec. 591.207.
    Detailed Expenditure Category (DEC) means the lowest level of 
expenditure shown in tabulated nationwide CES data.
    Major Expenditure Group (MEG) means one of the nine major groups 
into which OPM categorizes expenditures. These categories are food, 
shelter and utilities, clothing, transportation, household furnishings 
and supplies, medical, education and communication, recreation, and 
miscellaneous.
    Nonforeign area means one of the areas listed in Sec. 591.205.
    Office of Personnel Management (OPM) means the Office of Personnel 
Management.
    Official duty station means the duty station for an employee's 
position of record as indicated on his or her most recent notification 
of personnel action. For an employee who is authorized to receive 
relocation allowances under 5 U.S.C. 5737 in connection with an extended 
assignment, the temporary duty station associated with that assignment 
is the employee's official duty station. Exception: A new duty station 
assignment that is followed within 3 working days by a reduction in 
force that results in the employee's separation before the employee is 
required to report for duty at the new location is not an official duty 
station.
    Post differential means an allowance OPM establishes under 5 U.S.C. 
5941 at a location in a nonforeign area where conditions of environment 
differ substantially from conditions of environment in the contiguous 
United States and warrant its payment as a recruitment incentive.
    Post differential area means a geographic area for which OPM 
authorizes a post differential. Post differential areas are listed in 
Sec. 591.231.
    Primary Expenditure Group (PEG) means one of approximately 40 
expenditure groups into which OPM categorizes expenditures. A PEG is the 
first level of categorization under the MEG.
    Rate of basic pay means the rate of pay fixed by statute for the 
position held by an individual before any deductions and exclusive of 
additional pay of any kind, such as overtime pay, night differential, 
extra pay for work on holidays, or other allowances and differentials. 
For firefighters covered by 5 U.S.C. 5545b (as provided in 
Sec. 550.1305(b) of this chapter), straight-time pay for regular 
overtime hours is basic pay.
    Washington, DC, area or DC area means the District of Columbia; 
Montgomery County, MD; Prince Georges County, MD; Arlington County, VA; 
Fairfax County, VA; Prince William County, VA; and the independent 
cities of Alexandria, Fairfax, Falls Church, Manassas, and Manassas 
Park, Virginia.

            Cost-of-Living Allowances and Post Differentials



Sec. 591.202  Why does the Government pay COLAs?

    The Government pays COLAs as additional compensation to certain 
civilian Federal employees in specified nonforeign areas in 
consideration of higher living costs in the local area compared with 
living costs in the Washington, DC, area.



Sec. 591.203  Why does the Government pay post differentials?

    The Government pays post differentials to certain civilian Federal 
employees in specified nonforeign areas as

[[Page 681]]

a recruitment incentive based on conditions of environment in the local 
area compared with conditions in the continental United States. Post 
differentials are designed to attract persons from outside the area to 
work for the Federal Government in the post differential area.



Sec. 591.204  Who can receive COLAs and post differentials?

    (a) Agencies pay COLAs and post differentials authorized under this 
subpart to civilian Federal employees whose rates of basic pay are fixed 
by statute. The following pay plans are covered by this subpart:
    (1) General Schedule,
    (2) Veterans Health Administration (Department of Veterans Affairs),
    (3) Foreign Service (including the Senior Foreign Service),
    (4) Postal Service (where applicable under title 39, United States 
Code),
    (5) Administrative law judges paid under 5 U.S.C. 5372,
    (6) Senior Executive Service (including the Federal Bureau of 
Investigation and Drug Enforcement Administration Senior Executive 
Service),
    (7) Senior-level and scientific or professional positions paid under 
5 U.S.C. 5376, and
    (8) Administrative appeals judges paid under 5 U.S.C. 5372b.
    (b) At its sole discretion and consistent with the intent of 5 
U.S.C. 5941, an agency may apply this subpart to other positions 
authorized by specific law.
    (c) Agencies pay COLAs to employees covered by paragraphs (a) or (b) 
of this section and whose official duty station is in a COLA area as 
defined in Sec. 591.207.
    (d) Agencies pay post differentials to employees covered by 
paragraphs (a) or (b) of this section whose official duty station or 
detail to temporary duty is in a post differential area as defined in 
Sec. 591.231 and who are eligible to receive a post differential under 
Sec. 591.233.



Sec. 591.205  Which areas are nonforeign areas?

    (a) The nonforeign areas are States, commonwealths, territories, and 
possessions of the United States outside the 48 contiguous United States 
and any additional areas the Secretary of State designates as being 
within the scope of Part II of Executive Order 10000, as amended.
    (b) The following areas are nonforeign areas:
    (1) State of Alaska;
    (2) State of Hawaii;
    (3) American Samoa (including the island of Tutuila, the Manua 
Islands, and all other islands of the Samoa group east of longitude 171 
degrees west of Greenwich, together with Swains Island);
    (4) Commonwealth of Puerto Rico;
    (5) Commonwealth of the Northern Mariana Islands;
    (6) Howland, Baker, and Jarvis Islands;
    (7) Johnston Atoll;
    (8) Kingman Reef;
    (9) Midway Atoll;
    (10) Navassaa Island;
    (11) Palmyra Atoll;
    (12) Territory of Guam;
    (13) United States Virgin Islands;
    (14) Wake Atoll;
    (15) Any small guano islands, rocks, or keys that, in pursuance of 
action taken under the Act of Congress, August 18, 1856, are considered 
as pertaining to the United States; and
    (16) Any other islands outside of the contiguous 48 states to which 
the U.S. Government reserves claim.

                        Cost-of-Living Allowances



Sec. 591.206  How does OPM establish COLA areas?

    (a) OPM designates, within nonforeign areas, areas where agencies 
pay employees a COLA by virtue of living costs that are substantially 
higher than those in the Washington, DC, area. In establishing the 
boundaries of COLA areas, OPM considers--
    (1) The existence of a well-defined economic community,
    (2) The availability of consumer goods and services,
    (3) The concentration of Federal employees covered by this subpart, 
and
    (4) Unique circumstances related to a specific location.
    (b) If a department or agency wants OPM to consider establishing or 
revising the definition of a COLA area, the head of the department or 
agency or his or her designee must submit a request in writing to OPM.

[[Page 682]]



Sec. 591.207  Which areas are COLA areas?

    OPM has established the following COLA areas:
    (a) City of Anchorage, AK, and 80-kilometer (50-mile) radius by 
road, as measured from the Federal courthouse;
    (b) City of Fairbanks, AK, and 80-kilometer (50-mile) radius by 
road, as measured from the Federal courthouse;
    (c) City of Juneau, AK, and 80-kilometer (50-mile) radius by road, 
as measured from the Federal courthouse;
    (d) Rest of the State of Alaska;
    (e) City and County of Honolulu, HI;
    (f) County of Hawaii, HI;
    (g) County of Kauai, HI;
    (h) County of Maui (including Kalawao County), HI;
    (i) Commonwealth of Puerto Rico;
    (j) Territory of Guam and Commonwealth of the Northern Mariana 
Islands; and
    (k) U.S. Virgin Islands.



Sec. 591.208  How does OPM establish COLA rates?

    OPM establishes COLA rates based on price differences between the 
COLA area and the Washington, DC, area, plus an adjustment factor. OPM 
expresses price differences as indexes.
    (a) OPM computes price indexes for various categories of consumer 
expenditures.
    (b) OPM combines the price indexes using Consumer expenditure 
weights to produce an overall price index for the COLA area.
    (c) To combine overall price indexes for COLA areas with multiple 
survey areas, OPM uses employment weights to combine overall price 
indexes by survey area for COLA areas. The COLA areas that have multiple 
survey areas are listed in Sec. 591.215(b).
    (d) OPM adds an adjustment factor to the overall price index for the 
COLA area.



Sec. 591.209  What is a price index?

    (a) The price index is the COLA area price divided by the DC area 
price and multiplied by 100.
    (b) Example:
COLA Area Average Price for Item A = $1.233
DC Area Average Price for Item A = $1.164

    Computation:
$1.233/$1.164 = 1.0592783
1.0592783 x 100 = 105.92783.

    (c) In the case of the final index, OPM rounds the index to two 
decimal places.



Sec. 591.210  What are weights?

    (a) A weight is the relative importance or share of a subpart of a 
group compared with the total for the group. A weight is frequently 
expressed as a percentage. For example, in a pie chart, each wedge has a 
percentage that represents its relative importance or the size of the 
wedge compared with the whole pie.
    (b) OPM uses two kinds of weights: Consumer expenditure weights and 
employment weights.
    (1) Consumer expenditure weights. The consumer expenditure weight 
for a category of expenditures (e.g., Food) is the relative importance 
or share (often expressed as a percentage) of that category in terms of 
total consumer expenditures. OPM derives consumer expenditure weights 
from the tabulated results of the Bureau of Labor Statistics (BLS) 
Consumer Expenditure Survey (CES).
    (2) Employment weights. The employment weight is the relative 
employment population of the survey area compared with the employment 
population of the COLA area as a whole. OPM uses the number of General 
Schedule employees in the survey area to compute employment weights. OPM 
uses these employment weights as described in Sec. 591.216(b).



Sec. 591.211  What are the categories of consumer expenditures?

    OPM uses three different types of categories: Major expenditure 
groups, primary expenditure groups, and detailed expenditure categories.
    (a) Major expenditure groups. OPM groups expenditures into nine 
major expenditure groups (MEGs). These categories are food, shelter and 
utilities, clothing, transportation, household furnishings and supplies, 
medical, education and communication, recreation, and miscellaneous.
    (b) Primary expenditure groups. OPM subdivides each MEG into primary 
expenditure groups (PEGs). There are approximately 40 PEGs.

[[Page 683]]

    (c) Detailed expenditure categories. OPM further subdivides each PEG 
into other categories down to the detailed expenditure categories 
(DECs), which are generally equivalent to the most detailed level of 
tabulated CES categories. OPM classifies each DEC into one of the PEGs 
to aggregate DECs with similar demand and cost characteristics into 
PEGs. Alternatively, OPM may remove the DEC entirely from the list of 
expenditures. Therefore, the classification of the DECs into PEGs and 
sub-PEGs does not necessarily follow that used in published CES tables.



Sec. 591.212  How does OPM select survey items?

    (a) OPM selects a sufficient number of items to represent PEGs and 
reduce overall price index variability. In selecting these items, OPM 
applies the following guidelines. The item should be--
    (1) Relatively important (i.e., represent a DEC with a relatively 
large weight) within the PEG;
    (2) Relatively easy to find in both COLA and DC areas;
    (3) Relatively common, i.e., what people typically buy;
    (4) Relatively stable over time, e.g., not a fad item; and
    (5) Subject to similar supply and demand functions.
    (b) To the extent practical, the items OPM surveys in the COLA area 
must be identical to the items that OPM surveys in the DC area or be of 
closely similar quality and quantity, with quantity adjustments as 
necessary. An example of a quantity adjustment is converting prices for 
10 and 12 oz. packages to a price per pound.
    (c) Within any DEC, OPM may specify items that differ in quality and 
quantity from other items specified for the same DEC. However, when OPM 
compares prices for such items between the COLA area and the DC area, 
OPM compares prices of like products.



Sec. 591.213  What prices does OPM collect?

    (a) OPM surveys the price charged to the consumer at the time of the 
survey. The price includes any sales, excise, or general business tax 
passed on to the consumer at the time of sale and any discounts, mark-
downs, or ``sales'' in progress at the time the price was collected.
    (b) Exceptions:
    (1) OPM does not collect coupon prices, going-out-of-business 
prices, or area-wide distress sale prices.
    (2) OPM prices automobiles at dealers and obtains the sticker (i.e. 
non-negotiated) price for the model and specified options. The prices 
are the manufacturer's suggested retail price (including options), 
destination charges, additional shipping charges, appropriate dealer-
added items or options, dealer mark-up, and taxes.
    (3) OPM estimates prices for selected items, such as health 
insurance and K-12 education, based on employee usage of the item. For 
example, OPM estimates health insurance prices based on the employee's 
share of the premium costs and weights reflecting Federal enrollment, as 
reported in OPM's Central Personnel Data File, in the various plans 
available to Federal employees in each area.



Sec. 591.214  How does OPM collect prices?

    (a) OPM collects most prices by visiting or calling retail outlets 
in each survey area and observing or verbally obtaining the item prices.
    (b) OPM prices some items by catalog, Internet, or a similar source. 
Other items, not normally sold within an area, may be priced in a 
different area. In either case, the price of such items includes any 
applicable taxes, shipping, and handling charges. When an item is 
normally sold within an area but is not available at the time of survey, 
OPM may, on a case-by-case basis, use the price of the item in a 
neighboring survey or COLA area.



Sec. 591.215  Where does OPM collect prices in the COLA and DC areas?

    (a) Survey areas. Each COLA area has one survey area, except Hawaii 
County, HI, and the U.S. Virgin Islands COLA areas. Hawaii County has 
two survey areas: the City of Hilo and the Kailua-Kona area. The U.S. 
Virgin Islands also has two survey areas: the Island of St. Croix and 
the Islands of St. Thomas and St. John. The Washington, DC,

[[Page 684]]

area has three survey areas: the District of Columbia, the Maryland 
suburbs of the District of Columbia, and the Virginia suburbs of the 
District of Columbia. OPM collects non-housing data throughout the 
survey area. OPM may collect housing data throughout the survey area or 
in specific housing data collection areas. The following table shows the 
survey areas:

                    Survey and Data Collection Areas
------------------------------------------------------------------------
     COLA areas &  reference areas                 Survey area
------------------------------------------------------------------------
Anchorage..............................  City of Anchorage.
Fairbanks..............................  City of Fairbanks.
Juneau.................................  Juneau, Mendenhall.
Rest of Alaska.........................  See paragraph (c) of this
                                          section.
Honolulu...............................  City and County of Honolulu.
Hawaii County..........................  City of Hilo, Kailua-Kona area.
Kauai..................................  Kauai Island.
Maui...................................  Maui Island.
Guam & CNMI............................  Guam.
Puerto Rico............................  San Juan area.
U.S. Virgin Islands....................  St. Croix, St. Thomas, St. John
                                          (housing data only).
Washington, DC-DC......................  District of Columbia.
Washington, DC-MD......................  Montgomery County and Prince
                                          Georges County.
Washington, DC-VA......................  Arlington County, Fairfax
                                          County, Prince William County,
                                          City of Alexandria, City of
                                          Fairfax, City of Falls Church,
                                          City of Manassas, and City of
                                          Manassas Park.
------------------------------------------------------------------------

    (b) Rest of the State of Alaska COLA area. OPM may collect survey 
data onsite, use alternative indicators of relative living costs (e.g., 
price and cost information published by the University of Alaska), or 
both. If the use of alternative indicators would result in a COLA rate 
reduction, OPM will conduct onsite surveys in one or more locations in 
the Rest of the State of Alaska COLA area, before making a reduction, to 
ensure that the reduction is warranted.
    (c) Determining Survey Coverage. To aid OPM in determining survey 
coverage, OPM may from time to time conduct surveys of Federal employees 
in the COLA areas and/or the Washington, DC, area to determine where 
employees shop and what they spend on certain goods or services and to 
collect other information related to the price surveys and the 
calculation of price indexes.



Sec. 591.216  How does OPM combine survey data for the DC area and for COLA areas with multiple survey areas?

    (a) Washington, DC, area. For each survey item except shelter, OPM 
averages separately the prices collected in each of the DC survey areas 
identified in Sec. 591.215(a) and then averages these average prices 
together using equal weights to compute an overall average by item for 
the DC area.
    (b) COLA areas with multiple survey areas. OPM computes weighted 
average indexes at the PEG, MEG, and overall level by using the 
corresponding indexes and Federal employment weights from each survey 
area within the COLA area.



Sec. 591.217  In which outlets does OPM collect prices?

    OPM collects prices in popular outlets in each survey area. OPM 
selects these outlets based on their proximity to the housing data 
collection areas, accessibility by road, physical size, advertising, and 
other characteristics that reflect sales volume. To the extent 
practical, OPM prices like items in the same types of outlets in the 
COLA areas and the Washington, DC, area. As warranted, OPM also may 
conduct point-of-purchase surveys and select outlets based on the 
results of those surveys.



Sec. 591.218  How does OPM compute price indexes?

    Except for shelter and energy utilities, OPM averages by item the 
prices collected in each survey area. For the Washington, DC, area, OPM 
computes a simple average for each item based on the average prices from 
each DC survey area. On an item-by-item basis, OPM divides the COLA 
survey area average price by the DC average price and produces a price 
index.

[[Page 685]]



Sec. 591.219  How does OPM compute shelter price indexes?

    (a) In addition to rental and rental equivalence prices and/or 
estimates, OPM obtains for each unit surveyed information about the 
important characteristics of the unit, such as size, number of 
bathrooms, and other amenities that reflect the quality of the unit.
    (b) OPM then uses these characteristics and rental prices and/or 
estimates in hedonic regressions (a type of multiple regression) to 
compute for each COLA area the price index for rental and/or rental 
equivalent units of comparable quality and size between the COLA survey 
area and the Washington, DC, area.



Sec. 591.220  How does OPM calculate energy utility cost indexes?

    (a) OPM calculates energy utility cost indexes based on the relative 
cost of maintaining a standard size dwelling in each area at a given 
ambient temperature and the cost of other energy uses. Although the 
dwelling size may vary from one COLA survey area to another, OPM 
compares the utility cost for the same size dwelling in the COLA survey 
area and the Washington, DC, area.
    (b) OPM applies the following six-step process to compute a cost 
index(es) for heating and cooling a standard home to a given ambient 
temperature and to combine the cost index(es) by energy type (e.g., 
electricity and natural gas) with cost indexes for other energy uses.
    (1) Step 1. OPM obtains technical information about the requirements 
by major energy type for heating and cooling a standard size dwelling, 
built according to current local building practices and codes in each 
area, given local climatic conditions (e.g., seasonal temperature and 
humidity). OPM also obtains similar information for use of energy types 
in other household operations (e.g., hot water, cooking, cleaning, 
recreation).
    (2) Step 2. OPM obtains from the shelter survey, a survey of Federal 
employees, or other appropriate sources, information on dwelling size 
and the types and prevalence of heating and cooling equipment and energy 
types (e.g., electricity, gas, and oil) in each area.
    (3) Step 3. OPM computes estimates of total home energy requirements 
by energy type attributable to heating and cooling plus all other 
household energy uses for the COLA survey area and the Washington, DC, 
area.
    (4) Step 4. OPM surveys utility prices for each major energy type 
appropriate to the area.
    (5) Step 5. OPM combines the above data to produce for each COLA 
survey area the cost of maintaining the standard size dwelling at a 
given ambient temperature and the cost of other household energy uses.
    (6) Step 6. OPM compares the COLA survey area cost with the DC area 
cost to produce a price index.



Sec. 591.221  How does OPM compute the consumer expenditure weights it uses to combine price indexes?

    OPM uses the following ten-step process to compute consumer 
expenditure weights:
    (a) Step 1. OPM obtains the latest BLS tabulated CES data nationwide 
and for the Washington, DC, area.
    (b) Step 2. In both the nationwide and DC area tabulated data, OPM 
replaces the homeowners' expenditures for shelter with estimated rental 
values of owned homes that are available elsewhere in tabulated CES 
data. Note: These replacements are consistent with the rental 
equivalence approach described in Sec. 591.219.
    (c) Step 3. OPM selects the central income groups in the nationwide 
CES tabulation.
    (d) Step 4. OPM calculates the expenditure shares (i.e., 
percentages) for each central income group by dividing each of its DEC 
expenditures by total expenditures for the income group. OPM also 
calculates expenditure shares for total nationwide expenditures by 
dividing each nationwide DEC expenditure by total nationwide 
expenditures.
    (e) Step 5. OPM computes a democratic distribution of expenditure 
shares by averaging the central income groups' shares at each DEC and 
higher level of aggregation.
    (f) Step 6. OPM computes a set of ratios by dividing each 
expenditure share of the nationwide democratic distribution by the 
corresponding expenditure

[[Page 686]]

share of the total national distribution.
    (g) Step 7. OPM computes estimated expenditures for Washington DC 
for each DC DEC and higher level of aggregation that BLS reported by 
multiplying the reported expenditure by the corresponding ratio derived 
in Step 6.
    (h) Step 8. For each DC DEC and higher level of aggregation that BLS 
did not report, OPM computes expenditures for DC by distributing the DC 
expenditure calculated in step 7 using the distribution of expenditure 
shares derived in step 5.
    (i) Step 9. As described in Sec. 591.211(c), OPM classifies each DEC 
and aggregate into PEGs.
    (j) Step 10. OPM computes expenditure weights by dividing each DEC 
or aggregate by the total expenditure derived from the DC expenditure 
computed in step 8. Therefore, the sum of the MEGs, PEGs, and DECs, will 
separately total 100, i.e., so that all consumer expenditures in the 
original tabulation are accounted for.



Sec. 591.222  How does OPM use the expenditure weights to combine price indexes?

    OPM uses a three-step process to combine price indexes.
    (a) Step 1. For each DEC represented by one or more items for which 
OPM could make valid price comparisons (e.g., OPM was able to collect 
representative prices in both the COLA and DC areas), OPM computes the 
unweighted geometric average (the nth root of the product of n numbers) 
of the price index(es) of all item(s) representing the DEC.
    (b) Step 2. OPM multiplies the price index for each DEC by its 
expenditure weight, sums the cross products, and divides by the sum of 
the weights used in the calculation. This produces a price index for the 
level of aggregation (e.g., PEG or sub-PEG) in which the DEC is 
categorized.
    (c) Step 3. OPM repeats the process described in step 2 at each 
level of aggregation within the PEG to produce a price index for the 
PEG, at the PEG level to produce an index for the MEG, and at the MEG 
level to produce the overall price index for the survey area.



Sec. 591.223  When does OPM conduct COLA surveys?

    (a) OPM conducts a survey in each COLA area once every 3 years on a 
rotational basis and surveys the Washington, DC, area concurrently with 
each COLA area survey. The order of the COLA area surveys is as follows:
    (1) Year 1. All COLA areas in the Commonwealth of Puerto Rico and 
the U.S. Virgin Islands.
    (2) Year 2. All COLA areas in the State of Alaska, except as 
provided in paragraph (b)(2) of this section.
    (3) Year 3. All COLA areas in the State of Hawaii and the Territory 
of Guam and CNMI.
    (b) Exceptions:
    (1) Nothing in this subpart precludes OPM from conducting interim 
surveys or implementing some other change in response to conditions 
caused by a natural disaster or similar emergency, provided OPM 
publishes a notice or rule in the Federal Register explaining the change 
and the reason(s) for it.
    (2) As provided in Sec. 591.215(c), OPM does not conduct surveys in 
the Rest of the State of Alaska COLA area unless COLA rate reductions 
appear warranted.



Sec. 591.224  How does OPM adjust price indexes between surveys?

    (a) OPM adjusts price indexes between the triennial surveys in each 
COLA area that is not surveyed in that year. To do this, OPM uses the 
annual or biennial change in the Consumer Price Index (CPI) for the COLA 
area relative to the annual or biennial change in the CPI for the 
Washington, DC, area. OPM uses the annual change for those areas 
surveyed the preceding year. OPM uses the biennial change for those 
areas surveyed 2 years before.
    (b) This section applies beginning with the effective date of the 
results of the second survey conducted in Puerto Rico and the U.S. 
Virgin Islands under these regulations.



Sec. 591.225  Which CPIs does OPM use?

    OPM uses the following CPIs:
    (a) For the Washington, DC, area--the BLS Consumer Price Index, All 
Urban Consumers (CPI-U);

[[Page 687]]

    (b) For all COLA areas in the State of Alaska--the BLS CPI-U for 
Anchorage, AK;
    (c) For all COLA areas in the State of Hawaii and for Guam and the 
CNMI--the BLS CPI-U for Honolulu, HI; and
    (d) For Puerto Rico and the U.S. Virgin Islands--the Puerto Rico CPI 
as produced by the Puerto Rico Department of Work and Human Resources.



Sec. 591.226  How does OPM apply the CPIs?

    (a) OPM uses a three-step process to adjust price indexes by 
relative annual or biennial changes in the CPIs. For steps 1 and 2, OPM 
computes the annual change by dividing the CPI from 1 year after the 
survey by the CPI from the time of the survey. OPM computes the biennial 
change by dividing the CPI from 2 years after the survey by the CPI from 
the time of the survey.
    (1) Step 1. OPM computes the annual or biennial CPI change for the 
COLA area.
    (2) Step 2. OPM computes the annual or biennial CPI change for the 
DC area.
    (3) Step 3. OPM multiplies the COLA area price index from the last 
survey by the COLA area CPI change computed in step 1 divided by the DC 
area CPI change computed in step 2. The adjusted price index is rounded 
to the second decimal place.
    (b) Example:

------------------------------------------------------------------------
                                                          2008     2009
------------------------------------------------------------------------
COLA Area CPI.........................................   172.2    174.7
DC Area CPI...........................................   159.7    161.9
COLA Area Survey Index................................   117.33   (1)
COLA Area CPI Adjusted Index..........................   (2)      117.42 
------------------------------------------------------------------------
\1\ No survey.
\2\ N/A

    Computation:
117.33 x (174.7/172.2)/(161.9/159.7) = 117.4159, which would round to 
117.42.



Sec. 591.227  What adjustment factors does OPM add to the price indexes?

    OPM adds to the price index an adjustment factor that reflects 
differences in need, access to and availability of goods and services, 
and quality of life in the COLA area relative to the DC area. The 
following table shows the adjustment factor for each area:

------------------------------------------------------------------------
                           COLA area                             Amount
------------------------------------------------------------------------
Anchorage, AK.................................................       7.0
Fairbanks, AK.................................................       9.0
Juneau, AK....................................................       9.0
Rest of the State of Alaska...................................       9.0
City and County of Honolulu, HI...............................       5.0
Hawaii County, HI.............................................       7.0
Kauai County, HI..............................................       7.0
Maui County, HI...............................................       7.0
Guam and CNMI.................................................       9.0
Commonwealth of Puerto Rico...................................       7.0
U.S. Virgin Islands...........................................      9.0
------------------------------------------------------------------------
\1\ Amount added to the price index.



Sec. 591.228  How does OPM convert the price index plus adjustment factor to a COLA rate?

    (a) OPM converts the price index plus the adjustment factor to a 
COLA rate as shown in the following table:

------------------------------------------------------------------------
                                                COLA rate subject to
    Price index plus adjustment factor          paragraph (b) of this
                                                       section
------------------------------------------------------------------------
Equal to or greater than 124.50...........  25 percent.
Equal to or greater than 102.00 but less    Price index plus the
 than 124.50.                                adjustment factor, minus
                                             100, expressed to the
                                             nearest whole percent.
Less than 102.00..........................  0 percent.
------------------------------------------------------------------------

    (b) This section is applicable on an area-by-area basis beginning 
with the effective date of the results of the first survey conducted in 
each area.
    (c) OPM may reduce the COLA rate in any area by no more than 1 
percentage point in any 12-month period. Any reduction in the COLA rate 
for any COLA area cannot be effective until the effective date of the 
first survey conducted in Hawaii and Guam and CNMI under these 
regulations.



Sec. 591.229  How does OPM inform agencies and employees of COLA rate changes?

    OPM publishes COLA area survey summary reports, MEG and PEG indexes, 
and COLA rates in the Federal Register. OPM makes survey data and other 
information available to the public to the extent authorized by the 
Freedom of Information Act and the Privacy Act.

                           Post Differentials



Sec. 591.230  When does OPM establish post differential areas?

    (a) OPM establishes post differential areas in response to agency 
requests when--

[[Page 688]]

    (1) Conditions of environment within the post differential area 
differ substantially from conditions of environment in the continental 
United States, and
    (2) The major Federal employers within the area believe payment of a 
post differential is warranted as a recruitment incentive to attract 
candidates from outside the post differential area to work for the 
Government in the post differential area.
    (b) If a department or agency wants OPM to consider establishing or 
revising the definition of a post differential area, the head of the 
department or agency or his or her designee must submit a request in 
writing to OPM.



Sec. 591.231  Which areas are post differential areas?

    OPM has established the following post differential areas:
    (a) American Samoa as defined in Sec. 591.205,
    (b) Territory of Guam,
    (c) Commonwealth of the Northern Mariana Islands,
    (d) Johnston Atoll (including Sand Island),
    (e) Midway Atoll, and
    (f) Wake Atoll.



Sec. 591.232  How does OPM establish and review post differentials?

    (a) OPM establishes a post differential by rulemaking if Government 
agencies require it for recruitment purposes and if one or more of the 
following conditions exist:
    (1) Extraordinarily difficult living conditions,
    (2) Excessive physical hardship, and/or
    (3) Notably unhealthful conditions.
    (b) OPM periodically reviews with Federal agencies whether 
conditions of environment have changed in the post differential areas 
and whether payment of the post differential continues to be warranted 
as a recruitment incentive.



Sec. 591.233  Who can receive a post differential?

    An employee must meet all of the following conditions to be eligible 
to receive a post differential:
    (a) The employee must be a citizen or national of the United States,
    (b) The employee's official duty station or detail to temporary duty 
must be in the post differential area, and
    (c) Immediately prior to being assigned to duty in the post 
differential area, the employee must have maintained his or her actual 
place(s) of residence outside the post differential area for an 
appropriate period of time (generally at least 1 year or more), except 
as provided in Sec. 591.234.



Sec. 591.234  Under what circumstances may people recruited locally receive a post differential?

    (a) Current residents of the area qualify for a post differential if 
they were originally recruited from outside the differential area and 
have been in substantially continuous employment by the United States or 
by U.S. firms, interests, or organizations.
    (b) Examples of persons recruited locally but eligible to receive a 
post differential include, but are not limited to--
    (1) Those who were originally recruited from outside the area and 
have been in substantially continuous employment by other Federal 
agencies, contractors of Federal agencies, or international 
organizations in which the U.S. Government participates and whose 
conditions of employment provide for their return transportation to 
places outside the post differential area,
    (2) Those who are temporarily present in the post differential area 
for travel or formal study at the time they are hired and have 
maintained actual places of residence outside the area for an 
appropriate period of time, and
    (3) Those who are discharged from U.S. military service in the 
differential area to accept employment with a Federal agency and have 
maintained actual places of residence outside the differential area for 
an appropriate period of time.

                         Program Administration



Sec. 591.235  When do COLA and post differential payments begin?

    (a) Agencies begin paying an employee a COLA or post differential on 
the effective date of the change in the employee's official duty station 
to a duty station within the COLA or post

[[Page 689]]

differential area or, in the case of local recruitment, on the effective 
date of the appointment.
    (b) For an employee detailed to temporary duty in a post 
differential area and who is otherwise eligible for a post differential, 
agencies must begin paying a post differential after 42 consecutive 
calendar days of temporary duty in the post differential area.



Sec. 591.236  When do COLA and post differential payments end?

    Subject to Sec. 591.237(a), agencies stop paying an employee a COLA 
or post differential on--
    (a) Separation,
    (b) The effective date of assignment or transfer to a new official 
duty station outside the COLA or post differential area, or
    (c) In the case of an employee on detail to temporary duty in a post 
differential area, the ending date of the detail.



Sec. 591.237  Under what circumstances may employees on leave or travel receive a COLA and/or post differential?

    (a) An employee on leave or travel may receive a COLA or post 
differential only if the agency anticipates that the employee will 
return to duty in the area. Exceptions: If the employee does not return 
to duty in the area, the agency may still pay a COLA and/or a post 
differential for the period of leave or travel, subject to paragraph (b) 
of this section, if the agency determines that--
    (1) It is in the public interest not to return the employee to the 
duty station, or
    (2) The employee will not return because of compelling personal 
reasons or circumstances over which the employee has no control.
    (b) Post differentials. Agencies may pay a post differential to an 
employee only during the employee's first 42 consecutive calendar days 
of absence from the post differential area.



Sec. 591.238  How do agencies pay COLAs and post differentials?

    (a) Agencies pay COLAs and post differentials as a percentage of an 
employee's hourly rate of basic pay, including a retained rate of pay 
under 5 U.S.C. 3594(c) or 5363, for those hours during which the 
employee receives basic pay. This includes all periods of paid leave, 
detail, or travel status outside the COLA or post differential area.
    (b) Agencies pay employees eligible for both a COLA and a post 
differential the full amount of the COLA, plus so much of the post 
differential as will not cause the combined total of the COLA and post 
differential to exceed 25 percent of the hourly rate of basic pay.



Sec. 591.239  How do agencies treat COLAs and post differentials for the purpose of overtime pay and other entitlements?

    (a) Agencies include COLAs in the employee's straight time rate of 
pay and include COLAs and post differentials in an employee's regular 
rate of pay for computing overtime pay entitlements for nonexempt 
employees under the Fair Labor Standards Act of 1938, as amended.
    (b) Agencies may not include a COLA or post differential as part of 
an employee's rate of basic pay for the purpose of computing 
entitlements to overtime pay, retirement, life insurance, or any other 
additional pay, COLA, or post differential under title 5, United States 
Code.
    (c) Payment of a COLA or post differential is not an equivalent 
increase in pay within the meaning of 5 U.S.C. 5335.



Sec. 591.240  How are agency and employee representatives involved in the administration of the COLA and post differential programs?

    (a) OPM may establish a COLA Advisory Committee in each COLA survey 
area. The committees are composed of agency and employee representatives 
from the COLA survey area and one or more representatives from OPM.
    (b) To the extent practical, the COLA Advisory Committees coordinate 
and work with the Survey Implementation Committee established pursuant 
to Caraballo, et al. v. United States, No. 1997-0027 (D.V.I).



Sec. 591.241  What are the key activities of the COLA Advisory Committees?

    (a) The COLA Advisory Committees may--

[[Page 690]]

    (1) Advise and assist OPM in planning living-cost surveys;
    (2) Provide or arrange for observers for data collection during 
living-cost surveys;
    (3) Advise and assist OPM in the review of survey data;
    (4) Advise OPM on its administration of the COLA program, including 
survey methodology; and
    (5) Assist OPM in disseminating information to affected employees 
about the living-cost surveys and the COLA program.
    (b) The committees also may advise OPM on special situations or 
conditions, such as hurricanes and earthquakes, as they relate to OPM's 
authority under Sec. 591.223(b) to conduct interim surveys or implement 
some other change in response to conditions caused by a natural disaster 
or similar emergency.



Sec. 591.242  What is the tenure of a COLA Advisory Committee?

    OPM may establish a COLA Advisory Committee in each area prior to 
each living-cost survey conducted in that area. OPM will appoint 
committee members for 3-year renewable terms. To the extent practical, 
the committee will continue to exist between surveys, but OPM may 
periodically review with the committee whether there is a continuing 
need for the committee.



Sec. 591.243  How many members are on each COLA Advisory Committee?

    A COLA Advisory Committee has up to 12 members composed of OPM 
representatives and other agency and employee representatives, unless 
OPM determines that the committee should be larger. In determining the 
number of committee members, OPM considers the amount of work the 
committee is likely to be requested to do (based on the size and 
complexity of the local living-cost survey) and the availability of 
employee and agency representatives to participate as committee members.



Sec. 591.244  How does OPM select COLA Advisory Committee members?

    (a) In establishing a COLA Advisory Committee, OPM invites local 
agencies and employee organizations to nominate committee members. OPM 
also invites COLA Defense Corporations and the local Federal Executive 
Board or Federal Executive Association each to nominate committee 
members. Subject to Sec. 591.243, OPM selects committee members from 
these nominations in a manner designed to achieve a balanced 
representation that is reflective of agencies and employee organizations 
in the area. In consultation with the committee, OPM may select 
additional nominees to serve as alternates to the primary committee 
members. OPM designates not more than two OPM representatives to serve 
on each committee.
    (b) Each Executive agency, as defined in 5 U.S.C. 105, must 
cooperate and release appointed employees for committee proceedings and 
activities unless the agency can demonstrate that exceptional 
circumstances directly related to accomplishing the mission of the 
employee's work unit require his or her presence on the job. Executive 
agency employees serving as committee members are considered to be on 
official assignment to an interagency function, rather than on leave, 
and are eligible to receive reimbursement for authorized travel expenses 
from their respective agencies.

     Appendix A to Subpart B to Part 591--Places and Rates at Which 
                           Allowances Are Paid

    This appendix lists the places approved for a cost-of-living 
allowance and shows the authorized allowance rate for each. The 
allowance percentage rate shown is paid as a percentage of an employee's 
rate of basic pay. The rates are subject to change based on the results 
of future surveys.

------------------------------------------------------------------------
                                                               Allowance
                     Geographic coverage                          rate
                                                               (percent)
------------------------------------------------------------------------
State of Alaska:
    City of Anchorage and 80-kilometer (50-mile) radius by         25.00
     road....................................................
    City of Fairbanks and 80-kilometer (50-mile) radius by         25.00
     road....................................................
    City of Juneau and 80-kilometer (50-mile) radius by road.      25.00
    Rest of the State........................................      25.00
State of Hawaii:
    City and County of Honolulu..............................      25.00
    County of Hawaii.........................................      16.50
    County of Kauai..........................................      23.25
    County of Maui and County of Kalawao.....................      23.75
Territory of Guam and Commonwealth of the Northern Mariana         25.00
 Islands.....................................................
Commonwealth of Puerto Rico..................................      11.50

[[Page 691]]

 
U.S. Virgin Islands..........................................      22.50
------------------------------------------------------------------------

     Appendix B to Subpart B to Part 591--Places and Rates At Which 
                         Differentials Are Paid

    This appendix lists the places where a post differential has been 
approved and shows the differential rate to be paid to eligible 
employees. The differential percentage rate shown is paid as a 
percentage of an employee's rate of basic pay.

------------------------------------------------------------------------
                                                             Percentage
                    Geographic coverage                     differential
                                                                rate
------------------------------------------------------------------------
American Samoa (including the island of Tutuila, the Manua         25.0
 Islands, and all other islands of the Samoa group east of
 longitude 171[deg] west of Greenwich, together with
 Swains Island)...........................................
Johnston Atoll............................................         25.0
Midway Atoll..............................................         25.0
Territory of Guam and Commonwealth of the Northern Mariana         20.0
 Islands..................................................
Wake Atoll................................................         25.0
------------------------------------------------------------------------



         Subpart C--Allowance Based on Duty at Remote Worksites

    Authority: 5 U.S.C. 5942; sec. 8, E.O. 11609, 3 CFR 1971-1975 Comp., 
p. 591; 5 U.S.C. 1104, Pub. L. 95-454, 92 Stat. 1120 and Sec. 3(5) of 
Pub. L. 95-454; 92 Stat. 1120.

    Source: 44 FR 55134, Sept. 25, 1979, unless otherwise noted.



Sec. 591.301  Purpose.

    This subpart prescribes the regulations required by section 5942 of 
title 5, United States Code, for the payment of an allowance based on 
duty at remote worksites.



Sec. 591.302  Coverage.

    (a) Agencies. This subpart applies to executive departments as 
defined in section 101 of title 5, United States Code, and to 
independent establishments as defined in section 104 of title 5, United 
States Code, but does not apply to Government corporations as defined in 
section 103 of title 5, United States Code.
    (b) Employee. This subpart applies to each employee assigned to a 
permanent duty station at or within a designated remote duty post, 
except an employee who is a permanent or temporary resident at the 
remote duty post, and except foreign nationals employed at remote duty 
posts in foreign countries.



Sec. 591.303  Responsibilities of agencies and the Office of Personnel Management.

    (a) Each agency is responsible for:
    (1) Establishing and subsequently adjusting, in accordance with the 
provisions of this subpart, an allowance for each remote duty post at 
which the agency has employees and which meets the criteria in paragraph 
(a)(1) of Sec. 591.304, as restricted by paragraph (b) of Sec. 591.304;
    (2) Advising the Office of Personnel Management of each 
establishment or adjustment of an allowance under paragraph (a)(1) of 
this section, and of the basis for such establishment or adjustment;
    (3) Submitting a recommendation to the Office of Personnel 
Management to establish or adjust an allowance for each remote duty post 
at which the agency has employees and which meets the criteria in 
paragraph (a)(2) or (a)(3) or paragraph (c) of Sec. 591.304; and
    (4) Advising the Office of Personnel Management in a timely manner 
of any changes in a duty post or commuting conditions or other factors 
that may affect an allowance that has been authorized by the Office of 
Personnel Management under paragraph (b) of this section.
    (b) The Office of Personnel Management is responsible for:
    (1) Establishing and subsequently adjusting, in accordance with the 
provisions of this subpart, an allowance for each remote duty post which 
does not meet the criteria in paragraph (a)(1) of Sec. 591.304, but does 
meet the criteria in paragraph (a)(2) or (a)(3) or paragraph (c) of 
Sec. 591.304;
    (2) Reviewing each establishment or adjustment of an allowance by an 
agency under paragraph (a)(1) of this section to determine if such 
establishment or adjustment is in accordance with the provisions of this 
subpart; and
    (3) Directing the termination or adjustment of any allowance 
determined by the Office to be not in accordance with the provisions of 
this subpart, which termination or adjustment shall

[[Page 692]]

be implemented by the agency without delay.
    (c) Each allowance which has been authorized by the Office of 
Personnel Management or the Civil Service Commission on or before 
February 1, 1979, and which is authorized for a remote duty post which 
meets the criteria in paragraph (a)(1) of Sec. 591.304, shall be subject 
to further adjustment by the agency under paragraph (a)(1) of this 
section as if such allowance had been initially authorized by the agency 
under that paragraph.



Sec. 591.304  Criteria for determining remoteness.

    (a) Except as provided by paragraphs (b) and (c) of this section, a 
duty post shall be determined to be a remote duty post for basic 
allowance eligibility purposes when:
    (1) Normal ground transportation (e.g., automobile, train, bus) is 
available on a daily basis and the duty post is 80 kilometers (50 
miles), or more, one way from the nearest established community or 
suitable place of residence. Distance shall be computed in road or rail 
kilometers (miles) over the most direct route traveled from the center 
of the city, or other appropriate point for large cities or areas; or
    (2) Daily commuting is impractical because the location of the duty 
post and available transportation are such that agency management 
requires employees to remain at the duty post for their workweek as a 
normal and continuing part of the conditions of employment; or
    (3) Transportation may be accomplished only by boat, aircraft, or 
unusual conveyance, or under extraordinary conditions, and the distance, 
time, and commuting conditions result in expense, inconvenience, or 
hardship significantly greater than that encountered in metropolitan 
area commuting. A determination may only be made on an individual 
location basis.
    (b) Except when the criteria in paragraph (a)(2) or (3) of this 
section are met, the criteria in paragraph (a)(1) of this section are 
not met:
    (1) When the duty post is within the boundary of a metropolitan 
area, a developed urban area, or community of sufficient size to provide 
adequate consumer facilities; and
    (2) When the duty post is within 80 kilometers (50 miles) of the 
center of, or other appropriate point for large cities or areas, a 
metropolitan area, a developed urban area, or community of sufficient 
size to provide adequate consumer facilities. (This generally excludes a 
post of duty within 80 kilometers (50 miles) of any city of 5,000 or 
more population.)
    (c) A determination of remoteness for a duty post outside the 50 
United States will be made on an individual location basis, taking into 
consideration the distance, time, and commuting conditions, and the 
extent to which these factors result in significant expense, 
inconvenience, or hardship.

[44 FR 55134, Sept. 25, 1979, as amended by 58 FR 32278, June 9, 1993]



Sec. 591.305  Allowance rates.

    (a) General. An allowance rate may not exceed $10 a day. An 
allowance rate shall be established for each post of duty determined to 
be remote under Sec. 591.304, and shall be terminated or adjusted as 
warranted. In determining the amount of the allowance rate, the 
following shall be considered:
    (1) Transportation expenses incurred in commuting to the remote post 
of duty as compared to transportation expenses (including cost of public 
transportation service) representative of those incurred in metropolitan 
areas within the United States or overseas as appropriate as 
periodically determined by the Office of Personnel Management.
    (2) Expenses incurred for lodging, meals, other services, and 
miscellaneous expenses when it is not feasible for an employee to 
commute daily as at duty posts determined under Sec. 591.304(a)(2).
    (3) Inconvenience or hardship associated with commuting to the 
remote duty post taking into account such factors as travel time, road 
conditions and terrain, type and quality of vehicle, and climate 
conditions, and conditions that exist at those duty posts determined by 
the Office of Personnel Management to meet the criteria in 
Sec. 591.304(a)(2).

[[Page 693]]

    (4) Operational or workload demands, weather conditions, or other 
situations which require an employee to report to or remain at this post 
of duty substantially beyond his or her normal arrival or departure time 
with respect to those duty posts meeting the criteria in 
Sec. 591.304(a)(2).
    (b) Authorized allowance rates. Each authorized allowance rate for 
each duty post may consist of up to three parts, separately stated as 
appropriate, and the authorized allowance rate shall be paid as provided 
in Sec. 591.306, but no employee may be paid more than $10 a day. The 
parts which make up the authorized allowance rate are:
    (1) Transportation allowance--(i) Commuting by private motor 
vehicle. A transportation allowance schedule showing the daily 
transportation expense rate to be paid under the distances and 
conditions described, when commuting by private motor vehicle is set out 
as appendix A to this subpart and is incorporated in and made part of 
this section.
    (ii) Travel by commercial or Government-provided transportation. The 
transportation allowance shall be limited to the cost of the service 
less normal cost for public transportation service in metropolitan 
areas.
    (2) Inconvenience or hardship allowance. An allowance rate to 
compensate for hardship or inconvenience may not be considered unless 
the travel time normally exceeds one hour one way between the closest 
established community or suitable place or residence and the remote duty 
post. An allowance schedule covering land travel by motor vehicle, 
showing the daily rates to be paid under the time factors and conditions 
described, for inconvenience or hardship combined, is set out as 
appendix B to this subpart and is incorporated in and made part of this 
section.
    (3) Other commuting situations. Notwithstanding paragraphs (b)(1) 
and (b)(2) of this section, when commuting is by boat, aircraft or an 
unusual conveyance, or under extraordinary conditions by motor vehicle, 
or involving factors or conditions unique to the duty post, the Office 
of Personnel Management shall establish the allowance based on the facts 
and circumstances of that individual remote duty post.
    (4) Miscellaneous. When daily commuting is impractical as determined 
under Sec. 591.304(a)(2):
    (i) The Office of Personnel Management may authorize a miscellaneous 
allowance, the amount to depend on such factors as miscellaneous 
expenses, living conditions that exist at the duty post, or 
inconvenience or hardship that may be associated with this type of 
employment environment. When employees are required to pay a fee for 
lodging, meals, or other services at the remote duty post, the 
miscellaneous allowance shall at least equal the amount charged for the 
use of facilities and services.
    (ii) On those days when operational or workload demands, weather 
conditions, or other situations result in employees reporting to or 
remaining at the remote duty post substantially beyond normal arrival or 
departure time, the maximum daily allowance rate of $10 shall be paid.



Sec. 591.306  Employee eligibility for an allowance.

    (a) An authorized allowance rate shall be paid to each employee with 
a permanent duty station at or within a remote post of duty approved 
under Sec. 591.304, regardless of type of appointment or work schedule, 
only (1) when the employee travels the prescribed minimum distance and 
time, or is subject to prescribed minimum inconvenience or hardship 
factors, while commuting from the nearest established community or 
suitable place of residence and the remote duty post, or (2) the 
employee remains at the worksite at the direction of management because 
daily commuting is impractical.
    (b) An employee shall be paid an authorized allowance rate for those 
days on which he or she incurs unusual expense in commuting to a remote 
post of duty or for those days on which he or she is subject to 
extraordinary inconvenience or hardship during the commuting.
    (c) An employee who resides permanently, or temporarily for his or 
her own convenience at a remote duty post

[[Page 694]]

is not eligible for an authorized allowance rate during his or her 
period of residence.



Sec. 591.307  Payment of allowance rate.

    (a) An authorized allowance rate is earned on a daily basis; 
however, where appropriate for administrative convenience, the rate may 
be averaged taking into consideration the number of noncommuting days 
over a period of time, and paid for each workday, excluding days in a 
nonpay status and period of extended absence.
    (b) The transportation allowance is paid only when expense is 
incurred and at the lowest rate consistent with available 
transportation.
    (c) The inconvenience or hardship allowance is paid regardless of 
eligibility for the transportation expense part of the allowance rate 
when the employee is otherwise eligible.
    (d) Except as provided under Sec. 591.305(b)(4)(ii), when the 
necessity for remaining at the post of duty for the workweek is the 
basis for the allowance under Sec. 591.304(a)(2), the allowance rate is 
paid for each full day, or prorated for each part of a day, that the 
employee remains at the duty post.
    (e) The transportation allowance prescribed by paragraph (b)(1)(i) 
of Sec. 591.305, or other allowance as may be prescribed for commuting 
by private motor vehicle, may not be paid unless the officially approved 
work schedule of the employee precludes use of the transportation 
services that may be available at lower cost.
    (f) An employee, who normally commutes on a daily basis, will not be 
disqualified from receiving an authorized allowance when he or she is 
officially required to remain overnight at the remote duty post, for one 
or more days on a temporary basis, because of the schedule of operations 
or the nature of assigned work.
    (g) When a remote duty post is determined by the Office of Personnel 
Management under paragraph (a)(3) or (c) of Sec. 591.304 as being 
basically eligible for an allowance, the Office of Personnel Management 
will determine the basis for payment of the allowance rate taking into 
consideration the facts and circumstances associated with commuting to 
the remote duty post.



Sec. 591.308  Relationship to additional pay payable under other statutes.

    An allowance authorized under this subpart is in addition to any 
additional pay or allowances payable under other statutes. It shall not 
be considered part of the employee's rate of basic pay in computing 
additional pay or allowances payable under other statutes.



Sec. 591.309  Effective date for payment of allowances.

    When an allowance is authorized for a remote duty post, the 
authorization shall specify the effective date that an agency shall 
begin paying the allowance to its employees, except that a date earlier 
than January 8, 1971, may not be specified.



Sec. 591.310  Effect of regulations in this subpart on allowances established under previous statutes.

    Regulations in this subpart do not require a reduction in the 
allowance rates authorized under previous statutes unless an adjustment 
is determined to be warranted on the basis of a change in facts and 
circumstances on which that previous allowance was established.

  Appendix A to Subpart C to Part 591--Daily Transportation Allowance 
 Schedule, Commuting Over Land by Private Motor Vehicle to Remote Duty 
                                  Posts

      Schedule I--Effective January 8, 1971, Through July 12, 1975
------------------------------------------------------------------------
                                       Degree A    Degree B    Degree C
 Round trip distance in excess of 50   commuting   commuting   commuting
                miles                 conditions  conditions  conditions
------------------------------------------------------------------------
up to 9 miles.......................       $0.20       $0.22       $0.24
10 to 19............................         .70         .77         .84
20 to 29............................        1.20        1.32        1.44
30 to 39............................        1.70        1.87        2.04
40 to 49............................        2.20        2.42        2.64
50 to 59............................        2.70        2.97        3.24
60 to 69............................        3.20        3.52        3.84
70 to 79............................        3.70        4.07        4.44
80 to 89............................        4.20        4.62        5.04
90 to 99............................        4.70        5.17        5.64
100 to 109..........................        5.20        5.72        6.24
110 to 119..........................        5.70        6.27        6.84
120 to 129..........................        6.20        6.82        7.44
130 to 139..........................        6.70        7.37        8.04
140 to 149..........................        7.20        7.92        8.64
150 to 159..........................        7.70        8.47        9.24
160 to 169..........................        8.20        9.02        9.84
170 and over........................        8.70        9.57   \1\ 10.00
------------------------------------------------------------------------
\1\ See footnote at end of Schedule II.


[[Page 695]]


            Schedule II--Effective on or after July 13, 1975
------------------------------------------------------------------------
                                       Degree A    Degree B    Degree C
 Round trip distance in excess of 50   commuting   commuting   commuting
                miles                 conditions  conditions  conditions
------------------------------------------------------------------------
up to 9 miles.......................       $0.30       $0.32       $0.34
10 to 19............................        1.05        1.12        1.19
20 to 29............................        1.80        1.92        2.04
30 to 39............................        2.55        2.72        2.89
40 to 49............................        3.30        3.52        3.74
50 to 59............................        4.13        4.32        4.68
60 to 69............................        4.80        5.12        5.44
70 to 79............................        5.55        5.92        6.29
80 to 89............................        6.30        6.72        7.14
90 to 99............................        7.05        7.52        7.99
100 to 109..........................        7.80        8.32        8.84
110 to 119..........................        8.55        9.12        9.69
120 to 129..........................        9.30        9.92   \1\ 10.00
130 to 139..........................   \1\ 10.00   \1\ 10.00   \1\ 10.00
140 to 149..........................   \1\ 10.00   \1\ 10.00   \1\ 10.00
150 to 159..........................   \1\ 10.00   \1\ 10.00   \1\ 10.00
160 to 169..........................   \1\ 10.00   \1\ 10.00   \1\ 10.00
170 and over........................   \1\ 10.00   \1\ 10.00   \1\ 10.00
------------------------------------------------------------------------
\1\ Under the statute, $10 a day is the maximum allowance.


          Schedule III--Effective on or After December 28, 1980
------------------------------------------------------------------------
                                     Degree A     Degree B     Degree C
 Round-trip distance in excess of   commuting    commuting    commuting
     80 kilometers (50 miles)       conditions   conditions   conditions
------------------------------------------------------------------------
Up to 15 km (up to 9 mi).........        $0.40        $0.42        $0.44
16 to 31 km (10 to 19 mi)........         1.40         1.47         1.54
32 to 47 km (20 to 29 mi)........         2.40         2.52         2.64
48 to 63 km (30 to 39 mi)........         3.40         3.57         3.74
64 to 79 km (40 to 49 mi)........         4.40         4.62         4.84
80 to 95 km (50 to 59 mi)........         5.40         5.67         5.94
96 to 111 km (60 to 69 mi).......         6.40         6.72         7.04
112 to 127 km (70 to 79 mi)......         7.40         7.77         8.14
128 to 144 km (80 to 89 mi)......         8.40         8.82         9.24
145 to 160 km (90 to 99 mi)......         9.40         9.87        10.00
161 to 176 km (100 to 109 mi)....        10.00        10.00        10.00
177 to 192 km (110 to 119 mi)....        10.00        10.00        10.00
193 to 208 km (120 to 129 mi)....        10.00        10.00        10.00
209 to 224 km (130 to 139 mi)....        10.00        10.00        10.00
225 to 240 km (140 to 149 mi)....        10.00        10.00        10.00
241 to 256 km (150 to 159 mi)....        10.00        10.00        10.00
257 to 272 km (160 to 169 mi)....        10.00        10.00        10.00
273 km and over (170 mi and over)        10.00        10.00        10.00
------------------------------------------------------------------------
Under the statute, $10 a day is the maximum allowance.

                      Degree A Commuting Conditions

    Good paved roads; climatic conditions cause intermittent driving 
difficulty.

                      Degree B Commuting Conditions

    Roads typically fair but may be good for part of distance or may be 
unpaved for short distances; climatic conditions during part of a 
season, in relation to terrain, contribute to additional cost.

                      Degree C Commuting Conditions

    Fair to poor roads; unpaved for part of distance, or travel over 
range; hilly or mountainous terrain; climatic conditions during most of 
a season contribute to additional cost.

[44 FR 55134, Sept. 25, 1979, as amended at 45 FR 76087, Nov. 18, 1980; 
58 FR 32278, June 9, 1993]

  Appendix B to Subpart C to Part 591--Daily Inconvenience or Hardship 
Allowance Schedule, Commuting Over Land by Motor Vehicle to Remote Duty 
                                  Posts

------------------------------------------------------------------------
                                       Degree A    Degree B    Degree C
 Round trip distance in excess of 2    commuting   commuting   commuting
                hours                 conditions  conditions  conditions
------------------------------------------------------------------------
up to 15 minutes....................       $0.50       $0.63       $0.75
16 to 30............................        1.00        1.25        1.50
31 to 45............................        1.50        1.88        2.25
46 to 60............................        2.00        2.50        3.00
61 to 75............................        2.50        3.13        3.75
76 to 90............................        3.00        3.75        4.50
91 to 105...........................        3.50        4.38        5.25
106 to 120..........................        4.00        5.00        6.00
121 to 135..........................        4.50        5.63        6.75
136 to 150..........................        5.00        6.25        7.50
151 to 165..........................        5.50        6.88        8.25
166 to 180..........................        6.00        8.13        9.00
------------------------------------------------------------------------


[[Page 696]]

                      Degree A Commuting Conditions

    Good paved roads; climatic conditions, in relation to type and 
quality of vehicle, cause minimal discomfort during trip.

                      Degree B Commuting Conditions

    Roads typically fair, but may be good for part of distance and 
possibly unpaved for short distances; climatic conditions during part of 
a season, in relation to type and quality of vehicle, result in moderate 
discomfort during trip.

                      Degree C Commuting Conditions

    Fair to poor roads, unpaved for part of distance, climatic 
conditions during most of a season, in combination with such factors as 
type and quality of vehicle and terrain, result in unsual discomfort 
during trip.



  Subpart D--Separate Maintenance Allowance for Duty at Johnston Island

    Authority: 5 U.S.C. 5942a(b); E.O. 12822, 3 CFR, 1992 Comp., p. 325

    Source: 58 FR 51566, Oct. 4, 1993, unless otherwise noted.



Sec. 591.401  Purpose and applicability.

    (a) Purpose. This subpart prescribes the regulations required by 
section 5942a of title 5, United States Code, to authorize payment of a 
separate maintenance allowance to assist an employee assigned to 
Johnston Island to meet the additional expenses of maintaining family 
members elsewhere who would normally reside with him or her because they 
cannot accompany the employee to Johnston Island. This subpart provides 
rules for determining which employees are eligible to receive the 
separate maintenance allowance, who qualifies as family members under 
the program, the method of payment, and payment amounts.
    (b) Applicability. This subpart applies to an employee (as defined 
in 5 U.S.C. 2105) in an executive department (as defined in section 101 
of title 5, United States Code) or an independent establishment (as 
defined in section 104 of title 5, United States Code) who is assigned 
to a post of duty at Johnston Island.

[58 FR 51566, Oct. 4, 1993, as amended at 61 FR 27244, May 31, 1996]



Sec. 591.402  Definitions.

    Adult, a term used in the Department of State Standardized 
Regulations (Government Civilians, Foreign Areas), means a family member 
who is 21 years of age or older.
    Family member means one or more of the following relatives of an 
employee who would normally reside with the employee except for 
circumstances warranting the granting of a separate maintenance 
allowance, but who does not receive from the Government an allowance 
similar to that granted to the employee and who is not deemed to be a 
family member of another employee for the purpose of determining the 
amount of a separate maintenance allowance or similar allowance:
    (1) Children who are unmarried and under 21 years of age or, 
regardless of age, are incapable of self-support, including natural 
children, step and adopted children, and those under legal guardianship 
or custody of the employee or the spouse when they are expected to be 
under such legal guardianship or custody at least until they reach 21 
years of age and when dependent upon and normally residing with the 
guardian;
    (2) Parents (including step and legally adoptive parents) of the 
employee or of the spouse when such parents are at least 51 percent 
dependent on the employee for support;
    (3) Sisters and brothers (including step or adoptive sisters and 
brothers) of the employee or of the spouse, when such sisters and 
brothers are at least 51 percent dependent on the employee for support, 
unmarried and under 21 years of age, or regardless of age, are incapable 
of self-support; or
    (4) Spouse, excluding a spouse independently entitled to and 
receiving a similar allowance.
    Johnston Island, also called Johnston Atoll, is a possession of the 
United States located 717 nautical miles southwest of Honolulu, Hawaii.
    Separate maintenance allowance means an allowance to assist an 
employee assigned to Johnston Island who is compelled by reason of 
dangerous, notably unhealthful, or excessively adverse living conditions 
at Johnston Island, or for the convenience of the Government, to meet 
the additional expense of

[[Page 697]]

maintaining family members at a location other than Johnston Island.

[61 FR 27244, May 31, 1996]



Sec. 591.403  Amount of payment.

    (a) The annual rate of the separate maintenance allowance paid to an 
employee shall be determined by the number of individuals, including a 
spouse and/or one or more other family members, that are maintained at a 
location other than Johnston Island.
    (b) The annual rates for the separate maintenance allowance paid to 
employees assigned to Johnston Island shall be the same as the annual 
rates for the separate maintenance allowance established by the 
Department of State in its Standardized Regulations (Government 
Civilians, Foreign Areas). The annual rates shall not vary by location 
of the separate household.
    (c) The annual rates of the separate maintenance allowance shall be 
adjusted on the first day of the first pay period beginning on or after 
July 1, 1996 and, subsequently, on the first day of the first pay period 
beginning on or after the effective date established for adjustment of 
annual rates for the separate maintenance allowance in the Standardized 
Regulations (Government Civilians, Foreign Areas).

[61 FR 27244, May 31, 1996]



Sec. 591.404  Method of payment.

    (a) Separate maintenance allowance rates are paid from the 
employee's date of arrival at Johnston Island to the employee's date of 
departure from Johnston Island. No deductions are necessary for details 
away from Johnston Island or for partial days. The separate maintenance 
allowance shall be computed and paid at daily rates as follows:
    (1) Divide the annual rate of payment by the number of days in the 
applicable calendar year to obtain a daily rate (counting one half-cent 
and over as a whole cent);
    (2) Multiply the daily rate by 14 to obtain a biweekly rate; and
    (3) Multiply the daily rate by the number of days involved to obtain 
the rate for any period.
    (b) A separate maintenance allowance is not part of an employee's 
rate of basic pay for any purpose.
    (c) The rate for any pay period shall be computed at the daily rate 
applicable on the first day of that pay period.



Sec. 591.405  Responsibilities of agencies.

    Agencies with employees stationed at Johnston Island may require 
reasonable verification of relationship and dependency.

[61 FR 27244, May 31, 1996]



Sec. 591.406  Records and reports.

    So that the Office of Personnel Management can evaluate agencies' 
use of this authority and provide the Congress and others with 
information regarding the use of a nonforeign separate maintenance 
allowance, each agency shall maintain such records and submit to the 
Office of Personnel Management reports and data as requested.



PART 595--PHYSICIANS' COMPARABILITY ALLOWANCES--Table of Contents




Sec.
595.101 General.
595.102 Coverage and exclusions.
595.103 Establishment of categories of physicians.
595.104 Determination of recruitment and retention problem.
595.105 Determination of amount of comparability allowance.
595.106 Termination of service agreement.
595.107 Approval of agency plans.
595.108 Reports.

    Authority: 5 U.S.C. 5948; E.O. 12109, 44 FR 1067, Jan. 3, 1979.

    Source: 44 FR 40876, July 13, 1979, unless otherwise noted.



Sec. 595.101  General.

    Section 5948 of title 5, United States Code, authorizes the payment 
of allowances to certain eligible Federal physicians who enter into 
service agreements with their agencies. These allowances are paid only 
in the case of categories of physicians for which the agency is 
experiencing recruitment and retention problems, and are fixed at the 
minimum amounts necessary to deal with such problems. The President has 
delegated regulatory responsibility for this program to the Director of 
the

[[Page 698]]

Office of Personnel Management, acting in consultation with the Director 
of the Office of Management and Budget. This part contains the 
regulations, criteria, and conditions which the Director of the Office 
of Personnel Management, in consultation with the Director of the Office 
of Management and Budget, has prescribed for the administration of the 
physicians' comparability allowance program. This part supplements and 
implements the provisions of 5 U.S.C. 5948, and must be read together 
with that section of law.



Sec. 595.102  Coverage and exclusions.

    (a) Subsection (g)(1) of 5 U.S.C. 5948 defines those covered by the 
physicians' comparability allowance program as individuals employed as 
physicians under certain Federal pay systems listed in that subsection. 
For the purposes of this part, an individual is ``employed as a 
physician'' only if he or she is serving in a position the duties and 
responsibilities of which could not be satisfactorily performed by an 
incumbent who is not a physician.
    (b) Subsection (b) of 5 U.S.C. 5948 prohibits the payment of 
physicians' comparability allowances to certain physicians, including 
physicians who are reemployed annuitants. For the purpose of that 
subsection, a ``reemployed annuitant'' means an individual who is 
receiving or has title to and has applied for an annuity under any 
retirement program of the Government of the United States, or the 
government of the District of Columbia, on the basis of service as a 
civilian employee in the civil service.
    (c) Physicians employed and paid under title 38, United States Code, 
and Commissioned Corps officers of the Public Health Service under title 
42, United States Code, are not eligible for physicians' comparability 
allowances.

[44 FR 40876, July 13, 1979, as amended at 58 FR 65537, Dec. 15, 1993; 
64 FR 72458, Dec. 28, 1999]



Sec. 595.103  Establishment of categories of physicians.

    (a) Under subsection (c) of 5 U.S.C. 5948, the head of each agency 
employing physicians is required to determine categories of physician 
positions for which there is a significant recruitment and retention 
problem, and physicians' comparability allowances may be paid only to 
physicians serving in positions in such categories.
    (b) In determining categories of physician positions, the head of 
each agency must, as a minimum, establish as separate categories the 
following types of positions:
    (1) Positions primarily involving the practice of medicine or direct 
service to patients, involving the performance of diagnostic, 
preventive, or therapeutic services to patients in hospitals, clinics, 
public health programs, diagnostic centers, and similar settings, but 
not including positions described in paragraph (b)(3) of this section;
    (2) Positions primarily involving the conduct of medical research 
and experimental work, including the conduct of medical work pertaining 
to food, drugs, cosmetics, and devices (or the review or evaluation of 
such medical research and experimental work), or the identification of 
causes or sources of disease or disease outbreaks;
    (3) Positions primarily involving the evaluation of physical 
fitness, or the provision of initial treatment of on-the-job illness or 
injury, or the performance of preemployment examinations, preventive 
health screenings, or fitness-for-duty examinations; and
    (4) Positions not described by paragraph (b) (1), (2), or (3) of 
this section, including positions involving disability evaluation and 
rating, the performance of medicolegal autopsies, training activities, 
or the administration of medical and health programs, including the 
administration of patient care or medical research and experimental 
programs.
    (c) The agency head may establish as separate categories any 
additional subdivisions of these four categories of positions, based on 
any factors the agency head determines relevant. These may include such 
factors as the location, grade or level, and medical specialization of 
the positions, and the level of qualifications sought by the agency for 
physicians in the category.



Sec. 595.104  Determination of recruitment and retention problem.

    A significant recruitment and retention problem shall be considered 
to

[[Page 699]]

exist for each category of physician position established under 
Sec. 595.103 of this part only if the four following conditions are met 
with respect to the category:
    (a) Such evidence as vacant positions, an unacceptably high turnover 
rate, or other positive evidence indicates that the agency is unable to 
recruit and retain physicians for the category;
    (b) The qualification requirements being used as a basis for 
considering candidates for the vacant positions in the category do not 
exceed the qualifications that are actually necessary for successful 
performance of the work of the positions in the category;
    (c) The agency has made efforts to recruit qualified candidates for 
any vacant positions in the category and to retain physicians presently 
employed in positions in the category; and
    (d) A sufficient number of qualified candidates is not available to 
fill the existing vacancies in the category at the rate of pay the 
agency may offer if no comparability allowance is paid.



Sec. 595.105  Determination of amount of comparability allowance.

    (a) The amount of the comparability allowance payable for each 
category of physician position established under Sec. 595.103 of this 
part must be the minimum amount necessary to deal with the recruitment 
and retention problem identified under Sec. 595.104 of this part for 
that category of position. In determining this amount, the agency head 
shall consider the relative earnings, responsibilities, expenses, 
workload, working conditions, conditions of employment, and personnel 
benefits for physicians in each category and for comparable physicians 
inside and outside the Federal Government.
    (b) A physician with 24 months or less of service as a Government 
physician may not be paid a physicians' comparability allowance in 
excess of $14,000 per annum. A physician with more than 24 months of 
service as a Government physician may not be paid a physicians' 
comparability allowance in excess of $30,000 per annum.
    (c) In determining length of service as a Government physician, 
agencies must exclude periods of leave without pay. However, agencies 
may credit any prior service as a Government physician, including--
    (1) Prior service as a physician under sections 7401 and 7405 of 
title 38, United States Code; and
    (2) Prior active service as a medical officer in the Commissioned 
Corps of the Public Health Service under title II of the Public Health 
Service Act (42 U.S.C. chapter 6A).
    (d) Under subsection (b)(1) of 5 U.S.C. 5948, a physician who is 
employed on less than a half-time or intermittent basis is excluded from 
the physicians' comparability allowance program altogether. a physician 
who is employed on a regularly scheduled part-time basis of half-time or 
more is eligible to receive an allowance in accordance with this part, 
but any such allowance shall be prorated according to the proportion of 
the physicians' work schedule to full-time employment.
    (e) A physician who is serving with the Government under a loan 
repayment program shall have the amount of loan being repaid deducted 
from any allowance for which he or she is eligible in accordance with 
this part, and may receive only that portion of such allowance which 
exceeds the amount of loan being repaid by service during the period in 
question.

[44 FR 40876, July 13, 1979, as amended at 53 FR 8141, Mar. 14, 1988, 
and 53 FR 24011, June 27, 1988; 64 FR 72458, Dec. 28, 1999]



Sec. 595.106  Termination of service agreement.

    (a) Under subsection (f) of 5 U.S.C. 5948, each service agreement 
entered into by an agency and a physician under the comparability 
allowance program may prescribe the terms under which the agreement may 
be terminated and the amount of allowance, if any, required to be 
refunded by the physician for each reason for termination. In the case 
of each service agreement covering a period of service of more than one 
year, the service agreement must include a provision that, if the 
physician completes more than one year of service pursuant to the 
agreement, but fails to complete the full period of service specified in 
the agreement either voluntarily or because of misconduct by the 
physician,

[[Page 700]]

the physician shall be required to refund the amount of allowance he or 
she has received under the agreement for the 26 weeks of service 
immediately preceding the termination (or for a longer period, if 
specified in the agreement).



Sec. 595.107  Approval of agency plans.

    (a) An agency may not enter into any service agreement under 5 
U.S.C. 5948 until the agency's plan for implementing the physicians' 
comparability allowance program has been submitted to and approved by 
the Office of Management and Budget in accordance with this section and 
such instructions as the Office of Management and Budget may prescribe.
    (b) The agency shall submit to the Office of Management and Budget a 
complete description of its plan for implementing the physicians' 
comparability allowance program, including the following:
    (1) An identification of the categories of physician positions that 
the agency has established under Sec. 595.103 of this part, and of the 
basis for such categories;
    (2) An explanation of the determination that a recruitment and 
retention problem exists for each such category, in accordance with the 
criteria in Sec. 595.104 of this part; and
    (3) An explanation of the basis for the amount of comparability 
allowance determined necessary for each category of physician position 
under Sec. 595.105 of this part.
    (c) The Office of Management and Budget shall review each agency's 
description of its plan for implementing the physicians' comparability 
allowance program and determine if the plan is consistent with the 
provisions of 5 U.S.C. 5948 and the requirements of this part, and shall 
advise the agency within 45 calendar days of receipt of the agency's 
plan by the Office of Management and Budget whether the plan is so 
consistent or what changes need to be made in the agency's plan to make 
it so consistent.

[44 FR 40876, July 13, 1979, as amended at 53 FR 8142, Mar. 14, 1988, 
and 53 FR 24011, June 27, 1988]



Sec. 595.108  Reports.

    (a) Because of the experimental and temporary nature of the 
physicians' comparability allowance program, it will be necessary for 
the Office of Personnel Management to collect information on the 
administration of the program by the agencies, and on the effects the 
program has on the recruitment and retention of Government physicians. 
The Office of Personnel Management will prescribe the number, contents, 
timing, and format of the reports necessary to collect this information, 
and every agency using the physicians' comparability allowance program 
is required to submit such reports as the Office may prescribe. These 
reports must include, among other things, the following:
    (1) A listing of the amount of allowance actually paid to the 
agency's physicians; and
    (2) An assessment of the effect of the physicians' comparability 
allowance program on the agency's recruitment and retention of 
physicians.
    (b) The Central Intelligence Agency and the National Security Agency 
are not subject to the requirements of this section.



PART 610--HOURS OF DUTY--Table of Contents




             Subpart A--Weekly and Daily Scheduling of Work

Sec.
610.101 Coverage.
610.102 Definitions.

                                Workweek

610.111 Establishment of workweeks.

                             Work Schedules

610.121 Establishment of work schedules.
610.122 Variations in work schedules for educational purposes.
610.123 Travel on official time.

                           Subpart B--Holidays

610.201 Identification of holidays.
610.202 Determining the holiday.

  Subpart C--Administrative Dismissals of Daily, Hourly, and Piecework 
                                Employees

610.301 Purpose.
610.302 Policy statement.
610.303 Definitions.
610.304 Coverage.

[[Page 701]]

610.305 Standards.
610.306 Supplemental regulations.

            Subpart D--Flexible and Compressed Work Schedules

610.401 General.
610.402 Coverage.
610.403 Definitions.
610.404 Requirement for time-accounting method.
610.405 Holiday for part-time employees on flexible work schedules.
610.406 Holiday for employees on compressed work schedules.
610.407 Premium pay for holiday work for employees on compressed work 
          schedules.
610.408 Use of credit hours.

    Source: 33 FR 12474, Sept. 4, 1968, unless otherwise noted.



             Subpart A--Weekly and Daily Scheduling of Work

    Authority: 5 U.S.C. 6101; sec. 1(1) of E.O. 11228, 3 CFR, 1964--1965 
Comp., p. 317.



Sec. 610.101  Coverage.

    This subpart applies to each employee to whom subpart A of part 550 
applies and to each employee whose pay is fixed and adjusted from time 
to time under section 5343 or 5349 of title 5, United States Code, or by 
a wage board or similar administrative authority serving the same 
purpose.

[42 FR 3297, Jan. 18, 1977]



Sec. 610.102  Definitions.

    In this subpart:
    Administrative workweek means any period of 7 consecutive 24-hour 
periods designated in advance by the head of the agency under section 
6101 of title 5, United States Code.
    Agency means an Executive agency and a military department as 
defined by sections 105 and 102 of title 5, United States Code.
    Basic workweek, for full-time employees, means the 40-hour workweek 
established in accordance with Sec. 610.111.
    Employee means an employee of an agency to whom this subpart 
applies.
    Head of agency means the head of an agency or an official who has 
been delegated the authority to act for the head of the agency in the 
matter concerned.
    Regularly scheduled administrative workweek, for a full-time 
employee, means the period within an administrative workweek, 
established in accordance with Sec. 610.111, within which the employee 
is regularly scheduled to work. For a part-time employee, it means the 
officially prescribed days and hours within an administrative workweek 
during which the employee is regularly scheduled to work.
    Regularly scheduled work means work that is scheduled in advance of 
an administrative workweek under an agency's procedures for establishing 
workweeks in accordance with Sec. 610.111.
    Tour of duty means the hours of a day (a daily tour of duty) and the 
days of an administrative workweek (a weekly tour of duty) that 
constitute an employee's regularly scheduled administrative workweek.

(5 U.S.C. 5548 and 6101(c))

[33 FR 12474, Sept. 4, 1968, as amended at 48 FR 3934, Jan. 28, 1983; 60 
FR 67287, Dec. 29, 1995; 64 FR 69182, Dec. 10, 1999]

                                Workweek



Sec. 610.111  Establishment of workweeks.

    (a) The head of each agency, with respect to each full-time employee 
to whom this subpart applies, shall establish by a written agency policy 
statement:
    (1) A basic workweek of 40 hours which does not extend over more 
than 6 of any 7 consecutive days. Except as provided in paragraphs (b), 
(c), and (d) of this section, the written agency policy statement shall 
specify the days and hours within the administrative workweek that 
constitute the basic workweek.
    (2) A regularly scheduled administrative workweek that consists of 
the 40-hour basic workweek established in accordance with paragraph 
(a)(1) of this section, plus the period of regular overtime work, if 
any, required of each employee. Except as provided in paragraphs (b), 
(c), and (d) of this section, the written agency policy statement, for 
purposes of leave and overtime pay administration, shall specify by days 
and hours of each day the periods included in the regularly scheduled 
administrative workweek that do not

[[Page 702]]

constitute a part of the basic workweek.
    (b) When it is impracticable to prescribe a regular schedule of 
definite hours of duty for each workday of a regularly scheduled 
administrative workweek, the head of an agency may establish the first 
40 hours of duty performed within a period of not more than 6 days of 
the administrative workweek as the basic workweek. A first 40-hour tour 
of duty is the basic workweek without the requirement for specific days 
and hours within the administrative workweek. All work performed by an 
employee within the first 40 hours is considered regularly scheduled 
work for premium pay and hours of duty purposes. Any additional hours of 
officially ordered or approved work within the administrative workweek 
are overtime work.
    (c) (1) When an employee is paid additional pay under section 
5545(c)(1) of title 5, United States Code, his regularly scheduled 
administrative workweek is the total number of regularly scheduled hours 
of duty a week.
    (2) When an employee has a tour of duty which includes a period 
during which he remains at or within the confines of his station in a 
standby status rather than performing actual work his regularly 
scheduled administrative workweek is the total number of regularly 
scheduled hours of duty a week, including time in a standby status 
except that allowed for sleep and meals by a written agency policy 
statement.
    (d) When the head of an agency establishes a flexible or compressed 
work schedule under section 6122 or section 6127 of title 5, United 
States Code, he or she shall establish a basic work requirement for each 
employee as defined in section 6121 of title 5, United States Code. A 
flexible or compressed work schedule is a scheduled tour of duty and all 
work performed by an employee within the basic work requirement is 
considered regularly scheduled work for premium pay and hours of duty 
purposes.

(5 U.S.C. 5548 and 6101(c))

[33 FR 12474, Sept. 4, 1968, as amended at 48 FR 3934, Jan. 28, 1983; 48 
FR 44060, Sept. 27, 1983; 64 FR 69182, Dec. 10, 1999]

                             Work Schedules



Sec. 610.121  Establishment of work schedules.

    (a) Except when the head of an agency determines that the agency 
would be seriously handicapped in carrying out its functions or that 
costs would be substantially increased, he or she shall provide that--
    (1) Assignments to tours of duty are scheduled in advance of the 
administrative workweek over periods of not less than 1 week;
    (2) The basic 40-hour workweek is scheduled on 5 days, Monday 
through Friday when possible, and the 2 days outside the basic workweek 
are consecutive;
    (3) The working hours in each day in the basic workweek are the 
same;
    (4) The basic nonovertime workday may not exceed 8 hours;
    (5) The occurrence of holidays may not affect the designation of the 
basic workweek; and
    (6) Breaks in working hours of more than 1 hour may not be scheduled 
in a basic workday.
    (b)(1) The head of an agency shall schedule the work of his or her 
employees to accomplish the mission of the agency. The head of an agency 
shall schedule an employee's regularly scheduled administrative workweek 
so that it corresponds with the employee's actual work requirements.
    (2) When the head of an agency knows in advance of an administrative 
workweek that the specific days and/or hours of a day actually required 
of an employee in that administrative workweek will differ from those 
required in the current administrative workweek, he or she shall 
reschedule the employee's regularly scheduled administrative workweek to 
correspond with those specific days and hours. The head of the agency 
shall inform the employee of the change, and he or she shall record the 
change on the employee's time card or other agency document for 
recording work.
    (3) If it is determined that the head of an agency should have 
scheduled a period of work as part of the employee's regularly scheduled 
administrative workweek and failed to do so in accordance with 
paragraphs (b) (1) and (2) of

[[Page 703]]

this section, the employee shall be entitled to the payment of premium 
pay for that period of work as regularly scheduled work under subpart A 
of part 550 of this chapter. In this regard, it must be determined that 
the head of the agency: (i) Had knowledge of the specific days and hours 
of the work requirement in advance of the administrative workweek, and 
(ii) had the opportunity to determine which employee had to be 
scheduled, or rescheduled, to meet the specific days and hours of that 
work requirement.

(5 U.S.C. 5548 and 6101(c))

[48 FR 3935, Jan. 28, 1983]



Sec. 610.122  Variations in work schedules for educational purposes.

    (a) Notwithstanding Sec. 610.121, the head of an agency may 
authorize a special tour of duty of not less than 40 hours to permit an 
employee to take one or more courses in a college, university, or other 
educational institution when it is determined that:
    (1) The courses being taken are not training under chapter 41 of 
title 5, United States Code;
    (2) The rearrangement of the employee's tour of duty will not 
appreciably interfere with the accomplishment of the work required to be 
performed;
    (3) Additional costs for personal services will not be incurred; and
    (4) Completion of the courses will equip the employee for more 
effective work in the agency.
    (b) The agency may not pay to the employee any premium pay solely 
because the special tour of duty authorized under this section causes 
the employee to work on a day, or at a time during the day, for which 
premium pay would otherwise be payable.
    (c) OPM may from time to time request an agency to report on the use 
of this authority.



Sec. 610.123  Travel on official time.

    Insofar as practicable travel during nonduty hours shall not be 
required of an employee. When it is essential that this be required and 
the employee may not be paid overtime under Sec. 550.112(e) of this 
chapter the official concerned shall record his reasons for ordering 
travel at those hours and shall, upon request, furnish a copy of his 
statement to the employee concerned.



                           Subpart B--Holidays

    Authority: 5 U.S.C. 6101; sec. 1(1) of E.O. 11228, 3 CFR, 1964-1965 
Comp., p. 317.



Sec. 610.201  Identification of holidays.

    Agencies determine holidays under section 6103 of title 5, United 
States Code, and Executive Order 11582 of February 11, 1971.

[65 FR 48135, Aug. 7, 2000]



Sec. 610.202  Determining the holiday.

    For purposes of pay and leave, the day to be treated as a holiday is 
determined as follows:
    (a) Except when employees are entitled to a different holiday under 
5 U.S.C. 6103(b)(3), an employee's holiday is the day designated by 5 
U.S.C. 6103(a) whenever part of the employee's basic workweek (as 
defined in Sec. 610.102) or basic work requirement (as defined in 5 
U.S.C. 6121(3)) is scheduled on that day.
    (b) When a holiday falls on a nonworkday outside an employee's basic 
workweek, the day to be treated as his or her holiday is determined in 
accordance with sections 6103 (b) and (d) of title 5, United States 
Code, and Executive Order 11582.
    (c) When an agency determines the holiday in accordance with section 
6103(d) of title 5, United States Code, for an employee under a 
compressed work schedule, the agency shall select a workday for the 
holiday that is in the same biweekly pay period as the date of the 
actual holiday designated under 5 U.S.C. 6103(a) or in the biweekly pay 
period immediately preceding or following that pay period.
    (d) The provisions of section 6103(b)(3) of title 5, United States 
Code, on determining holidays for certain employees at duty posts 
outside the United States apply to covered employees who are working 
outside the United States at a permanent or temporary station or under 
travel orders. For the purpose of section 6103(b)(3), United States 
includes--
    (1) A State of the United States;
    (2) The District of Columbia;
    (3) Puerto Rico;

[[Page 704]]

    (4) The U.S. Virgin Islands;
    (5) Outer Continental Shelf Lands, as defined in the Outer 
Continental Shelf Lands Act (67 Stat. 462);
    (6) American Samoa;
    (7) Guam;
    (8) Midway Atoll;
    (9) Wake Island;
    (10) Johnston Island; and
    (11) Palmyra.

[42 FR 3297, Jan. 18, 1977, as amended at 60 FR 67287, Dec. 29, 1995; 62 
FR 28308, May 23, 1997; 64 FR 72458, Dec. 28, 1999; 65 FR 48136, Aug. 7, 
2000]



  Subpart C--Administrative Dismissals of Daily, Hourly, and Piecework 
                                Employees

    Authority: 5 U.S.C. 6104; E.O. 10552, 3 CFR, 1954-1958 Comp., p. 
201.



Sec. 610.301  Purpose.

    The purpose of this subpart is to provide uniform and equitable 
standards under which regular employees paid at daily, hourly, or 
piecework rates may be relieved from duty with pay by administrative 
order.



Sec. 610.302  Policy statement.

    The authority in this subpart may be used only to the extent 
warranted by good administration for short periods of time not generally 
exceeding 3 consecutive work days in a single period of excused absence. 
This authority may not be used in situations of extensive duration or 
for periods of interrupted or suspended operations such as ordinarily 
would be covered by the scheduling of leave, furlough, or the assignment 
of other work. Insofar as practicable, each administrative order issued 
under this subpart shall provide benefits for regular employees paid at 
daily, hourly, or piecework rates similar to those provided for 
employees paid at annual rates.



Sec. 610.303  Definitions.

    In this subpart:
    Administrative order means an order issued by an authorized official 
of an agency relieving regular employees from active duty without charge 
to leave or loss of pay.
    Regular employees means employees paid at daily, hourly, or 
piecework rates who have a regular tour of duty, and whose appointments 
are not limited to 90 days or less or who have been currently employed 
for a continuous period of 90 days under one or more appointments 
without a break in service.

[33 FR 12474, Sept. 4, 1968, as amended at 34 FR 2479, Feb. 21, 1969; 60 
FR 67287, Dec. 29, 1995]



Sec. 610.304  Coverage.

    This subpart applies to regular employees of the Federal Government 
paid at daily, hourly, or piecework rates. This subpart does not apply 
to experts and consultants.



Sec. 610.305  Standards.

    An administrative order may be issued under this subpart when:
    (a) Normal operations of an establishment are interrupted by events 
beyond the control of management or employees;
    (b) For managerial reasons, the closing of an establishment or 
portions thereof is required for short periods; or
    (c) It is in the public interest to relieve employees from work to 
participate in civil activities which the Government is interested in 
encouraging.
    (d) The circumstances are such that an administrative order under 
paragraph (a), (b), or (c) of this section is not appropriate and the 
agency under its regulations excuses, or is authorized to excuse, 
without charge to leave or loss of pay, employees paid on an annual 
basis.

[33 FR 12474, Sept. 4, 1968, as amended at 34 FR 2479, Feb. 21, 1969]



Sec. 610.306  Supplemental regulations.

    Each agency is authorized to issue supplemental regulations not 
inconsistent with this subpart.

[33 FR 12474, Sept. 4, 1968, as amended at 34 FR 2479, Feb. 21, 1969]



            Subpart D--Flexible and Compressed Work Schedules

    Authority: 5 U.S.C. 6133(a).

    Source: 48 FR 44060, Sept. 27, 1983, unless otherwise noted.

[[Page 705]]



Sec. 610.401  General.

    This subpart contains regulatory requirements prescribed by the 
Office of Personnel Management to implement certain provisions of 
subchapter 11 of chapter 61 of title 5, United States Code. These 
regulations supplement that subchapter and must be read together with 
it.



Sec. 610.402  Coverage.

    The regulations contained in this subpart apply only to flexible 
work schedules and compressed work schedules established under 
subchapter 11 of chapter 61 of title 5, United States Code.



Sec. 610.403  Definitions.

    In this subpart, Agency, Credit Hours, and Employee have the meaning 
given these terms in section 6121 of title 5, United States Code.

[58 FR 58262, Nov. 1, 1993]



Sec. 610.404  Requirement for time-accounting method.

    An agency that authorizes a flexible work schedule or a compressed 
work schedule under this subpart shall establish a time-accounting 
method that will provide affirmative evidence that each employee subject 
to the schedule has worked the proper number of hours in a biweekly pay 
period.



Sec. 610.405  Holiday for part-time employees on flexible work schedules.

    If a part-time employee is relieved or prevented from working on a 
day within the employee's scheduled tour of duty that is designated as a 
holiday by Federal statute or Executive order, the employee is entitled 
to basic pay with respect to the holiday for the number of hours the 
employee is scheduled to work on that day, not to exceed 8 hours. When a 
holiday falls on a nonworkday of a part-time employee, he or she is not 
entitled to an in-lieu-of day for that holiday.



Sec. 610.406  Holiday for employees on compressed work schedules.

    (a) If a full-time employee is relieved or prevented from working on 
a day designated as a holiday by Federal statute or Executive order, the 
employee is entitled to basic pay for the number of hours of the 
compressed work schedule on that day.
    (b) If a part-time employee is relieved or prevented from working on 
a day within the employee's scheduled tour of duty that is designated as 
a holiday by Federal statute or Executive order, the employee is 
entitled to basic pay for the number of hours of the compressed work 
schedule on that day. When a holiday falls on a nonworkday of a part-
time employee, he or she is not entitled to an in-lieu-of day for that 
holiday.



Sec. 610.407  Premium pay for holiday work for employees on compressed work schedules.

    (a) An employee on a compressed schedule who performs work on a 
holiday is entitled to basic pay, plus premium pay at a rate equal to 
basic pay, for the work that is not in excess of the employee's 
compressed work schedule for that day. For hours worked on a holiday in 
excess of the compressed work schedule, a full-time employee is entitled 
to overtime pay under applicable provisions of law and a part-time 
employee is entitled to straight time pay or overtime pay, depending on 
whether the excess hours are nonovertime hours or overtime hours.
    (b) An employee on a compressed work schedule is not entitled to 
holiday premium pay while engaged in training, except as provided in 
Sec. 410.402 of this chapter.

[48 FR 44060, Sept. 27, 1983, as amended at 64 FR 69182, Dec. 10, 1999]



Sec. 610.408  Use of credit hours.

    Members of the Senior Executive Service (SES) may not accumulate 
credit hours under an alternative work schedule. Any credit hours 
accumulated in the SES prior to December 1, 1993, must be used within 6 
months of that date.

[58 FR 58262, Nov. 1, 1993]



PART 630--ABSENCE AND LEAVE--Table of Contents




                      Subpart A--General Provisions

Sec.
630.101 Responsibility for administration.

[[Page 706]]

 Subpart B--Definitions and General Provisions for Annual and Sick Leave

630.201 Definitions.
630.202 Full biweekly pay period; leave earnings.
630.203 Pay periods other than biweekly.
630.204 Fractional pay periods.
630.205 [Reserved]
630.206 Minimum charge.
630.207 Travel time.
630.208 Reduction in leave credits.
630.209 Refund for unearned leave.
630.210 Uncommon tours of duty.
630.211 Exclusion of Presidential appointees.
630.212 Use of annual leave to establish initial eligibility for 
          retirement or continuation of health benefits.

                         Subpart C--Annual Leave

630.301 Annual leave accumulation--Senior Executive Service.
630.302 Maximum annual leave accumulation--forty-five day limitation.
630.303 Part-time employees; earnings.
630.304 Accumulation limitation for part-time employees.
630.305 Designating agency official to approve exigencies.
630.306 Time limit for use of restored annual leave.
630.307 Time limit for use of restored annual leave--former missing 
          employees.
630.308 Scheduling of annual leave.
630.309 Time limit for use of restored annual leave--extended exigency 
          of the public business.
630.310 Scheduling of annual leave by employees determined necessary for 
          Year 2000 computer conversion efforts.
630.311 Scheduling of annual leave by employees determined necessary to 
          respond to the ``National Emergency by Reason of Certain 
          Terrorist Attacks.''

                          Subpart D--Sick Leave

630.401 Grant of sick leave.
630.402 Application for sick leave.
630.403 Supporting evidence.
630.404 Limitation on advance sick leave.
630.405 Use of sick leave during annual leave or to become eligible for 
          donated leave.
630.406 Part-time employees; earnings.
630.407 Sick leave used in computation of annuity.
630.408 Records and reports.
630.409 Substitution of sick leave for annual leave for adoption-related 
          purposes.

                      Subpart E--Recredit of Leave

630.501 Annual leave recredit.
630.502 Sick leave recredit.
630.503 Leave from former leave systems.
630.504 Reestablishment of leave account after military service.
630.505 Restoration after appeal.
630.506 Minimum unit.

                          Subpart F--Home Leave

630.601 Definitions.
630.602 Coverage.
630.603 Computation of service abroad.
630.604 Earning rates.
630.605 Computation of home leave.
630.606 Grant of home leave.
630.607 Transfer and recredit of home leave.

                         Subpart G--Shore Leave

630.701 Coverage.
630.702 Definitions.
630.703 Computation of shore leave.
630.704 Granting shore leave.

                        Subpart H--Funeral Leave

630.801 Applicability.
630.802 Coverage.
630.803 Definitions.
630.804 Granting of funeral leave.

               Subpart I--Voluntary Leave Transfer Program

630.901 Purpose and applicability.
630.902 Definitions.
630.903 Administrative procedures.
630.904 Application to become a leave recipient.
630.905 Approval of application to become a leave recipient.
630.906 Transfer of annual leave.
630.907 Accrual of annual and sick leave.
630.908 Limitations on donation of annual leave.
630.909 Use of transferred annual leave.
630.910 Termination of medical emergency.
630.911 Restoration of transferred annual leave.
630.912 Prohibition of coercion.
630.913 Records and reports.

                 Subpart J--Voluntary Leave Bank Program

630.1001 Purpose and applicability.
630.1002 Definitions.
630.1003 Establishing leave banks and leave bank boards.
630.1004 Application to become a leave contributor and leave bank 
          member.
630.1005 Limitations on contribution of annual leave.
630.1006 Application to become a leave recipient.
630.1007 Approval of application to become a leave recipient.
630.1008 Accrual of annual and sick leave.
630.1009 Use of annual leave withdrawn from a leave bank.
630.1010 Termination of medical emergency.
630.1011 Prohibition of coercion.
630.1012 Records and reports.

[[Page 707]]

630.1013 Participation in voluntary leave transfer and leave bank 
          programs.
630.1014 Movement between voluntary leave bank programs.
630.1015 Movement between voluntary leave bank and leave transfer 
          programs.
630.1016 Termination of a voluntary leave bank program.

               Subpart K--Emergency Leave Transfer Program

630.1101 Purpose, applicability, and administration.
630.1102 Definitions.
630.1103 Establishment of an emergency leave transfer program.
630.1104 Application to become an emergency leave recipient.
630.1105 Approval of application to become an emergency leave recipient.
630.1106 Limitations on donation and use of annual leave.
630.1107 Governmentwide transfer of emergency leave.
630.1108 Termination of disaster or emergency.
630.1109 Prohibition of coercion.

                   Subpart L--Family and Medical Leave

630.1201 Purpose, applicability, and administration.
630.1202 Definitions.
630.1203 Leave entitlement.
630.1204 Intermittent leave or reduced leave schedule.
630.1205 Substitution of paid leave.
630.1206 Notice of leave.
630.1207 Medical certification.
630.1208 Protection of employment and benefits.
630.1209 Health benefits.
630.1210 Greater leave entitlements.
630.1211 Records and reports.

                 Subpart M--Reservist Leave Bank Program

630.1301 Purpose and applicability.
630.1302 Definitions.
630.1303 Identifying eligible returnees.
630.1304 Receipt, processing, and transfer of leave.
630.1305 Limitations on contribution of annual leave.
630.1306 Prohibiton of coercion.
630.1307 Crediting annual leave accounts of eligible returnees.
630.1308 Use of annual leave contributed under this program.
630.1309 Records and reports.

    Authority: 5 U.S.C. 6311; Sec. 630.301 also issued under Pub. L. 
103-356, 108 Stat. 3410; Sec. 630.303 also issued under 5 U.S.C. 
6133(a); Secs. 630.306 and 630.308 also issued under 5 U.S.C. 
6304(d)(3), Pub. L. 102-484, 106 Stat. 2722, and Pub. L. 103-337, 108 
Stat. 2663; subpart D also issued under Pub. L. 103-329, 108 Stat. 2423; 
Sec. 630.501 and subpart F also issued under E.O. 11228, 30 FR 7739, 3 
CFR, 1974 Comp., p. 163; subpart G also issued under 5 U.S.C. 6305; 
subpart H also issued under 5 U.S.C. 6326; subpart I also issued under 5 
U.S.C. 6332, Pub. L. 100-566, 102 Stat. 2834, and Pub. L. 103-103, 107 
Stat. 1022; subpart J also issued under 5 U.S.C. 6362, Pub. L. 100-566, 
and Pub. L. 103-103; subpart K also issued under Pub. L. 105-18, 111 
Stat. 158; subpart L also issued under 5 U.S.C. 6387 and Pub. L. 103-3, 
107 Stat. 23; and subpart M also issued under 5 U.S.C. 6391 and Pub. L. 
102-25, 105 Stat. 92.

    Source: 33 FR 12475, Sept. 4, 1968, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 630.101  Responsibility for administration.

    The head of an agency having employees subject to this part is 
responsible for the proper administration of this part so far as it 
pertains to employees under his jurisdiction, and for maintaining an 
account of leave for each employee in accordance with methods prescribed 
by the General Accounting Office.

[34 FR 13655, Aug. 26, 1969]



 Subpart B--Definitions and General Provisions for Annual and Sick Leave



Sec. 630.201  Definitions.

    (a) In section 6301(2)(iii) of title 5, United States Code, the term 
temporary employee engaged in construction work at an hourly rate means 
an employee hired on a temporary basis solely for the purpose of work on 
a specific construction project and paid on an hourly rate.
    (b) In subparts B through G of this part:
    Accrued leave means the leave earned by an employee during the 
current leave year that is unused at any given time in that year.
    Accumulated leave means the unused leave remaining to the credit of 
an employee at the beginning of the leave year.
    Employee means an employee to whom subchapter I of chapter 63 of 
title 5, United States Code, applies.

[[Page 708]]

    Family member means the following relatives of the employee:
    (1) Spouse, and parents thereof;
    (2) Children, including adopted children and spouses thereof;
    (3) Parents;
    (4) Brothers and sisters, and spouses thereof; and
    (5) Any individual related by blood or affinity whose close 
association with the employee is the equivalent of a family 
relationship.
    Health care provider has the meaning given that term in 
Sec. 630.1202.
    Leave year means the period beginning with the first day of the 
first complete pay period in a calendar year and ending with the day 
immediately before the first day of the first complete pay period in the 
following calendar year.
    Medical certificate means a written statement signed by a registered 
practicing physician or other practitioner certifying to the 
incapacitation, examination, or treatment, or to the period of 
disability while the patient was receiving professional treatment.
    Serious health condition has the meaning given that term in 
Sec. 630.1202.
    Uncommon tour of duty means an established tour of duty that exceeds 
80 hours of work in a biweekly pay period, provided the tour--
    (1) Includes hours for which the employee is compensated by standby 
duty pay under 5 U.S.C. 5545(c)(1) and Sec. 550.141 of this chapter;
    (2) Is a regular tour of duty (as defined in Sec. 550.1302 of this 
chapter) established for firefighters compensated under 5 U.S.C. 5545b 
and part 550, subpart M, of this chapter; or
    (3) Is authorized for a category of employees by the Office of 
Personnel Management.
    United States means the several States and the District of Columbia.

[61 FR 64450, Dec. 5, 1996, as amended at 63 FR 64595, Nov. 23, 1998; 65 
FR 37239, June 13, 2000]



Sec. 630.202  Full biweekly pay period; leave earnings.

    (a) Full-time employees. A full-time employee earns leave during 
each full biweekly pay period while in a pay status or in a combination 
of a pay status and a nonpay status.
    (b) Part-time employees. Hours in a pay status in excess of an 
agency's basic working hours in a pay period are disregarded in 
computing the leave earnings of a part-time employee.

[33 FR 12475, Sept. 4, 1968, as amended at 55 FR 6595, Feb. 26, 1990]



Sec. 630.203  Pay periods other than biweekly.

    An employee paid on other than a biweekly pay period basis earns 
leave on a pro rata basis for a full pay period.



Sec. 630.204  Fractional pay periods.

    When an employee's service is interrupted by a non-leave-earning 
period, he earns leave on a pro rata basis for each fractional pay 
period that occurs within the continuity of his employment.



Sec. 630.205  [Reserved]



Sec. 630.206  Minimum charge.

    (a) Unless an agency establishes a minimum charge of less than one 
hour, or establishes a different minimum charge through negotiations, 
the minimum charge for leave is one hour, and additional charges are in 
multiples thereof. If an employee is unavoidably or necessarily absent 
for less than one hour, or tardy, the agency, for adequate reason, may 
excuse him without charge to leave.
    (b) When an employee is charged with leave for an unauthorized 
absence or tardiness, the agency may not require him to perform work for 
any part of the leave period charged against his account.

[33 FR 12475, Sept. 4, 1968, as amended at 38 FR 18446, July 11, 1973; 
38 FR 26601, Sept. 24, 1973]



Sec. 630.207  Travel time.

    The travel time granted an employee under section 6303(d) of title 
5, United States Code, is inclusive of the time necessarily occupied in 
traveling to and from his post of duty and (a) the United States, or (b) 
his place of residence, which is outside the area of employment, in the 
Commonwealth of Puerto Rico or the territories or possessions of the 
United States. The employee shall designate his place of residence in 
his request for leave under

[[Page 709]]

section 6303(d) of title 5, United States Code.



Sec. 630.208  Reduction in leave credits.

    (a) When the number of hours in a nonpay status in a full-time 
employee's leave year equals the number of basepay hours in a pay 
period, the agency shall reduce his credits for leave by an amount equal 
to the amount of leave the employee earns during the pay period. When 
the employee's number of hours of nonpay status does not require a 
reduction of leave credits, the agency shall drop those hours at the end 
of the employee's leave year. For the purpose of determining the 
reduction of leave credits under this paragraph when an employee has one 
or more breaks in service during a leave year, the agency shall include 
all hours in a nonpay status (other than nonpay status during a 
fractional pay period when no leave accures) for each period of service 
during the leave year in which annual leave accrued.
    (b) An employee who is in a nonpay status for his entire leave year 
does not earn leave.
    (c) When a reduction in leave credits results in a debit to an 
employee's annual leave account at the end of a leave year, the agency 
shall:
    (1) Carry the debit forward as a charge against the annual leave to 
be earned by the employee in the next leave year; or
    (2) Require the employee to refund the amount paid him for the 
period covering the excess leave that resulted in the debit.
    (d) A period covered by an employee's refund for unearned advanced 
leave is deemed not a nonpay status under this section.



Sec. 630.209  Refund for unearned leave.

    (a) When an employee who is indebted for unearned leave is 
separated, the agency shall:
    (1) Require him to refund the amount paid him for the period 
covering the leave for which he is indebted; or
    (2) Deduct that amount from any pay due him.

An employee who enters active military service with a right of 
restoration is deemed not separated for the purpose of this paragraph.
    (b) This section does not apply when an employee:
    (1) Dies;
    (2) Retires for disability; or
    (3) Resigns or is separated because of disability which prevents him 
from returning to duty or continuing in the service, and which is the 
basis of the separation as determined by his agency on medical evidence 
acceptable to it.



Sec. 630.210  Uncommon tours of duty.

    (a) An agency may require that an employee with an uncommon tour of 
duty accrue and use leave on the basis of that uncommon tour of duty. 
The leave accrual rates for such employees shall be directly 
proportional (based on the number of hours in the biweekly tour of duty 
and the accrual rate of the corresponding leave category) to the 
standard leave accrual rates for employees who accrue and use leave on 
the basis of an 80-hour biweekly tour of duty. One hour (or appropriate 
fraction thereof) of leave shall be charged for each hour (or 
appropriate fraction thereof) of absence from the uncommon tour of duty.
    (b) When an employee is converted to a different tour of duty for 
leave purposes, his or her leave balances shall be converted to the 
proper number of hours based on the proportion of hours in the new tour 
of duty compared to the former tour of duty.
    (c) An agency shall establish an uncommon tour of duty for each 
firefighter compensated under part 550, subpart M, of this chapter. The 
uncommon tour of duty shall correspond directly to the firefighter's 
regular tour of duty, as defined in Sec. 550.1302 of this chapter, so 
that each firefighter accrues and uses leave on the basis of that tour.

[59 FR 66635, Dec. 28, 1994, as amended at 63 FR 64595, Nov. 23, 1998; 
67 FR 15467, Apr. 2, 2002]



Sec. 630.211  Exclusion of Presidential appointees.

    (a) Authority. (1) Section 6301(2)(xi) of title 5, United States 
Code, authorizes the President to exclude certain Presidential 
appointees in the executive

[[Page 710]]

branch or the government of the District of Columbia from the annual and 
sick leave provisions of subchapter I of chapter 63 of title 5, United 
States Code, and from the related provisions of this part.
    (2) The President, by Executive Order 10540, as amended, has 
delegated to the Office of Personnel Management the responsibility for 
making exclusions under section 6301(2)(xi), and the Office of Personnel 
Management has delegated responsibility to the head of each agency 
consistent with the provisions of this section.
    (3) Presidential appointees in positions where the rate of basic pay 
is equal to or exceeds the rate for level V of the Executive Schedule 
are already excluded from the annual and sick leave provisions by 5 
U.S.C. 6301(2)(x). Therefore, no further action by an agency is 
necessary to exclude these appointees.
    (b) Criteria for exclusions. The head of an agency may exclude an 
officer in the agency from the annual and sick leave provisions only if 
the officer meets all of the following criteria:
    (1) The officer is a Presidential appointee;
    (2) The officer is not a United States attorney or United States 
marshal; and
    (3) The officer's responsibilities for carrying out the duties of 
the position continue outside normal duty hours and while away from the 
normal duty post.
    (c) Revocation of exclusion. The head of an agency may revoke an 
exclusion from the annual and sick leave provisions which was made under 
this section.
    (d) Reports. The head of an agency must report any exclusion, or 
revocation of an exclusion, authorized under this section to the Office 
of Personnel Management.
    (e) Continuation of previous authorizations. Any officer in an 
agency who was excluded by action of the President or the Civil Service 
Commission prior to February 15, 1979, from the annual and sick leave 
provisions under the authority of 5 U.S.C. 6301(2)(xi) shall continue to 
be excluded from annual and sick leave unless the exclusion is revoked 
by the agency under the provisions of this section.

[44 FR 54694, Sept. 21, 1979, as amended at 56 FR 18663, Apr. 23, 1991]



Sec. 630.212  Use of annual leave to establish initial eligibility for retirement or continuation of health benefits.

    (a) An employee may elect to use annual leave and remain on the 
agency's rolls in order to establish initial eligibility for immediate 
retirement under 5 U.S.C. 8336, 8412, or 8414, and/or to establish 
initial eligibility under 5 U.S.C. 8905 to continue health benefits 
coverage into retirement, as provided in:
    (1) Section 351.606(b)(1) for an employee who would otherwise have 
been separated by reduction in force procedures under part 351 of this 
chapter; or
    (2) Section 351.606(b)(2) of this chapter for an employee who would 
otherwise have been separated by adverse action procedures under 
authority of part 752 of this chapter because of the employee's decision 
to decline relocation (including transfer of function).
    (b)(1) Annual leave that may be used for the purposes described in 
paragraph (a) of this section includes all accumulated, accrued, and 
restored annual leave to the employee's credit prior to the effective 
date of the reduction in force or relocation (including transfer of 
function) and annual leave earned by an employee while in a paid leave 
status after the effective date of the reduction in force or relocation 
(including transfer of function).
    (2) Annual leave that is advanced to an employee under 5 U.S.C. 
6302(d), including any advance annual leave that may be credited to an 
employee's leave account after the effective date of the reduction in 
force or relocation (including transfer of function), may not be used 
for purpose of this section.
    (3) For purposes of this section, the employing agency may approve 
the use of any or all annual leave donated to an employee under part 
630, subpart I, of this chapter (Voluntary Leave Transfer Program), or 
made available to the employee under part 630, subpart J, of this 
chapter (Voluntary Leave Bank Program), as of the effective date of the 
reduction in force or relocation.

[62 FR 10683, Mar. 10, 1997]

[[Page 711]]



                         Subpart C--Annual Leave



Sec. 630.301  Annual leave accumulation--Senior Executive Service.

    (a) Unused annual leave accrued by an employee while serving under 
an appointment in the Senior Executive Service under 5 U.S.C. chapter 
33, subchapter VIII, shall accumulate for use in succeeding years until 
it totals not more than 90 days (720 hours) at the beginning of the 
first full biweekly pay period (or corresponding period for an employee 
who is not paid on the basis of biweekly pay periods) occurring in a 
calendar year.
    (b) When an employee in a position outside of the Senior Executive 
Service moves to a position in the Senior Executive Service, any annual 
leave accumulated prior to movement shall remain to the employee's 
credit.
    (1) Annual leave accumulated prior to movement to the Senior 
Executive Service that is in excess of the amount allowed for the former 
position by 5 U.S.C. 6304 (a), (b), or (c) and that is not used by the 
beginning of the first full biweekly pay period in the next leave year 
shall be subject to forfeiture.
    (2) If an employee serves less than a full pay period under an 
appointment in the Senior Executive Service, only that portion of 
accrued annual leave that is attributable to service in the Senior 
Executive Service shall be subject to the 90-day (720-hour) limitation 
on accumulation of annual leave provided in paragraph (a) of this 
section. Annual leave accrued during the remainder of the pay period 
shall be subject to the limitations in 5 U.S.C. 6304(a), (b), and (c), 
as appropriate.
    (c) When an employee in the Senior Executive Service moves to a 
position outside the Senior Executive Service, any annual leave 
accumulated while serving in the Senior Executive Service that is in 
excess of the amount allowed for the position by subsection (a), (b), or 
(c) of 5 U.S.C. 6304 shall remain to the employee's credit and shall be 
subject to reduction under procedures identical to those described in 5 
U.S.C. 6304(c).
    (1) If the employee has more than 720 hours of annual leave at the 
time of the move and has a personal leave ceiling under paragraph (d) of 
this section, the employee may not carry over to the next leave year an 
amount greater than the employee's personal leave ceiling.
    (2) If the employee has more than 720 hours of annual leave at the 
time of the move and does not have a personal leave ceiling under 
paragraph (d) of this section, the employee may not carry over to the 
next leave year more than 720 hours.
    (d) An employee in the Senior Executive Service who, as of the first 
day of the first pay period beginning after October 13, 1994, has 
accumulated annual leave in excess of 90 days (720 hours) is entitled to 
retain that leave as a personal leave ceiling. The leave shall be 
credited to the employee and shall be subject to reduction in the 
following manner:
    (1) Annual leave credited to an employee shall be based on the 
amount of annual leave accumulated by the employee as of the end of the 
pay period preceding the first pay period beginning after October 13, 
1994. The credited leave shall exclude--
    (i) Any annual leave restored to the employee under 5 U.S.C. 
6304(d); and
    (ii) Any annual leave advanced to the employee under 5 U.S.C. 
6302(d) that had not yet been earned.
    (2) Annual leave credited to an employee that is in excess of 90 
days (720 hours) shall be subject to reduction in the same manner as 
provided in 5 U.S.C. 6304(c) until the employee's accumulated annual 
leave is equal to or less than 90 days (720 hours). For the 1994 leave 
year, 5 U.S.C. 6304(c) shall be applied only for leave earned and used 
between the start of the first pay period beginning after October 13, 
1994, and the end of the 1994 leave year.
    (e) Agencies shall notify affected employees and maintain records on 
the accumulated annual leave credited to each employee under paragraph 
(d) of this section and on any reductions in the credited annual leave 
made under 5 U.S.C. 6304(c). If the employee transfers to another 
agency, such records shall be provided to the gaining agency.

[59 FR 65705, Dec. 21, 1994, as amended at 60 FR 33328, June 28, 1995]

[[Page 712]]



Sec. 630.302  Maximum annual leave accumulation--forty-five day limitation.

    (a) The effective date on which an employee (otherwise eligible 
thereunder) becomes subject to section 6304(b) of title 5, United States 
Code, is the:
    (1) Date of his entry on duty when he is employed locally;
    (2) Date of his arrival at a post of regular assignment for duty; or
    (3) Date on which he begins to perform duty in an area outside the 
United States and the area of recruitment or from which transferred, 
when the employee is required to perform duty en route to his post of 
regular assignment for duty.
    (b) Subject to section 6304(c) of title 5, United States Code, the 
maximum amount of annual leave that may be carried forward into the next 
leave year by an employee who is transferred or reassigned to a position 
in which he is no longer subject to section 6304(b) of that title is 
determined as follows:
    (1) When, on the date prescribed by paragraph (c) of this section, 
the amount of an employee's accumulated and accrued annual leave is 30 
days or less, he may carry forward the amount prescribed by section 
6304(a) of title 5, United States Code;
    (2) When, on the date prescribed by paragraph (c) of this section, 
the amount of an employee's accumulated and accrued annual leave is more 
than 30 days but not more than 45 days, he may carry forward the full 
amount thereof that is unused at the end of the current leave year;
    (3) When, on the date prescribed by paragraph (c) of this section, 
the amount of an employee's accumulated and accrued annual leave is more 
than 45 days, he may carry forward the amount of unused annual leave to 
his credit at the end of the current leave year that does not exceed:
    (i) 45 days, if he is not entitled to a greater accumulation under 
section 6304(c) of title 5, United States Code; or
    (ii) The amount he is entitled to accumulate under section 6304(c) 
of that title, if that amount is greater than 45 days.
    (c) For the purposes of paragraph (b) of this section, an agency 
shall determine the amount of an employee's accumulated and accrued 
annual leave at the end of the pay period which includes:
    (1) The date on which the employee departs from his post of regular 
assignment for transfer or reassignment, except that when the employee 
is required to perform duty en route in an area in which he would be 
subject to section 6304(b) of title 5, United States Code, if assigned 
there, it is the date on which he ceases to perform the duty; or
    (2) The date on which final administrative approval is given to 
effect a change in the employee's duty station when he is on detail or 
leave in the United States, or in an area (the Commonwealth of Puerto 
Rico or a territory or possession of the United States) from which he 
was recruited or transferred.



Sec. 630.303  Part-time employees; earnings.

    A part-time employee for whom there has been established in advance 
a regular tour of duty on 1 or more days during each administrative 
workweek, and a part-time employee on a flexible work schedule for whom 
there has been established only a biweekly work requirement, earn annual 
leave as follows:
    (a) An employee with less than 3 years of service earns 1 hour of 
annual leave for each 20 hours in a pay status.
    (b) An employee with 3 but less than 15 years of service earns 1 
hour of annual leave for each 13 hours in a pay status.
    (c) An employee with 15 years or more of service earns 1 hour of 
annual leave for each 10 hours in a pay status.

[33 FR 12475, Sept. 4, 1968, as amended at 48 FR 44061, Sept. 27, 1983]



Sec. 630.304  Accumulation limitation for part-time employees.

    A part-time employee may accumulate not more than 240 or 360 hours' 
annual leave on the same basis that a full-time employee may accumulate 
not more than 30 or 45 days' annual leave.



Sec. 630.305  Designating agency official to approve exigencies.

    Before annual leave may be restored under 5 U.S.C. 6304, the 
determination

[[Page 713]]

that an exigency is of major importance and that therefore annual leave 
may not be used by employees to avoid forfeiture must be made by the 
head of the agency or someone designated to act for him or her on this 
matter. Except where made by the head of the agency, the determination 
may not be made by any official whose leave would be affected by the 
decision.

[53 FR 42933, Oct. 25, 1988]



Sec. 630.306  Time limit for use of restored annual leave.

    (a) Except as otherwise authorized under paragraphs (b) and (c) of 
this section or other regulation, annual leave restored under 5 U.S.C. 
6304(d) must be scheduled and used not later than the end of the leave 
year ending 2 years after:
    (1) The date of restoration of the annual leave forfeited because of 
administrative error; or
    (2) The date fixed by the agency head, or his or her designee, as 
the termination date of the exigency of the public business that 
resulted in forfeiture of the annual leave; or,
    (3) The date the employee is determined to be recovered and able to 
return to duty if the leave was forfeited because of sickness.
    (b) Annual leave restored to an employee under 5 U.S.C. 6304(d)(3) 
must be scheduled and used within the time limits prescribed in 
paragraphs (b)(1) and (b)(2) of this section:
    (1) A full-time employee shall schedule and use excess annual leave 
of 416 hours or less by the end of the leave year in progress 2 years 
after the date the employee is no longer subject to 5 U.S.C. 6304(d)(3). 
The agency shall extend this period by 1 leave year for each additional 
208 hours of excess annual leave or any portion thereof.
    (2) A part-time employee shall schedule and use excess annual leave 
in an amount equal to or less than 20 percent of the number of hours in 
the employee's scheduled annual tour of duty by the end of the leave 
year in progress 2 years after the date the employee is no longer 
subject to 5 U.S.C. 6304(d)(3). The agency shall extend this period by 1 
leave year for each additional number of hours of excess annual leave, 
or any portion thereof, equal to 10 percent of the number of hours in 
the employee's scheduled annual tour of duty.
    (c) The time limits established under paragraphs (a) and (b) of this 
section for using restored annual leave accounts shall not apply for the 
entire period during which an employee is subject to 5 U.S.C. 
6304(d)(3). When coverage under 5 U.S.C. 6304(d)(3) ends, a new time 
limit shall be established under paragraph (b) of this section for all 
annual leave restored to an employee under 5 U.S.C. 6304(d).

[59 FR 62972, Dec. 7, 1994]



Sec. 630.307  Time limit for use of restored annual leave--former missing employees.

    Annual leave restored under section 5562 of title 5, United States 
Code, shall be used within a time limit to be prescribed by the Office 
of Personnel Management in each case taking into consideration the 
amount of the restored leave and other relevant factors.

[39 FR 1575, Jan. 11, 1974]



Sec. 630.308  Scheduling of annual leave.

    (a) Except as provided in paragraph (b) of this section and 
Secs. 630.310 and 630.311, before annual leave forfeited under 5 U.S.C. 
6304 may be considered for restoration under that section, use of the 
annual leave must have been scheduled in writing before the start of the 
third biweekly pay period prior to the end of the leave year.
    (b) The requirement for advance scheduling of annual leave in 
paragraph (a) of this section shall not apply to an employee who is 
covered by 5 U.S.C. 6304(d)(3). When coverage under 5 U.S.C. 6304(d)(3) 
terminates during a leave year, the employee shall make a reasonable 
effort to comply with the scheduling requirement in paragraph (a) of 
this section. The head of the agency or his or her designee may exempt 
employees from the advance scheduling requirement in paragraph (a) of 
this section if coverage under 6304(d)(3) terminated during the leave 
year and the employee was unable to

[[Page 714]]

comply with the advance scheduling requirement due to circumstances 
beyond his or her control.

[59 FR 62973, Dec. 7, 1994; 59 FR 65839, Dec. 21, 1994, as amended at 64 
FR 46258, Aug. 25, 1999; 66 FR 55558, Nov. 2, 2001]



Sec. 630.309  Time limit for use of restored annual leave--extended exigency of the public business.

    (a) Annual leave restored under 5 U.S.C. 6304(d)(1)(B) because of an 
extended exigency, as defined in paragraph (b) of this section, must be 
scheduled and used within a time period that equals twice the number of 
full calendar years, or parts thereof, that the exigency existed. This 
time period begins at the beginning of the leave year following the 
leave year in which the exigency is declared to be ended.
    (b) An extended exigency means an exigency of such significance as 
to--
    (1) Threaten the national security, safety, or welfare;
    (2) Last more than 3 calendar years;
    (3) Affect a segment of an agency or occupational class; and
    (4) Preclude subsequent use of both restored and accrued annual 
leave within the time limit specified in Sec. 630.306.

[50 FR 29937, July 23, 1985]



Sec. 630.310  Scheduling of annual leave by employees determined necessary for Year 2000 computer conversion efforts.

    (a) Year 2000 computer conversion efforts are deemed to be an 
exigency of the public business for the purpose of restoring annual 
leave forfeited under 5 U.S.C. 6304. This exigency terminates on January 
31, 2000.
    (b) For any employee who forfeits annual leave under 5 U.S.C. 6304 
at the beginning of leave year 2000 because the agency determined the 
employee's services were required during the Year 2000 computer 
conversion exigency, the forfeited annual leave is deemed to have been 
scheduled in advance for the purpose of 5 U.S.C. 6304(d)(1)(B) and 
Sec. 630.308.
    (c) Annual leave restored under 5 U.S.C. 6304(d) because of the Year 
2000 computer conversion exigency must be scheduled and used not later 
than the end of leave year 2002.
    (d) The time limits established under paragraphs (a) and (b) of 
Sec. 630.306 for using previously restored annual leave do not apply for 
the period during which an employee's services were determined necessary 
for the completion of Year 2000 computer conversion efforts. On January 
31, 2000, a new time limit will be established under paragraph (c) of 
this section for all annual leave restored to such an employee.
    (e) An employee whose services were determined necessary during the 
Year 2000 computer conversion exigency for a portion of leave year 1999, 
but who subsequently moves to a position not involving Year 2000 
computer conversion efforts, must make a reasonable effort to comply 
with the scheduling requirement in Sec. 630.308(a). The head of the 
agency or his or her designee may exempt such an employee from the 
advance scheduling requirement in Sec. 630.308(a) if coverage under 
paragraphs (a) and (b) of this section terminated during leave year 1999 
and the employee can demonstrate that he or she was unable to comply 
with the advance scheduling requirement due to circumstances beyond his 
or her control.

[64 FR 46259, Aug. 25, 1999, as amended at 64 FR 72253, Dec. 27, 1999]



Sec. 630.311  Scheduling of annual leave by employees determined necessary to respond to the ``National Emergency by Reason of Certain Terrorist Attacks.''

    (a) The ``National Emergency by Reason of Certain Terrorist 
Attacks'' (Presidential Proclamation of September 14, 2001) is deemed to 
be an exigency of the public business for the purpose of restoring 
annual leave forfeited under 5 U.S.C. 6304.
    (b) For any employee who forfeits annual leave under 5 U.S.C. 6304 
at the beginning of a leave year because the agency determined the 
employee's services were required in response to the national emergency, 
the forfeited annual leave is deemed to have been scheduled in advance 
for the purpose of 5 U.S.C. 6304(d)(1)(B) and Sec. 630.308.
    (c) Annual leave restored under 5 U.S.C. 6304(d) because of the 
national emergency must be scheduled and used

[[Page 715]]

within the time limits prescribed in paragraphs (c)(1) and (c)(2) of 
this section:
    (1) A full-time employee must schedule and use excess annual leave 
of 416 hours or less by the end of the leave year in progress 2 years 
after the date the employee's services are no longer required by the 
national emergency. The agency must extend this period by 1 leave year 
for each additional 208 hours of excess annual leave or any portion 
thereof.
    (2) A part-time employee must schedule and use excess annual leave 
in an amount equal to or less than 20 percent of the number of hours in 
the employee's scheduled annual tour of duty by the end of the leave 
year in progress 2 years after the date the employee's services are no 
longer required by the national emergency. The agency must extend this 
period by 1 leave year for each additional number of hours of excess 
annual leave, or any portion thereof, equal to 10 percent of the number 
of hours in the employee's scheduled annual tour of duty.
    (d) The time limits established under paragraphs (c)(1) and (c)(2) 
of this section for using restored annual leave accounts do not apply 
for the entire period during which an employee's services are required 
for the national emergency. When coverage under paragraphs (a) and (b) 
of this section ends, a new time limit will be established under 
paragraph (c) of this section for all annual leave restored to an 
employee under 5 U.S.C. 6304(d).
    (e) An employee whose services were determined essential during the 
national emergency, but who subsequently moves to a position not 
considered essential, must make a reasonable effort to comply with the 
scheduling requirement in Sec. 630.308(a). The head of the agency or his 
or her designee may exempt such an employee from the advance scheduling 
requirement in Sec. 630.308(a) if coverage under paragraphs (a) and (b) 
of this section terminated during the leave year and the employee can 
demonstrate that he or she was unable to comply with the advance 
scheduling requirement due to circumstances beyond his or her control.

[66 FR 55558, Nov. 2, 2001]



                          Subpart D--Sick Leave



Sec. 630.401  Grant of sick leave.

    (a) Subject to paragraphs (b) through (f) of this section, an agency 
must grant sick leave to an employee when the employee--
    (1) Receives medical, dental, or optical examination or treatment;
    (2) Is incapacitated for the performance of duties by physical or 
mental illness, injury, pregnancy, or childbirth;
    (3)(i) Provides care for a family member who is incapacitated by a 
medical or mental condition or attends to a family member receiving 
medical, dental, or optical examination or treatment; or
    (ii) Provides care for a family member with a serious health 
condition.
    (4) Makes arrangements necessitated by the death of a family member 
or attends the funeral of a family member;
    (5) Would, as determined by the health authorities having 
jurisdiction or by a health care provider, jeopardize the health of 
others by his or her presence on the job because of exposure to a 
communicable disease; or
    (6) Must be absent from duty for purposes relating to the adoption 
of a child, including appointments with adoption agencies, social 
workers, and attorneys; court proceedings; required travel; and any 
other activities necessary to allow the adoption to proceed.
    (b) The amount of sick leave granted to an employee during any leave 
year for the purposes described in paragraphs (a)(3)(i) and (4) of this 
section may not exceed a total of 104 hours (or, in the case of a part-
time employee or an employee with an uncommon tour of duty, the number 
of hours of sick leave normally accrued by that employee during a leave 
year).
    (c)(1) An employee who is caring for a family member with a serious 
health condition under paragraph (a)(3)(ii) of this section may use not 
more than a total of up to 480 hours of sick leave (or, in the case of a 
part-time employee or an employee with an uncommon tour of duty, an 
amount of sick leave equal to 12 times the average number of hours in 
his or her scheduled tour of duty each week) during a leave year,

[[Page 716]]

subject to the limitation found in paragraph (c)(2) of this section.
    (2) If, at the time an employee uses sick leave to care for a family 
member with a serious health condition under paragraph (c)(1) of this 
section, he or she has used any portion of the sick leave authorized 
under paragraph (b) of this section during that leave year, the agency 
must subtract that amount from the maximum number of hours authorized 
under paragraph (c)(1) of this section to determine the total amount of 
sick leave that may be used during the remainder of the leave year to 
care for a family member with a serious health condition. If the 
employee previously has used the maximum amount of sick leave permitted 
under paragraph (c)(1) of this section in a leave year, he or she is not 
entitled to use additional sick leave under paragraph (b).
    (3) A full-time employee may use not more than a total of 480 hours 
of sick leave (or, in the case of a part-time employee or an employee 
with an uncommon tour of duty, an amount of sick leave equal to 12 times 
the average number of hours in his or her scheduled tour of duty each 
week) for all family care purposes under paragraphs (a)(3) and (4) of 
this section.
    (d) For family care purposes as described in paragraphs (a)(3) and 
(4) of this section--
    (1) A full-time employee may use a total of up to 40 hours (or, in 
the case of a part-time employee or an employee with an uncommon tour of 
duty, the average number of hours in his or her regularly scheduled 
administrative workweek) of accrued and accumulated sick leave without 
further regard to his or her sick leave balance.
    (2) A full-time employee may use more than 40 hours of his or her 
accrued and accumulated sick leave up to the maximum provided by 
paragraphs (b) and (c)(1) of this section only if he or she maintains a 
sick leave balance of at least 80 hours (or, in the case of a part-time 
employee or an employee with an uncommon tour of duty, two times the 
average number of hours in his or her regularly scheduled administrative 
workweek). An employee must maintain this balance during any period of 
time during which the employee is using more than his or her basic 
entitlement to sick leave under paragraph (d)(1) of this section.
    (3) An agency may advance only the initial 40 hours of sick leave 
under paragraph (d)(1) of this section, or a proportional amount for an 
employee with a part-time or uncommon tour of duty. An agency may not 
advance sick leave for the purpose of meeting the requirement to retain 
a minimum sick leave balance under paragraph (d)(2) of this section or, 
if the employee has the required minimum sick leave balance, for using 
additional sick leave as provided in paragraphs (b) and (c) of this 
section.
    (e) To be granted any sick leave for the purposes described in 
paragraphs (a) (3) or (4) of this section during any leave year in an 
amount exceeding a total of 40 hours (or, in the case of a part-time 
employee or an employee with an uncommon tour of duty, the average 
number of hours in the employee's scheduled tour of duty each week), the 
employee concerned shall retain in his or her sick leave account a 
balance of at least 80 hours (or, in the case of a part-time employee or 
an employee with an uncommon tour of duty, an amount equal to twice the 
average number of hours in the employee's scheduled tour of duty each 
week). No sick leave may be advanced under 5 U.S.C. 6307(d) for the 
purpose of meeting the requirement to retain a minimum sick leave 
balance or for using additional sick leave for the purposes described in 
paragraphs (a) (3) and (4) of this section when such use would otherwise 
cause the employee's sick leave balance to fall below the minimum 
required.
    (f) When sick leave is granted to an employee under the condition 
specified in paragraph (d) of this section, the amount of sick leave 
retained in the employee's sick leave account shall, in each instance, 
be at least equal to the minimum prescribed by paragraph (d) of this 
section after deducting the amount to be used for the purposes described 
in paragraphs (a)(3) and (4) of this section.
    (g) If the number of hours in the employee's tour of duty is changed 
during the leave year, the employee's entitlement to use sick leave for 
the purposes

[[Page 717]]

described in paragraphs (a)(3) and (4) of this section shall be 
recalculated based on the employee's new tour of duty.

[59 FR 62271, Dec. 2, 1994, as amended at 59 FR 62274, Dec. 2, 1994; 59 
FR 67125, Dec. 29, 1994; 60 FR 26979, May 22, 1995; 61 FR 64450, Dec. 5, 
1996; 65 FR 37239, June 13, 2000]



Sec. 630.402  Application for sick leave.

    An employee shall file a written application for sick leave within 
such time limits as the agency may require. An employee shall request 
advance approval for sick leave for the purposes of receiving medical, 
dental, or optical examination or treatment and, to the extent possible, 
for the purposes described in Sec. 630.401(a) (3), (4), and (6).

[59 FR 62274, Dec. 2, 1994]



Sec. 630.403  Supporting evidence.

    (a) An agency may grant sick leave only when supported by 
administratively acceptable evidence. Regardless of the duration of the 
absence, an agency may consider an employee's certification as to the 
reason for his or her absence as administratively acceptable evidence. 
For an absence in excess of 3 workdays, or for a lesser period when 
determined necessary, the agency may also require a medical certificate 
or other administratively acceptable evidence as to the reason for an 
absence for any of the purposes described in Sec. 630.401(a).
    (b) An agency may establish a uniformly applied policy that requires 
employees to provide administratively acceptable evidence or medical 
certification for a request for sick leave within a specified time 
period. An employee who does not provide the required evidence or 
medical certification within the specified time period is not entitled 
to sick leave.
    (c) An agency may require an employee requesting sick leave to care 
for a family member under Sec. 630.401(a)(3)(ii) to provide an 
additional written statement from the health care provider concerning 
the family member's need for psychological comfort and/or physical care. 
The statement must certify that--
    (1) The family member requires psychological comfort and/or physical 
care;
    (2) The family member would benefit from the employee's care or 
presence; and
    (3) The employee is needed to care for the family member for a 
specified period of time.

[65 FR 37240, June 13, 2000]



Sec. 630.404  Limitation on advance sick leave.

    When an employee is serving under a limited appointment or one which 
will be terminated on a specified date, an agency may advance sick leave 
to him up to the total sick leave which he would otherwise earn during 
the term of his appointment. For the purposes of this section, an 
employee serving a probationary or trial period is not serving under a 
limited appointment.



Sec. 630.405  Use of sick leave during annual leave or to become eligible for donated leave.

    (a) Subject to Sec. 630.401(b) through (f), an agency may grant sick 
leave during a period of annual leave for any of the purposes described 
in Sec. 630.401(a).
    (b) An employee's entitlement to use sick leave to care for a family 
member under Sec. 630.401 shall be considered as available paid leave 
for the purpose of determining an employee's eligibility to become a 
leave recipient under the voluntary leave transfer and leave bank 
program established under subchapters III and IV of title 5, United 
States Code, if the medical emergency involves a family member of the 
employee.
    (c) In the case of an employee already in a shared leave status 
(i.e., using donated annual leave) on June 20, 2000 under the voluntary 
leave transfer or leave bank programs established under subchapters III 
and IV of chapter 63 of title 5, United States Code, any sick leave 
available to care for a family member under Sec. 630.401 must be used 
before continuing to use transferred annual leave or annual leave 
withdrawn from a leave bank.

[59 FR 62271, Dec. 2, 1994, as amended at 65 FR 37240, June 13, 2000]

[[Page 718]]



Sec. 630.406  Part-time employees; earnings.

    A part-time employee earns 1 hour of sick leave for each 20 hours in 
a pay status.



Sec. 630.407  Sick leave used in computation of annuity.

    (a) Sick leave which is used in the computation of annuity for an 
employee shall be charged against his sick leave account and may not 
thereafter be used, transferred, or recredited.
    (b) An employee on a compressed work schedule is not entitled to 
holiday premium pay while engaged in training, except as provided in 
Sec. 410.402 of this chapter.

[34 FR 17617, Oct. 31, 1969, as amended at 64 FR 69182, Dec. 10, 1999]



Sec. 630.408  Records and reports.

    (a) Beginning with leave year 1995, each agency shall maintain 
records concerning the use of sick leave to care for a family member or 
to make arrangements for or attend the funeral of a family member under 
Sec. 630.401(a) (3) and (4) and shall report such information as may be 
required by the Office of Personnel Management (OPM) for the purpose of 
evaluating the use of sick leave.
    (b) Beginning with leave year 1995, each agency shall maintain the 
following information by leave year for each employee using sick leave 
for the purpose described in Sec. 630.401(a) (3) or (4):
    (1) The grade or pay level and gender of each employee;
    (2) The total number of hours of sick leave used by each employee--
    (i) For the purposes described in Sec. 630.401(a) (3) or (4); and
    (ii) For all other purposes described in Sec. 630.401(a); and
    (3) Any additional information OPM may require.

[59 FR 62271, Dec. 2, 1994]



Sec. 630.409  Substitution of sick leave for annual leave for adoption-related purposes.

    (a) Upon the written request of an employee under the procedures set 
forth in paragraph (b) of this section, an individual who is employed by 
the Federal Government on September 30, 1994, or who is reemployed by 
the Federal Government on or after September 30, 1994, in a position 
covered by subchapter I of chapter 63 of title 5, United States Code, 
may elect to substitute his or her accrued and accumulated sick leave 
for all or any portion of any annual leave used for purposes relating to 
the adoption of a child between September 30, 1991, and September 30, 
1994.
    (b) An employee's written request under paragraph (a) of this 
section to substitute any accrued and accumulated sick leave for annual 
leave used for adoption-related purposes must be submitted to his or her 
employing agency by September 30, 1996. The employee's written request 
shall--
    (1) Specify the period(s) and amount(s) of annual leave involved;
    (2) Include copies of any available contemporaneous earnings and 
leave statement(s) or other contemporaneous documentation acceptable to 
the agency that specifies the period(s) and amount(s) of annual leave 
used by the employee for purposes relating to the adoption of a child 
between September 30, 1991, and September 30, 1994;
    (3) Specify the amount(s) of accrued and accumulated sick leave to 
be substituted under paragraph (b)(1) of this section; and
    (4) Include evidence of the adoption that is administratively 
acceptable to the employing agency.
    (c) In the absence of a written request by the employee that meets 
the requirements of paragraph (b) of this section, no substitution of 
sick leave may be approved under this section.
    (d) Within a reasonable period of time after receiving an employee's 
written request that meets the requirements set forth in paragraph (b) 
of this section, the employing agency shall--
    (1) Deduct from the employee's sick leave account any amount(s) of 
accrued and accumulated sick leave the employee elects to substitute for 
annual leave used for adoption-related purposes between September 30, 
1991, and September 30, 1994, that is supported by written documentation 
acceptable to the employing agency; and
    (2) Credit the employee's annual leave account with an amount of 
annual leave equal to the amount of sick

[[Page 719]]

leave the employee elects to substitute under paragraphs (a) and (b) of 
this section.
    (e) If the agency determines that insufficient written documentation 
exists to honor the employee's request, the employing agency shall 
inform the employee of this determination in writing.
    (f) Any annual leave credited to an employee's current annual leave 
account under paragraph (d)(2) of this section shall be available for 
use by the employee on or after the date the annual leave is credited in 
the same manner and for the same purposes as the employee's current 
accrued and accumulated annual leave. The annual leave credited to an 
employee under this section may not be substituted for any period of 
otherwise paid leave or leave without pay used prior to the date the 
annual leave is credited to the employee's annual leave account under 
paragraph (d)(2) of this section.

[59 FR 62274, Dec. 2, 1994]



                      Subpart E--Recredit of Leave



Sec. 630.501  Annual leave recredit.

    (a) When an employee transfers between positions under subchapter I 
of chapter 63 of title 5, United States Code, the agency from which he 
transfers shall certify his annual leave account to the employing agency 
for credit or charge.
    (b) When annual leave is transferred between different leave systems 
under section 6308 of title 5, United States Code, or is recredited 
under a different leave system as the result of a refund under section 
6306 of that title, 7 calendar days of annual leave are deemed equal to 
5 workdays of annual leave.

[35 FR 18581, Dec. 8, 1970]



Sec. 630.502  Sick leave recredit.

    (a) When an employee transfers between positions under subchapter I 
of chapter 63 of title 5, United States Code, the agency from which the 
employee transfers shall certify his or her sick leave account to the 
employing agency for credit or charge.
    (b) Except as provided in Sec. 630.407 and in paragraph (c) of this 
section, an employee who has had a break in service is entitled to a 
recredit of sick leave (without regard to the date of his or her 
separation), if he or she returns to Federal employment on or after 
December 2, 1994, unless the sick leave was forfeited upon reemployment 
in the Federal Government before December 2, 1994.
    (c) Except as provided in Sec. 630.407, an employee of the 
government of the District of Columbia who was first employed by the 
government of the District of Columbia before October 1, 1987, who has 
had a break in service is entitled to a recredit of sick leave (without 
regard to the date of his or her separation), if he or she returns to 
Federal employment on or after December 2, 1994, unless the sick leave 
was forfeited upon reemployment in the Federal Government before 
December 2, 1994.
    (d) When sick leave is transferred between different leave systems 
under section 6308 of title 5, United States Code, 7 calendar days of 
sick leave are deemed equal to 5 workdays of sick leave.
    (e) An employee who transfers to a position under a different leave 
system to which he or she can transfer only a part of his or her sick 
leave is entitled to a recredit of the untransferred sick leave (without 
regard to the date of the original transfer) if the employee returns to 
the leave system under which it was earned on or after December 2, 1994.
    (f) An employee who transfers to a position to which he or she 
cannot transfer his or her sick leave is entitled to a recredit of the 
untransferred sick leave (without regard to the date of the original 
transfer) if the employee returns to the leave system under which it was 
earned on or after December 2, 1994.
    (g) The recredit of sick leave under this section shall be supported 
by written documentation available to the employing agency in its 
official personnel records concerning the employee, the official records 
of the employee's former employing agency, copies of contemporaneous 
earnings and leave statement(s) provided by the employee, or copies of 
other contemporaneous written documentation acceptable to the agency.

[[Page 720]]

    (h) The sick leave to be recredited under this section must have 
been accrued under 5 U.S.C. 6307 or transferred to the employee's credit 
under 5 U.S.C. 6308 (or the corresponding provisions of prior statutes).

[59 FR 62271, Dec. 2, 1994]



Sec. 630.503  Leave from former leave systems.

    An employee who earned leave under the leave acts of 1936 or any 
other leave system merged under subchapter I of chapter 63 of title 5, 
United States Code, is entitled to a recredit of that leave under that 
subchapter if he would have been entitled to recredit for it on 
reentering the leave system under which it was earned. However, this 
section does not revive leave already forfeited.



Sec. 630.504  Reestablishment of leave account after military service.

    (a) When an employee leaves his or her civilian position to enter 
the military service, the employing agency shall certify his or her 
leave account for credit or charge.
    (b) If the employee returns to a civilian position following 
military service, the agency to which the employee returns shall 
reestablish the certified leave account as a credit or charge (without 
regard to the date he or she left the civilian position) when the 
employee is--
    (1) Restored in accordance with a right of restoration after 
separation from active military duty or hospitalization continuing 
thereafter as provided by law or in accordance with the mandatory 
provisions of a statute, Executive order, or regulation; or
    (2) Reemployed in a position under subchapter I of chapter 63 of 
title 5, United States Code, on or after December 2, 1994.
    (c) For the purpose of documenting a returning employee's 
entitlement to a recredit of sick leave under this section, the 
documentation criteria established in Sec. 630.502(g) shall apply.

[59 FR 62272, Dec. 2, 1994]



Sec. 630.505  Restoration after appeal.

    When an employee is restored to an agency as a result of an appeal, 
the agency shall reestablish his leave account as a credit or charge as 
it was at the time of separation.



Sec. 630.506  Minimum unit.

    (a) When an employee moves between positions under subchapter I of 
chapter 63 of title 5, United States Code, in different agencies, only 
his leave in whole hour units may be transferred.
    (b) When an employee moves between positions under subchapter I of 
chapter 63 of title 5, United States Code, covered by different leave 
charging systems within the same agency, his leave is transferable in 
accordance with paragraph (a) of this section, unless the agency 
establishes a different policy making fractions of an hour of leave 
transferable.

[38 FR 18446, July 11, 1973; 38 FR 26601, Sept. 24, 1973]



                          Subpart F--Home Leave



Sec. 630.601  Definitions.

    In this subpart:
    Home leave means leave authorized by section 6305(a) of title 5, 
United States Code, and earned by service abroad for use in the United 
States, in the Commonwealth of Puerto Rico, or in the territories or 
possessions of the United States.
    Month means a period which runs from a given day in 1 month through 
the date preceding the numerically corresponding day in the next month.
    Service abroad means service on and after September 6, 1960, by an 
employee at a post of duty outside the United States and outside the 
employee's place of residence if his place of residence is in the 
Commonwealth of Puerto Rico or a territory or possession of the United 
States.

[33 FR 12475, Sept. 4, 1967, as amended at 60 FR 67287, Dec. 29, 1995]



Sec. 630.602  Coverage.

    An employee who meets the requirements of section 6304(b) of title 
5, United States Code, for the accumulation of a maximum of 45 days of 
annual leave earns and may be granted home leave in accordance with 
section 6305(a) of that title and this subpart.

[[Page 721]]



Sec. 630.603  Computation of service abroad.

    For the purpose of this subpart, service abroad:
    (a) Begins on the date of the employee's arrival at a post of duty 
outside the United States, or on the date of his entrance on duty when 
recruited abroad;
    (b) Ends on the date of the employee's departure from the post for 
separation or for assignment in the United States, or on the date of his 
separation from duty when separated abroad; and
    (c) Includes (1) absence in a nonpay status up to a maximum of 2 
workweeks within each 12 months of service abroad, (2) authorized leave 
with pay, (3) time spent in the Armed Forces of the United States which 
interrupts service abroad (but only for eligibility, not leave-earning, 
purposes), and (4) a period of detail.

In computing service abroad, full credit is given for the day of arrival 
and the day of departure.

[33 FR 12475, Sept. 4, 1968, as amended at 35 FR 14763, Sept. 23, 1970]



Sec. 630.604  Earning rates.

    (a) For each 12 months of service abroad, an employee earns home 
leave at the following rate:
    (1) An employee who accepts an appointment to, or occupies, a 
position for which the agency has prescribed the requirement that the 
incumbent accept assignments anywhere in the world as the needs of the 
agency dictate--15 days.
    (2) An employee who is serving with a U.S. mission to a public 
international organization--15 days.
    (3) An employee who is serving at a post for which payment of a 
foreign or nonforeign (but not a tropical) differential of 20 percent or 
more is authorized by law or regulation--15 days.
    (4) An employee not included in paragraph (a) (1), (2), or (3) of 
this section who is serving at a post for which payment of a foreign or 
territorial (but not a tropical) differential of at least 10 percent but 
less than 20 percent is authorized by law or regulation--10 days.
    (5) An employee not included in paragraph (a) (1), (2), (3), or (4) 
of this section--5 days.
    (6) An employee included under (a) (1) through (5) of this section 
whose civilian service abroad is interrupted by a tour of duty in the 
Armed Forces of the United States, for the duration of such tour--0 
(zero) days.
    (b) An agency shall credit home leave to an employee's leave 
account, as earned, in multiples of 1 day.

[33 FR 12475, Sept. 4, 1968, as amended at 35 FR 14763, Sept. 23, 1970]



Sec. 630.605  Computation of home leave.

    (a) For each month of service abroad, an employee earns home leave 
under the rates fixed by Sec. 630.604(a) in the amounts set forth in the 
following table:

                        Home Leave-Earning Table
                              [Days earned]
------------------------------------------------------------------------
                                             Earning rate (days for each
                                                     12 months)
         Months of service abroad          -----------------------------
                                               15        10         5
------------------------------------------------------------------------
1.........................................         1         0         0
2.........................................         2         1         0
3.........................................         3         2         1
4.........................................         5         3         1
5.........................................         6         4         2
6.........................................         7         5         2
7.........................................         8         5         2
8.........................................        10         6         3
9.........................................        11         7         3
10........................................        12         8         4
11........................................        13         9         4
12........................................        15        10         5
------------------------------------------------------------------------

    (b) When an employee moves between different home leave-earning 
rates during a month of service abroad, or when a change in the 
differential during a month of service abroad results in a different 
home leave-earning rate, the agency shall credit the employee with the 
amount of home leave for the month at the rate to which he was entitled 
before the change in his home leave-earning rate.



Sec. 630.606  Grant of home leave.

    (a) Entitlement. Except as otherwise authorized by statute, an 
employee is entitled to home leave only when he has completed a basic 
service period of 24 months of continuous service abroad. This basic 
service period is terminated by (1) a break in service of 1 or more 
workdays, or (2) an assignment (other than a detail) to a position in 
which an employee is no longer subject

[[Page 722]]

to section 6305(a) of title 5, United States Code.
    (b) Agency authority. A grant of home leave is at the discretion of 
an agency. An agency may grant home leave in combination with other 
leaves of absence in accordance with established agency policy.
    (c) Limitations. An agency may grant home leave only:
    (1) For use in the United States, the Commonwealth of Puerto Rico, 
or a territory or possession of the United States; and
    (2) During an employee's period of service abroad, or within a 
reasonable period after his return from service abroad when it is 
contemplated that he will return to service abroad immediately or on 
completion of an assignment in the United States.

Home leave not granted during a period named in paragraph (c)(2) of this 
section may be granted only when the employee has completed a further 
substantial period of service abroad. This further substantial period of 
service abroad may not be less than the tour of duty prescribed for the 
employee's post of assignment, except when the agency determines that an 
earlier grant of home leave is warranted in an individual case.
    (d) Charging of home leave. The minimum charge for home leave is 1 
day and additional charges are in multiples thereof.
    (e) Refund for home leave. An employee is indebted for the home 
leave used by him when he fails to return to service abroad after the 
period of home leave, or after the completion of an assignment in the 
United States. However, a refund for this indebtedness is not required 
when (1) the employee has completed not less than 6 months' service in 
an assignment in the United States following the period of home leave; 
(2) the agency determines that the employee's failure to return was due 
to compelling personal reasons of a humanitarian or compassionate 
nature, such as may involve physical or mental health or circumstances 
over which the employee has no control; or (3) the agency which granted 
the home leave determines that it is in the public interest not to 
return the employee to his overseas assignment.



Sec. 630.607  Transfer and recredit of home leave.

    An employee is entitled to have his home leave account transferred 
or recredited to his account when he moves between agencies or is 
reemployed without a break in service of more than 90 days.



                         Subpart G--Shore Leave

    Authority: 5 U.S.C. 6305.



Sec. 630.701  Coverage.

    This subpart applies to an employee as defined in section 6301 of 
title 5, United States Code, who is regularly assigned to duties aboard 
an oceangoing vessel. An employee is considered to be regularly assigned 
when his continuing duties are such that all or a significant part of 
them require that he serve aboard an oceangoing vessel. Temporary 
assignments of a shore-based employee, such as for limited work projects 
or for training, do not constitute a regular assignment.



Sec. 630.702  Definitions.

    Extended voyage means a voyage of not less than 7 consecutive 
calendar days duration.
    Oceangoing vessel means a vessel in use on the high seas or the 
Great Lakes; but does not include a vessel which operates primarily on 
rivers, other lakes, bays, sounds or within the 3-nautical-mile limit of 
the coastal area of the 48 contiguous States, except when used in 
mapping, charting, or surveying operations or when in or sailing to or 
from foreign, territorial, Hawaiian, or Alaskan waters, or waters 
outside its normal area of operations or outside the 3-nautical-mile 
limit.
    Shore leave means leave authorized by section 6305(c) of title 5, 
United States Code, and this subpart.
    Voyage means the sailing of an oceangoing vessel from one port and 
its return to that port or the final port of discharge.

[33 FR 12475, Sept. 4, 1968, as amended at 60 FR 67287, Dec. 29, 1995]



Sec. 630.703  Computation of shore leave.

    (a) An employee earns shore leave at the rate of 1 day of shore 
leave for each

[[Page 723]]

15 calendar days of absence on one or more extended voyages.
    (b) (1) For an employee who is an officer or crewmember, a voyage 
begins either on the date he assumes his duties aboard an oceangoing 
vessel to begin preparation for a voyage or on the date he comes aboard 
when a voyage is in progress. The voyage terminates on the date he 
ceases to be an officer or crewmember of the oceangoing vessel or on the 
date on which he is released from assignment of his duties relating to 
that voyage aboard the oceangoing vessel at the port of origin or port 
of final discharge, whichever is earlier.
    (2) For an employee other than an officer or crewmember, a voyage 
begins on the date of sailing and terminates on the date the oceangoing 
vessel returns to a port at which the employee will disembark in 
completion of his assignment aboard the vessel, or on the date he is 
released from his assignment aboard the vessel, whichever is earlier.
    (c) In computing days of absence, an agency shall include (1) the 
beginning date of a voyage and the termination date of a voyage; (2) the 
days an employee spends traveling to join an oceangoing vessel to which 
assigned when the vessel is at a place other than the port of origin; 
(3) the days an employee spends traveling between oceangoing vessels 
when the employee is assigned from one vessel to another; (4) the period 
representing the number of days within which an employee is reasonably 
expected to return to the port of origin when his oceangoing vessel's 
voyage is terminated, or his employment as an officer or crewmember is 
terminated, at a port other than the port of origin; (5) for an employee 
who is an officer or crewmember, the days on which he is on sick leave 
when he becomes sick during a voyage (whether or not continued as a 
member of the crew) but not beyond the termination date of the voyage of 
the oceangoing vessel or his repatriation to the port of origin, 
whichever is earlier; (6) for an employee other than an officer or 
crewmember, the days on which he is carried on sick leave but not beyond 
the date on which he returns to the port of origin or the termination 
date of the voyage, whichever is earlier; and (7) the days of approved 
leave from a vessel (paid or unpaid) during a voyage.



Sec. 630.704  Granting shore leave.

    (a) Authority. (1) An employee has an absolute right to use shore 
leave, subject to the right of the head of the agency to fix the time at 
which shore leave may be used.
    (2) Shore leave may be granted during a voyage only when requested 
by an employee.
    (3) An employee shall submit his request for shore leave in writing 
and whenever an employee's request for shore leave is denied, the denial 
shall be in writing.
    (b) Accumulation. Shore leave is in addition to annual leave and may 
be accumulated for future use without limitation.
    (c) Charge for shore leave. The minimum charge for shore leave is 
one day and additional charges are in multiples thereof.
    (d) Lump-sum payment. Shore leave may not be the basis for lump-sum 
payment on separation from the service.
    (e) Terminal leave. (1) Except as provided by paragraph (e)(2) of 
this section, an agency shall not grant shore leave to an employee as 
terminal leave. For the purpose of this paragraph terminal leave is 
approved absence immediately before an employee's separation when an 
agency knows the employee will not return to duty before the date of his 
separation.
    (2) An agency shall grant shore leave as terminal leave when the 
employee's inability to use shore leave was due to circumstances beyond 
his control and not due to his own act or omission.
    (f) Forfeiture of shore leave. Shore leave not granted before (1) 
separation from the service, or (2) official assignment (other than by 
temporary detail) to a position in which the employee does not earn 
shore leave, is forfeited. When an official assignment will result in 
forfeiture of shore leave, the agency to the extent administratively 
practicable shall give an employee an opportunity to use the shore leave 
he has to his credit either before the reassignment or not later than 6 
months after the date of his reassignment when the agency is unable to 
grant the shore leave before the reassignment.

[[Page 724]]



                        Subpart H--Funeral Leave

    Source: 34 FR 13655, Aug. 26, 1969, unless otherwise noted.



Sec. 630.801  Applicability.

    This subpart and section 6326 of title 5, United States Code, apply 
to the granting of funeral leave to an employee in connection with the 
funeral of, or memorial service for, his immediate relative who died as 
a result of wounds, disease, or injury incurred while serving as a 
member of the armed forces in a combat zone.



Sec. 630.802  Coverage.

    This subpart applies to:
    (a) An employee as defined in section 2105 of title 5, United States 
Code, who is employed by an executive agency as defined in section 105 
of title 5, United States Code; and
    (b) An individual who is employed by the government of the District 
of Columbia.



Sec. 630.803  Definitions.

    Armed forces means the Army, Navy, Air Force, Marine Corps, and 
Coast Guard.
    Combat zone means those areas determined by the President in 
accordance with section 112 of the Internal Revenue Code.
    Employee means an employee or individual covered by Sec. 630.802.
    Funeral leave means leave authorized by section 6326 of title 5, 
United States Code, and this subpart.
    Immediate relative means the following relatives of the deceased 
member of the armed forces:
    (1) Spouse, and parents thereof;
    (2) Children, including adopted children, and spouses thereof;
    (3) Parents;
    (4) Brothers and sisters, and spouses thereof; and
    (5) Any individual related by blood or affinity whose close 
association with the deceased was such as to have been the equivalent of 
a family relationship.

[34 FR 13655, Aug. 26, 1969, as amended at 60 FR 67287, Dec. 29, 1995]



Sec. 630.804  Granting of funeral leave.

    (a) An agency shall grant an employee such funeral leave as is 
needed and requested by him, not to exceed 3 workdays, without loss of 
or reduction in pay, leave to which he is otherwise entitled, or credit 
for time or service, and without adversely affecting his performance or 
efficiency rating. Funeral leave is granted to allow an employee to make 
arrangements for, or to attend, the funeral or memorial service for an 
immediate relative who died as the result of a wound, disease, or injury 
incurred while serving as a member of the armed forces in a combat zone. 
The 3 days need not be consecutive but if not, the employee shall 
furnish the approving authority satisfactory reasons justifying a grant 
of funeral leave for nonconsecutive days.
    (b) An agency may grant funeral leave only from a prescribed tour of 
duty, including regularly scheduled overtime, or, in the case of a 
substitute employee in the postal field service, from a period during 
which, except for absence on funeral leave, the employee would have 
worked.



               Subpart I--Voluntary Leave Transfer Program

    Source: 59 FR 67125, Dec. 29, 1994, unless otherwise noted.



Sec. 630.901  Purpose and applicability.

    (a) Purpose. The purpose of this subpart is to set forth procedures 
and requirements for a voluntary leave transfer program under which the 
unused accrued annual leave of one agency officer or employee may be 
transferred for use by another agency officer or employee who needs such 
leave because of a medical emergency.
    (b) Applicability. This subpart applies to officers and employees to 
whom subchapter I of chapter 63 of title 5, United States Code, applies.



Sec. 630.902  Definitions.

    Agency means--
    (a) An Executive agency, as defined in 5 U.S.C. 105;
    (b) A military department, as defined in 5 U.S.C. 102; or

[[Page 725]]

    (c) Any other entity of the Federal Government that employs officers 
or employees to whom subchapter I of chapter 63 of title 5, United 
States Code, applies. Agency does not include the Central Intelligence 
Agency; the Defense Intelligence Agency; the National Security Agency; 
the Federal Bureau of Investigation; or any other Executive agency or 
unit thereof, as determined by the President, whose principal function 
is the conduct of foreign intelligence or counterintelligence 
activities.
    Available paid leave means accrued or accumulated annual or sick 
leave under subchapter I of chapter 63 of title 5, United States Code, 
and recredited and restored annual or sick leave under subpart E of this 
part. Available paid leave does not include annual or sick leave 
advanced to an employee under 5 U.S.C. 6302(d) or 6307(c) or any annual 
or sick leave accrued under Sec. 630.907(a) that has not been 
transferred to the appropriate leave account under Sec. 630.907(c).
    Employee has the meaning given that term in 5 U.S.C. 6301(2), except 
an individual employed by the government of the District of Columbia.
    Family member means the following relatives of the employee:
    (a) Spouse, and parents thereof;
    (b) Children, including adopted children, and spouses thereof;
    (c) Parents;
    (d) Brothers and sisters, and spouses thereof; and
    (e) Any individual related by blood or affinity whose close 
association with the employee is the equivalent of a family 
relationship.
    Leave donor means an employee whose voluntary written request for 
transfer of annual leave to the annual leave account of a leave 
recipient is approved by his or her own employing agency.
    Leave recipient means a current employee for whom the employing 
agency has approved an application to receive annual leave from the 
annual leave accounts of one or more leave donors.
    Medical emergency means a medical condition of an employee or a 
family member of such employee that is likely to require an employee's 
absence from duty for a prolonged period of time and to result in a 
substantial loss of income to the employee because of the unavailability 
of paid leave.
    Paid leave status under subchapter I means the administrative status 
of an employee while the employee is using annual or sick leave accrued 
or accumulated under subchapter I of chapter 63 of title 5, United 
States Code.
    Shared leave status means the administrative status of an employee 
while the employee is using transferred leave under this subpart or 
leave transferred from a leave bank under subpart J of this part.



Sec. 630.903  Administrative procedures.

    Each Federal agency shall establish and administer procedures to 
permit the voluntary transfer of annual leave consistent with this 
subpart.



Sec. 630.904  Application to become a leave recipient.

    (a) An employee may make written application to his or her employing 
agency to become a leave recipient. If an employee is not capable of 
making application on his or her own behalf, a personal representative 
of the potential leave recipient may make written application on his or 
her behalf.
    (b) Each application shall be accompanied by the following 
information concerning each potential leave recipient:
    (1) The name, position title, and grade or pay level of the 
potential leave recipient;
    (2) The reasons transferred leave is needed, including a brief 
description of the nature, severity, and anticipated duration of the 
medical emergency, and if it is a recurring one, the approximate 
frequency of the medical emergency affecting the potential leave 
recipient;
    (3) Certification from one or more physicians, or other appropriate 
experts, with respect to the medical emergency, if the potential leave 
recipient's employing agency so requires; and
    (4) Any additional information that may be required by the potential 
leave recipient's employing agency.

[[Page 726]]

    (c) If the potential leave recipient's employing agency requires 
that a potential leave recipient obtain certification from two or more 
sources under paragraph (b)(3) of this section, the potential leave 
recipient's employing agency shall ensure, either by direct payment to 
the expert involved or by reimbursement, that the potential leave 
recipient is not required to pay for the expenses associated with 
obtaining certification from more than one source.



Sec. 630.905  Approval of application to become a leave recipient.

    (a) The potential leave recipient's employing agency shall review an 
application to become a leave recipient under procedures established by 
the employing agency for the purpose of determining that the potential 
leave recipient is or has been affected by a medical emergency.
    (b) Before approving an application to become a leave recipient, the 
potential leave recipient's employing agency shall determine that the 
absence from duty without available paid leave because of the medical 
emergency is (or is expected to be) at least 24 hours (or, in the case 
of a part-time employee or an employee with an uncommon tour of duty, at 
least 30 percent of the average number of hours in the employee's 
biweekly scheduled tour of duty).
    (c) In making a determination as to whether a medical emergency is 
likely to result in a substantial loss of income, an agency shall not 
consider factors other than whether the absence from duty without 
available paid leave is (or is expected to be) at least 24 hours (or, in 
the case of a part-time employee or an employee with an uncommon tour of 
duty, at least 30 percent of the average number of hours in the 
employee's biweekly scheduled tour of duty).
    (d) If the application is approved, the employing agency shall 
notify the leave recipient (or the personal representative who made 
application on behalf of the leave recipient), within 10 calendar days 
(excluding Saturdays, Sundays, and legal public holidays) after the date 
the application was received (or the date the employing agency 
established its administrative procedures, if that date is later), that-
-
    (1) The application has been approved; and
    (2) Other employees of the leave recipient's employing agency may 
request the transfer of annual leave to the account of the leave 
recipient.
    (e) If the application is not approved, the employing agency shall 
notify the applicant (or the personal representative who made 
application on behalf of the potential leave recipient), within 10 
calendar days (excluding Saturdays, Sundays, and legal public holidays) 
after the date the application was received (or the date the employing 
agency established its administrative procedures, if that date is 
later)--
    (1) That the application has not been approved; and
    (2) The reasons for its disapproval.

[59 FR 67125, Dec. 29, 1994, as amended at 60 FR 26979, May 22, 1995; 61 
FR 64451, Dec. 5, 1996]



Sec. 630.906  Transfer of annual leave.

    (a) An employee may submit a voluntary written request to his or her 
own employing agency that a specified number of hours of his or her 
accrued annual leave be transferred from his or her annual leave account 
to the annual leave account of a specified leave recipient. Except as 
provided in paragraph (f) of this section, annual leave may be 
transferred only to a leave recipient employed by the leave donor's 
employing agency.
    (b) Except as provided in paragraph (d) of this section and subject 
to the limitations on the amount of annual leave that may be donated by 
a leave donor under Sec. 630.908, all or any portion of the annual leave 
requested under paragraph (a) of this section may be transferred to the 
annual leave account of the specified leave recipient under procedures 
established by the leave recipient's employing agency.
    (c) An agency having employees who earn and use annual leave on the 
basis of an uncommon tour of duty shall establish procedures for 
administering the transfer of annual leave to or from such employees 
under this subpart.
    (d) A leave recipient's employing agency shall not transfer annual 
leave

[[Page 727]]

to a leave donor's immediate supervisor.
    (e) Annual leave transferred under this section may be substituted 
retroactively for period of leave without pay (LWOP) or used to 
liquidate an indebtedness for advanced annual or sick leave granted on 
or after a date fixed by the leave recipient's employing agency as the 
beginning of the period of medical emergency for which LWOP or advanced 
annual or sick leave was granted.
    (f) A leave recipient's employing agency shall accept the transfer 
of annual leave from leave donors employed by one or more other agencies 
when--
    (1) A family member of a leave recipient is employed by another 
agency and requests the transfer of annual leave to the leave recipient;
    (2) In the judgment of the leave recipient's employing agency, the 
amount of annual leave transferred from leave donors employed by the 
leave recipient's employing agency may not be sufficient to meet the 
needs of the leave recipient; or
    (3) In the judgment of the leave recipient's employing agency, 
acceptance of leave transferred from another agency would further the 
purpose of the voluntary leave transfer program.
    (g) The employing agency of a leave donor who wishes to donate 
annual leave to a leave recipient in another agency shall verify the 
availability of annual leave in the leave donor's annual leave account, 
determine that the amount of annual leave to be donated does not exceed 
the limitations in Sec. 630.908, and ascertain that the leave 
recipient's employing agency has made any determination that may be 
required under paragraph (f) of this section. Upon satisfying these 
requirements, the leave donor's employing agency shall--
    (1) Reduce the amount of annual leave credited to the leave donor's 
annual leave account, as appropriate; and
    (2) Notify the leave recipient's employing agency in writing of the 
amount of annual leave to be credited to the leave recipient's annual 
leave account.



Sec. 630.907  Accrual of annual and sick leave.

    (a) Except as otherwise provided in this section, while an employee 
is in a shared leave status, annual and sick leave shall accrue to the 
credit of the employee at the same rate as if the employee where then in 
a paid leave status under subchapter I of chapter 63 of title 5, United 
States Code, except that--
    (1) The maximum amount of annual leave that may be accrued by an 
employee while in a shared leave status in connection with any 
particular medical emergency may not exceed 40 hours (or, in the case of 
a part-time employee or an employee with an uncommon tour of duty, the 
average number of hours in the employee's weekly scheduled tour of 
duty); and
    (2) The maximum amount of sick leave that may be accrued by an 
employee while in a shared leave status in connection with any 
particular medical emergency may not exceed 40 hours (or, in the case of 
a part-time employee or an employee with an uncommon tour of duty, the 
average number of hours in the employee's weekly scheduled tour of 
duty).
    (b) Any annual or sick leave accrued by an employee under this 
subpart and subpart J of this part--
    (1) Shall be credited to an annual or sick leave account, as 
appropriate, separate from any leave account of the employee under 
subchapter I of chapter 63 of title 5, United States Code; and
    (2) Shall not become available for use by the employee and may not 
otherwise be taken into account under subchapter I of chapter 63 of 
title 5, United States Code, until it is transferred to the appropriate 
leave account of the employee under subchapter I of chapter 63 of title 
5, United States Code, as provided in paragraph (c) of this section.
    (c) Any annual or sick leave accrued by an employee under this 
section shall be transferred to the appropriate leave account of the 
employee under subchapter I of chapter 63 of title 5, United States 
Code, and shall become available for use--
    (1) As of the beginning of the first pay period beginning on or 
after the date on which the employee's medical

[[Page 728]]

emergency terminates as described in Sec. 630.910(a)(2) or (3); or
    (2) If the employee's medical emergency has not yet terminated, once 
the employee has exhausted all leave made available to such employee 
under this subpart or subpart J of this part.
    (d) If the leave recipient's employing agency advances at the 
beginning of the leave year the amount of annual leave the employee 
normally would accrue during the entire leave year under 5 U.S.C. 
6302(d)--
    (1) The leave recipient's employing agency shall establish 
procedures to ensure that 40 hours (or, in the case of a part-time 
employee or an employee with an uncommon tour of duty, the average 
number of hours in the employee's weekly scheduled tour of duty) of 
annual leave are placed in a separate annual leave account and made 
available for use by the employee as described in paragraph (c) of this 
section; and
    (2) The employee shall continue to accrue annual leave while in a 
shared leave status to the extent necessary for the purpose of reducing 
any indebtedness caused by the use of annual leave advanced at the 
beginning of the leave year.
    (e) If the employee's medical emergency terminates as described in 
Sec. 630.910(a)(1), no leave shall be credited to the employee under 
this section.

[59 FR 67125, Dec. 29, 1994, as amended at 60 FR 26979, May 22, 1995; 61 
FR 64451, Dec. 5, 1996]



Sec. 630.908  Limitations on donation of annual leave.

    (a) In any one leave year, a leave donor may donate no more than a 
total of one-half of the amount of annual leave he or she would be 
entitled to accrue during the leave year in which the donation is made.
    (b) In the case of a leave donor who is projected to have annual 
leave that otherwise would be subject to forfeiture at the end of the 
leave year under 5 U.S.C. 6304(a), the maximum amount of annual leave 
that may be donated during the leave year shall be the lesser of--
    (1) One-half of the amount of annual leave he or she would be 
entitled to accrue during the leave year in which the donation is made; 
or
    (2) The number of hours remaining in the leave year (as of the date 
of the transfer) for which the leave donor is scheduled to work and 
receive pay.
    (c) Each agency shall establish written criteria for waiving the 
limitations on donating annual leave under paragraphs (a) and (b) of 
this section. Any such waiver shall be documented in writing.
    (d) The limitations in this section shall apply to the total amount 
of annual leave donated or contributed under subparts I and J of this 
part.



Sec. 630.909  Use of transferred annual leave.

    (a) A leave recipient may use annual leave transferred to his or her 
annual leave account under Sec. 630.906 only for the purpose of a 
medical emergency for which the leave recipient was approved.
    (b) Except as provided in Sec. 630.907, during each biweekly pay 
period that a leave recipient is affected by a medical emergency, he or 
she shall use any accrued annual leave (and sick leave, if applicable) 
before using transferred annual leave.
    (c) The approval and use of transferred annual leave shall be 
subject to all of the conditions and requirements imposed by chapter 63 
of title 5, United States Code, part 630 of this chapter, and the 
employing agency on the approval and use of annual leave accrued under 5 
U.S.C. 6303, except that transferred annual leave may accumulate without 
regard to the limitation imposed by 5 U.S.C. 6304(a).
    (d) Transferred annual leave may be substituted retroactively for 
any period of leave without pay or used to liquidate an indebtedness for 
any period of advanced leave that began on or after the date fixed by 
the agency as the beginning of the medical emergency.
    (e) Transferred annual leave may not be--
    (1) Transferred to another leave recipient under this subpart, 
except as provided in Sec. 630.911(e)(3);
    (2) Included in a lump-sum payment under 5 U.S.C. 5551 or 5552; or

[[Page 729]]

    (3) Made available for recredit under 5 U.S.C. 6306 upon 
reemployment by a Federal agency.



Sec. 630.910  Termination of medical emergency.

    (a) The medical emergency affecting a leave recipient shall 
terminate--
    (1) When the leave recipient's Federal service is terminated;
    (2) At the end of the biweekly pay period in which the leave 
recipient's employing agency receives written notice from the leave 
recipient or from a personal representative of the leave recipient that 
the leave recipient is no longer affected by a medical emergency;
    (3) At the end of the biweekly pay period in which the leave 
recipient's employing agency determines, after written notice from the 
agency and an opportunity for the leave recipient (or, if appropriate, a 
personal representative of the leave recipient) to answer orally or in 
writing, that the leave recipient is no longer affected by a medical 
emergency; or
    (4) At the end of the biweekly pay period in which the leave 
recipient's employing agency receives notice that the Office of 
Personnel Management has approved an application for disability 
retirement for the leave recipient under the Civil Service Retirement 
System or the Federal Employees' Retirement System.
    (b) The leave recipient's employing agency shall continuously 
monitor the status of the medical emergency affecting the leave 
recipient to ensure that the leave recipient continues to be affected by 
a medical emergency.
    (c) When the medical emergency affecting a leave recipient 
terminates, no further requests for transfer of annual leave to the 
leave recipient may be granted, and any unused transferred annual leave 
remaining to the credit of the leave recipient shall be restored to the 
leave donors under Sec. 630.911.
    (d) An agency may deem a medical emergency to continue for the 
purpose of providing a leave recipient an adequate period of time within 
which to receive donations of annual leave.



Sec. 630.911  Restoration of transferred annual leave.

    (a) Under procedures established by the leave recipient's employing 
agency, any transferred annual leave remaining to the credit of a leave 
recipient when the medical emergency terminates shall be restored, as 
provided in paragraphs (b) and (c) of this section and to the extent 
administratively feasible, by transfer to the annual leave accounts of 
leave donors who, on the date leave restoration is made, are employed by 
a Federal agency and subject to chapter 63 of title 5, United States 
Code.
    (b) The amount of unused transferred annual leave to be restored to 
each leave donor shall be determined as follows:
    (1) Divide the number of hours of unused transferred annual leave by 
the total number of hours of annual leave transferred to the leave 
recipient;
    (2) Multiply the ratio obtained in paragraph (b)(1) of this section 
by the number of hours of annual leave transferred by each leave donor 
eligible for restoration under paragraph (a) of this section; and
    (3) Round the result obtained in paragraph (b)(2) of this section to 
the nearest increment of time established by the leave donor's employing 
agency to account for annual leave.
    (c) If the total number of eligible leave donors exceeds the total 
number of hours of annual leave to be restored, no unused transferred 
annual leave shall be restored. In no case shall the amount of annual 
leave restored to a leave donor exceed the amount transferred to the 
leave recipient by the leave donor.
    (d) If the leave donor retires from Federal service, dies, or is 
otherwise separated from Federal service before the date unused 
transferred annual leave can be restored, the employing agency of the 
leave recipient shall not restore the unused transferred annual 
leave.I11(e) At the election of the leave donor, unused transferred 
annual leave restored to the leave donor under paragraph (a) of this 
section may be restored by--
    (1) Crediting the restored annual leave to the leave donor's annual 
leave account in the current leave year;

[[Page 730]]

    (2) Crediting the restored annual leave to the leave donor's annual 
leave account effective as of the first day of the first leave year 
beginning after the date of election; or
    (3) Donating such leave in whole or part to another leave recipient.
    (f) If a leave donor elects to donate only part of his or her 
restored leave to another leave recipient under paragraph (e)(3) of this 
section, the donor may elect to have the remaining leave credited to the 
leave donor's annual leave account under paragraph (e)(1) or (e)(2) of 
this section.
    (g) Transferred annual leave restored to the account of a leave 
donor under paragraph (e) (1) or (2) of this section shall be subject to 
the limitation imposed by 5 U.S.C. 6304(a) at the end of the leave year 
in which the restored leave is credited to the leave donor's annual 
leave account.
    (h) If a leave recipient elects to buy back annual leave as a result 
of claim for an employment-related injury approved by the Office of 
Workers' Compensation Programs under 20 CFR 10.202 and 10.310, and the 
annual leave was leave transferred under Sec. 630.906, the amount of 
annual leave bought back by the leave recipient shall be restored to the 
leave donor(s).

[59 FR 67125, Dec. 29, 1994, as amended at 61 FR 64451, Dec. 5, 1996]



Sec. 630.912  Prohibition of coercion.

    (a) An employee may not directly or indirectly intimidate, threaten, 
or coerce, or attempt to intimidate, threaten, or coerce, any other 
employee for the purpose of interfering with any right such employee may 
have with respect to donating, receiving, or using annual leave under 
this subpart.
    (b) For the purpose of paragraph (a) of this section, the term 
``intimidate, threaten, or coerce'' includes promising to confer or 
conferring any benefit (such as an appointment or promotion or 
compensation) or effecting or threatening to effect any reprisal (such 
as deprivation of appointment, promotion, or compensation).



Sec. 630.913  Records and reports.

    (a) Each agency shall maintain records concerning the administration 
of the voluntary leave transfer program and may be required by the 
Office of Personnel Management to report any information necessary to 
evaluate the effectiveness of the program.
    (b) Agencies shall maintain the following information:
    (1) The number of applications approved for medical emergencies 
affecting the employee and the number of applications approved for 
medical emergencies affecting an employee's family member;
    (2) The grade or pay level of each leave recipient and leave donor, 
the gender of each leave recipient, and the total amount of transferred 
annual leave used by each leave recipient; and
    (3) Any additional information OPM may require.



                 Subpart J--Voluntary Leave Bank Program

    Source: 59 FR 67129, Dec. 29, 1994, unless otherwise noted.



Sec. 630.1001  Purpose and applicability.

    (a) Purpose. The purpose of this subpart is to establish procedures 
and requirements for a voluntary leave bank program under which the 
unused accrued annual leave of an employee may be contributed to a leave 
bank for use by a leave bank member who needs such leave because of a 
medical emergency.
    (b) Applicability. This subpart applies to officers and employees--
    (1) To whom subchapter I of chapter 63 of title 5, United States 
Code applies; and
    (2) Who are employed in agencies and their organizational subunits 
operating a voluntary leave bank program under this subpart.



Sec. 630.1002  Definitions.

    Agency means an ``Executive agency,'' as defined in 5 U.S.C. 105, or 
a ``military department,'' as defined in 5 U.S.C. 102. ``Agency'' does 
not include the Central Intelligence Agency, the Defense Intelligence 
Agency, the National Security Agency, the Federal Bureau of 
Investigation, or any other Executive agency or subunit thereof, as 
determined by the President, whose

[[Page 731]]

principal function is the conduct of foreign intelligence or 
counterintelligence activities.
    Available paid leave has the meaning given that term in subpart I of 
this part.
    Employee has the meaning given that term in subpart I of this part.
    Family member has the meaning given that term in subpart I of this 
part.
    Leave bank means a pooled fund of annual leave established by an 
agency under Sec. 630.1003.
    Leave bank member means a leave contributor who has contributed, in 
an open enrollment period (or individual enrollment period, as 
applicable) of the current leave year, at least the minimum amount of 
annual leave required by Sec. 630.1004.
    Leave contributor means an employee who contributes annual leave to 
a leave bank under Sec. 630.1004.
    Leave recipient means a leave bank member whose application to 
receive contributions of annual leave from a leave bank has been 
approved under Sec. 630.1007.
    Medical emergency has the meaning given that term in subpart I of 
this part.
    Paid leave status under subchapter I has the meaning given that term 
in subpart I of this part.
    Shared leave status has the meaning given that term in subpart I of 
this part.



Sec. 630.1003  Establishing leave banks and leave bank boards.

    (a) Each agency that participates in the voluntary leave bank 
program shall, in accordance with this subpart--
    (1) Develop written policies and procedures for establishing and 
administering leave banks and leave bank boards;
    (2) Establish one or more leave bank boards to perform the duties 
authorized by this subpart; and
    (3) Establish and begin operating one or more leave banks.
    (b) No more than one leave bank board may be established for each 
leave bank.
    (c) Each leave bank board shall consist of three members. At least 
one member shall represent a labor organization or employee group.
    (d) Each leave bank board shall--
    (1) Establish its internal decision-making procedures;
    (2) Review and approve or disapprove each application to become a 
leave contributor under Sec. 630.1004 and a leave recipient under 
Secs. 630.1006 and 630.1007;
    (3) Monitor the status of each leave recipient's medical emergency;
    (4) Monitor the amount of leave in the leave bank and the number of 
applications to become a leave recipient;
    (5) Maintain an adequate amount of annual leave in the leave bank to 
the greatest extent practicable in accordance with Sec. 630.1004; and
    (6) Perform other functions prescribed in this subpart.
    (e) Annual leave may not be borrowed, contributed, or otherwise 
transferred between leave banks.



Sec. 630.1004  Application to become a leave contributor and leave bank member.

    (a) An employee may make voluntary written application to the leave 
bank board to become a leave contributor. The application shall specify 
the number of hours of annual leave to be contributed and any other 
information the leave bank board may reasonably require.
    (b) An employee may request that annual leave be contributed to a 
specified bank member other than the leave contributor's immediate 
supervisor.
    (c) A leave contributor shall become a leave bank member for a 
particular leave year if he or she submits an application meeting the 
requirements of this section during an open enrollment period 
established by the leave bank board under paragraphs (d) and (e) of this 
section (or where applicable, during an individual enrollment period 
established under paragraph (f) of this section).
    (d) The leave bank board shall establish at least one open 
enrollment period for each leave year of leave bank operation.
    (e) An open enrollment period shall last at least 30 calendar days. 
The agency shall take appropriate action to inform employees of each 
open enrollment period.
    (f) An employee entering the agency or participating organizational 
subunit

[[Page 732]]

or returning from an extended absence outside an open enrollment period 
may become a leave bank member for the leave year by submitting an 
application meeting the requirements of this section during an 
individual enrollment period lasting at least 30 calendar days, 
beginning on the date the employee entered or returned to the agency or 
organizational subunit.
    (g) Except as provided in paragraph (h) of this section, the minimum 
contribution required to become a leave bank member for a leave year 
shall be--
    (1) 4 hours of annual leave for an employee who has less than 3 
years of service at the time he or she submits an application to 
contribute annual leave;
    (2) 6 hours of annual leave for an employee who has at least 3, but 
less than 15, years of service at the time he or she submits an 
application to contribute annual leave; and
    (3) 8 hours of annual leave for an employee who has 15 or more years 
of service at the time he or she submits an application to contribute 
annual leave.
    (h) The leave bank board may--
    (1) Decrease the minimum contribution required by paragraph (g) of 
this section for the following leave year when the leave bank board 
determines that there is a surplus of leave in the bank;
    (2) Increase the minimum contribution required by paragraph (g) of 
this section for the following leave year when the leave bank board 
determines that such action is necessary to maintain an adequate balance 
of annual leave in the leave bank; or
    (3) Eliminate the requirement for a minimum contribution under 
paragraph (g) of this section when a leave bank member transfers within 
his or her employing agency to an organization covered by a different 
leave bank.
    (i) If a leave recipient does not have sufficient available accrued 
annual leave to his or her credit to make the full minimum contribution 
required by this section, he or she shall be deemed to have made the 
minimum contribution.
    (j) The leave bank board shall deposit all contributions of annual 
leave under this subpart in the leave bank. Except as provided in 
Sec. 630.1016(c), the leave bank board may not return a contribution of 
annual leave to a leave contributor after deposit in the leave bank.
    (k) A leave bank member may apply to contribute additional annual 
leave at any time. An employee who is not a leave bank member may apply 
to become a leave contributor at any time.



Sec. 630.1005  Limitations on contribution of annual leave.

    (a) In any one leave year, a leave contributor may contribute no 
more than a total of one-half of the amount of annual leave he or she 
would be entitled to accrue during the leave year in which the 
contribution is made.
    (b) In the case of a leave contributor who is projected to have 
annual leave that otherwise would be subject to forfeiture at the end of 
the leave year under 5 U.S.C. 6304(a), the maximum amount of annual 
leave that may be contributed during the leave year shall be the lesser 
of--
    (1) One-half of the amount of annual leave he or she would be 
entitled to accrue during the leave year in which the contribution is 
made; or
    (2) The number of hours remaining in the leave year (as of the date 
of the contribution) for which the leave contributor is scheduled to 
work and receive pay.
    (c) The agency shall establish written criteria permitting a leave 
bank board to waive the limitations on contributing annual leave under 
paragraphs (a) and (b) of this section. Any such waiver shall be 
documented in writing.
    (d) The limitations in this section shall apply to the total amount 
of annual leave donated or contributed during the leave year under 
subparts I and J of this part.



Sec. 630.1006  Application to become a leave recipient.

    (a) A leave bank member may make written application to the leave 
bank board to become a leave recipient. If a leave bank member is not 
capable of making application on his or her own behalf, a personal 
representative may make written application on his or her behalf.

[[Page 733]]

    (b) The leave bank board may require leave bank members to submit 
applications under this section within a prescribed period of time 
following the termination of a medical emergency.
    (c) An application by a leave bank member to become a leave 
recipient shall be accompanied by the following information concerning 
the potential leave recipient:
    (1) The leave bank member's name, position title, and grade or pay 
level;
    (2) The reasons leave is needed, including a brief description of 
the nature, severity, anticipated duration, and if it is a recurring 
one, the approximate frequency of the medical emergency affecting the 
leave bank member;
    (3) Certification from one or more physicians, or other appropriate 
experts, with respect to the medical emergency, if the leave bank board 
so requires; and
    (4) Any additional information that may be required by the leave 
bank board.
    (d) If the leave bank board requires a leave bank member to submit 
certification from two or more sources under paragraph (b)(3) of this 
section, the agency shall ensure, either by direct payment to the expert 
involved or by reimbursement, that the leave bank member is not required 
to pay for the expenses associated with obtaining certification from 
more than one source.



Sec. 630.1007  Approval of application to become a leave recipient.

    (a) The leave bank board shall review an employee's application to 
become a leave recipient under procedures established by the agency for 
the purpose of determining whether the employee is a leave bank member 
who is or has been affected by a medical emergency.
    (b) Before approving an application to become a leave recipient, the 
leave bank board shall determine that the absence from duty without 
available paid leave because of the medical emergency is (or is expected 
to be) at least 24 hours (or, in the case of a part-time employee or an 
employee with an uncommon tour of duty, at least 30 percent of the 
average number of hours in the employee's biweekly scheduled tour of 
duty).
    (c) In making a determination as to whether a medical emergency is 
likely to result in a substantial loss of income, the leave bank board 
shall not consider factors other than whether the absence from duty 
without available paid leave is (or is expected to be) at least 24 hours 
(or, in the case of a part-time employee or an employee with an uncommon 
tour of duty, at least 30 percent of the average number of hours in the 
employee's biweekly scheduled tour of duty).
    (d) The leave bank board shall provide timely written notification 
to the applicant of the action taken on the application. If the leave 
bank board disapproves the application, notification shall include the 
reasons for disapproval.
    (e) The leave bank board may establish written policies limiting the 
amount of annual leave that may be granted to a leave recipient.

[59 FR 67125, Dec. 29, 1994, as amended at 60 FR 26979, May 22, 1995]



Sec. 630.1008  Accrual of annual and sick leave.

    (a) Except as otherwise provided in this section, while an employee 
is in a shared leave status, annual and sick leave shall accrue to the 
credit of the employee at the same rate as if the employee were then in 
a paid leave status under subchapter I of chapter 63 of title 5, United 
States Code, except that--
    (1) The maximum amount of annual leave that may be accrued by a 
leave recipient while in a shared leave status in connection with any 
particular medical emergency may not exceed 40 hours (or, in the case of 
a part-time employee or an employee with an uncommon tour of duty, the 
average number of hours in the employee's weekly scheduled tour of 
duty); and
    (2) The maximum amount of sick leave that may be accrued by a leave 
recipient while in a shared leave status in connection with any 
particular medical emergency may not exceed 40 hours (or, in the case of 
a part-time employee or an employee with an uncommon tour of duty, the 
average number of hours in the employee's weekly scheduled tour of 
duty).

[[Page 734]]

    (b) Any annual or sick leave accrued by an employee under this 
subpart and subpart I of this part--
    (1) Shall be credited to an annual or sick leave account, as 
appropriate, separate from any leave account of the employee under 
subchapter I of chapter 63 of title 5, United States Code; and
    (2) Shall not become available for use by the employee and may not 
otherwise be taken into account under subchapter I of chapter 63 of 
title 5, United States Code, until it is transferred to the appropriate 
leave account of the employee under subchapter I of chapter 63 of title 
5, United States Code, as provided in paragraph (c) of this section.
    (c) Any annual or sick leave accrued by an employee under this 
section shall be transferred to the appropriate leave account of the 
employee under subchapter I of chapter 63 of title 5, United States 
Code, and shall become available for use--
    (1) As of the beginning of the first pay period beginning on or 
after the date on which the employee's medical emergency terminates as 
described in Sec. 630.1010(a)(3) or (4); or
    (2) If the employee's medical emergency has not yet terminated, once 
the employee has exhausted all leave made available to such employee 
under this subpart of subpart I of this part.
    (d) If the leave recipient's employing agency advances at the 
beginning of the leave year the amount of annual leave the employee 
normally would accrue during the entire leave year under 5 U.S.C. 
6302(d)--
    (1) The leave recipient's employing agency shall establish 
procedures to ensure that 40 hours (or, in the case of a part-time 
employee or an employee with an uncommon tour of duty, the average 
number of hours in the employee's weekly scheduled tour of duty) of 
annual leave are placed in a separate annual leave account and made 
available for use by the employee as described in paragraph (c) of this 
section; and
    (2) The employee shall continue to accrue annual leave while using 
annual leave withdrawn from a leave bank to the extent necessary for the 
purpose of reducing an indebtedness caused by the use of annual leave 
advanced at the beginning of the leave year.
    (e) If the leave recipient's medical emergency terminates as 
described in Sec. 630.1010(a)(1), no leave shall be credited to the 
employee under this section.

[59 FR 67125, Dec. 29, 1994, as amended at 60 FR 26979, May 22, 1995]



Sec. 630.1009  Use of annual leave withdrawn from a leave bank.

    (a) A leave recipient may use annual leave withdrawn from a leave 
bank only for the purpose of medical emergency for which the leave 
recipient was approved.
    (b) Except as provided in Sec. 630.1008, during each biweekly pay 
period that a leave recipient is affected by a medical emergency, he or 
she shall use any accrued annual leave (and sick leave, if applicable) 
before using annual leave withdrawn from a leave bank.
    (c) The approval and use of annual leave withdrawn from a leave bank 
shall be subject to all of the conditions and requirements imposed by 
chapter 63 of title 5, United States Code, part 630 of this chapter, and 
the agency on the approval and use of annual leave accrued under 5 
U.S.C. 6303, except that annual leave withdrawn from a leave bank may 
accumulate without regard to any limitation imposed by 5 U.S.C. 6304(a).
    (d) Annual leave withdrawn from a leave bank may be substituted 
retroactively for any period of leave without pay or used to liquidate 
an indebtedness for any period of advanced leave that began on or after 
the date fixed by the leave bank board as the beginning of the medical 
emergency.
    (e) Annual leave withdrawn from a leave bank may not be--
    (1) Included in a lump-sum payment under 5 U.S.C. 5551 or 5552; or
    (2) Made available for recredit under 5 U.S.C. 6306 upon 
reemployment by a Federal agency.
    (f) An agency having employees who earn and use annual leave on the 
basis of an uncommon tour of duty shall establish procedures for 
administering the contribution and withdrawal of annual leave by such 
employees under this subpart.

[[Page 735]]



Sec. 630.1010  Termination of medical emergency.

    (a) The medical emergency affecting a leave recipient shall 
terminate--
    (1) When the leave recipient's Federal service terminates;
    (2) When the leave recipient leaves the agency or participating 
organizational subunit, if the bank board so determines;
    (3) At the end of the biweekly pay period in which the leave bank 
board receives written notice from the leave recipient or from a 
personal representative of the leave recipient that the leave recipient 
is no longer affected by a medical emergency;
    (4) At the end of the biweekly pay period in which the leave bank 
board determines, after written notice from the bank board and an 
opportunity for the leave recipient (or, if appropriate, a personal 
representative of the leave recipient) to answer orally or in writing, 
that the leave recipient is no longer affected by a medical emergency; 
or
    (5) At the end of the biweekly pay period in which the agency 
receives notice that the Office of Personnel Management has approved an 
application for disability retirement for the leave recipient under the 
Civil Service Retirement System or the Federal Employees Retirement 
System.
    (b) The leave bank board shall ensure that annual leave withdrawn 
from the leave bank and not used before the termination of a leave 
recipient's medical emergency shall be returned to the leave bank.
    (c) The leave bank board may deem a medical emergency to continue 
for the purpose of providing a leave recipient an adequate period of 
time within which to receive contributions of annual leave.
    (d) If a leave recipient elects to buy back annual leave as a result 
of a claim for an employment-related injury approved by the Office of 
Workers' Compensation Programs under 20 CFR 10.202 and 10.310, the 
amount of annual leave withdrawn from the leave bank that is bought back 
by the leave recipient shall be restored to the leave bank.

[59 FR 67129, Dec. 29, 1994, as amended at 61 FR 64451, Dec. 5, 1996]



Sec. 630.1011  Prohibition of coercion.

    (a) An employee may not directly or indirectly intimidate, threaten, 
or coerce, or attempt to intimidate, threaten, or coerce, any other 
employee for the purpose of interfering with any right such employee may 
have with respect to contributing, withdrawing, or using annual leave 
under this subpart.
    (b) For the purpose of paragraph (a) of this section--
    (1) The term ``employee'' has the meaning given that term in 5 
U.S.C. 6301(2), excluding an individual employed by the District of 
Columbia; and
    (2) The term ``intimidate, threaten, or coerce'' includes promising 
to confer or conferring any benefit (such as an appointment or promotion 
or compensation) or effecting or threatening to effect any reprisal 
(such as deprivation of appointment, promotion, or compensation).

[59 FR 67125, Dec. 29, 1994, as amended at 60 FR 26979, May 22, 1995]



Sec. 630.1012  Records and reports.

    (a) Each agency shall maintain records concerning the administration 
of the voluntary leave bank program and may be required by the Office of 
Personnel Management to report any information necessary to evaluate the 
effectiveness of the program.
    (b) An agency shall maintain the following information for each 
leave bank:
    (1) The number of leave bank members for each leave year;
    (2) The number of applications approved for medical emergencies 
affecting the employee and the number of applications approved for 
medical emergencies affecting an employee's family member;
    (3) The grade or pay level of each leave contributor and the total 
amount of annual leave he or she contributed to the bank;
    (4) The grade or pay level and gender of each leave recipient and 
the total amount of annual leave he or she actually used; and
    (5) Any additional information OPM may require.

[[Page 736]]



Sec. 630.1013  Participation in voluntary leave transfer and leave bank programs.

    (a) If an agency or organizational subunit establishes a voluntary 
leave bank program under this subpart--
    (1) A covered employee may also participate in a voluntary leave 
transfer program under subpart I of this part;
    (2) Except as provided in paragraphs (b) and (c) of this section, 
any annual leave previously transferred to an employee under the 
voluntary leave transfer program shall remain to the credit of the 
employee who later becomes a leave recipient in a leave bank and shall 
become subject to the agency's policies and procedures for administering 
this subpart; and
    (3) The agency or organizational subunit shall establish policies or 
procedures governing the use of donated or transferred leave for any 
leave recipient who receives leave under both a voluntary leave transfer 
program and a voluntary leave bank program for the same medical 
emergency.
    (b) Upon termination of a leave recipient's medical emergency, any 
annual leave previously transferred under the voluntary leave transfer 
program and remaining to the credit of a leave recipient shall be 
restored under Sec. 630.911(a) through (d).
    (c) Transferred annual leave restored to the account of a leave 
donor under paragraph (b) of this section shall be subject to the 
limitation imposed by 5 U.S.C. 6304(a) at the end of the leave year in 
which the annual leave is restored.



Sec. 630.1014  Movement between voluntary leave bank programs.

    If an employee moves between an agency or organizational subunit 
operating a leave bank to an agency or organizational subunit operating 
a different leave bank, the following procedures shall apply:
    (a) On the date of the employee's move, he or she shall become 
subject to the policies an procedures of the voluntary leave bank 
program of the new agency or organizational subunit; and
    (b) Nothing in Sec. 630.1010(a)(2) or (b) shall interfere with the 
employee's right to submit an application to become a leave contributor 
or leave recipient in accordance with the policies and procedures of the 
voluntary leave bank program of the new agency or organizational 
subunit.



Sec. 630.1015  Movement between voluntary leave bank and leave transfer programs.

    If an employee moves between an agency or organizational subunit 
covered by a voluntary leave bank program under this subpart and an 
agency or organizational subunit covered by a voluntary leave transfer 
program under subpart I of this part, the following procedures shall 
apply.
    (a) On the date of the employee's move, he or she shall become 
subject to the policies and procedures of the voluntary leave transfer 
and voluntary leave bank program (if applicable) of the new agency or 
organizational subunit; and
    (b) Nothing in Sec. 630.1010(a)(2) or (b) shall interfere with the 
employee's right to submit an application to become a leave donor (or 
leave contributor, as applicable) or leave recipient under the voluntary 
leave transfer or voluntary leave bank program (as applicable) of the 
new agency or organizational subunit.



Sec. 630.1016  Termination of a voluntary leave bank program.

    (a) An agency may terminate a voluntary leave bank program only 
after it gives at least 30 calendar days advance written notice to 
current leave bank members.
    (b) If an agency terminates a voluntary leave bank program before 
the termination of the medical emergency affecting a leave bank 
recipient, annual leave transferred to a leave bank recipient shall 
remain available for use under the rules set forth in subpart I of this 
part.
    (c) An agency that terminates a voluntary leave bank program shall 
make provisions for the timely and equitable distribution of any leave 
remaining in the leave bank. The agency may allocate the leave to 
current leave recipients, recredit the leave to the accounts of the 
voluntary leave bank members, or a combination of both. The agency may 
distribute the leave immediately or may delay the distribution, in whole

[[Page 737]]

or part, until the beginning of the following leave year.



               Subpart K--Emergency Leave Transfer Program

    Source: 64 FR 72253, Dec. 27, 1999, unless otherwise noted.



Sec. 630.1101  Purpose, applicability, and administration.

    (a) Purpose. This subpart provides regulations to implement section 
6391 of title 5, United States Code, and must be read together with 
section 6391. Section 6391 of title 5, United States Code, provides that 
in the event of a major disaster or emergency, as declared by the 
President, that results in severe adverse effects for a substantial 
number of employees, the President may direct the Office of Personnel 
Management (OPM) to establish an emergency leave transfer program under 
which an employee may donate unused annual leave for transfer to 
employees of his or her agency or to employees in other Executive 
agencies who are adversely affected by such disaster or emergency.
    (b) Applicability. This subpart applies to any individual who is 
defined as an ``employee'' in 5 U.S.C. 6331(1) and who is employed in an 
Executive agency.
    (c) Administration. The head of each agency having employees subject 
to this subpart is responsible for the proper administration of this 
subpart. Each Federal agency must establish and administer procedures to 
permit the voluntary transfer of annual leave consistent with this 
subpart.



Sec. 630.1102  Definitions.

    In this subpart--
    Agency means an ``Executive agency,'' as defined in 5 U.S.C. 105.
    Disaster or emergency means a major disaster or emergency, as 
declared by the President, that results in severe adverse effects for a 
substantial number of employees (e.g., loss of life or property, serious 
injury, or mental illness as a result of a direct threat to life or 
health).
    Emergency leave donor means a current employee whose voluntary 
written request for transfer of annual leave to an emergency leave 
transfer program is approved by his or her employing agency.
    Emergency leave transfer program means a program established by OPM 
that permits Federal employees to transfer their unused annual leave to 
other Federal employees adversely affected by a disaster or emergency, 
as declared by the President.
    Emergency leave recipient means a current employee for whom the 
employing agency has approved an application to receive annual leave 
from an emergency leave transfer program.
    Employee has the meaning given that term in 5 U.S.C. 6331(1).
    Family member has the meaning given that term in Sec. 630.902.
    Leave year has the meaning given that term in Sec. 630.201.
    Paid leave status under subchapter I has the meaning given that term 
in Sec. 630.902.



Sec. 630.1103  Establishment of an emergency leave transfer program.

    (a) When directed by the President, OPM will establish an emergency 
leave transfer program that permits an employee to donate his or her 
accrued annual leave to employees of the same or other Executive 
agencies who are adversely affected by such a disaster or emergency.
    (b) OPM will notify agencies of the establishment of an emergency 
leave transfer program for a specific disaster or emergency, as declared 
by the President. Once notified, each agency affected by the disaster or 
emergency is authorized to do the following:
    (1) Determine whether, and how much, donated annual leave is needed 
by affected employees;
    (2) Approve leave donors and/or leave recipients in their agencies, 
as appropriate;
    (3) Facilitate the distribution of donated annual leave from 
approved leave donors to approved leave recipients within their 
agencies; and
    (4) Determine the period of time for which donated annual leave may 
be accepted for distribution to approved leave recipients.
    (c) A leave bank established under subchapter IV of chapter 63 of 
title 5, United States Code, and subpart J of part 630 may, with the 
concurrence of

[[Page 738]]

the leave bank board established under Sec. 630.1003, donate annual 
leave to an emergency leave transfer program administered by the leave 
bank's employing agency.



Sec. 630.1104  Application to become an emergency leave recipient.

    (a) An employee who has been adversely affected by a disaster or 
emergency may make written application to his or her employing agency to 
become an emergency leave recipient. If an employee is not capable of 
making written application, a personal representative of the potential 
leave recipient may make written application on his or her behalf.
    (b) An employee who has a family member who has been adversely 
affected by a disaster or emergency may also make written application to 
his or her employing agency to become an emergency leave recipient. An 
emergency leave recipient may use donated annual leave to assist an 
affected family member, provided such family member has no reasonable 
access to other forms of assistance.
    (c) For the purpose of this subpart, an employee will be considered 
to be adversely affected by a major disaster or emergency if the 
disaster or emergency has caused severe hardship to the employee or a 
family member of the employee to such a degree that the employee's 
absence from work is required.
    (d) The employee's application must be accompanied by the following 
information concerning each potential leave recipient:
    (1) The name, position title, and grade or pay level of the 
potential emergency leave recipient;
    (2) A statement describing his or her need for leave from the 
emergency leave transfer program;
    (3) Any additional information that may be required by the potential 
leave recipient's employing agency.
    (e) Agencies may administratively determine a time period by which 
employees must apply to become an emergency leave recipient after the 
occurrence of a major disaster or emergency.



Sec. 630.1105  Approval of application to become an emergency leave recipient.

    (a) The potential emergency leave recipient's employing agency will 
review the application to become a leave recipient under procedures 
established by the employing agency for the purpose of determining that 
the potential leave recipient is or has been affected by the major 
disaster or emergency.
    (b) If the application is approved, the employing agency must notify 
the leave recipient (or his or her personal representative) within 10 
calendar days (excluding Saturdays, Sundays, and legal public holidays) 
after the date the application was received (or the date the employing 
agency established its administrative procedures, if that date is 
later).
    (c) If the application is not approved, the employing agency must 
notify the applicant (or the personal representative who made 
application on behalf of the potential emergency leave recipient) within 
10 calendar days (excluding Saturdays, Sundays, and legal public 
holidays) after the date the application was received (or the date the 
employing agency establishes its administrative procedures, if that date 
is later). The agency must give the reasons for its disapproval.
    (d) An approved emergency leave recipient is not required to exhaust 
his or her accrued annual and sick leave before receiving donated leave 
under the emergency leave transfer program.



Sec. 630.1106  Limitations on donation and use of annual leave.

    (a) An employee may voluntarily submit a written request to his or 
her employing agency that a specified number of hours of his or her 
accrued annual leave, consistent with the limitations in paragraph (b) 
of this section, be transferred from his or her annual leave account to 
an emergency leave transfer program established under Sec. 630.1103(b). 
An emergency leave donor may not donate annual leave for transfer to a 
specific emergency leave recipient under this subpart.
    (b) An emergency leave donor may not contribute less than 1 hour nor 
more than 104 hours of annual leave in

[[Page 739]]

a leave year. Each agency may establish written criteria for waiving the 
104-hour limitation on donating annual leave in a leave year.
    (c) Annual leave donated under this subpart may not be applied 
against the limitations on the donation of annual leave under the 
voluntary leave transfer or leave bank programs established under 5 
U.S.C. 6332 and 6362, respectively.
    (d) An emergency leave recipient may receive a maximum of 240 hours 
of donated annual leave at any one time from an emergency leave transfer 
program for each disaster or emergency.
    (e) Each emergency leave recipient must use the donated annual leave 
for purposes related to the disaster or emergency for which the 
emergency leave recipient was approved.
    (f) Annual leave transferred under this subpart may be--
    (1) Substituted retroactively for any period of leave without pay 
used because of the adverse effects of the disaster or emergency; or
    (2) Used to liquidate an indebtedness incurred by the emergency 
leave recipient for advance annual or sick leave used due to the adverse 
effects of the disaster or emergency. An agency may advance an emergency 
leave recipient annual or sick leave, as appropriate (even if the 
employee has available annual and sick leave), so that the emergency 
leave recipient is not forced to use his or her accrued leave before 
donated annual leave becomes available.
    (g) While an emergency leave recipient is using donated annual leave 
from an emergency leave transfer program, annual and sick leave will 
accrue to the credit of the employee at the same rate as if the employee 
were in a paid leave status under subchapter I of chapter 63 of title 5, 
United States Code, and will be subject to the limitations imposed by 5 
U.S.C. 6304(a), (b), (c), and (f) at the end of the leave year in which 
the transferred annual leave is received.
    (h) Annual leave transferred under this subpart may not be--
    (1) Included in a lump-sum payment under 5 U.S.C. 5551 or 5552;
    (2) Made available for recredit under 5 U.S.C. 6306 upon 
reemployment by a Federal agency; or
    (3) Used to establish initial eligibility for immediate retirement 
or acquire eligibility to continue health benefits into retirement under 
5 U.S.C. 6302(g).
    (i) Agencies are responsible for ensuring that annual leave donated 
under the emergency leave transfer program is used appropriately.



Sec. 630.1107  Governmentwide transfer of emergency leave.

    (a) If an agency does not receive sufficient amounts of donated 
annual leave to meet the needs of approved emergency leave recipients 
within the agency, the agency may contact OPM for assistance. The agency 
must notify OPM of the total amount of donated annual leave needed for 
transfer to its approved emergency leave recipients. OPM will solicit 
and coordinate the transfer of donated annual leave from other Federal 
agencies to affected agencies who may have a shortfall of donated annual 
leave. OPM will determine the period of time for which donations of 
accrued annual leave may be accepted for transfer to affected agencies.
    (b) Each Federal agency contacted by OPM for the purpose of 
providing donated annual leave to an agency in need will--
    (1) Approve leave donors under the conditions specified in 
Sec. 630.1106(a) and (b) and determine how much donated annual leave is 
available for transfer to an affected agency;
    (2) Maintain records on the amount of leave donated by each 
emergency leave donor to the emergency leave transfer program (for the 
purpose of restoring unused transferred annual leave under 
Sec. 630.1108(c));
    (3) Report the total amount of annual leave donated to the emergency 
leave transfer program to OPM; and
    (4) When OPM has accepted the donated annual leave, debit the amount 
of annual leave donated to the emergency leave transfer program from 
each emergency leave donor's annual leave account.

[[Page 740]]

    (c) OPM will notify each affected agency of the aggregate amount of 
donated annual leave that will be credited to the agency for transfer by 
the agency to its approved emergency leave recipient(s). The affected 
agency will determine the amount of donated annual leave to be 
transferred to each emergency leave recipient (an amount that may vary 
according to individual needs).
    (d) The affected agency must credit the annual leave account of each 
approved emergency leave recipient as soon as possible after the date 
OPM notifies the agency of the amount of donated annual leave that will 
be credited to the agency under paragraph (b) of this section.
    (e) Any annual leave donated to an emergency leave transfer program 
that is not used by the approved emergency leave recipients will be 
returned by OPM to the donating agencies for restoring to their 
emergency leave donors under Sec. 630.1108(b). The donating agencies 
must determine the amount of donated annual leave to be returned to each 
of their emergency leave donors consistent with the provisions in 
Sec. 630.1108(c).



Sec. 630.1108  Termination of disaster or emergency.

    (a) The disaster or emergency affecting an emergency leave recipient 
terminates--
    (1) When the employing agency or OPM determines that the disaster or 
emergency has terminated;
    (2) When the emergency leave recipient's Federal service terminates;
    (3) At the end of the biweekly pay period in which the emergency 
leave recipient, or his or her personal representative, notifies the 
employing agency that he or she is no longer affected by such disaster 
or emergency;
    (4) At the end of the biweekly pay period in which the employing 
agency determines, after written notice from the agency and an 
opportunity for the emergency leave recipient or his or her personal 
representative to answer orally or in writing, that the emergency leave 
recipient is no longer affected by such disaster or emergency; or
    (5) At the end of the biweekly pay period in which the emergency 
leave recipient's employing agency receives notice that OPM has approved 
an application for disability retirement for the emergency leave 
recipient under the Civil Service Retirement System or the Federal 
Employees' Retirement System, as appropriate.
    (b) When a disaster or emergency affecting an emergency leave 
recipient is terminated, any annual leave donated to an emergency leave 
transfer program that is not used by an approved emergency leave 
recipient must be returned to the emergency leave donors. The amount of 
remaining annual leave to be returned to each emergency leave donor must 
be proportional to the amount of annual leave donated by the employee to 
the emergency leave transfer program for such disaster or emergency. 
Annual leave donated to an emergency leave transfer program for a 
specific disaster or emergency may not be transferred to another 
emergency leave transfer program established for a different disaster or 
emergency.
    (c) Under procedures established by the donating agency, the agency 
will determine the amount of annual leave returned under paragraph (b) 
of this section to be restored to each of the emergency leave donors 
who, on the date leave restoration is made, is employed by a Federal 
agency. At the election of the emergency leave donor, unused transferred 
annual leave restored to the emergency leave donor may be restored by--
    (1) Crediting the restored annual leave to the emergency leave 
donor's annual leave account in the current leave year; or
    (2) Crediting the restored annual leave to the emergency leave 
donor's annual leave account effective as of the first day of the 
following leave year.



Sec. 630.1109  Prohibition of coercion.

    (a) An employee may not directly or indirectly intimidate, threaten, 
or coerce, or attempt to intimidate, threaten, or coerce, any other 
employee for the purpose of interfering with any right such employee may 
have with respect to donating, receiving, or using annual leave under 
this subpart.
    (b) For the purpose of paragraph (a) of this section, the term 
``intimidate,

[[Page 741]]

threaten, or coerce'' includes promising to confer or conferring any 
benefit (such as appointment or promotion or compensation) or effecting 
or threatening to effect any reprisal (such as deprivation of 
appointment, promotion, or compensation).



                   Subpart L--Family and Medical Leave

    Source: 58 FR 39602, July 23, 1993, unless otherwise noted.



Sec. 630.1201  Purpose, applicability, and administration.

    (a) Purpose. This subpart provides regulations to implement sections 
6381 through 6387 of title 5, United States Code. This subpart must be 
read together with those sections of law. Sections 6381 through 6387 of 
title 5, United States Code, provide a standard approach to providing 
family and medical leave to Federal employees by prescribing an 
entitlement to a total of 12 administrative workweeks of unpaid leave 
during any 12-month period for certain family and medical needs, as 
specified in Sec. 630.1203(a) of this part.
    (b) Applicability. (1) Except as otherwise provided in this 
paragraph, this subpart applies to any employee who--
    (i) Is defined as an ``employee'' under 5 U.S.C. 6301(2), excluding 
employees covered under paragraph (b)(2) of this section; and
    (ii) Has completed at least 12 months of service (not required to be 
12 recent or consecutive months) as--
    (A) An employee, as defined under 5 U.S.C. 6301(2), excluding any 
service as an employee under paragraph (b)(2) of this section;
    (B) An employee of the Veterans Health Administration appointed 
under title 38, United States Code, in occupations listed in 38 U.S.C. 
7401(1);
    (C) A ``teacher'' or an individual holding a ``teaching position,'' 
as defined in section 901 of title 20, United States Code; or
    (D) An employee identified in section 2105(c) of title 5, United 
States Code, who is paid from nonappropriated funds.
    (2) This subpart does not apply to--
    (i) An individual employed by the government of the District of 
Columbia;
    (ii) An employee serving under a temporary appointment with a time 
limitation of 1 year or less;
    (iii) An intermittent employee, as defined in 5 CFR 340.401(c); or
    (iv) Any employee covered by Title I or Title V of the Family and 
Medical Leave Act of 1993 (Pub. L. 103-3, February 5, 1993). The 
Department of Labor has issued regulations implementing Title I at 29 
CFR part 825.
    (3) For the purpose of applying sections 6381 through 6387 of title 
5, United States Code--
    (i) An employee of the Veterans Health Administration appointed 
under title 38, United States Code, in occupations listed in 38 U.S.C. 
7401(1) is be governed by the terms and conditions of regulations 
prescribed by the Secretary of Veterans Affairs;
    (ii) A ``teacher'' or an individual holding a ``teaching position,'' 
as defined in section 901 of title 20, United States Code, shall be 
governed by the terms and conditions of regulations prescribed by the 
Secretary of Defense; and
    (iii) An employee identified in section 2105(c) of title 5, United 
States Code, who is paid from nonappropriated funds shall be governed by 
the terms and conditions of regulations prescribed by the Secretary of 
Defense or the Secretary of Transportation, as appropriate.
    (4) The regulations prescribed by the Secretary of Veterans Affairs, 
Secretary of Defense, or Secretary of Transportation under paragraph 
(b)(3) of this section shall, to the extent appropriate, be consistent 
with the regulations prescribed in this subpart and the regulations 
prescribed by the Secretary of Labor to carry out Title I of the Family 
and Medical Leave Act of 1993 at 29 CFR part 825.
    (c) Administration. The head of an agency having employees subject 
to this subpart is responsible for the proper administration of this 
subpart.

[58 FR 39602, July 23, 1993, as amended at 61 FR 64451, Dec. 5, 1996; 65 
FR 26486, May 8, 2000]

[[Page 742]]



Sec. 630.1202  Definitions.

    In this subpart:
    Accrued leave has the meaning given that term in Sec. 630.201 of 
this part.
    Accumulated leave has the meaning given that term in Sec. 630.201 of 
this part.
    Administrative workweek has the meaning given that term in 
Sec. 610.102 of this chapter.
    Adoption refers to a legal process in which an individual becomes 
the legal parent of another's child. The source of an adopted child--
e.g., whether from a licensed placement agency or otherwise--is not a 
factor in determining eligibility for leave under this subpart.
    Employee means an individual to whom this subpart applies.
    Essential functions means the fundamental job duties of the 
employee's position, as defined in 29 CFR 1630.2(n). An employee who 
must be absent from work to receive medical treatment for a serious 
health condition is considered to be unable to perform the essential 
functions of the position during the absence for treatment.
    Family and medical leave means an employee's entitlement to 12 
administrative workweeks of unpaid leave for certain family and medical 
needs, as prescribed under sections 6381 through 6387 of title 5, United 
States Code.
    Foster care means 24-hour care for children in substitution for, and 
away from, their parents or guardian. Such placement is made by or with 
the agreement of the State as a result of a voluntary agreement by the 
parent or guardian that the child be removed from the home, or pursuant 
to a judicial determination of the necessity for foster care, and 
involves agreement between the State and foster family to take the 
child. Although foster care may be with relatives of the child, State 
action is involved in the removal of the child from parental custody.
    Health care provider means--
    (1) A licensed Doctor of Medicine or Doctor of Osteopathy or a 
physician who is serving on active duty in the uniformed services and is 
designated by the uniformed service to conduct examinations under this 
subpart;
    (2) Any health care provider recognized by the Federal Employees 
Health Benefits Program or who is licensed or certified under Federal or 
State law to provide the service in question;
    (3) A health care provider as defined in paragraph (2) of this 
definition who practices in a country other than the United States, who 
is authorized to practice in accordance with the laws of that country, 
and who is performing within the scope of his or her practice as defined 
under such law;
    (4) A Christian Science practitioner listed with the First Church of 
Christ, Scientist, in Boston, Massachusetts; or
    (5) A Native American, including an Eskimo, Aleut, and Native 
Hawaiian, who is recognized as a traditional healing practitioner by 
native traditional religious leaders who practices traditional healing 
methods as believed, expressed, and exercised in Indian religions of the 
American Indian, Eskimo, Aleut, and Native Hawaiians, consistent with 
Public Law 95-314, August 11, 1978 (92 Stat. 469), as amended by Public 
Law 103-344, October 6, 1994 (108 Stat. 3125).
    In loco parentis refers to the situation of an individual who has 
day-to-day responsibility for the care and financial support of a child 
or, in the case of an employee, who had such responsibility for the 
employee when the employee was a child. A biological or legal 
relationship is not necessary.
    Incapacity means the inability to work, attend school, or perform 
other regular daily activities because of a serious health condition or 
treatment for or recovery from a serious health condition.
    Intermittent leave or leave taken intermittently means leave taken 
in separate blocks of time, rather than for one continuous period of 
time, and may include leave periods of 1 hour to several weeks. Leave 
may be taken for a period of less than 1 hour if agency policy provides 
for a minimum charge for leave of less than 1 hour under 
Sec. 630.206(a).
    Leave without pay means an absence from duty in a nonpay status. 
Leave without pay may be taken only for those hours of duty comprising 
an employee's basic workweek.
    Parent means a biological parent or an individual who stands or 
stood in loco parentis to an employee when the employee was a son or 
daughter. This

[[Page 743]]

term does not include parents ``in law.''
    Reduced leave schedule means a work schedule under which the usual 
number of hours of regularly scheduled work per workday or workweek of 
an employee is reduced. The number of hours by which the daily or weekly 
tour of duty is reduced are counted as leave for the purpose of this 
subpart.
    Regularly scheduled has the meaning given that term in Sec. 610.102 
of this chapter.
    Regularly scheduled administrative workweek has the meaning given 
that term in Sec. 610.102 of this chapter.
    Serious health condition. (1) Serious health condition means an 
illness, injury, impairment, or physical or mental condition that 
involves--
    (i) Inpatient care (i.e., an overnight stay) in a hospital, hospice, 
or residential medical care facility, including any period of incapacity 
or any subsequent treatment in connection with such inpatient care; or
    (ii) Continuing treatment by a health care provider that includes 
(but is not limited to) examinations to determine if there is a serious 
health condition and evaluations of such conditions if the examinations 
or evaluations determine that a serious health condition exists. 
Continuing treatment by a health care provider may include one or more 
of the following--
    (A) A period of incapacity of more than 3 consecutive calendar days, 
including any subsequent treatment or period of incapacity relating to 
the same condition, that also involves--
    (1) Treatment two or more times by a health care provider, by a 
health care provider under the direct supervision of the affected 
individual's health care provider, or by a provider of health care 
services under orders of, or on referral by, a health care provider; or
    (2) Treatment by a health care provider on at least one occasion 
which results in a regimen of continuing treatment under the supervision 
of the health care provider (e.g., a course of prescription medication 
or therapy requiring special equipment to resolve or alleviate the 
health condition).
    (B) Any period of incapacity due to pregnancy or childbirth, or for 
prenatal care, even if the affected individual does not receive active 
treatment from a health care provider during the period of incapacity or 
the period of incapacity does not last more than 3 consecutive calendar 
days.
    (C) Any period of incapacity or treatment for such incapacity due to 
a chronic serious health condition that--
    (1) Requires periodic visits for treatment by a health care provider 
or by a health care provider under the direct supervision of the 
affected individual's health care provider,
    (2) Continues over an extended period of time (including recurring 
episodes of a single underlying condition); and
    (3) May cause episodic rather than a continuing period of incapacity 
(e.g., asthma, diabetes, epilepsy, etc.). The condition is covered even 
if the affected individual does not receive active treatment from a 
health care provider during the period of incapacity or the period of 
incapacity does not last more than 3 consecutive calendar days.
    (D) A period of incapacity which is permanent or long-term due to a 
condition for which treatment may not be effective. The affected 
individual must be under the continuing supervision of, but need not be 
receiving active treatment by, a health care provider (e.g., 
Alzheimer's, severe stroke, or terminal stages of a disease).
    (E) Any period of absence to receive multiple treatments (including 
any period of recovery) by a health care provider or by a provider of 
health care services under orders of, or on referral by, a health care 
provider, either for restorative surgery after an accident or other 
injury or for a condition that would likely result in a period of 
incapacity or more than 3 consecutive calendar days in the absence of 
medical intervention or treatment (e.g., chemotherapy/radiation for 
cancer, physical therapy for severe arthritis, dialysis for kidney 
disease).
    (2) (Serious health condition does not include routine physical, 
eye, or dental examinations; a regimen of continuing treatment that 
includes the taking of over-the-counter medications, bed-rest, exercise, 
and other similar activities that can be initiated without a visit to 
the health care provider; a condition for which cosmetic treatments are 
administered, unless inpatient hospital

[[Page 744]]

care is required or unless complications develop; or an absence because 
of an employee's use of an illegal substance, unless the employee is 
receiving treatment for substance abuse by a health care provider or by 
a provider of health care services on referral by a health care 
provider. Ordinarily, unless complications arise, the common cold, the 
flu, earaches, upset stomach, minor ulcers, headaches (other than 
migraines), routine dental or orthodontia problems, and periodontal 
disease are not serious health conditions. Allergies, restorative dental 
or plastic surgery after an injury, removal of cancerous growth, or 
mental illness resulting from stress may be serious health conditions 
only if such conditions require inpatient care or continuing treatment 
by a health care provider.)
    Son or daughter means a biological, adopted, or foster child; a step 
child; a legal ward; or a child of a person standing in loco parentis 
who is--
    (1) Under 18 years of age; or
    (2) 18 years of age or older and incapable of self-care because of a 
mental or physical disability. A son or daughter incapable of self-care 
requires active assistance or supervision to provide daily self-care in 
three or more of the ``activities of daily living'' (ADL's) or 
``instrumental activities of daily living'' (IADL's). Activities of 
daily living include adaptive activities such as caring appropriately 
for one's grooming and hygiene, bathing, dressing, and eating. 
Instrumental activities of daily living include cooking, cleaning, 
shopping, taking public transportation, paying bills, maintaining a 
residence, using the telephones and directories, using a post office, 
etc. A ``physical or mental disability'' refers to a physical or mental 
impairment that substantially limits one or more of the major life 
activities of an individual as defined in 29 CFR 1630.2 (h), (i) and 
(j).
    Spouse means an individual who is a husband or wife pursuant to a 
marriage that is a legal union between one man and one woman, including 
common law marriage between one man and one woman in States where it is 
recognized.
    Tour of duty has the meaning given that term in Sec. 610.102 of this 
chapter.

[58 FR 39602, July 23, 1993, as amended at 60 FR 67287-67288, Dec. 29, 
1995; 61 FR 64451, Dec. 5, 1996; 65 FR 37240, June 13, 2000]



Sec. 630.1203  Leave entitlement.

    (a) An employee shall be entitled to a total of 12 administrative 
workweeks of unpaid leave during any 12-month period for one or more of 
the following reasons:
    (1) The birth of a son or daughter of the employee and the care of 
such son or daughter;
    (2) The placement of a son or daughter with the employee for 
adoption or foster care;
    (3) The care of a spouse, son, daughter, or parent of the employee, 
if such spouse, son, daughter, or parent has a serious health condition; 
or
    (4) A serious health condition of the employee that makes the 
employee unable to perform any one or more of the essential functions of 
his or her position.
    (b) An employee must invoke his or her entitlement to family and 
medical leave under paragraph (a) of this section, subject to the 
notification and medical certification requirements in Secs. 630.1206 
and 630.1207. An employee may not retroactively invoke his or her 
entitlement to family and medical leave. However, if an employee and his 
or her personal representative are physically or mentally incapable of 
invoking the employee's entitlement to FMLA leave during the entire 
period in which the employee is absent from work for an FMLA-qualifying 
purpose under paragraph (a) of this section, the employee may 
retroactively invoke his or her entitlement to FMLA leave within 2 
workdays after returning to work. In such cases, the incapacity of the 
employee must be documented by a written medical certification from a 
health care provider. In addition, the employee must provide 
documentation acceptable to the agency explaining the inability of his 
or her personal representative to contact the agency and invoke the 
employee's entitlement to FMLA leave during the entire period in which 
the employee was absent from work for an FMLA-qualifying purpose. An 
employee may take only the

[[Page 745]]

amount of family and medical leave that is necessary to manage the 
circumstances that prompted the need for leave under paragraph (a) of 
this section.
    (c) The 12-month period referred to in paragraph (a) of this section 
begins on the date an employee first takes leave for a family or medical 
need specified in paragraph (a) of this section and continues for 12 
months. An employee is not entitled to 12 additional workweeks of leave 
until the previous 12-month period ends and an event or situation occurs 
that entitles the employee to another period of family or medical leave. 
(This may include a continuation of a previous situation or 
circumstance.)
    (d) The entitlement to leave under paragraphs (a)(1) and (2) of this 
section shall expire at the end of the 12-month period beginning on the 
date of birth or placement. Leave for a birth or placement must be 
concluded within this 12-month period. Leave taken under paragraphs 
(a)(1) and (2) of this section, may begin prior to or on the actual date 
of birth or placement for adoption or foster care, and the 12-month 
period, referred to in paragraph (a) of this section begins on that 
date.
    (e) Leave under paragraph (a) of this section is available to full-
time and part-time employees. A total of 12 administrative workweeks 
will be made available equally for a full-time or part-time employee in 
direct proportion to the number of hours in the employee's regularly 
scheduled administrative workweek. The 12 administrative workweeks of 
leave will be calculated on an hourly basis and will equal 12 times the 
average number of hours in the employee's regularly scheduled 
administrative workweek. If the number of hours in an employee's 
workweek varies from week to week, a weekly average of the hours 
scheduled over the 12 weeks prior to the date leave commences shall be 
used as the basis for this calculation. Any holidays authorized under 5 
U.S.C. 6103 or by Executive order and nonworkdays established by Federal 
statute, Executive order, or administrative order that occur during the 
period in which the employee is on family and medical leave may not be 
counted toward the 12-week entitlement to family and medical leave.
    (f) If the number of hours in an employee's regularly scheduled 
administrative workweek is changed during the 12-month period of family 
and medical leave, the employee's entitlement to any remaining family 
and medical leave will be recalculated based on the number of hours in 
the employee's current regularly scheduled administrative workweek.
    (g) Each agency shall inform its employees of their entitlements and 
responsibilities under this subpart, including the requirements and 
obligations of employees.
    (h) An agency may not put an employee on family and medical leave 
and may not subtract leave from an employee's entitlement to leave under 
paragraph (a) of this section unless the agency has obtained 
confirmation from the employee of his or her intent to invoke 
entitlement to leave under paragraph (b) of this section. An employee's 
notice of his or her intent to take leave under Sec. 630.1206 may 
suffice as the employee's confirmation.

[58 FR 39602, July 23, 1993, as amended at 61 FR 64452, Dec. 5, 1996; 65 
FR 26486, May 8, 2000]



Sec. 630.1204  Intermittent leave or reduced leave schedule.

    (a) Leave under Sec. 630.1203(a) (1) or (2) of this part shall not 
be taken intermittently or on a reduced leave schedule unless the 
employee and the agency agree to do so.
    (b) Leave under Sec. 630.1203(a) (3) or (4) of this part may be 
taken intermittently or on a reduced leave schedule when medically 
necessary, subject to Secs. 630.1206 and 630.1207(b)(6) of this part.
    (c) If an employee takes leave under Sec. 630.1203(a) (3) or (4) of 
this part intermittently or on a reduced leave schedule that is 
foreseeable based on planned medical treatment or recovery from a 
serious health condition, the agency may place the employee temporarily 
in an available alternative position for which the employee is qualified 
and that can better accommodate recurring periods of leave. Upon 
returning from leave, the employee shall be entitled to

[[Page 746]]

be returned to his or her permanent position or an equivalent position, 
as provided in Sec. 630.1208(a) of this part.
    (d) For the purpose of applying paragraph (c) of this section, an 
alternative position need not consist of equivalent duties, but must be 
in the same commuting area and must provide--
    (1) An equivalent grade or pay level, including any applicable 
locality-based comparability payment under 5 U.S.C. 5304; special rate 
of pay for law enforcement officers or special pay adjustment for law 
enforcement officers under section 403 or 404 of the Federal Employees 
Pay Comparability Act of 1990 (Pub. L. 101-509), respectively; continued 
rate of pay under subpart G of part 531 of this chapter; or special 
salary rate under 5 U.S.C. 5305 or similar provision of law;
    (2) The same type of appointment, work schedule, status, and tenure; 
and
    (3) The same employment benefits made available to the employee in 
his or her previous position (e.g., life insurance, health benefits, 
retirement coverage, and leave accrual).
    (e) The agency shall determine the available alternative position 
that has equivalent pay and benefits consistent with Federal laws, 
including the Rehabilitation Act of 1973 (29 U.S.C. 701) and the 
Pregnancy Discrimination Act of 1978 (42 U.S.C. 2000e).
    (f) Only the amount of leave taken intermittently or on a reduced 
leave schedule, as these terms are defined in Sec. 630.1202, shall be 
subtracted from the total amount of leave available to the employee 
under Sec. 630.1203 (e) and (f).

[58 FR 39602, July 23, 1993, as amended at 61 FR 3544, Feb. 1, 1996; 61 
FR 64453, Dec. 5, 1996]



Sec. 630.1205  Substitution of paid leave.

    (a) Except as provided in paragraph (b) of this section, leave taken 
under Sec. 630.1203(a) of this part shall be leave without pay.
    (b) An employee may elect to substitute the following paid leave for 
any or all of the period of leave without pay to be taken under 
Sec. 630.1203(a)--
    (1) Accrued or accumulated annual or sick leave under subchapter I 
of chapter 63 of title 5, United States Code, consistent with current 
law and regulations governing the granting and use of annual or sick 
leave;
    (2) Advanced annual or sick leave approved under the same terms and 
conditions that apply to any other agency employee who requests advanced 
annual or sick leave; and
    (3) Leave made available to an employee under the Voluntary Leave 
Transfer Program or the Voluntary Leave Bank Program consistent with 
subparts I and J of part 630 of this chapter.
    (c) An agency may not deny an employee's right to substitute paid 
leave under paragraph (b) of this section for any or all of the period 
of leave without pay to be taken under Sec. 630.1203(a), consistent with 
current law and regulations.
    (d) An agency may not require an employee to substitute paid leave 
under paragraph (b) of this section for any or all of the period of 
leave without pay to be taken under Sec. 630.1203(a).
    (e) An employee shall notify the agency of his or her intent to 
substitute paid leave under paragraph (b) of this section for the period 
of leave without pay to be taken under Sec. 630.1203(a) prior to the 
date such paid leave commences. An employee may not retroactively 
substitute paid leave for leave without pay previously taken under 
Sec. 630.1203(a)

[58 FR 39602, July 23, 1993, as amended at 61 FR 64453, Dec. 5, 1996]



Sec. 630.1206  Notice of leave.

    (a) If leave taken under Sec. 630.1203(a) of this part is 
foreseeable based on an expected birth, placement for adoption or foster 
care, or planned medical treatment, the employee shall provide notice to 
the agency of his or her intention to take leave not less than 30 
calendar days before the date the leave is to begin. If the date of 
birth or placement or planned medical treatment requires leave to begin 
within 30 calendar days, the employee shall provide such notice as is 
practicable.
    (b) If leave taken under Sec. 630.1203(a) (3) or (4) of this part is 
foreseeable based on planned medical treatment, the employee shall 
consult with the agency and make a reasonable effort to schedule medical 
treatment so as not to disrupt unduly the operations of the agency, 
subject to the approval of the health care provider. The agency may,

[[Page 747]]

for justifiable cause, request that an employee reschedule medical 
treatment, subject to the approval of the health care provider.
    (c) If the need for leave is not foreseeable--e.g., a medical 
emergency or the unexpected availability of a child for adoption or 
foster care, and the employee cannot provide 30 calendar days' notice of 
his or her need for leave, the employee shall provide notice within a 
reasonable period of time appropriate to the circumstances involved. If 
necessary, notice may be given by an employee's personal representative 
(e.g., a family member or other responsible party). If the need for 
leave is not foreseeable and the employee is unable, due to 
circumstances beyond his or her control, to provide notice of his or her 
need for leave, the leave may not be delayed or denied.
    (d) If the need for leave is foreseeable, and the employee fails to 
give 30 calendar days' notice with no reasonable excuse for the delay of 
notification, the agency may delay the taking of leave under 
Sec. 630.1203(a) of this part until at least 30 calendar days after the 
date the employee provides notice of his or her need for family and 
medical leave.
    (e) An agency may waive the notice requirements under paragraph (a) 
of this section and instead impose the agency's usual and customary 
policies or procedures for providing notification of leave. The agency's 
policies or procedures for providing notification of leave must not be 
more stringent than the requirements in this section. However, an agency 
may not deny an employee's entitlement to leave under Sec. 630.1203(a) 
of this part if the employee fails to follow such agency policies or 
procedures.
    (f) An agency may require that a request for leave under 
Sec. 630.1203(a) (1) and (2) be supported by evidence that is 
administratively acceptable to the agency.

[58 FR 39602, July 23, 1993, as amended at 59 FR 62274, Dec. 2, 1994; 61 
FR 64453, Dec. 5, 1996; 65 FR 26487, May 8, 2000]



Sec. 630.1207  Medical certification.

    (a) An agency may require that a request for leave under 
Sec. 630.1203(a) (3) or (4) be supported by written medical 
certification issued by the health care provider of the employee or the 
health care provider of the spouse, son, daughter, or parent of the 
employee, as appropriate. An agency may waive the requirement for an 
initial medical certificate in a subsequent 12-month period if the leave 
under Sec. 630.1203(a) (3) or (4) is for the same chronic or continuing 
condition.
    (b) The written medical certification shall include--
    (1) The date the serious health condition commenced;
    (2) The probable duration of the serious health condition or specify 
that the serious health condition is a chronic or continuing condition 
with an unknown duration and whether the patient is presently 
incapacitated and the likely duration and frequency of episodes of 
incapacity;
    (3) The appropriate medical facts within the knowledge of the health 
care provider regarding the serious health condition, including a 
general statement as to the incapacitation, examination, or treatment 
that may be required by a health care provider;
    (4) For the purpose of leave taken under Sec. 630.1203(a)(3) of this 
part--
    (i) A statement from the health care provider that the spouse, son, 
daughter, or parent of the employee requires psychological comfort and/
or physical care; needs assistance for basic medical, hygienic, 
nutritional, safety, or transportation needs or in making arrangements 
to meet such needs; and would benefit from the employee's care or 
presence; and
    (ii) A statement from the employee on the care he or she will 
provide and an estimate of the amount of time needed to care for his or 
her spouse, son, daughter, or parent;
    (5) For the purpose of leave taken under Sec. 630.1203(a)(4), a 
statement that the employee is unable to perform one or more of the 
essential functions of his or her position or requires medical treatment 
for a serious health condition, based on written information provided by 
the agency on the essential functions of the employee's position or, if 
not provided, discussion with the employee about the essential functions 
of his or her position; and

[[Page 748]]

    (6) In the case of certification for intermittent leave or leave on 
a reduced leave schedule under Sec. 630.1203(a) (3) or (4) for planned 
medical treatment, the dates (actual or estimates) on which such 
treatment is expected to be given, the duration of such treatment, and 
the period of recovery, if any, or specify that the serious health 
condition is a chronic or continuing condition with an unknown duration 
and whether the patient is presently incapacitated and the likely 
duration and frequency of episodes of incapacity.
    (c) The information on the medical certification shall relate only 
to the serious health condition for which the current need for family 
and medical leave exists. The agency may not require any personal or 
confidential information in the written medical certification other than 
that required by paragraph (b) of this section. If an employee submits a 
completed medical certification signed by the health care provider, the 
agency may not request new information from the health care provider. 
However, a health care provider representing the agency, including a 
health care provider employed by the agency or under administrative 
oversight of the agency, may contact the health care provider who 
completed the medical certification, with the employee's permission, for 
purposes of clarifying the medical certification.
    (d) If the agency doubts the validity of the original certification 
provided under paragraph (a) of this section, the agency may require, at 
the agency's expense, that the employee obtain the opinion of a second 
health care provider designated or approved by the agency concerning the 
information certified under paragraph (b) of this section. Any health 
care provider designated or approved by the agency shall not be employed 
by the agency or be under the administrative oversight of the agency on 
a regular basis unless the agency is located in an area where access to 
health care is extremely limited--e.g., a rural area or an overseas 
location where no more than one or two health care providers practice in 
the relevant specialty, or the only health care providers available are 
employed by the agency.
    (e) If the opinion of the second health care provider differs from 
the original certification provided under paragraph (a) of this section, 
the agency may require, at the agency's expense, that the employee 
obtain the opinion of a third health care provider designated or 
approved jointly by the agency and the employee concerning the 
information certified under paragraph (b) of this section. The opinion 
of the third health care provider shall be binding on the agency and the 
employee.
    (f) To remain entitled to family and medical leave under 
Sec. 630.1203(a) (3) or (4) of this part, an employee or the employee's 
spouse, son, daughter, or parent must comply with any requirement from 
an agency that he or she submit to examination (though not treatment) to 
obtain a second or third medical certification from a health care 
provider other than the individual's health care provider.
    (g) If the employee is unable to provide the requested medical 
certification before leave begins, or if the agency questions the 
validity of the original certification provided by the employee and the 
medical treatment requires the leave to begin, the agency shall grant 
provisional leave pending final written medical certification.
    (h) An employee must provide the written medical certification 
required by paragraphs (a), (d), (e), and (g) of this section, signed by 
the health care provider, no later than 15 calendar days after the date 
the agency requests such medical certification. If it is not practicable 
under the particular circumstances to provide the requested medical 
certification no later than 15 calendar days after the date requested by 
the agency despite the employee's diligent, good faith efforts, the 
employee must provide the medical certification within a reasonable 
period of time under the circumstances involved, but no later than 30 
calendar days after the date the agency requests such medical 
certification.
    (i) If, after the leave has commenced, the employee fails to provide 
the requested medical certification, the agency may--
    (1) Charge the employee as absent without leave (AWOL); or

[[Page 749]]

    (2) Allow the employee to request that the provisional leave be 
charged as leave without pay or charged to the employee's annual and/or 
sick leave account, as appropriate.
    (j) At its own expense, an agency may require subsequent medical 
recertification on a periodic basis, but not more than once every 30 
calendar days, for leave taken for purposes relating to pregnancy, 
chronic conditions, or long-term conditions, as these terms are used in 
the definition of serious health condition in Sec. 630.1202. For leave 
taken for all other serious health conditions and including leave taken 
on an intermittent or reduced leave schedule, if the health care 
provider has specified on the medical certification a minimum duration 
of the period of incapacity, the agency may not request recertification 
until that period has passed. An agency may require subsequent medical 
recertification more frequently than every 30 calendar days, or more 
frequently than the minimum duration of the period of incapacity 
specified on the medical certification, if the employee requests that 
the original leave period be extended, the circumstances described in 
the original medical certification have changed significantly, or the 
agency receives information that casts doubt upon the continuing 
validity of the medical certification.
    (k) To ensure the security and confidentiality of any written 
medical certification under Secs. 630.1207 or 630.1208(h) of this part, 
the medical certification shall be subject to the provisions for 
safeguarding information about individuals under subpart A or part 293 
of this chapter.

[58 FR 39602, July 23, 193, as amended at 61 FR 64453, Dec. 5, 1996; 65 
FR 26487, May 8, 2000; 65 FR 38409, June 21, 2000]



Sec. 630.1208  Protection of employment and benefits.

    (a) Any employee who takes leave under Sec. 630.1203(a) of this part 
shall be entitled, upon return to the agency, to be returned to--
    (1) The same position held by the employee when the leave commenced; 
or
    (2) An equivalent position with equivalent benefits, pay, status, 
and other terms and conditions of employment.
    (b) For the purpose of applying paragraph (a)(2) of this section, an 
equivalent position must be in the same commuting area and must carry or 
provide at a minimum--
    (1) The same or substantially similar duties and responsibilities, 
which must entail substantially equivalent skill, effort, 
responsibility, and authority;
    (2) An equivalent grade or pay level, including any applicable 
locality-based comparability payment under 5 U.S.C. 5304; special rate 
of pay for law enforcement officers or special pay adjustment for law 
enforcement officers under section 403 or 404 of the Federal Employees 
Pay Comparability Act of 1990 (Pub. L. 101-509), respectively; continued 
rate of pay under subpart G of part 531 of this chapter; or special 
salary rate under 5 U.S.C. 5305 or similar provision of law;
    (3) The same type of appointment, work schedule, status, and tenure;
    (4) The same employment benefits made available to the employee in 
his or her previous position (e.g., life insurance, health benefits, 
retirement coverage, and leave accrual);
    (5) The same or equivalent opportunity for a within-grade increase, 
performance award, incentive award, or other similar discretionary and 
non-discretionary payments, consistent with applicable laws and 
regulations; however, the entitlement to be returned to an equivalent 
position does not extend to intangible or unmeasurable aspects of the 
job;
    (6) The same or equivalent opportunity for premium pay consistent 
with applicable law and regulations under 5 CFR part 550, subpart A, or 
5 CFR part 551, subpart E; and
    (7) The same or equivalent opportunity for training or education 
benefits consistent with applicable laws and regulations, including any 
training that an employee may be required to complete to qualify for his 
or her previous position.
    (c) As a result of taking leave under Sec. 630.1203(a) of this part, 
an employee shall not suffer the loss of any employment benefit accrued 
prior to the date on which the leave commenced.
    (d) Except as otherwise provided by or under law, a restored 
employee shall not be entitled to--

[[Page 750]]

    (1) The accrual of any employment benefits during any period of 
leave; or
    (2) Any right, benefit, or position of employment other than any 
right, benefit, or position to which the employee would have been 
entitled had the employee not taken the leave.
    (e) For the purpose of applying paragraph (d) of this section, the 
same entitlements and limitations in law and regulations that apply to 
the position, pay, benefits, status, and other terms and conditions of 
employment of an employee in a leave without pay status shall apply to 
any employee taking leave without pay under this part, except where 
different entitlements and limitations are specifically provided in this 
subpart.
    (f) An employee is not entitled to be returned to the same or 
equivalent position under paragraph (a) of this section if the employee 
would not otherwise have been employed in that position at the time the 
employee returns from leave.
    (g) An agency may not return an employee to an equivalent position 
where written notification has been provided that the equivalent 
position will be affected by a reduction in force if the employee's 
previous position is not affected by a reduction in force.
    (h) As a condition to returning an employee who takes leave under 
Sec. 630.1203(a)(4), an agency may establish a uniformly applied 
practice or policy that requires all similarly-situated employees (i.e., 
same occupation, same serious health condition) to obtain written 
medical certification from the health care provider of the employee that 
the employee is able to perform the essential functions of his or her 
position. An agency may delay the return of an employee until the 
medical certification is provided. The same conditions for verifying the 
adequacy of a medical certification in Sec. 630.1207(c) shall apply to 
the medical certification to return to work. No second or third opinion 
on the medical certification to return to work may be required. An 
agency may not require a medical certification to return to work during 
the period the employee takes leave intermittently or under a reduced 
leave schedule under Sec. 630.1204.
    (i) If an agency requires an employee to obtain written medical 
certification under paragraph (h) of this section before he or she 
returns to work, the agency shall notify the employee of this 
requirement before leave commences, or to the extent practicable in 
emergency medical situations, and pay the expenses for obtaining the 
written medical certification. An employee's refusal or failure to 
provide written medical certification under paragraph (h) of this 
section may be grounds for appropriate disciplinary or adverse action, 
as provided in part 752 of this chapter.
    (j) An agency may require an employee to report periodically to the 
agency on his or her status and intention to return to work. An agency's 
policy requiring such reports must take into account all of the relevant 
facts and circumstances of the employee's situation.
    (k) An employee's decision to invoke FMLA leave under 
Sec. 630.1203(a) does not prohibit an agency from proceeding with 
appropriate actions under part 432 or part 752 of this chapter.
    (l) An employee who does not comply with the notification 
requirements in Sec. 630.1206 and does not provide medical certification 
signed by the health care provider that includes all of the information 
required in Sec. 630.1207(b) is not entitled to family and medical 
leave.

[58 FR 39602, July 23, 1993, as amended at 61 FR 3544, Feb. 1, 1996; 61 
FR 64453, Dec. 5, 1996; 65 FR 26487, May 8, 2000]



Sec. 630.1209  Health benefits.

    An employee enrolled in a health benefits plan under the Federal 
Employees Health Benefits Program (established under chapter 89 of title 
5, United States Code) who is placed in a leave without pay status as a 
result of entitlement to leave under Sec. 630.1203(a) of this part may 
continue his or her health benefits enrollment while in the leave 
without pay status and arrange to pay the appropriate employee 
contributions into the Employees Health Benefits Fund (established under 
section 8909 of title 5, United States Code). The employee shall make 
such contributions consistent with 5 CFR 890.502.

[[Page 751]]



Sec. 630.1210  Greater leave entitlements.

    (a) An agency shall comply with any collective bargaining agreement 
or any agency employment benefit program or plan that provides greater 
family or medical leave entitlements to employees than those provided 
under this subpart. Nothing in this subpart prevents an agency from 
amending such policies, provided the policies comply with the 
requirements of this subpart.
    (b) The entitlements established for employees under this subpart 
may not be diminished by any collective bargaining agreement or any 
employment benefit program or plan.
    (c) An agency may adopt leave policies more generous than those 
provided in this subpart, except that such policies may not provide 
entitlement to paid time off in an amount greater than that otherwise 
authorized by law or provide sick leaved in any situation in which sick 
leave would not normally be allowed by law or regulation.
    (d) The entitlements under sections 6381 through 6387 of title 5, 
United States Code, and this subpart do not modify or affect any Federal 
law prohibiting discrimination. If the entitlements under sections 6381 
through 6387 of title 5, United States Code, and this subpart conflict 
with any Federal law prohibiting discrimination, an agency must comply 
with whichever statute provides greater entitlements to employees.

[58 FR 39602, July 23, 1994, as amended at 61 FR 64454, Dec. 5, 1996]



Sec. 630.1211  Records and reports.

    (a) So that OPM can evaluate the use of family and medical leave by 
Federal employees and provide the Congress and others with information 
about the use of this entitlement, each agency shall maintain records on 
employees who take leave under this subpart and submit to OPM such 
records and reports as OPM may require.
    (b) At a minimum, each agency shall maintain the following 
information concerning each employee who takes leave under this subpart:
    (1) The employee's rate of basic pay, as defined in 5 CFR 550.103;
    (2) The occupational series for the employee's position;
    (3) The number of hours of leave taken under Sec. 630.1203(a), 
including any paid leave substituted for leave without pay under 
Sec. 630.1205(b); and
    (4) Whether leave was taken--
    (i) Under Sec. 630.1203(a) (1), (2) or (3) of this part; or
    (ii) Under Sec. 630.1203(a)(4) of this part.
    (c) When an employee transfers to a different agency, the losing 
agency shall provide the gaining agency with information on leave taken 
under Sec. 630.1203(a) of this part by the employee during the 12 months 
prior to the date of transfer. The losing agency shall provide the 
following information:
    (1) The beginning and ending dates of the employee's 12-month 
period, as determined under Sec. 630.1203(c) of this part; and
    (2) The number of hours of leave taken under Sec. 630.1203(a) of the 
part during the employee's 12-month period, as determined under 
Sec. 630.1203(c) of this part.

[58 FR 39602, July 23, 1993, as amended at 60 FR 67288, Dec. 29, 1995; 
61 FR 64454, Dec. 5, 1996]



                 Subpart M--Reservist Leave Bank Program

    Source: 56 FR 20518, May 6, 1991, unless otherwise noted. 
Redesignated at 64 FR 72253, Dec. 27, 1999.



Sec. 630.1301  Purpose and applicability.

    (a) Purpose. The purpose of this subpart is to establish procedures 
and requirements for a reservist leave bank program in Executive 
agencies under which an employee may contribute unused accrued annual 
leave to a leave bank established by the Office of Personnel Management 
(OPM) for use by eligible returnees who have been members of the Armed 
Forces of the United States serving on active duty during the Persian 
Gulf War and who return to civilian employment with their agencies.
    (b) Applicability. This subject applies to officers and employees--
    (1) To whom subchapter IV of chapter 63 of title 5, United States 
Code, applies; and
    (2) Who are employed in Executive agencies.

[[Page 752]]



Sec. 630.1302  Definitions.

    In this subpart:
    Agency means an ``Executive agency,'' as defined in 5 U.S.C. 105.
    Contribution period means a period of at least 6 weeks beginning on 
a date to be established by OPM. The Director of OPM may extend the 
contribution period, if necessary, to meet the requirements of the 
legislation.
    Eligible returnee means an employee who has been a member of the 
U.S. Armed Forces serving on orders issued under 10 U.S.C. 672(a), 
672(g), 673, 673b, 674, 675, or 688 during the Persian Gulf War, and who 
has returned to, or will return to Federal employment with his or her 
agency. An employee who, after completing his or her active duty 
military service, does not return to Federal employment for any reason 
is not eligible to receive leave contributed to the reservist leave 
bank.
    Employee has the meaning given that term in 5 U.S.C. 6361(1).
    Leave contributor means an employee who contributes annual leave to 
the reservist leave bank established under section 361 of Public Law 
102-25; 105 Stat. 92 (5 U.S.C. 6361 note).
    Persian Gulf War means the period beginning on August 2, 1990, and 
ending on a date thereafter prescribed by Presidential proclamation or 
by law. OPM will advise agencies of the ending date for eligibility to 
receive leave under this program.
    Reservist leave bank means the leave bank established by OPM for the 
purpose of this subpart.



Sec. 630.1303  Identifying eligible returnees.

    (a) Each agency shall identify and list all eligible returnees 
within the agency.
    (b) Each agency shall report the number of eligible returnees 
identified to OPM. Negative reports are required.



Sec. 630.1304  Receipt, processing, and transfer of leave.

    (a) Each agency shall accept annual leave contributed to the 
reservist leave bank by leave contributors during the contribution 
period (open season).
    (b) Each agency shall determine the procedures under which to 
collect, process, and transfer leave contributed under this subpart. 
Leave contributed to the reservist leave bank must be debited from the 
contributor's annual leave account during the pay period in which it is 
contributed.
    (c) Each agency shall report the aggregate amount of annual leave 
contributed to the reservist leave bank to OPM. (See Sec. 630.1309(b)(1) 
of this subpart.)

[56 FR 20518, May 6, 1991. Redesignated and amended at 64 FR 72253, 
72256, Dec. 27, 1999]



Sec. 630.1305  Limitations on contribution of annual leave.

    (a) A leave contributor may not contribute leave for the use of a 
specific eligible returnee.
    (b) A leave contributor may contribute only accrued unused annual 
leave to the reservist leave bank.
    (c) A leave contributor may not contribute less than 1 hour of 
annual leave, nor more than the lesser of--
    (1) One-half the amount of annual leave he or she would be entitled 
to accrue during the leave year in which the contribution is made; or
    (2) One-half his or her annual leave balance at the time the 
contribution is made.
    (d) Annual leave contributed to the reservist leave bank shall not 
be applied against the limitations on annual leave that may be donated 
under the voluntary leave transfer and leave bank programs established 
under 5 U.S.C. 6332 and 6362, respectively.



Sec. 630.1306  Prohibition of coercion.

    (a) An employee may not directly or indirectly intimidate, threaten, 
or coerce, or attempt to intimidate, threaten, or coerce, any other 
employee for the purpose of interfering with any rights such employee 
may have with respect to contributing, or not contributing, annual leave 
under this subpart.
    (b) For the purpose of paragraph (a) of this section, the term 
``intimidate, threaten, or coerce'' includes promising to confer or 
conferring any benefit (such as an appointment or promotion or 
compensation) or effecting or threatening to effect any reprisal (such 
as deprivation of appointment, promotion, or compensation).

[[Page 753]]



Sec. 630.1307  Crediting annual leave accounts of eligible returnees.

    (a) OPM shall divide the contributed annual leave equally among 
eligible returnees without regard to any factor (e.g., full- or part-
time status, duty station during the Persian Gulf War, or time spent on 
active duty) other than each employee's status as an eligible returnee.
    (b) The amount of annual leave each eligible returnee receives shall 
be rounded to the next higher quarter-hour. An employing agency may not 
reduce the amount of leave credited to an eligible returnee by any 
fraction of an hour, but may grant leave recipients excused absence for 
the remainder of the hour or charge leave by the quarter-hour for the 
purpose of this program.
    (c) OPM shall notify each agency of the amount of annual leave that 
shall be credited to each eligible returnee.
    (d) Each agency shall credit the annual leave accounts of eligible 
returnees who have returned to Federal employment as soon as possible, 
but not later than the end of the second pay period beginning on or 
after the date the agency is notified of the amount of leave each 
eligible returnee is to receive.



Sec. 630.1308  Use of annual leave contributed under this program.

    (a) The annual leave credited to the account of an eligible returnee 
may be used in the same manner and for the purposes as if the leave had 
accrued under 5 U.S.C. 6303.
    (b) An eligible returnee who has returned to Federal employment may 
use the leave credited under Sec. 630.1307 of this subpart immediately, 
subject to supervisory approval.
    (c) Annual leave creditable to an eligible returnee who has not yet 
returned to Federal employment shall be held in abeyance by the 
employing agency that identified such employee until his or her return.
    (d) Annual leave held in abeyance for an eligible returnee who does 
not return to Federal employment shall be forfeited.

[56 FR 20518, May 6, 1991. Redesignated and amended at 64 FR 7225, 
72256, Dec. 27, 1999]



Sec. 630.1309  Records and reports.

    (a) Each agency shall maintain records and report pertinent 
information concerning the administration of the reservist leave bank 
program.
    (b) Each agency shall maintain the following information:
    (1) The grade or pay level of each leave contributor and the amount 
of leave contributed by leave contributors at each grade or pay level 
(Each agency is required to report to OPM the aggregate amount of annual 
leave contributed to the reservist leave bank under Sec. 630.1304(c) of 
this subpart.);
    (2) The grade or pay level of each eligible returnee;
    (3) The number of eligible returnees to whom the contributed annual 
leave was credited immediately;
    (4) The number of eligible returnees for whom the contributed annual 
leave was held in abeyance;
    (5) The estimated direct and indirect costs of administering the 
reservist leave bank program; and
    (6) Any additional information OPM may require.
    (c) Each agency shall report the information specified in paragraph 
(b) of this section to OPM.
    (d) OPM shall identify the dates by which each agency shall report 
the information gathered pursuant to Secs. 630.1303(b) and 630.1304(c) 
of this subpart and paragraph (b) of this section.

[56 FR 20518, May 6, 1991. Redesignated and amended at 64 FR 7225, 
72256, Dec. 27, 1999]


[[Page 755]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected



[[Page 757]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2004)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2 [Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3201)
     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)

[[Page 758]]

    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
        LV  National Endowment for the Arts (Part 6501)
       LVI  National Endowment for the Humanities (Part 6601)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
     LXVII  Institute of Museum and Library Services (Part 7701)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
    LXXIII  Department of Agriculture (Part 8301)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                      Title 6--Homeland Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 0--99)

[[Page 759]]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)

[[Page 760]]

      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 1000-
                -1099)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

[[Page 761]]

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board, Department of 
                Commerce (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board, 
                Department of Commerce (Parts 500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

[[Page 762]]

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)

[[Page 763]]

      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  Bureau of Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Bureau of Immigration and Customs Enforcement, 
                Department of Homeland Security (Parts 400--599)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 800-
                -899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)

[[Page 764]]

         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 1600-
                -1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)

[[Page 765]]

      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--899)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)

[[Page 766]]

       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 0-
                -99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)

[[Page 767]]

       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 200-
                -399)
        IV  Secret Service, Department of the Treasury (Parts 400-
                -499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 1-
                -199)
        II  Corps of Engineers, Department of the Army (Parts 200-
                -399)

[[Page 768]]

        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 300-
                -399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Part 1501)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

[[Page 769]]

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)

[[Page 770]]

       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-70)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10010)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare

[[Page 771]]

        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 1-
                -199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)

[[Page 772]]

       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 300-
                -399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  United States Agency for International Development 
                (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management, Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)

[[Page 773]]

        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (Parts 
                400--499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)
        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1599)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)

[[Page 774]]

         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 775]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2004)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            5, LXXIII
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX

[[Page 776]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV
  Census Bureau                                   15, I
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs and Border Protection Bureau              19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII

[[Page 777]]

  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   5, LIV; 40, I, IV, VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                5, III, LXXVII; 14, VI; 
                                                  48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II

[[Page 778]]

  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5

[[Page 779]]

  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V; 42, I
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  6, I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection Bureau            19, I
  Federal Emergency Management Agency             44, I
  Immigration and Customs Enforcement Bureau      19, IV
  Immigration and Naturalization                  8, I
  Transportation Security Administration          49, XII
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Human Development Services, Office of             45, XIII
Immigration and Customs Enforcement Bureau        19, IV
Immigration and Naturalization                    8, I
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V; 42, I
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General

[[Page 780]]

  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I, XI; 40, 
                                                  IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A

[[Page 781]]

  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   45, XII, XXV
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
   Commission
[[Page 782]]

Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV

[[Page 783]]

Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection Bureau            19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 785]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
2001, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 2001, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, 1973-1985, and 1986-2000,'' published in 
11 separate volumes.

                                  2001

5 CFR
                                                                   66 FR
                                                                    Page
Chapter I
213.3102 (t) amended...............................................66709
250.101 Amended....................................................66709
250.103 Amended....................................................66709
293.103 (b) amended................................................66709
293.302 Amended....................................................66709
293.306 (b)(3) amended.............................................66709
293.309 Amended....................................................66709
293.405 (a) amended................................................66709
293.504 (a) amended................................................66709
294.106 Heading, (a)(1) and (d) amended............................66710
294.301 (a) amended................................................66710
300.501 (c) amended................................................66710
300.503 (b) amended................................................66710
300.603 (b)(6) amended.............................................66710
302.106 Added; eff. 1-10-02; interim...............................63906
315.603 (a)(1)(iv) (2)(ii) and (3)(iv) amended.....................66710
315.606 Amended....................................................66710
315.701 (a)(2) amended.............................................66710
315.704 (b)(2) amended.............................................66710
315.707 (a)(1) amended.............................................66710
315.710 (a) amended................................................66710
316.403 (a)(3) amended.............................................66710
317 Authority citation revised.....................................63906
317.501 (b)(2) revised; eff. 1-10-02; interim......................63906
330 Authority citation revised........................6428, 29896, 63906
330.301--330.307 (Subpart C) Removed; interim......................29896
330.603 Removed; interim...........................................29896
330.610 Removed; interim...........................................29896
330.702 Removed; interim...........................................29896
330.707 (b)(14) added; eff. 1-10-02; interim.......................63906
330.710 Removed; interim...........................................29896
330.1101 Revised; interim...........................................6428
330.1102 Revised; interim...........................................6429
330.1103 (b) removed; (c), (d) and (e) redesignated as (b), (c) 
        and (d); new (b), (c) and (d) revised; interim..............6429
330.1104 (a)(1), (2), (3), (4), (b), (c)(2), (4) and (5) revised; 
        (c)(6) added; interim.......................................6429
330.1105 Revised; interim...........................................6429
330.1106 Heading, (a) and (b) revised; interim......................6429
332.301 (b) amended................................................66710
332.312 Introductory text amended..................................66710
332.314 Removed; interim...........................................29896
332.406 (e) amended................................................66710
333.102 Revised; eff. 1-10-02; interim.............................63906
335.105 Revised; eff. 1-10-02; interim.............................63906
339.202 (b) amended; (c) removed...................................66710
351.205 Amended....................................................66710
351.807 (f) revised; interim.......................................29896
352.304 Amended....................................................66710
352.310 (c) amended................................................66710
353.110 (b) revised................................................29897
531 Authority citation revised.....................................67070
531.602 Amended....................................................67070
531.604 (c) revised; (d) added.....................................67070
534 Authority citation revised.....................................63908
534.503 (a) amended................................................66711

[[Page 786]]

534.601--534.605 (Subpart F) Added; interim........................63908
537 Added...........................................................2791
    Regulation at 66 FR 2791 eff. date delayed......................9187
537.101 Revised....................................................39406
537.102 Amended....................................................39406
537.110 Heading revised; existing text designated as (a); (b) 
        added......................................................39406
550.301 Regulation at 44644 confirmed..............................49085
550.311 Regulation at 44644 confirmed..............................49085
550.311 (a)(5) revised.............................................49086
    (a)(3) amended.................................................67477
550.312 Regulation at 44644 confirmed..............................49085
550.313 Regulation at 44644 confirmed..............................49085
550.342 Correctly removed; CFR correction..........................53507
550.504 (b) amended................................................66711
575.102 (a)(5) and (6) amended; (a)(7) added.......................37883
575.202 (a)(5) and (6) amended; (a)(7) added.......................37883
575.302 (a)(5) and (6) amended; (a)(7) added.......................37783
591.203 (a)(8) added; interim......................................63909
591.205 (a) introductory text and (b)(1)(i) revised; interim.......56752
591.207 Removed; interim...........................................56752
591.211 Revised; interim...........................................56752
591.201--591.212 (Subpart B) Appendix A revised; interim...........46752
    Regulation at 65 FR 44100 confirmed............................56740
630.308 (a) revised; interim.......................................55558
    Regulation at 66 FR 55558 eff. date corrected..................56033
630.311 Added; interim.............................................55558
    Regulation at 66 FR 55558 eff. date corrected..................56033

                                  2002

5 CFR
                                                                   67 FR
                                                                    Page
Chapter I
213 Authority citation revised..............................56475, 70119
213.3102 (g) removed...............................................56475
    (f) removed....................................................70119
330 Authority citation revised......................................6639
330.301--330.307 (Subpart C) Regulation at 66 FR 29896 confirmed 
                                                                    5196
330.405 Regulation at 65 FR 64133 confirmed.........................5195
330.603 Regulation at 66 FR 29896 confirmed.........................5196
330.610 Regulation at 66 FR 29896 confirmed.........................5196
330.702 Regulation at 66 FR 29896 confirmed.........................5196
330.710 Regulation at 66 FR 29896 confirmed.........................5196
330.1103 (a) and (b) redesignated as (b) and (e); new (a) added.....6639
330.1104 (c)(6)(i) and (ii) revised.................................6639
332.314 Regulation at 66 FR 29896 confirmed.........................5196
332.402 Revised; interim............................................7056
351.701 Regulation at 65 FR 62991 confirmed.........................5196
351.803 Regulation at 65 FR 64133 confirmed.........................5195
351.807 Regulation at 65 FR 64134 confirmed.........................5195
    Regulation at 66 FR 29896 confirmed.............................5196
353.110 Regulation at 66 FR 29897 confirmed.........................5196
410.402 (b)(6) revised.............................................15466
451.201 (c) removed; (d) and (e) redesignated as (c) and (d); 
        interim....................................................52596
451.203 (a) removed; (b) and (c) redesignated as (a) and (b); 
        interim....................................................52596
451.301--451.305 (Subpart C) Added.................................52596
532.201--532.285 (Subpart B) Regulation at 67 FR 20009 confirmed 
                                                                   49855
    Regulation at 67 FR 3035 confirmed.............................49856
    Appendixes B and D amended; interim.............................3035
    Appendix B amended.............................................13553
    Appendix A amended; interim....................................20009
    Appendix B amended; interim....................................46839
    Appendix D amended; interim....................................46840
    Appendix A corrected; CFR corrrection..........................78959
534 Authority citation revised......................................3582
    Regulation at 66 FR 63908 confirmed............................39249

[[Page 787]]

534.301--534.305 (Subpart C) Added; interim.........................3582
534.301 Revised....................................................63049
534.302 Revised....................................................63049
534.304 (b) revised................................................63050
534.601--534.605 (Subpart F) Regulation at 66 FR 63708 confirmed 
                                                                   39249
550.101--550.107 (Subpart A) Authority citation revised............19320
550.105 Revised; interim...........................................19320
550.106 Revised; interim...........................................19321
550.107 Revised; interim...........................................19321
550.154 (c) added; interim..........................................6641
550.162 (g) added; interim..........................................6641
550.601--550.603 (Subpart F) Regulation at 65 FR 19644 confirmed 
                                                                   40837
550.1301--550.1308 (Subpart M) Authority citation revised..........15466
550.1302 Amended...................................................15466
550.1303 (d) revised...............................................15467
550.1305 (a) introductory text, (c) and (d) revised................15467
550.1306 (a) revised; (c) amended; (d) and (e) added...............15467
550.1308 Removed...................................................15467
551.411 (c) revised................................................15467
553.101 Regulation at 65 FR 19644 confirmed........................40837
553.102 Regulation at 65 FR 19644 confirmed........................40837
553.103 Regulation at 65 FR 19644 confirmed........................40837
553.201 Regulation at 65 FR 19644 confirmed........................40837
553.203 Regulation at 65 FR 19644 confirmed........................40847
591.201--591.244 (Subpart B) Revised...............................22340
591.203 Regulation at 66 FR 63909 confirmed........................39249
630.210 (c) revised................................................15467
630.308 Regulation at 66 FR 55558 confirmed.........................9581
630.311 Regulation at 66 FR 55558 confirmed.........................9581

                                  2003

5 CFR
                                                                   68 FR
                                                                    Page
Chapter I
213 Authority citation revised.....................................24605
213.3199 Revised; interim..........................................24605
230.402 (c), (h)(1) and (2) revised; interim.......................35268
301.201 Revised; interim...........................................35268
301.205 Revised; interim...........................................35268
316.201--316.202 (Subpart B) Removed; interim......................35268
316.302 (a) revised; interim.......................................35268
316.402 (a) revised; interim.......................................35268
333 Removed; interim...............................................35268
337 Authority citation added.......................................35268
337.101 Authority citation removed.................................35268
337.102 Authority citation removed.................................35268
337.201--337.207 (Subpart B) Added; interim........................35268
337.301--337.306 (Subpart C) Added; interim........................35269
410 Authority citation revised.....................................35269
410.308 Revised; interim...........................................35269
531.602 Amended....................................................19708
531.606 (g) revised................................................19708
532 Regulation at 67 FR 46839 and 46840 confirmed...................1515
532.217 (c) amended..................................................460
532.201--532.285 (Subpart B) Appendix C amended......................459
    Appendix C corrected...........................................19708
    Appendixes B and D amended; interim............................64494
550.162 (g) revised.................................................4681
575 Authority citation revised.....................................53669
575.501--575.515 (Subpart E) Added; interim........................53669
575.511 Corrected..................................................56665
576 Revised; interim................................................5529


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