[Title 5 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2024 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

                                  Title 5

                         Administrative Personnel


                       ________________________

                          Parts 1 to 699

                         Revised as of January 1, 2024

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2024
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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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........................     907
      Alphabetical List of Agencies Appearing in the CFR......     927
      List of CFR Sections Affected...........................     937

[[Page iv]]





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

                     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.

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

[[Page v]]



                               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 
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    To determine whether a Code volume has been amended since its 
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EFFECTIVE AND EXPIRATION DATES

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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 
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PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
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``[RESERVED]'' TERMINOLOGY

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This material, like any other properly issued regulation, has the force 
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    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

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    Oliver A. Potts,
    Director,
    Office of the Federal Register
    January 1, 2024







[[Page ix]]



                               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, 2024.

    For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                    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 Pub. L. 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 service; 
                    related matters (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)...............................          13
7               General provisions (Rule VII)...............          15
8               Appointments to overseas positions (Rule 
                    VIII)...................................          15
9               Workforce information (Rule IX).............          16
10              Agency accountability systems; OPM authority 
                    to review personnel management programs 
                    (Rule X)................................          17
                 SUBCHAPTER B--CIVIL SERVICE REGULATIONS
110             Posting notices of new OPM regulations......          18
120             Administrative guidance.....................          18
151             Political activity of State or local 
                    officers or employees...................          22
175             OPM mandatory review of classified documents          23
177             Administrative claims under Federal Tort 
                    Claims Act..............................          24
178             Procedures for settling claims..............          27
179             Claims collection standards.................          32
180             Employees' personal property claims.........          45
185             Program fraud civil remedies................          52
210             Basic concepts and definitions (general)....          68
211             Veteran preference..........................          69
212             Competitive service and competitive status..          71
213             Excepted service............................          72
214             Senior Executive Service....................          80
230             Organization of the Government for personnel 
                    management..............................          82

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250             Personnel management in agencies............          84
251             Agency relationships with organizations 
                    representing Federal employees and other 
                    organizations...........................          90
293             Personnel records...........................          93
294             Availability of official information........         107
295             Testimony by OPM employees relating to 
                    official information and production of 
                    official records in legal proceedings...         117
297             Privacy procedures for personnel records....         122
300             Employment (general)........................         134
301             Overseas employment.........................         146
302             Employment in the excepted service..........         148
304             Expert and consultant appointments..........         155
305

[Reserved]

307             Veterans recruitment appointments...........         159
308             Volunteer service...........................         160
310             Employment of relatives.....................         160
315             Career and career-conditional employment....         161
316             Temporary and term employment...............         189
317             Employment in the Senior Executive Service..         198
319             Employment in senior-level and scientific 
                    and professional positions..............         212
330             Recruitment, selection, and placement 
                    (general)...............................         215
332             Recruitment and selection through 
                    competitive examination.................         237
333

[Reserved]

334             Temporary assignments under the 
                    Intergovernmental Personnel Act (IPA)...         243
335             Promotion and internal placement............         246
337             Examining system............................         250
338             Qualification requirements (general)........         254
339             Medical qualification determinations........         255
340             Other than full-time career employment 
                    (Part-time, seasonal, on-call, and 
                    intermittent)...........................         262
351             Reduction in force..........................         267
352             Reemployment rights.........................         287
353             Restoration to duty from uniformed service 
                    or compensable injury...................         304
359             Removal from the Senior Executive Service; 
                    guaranteed placement in other personnel 
                    systems.................................         313
362             Pathways Programs...........................         322
370             Information Technology Exchange Program.....         334
410             Training....................................         339
412             Supervisory, management, and executive 
                    development.............................         348
430             Performance management......................         352

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432             Performance based reduction in grade and 
                    removal actions.........................         370
451             Awards......................................         375
470             Personnel management research programs and 
                    demonstrations projects.................         380
511             Classification under the General Schedule...         384
530             Pay rates and systems (general).............         390
531             Pay under the General Schedule..............         401
532             Prevailing rate systems.....................         438
534             Pay under other systems.....................         539
535             Critical position pay authority.............         561
536             Grade and pay retention.....................         564
537             Repayment of student loans..................         580
550             Pay administration (general)................         586
551             Pay administration under the Fair Labor 
                    Standards Act...........................         684
553             Reemployment of civilian retirees to meet 
                    exceptional employment needs............         718
572             Travel and transportation expenses; new 
                    appointees and interviews...............         721
575             Recruitment, relocation, and retention 
                    incentives; supervisory differentials; 
                    and extended assignment incentives......         721
576             Voluntary separation incentive payments.....         755
581             Processing garnishment orders for child 
                    support and/or alimony..................         758
582             Commercial garnishment of Federal employees' 
                    pay.....................................         796
591             Allowances and differentials................         804
595             Physicians' comparability allowances........         825
610             Hours of duty...............................         828
630             Absence and leave...........................         834
631-699

[Reserved]

[[Page 7]]



                    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 SERVICE; RELATED MATTERS
(RULE II)--Table of Contents



Sec.
2.1 Competitive examinations and eligible registers; suitability and 
          fitness for civil service employment.
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; 
suitability and fitness for civil service employment.

    (a) OPM shall be responsible for:
    (i) Open competitive examinations for admission to the competitive 
service that will fairly test the relative capacity and fitness of the 
persons examined for the position to be filled.
    (ii) Standards with respect to citizenship, age, education, training 
and experience, physical and mental fitness, and for residence or other 
requirements that applicants must meet to be admitted to or rated in 
examinations.
    (iii) Standards of suitability based on character and conduct for 
appointment to a position in the competitive service, for appointment to 
a position in the excepted service where the incumbent can be 
noncompetitively converted to the competitive service, and for career 
appointment to a position in the Senior Executive Service.
    (iv) Minimum standards of fitness based on character and conduct for 
appointment in any other position in the excepted service of the 
executive branch, except for (A) positions in any element of the 
intelligence community as defined in the National Security Act of 1947, 
as amended, to the extent they are not otherwise subject to OPM 
appointing authorities, and (B) positions where OPM is statutorily 
precluded from prescribing such standards.''
    (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.

[28 FR 10023, Sept. 14, 1963, as amended by E.O. 13764, 82 FR 8115, Jan. 
23, 2017]



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

[[Page 9]]

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 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.

[[Page 10]]

    (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 
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

[[Page 11]]

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 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, suitability, and fitness of 
applicants for positions in the competitive service, positions in the 
excepted service where the incumbent can be noncompetitively converted 
to the competitive service, career appointments to positions in the 
Senior Executive Service, and any other positions in the excepted 
service of the executive branch for which the Director has standard-
setting responsibility under Civil Service Rule II.
    (i) 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.
    (ii) The Director may cause positions to be designated based on risk 
to determine the appropriate level of investigation, and may prescribe 
investigative standards, policies, and procedures.
    (iii) The Director may prescribe standards for reciprocal acceptance 
by agencies of investigations and adjudications of suitability and 
fitness, except to the extent authority to apply

[[Page 12]]

additional fitness standards is vested by statute in an agency.
    (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; E.O. 13764, 82 FR 8115, Jan. 23, 2017]



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 or unsuitable 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 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.

[45 FR 4337, Jan. 22, 1980, as amended by E.O. 13764, 82 FR 8115, Jan. 
23, 2017]



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

[[Page 13]]

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 (A) appointments thereto through competitive examination 
are not practicable, or (B) recruitment from among students attending 
qualifying educational institutions or individuals who have recently 
completed qualifying educational programs can better be achieved by 
devising additional means for recruiting and assessing candidates that 
diverge from the processes generally applicable to the competitive 
service. 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.
    (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; E.O. 13562, 75 FR 
82587, Dec. 30, 2010]



Sec.  6.2  Schedules of excepted positions.

    OPM shall list positions that it excepts from the competitive 
service in Schedules A, B, C, and D, and it shall list the position of 
administrative law judge in Schedule E, 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.
Schedule D. Positions other than those of a confidential or policy-
determining character for which the competitive service requirements 
make impracticable the adequate recruitment of sufficient numbers of 
students attending qualifying educational institutions or individuals 
who have recently completed qualifying educational programs shall be 
listed in Schedule D. These positions are temporarily placed in the 
excepted service to enable more effective recruitment from all segments 
of society by using means of recruiting and assessing candidates that 
diverge from the rules generally applicable to the competitive service.
Schedule E. Positions of administrative law judge appointed under 5 
U.S.C. 3105 shall be listed in Schedule E. Conditions of good 
administration warrant placing the position of administrative law judge 
in the excepted service and exempting appointment to this position from 
the requirements of 5 CFR, part 302, including examination and rating 
requirements, though each agency shall follow the principle of veteran 
preference as far as administratively feasible.

[E.O. 14029, 86 FR 27025, May 19, 2021]



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

[[Page 14]]

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, 
and subject to the suitability and fitness requirements of the 
applicable Civil Service Rules and Regulations, 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. These shall include, for the position of administrative 
law judge appointed under 5 U.S.C. 3105, the requirement that, at the 
time of application and any new appointment, the individual, other than 
an incumbent administrative law judge, must possess a professional 
license to practice law and be authorized to practice law under the laws 
of a State, the District of Columbia, the Commonwealth of Puerto Rico, 
or any territorial court established under the United States 
Constitution. For purposes of this requirement, judicial status is 
acceptable in lieu of ``active'' status in States that prohibit sitting 
judges from maintaining ``active'' status to practice law, and being in 
``good standing'' is also acceptable in lieu of ``active'' status in 
States where the licensing authority considers ``good standing'' as 
having a current license to practice law. This requirement shall 
constitute a minimum standard for appointment to the position of 
administrative law judge, and such appointments may be subject to 
additional agency requirements where appropriate.

[28 FR 10025, Sept. 14, 1963, as amended by E.O. 13764, 82 FR 8115, Jan. 
23, 2017; E.O. 13843, 83 FR 32755, July 13, 2018]



Sec.  6.4  Removal of incumbents of excepted positions.

    Except as required by statute, the Civil Service Rules and 
Regulations shall not apply to removals from positions listed in 
Schedules A, C, D, or E, 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.

[E.O. 14029, 86 FR 27026, May 19, 2021]



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, C, or D. 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; E.O. 13562, 75 FR 82587, Dec. 30, 2010]



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

[[Page 15]]

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.
    (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.
    (d) Effective on July 10, 2018, the position of administrative law 
judge appointed under 5 U.S.C. 3105 shall be listed in Schedule E for 
all levels of basic pay under 5 U.S.C. 5372(b). Incumbents of this 
position who are, on July 10, 2018, in the competitive service shall 
remain in the competitive service as long as they remain in their 
current positions.

[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; E.O. 13843, 83 FR 32755, July 13, 2018]



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.


[[Page 16]]


    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.



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.

[[Page 17]]



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.



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 18]]



                 SUBCHAPTER B_CIVIL SERVICE REGULATIONS





PART 110_POSTING NOTICES OF NEW OPM REGULATIONS--Table of Contents



Sec.
110.101 What are OPM's Notice and Posting System responsibilities?
110.102 What are Agency responsibilities?

    Authority: 5 U.S.C. 1103.

    Source: 69 FR 33535, June 16, 2004, unless otherwise noted.



Sec.  110.101  What are OPM's Notice and Posting System responsibilities?

    OPM will issue a notice that will provide information for Federal 
agencies, employees, managers, and other stakeholders on each of its new 
proposed, interim, and final regulations. Each notice will transmit:
    (a) A posting notice that briefly explains the nature of the change, 
and provides a place for Federal agencies to indicate where the full 
text of the Federal Register notice will be available for review.
    (b) A copy of the notice of rulemaking that appears in the Federal 
Register or a link to a Web site where the notice of rulemaking appears.



Sec.  110.102  What are Agency responsibilities?

    (a) Agencies will make regulations available for review by 
employees, managers, and other interested parties. Federal agencies 
receiving the notices of rulemaking described in Sec.  110.101(b) will 
make those regulations available for review upon request. Each agency 
will complete the posting notice described in Sec.  110.101(a) 
indicating where and how requests to review these materials should be 
made.
    (b) Agencies will determine posting locations and, if desired, 
develop supplemental announcements. Agencies will display completed 
posting notices in a prominent place where the notices can be easily 
seen and read. Agencies will choose the posting location that best fits 
their physical layout. Agencies may supplement these postings with 
announcements in employee newsletters, agency Web sites, or other 
communication methods. The basic requirement to post the notice 
continues, however, even if supplemental announcement methods are used.
    (c) Agencies will post notices of the new regulations even if the 
Federal Register comment date has passed. 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(a). The purpose of posting notice is solely 
to inform agency personnel of changes. Agencies are required to post the 
posting 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 notice 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(a). 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.



PART 120_ADMINISTRATIVE GUIDANCE--Table of Contents



Sec.
120.1 Purpose and scope.
120.2 Definitions applicable to this part.
120.3 Requirements for clearance.
120.4 Public access to guidance documents.
120.5 Definition of significant guidance document.
120.6 Procedure for guidance documents identified as ``significant''.
120.7 Notice-and-comment procedures.
120.8 Petitions to withdraw or modify guidance.
120.9 Rescinded guidance.
120.10 Exceptional circumstances.
120.11 Reports to Congress and GAO.
120.12 No judicial review or enforceable rights.

    Authority: 5 U.S.C. 552(a)(1); E.O. 13891, 84 FR 55235.

[[Page 19]]


    Source: 85 FR 65651, Oct. 16, 2020, unless otherwise noted.



Sec.  120.1  Purpose and scope.

    (a) This part prescribes general procedures that apply to OPM 
guidance documents.
    (b) This part governs all OPM employees and contractors involved 
with all phases of issuing guidance documents.
    (c) This part applies to all OPM guidance documents in effect on or 
after April 28, 2020.



Sec.  120.2  Definitions applicable to this part.

    (a) Except as provided in paragraph (b) of this section, the term 
guidance document means an agency statement of general applicability, 
intended to have future effect on the behavior of regulated parties, 
that sets forth a policy on a statutory, regulatory, or technical issue, 
or an interpretation of a statute or regulation.
    (b) The term guidance document does not include:
    (1) Rules promulgated under 5 U.S.C. 553 (or similar statutory 
provisions);
    (2) Rules of agency organization, procedure, or practice that are 
not anticipated to have substantial future effect on the behavior of 
regulated parties or the public;
    (3) Decisions of agency adjudications;
    (4) Internal executive branch legal advice or legal opinions 
addressed to executive branch officials;
    (5) Agency statements of specific applicability, including advisory 
or legal opinions directed to particular parties about circumstance-
specific questions (e.g., case or investigatory letters responding to 
complaints, warning letters), notices regarding particular locations or 
facilities (e.g., guidance pertaining to the use, operation, or control 
of a Government facility or property), and correspondence with 
individual persons or entities (e.g., congressional correspondence), 
except documents ostensibly directed to a particular party but designed 
to guide the conduct of the broader regulated public;
    (6) Legal briefs, other filings with a court or administrative 
tribunal, records or communications produced in a legal proceeding, or 
positions taken in litigation or enforcement actions;
    (7) Agency statements that do not set forth a policy on a statutory, 
regulatory, or technical issue or an interpretation of a statute or 
regulation, including speeches and individual presentations, editorials, 
media interviews, press materials, or congressional testimony that do 
not set forth a new regulatory policy;
    (8) Guidance pertaining to military or foreign affairs functions, or 
to a national security or homeland security function of the United 
States (other than guidance documents involving procurement or the 
import or export of non-defense articles and services), and any other 
guidance when application of this order, or any part of this order, 
would, in the judgment of the Director of OPM, undermine the national 
security;
    (9) Any action related to a criminal investigation or prosecution, 
including undercover operations, or any civil enforcement action or 
related investigation by the Department of Justice, including any action 
related to a civil investigative demand under 18 U.S.C. 1968;
    (10) Any investigation of misconduct by an agency employee or any 
disciplinary, corrective, or employment action taken against an agency 
employee;
    (11) Grant solicitations and awards;
    (12) Contract solicitations and awards;
    (13) Agency documents that are not publicly disseminated, including 
classified information, information subject to a statutory or regulatory 
redisclosure restriction, privileged information, and information exempt 
from disclosure under the Freedom of Information Act;
    (14) Purely internal agency policies or guidance directed solely to 
OPM employees or contractors that are not anticipated to have 
substantial future effect on the behavior of regulated parties or the 
public; and
    (15) Documents that are directed solely to other agencies (or 
personnel of such agencies) and that are not anticipated to have 
substantial future effect on the behavior of regulated parties or the 
public, including the typical

[[Page 20]]

documents issued for government-wide use by OPM.
    (c) OMB means the Office of Management and Budget.
    (d) OIRA means the Office of Information and Regulatory Affairs of 
OMB.



Sec.  120.3  Requirements for clearance.

    Except as described in Sec.  120.6(c), the Director of OPM may 
delegate any function related to the review and clearance of guidance. 
OPM's review and clearance of guidance shall ensure that each guidance 
document proposed to be issued by OPM satisfies the following 
requirements:
    (a) The guidance document complies with all relevant statutes and 
regulation (including any statutory deadlines for agency action);
    (b) The guidance document identifies or includes:
    (1) The term ``guidance'' or its functional equivalent;
    (2) The issuing office name;
    (3) A unique identifier, including, at a minimum, the date of 
issuance, title of the document, and its regulatory identification 
number (Z-RIN) in the case of a significant guidance document;
    (4) The general topic, activity, persons, and/or entities to which 
the guidance applies;
    (5) Citations to applicable statutes and regulations;
    (6) A statement noting whether the guidance is intended to revise or 
replace any previously issued guidance and, if so, sufficient 
information to identify the previously issued guidance; and
    (7) A concise summary of the guidance document's content;
    (c) The guidance document avoids using mandatory language, such as 
``shall,'' ``must,'' ``required,'' or ``requirement,'' unless it is 
binding guidance by law or as incorporated in a contract, the language 
is describing an established statutory or regulatory requirement, or the 
language is addressed to agency staff or other Federal employees and 
will not foreclose OPM's ability to consider positions advanced by any 
affected private parties;
    (d) The guidance document is written in plain and understandable 
English; and
    (e) The guidance document includes the following disclaimer 
prominently: ``The contents of this document do not have the force and 
effect of law and are not meant to bind the public in any way. This 
document is intended only to provide clarity to the public regarding 
existing requirements under the law or agency policies.'' When a 
guidance document is binding because binding guidance is authorized by 
law or because the guidance is incorporated into a contract, the 
originating office should modify this disclaimer to reflect either of 
those facts.



Sec.  120.4  Public access to guidance documents.

    (a) OPM shall ensure all guidance documents in effect are on OPM's 
Web portal in a single, searchable, indexed database, available to the 
public.
    (b) The Web portal will:
    (1) Include an index with each guidance document's name, date of 
issuance, date of posting, and unique agency identifier; if the guidance 
document is a significant guidance document, its Z-RIN; the general 
topic and a brief (1-2 sentence) summary of the guidance document; and a 
hypertext link to the guidance document;
    (2) Note that guidance documents lack the force and effect of law, 
except as authorized by law or as incorporated into a contract;
    (3) Note that OPM may not cite, use, or rely on any guidance that is 
not posted except to establish historical facts unless OMB makes an 
exception for particular guidance documents or categories of guidance 
documents;
    (4) Include a link to this part and to any Federal Register notice 
referencing the Web portal;
    (5) Explain how the public can request the withdrawal or 
modification of an existing guidance document, including an email 
address where electronic requests can be submitted, a mailing address 
where hard copy requests can be submitted, and an office at the agency 
responsible for coordinating such requests; and
    (6) Include the information about proposed significant guidance 
documents described in Sec.  120.7.

[[Page 21]]



Sec.  120.5  Definition of significant guidance document.

    (a) The term significant guidance document means a guidance document 
that will be disseminated to regulated entities or the general public 
and that may reasonably be anticipated:
    (1) To lead to an annual effect on the economy of $100 million or 
more or adversely affect in a material way the U.S. economy, a sector of 
the U.S. economy, productivity, competition, jobs, the environment, 
public health or safety, or State, local, or tribal governments or 
communities;
    (2) To create serious inconsistency or otherwise interfere with an 
action taken or planned by another Federal agency;
    (3) To alter materially the budgetary impact of entitlements, 
grants, user fees, or loan programs or the rights and obligations of 
recipients thereof; or
    (4) To raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
E.O. 12866.
    (b) The term significant guidance document does not include the 
categories of documents excluded by Sec.  120.2 or any other category of 
guidance documents exempted in writing by OPM in consultation with OIRA.



Sec.  120.6  Procedure for guidance documents identified as ``significant.''

    (a) OPM will make an initial, preliminary determination about a 
guidance document's significance. Thereafter, OPM must submit the 
guidance document to OIRA for its determination whether guidance is 
significant guidance, unless the guidance is otherwise exempted from 
such a determination by the Administrator of OIRA.
    (b) Significant guidance documents, as determined by the 
Administrator of OIRA, must be reviewed by OIRA under E.O. 12866 before 
issuance; and must demonstrate compliance with the applicable 
requirements for regulations or rules, including significant regulatory 
actions, set forth in E.O. 12866, E.O. 13563, E.O. 13609, E.O. 13771, 
and E.O. 13777.
    (c) Significant guidance documents must be signed by the Director of 
OPM.



Sec.  120.7  Notice-and-comment procedures.

    (a) Except as provided in paragraph (b) of this section, all 
proposed OPM guidance documents determined to be a ``significant 
guidance document'' within the meaning of Sec.  120.5 shall be subject 
to the following informal notice-and-comment procedures. OPM shall 
publish notification in the Federal Register announcing that a draft of 
the proposed guidance document is publicly available, shall post a link 
to the Federal Register notice and the draft guidance document on its 
guidance portal, shall invite public comment on the draft document for a 
minimum of 30 days, and shall prepare and post a public response to 
major concerns raised in the comments, as appropriate, on its guidance 
Web portal, either before or when the guidance document is finalized and 
issued.
    (b) The requirements of paragraph (a) of this section will not apply 
to any significant guidance document or categories of significant 
guidance documents for which OPM finds good cause that notice and public 
procedure thereon are impracticable, unnecessary, or contrary to the 
public interest (and incorporates the finding of good cause and a brief 
statement of reasons therefore in the guidance issued).
    (c) Where appropriate, the originating office may recommend to the 
Director of OPM that a particular guidance document that is otherwise of 
importance to OPM's interests shall also be subject to the informal 
notice-and-comment procedures described in paragraph (a) of this 
section.



Sec.  120.8  Petitions to withdraw or modify guidance.

    (a) Any person may petition OPM to withdraw or modify a particular 
guidance document as specified by Sec.  120.4(b)(5).
    (b) Any person may submit a petition to OPM requesting withdrawal or 
modification of any effective guidance document by writing to OPM Office 
of the Executive Secretariat at: [email protected], or U.S. Office of 
Personnel Management Attn: Executive Secretariat 1900 E Street NW, 
Washington, DC 20415.

[[Page 22]]

    (c) OPM will respond to all requests in a timely manner, but no 
later than 90 days after receipt of the request.



Sec.  120.9  Rescinded guidance.

    (a) In the absence of a petition, OPM may rescind a guidance 
document on grounds that it is no longer accurate or necessary.
    (b) If OPM rescinds a guidance document, the hyperlink to the 
guidance document will be removed. The name, title, unique identifier, 
and date of rescission will be listed on the guidance portal for at 
least one year after rescission.
    (c) No employee of OPM may cite, use, or rely on rescinded guidance 
documents, except to establish historical facts, unless OMB makes an 
exception for particular guidance documents or categories of guidance 
documents.



Sec.  120.10  Exceptional circumstances.

    (a) A guidance document may be exempted from the requirements of 
section 120.6(b) or 120.7(a) by agreement of OPM and OIRA for reasons of 
exigency, safety, health, or other compelling cause.
    (b) In emergency situations or when OPM is required by statutory 
deadline or court order to act more quickly than normal review 
procedures allow, OPM will notify OIRA as soon as possible and, to the 
extent practicable, shall comply with the requirements of this part at 
the earliest opportunity. Wherever practicable, OPM should schedule its 
proceedings to permit sufficient time to comply with the procedures set 
forth in this part.



Sec.  120.11  Reports to Congress and GAO.

    When OPM adopts final guidance constituting a ``rule'' under 5 
U.S.C. 804, OPM will submit the reports to Congress and GAO and comply 
with the procedures specified by 5 U.S.C. 801 (commonly known as the 
Congressional Review Act).



Sec.  120.12  No judicial review or enforceable rights.

    This part is intended to improve the internal management of OPM. As 
such, it is for the use of OPM personnel only and is not intended to, 
and does not, create any right or benefit, substantive or procedural, 
enforceable at law or in equity by any party against the United States, 
its agencies or other entities, its officers or employees, or any other 
person.



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, Reorganization Plan 
No. 2 of 1978, section 102, 92 Stat. 3783, 3 CFR 1978 Comp. p. 323; and 
E.O. 12107, section 1-102, 3 CFR 1978 Comp. p. 264.

    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:
    (1) The executive branch of a State, municipality, or other 
political subdivision of a State, or an agency or department thereof; or
    (2) The executive branch of the District of Columbia, 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.

[[Page 23]]

    (2) An individual employed by an educational or research 
institution, establishment, agency, or system which is supported in 
whole or in part by--
    (i) A State or political subdivision thereof;
    (ii) The District of Columbia; or
    (iii) 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, as amended at 79 FR 25484, May 5, 2014]

                         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 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 office if the salary of the employee 
is paid completely, directly or indirectly, by loans or grants made by 
the United States or a Federal agency.

[40 FR 42733, Sept. 16, 1975, as amended at 79 FR 25484, May 5, 2014]



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, 
municipality, or the District of Columbia, who is not classified under a 
merit or civil service system of a State, municipality, or the District 
of Columbia;
    (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; 
79 FR 25484, May 5, 2014]



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]

[[Page 24]]



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 Information 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: 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

[[Page 25]]

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 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.

[[Page 26]]

    (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, 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

[[Page 27]]

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 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.

[[Page 28]]

178.103 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 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

[[Page 29]]

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 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

[[Page 30]]

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;
    (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,

[[Page 31]]

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.
    (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.

[[Page 32]]

    (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.
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.

                Subpart D_Administrative Wage Garnishment

179.401 Administrative wage garnishment.

    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

[[Page 33]]

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.



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:

[[Page 34]]

    (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, 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.

[[Page 35]]

    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, 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;

[[Page 36]]

    (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 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).

[[Page 37]]

    (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 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.

[[Page 38]]

    (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.
    (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;

[[Page 39]]

    (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.
    (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

[[Page 40]]

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 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).

[[Page 41]]



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 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.

[[Page 42]]

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 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.

[[Page 43]]



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 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.

[[Page 44]]

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 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

[[Page 45]]

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.



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.



                Subpart D_Administrative Wage Garnishment

    Authority: 15 U.S.C. 46; 31 U.S.C. 3720D; 31 CFR 285.11(f).



Sec.  179.401  Administrative wage garnishment.

    General. OPM may use administrative wage garnishment to collect 
debts in accordance with the requirements of 31 U.S.C. 3720D and 31 CFR 
285.11, including debts it refers to the Bureau of the Fiscal Service, 
Department of the Treasury, for cross-servicing pursuant to 31 U.S.C. 
3711. This part adopts and incorporates all of the provisions of 31 CFR 
285.11 concerning administrative wage garnishment, including the hearing 
procedures described in 31 CFR 285.11(f). This section does not apply to 
collection of debt by Federal salary offset, under 5 U.S.C. 5514, the 
process by which OPM collects debts from the salaries of Federal 
employees.

[79 FR 29072, May 21, 2014]



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.

[[Page 46]]



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 
Sec. Sec.  180.102(a)(1) and 180.102(a)(2);
    (4) Survivors of persons in Sec. Sec.  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 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:

[[Page 47]]

    (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 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

[[Page 48]]

    (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.
    (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

[[Page 49]]

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, 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.

[[Page 50]]



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 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:

[[Page 51]]

    (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 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.

[[Page 52]]

    (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 Sec. Sec.  
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.
    (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.

[[Page 53]]

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: 28 U.S.C. 2461 note; 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.



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

[[Page 54]]

    (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, 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 $13,508, 
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

[[Page 55]]

    (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 $13,508 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 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.

[60 FR 7891, Feb. 10, 1995, as amended at 81 FR 46828, July 19, 2016; 83 
FR 34935, July 24, 2018; 84 FR 51938, Oct. 1, 2019; 85 FR 42300, July 
14, 2020; 87 FR 16094, Mar. 22, 2022; 88 FR 5246, Jan. 27, 2023]



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

[[Page 56]]

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.
    (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

[[Page 57]]

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.
    (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.

[[Page 58]]

    (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
    (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

[[Page 59]]

    (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;
    (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;

[[Page 60]]

    (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 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

[[Page 61]]

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 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

[[Page 62]]

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.
    (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

[[Page 63]]

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.



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

[[Page 64]]

    (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 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;

[[Page 65]]

    (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.
    (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:

[[Page 66]]

    (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 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.

[[Page 67]]

    (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.



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.

[[Page 68]]



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.
    (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

[[Page 69]]

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 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, 2108, 2108a.

    Source: 81 FR 83109, Nov. 21, 2016, unless otherwise noted.

[[Page 70]]



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, 
2108a)



Sec.  211.102  Definitions.

    For the purposes of preference in Federal employment, the following 
definitions apply:
    (a) Veteran means a person who has been discharged or released from 
active duty in the armed forces under honorable conditions, or who has a 
certification as defined in paragraph (h) of this section, if the active 
duty service was performed:
    (1) In a war;
    (2) In a campaign or expedition for which a campaign badge has been 
authorized;
    (3) During the period beginning April 28, 1952, and ending July 1, 
1955;
    (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;
    (5) During the period beginning August 2, 1990, and ending January 
2, 1992; or
    (6) For more than 180 consecutive days, other than for training, any 
part of which occurred during the period beginning September 11, 2001, 
and ending on August 31, 2010, the last day of Operation Iraqi Freedom.
    (b) Disabled veteran means a person who has been discharged or 
released from active duty in the armed forces under honorable conditions 
performed at any time, or who has a certification as defined in 
paragraph (h) of this section, and who has established the present 
existence of a service-connected disability or is receiving 
compensation, disability retirement benefits, or a pension because of a 
statute administered by the Department of Veterans Affairs or a military 
department.
    (c) Sole survivor veteran means a person who was discharged or 
released from a period of active duty after August 29, 2008, by reason 
of a sole survivorship discharge (as that term is defined in 10 U.S.C. 
1174(i)), and who meets the definition of a ``veteran'' in paragraph (a) 
of this section, with the exception that he or she is not required to 
meet any of the length of service requirements prescribed by paragraph 
(a).
    (d) Preference eligible means a veteran, disabled veteran, sole 
survivor veteran, spouse, widow, widower, or parent who meets the 
definition of ``preference eligible'' in 5 U.S.C. 2108.
    (1) Preference eligibles other than sole survivor veterans are 
entitled to have 5 or 10 points added to their earned score on a civil 
service examination in accordance with 5 U.S.C. 3309.
    (2) Under numerical ranking and selection procedures for competitive 
service hiring, preference eligibles are entered on registers in the 
order prescribed by Sec.  332.401 of this chapter.
    (3) Under excepted service examining procedures in part 302 of this 
chapter, preference eligibles are listed ahead of persons with the same 
ratings who are not preference eligibles, or listed ahead of non-
preference eligibles if numerical scores have not been assigned.
    (4) Under alternative ranking and selection procedures, i.e., 
category rating, preference eligibles are listed ahead of individuals 
who are not preference eligibles in accordance with 5 U.S.C. 3319.
    (5) Preference eligibles, other than those who have not yet been 
discharged or released from active duty, are accorded a higher retention 
standing than non-preference eligibles in the event of a reduction in 
force in accordance with 5 U.S.C. 3502.
    (6) Veterans' preference does not apply, however, to inservice 
placement actions such as promotions.
    (e) Armed forces means the United States Army, Navy, Air Force, 
Marine Corps, and Coast Guard.
    (f) Active duty or active military duty:
    (1) For veterans defined in paragraphs (a)(1) through (3) and 
disabled veterans defined in paragraph (b) of this section, means active 
duty with military pay and allowances in the armed forces, and includes 
training, determining physical fitness, and service in the Reserves or 
National Guard; and
    (2) For veterans defined in paragraphs (a)(4) through (6) of this 
section, means full-time duty with military pay and allowances in the 
armed forces,

[[Page 71]]

and does not include training, determining physical fitness, or service 
in the Reserves or National Guard.
    (g) Discharged or released from active duty means with either an 
honorable or general discharge from active duty in the armed forces. The 
Department of Defense is responsible for administering and defining 
military discharges.
    (h) Certification means any written document from the armed forces 
that certifies the service member is expected to be discharged or 
released from active duty service in the armed forces under honorable 
conditions not later than 120 days after the date the certification is 
submitted for consideration in the hiring process, at the time and in 
the manner prescribed by the applicable job opportunity announcement. 
Prior to appointment, the service member's character of service and 
qualifying discharge or release must be verified through a DD form 214 
or equivalent documentation.

[81 FR 83109, Nov. 21, 2016, as amended at 81 FR 94909, Dec. 27, 2016; 
83 FR 63042, Dec. 7, 2018]



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 must 
be referred to OPM's General Counsel for decision.



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,

[[Page 72]]

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, C, or D.
213.103 Publication of excepted appointing authorities in Schedules A, 
          B, C, and D.
213.104 Special provisions for temporary, time-limited, intermittent, or 
          seasonal appointments in Schedule A, B, C, or D.

Subpart B [Reserved]

                      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.

                               Schedule D

213.3401 Positions other than those of a confidential or policy 
          determining character for which the competitive service 
          requirements make impracticable the adequate recruitment of 
          sufficient numbers of students attending qualifying 
          educational institutions or individuals who have recently 
          completed qualifying educational programs.
213.3402 Entire executive civil service; Pathways Programs.

    Authority: 5 U.S.C. 3161, 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. 13318, 3 CFR 1982 Comp., p. 185; 38 U.S.C. 4301 et seq.; Pub. L. 
105-339, 112 Stat 3182-83; E.O. 13162; E.O. 12125, 3 CFR 1979 Comp., p. 
16879; and E.O. 13124, 3 CFR 1999 Comp., p. 31103; and Presidential 
Memorandum--Improving the Federal Recruitment and Hiring Process (May 
11, 2010).
    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; 38 U.S.C. 4301 et seq.; and Pub. L. 105-339, 112 Stat. 3182-
83.

    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, C, or D.

    (a) As provided in 5 U.S.C. 3302, the President may prescribe rules 
governing the competitive service. The rules shall provide, as nearly as 
conditions of good administration warrant, for--
    (1) Necessary exceptions of positions from the competitive service; 
and

[[Page 73]]

    (2) Necessary exceptions from the provisions of sections 2951, 
3304(a), 3321, 7202, and 7203 of title 5, U.S. Code.
    (b) The President delegated authority to the Office of Personnel 
Management (OPM) in Civil Service Rule VI to except positions from the 
competitive service when OPM determines that:
    (1) Appointments thereto through competitive examination are not 
practicable; or
    (2) Recruitment from among students attending qualifying educational 
institutions or individuals who have recently completed qualifying 
educational programs can better be achieved by devising additional means 
for recruiting and assessing candidates that diverge from the processes 
generally applicable to the competitive service.
    (3)(i) Upon determining that any position or group of positions, as 
defined in Sec.  302.101(c), should be excepted indefinitely or 
temporarily from the competitive service, the Office of Personnel 
Management will authorize placement of the position or group of 
positions into Schedule A, B, C, or D, as applicable. Unless otherwise 
specified in a particular appointing authority, an agency may make 
Schedule A, B, C, or D appointments on either a permanent or 
nonpermanent basis, with any appropriate work schedule (i.e., full-time, 
part-time, seasonal, on-call, or intermittent).
    (ii) When OPM establishes eligibility requirements (e.g., residence, 
family income) for appointment under particular Schedule A, B, or D 
exceptions, an individual's eligibility for appointment must be 
determined before appointment and without regard to any conditions that 
will result from the appointment.
    (c) For purposes of making any such determinations, positions 
includes:
    (1) Those that are intended to be removed indefinitely from the 
competitive service because the nature of the position itself precludes 
it from being in the competitive service (e.g., because it is 
impracticable to examine for the knowledge, skills, and abilities 
required for the job); and
    (2) Those that are intended to be removed temporarily from the 
competitive service to allow for targeted recruiting and hiring from 
among a particular class of persons, as defined by the Office of 
Personnel Management, with the opportunity for the persons selected for 
those positions to convert to the competitive service at a later date.

[77 FR 28213, May 11, 2012]



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

    (a) Schedule A, B, C, and D appointing authorities available for use 
by all agencies will 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; 77 
FR 28213, May 11, 2012]



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

    (a) When OPM specifies that appointments under a particular Schedule 
A, B, C, or D authority must be temporary, intermittent, or seasonal, or 
when agencies elect to make temporary, intermittent, or seasonal 
appointments in Schedule A, B, C, or D, those terms have the following 
meaning:
    (1) Temporary appointments, unless otherwise specified in a 
particular Schedule A, B, C, or D 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. 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

[[Page 74]]

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, C, or 
D 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, C, or D 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 non-Federal 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 paragraphs (a), (b), and (c) of Sec.  
213.3402, 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; 77 FR 28213, May 11, 2012]

Subpart B [Reserved]



                      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.

[[Page 75]]

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) 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.

[[Page 76]]

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) [Reserved]
    (u) Appointment of persons with intellectual disabilities, severe 
physical disabilities, or psychiatric disabilities--(1) Purpose. An 
agency may appoint, on a permanent, time-limited, or temporary basis, a 
person with an intellectual disability, a severe physical disability, or 
a psychiatric disability according to the provisions described below.
    (2) Definition. ``Intellectual disabilities'' means only those 
disabilities that would have been encompassed by the term ``mental 
retardation'' in previous iterations of this regulation and the 
associated Executive order, Executive Order 12125, dated March 15, 1979.
    (3) Proof of disability. (i) An agency must require proof of an 
applicant's intellectual disability, severe physical disability, or 
psychiatric disability prior to making an appointment under this 
section.

[[Page 77]]

    (ii) An agency may accept, as proof of disability, appropriate 
documentation (e.g., records, statements, or other appropriate 
information) issued by a licensed medical professional (e.g., a 
physician or other medical professional duly certified by a State, the 
District of Columbia, or a U.S. territory, to practice medicine); a 
licensed vocational rehabilitation specialist (State or private); or any 
Federal agency, State agency, or an agency of the District of Columbia 
or a U.S. territory that issues or provides disability benefits.
    (4) Permanent or time-limited employment options. An agency may make 
permanent or time-limited appointments under this paragraph (u)(4) where 
an applicant supplies proof of disability as described in paragraph 
(u)(3) of this section and the agency determines that the individual is 
likely to succeed in the performance of the duties of the position for 
which he or she is applying. In determining whether the individual is 
likely to succeed in performing the duties of the position, the agency 
may rely upon the applicant's employment, educational, or other relevant 
experience, including but not limited to service under another type of 
appointment in the competitive or excepted services.
    (5) Temporary employment options. An agency may make a temporary 
appointment when:
    (i) The agency determines that it is necessary to observe the 
applicant on the job to determine whether the applicant is able or ready 
to perform the duties of the position. When an agency uses this option 
to determine an individual's job readiness, the hiring agency may 
convert the individual to a permanent appointment in the excepted 
service whenever the agency determines the individual is able to perform 
the duties of the position; or
    (ii) The work is of a temporary nature.
    (6) Noncompetitive conversion to the competitive service. (i) An 
agency may noncompetitively convert to the competitive service an 
employee who has completed 2 years of satisfactory service under this 
authority in accordance with the provisions of Executive Order 12125, as 
amended by Executive Order 13124, and Sec.  315.709 of this chapter, 
except as provided in paragraph (u)(6)(ii) of this section.
    (ii) Time spent on a temporary appointment specified in paragraph 
(u)(5)(ii) of this section does not count towards the 2-year 
requirement.
    (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]

[[Page 78]]

    (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)-(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; E.O. 12364, 47 FR 
22931)

[47 FR 28902, July 2, 1982]

    Editorial Note: For Federal Register citations affecting Sec.  
213.3102, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.govinfo.gov.



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)-(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.
    (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

[[Page 79]]

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) [Reserved]

[47 FR 28904, July 2, 1982]

    Editorial Note: For Federal Register citations affecting Sec.  
213.3202, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.govinfo.gov.

                               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 Sec. Sec.  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]

                               Schedule D

    Source: 77 FR 28213, May 11, 2012, unless otherwise noted.

[[Page 80]]



Sec.  213.3401  Positions other than those of a confidential or policy
determining character for which the competitive service requirements
make impracticable the adequate recruitment of sufficient numbers
of students attending qualifying educational institutions or individuals 
          who have recently completed qualifying educational programs.

    As authorized by OPM, agencies may make appointments under this 
section to positions other than those of a confidential or policy-
determining character for which the competitive service requirements 
make impracticable the adequate recruitment and selection of sufficient 
numbers of students attending qualifying educational institutions or 
individuals who have recently completed qualifying educational programs. 
These positions, which may be filled in the excepted service to enable 
more effective recruitment from all segments of society by using means 
of recruiting and assessing candidates that diverge from the rules 
generally applicable to the competitive service, constitute Schedule D 
Pathways Programs. Appointments under this authority are subject to the 
basic qualification standards established by the Office of Personnel 
Management for the occupation and grade level unless otherwise stated.



Sec.  213.3402  Entire executive civil service; Pathways Programs.

    (a) Internship Program; Positions in the Internship Program. 
Agencies may make initial appointments of Interns under this authority 
at any grade level, depending on the candidates' qualifications. 
Appointments must be made in accordance with the provisions of subpart B 
of part 362 of this chapter.
    (b) Recent Graduates Program; Positions in the Recent Graduates 
Program. (1) Agencies may make initial appointments of Recent Graduates 
at any grade level, not to exceed GS-09 (or equivalent level under 
another pay and classification system, including the Federal Wage System 
(FWS)), depending on the candidates' qualifications, and the position's 
requirements except that:
    (i) Initial appointments to positions for science, technology, 
engineering, or mathematics (STEM) occupations may be made at the GS-11 
level, if the candidate possesses a Ph.D. or equivalent degree directly 
related to the STEM position the agency is seeking to fill.
    (ii) Initial appointments to scientific and professional research 
positions at the GS-11 level for which the classification and 
qualification criteria for research positions apply, if the candidate 
possesses a master's degree or equivalent graduate degree directly 
related to the position the agency is seeking to fill.
    (iii) Initial appointments to scientific and professional research 
positions at the GS-12 level for which the classification and 
qualification criteria for research positions apply, if the candidate 
possesses a Ph.D. or equivalent degree directly related to the position 
the agency is seeking to fill.
    (2) Appointments must be made in accordance with the provisions of 
subpart C of part 362 of this chapter.
    (c) Presidential Management Fellows Program. Positions in the 
Presidential Management Fellows Program. Appointments under this 
authority may not exceed 2 years except as provided in subpart D of part 
362 of this chapter. Agencies may make initial appointments of Fellows 
at the GS-09, GS-11, or GS-12 level (or equivalent under another pay and 
classification system such as the FWS), depending on the candidates' 
qualifications and the positions' requirements. Appointments must be 
made in accordance with the provisions of subpart D of part 362 of this 
chapter.



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.

[[Page 81]]

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]



                      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

[[Page 82]]

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
    (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

[[Page 83]]

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 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.

[[Page 84]]

    (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 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; 69 FR 33275, June 15, 2004]



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 Delegated authorities.
250.103 Consequences of improper agency actions.

              Subpart B_Strategic Human Capital Management

250.201 Coverage and purpose.
250.202 Definitions.
250.203 Strategic Human Capital management systems and standards.
250.204 Agency roles and responsibilities.
250.205 Human Capital Operating Plan (HCOP).
250.206 Human Capital Reviews (HCR).
250.207 HRStat.
250.208 System metrics.
250.209 Consequences of improper agency actions.

                       Subpart C_Employee Surveys

250.301 Definitions.
250.302 Survey requirements.
250.303 Availability of results.

    Authority: 5 U.S.C. 1101 note, 1103(a)(5), 1103(c), 1104, 1302, 
3301, 3302; E.O. 10577, 12 FR 1259, 3 CFR, 1954-1958 Comp., p. 218; E.O. 
13197, 66 FR 7853, 3 CFR 748 (2002).
    Subpart B also issued under 5 U.S.C. 1401, 1401 note, 1402.

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



          Subpart A_Authority for Personnel Actions in Agencies

    Source: 73 FR 23013, Apr. 28, 2008, unless otherwise noted.



Sec.  250.101  Standards and requirements for agency personnel actions.

    When taking a personnel action authorized by this chapter, an agency 
must comply with qualification standards and regulations issued by the 
Office of Personnel Management (OPM), the instructions OPM has published 
in the Guide to Processing Personnel Actions, and the provisions of any 
delegation agreement OPM has made with the agency. When taking a 
personnel action that results from a decision or order of OPM, the Merit 
Systems Protection Board, Equal Employment Opportunity Commission, or 
Federal Labor Relations Authority, as authorized by the rules and 
regulations of those agencies, or as the result of a court order, a 
judicial or administrative settlement agreement, or an arbitral award 
under a negotiated agreement, the agency must follow the instructions in 
the Guide to Processing Personnel Actions and comply with all other 
relevant substantive and documentary requirements, including those 
applicable to retirement, life insurance, health benefits, and other 
benefits provided under this chapter.



Sec.  250.102  Delegated authorities.

    OPM may delegate its authority, including authority for competitive 
examinations, to agencies, under 5 U.S.C. 1104(a)(2), through a 
delegation agreement. The delegation agreement developed with the agency 
must specify the conditions for applying the delegated

[[Page 85]]

authorities. The agreement must also set minimum standards of 
performance and describe the system of oversight by which the agency and 
OPM will monitor the use of each delegated authority.



Sec.  250.103  Consequences of improper agency actions.

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



              Subpart B_Strategic Human Capital Management

    Source: 81 FR 89364, Dec. 12, 2016, unless otherwise noted.

    Authority: 5 U.S.C. 105; 5 U.S.C. 1103(a)(7), (c)(1), and (c)(2); 5 
U.S.C. 1401; 5 U.S.C. 1402(a); 31 U.S.C. 901(b)(1); 31 U.S.C. 
1115(a)(3); 31 U.S.C. 1115(f); 31 U.S.C. 1116(c)(5); Public Law 103-62; 
Public Law 107-296; Public Law 108-136, 1128; Public Law 111-352; 5 CFR 
10.2; FR Doc No: 2011--19844; E.O. 13583; E.O. 13583, Sec 2(b)(ii).



Sec.  250.201  Coverage and purpose.

    Pursuant to 5 U.S.C. 1103(c), this subpart defines a set of systems, 
including standards and metrics, for assessing the management of human 
capital by Federal agencies. These regulations apply to agencies covered 
by 31 U.S.C. 901(b) of the Chief Financial Officers (CFO) Act of 1990 
(Pub. L. 101-576), as well as 5 U.S.C. 1401 and support the performance 
planning and reporting that is required by sections 1115(a)(3) and (f) 
and 1116(d)(5) of title 31, United States Code.

[83 FR 55931, Nov. 9, 2018]



Sec.  250.202  Definitions.

    Chief Human Capital Officer (CHCO) is the agency's senior leader 
whose primary duty is to:
    (1) Advise and assist the head of the agency and other agency 
officials in carrying out the agency's responsibilities for selecting, 
developing, training, and managing a high-quality, productive workforce 
in accordance with merit system principles; and
    (2) Implement the rules and regulations of the President, the Office 
of Personnel Management (OPM), and the laws governing the civil service 
within the agency.
    CHCO agency is an Executive agency, as defined by 5 U.S.C. 105, 
which is required by 5 U.S.C. 1401 and 31 U.S.C. 901(b)(1) to appoint a 
CHCO.
    Director of OPM is, among other things, the President's advisor on 
actions that may be taken to promote an efficient civil service and a 
systematic application of the merit system principles, including 
recommending policies relating to the selection, promotion, transfer, 
performance, pay, conditions of service, tenure, and separation of 
employees. The Director of OPM provides governmentwide leadership and 
direction in the strategic management of the Federal workforce.
    Evaluation system is an agency's overarching system for evaluating 
the results of all human capital planning and implementation of human 
capital strategies to inform the agency's continuous process improvement 
efforts. This system is also used for ensuring compliance with all 
applicable statutes, rules, regulations, and agency policies.
    Federal Workforce Priorities Report (FWPR) is a strategic human 
capital report, published by OPM by the first Monday in February of any 
year in which the term of the President commences. OPM may extend the 
date of publication if needed. The report communicates key 
Governmentwide human capital priorities and suggested strategies. The 
report also informs agency strategic and human capital planning.

[[Page 86]]

    Focus areas are areas that agencies and human capital practitioners 
must focus on to achieve a system's standard.
    HRStat is a strategic human capital performance evaluation process 
that identifies, measures, and analyzes human capital data to inform the 
impact of an agency's human capital management on organizational results 
with the intent to improve human capital outcomes. HRStat, which is a 
quarterly review process, is a component of an agency's strategic 
planning and alignment and evaluation systems that are part of the Human 
Capital Framework.
    Human Capital Evaluation Framework underlies the three human capital 
evaluation mechanisms (i.e., HRStat, Audits, and Human Capital Reviews) 
to create a central evaluation framework that integrates the outcomes 
from each to provide OPM and agencies with an understanding of how human 
capital policies and programs are supporting missions.
    Human Capital Framework (HCF) provides comprehensive guidance on the 
principles of strategic human capital management in the Federal 
Government. The framework, as described in Sec.  250.203 below, provides 
direction on human capital planning, implementation, and evaluation in 
the Federal environment.
    Human Capital Operating Plan (HCOP) is an agency's human capital 
implementation document, which describes how an agency will execute the 
human capital elements stated within Agency Strategic Plan and Annual 
Performance Plan (APP). Program specific workforce investments and 
strategies (e.g., hiring, closing skill gaps, etc.) should be 
incorporated into the APPs as appropriate. The HCOP should clearly 
execute each of the four systems of the HCF. The HCOP should align with 
the Government Performance and Results Act (GPRA) Modernization Act of 
2010, annual performance plans and timelines.
    Human Capital Review (HCR) is OPM's annual, evidence-based review of 
an agency's design and implementation of its HCOP, independent audit, 
and HRStat programs to support mission accomplishment and human capital 
outcomes.
    Independent audit program is a component of an agency's evaluation 
system designed to review all human capital management systems and 
select human resources transactions to ensure efficiency, effectiveness, 
and legal and regulatory compliance.
    Skill gap is a variance between the current and projected workforce 
size and skills needed to ensure an agency has a cadre of talent 
available to meet its mission and make progress towards achieving its 
goals and objectives now and into the future.
    Standard is a consistent practice within human capital management in 
which agencies strive towards in each of the four HCF systems. The 
standards ensure that an agency's human capital management strategies, 
plans, and practices:
    (1) Are integrated with strategic plans, annual performance plans 
and goals, and other relevant budget, finance, and acquisition plans;
    (2) Contain measurable and observable performance targets;
    (3) Are communicated in an open and transparent manner to facilitate 
cross-agency collaboration to achieve mission objectives; and
    (4) Inform the development of human capital management priority 
goals for the Federal Government.



Sec.  250.203  Strategic human capital management systems and standards.

    Strategic human capital management systems, standards, and focus 
areas are defined within the Human Capital Framework (HCF). The four 
systems described below provide definitions and standards for human 
capital planning, implementation, and evaluation. The HCF systems and 
standards are:
    (a) Strategic planning and alignment. A system that ensures agency 
human capital programs are aligned with agency mission, goals, and 
objectives through analysis, planning, investment, and measurement. The 
standards for the strategic planning and alignment system require an 
agency to ensure their human capital management strategies, plans, and 
practices--

[[Page 87]]

    (1) Integrate strategic plans, annual performance plans and goals, 
and other relevant budget, finance, and acquisition plans;
    (2) Contain measurable and observable performance targets; and
    (3) Communicate in an open and transparent manner to facilitate 
cross-agency collaboration to achieve mission objectives.
    (b) Talent management. A system that promotes a high-performing 
workforce, identifies and closes skill gaps, and implements and 
maintains programs to attract, acquire, develop, promote, and retain 
quality and diverse talent. The standards for the talent management 
system require an agency to--
    (1) Plan for and manage current and future workforce needs;
    (2) Design, develop, and implement proven strategies and techniques 
and practices to attract, hire, develop, and retain talent; and
    (3) Make progress toward closing any knowledge, skill, and 
competency gaps throughout the agency.
    (c) Performance culture. A system that engages, develops, and 
inspires a diverse, high-performing workforce by creating, implementing, 
and maintaining effective performance management strategies, practices, 
and activities that support mission objectives. The standards for the 
performance culture system require an agency to have--
    (1) Strategies and processes to foster a culture of engagement and 
collaboration;
    (2) A diverse, results-oriented, high-performing workforce; and
    (3) A performance management system that differentiates levels of 
performance of staff, provides regular feedback, and links individual 
performance to organizational goals.
    (d) Evaluation. A system that contributes to agency performance by 
monitoring and evaluating outcomes of its human capital management 
strategies, policies, programs, and activities by meeting the following 
standards--
    (1) Ensuring compliance with merit system principles; and
    (2) Identifying, implementing, and monitoring process improvements.



Sec.  250.204  Agency roles and responsibilities.

    (a) An agency must use the systems and standards established in this 
part, and any metrics that OPM subsequently provides in guidance, to 
plan, implement, evaluate and improve human capital policies and 
programs. These policies and programs must--
    (1) Align with Executive branch policies and priorities, as well as 
with individual agency missions, goals, and strategic objectives. 
Agencies must align their human capital management strategies to support 
the Federal Workforce Priorities Report, agency strategic plan, agency 
performance plan, and agency budget;
    (2) Be based on comprehensive workforce planning and analysis;
    (3) Monitor and address skill gaps within governmentwide and agency-
specific mission-critical occupations by using comprehensive data 
analytic methods and gap closure strategies;
    (4) Recruit, hire, develop, and retain an effective workforce, 
especially in the agency's mission-critical occupations;
    (5) Ensure leadership continuity by implementing and evaluating 
recruitment, development, and succession plans for leadership positions;
    (6) Implement a knowledge management process to ensure continuity in 
knowledge sharing among employees at all levels within the organization;
    (7) Sustain an agency culture that engages employees by defining, 
valuing, eliciting, and rewarding high performance; and
    (8) Hold the agency head, executives, managers, human capital 
officers, and human capital staff accountable for efficient and 
effective strategic human capital management, in accordance with merit 
system principles.
    (b) Each agency must meet the statutory requirements of the 
Government Performance and Results Act (GPRA) Modernization Act of 2010, 
by including within the Annual Performance Plan (APP) human capital 
practices that are aligned to the agency strategic plan. The human 
capital portion of the APP must include performance goals and 
indicators.
    (c) An agency's Deputy Secretary, equivalent, or designee is 
responsible

[[Page 88]]

for ensuring that the agency's strategic plan includes a description of 
the operational processes, skills and technology, and human capital 
information required to achieve the agency's goals and objectives. 
Specifically, the Deputy Secretary, equivalent, or designee will--
    (1) Allocate resources;
    (2) Ensure the agency incorporates applicable priorities identified 
within the Federal Workforce Strategic Priorities Report and is working 
to close governmentwide and agency-specific skill gaps; and
    (3) Remain informed about the progress of their agency's quarterly 
HRStat reviews, which are led by the CHCO, in collaboration with the 
PIO.
    (d) The Chief Human Capital Officer must design, implement and 
monitor agency human capital policies and programs that--
    (1) Ensure human capital activities support merit system principles;
    (2) Use the OPM designated method to identify governmentwide and 
agency-specific skill gaps;
    (3) Demonstrate how the agency is using the principles within the 
HCF to address strategic human capital priorities and goals;
    (4) Establish and maintain an Evaluation System to evaluate human 
capital outcomes that is--
    (i) Formal and documented; and
    (ii) Approved by OPM;
    (5) Maintain an independent audit program, subject to full OPM 
participation and evaluation, to review periodically all human capital 
management systems and the agency's human resources transactions to 
ensure legal and regulatory compliance. An agency must--
    (i) Take corrective action to eliminate deficiencies identified by 
OPM, or through the independent audit, and to improve its human capital 
management programs and its human resources processes and practices; and
    (ii) Based on OPM or independent audit findings, issue a report to 
its leadership and OPM containing the analysis, results, and corrective 
actions taken; and
    (6) Improve strategic human capital management by adjusting 
strategies and practices, as appropriate, after assessing the results of 
performance goals, indicators, and business analytics.
    (7) The agency's human capital policies and programs must support 
the implementation and monitoring of the Federal Workforce Priorities 
Report, which is published by OPM every four years, and--
    (i) Improve strategic human capital management by using performance 
goals, indicators, and business analytics to assess results of the human 
capital management strategies planned and implemented;
    (ii) Ensure human capital activities support merit system 
principles;
    (iii) Adjust human capital management strategies and practices in 
response to outcomes identified during HRStat quarterly data-driven 
reviews of human capital performance to improve organizational 
processes; and
    (iv) Use the governmentwide and agency-specific human capital 
strategies to inform resource requests (e.g., staff full-time 
equivalents, training, analytical software, etc.) into the agency's 
annual budget process.



Sec.  250.205  Human Capital Operating Plan (HCOP).

    Each agency must develop a Human Capital Operating Plan (HCOP) that 
aligns with an agency's Strategic Plan and Annual Performance Plan. The 
HCOP is to be reviewed and approved annually, and updated as needed. The 
HCOP must demonstrate how an agency's human capital implementation 
strategies follow the principles and standards of the HCF while 
including an explanation of how human capital policies, initiatives, 
objectives, and resources will be used to achieve agencies' human 
capital goals. The HCOP will be made available to OPM upon request. The 
HCOP must--
    (a) Be established by the CHCO, in collaboration with the agency's 
senior management team;
    (b) Be used to support the execution of an agency's strategic plan, 
as an agency's human capital can affect whether or not a strategy or 
strategic goal is achieved;
    (c) Explicitly describe the agency-specific skill and competency 
gaps that

[[Page 89]]

must be closed through the use of agency selected human capital 
strategies;
    (d) Include annual human capital performance goals and measures that 
will support the evaluation of the agency's human capital strategies, 
through HRStat quarterly reviews, and that are aligned to support 
mission accomplishment;
    (e) Reflect the systems and standards defined in Sec.  250.203 
above, consistent with their agency strategic plan and annual 
performance plan, to address strategic human capital priorities and 
goals; and
    (f) Address the governmentwide priorities identified in the Federal 
Workforce Strategic Priorities Report.



Sec.  250.206  Human Capital Reviews.

    Each agency must participate with OPM in a Human Capital Review 
(HCR). The HCR will be conducted during the evaluation phase and OPM 
will issue guidance about the HCR requirements.



Sec.  250.207  HRStat.

    The Chief Human Capital Officer must design, implement and monitor 
agency human capital policies and programs that--
    (a) Use the HRStat quarterly reviews, in coordination with the 
agency Performance Improvement Officer (PIO), to assess the agency's 
progress toward meeting its strategic and performance goals;
    (b) Implement the HRStat Maturity guidelines specified by OPM; and
    (c) Use HRStat quarterly reviews to evaluate their agency's 
progress.



Sec.  250.208  System metrics.

    OPM reserves the right to provide additional guidance regarding 
metrics.



Sec.  250.209  Consequences of improper agency actions.

    If OPM finds that an agency has taken an action contrary to a law, 
rule, regulation, or standard that OPM administers, OPM may require the 
agency to take corrective action. OPM may suspend or revoke a delegation 
agreement established under 5 U.S.C. 1104(a)(2) at any time if it 
determines that the agency is not adhering to the provisions of the 
agreement. OPM may suspend or withdraw any authority granted under this 
chapter to an agency, including any authority granted by delegation 
agreement, when OPM finds that the agency has not complied with 
qualification standards OPM has issued, instructions OPM has published, 
or the regulations in this chapter of the regulation. OPM also may 
suspend or withdraw these authorities when it determines that doing so 
is in the interest of the civil service for any other reason.



                       Subpart C_Employee Surveys

    Source: 81 FR 89367, Dec. 12, 2016, unless otherwise noted.

    Authority: 5 U.S.C. 105; 5 U.S.C. 7101 note; Public Law 108-136



Sec.  250.301  Definitions.

    Agency means an Executive agency, as defined in 5 U.S.C. 105.



Sec.  250.302  Survey requirements.

    (a) Each executive agency must conduct an annual survey of its 
employees to assess topics outlined in the National Defense 
Authorization Act for Fiscal Year 2004, Public Law 108-136, sec. 1128, 
codified at 5 U.S.C. 7101.
    (1) Each executive agency may include additional survey questions 
unique to the agency in addition to the employee survey questions 
prescribed by OPM under paragraph (a)(2) of this section.
    (2) The 16 prescribed survey questions are listed in the following 
table:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
    (i) Leadership and Management practices that contribute to agency
                               performance
------------------------------------------------------------------------
                                        My work unit has the job-
                                         relevant skills necessary to
                                         accomplish organizational
                                         goals.
                                        Managers communicate the goals
                                         of the organization.

[[Page 90]]

 
                                        I believe the results of this
                                         survey will be used to make my
                                         agency a better place to work.
------------------------------------------------------------------------
                    (ii) Employee Satisfaction with--
------------------------------------------------------------------------
(A)...................................  Leadership Policies and
                                         Practices:
                                        How satisfied are you with your
                                         involvement in decisions that
                                         affect your work?
                                        How satisfied are you with the
                                         information you receive from
                                         management on what is going on
                                         in your organization?
                                        Considering everything, how
                                         satisfied are you with your
                                         organization?
(B)...................................  Work Environment:
                                        The people I work with cooperate
                                         to get the job done.
                                        My workload is reasonable.
                                        Considering everything, how
                                         satisfied are you with your
                                         job?
                                        I can disclose a suspected
                                         violation of any law, rule or
                                         regulation without fear of
                                         reprisal.
(C)...................................  Rewards and Recognition:
                                        In my work unit, differences in
                                         performance are recognized in a
                                         meaningful way.
                                        How satisfied are you with the
                                         recognition you receive for
                                         doing a good job?
(D)...................................  Opportunities for professional
                                         development and growth:
                                        I am given a real opportunity to
                                         improve my skills in my
                                         organization.
                                        My talents are used well in the
                                         workplace.
(E)...................................  Opportunity to contribute to
                                         achieving organizational
                                         mission:
                                        I know how my work relates to
                                         the agency's goals.
                                        I recommend my organization as a
                                         good place to work.
------------------------------------------------------------------------



Sec.  250.303  Availability of results.

    (a) Each agency will make the results of its annual survey available 
to the public and post the results on its Web site unless the agency 
head determines that doing so would jeopardize or negatively impact 
national security. The posted survey results will include the following:
    (1) The agency's evaluation of its survey results;
    (2) How the survey was conducted;
    (3) Description of the employee sample, unless all employees are 
surveyed;
    (4) The survey questions and response choices with the prescribed 
questions identified;
    (5) The number of employees surveyed and number of employees who 
completed the survey; and
    (6) The number of respondents for each survey question and each 
response choice.
    (b) Data must be collected by December 31 of each calendar year. 
Each agency must post the beginning and ending dates of its employee 
survey and either the survey results described in paragraph (a) of this 
section, or a statement noting the decision not to post, no later than 
120 days after the agency completes survey administration. OPM may 
extend this date under unusual circumstances.



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.

[[Page 91]]

                       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 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,

[[Page 92]]

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.



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

[[Page 93]]

    (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 The roles and responsibilities of the Office, agencies, and 
          custodians.
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.
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.

[[Page 94]]



      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, 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

[[Page 95]]

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 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

[[Page 96]]

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, 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.

[[Page 97]]



         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; 5 U.S.C. 1103; 5 U.S.C. 
1104; 5 U.S.C. 1302, 5 U.S.C. 2951(2), 5 U.S.C. 3301; 5 U.S.C. 4315; 
E.O. 12107 (December 28, 1978), 3 CFR 1954-1958 Compilation; E.O. 9830 
(February 24, 1947); 3 CFR 1943-1948 Compilation.

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



Sec.  293.301  Applicability of regulations.

    Except for those agencies specifically excluded from Office of 
Personnel Management (OPM) recordkeeping requirements by statute, OPM 
regulation, or formal agreement between OPM and the agency, 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. OPM will 
list agencies to which this subpart does not apply in the Guide to 
Personnel Recordkeeping, and will amend the Guide from time to time to 
update that list.

[76 FR 52537, Aug. 23, 2011]



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, 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  The roles and responsibilities of the Office,
agencies, and custodians.

    (a) The Official Personnel Folder (OPF) of each employee in a 
position subject to civil service rules and regulations and of each 
former employee who held such a position is part of the

[[Page 98]]

records of the Office of Personnel Management (Office).
    (b) The Office has Government-wide responsibility for developing 
regulations, practices and procedures for the establishment, 
maintenance, and transfer of OPFs.
    (c) Agencies shall be responsible for the following:
    (1) The establishment of the OPF for a new appointee or a new 
employee for whom no OPF has previously been established; and
    (2) The maintenance of a previously existing OPF during the period 
any new appointee or employee remains an agency's employee.
    (d)(1) Custodian means the agency in physical possession of an OPF. 
In the case of an electronic OPF (eOPF), the custodian is the agency 
that has primary access to an eOPF contained within a document 
management system approved by the Office.
    (2) A custodian shall be responsible for the maintenance and 
transfer of the OPF or eOPF, and the costs associated with these 
activities.
    (3) An agency is the custodian of an OPF it requests from the 
National Personnel Records Center (NPRC), for any temporary use, from 
the date that the OPF is transmitted by the NPRC to the agency until the 
date that the NPRC receives the OPF back from the agency.
    (4) An agency is no longer the custodian of an OPF once the OPF has 
been transferred to and accepted by the NPRC.
    (5) Once NPRC has approved the transfer, the Office is the custodian 
of the OPF until the destruction date established for the file pursuant 
to the National Archive and Records Administration's General Records 
Schedule, unless another agency requests the OPF from the NPRC in the 
interim.
    (e) Agencies and custodians shall carry out their responsibilities 
with respect to the OPF or eOPF in accordance with this subpart and the 
Office's Guide to Personnel Recordkeeping.

[76 FR 52537, Aug. 23, 2011]



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

[[Page 99]]

    (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.
    (c) Agencies are responsible for all costs associated with the 
establishment and maintenance of OPFs and the transfer of OPFs to the 
National Personnel Records Center.
    (d) Agencies are responsible for all costs associated with agency-
initiated requests for OPFs or services from the National Personnel 
Records Center.

[50 FR 3309, Jan. 24, 1985; 50 FR 8993, Mar. 6, 1985, as amended at 76 
FR 52537, Aug. 23, 2011]



Sec.  293.308  Removal of temporary records from OPFs.

    The employing agency having possession of an OPF shall remove 
temporary 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);

[[Page 100]]

    (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.



           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 otherwise 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

[[Page 101]]

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 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.)

[[Page 102]]

    (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 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

[[Page 103]]

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 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.

[[Page 104]]



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) Material 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-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--

[[Page 105]]

    (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 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

[[Page 106]]

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 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

[[Page 107]]

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 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.

[[Page 108]]

                       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, 3 CFR, 1987 Comp., p. 235.



  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).
    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.

[[Page 109]]

    (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.



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.

[[Page 110]]



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]



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:

     Atlanta Region--Richard B. Russell Federal 
Building, Suite 904, 75 Spring Street, SW., Atlanta, GA 30303-3019.

[[Page 111]]

     Chicago Region--John C. Kluczynski Federal 
Building, 30th Floor, 230 South Dearborn Street, Chicago, IL 60604.
     Dallas Region--1100 Commerce Street, Dallas, TX 
75242.
     Philadelphia Region--William J. Green, Jr., 
Federal Building, 600 Arch Street, Philadelphia, PA 19106-1596.
     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]



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.

[[Page 112]]

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, 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\ x      $.013 per page.
 14).
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:

[[Page 113]]



----------------------------------------------------------------------------------------------------------------
         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.
 scientific institution) or news                                                          \1\
 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.
    (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:

[[Page 114]]

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, 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

[[Page 115]]

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 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

[[Page 116]]

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.
    (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:

[[Page 117]]



------------------------------------------------------------------------
            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...........  536.405.
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; 70 
FR 31286, May 31, 2005]



PART 295_TESTIMONY BY OPM EMPLOYEES RELATING TO OFFICIAL INFORMATION
AND PRODUCTION OF OFFICIAL RECORDS IN LEGAL PROCEEDINGS--Table of Contents



                      Subpart A_General Provisions

Sec.
295.101 Scope and purpose.
295.102 Applicability.
295.103 Definitions.

      Subpart B_Requests for Testimony and Production of Documents

295.201 General prohibition
295.202 Factors OPM will consider.
295.203 Filing requirements for demands or requests for documents or 
          testimony.
295.204 Service of subpoenas or requests.
295.205 Processing demands or requests.
295.206 Final determination.
295.207 Restrictions that apply to testimony.
295.208 Restrictions that apply to released records.
295.209 Procedure when a decision is not made prior to the time a 
          response is required.
295.210 Procedure in the event of an adverse ruling.

                       Subpart C_Schedule of Fees

295.301 Fees.

                           Subpart D_Penalties

295.401 Penalties.

    Authority: 5 U.S.C. App. (Sec. 1103, Civil Service Reform Act of 
1978; 31 U.S.C. 9701).

    Source: 73 FR 58020, Oct. 6, 2008, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  295.101  Scope and purpose.

    (a) This part sets forth policies and procedures you must follow 
when you submit a demand or request to an employee of the U.S. Office of 
Personnel Management (OPM) to produce official records and information, 
or provide testimony relating to official information, in connection 
with a legal proceeding. You must comply with these requirements when 
you request the release or disclosure of official records and 
information.
    (b) OPM intends these provisions to:
    (1) Promote economy and efficiency in its programs and operations;
    (2) Minimize the possibility of involving OPM in controversial 
issues not related to our functions;
    (3) Prevent the misuse of OPM employees as involuntary expert 
witnesses for private interests or as inappropriate expert witnesses as 
to the state of the law;
    (4) Maintain OPM's impartiality among private litigants where 
neither OPM nor any other Federal entity is a named party; and
    (5) Protect sensitive, confidential information and the deliberative 
processes of OPM.
    (c) In providing for these requirements, OPM does not waive the 
sovereign immunity of the United States.
    (d) This part provides guidance for the internal operations of OPM. 
It does not create any right or benefits, substantive or procedural, 
that a party may rely upon in any legal proceeding against the United 
States.



Sec.  295.102  Applicability.

    This part applies to demands and requests to employees of OPM in 
legal proceedings in which OPM is not a named party, for factual or 
expert testimony relating to official information or for production of 
official records or information. However, it does not apply to:
    (a) Demands upon or requests for a current OPM employee to testify 
as to facts or events that are unrelated to his or her official duties 
or that are unrelated to the functions of OPM;
    (b) Demands upon or requests for a former OPM employee to testify as 
to

[[Page 118]]

matters in which the former employee was not directly or materially 
involved while at OPM;
    (c) Requests for the release of records under the Freedom of 
Information Act, 5 U.S.C. 552, or the Privacy Act, 5 U.S.C. 552(a); and
    (d) Congressional or Government Accountability Office (GAO) demands 
and requests for testimony or records.



Sec.  295.103  Definitions.

    Demand means a subpoena, or an order or other command of a court or 
other competent authority, for the production, disclosure, or release of 
records or for the appearance and testimony of an OPM employee that is 
issued in a legal proceeding.
    General Counsel means the General Counsel of OPM or a person to whom 
the General Counsel has delegated authority under this part.
    Legal proceeding means any matter before a court of law, 
administrative board or tribunal, commission, administrative law judge, 
hearing officer, or other body that conducts a legal or administrative 
proceeding. Legal proceeding includes all phases of litigation.
    OPM means the U.S. Office of Personnel Management.
    OPM employee or employee means:
    (1) Any current or former officer or employee of OPM;
    (2) Any other individual hired through contractual agreement by or 
on behalf of the OPM or who has performed or is performing services 
under such an agreement for OPM; and
    (3) Any individual who served or is serving in any consulting or 
advisory capacity to OPM, whether formal or informal.
    (4) Provided, that this definition does not include persons who are 
no longer employed by OPM and who are retained or hired as expert 
witnesses or who agree to testify about general matters available to the 
public, or matters with which they had no specific involvement or 
responsibility during their employment with OPM.
    Records or official records and information mean:
    (1) All documents and materials which are OPM agency records under 
the Freedom of Information Act, 5 U.S.C. 552;
    (2) All other documents and materials contained in OPM files; and
    (3) All other information or materials acquired by an OPM employee 
in the performance of his or her official duties or because of his or 
her official status.
    Request means any informal request, by whatever method, for the 
production of records and information or for testimony which has not 
been ordered by a court or other competent authority.
    Testimony means any written or oral statements, including 
depositions, answers to interrogatories, affidavits, declarations, 
recorded interviews, and statements made by an individual in connection 
with a legal proceeding.



      Subpart B_Requests for Testimony and Production of Documents



Sec.  295.201  General prohibition.

    No employee may produce official records and information or provide 
any testimony relating to official information in response to a demand 
or request without the prior, written approval of the General Counsel.



Sec.  295.202  Factors OPM will consider.

    The General Counsel, in his or her sole discretion, may grant an 
employee permission to testify on matters relating to official 
information, or produce official records and information, in response to 
an appropriate demand or request. Among the relevant factors that the 
General Counsel may consider in making this decision are whether:
    (a) The purposes of this part are met;
    (b) Allowing such testimony or production of records would be 
necessary to prevent a miscarriage of justice;
    (c) OPM has an interest in the decision that may be rendered in the 
legal proceeding;
    (d) Allowing such testimony or production of records would assist or 
hinder OPM in performing its statutory duties or use OPM resources in a 
way that will interfere with the ability of OPM employees to do their 
regular work;

[[Page 119]]

    (e) Allowing such testimony or production of records would be in the 
best interest of OPM or the United States;
    (f) The records or testimony can be obtained from other sources;
    (g) The demand or request is unduly burdensome or otherwise 
inappropriate under the applicable rules of discovery or the rules of 
procedure governing the case or matter in which the demand or request 
arose;
    (h) Disclosure would violate a statute, Executive order or 
regulation;
    (i) Disclosure would reveal confidential, sensitive, or privileged 
information, trade secrets or similar, confidential commercial or 
financial information, otherwise protected information, or would 
otherwise be inappropriate for release;
    (j) Disclosure would impede or interfere with an ongoing law 
enforcement investigation or proceedings, or compromise constitutional 
rights;
    (k) Disclosure would result in OPM appearing to favor one private 
litigant over another private litigant;
    (l) Disclosure relates to documents that were produced by another 
agency;
    (m) A substantial Government interest is implicated;
    (n) The demand or request is within the authority of the party 
making it;
    (o) The demand improperly seeks to compel an OPM employee to serve 
as an expert witness for a private interest;
    (p) The demand improperly seeks to compel an OPM employee to testify 
as to a matter of law;
    (q) The demand or request is sufficiently specific to be answered.



Sec.  295.203  Filing requirements for demands or requests for
documents or testimony.

    You must comply with the following requirements whenever you issue 
demands or requests to an OPM employee for official records and 
information or testimony.
    (a) Your request must be in writing and must be submitted to the 
General Counsel. If you serve a subpoena on OPM or an OPM employee 
before submitting a written request and receiving a final determination, 
OPM will oppose the subpoena on grounds that your request was not 
submitted in accordance with this subpart.
    (b) You written request must contain the following information:
    (1) The caption of the legal proceeding, docket number, and name and 
address of the court or other authority involved.
    (2) A copy of the complaint or equivalent document setting forth the 
assertions in the case and any other pleading or document necessary to 
show relevance;
    (3) A list of categories of records sought, a detailed description 
of how the information sought is relevant to the issues in the legal 
proceeding, and a specific description of the substance of the testimony 
or records sought;
    (4) A statement as to how the need for the information outweighs the 
need to maintain any confidentiality of the information and outweighs 
the burden on OPM to produce the records or provide testimony;
    (5) A statement indicating that the information sought is not 
available from another source, from other persons or entities, or from 
the testimony of someone other than an OPM employee, such as a retained 
expert;
    (6) If testimony is requested, the intended use of the testimony, a 
general summary of the desired testimony, and a showing that no document 
could be provided and used in lieu of testimony;
    (7) A description of all prior decisions, orders, or pending motions 
in the case that bear upon the relevance of the requested records or 
testimony;
    (8) The name, address, and telephone number of counsel to each party 
in the case; and
    (9) An estimate of the amount of time that the requester and other 
parties will require with each OPM employee for time spent by the 
employee to prepare for testimony, in travel, and for attendance in the 
legal proceeding.
    (c) The Office of Personnel Management reserves the right to require 
additional information to complete your request where appropriate.
    (d) Your request should be submitted at least 45 days before the 
date that records or testimony is required. Requests submitted in less 
than 45 days before records or testimony is required

[[Page 120]]

must be accompanied by a written explanation stating the reasons for the 
late request and the reasons for expedited processing.
    (e) Failure to cooperate in good faith to enable the General Counsel 
to make an informed decision may serve as the basis for a determination 
not to comply with your request.



Sec.  295.204  Service of subpoenas or requests.

    Subpoenas or requests for official records or information or 
testimony must be served on the General Counsel, U.S. Office of 
Personnel Management, 1900 E Street, NW., Washington, DC 20415.



Sec.  295.205  Processing demands or requests.

    (a) After service of a demand or request to testify, the General 
Counsel will review the demand or request and, in accordance with the 
provisions of this subpart, determine whether, or under what conditions, 
to authorize the employee to testify on matters relating to official 
information and/or produce official records and information.
    (b) OPM will process requests in the order in which they are 
received. Absent exigent or unusual circumstances, OPM will respond 
within 45 days from the date that we receive it. The time for response 
will depend upon the scope of the request.
    (c) The General Counsel may grant a waiver of any procedure 
described by this subpart where a waiver is considered necessary to 
promote a significant interest of OPM or the United States or for other 
good cause.



Sec.  295.206  Final determination.

    The General Counsel makes the final determination on demands and 
requests to employees for production of official records and information 
or testimony. All final determinations are within the sole discretion of 
the General Counsel. The General Counsel will notify the requester and 
the court or other authority of the final determination, the reasons for 
the grant or denial of the demand or request, and any conditions that 
the General Counsel may impose on the release of records or information, 
or on the testimony of an OPM employee.



Sec.  295.207  Restrictions that apply to testimony.

    (a) The General Counsel may impose conditions or restrictions on the 
testimony of OPM employees including, for example, limiting the areas of 
testimony or requiring the requester and other parties to the legal 
proceeding to agree that the transcript of the testimony will be kept 
under seal or will only be used or made available in the particular 
legal proceeding for which testimony was requested. The General Counsel 
may also require a copy of the transcript of testimony at the 
requester's expense.
    (b) OPM may offer the employee's written declaration in lieu of 
testimony.
    (c) If authorized to testify pursuant to this part, an employee may 
testify as to facts within his or her personal knowledge, but, unless 
specifically authorized to do so by the General Counsel, the employee 
shall not:
    (1) Disclose confidential or privileged information;
    (2) Testify as to facts when the General Counsel determines such 
testimony would not be in the best interest of OPM or the United States; 
or
    (3) For a current OPM employee, testify as an expert or opinion 
witness with regard to any matter arising out of the employee's official 
duties or the functions of OPM unless testimony is being given on behalf 
of the United States.



Sec.  295.208  Restrictions that apply to released records.

    (a) The General Counsel may impose conditions or restrictions on the 
release of official records and information, including the requirement 
that parties to the proceeding obtain a protective order or execute a 
confidentiality agreement to limit access and any further disclosure. 
The terms of the protective order or of a confidentiality agreement must 
be acceptable to the General Counsel. In cases where protective orders 
or confidentiality agreements have already been executed, OPM may 
condition the release of official records and information on

[[Page 121]]

an amendment to the existing protective order or confidentiality 
agreement.
    (b) If the General Counsel so determines, original OPM records may 
be presented for examination in response to a demand or request, but 
they are not to be presented as evidence or otherwise used in a manner 
by which they could lose their identify as official OPM records, and 
they are not to be marked or altered. In lieu of the original records, 
certified copies will be presented for evidentiary purposes (see 28 
U.S.C. 1733).



Sec.  295.209  Procedure when a decision is not made prior 
to the time a response is required.

    If a response to a demand or request is required before the General 
Counsel can make the determination referred to in Sec.295.206, the 
General Counsel, when necessary, will provide the court or other 
competent authority with a copy of this part, inform the court or other 
competent authority that the demand or request is being reviewed, and 
seek a stay of the demand or request pending a final determination.



Sec.  295.210  Procedure in the event of an adverse ruling.

    If the court or other competent authority fails to stay the demand, 
the employee upon whom the demand or request is made, unless otherwise 
advised by the General Counsel, will appear at the stated time and 
place, produce a copy of this part, state that the employee has been 
advised by counsel not to provide the requested testimony or produce 
documents, and respectfully decline to comply with the demand, citing 
United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951). A written 
response may be offered to a request, or to a demand, if permitted by 
the court or other competent authority.



                       Subpart C_Schedule of Fees



Sec.  295.301  Fees.

    (a) Generally. The General Counsel may condition the production of 
records or appearance for testimony upon advance payment of a reasonable 
estimate of the costs to OPM.
    (b) Fees for records. Fees for producing records will include fees 
for searching, reviewing, and duplicating records, costs of attorney 
time spent in reviewing the demand or request, and expenses generated by 
materials and equipment used to search for, produce, and copy the 
responsive information. Costs for employee time will be calculated on 
the basis of the hourly pay of the employee (including all pay, 
allowance, and benefits). Fees for duplication will be the same as those 
charged by OPM in its Freedom of Information Act regulations at 5 CFR 
part 294.
    (c) Witness fees. Fees for attendance by a witness will include 
fees, expenses, and allowances prescribed by the court's rules. If no 
such fees are prescribed, witness fees will be determined based upon the 
rule of the Federal district court closest to the location where the 
witness will appear. Such fees will include cost of time spent by the 
witness to prepare for testimony, in travel, and for attendance in the 
legal proceeding.
    (d) Payment of fees. You must pay witness fees for current OPM 
employees and any records certification fees by submitting to the 
General Counsel a check or money order for the appropriate amount made 
payable to the Treasury of the United States. In the case of testimony 
by former OPM employees, you must pay applicable fees directly to the 
former employee in accordance with 28 U.S.C. 1821 or other applicable 
statutes.
    (e) Certification (authentication) of copies of records. The U.S. 
Office of Personnel Management may certify that records are true copies 
in order to facilitate their use as evidence. If you seek certification, 
you must request certified copies from OPM at least 45 days before the 
date they will be needed. The request should be sent to the General 
Counsel. You will be charged a certification fee of $15.00 for each 
document certified.
    (f) Waiver or reduction of fees. The General Counsel, in his or her 
sole discretion, may, upon a showing of reasonable cause, waive or 
reduce any fees in connection with the testimony, production, or 
certification of records.

[[Page 122]]

    (g) De minimis fees. Fees will not be assessed if the total charge 
would be $10.00 or less.



                           Subpart D_Penalties



Sec.  295.401  Penalties.

    (a) An employee who discloses official records or information or 
gives testimony relating to official information, except as expressly 
authorized by OPM or as ordered by a Federal court after OPM has had the 
opportunity to be heard, may face the penalties provided in 18 U.S.C. 
641 and other applicable laws. Additionally, former OPM employees are 
subject to the restrictions and penalties of 18 U.S.C. 207 and 216.
    (b) A current OPM employee who testifies or produces official 
records and information in violation of this part may be subject to 
disciplinary action.



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.
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.

[[Page 123]]

    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 
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

[[Page 124]]

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 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.

[[Page 125]]



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.



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

[[Page 126]]

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 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.)

[[Page 127]]



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 
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

[[Page 128]]

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.
    (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

[[Page 129]]

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]



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

[[Page 130]]

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 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

[[Page 131]]

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:
    (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

[[Page 132]]

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 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

[[Page 133]]

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 Fellows 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 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

[[Page 134]]

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; 70 
FR 28779, May 19, 2005]



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.

                     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, 2301, 2302, 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, E.O. 13087; and 
E.O. 13152.

[[Page 135]]

    Secs. 300.401 through 300.408 also issued under 5 U.S.C. 1302(c).
    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 on the basis of 
race, color, religion, sex (including pregnancy and gender identity), 
national origin, age (as defined by the Age Discrimination in Employment 
Act of 1967, as amended), disability, genetic information (including 
family medical history), marital status, political affiliation, sexual 
orientation, labor organization affiliation or nonaffiliation, status as 
a parent, or any other non-merit-based factor, or retaliation for 
exercising rights with respect to the categories enumerated above, where 
retaliation rights are available.
    (d) Insure to the candidate opportunity for appeal or administrative 
review, as appropriate.

[40 FR 15379, Apr. 7, 1975, as amended at 79 FR 43922, July 29, 2014]



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 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 and prohibited forms of 
discrimination. An employment practice must not discriminate on the 
basis of race, color, religion, sex (including pregnancy and gender 
identity), national origin, age (as defined by the Age Discrimination

[[Page 136]]

in Employment Act of 1967, as amended), disability, genetic information 
(including family medical history), marital status, political 
affiliation, sexual orientation, labor organization affiliation or 
nonaffiliation, status as a parent, or any other non-merit-based factor, 
or retaliation for exercising rights with respect to the categories 
enumerated above, where retaliation rights are available. Employee 
selection procedures shall meet the standards established by the 
``Uniform Guidelines on Employee Selection Procedures,'' where 
applicable.

[40 FR 15380, Apr. 7, 1975, as amended at 43 FR 38310, Aug. 25, 1978; 79 
FR 43922, July 29, 2014]



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 or she believes that an employment 
practice that was applied to him or her and that is administered by the 
agency discriminates against him or her on the basis of race, color, 
religion, sex (including pregnancy and gender identity), national 
origin, age (as defined by the Age Discrimination in Employment Act of 
1967, as amended), disability, genetic information (including family 
medical history), or retaliation for exercising rights with respect to 
the categories enumerated above, where retaliation rights are available. 
The complaint must be filed and processed in accordance with the agency 
EEO procedures, as appropriate.
    (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; 79 FR 43922, July 29, 2014]



               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 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

[[Page 137]]

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 a Veterans Recruitment Appointment, 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, as amended at 70 FR 72066, Dec. 1, 2005]



 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;
    (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.

[[Page 138]]

    (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 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.

[[Page 139]]



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 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

[[Page 140]]

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 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]

[[Page 141]]



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.
    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:

[[Page 142]]

    (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.



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

[[Page 143]]

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 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),

[[Page 144]]

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 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.

[[Page 145]]

                      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 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

[[Page 146]]

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]



                 Subpart B_Overseas Limited Appointment



Sec.  301.201  Appointments of United States citizens recruited overseas.

    When there is a shortage of eligible applicants, as defined at Sec.  
337.202 of this chapter, resulting from a competitive announcement that 
is open to applicants in the local overseas area, an agency may give an 
overseas limited appointment to a United States citizen recruited 
overseas for a position overseas.

[69 FR 33275, June 23, 2004]



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

[[Page 147]]

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.

[69 FR 33275, June 15, 2004]



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, unless otherwise noted. 
Correctly designated at 49 FR 5601, Feb. 14, 1984.



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, 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.

[[Page 148]]

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.
302.107 Suitability inquiries regarding criminal history.

                     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, 3317, 3318, 3319, 3320, 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.; Sec.  302.107 also issued under 5 
U.S.C. 9201-9206 and Pub. L. 116-92, sec. 1122(b)(1).

    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;
    (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

[[Page 149]]

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) for which OPM agrees with the agency that the positions 
should be included hereunder and states in writing that an agency is not 
required to fill positions according to the procedures in this part.
    (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) Attorney positions; and
    (9) 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.
    (10) Positions for which a critical hiring need exists when filled 
under Sec.  213.3102(i)(2) of this chapter.
    (11) Appointment of persons with intellectual disabilities, severe 
physical disabilities, or psychiatric disabilities to positions filled 
under 5 CFR 213.3102(u).

[55 FR 9407, Mar. 14, 1990, as amended at 58 FR 58260, Nov. 1, 1993; 60 
FR 10006, Feb. 23, 1995; 77 FR 28214, May 11, 2012; 85 FR 63191, Oct. 7, 
2020]



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 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

[[Page 150]]

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 part 330, subpart A of this chapter.

[66 FR 63906, Dec. 11, 2001, as amended at 75 FR 67593, Nov. 3, 2010]



Sec.  302.107  Suitability inquiries regarding criminal history.

    Agency inquiries regarding criminal history must be done in 
accordance with the requirements under chapter 92 of title 5, U.S. Code 
and part 920 of this chapter.

[88 FR 60329, Sept. 1, 2023]



                     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), as ``SSP'' for preference eligibles under 5 
U.S.C. 2108(3)(H) and as ``TP'' for all other preference eligibles under 
that title.

[55 FR 9407, Mar. 14, 1990, as amended at 85 FR 63191, Oct. 7, 2020]



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

[[Page 151]]

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 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

[[Page 152]]

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.



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.

[[Page 153]]

    (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 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;
    (iv) All candidates eligible for sole survivorship preference and
    (v) 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 first, followed, second, by 5-point 
preference eligibles, third, by sole survivorship preference eligibles, 
and last, by nonpreference eligibles.

[55 FR 9407, Mar. 14, 1990, as amended at 85 FR 63191, Oct. 7, 2020]



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,

[[Page 154]]

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.
    (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, fourth by sole 
survivorship 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, fourth by sole 
survivorship preference eligibles, and last by nonpreference eligibles.

[55 FR 9407, Mar. 14, 1990, as amended at 85 FR 63919, Oct. 7, 2020]



 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.

[[Page 155]]

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 
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, it shall follow the procedures in 5 
U.S.C. 3318(c) and 3319(c) as described in the Delegated Examining 
Operations Handbook. An agency may discontinue consideration of the name 
of a preference eligible for a position as described in 5 U.S.C. 
3318(c).

[55 FR 9407, Mar. 14, 1990, as amended at 85 FR 63191, Oct. 7, 2020]



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

[[Page 156]]

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.
    (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:

[[Page 157]]

    (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.
    (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

[[Page 158]]

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 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]

[[Page 159]]



PART 307_VETERANS RECRUITMENT APPOINTMENTS--Table of Contents



Sec.
307.101 Purpose.
307.102 Definitions.
307.103 Nature of VRAs.
307.104 Treatment of individuals serving under VRAs.
307.105 Appeal rights.

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

    Source: 70 FR 72066, Dec. 1, 2005, unless otherwise noted.



Sec.  307.101  Purpose.

    This part implements 38 U.S.C. 4214 and Executive Order 11521, which 
authorizes agencies to appoint qualified covered veterans to positions 
in the competitive service under Veterans Recruitment Appointments 
(VRAs) without regard to the competitive examining system.



Sec.  307.102  Definitions.

    For purposes of this part--
    Agency, as defined in 38 U.S.C. 4211(5), means any agency of the 
Federal Government or the District of Columbia, including any Executive 
agency as defined in section 105 of title 5, and the United States 
Postal Service and Postal Rate Commission.
    Covered veterans, as defined in 38 U.S.C. 4212(a)(3), means any of 
the following:
    (1) Disabled veterans;
    (2) Veterans who served on active duty in the Armed Forces during a 
war or in a campaign or expedition for which a campaign badge has been 
authorized;
    (3) Veterans who, while serving on active duty with the Armed 
Forces, participated in a United States military operation for which an 
Armed Forces Service Medal (AFSM) was awarded pursuant to Executive 
Order 12985 (61 FR 1209); and
    (4) Recently separated veterans.
    Disabled veteran, as defined in 38 U.S.C. 4211 means:
    (1) 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 Secretary of Veterans Affairs; or
    (2) A person who was discharged or released from active duty because 
of a service-connected disability.
    Qualified, as defined in 38 U.S.C. 4212(a)(3) with respect to 
employment in a position, means having the ability to perform the 
essential functions of the position with or without reasonable 
accommodation for an individual with a disability.
    Recently separated veteran, as defined in 38 U.S.C. 4211(6), means 
any veteran during the three-year period beginning on the date of such 
veteran's discharge or release from active duty.
    Substantially continuous service is defined in 5 CFR 315.201(b)(3).
    War means any armed conflict declared by Congress as such.



Sec.  307.103  Nature of VRAs.

    VRAs are excepted appointments, made without competition, to 
positions otherwise in the competitive service. The veterans' preference 
procedures of part 302 of this chapter apply when there are preference 
eligible candidates being considered for a VRA. Qualified covered 
veterans who were separated under honorable conditions may be appointed 
to any position in the competitive service at grade levels up to and 
including GS-11 or equivalent, provided they meet the qualification 
standards for the position. To be eligible for a VRA as a covered 
veteran under paragraph (2) or (3) of the definition of that term in 
Sec.  307.102, the veteran must be in receipt of the appropriate 
campaign badge, expeditionary medal, or AFSM. For purposes of a VRA, any 
military service is qualifying at the GS-3 level or equivalent. Upon 
satisfactory completion of 2 years of substantially continuous service, 
the incumbent's VRA must be converted to a career or career conditional 
appointment. An individual may receive more than one VRA appointment as 
long as the individual meets the definition of a covered veteran at the 
time of appointment.



Sec.  307.104  Treatment of individuals serving under VRAs.

    (a) Because VRAs are made to positions otherwise in the competitive

[[Page 160]]

service, the incumbents, like competitive service employees, may be 
reassigned, promoted, demoted, or transferred in accordance with the 
provisions of part 335 of this chapter.
    (b) A veteran with less than 15 years of education must receive 
training or education prescribed by the agency.
    (c) Appointments are subject to investigation by OPM. A law, 
Executive order, or regulation that disqualifies a person for 
appointment in the competitive service also disqualifies a person for a 
VRA.
    (d) The Veterans Recruitment Appointment date for a recently 
separated veteran must occur before the end of the 3-year eligibility 
period and may not be extended.



Sec.  307.105  Appeal rights.

    Individuals serving under VRAs have the same appeal rights as 
excepted service employees under parts 432 and 752 of this chapter. In 
addition, as established in Sec.  315.806 of this chapter, any 
individual serving under a VRA, whose employment under the appointment 
is terminated within 1 year after the date of such appointment, has the 
same right to appeal that termination as a career or career-conditional 
employee has during the first year of employment.



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



Sec.
310.101 Legal restrictions on public officials in the employment of 
          relatives.
310.102 Exceptions to the legal restrictions on the employment of 
          relatives.

    Authority: 5 U.S.C. 3110.

    Source: 70 FR 20457, Apr. 20, 2005, unless otherwise noted.

[[Page 161]]



Sec.  310.101  Legal restrictions on public officials in the
employment of relatives.

    Section 3110 of title 5, United States Code, sets forth the legal 
restrictions on the employment of relatives.



Sec.  310.102  Exceptions to the legal restrictions on the employment of relatives.

    Subsection (d) of 5 U.S.C. 3110 authorizes the Office of Personnel 
Management to prescribe regulations authorizing the temporary employment 
of relatives, in certain conditions, notwithstanding the restrictions. 
This regulation sets forth exceptions to the restrictions. 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 on the 
employment of relatives in 5 U.S.C. 3110. Such appointments are 
temporary and may not exceed 30 days, but the agency may extend such an 
appointment for one additional 30-day period if the emergency need still 
exists at the time of the extension.



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.
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.
315.612 Noncompetitive appointment of certain military spouses.
315.613 Appointment of current and former land management eligibles 
          serving under time-limited appointments.
315.614 Hiring Authority for College Graduates.

  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 recruitment 
          appointments.
315.706 Certain nonpermanent employees of the Department of Energy.

[[Page 162]]

315.707 Disabled veterans.
315.708 [Reserved]
315.709 Appointment for Persons With Disabilities.
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 [Reserved]
315.713 Conversion based on service in a Pathways Program under part 362 
          of this chapter.
315.714 Conversion based on service in a post-secondary student 
          appointment under part 316, subpart I, of this chapter.
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, 2301, 2302, 3301, and 3302; E.O. 10577, 19 
FR 7521, 3 CFR, 1954-1958 Comp., p. 218; and E.O. 13162, 65 FR 43211, 3 
CFR, 2000 Comp., p. 283, unless otherwise noted. 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. 12034, 43 FR 1917, 3 
CFR, 1978 Comp., p. 111. Sec. 315.606 also issued under E.O. 11219, 30 
FR 6381, 3 CFR, 1964-1965 Comp., p. 303. Sec. 315.607 also issued under 
22 U.S.C. 2560. Sec. 315.608 also issued under E.O. 12721, 55 FR 31349, 
3 CFR, 1990 Comp., p. 293. Sec. 315.610 also issued under 5 U.S.C. 
3304(c). Sec. 315.611 also issued under 5 U.S.C. 3304(f). Sec. 315.612 
also issued under E.O. 13473, 73 FR 56703, 3 CFR, 2008 Comp., p. 241; 
Sec. 566, Pub. L. 112-239, 126 Stat. 1632 (5 U.S.C. 3330d); Sec. 1131, 
Pub. L. 114-328, 130 Stat. 2000 (5 U.S.C. 3330d(c)); Sec. 573, Pub. L. 
115-232, 132 Stat. 1636 (5 U.S.C. 3330d); and E.O. 13832, 83 FR 22343, 3 
CFR, 2018 Comp., p. 808. Sec. 315.708 also issued under E.O. 13318, 68 
FR 66317, 3 CFR, 20043 Comp., p. 265. Sec. 315.710 also issued under 
E.O. 12596, 52 FR 17537, 3 CFR, 1987 Comp., p. 229; E.O. 13832, 83 FR 
22343, 3 CFR, 2018 Comp., p. 808; and Sec. 573, Pub. L. 115-232, 132 
Stat. 1636 (5 U.S.C. 3330d), Sec. 1111, Pub. L. 117-263, 136 Stat. 2395 
(5 U.S.C. 3330d).

    Source: 33 FR 12418, Sept. 4, 1968, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 315 appear at 70 FR 
72067, Dec. 1, 2005.

    Effective Date Note: At 88 FR 84689, Dec. 6, 2023, the authority 
citation for part 315 was revised, effective Jan. 5, 2024. For the 
convenience of the user, the revised text is set forth as follows:
    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. 12034, 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. 2560. 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(c). Sec. 315.611 also issued 
under 5 U.S.C. 3304(f). Sec. 315.612 also under E.O. 13473. Sec 315.613 
also issued under Pub. L. 114-47, sec. 2(a) (Aug. 7, 2015), amended by 
Pub. L. 114-328, sec. 1135 (Dec. 23, 2016), as codified at 5 U.S.C. 
9602. Sec. 315.708 also issued under E.O. 13318, 3 CFR, 2004 Comp. p. 
265. Sec. 315.710 also issued under E.O. 12596, 3 CFR, 1978 Comp. p. 
264.

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 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 at

[[Page 163]]

least 3 years of 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 include service as described in 
paragraph (b)(1) of this section and total at least 3 years.
    (1) Nontemporary employment. To be creditable, the 3 years 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. The 3 years may also begin, but not end, with status quo 
employment under subpart G of part 316 of this chapter, an overseas 
limited appointment of indefinite duration, or an overseas limited term 
appointment under part 301 of this chapter. The 3 years also may have 
begun with permanent employment under now obsolete appointing 
authorities such as probational, war service indefinite, emergency 
indefinite, nontemporary appointment from a civil service register to a 
position in the excepted service before January 23, 1955, temporary 
appointment pending establishment of a register (also known as TAPER 
authority), nontemporary appointment to a position in the District of 
Columbia Government before January 23, 1955, and appointment based on 
Public Law 83-121. Determinations of whether an obsolete authority 
provides the basis for creditable service may be obtained from OPM;
    (ii) 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-conditional appointment;
    (iii) Nontemporary appointment to a nonappropriated fund (NAF) 
position in or under the Department of Defense or in or under the U.S. 
Coast Guard, Department of Homeland Security, 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;
    (iv) Nontemporary excepted or nonappropriated fund appointment, 
Foreign Service appointment, or appointment in the Canal Zone Merit 
System, provided the employee is appointed 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;
    (v) 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;
    (vi) The date of nontemporary excepted appointment under Sec.  
213.3202(b) of this chapter (the former Student Career Experience 
Program) as in effect immediately before July 10, 2012, the effective 
date of the regulations removing that paragraph, provided the student's 
appointment was converted to a career or career-conditional appointment 
under Executive Order 12015 or under Executive Order 13562, with or 
without an intervening term appointment, and without a break in service 
of one day;
    (vii) The date of veterans recruitment appointment (VRA), provided 
the appointment is converted to a 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;
    (viii) The date of nontemporary appointment to the Postal Career 
Service or the Postal Regulatory Commission after July 1, 1971, provided 
the individual is appointed to a career or career-conditional 
appointment under 39 U.S.C. 1006;
    (ix) The date of nontemporary appointment under Schedule A, Sec.  
213.3102(u) of this chapter, of a person with an intellectual 
disability, severe physical disability, or a psychiatric disability, 
provided the employee's appointment is converted to a career or career-
conditional appointment under Sec.  315.709;
    (x) The date of appointment in the Presidential Management Fellows 
Program under the provisions of Executive Order 13318, provided the 
employee's appointment was converted without a

[[Page 164]]

break in service to a career or career-conditional appointment under 
Sec.  315.708 as in effect immediately before July 10, 2012, the 
effective date of the regulations that removed and reserved that 
section, or under Executive Order 13562;
    (xi) The starting date of active service as an administrative 
enrollee in the United States Merchant Marine Academy;
    (xii) Appointment as a career intern under Schedule B, Sec.  
213.3202(o) of this chapter, provided the employee's appointment was 
converted to a career or career-conditional appointment under Sec.  
315.712 as in effect immediately before July 10, 2012, the effective 
date of the regulations that removed and reserved that section;
    (xiii) The date of appointment as a Pathways Participant in the 
Internship Program under Schedule D, Sec.  213.3402(a) of this chapter, 
provided the employee's appointment is converted to a career or career-
conditional appointment under Sec.  315.713(a), with or without an 
intervening term appointment, and without a break in service of one day;
    (xiv) The date of appointment as a Pathways Participant in the 
Recent Graduates Program under Schedule D, Sec.  213.3402(b) of this 
chapter, provided the employee's appointment is converted to a career or 
career-conditional appointment under Sec.  315.713(b), with or without 
an intervening term appointment, and without a break in service of one 
day;
    (xv) The date of appointment as a Pathways Participant in the 
Presidential Management Fellows Program under Schedule D, Sec.  
213.3402(c) of this chapter, provided the employee's appointment is 
converted to a career or career-conditional appointment under Sec.  
315.713(c), with or without an intervening term appointment, and without 
a break in service of one day;
    (xvi) 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 employed by nontemporary 
appointment in the competitive service; and
    (xvii) The date of a time-limited post-secondary student appointment 
under subpart F of this part provided the appointment is converted to 
career or career-conditional appointment under 5 CFR part 316, subpart 
I.
    (2) Competitive status. An individual may attain career tenure only 
when employed (or reemployed) in a permanent appointment in the 
competitive service that provides or leads to competitive status.
    (3) Crediting service. An employee's creditable service must total 
at least 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. 
Agencies should consult the ``260-Day Work Year Chart'' in OPM's Guide 
to Processing Personnel Actions to convert intermittent days worked to 
calendar time. The service requirement may not be satisfied in less than 
3 years of calendar time.
    (ii) Nonpay status on the rolls and time off the rolls. An agency 
may not credit periods of nonpay status and time off the rolls except as 
follows:
    (A) Credit 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 is not 
creditable.
    (B) Credit 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) Credit periods of nonpay status and time off the rolls incident 
to transfer to and return from an international

[[Page 165]]

organization, provided the person is reemployed in Federal service under 
subpart C of part 352 of this chapter.
    (D) Credit periods of nonpay status during which an employee was 
eligible to receive continuation of pay or injury compensation from the 
Office of Workers' Compensation Programs. Also credit periods of time 
off the rolls during which an employee was eligible to receive injury 
compensation from the Office of Workers' Compensation Programs, provided 
the person is reemployed under part 353 of this chapter.
    (E) Credit 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.
    (F) Credit 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.
    (G) Credit periods of nonpay status incident to an assignment to a 
State, local, or Indian tribal government, institution of higher 
education, or other eligible organization provided the employee returns 
to a creditable appointment pursuant to an agreement established under 
subchapter VI of chapter 33, title 5, U.S.C., and part 334 of this 
chapter.
    (iii) Restoration based on unwarranted or improper actions. 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 
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. Under these conditions, credit each period 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 is also 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.
    (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;
    (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

[[Page 166]]

    (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; 70 FR 
28779, May 19, 2005; 70 FR 44221, Aug. 2, 2005; 71 FR 42245, July 26, 
2006; 77 FR 28214, May 11, 2012; 81 FR 78498, Nov. 8, 2016; 86 FR 46106, 
Aug. 18, 2021]



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;
    (9) Service with the District of Columbia Government prior to 
January 1, 1980. In addition, for an employee on

[[Page 167]]

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 nonemployment 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.



    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

[[Page 168]]

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.
    (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]

[[Page 169]]



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.
    (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.

[[Page 170]]

    (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 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]

[[Page 171]]



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, 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

[[Page 172]]

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, a spouse, or a 
domestic partner. 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 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:

[[Page 173]]

    (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.
    (6) Domestic partner. A person in a domestic partnership with a 
sponsor of the same sex.
    (7) Domestic partnership. A committed relationship between two 
adults, of the same sex, in which the partners:
    (i) Are each other's sole domestic partner and intend to remain so 
indefinitely;
    (ii) Maintain a common residence, and intend to continue to do so 
(or would maintain a common residence but for an assignment abroad or 
other employment-related, financial, or similar obstacle);
    (iii) Are at least 18 years of age and mentally competent to consent 
to contract;
    (iv) Share responsibility for a significant measure of each other's 
financial obligations;
    (v) Are not married or joined in a civil union to anyone else;
    (vi) Are not the domestic partner of anyone else;
    (vii) Are not related in a way that, if they were of opposite sex, 
would prohibit legal marriage in the U.S. jurisdiction in which the 
domestic partnership was formed;
    (viii) Are willing to certify, if required by the agency, that they 
understand that willful falsification of any documentation required to 
establish that an individual is in a domestic partnership may lead to 
disciplinary action and the recovery of the cost of benefits received 
related to such falsification, as well as constitute a criminal 
violation under 18 U.S.C. 1001, and that the method for securing such 
certification, if required, shall be determined by the agency; and
    (ix) Are willing promptly to disclose, if required by the agency, 
any dissolution or material change in the status of the domestic 
partnership.

[61 FR 9322, Mar. 8, 1996, as amended at 77 FR 42903, July 20, 2012]



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.

[[Page 174]]

    (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]



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, Mar. 17, 2000]



Sec.  315.612  Noncompetitive appointment of certain military spouses.

    (a) Agency authority. In accordance with the provisions of this 
section, an agency head may appoint noncompetitively a spouse of a 
member of the armed forces serving on active duty, a spouse of a 100 
percent disabled service member injured while on active duty, or the un-
remarried widow or widower of a service member who was killed while 
performing active duty.
    (b) Definitions--(1) Active duty means full-time duty in the armed 
forces, including full-time National Guard duty, except that for Reserve 
Component members the term ``active duty'' does not include training 
duties or attendance at service schools.
    (2) Armed forces has the meaning given that term in 10 U.S.C. 101.
    (3) Duty station means the permanent location to which a member of 
the armed forces is assigned for duty as specified on the individual's 
permanent change of station (PCS) orders.
    (4) Member of the armed forces or service member means an individual 
who:
    (i) Is serving on active duty in the armed forces or serving under 
orders specifying the individual is called or ordered to active duty for 
more than 180 consecutive days;
    (ii) Retired or was released or discharged from active duty in the 
armed forces and has a disability rating of 100 percent as documented by 
the Department of Veterans Affairs; or
    (iii) Was killed while serving on active duty in the armed forces.

[[Page 175]]

    (5) Spouse means the husband or wife of a member of the armed 
forces.
    (c) Eligibility. (1)(i) A spouse of a member of the armed forces as 
defined in paragraph (b)(4)(i) of this section must be currently married 
to the member of the armed forces on active duty.
    (ii) For appointments made on or after January 1, 2029, the 
following additional criteria must be met for eligibility for 
appointment (for appointments made prior to or on December 31, 2028, the 
criteria in this paragraph (c)(1)(ii) does not apply):
    (A) The member of the armed forces must have received orders 
authorizing a permanent change of station.
    (B) The spouse must have married the member of the armed forces on, 
or prior to, the date of such orders authorizing the permanent change of 
station.
    (C) The spouse must have relocated or is relocating with the member 
of the armed forces to the new duty station specified in the 
documentation ordering the permanent change of station.
    (2) A spouse of a member of the armed forces as defined in paragraph 
(b)(4)(ii) of this section must be currently married to the member of 
the armed forces.
    (3) A spouse of a member of the armed forces as defined in paragraph 
(b)(4)(iii) of this section must be the un-remarried widow or widower of 
the member of the armed forces killed on active duty in the armed 
forces.
    (4) Except as indicated in paragraph (c)(5) of this section, 
noncompetitive appointment of eligible spouses under this section are 
not restricted to a geographical location.
    (5) Beginning January 1, 2029, the noncompetitive appointment of a 
relocating spouse of a member of the armed forces as defined in 
paragraph (b)(4)(i) of this section is limited to the geographic area of 
the permanent duty station of the member of the armed forces, unless 
there is no agency with a position within the geographic area of the 
permanent duty station of the member of the armed forces.
    (d) Conditions. (1) In accordance with the provisions of this 
section, a spouse is eligible for noncompetitive appointment:
    (i) From the date of documentation verifying the spouse's marriage 
to a member of the armed forces as defined in paragraph (b)(4)(i) of 
this section, where the spouse seeks appointment based upon marriage to 
an active duty member of the armed forces;
    (ii) From the date of documentation verifying that the member of the 
armed forces is 100 percent disabled, where the spouse seeks appointment 
based upon marriage to a member defined in paragraph (b)(4)(ii) of this 
section; or
    (iii) From the date of documentation verifying that the member of 
the armed forces was killed while on active duty where the spouse seeks 
appointment as the widow or widower of a member defined in paragraph 
(b)(4)(iii) of this section.
    (2) The spouse of a member of the armed forces as defined in 
paragraph (b)(4)(i) of this section may receive unlimited noncompetitive 
appointments under this section to permanent positions through December 
31, 2028. Beginning January 1, 2029, the spouse of such a member may 
receive a noncompetitive appointment under this section if the member 
receives permanent change of station orders and is limited to one such 
appointment per permanent change of station.
    (3) A spouse of a member of the armed forces as defined in paragraph 
(b)(4)(ii) or (iii) of this section may receive only one noncompetitive 
appointment under this section to a permanent position.
    (4) Any law, Executive order, or regulation that disqualifies an 
applicant for appointment also disqualifies a spouse for appointment 
under this section.
    (e) Proof of eligibility. (1)(i) Prior to appointment, the spouse of 
a member of the armed forces as defined in paragraph (b)(4)(i) of this 
section must submit to the employing agency copies of:
    (A) Documentation verifying active duty status; and
    (B) Documentation verifying marriage to the member of the armed 
forces (i.e., a marriage certificate or other legal documentation 
verifying marriage).
    (ii) For appointments made on or after January 1, 2029, the spouse 
must also submit to the employing agency a

[[Page 176]]

copy of the service member's orders reflecting a permanent change of 
station, dated January 1, 2029, or later. (For appointments made on or 
before December 31, 2028, the requirement of this paragraph (e)(1)(ii) 
does not apply.)
    (2) Prior to appointment, the spouse of a member of the armed forces 
as defined in paragraph (b)(4)(ii) of this section must submit to the 
employing agency copies of:
    (i) Documentation showing the member of the armed forces retired, or 
was released or discharged from active duty, with a disability rating of 
100 percent; and
    (ii) Documentation verifying marriage to the member of the armed 
forces (i.e., a marriage license or other legal documentation verifying 
marriage).
    (3) Prior to appointment, the spouse of a member of the armed forces 
as defined in paragraph (b)(4)(iii) of this section must submit to the 
employing agency copies of:
    (i) Documentation showing the member was released or discharged from 
active duty due to his or her death while on active duty;
    (ii) Documentation verifying the member of the armed forces was 
killed while serving on active duty;
    (iii) Documentation verifying the widow or widower's marriage to the 
member of the armed forces (i.e., a marriage license or other legal 
documentation verifying marriage); and
    (iv) A statement certifying that the individual seeking to use the 
authority is the un-remarried widow or widower of the service member.
    (f) Acquisition of competitive status. A person appointed under 
paragraph (a) of this section acquires competitive status automatically 
upon completion of probation.
    (g) Tenure on appointment. An appointment under paragraph (a) of 
this section is career-conditional unless the appointee has already 
satisfied the requirements for career tenure or is exempt from the 
service requirement pursuant to Sec.  315.201.
    (h) Agency reporting requirements. (1) As required by Executive 
Order 13832, each agency shall report annually (by December 31st of each 
year) to OPM and the Department of Labor on:
    (i) The number of positions made available under the military spouse 
hiring authority;
    (ii) The number of applications submitted under the military spouse 
hiring authority;
    (iii) The number of military spouses appointed under the military 
spouse hiring authority during the preceding fiscal year; and
    (iv) Actions taken to advertise the military spouse hiring 
authority, and any other actions taken to promote the hiring of military 
spouses.
    (2) Agencies must send their reports electronically to OPM's 
Employee Services, VETS Office at [email protected].
    (3) Agencies are also required to send their reports separately and 
directly to Department of Labor (DOL) at [email protected].

[74 FR 40476, Aug. 12, 2009, as amended at 76 FR 54072, Aug. 31, 2011; 
86 FR 52396, Sept. 21, 2021; 88 FR 66678, Sept. 28, 2023]



Sec.  315.613  Appointment of current and former land management 
eligibles serving under time-limited appointments.

    (a) Appointment of land management eligibles. (1) Any agency--
    (i) May appoint a land management eligible who is a current time-
limited employee of a land management agency to a permanent position 
provided the land management eligible was selected from among the best 
qualified following competition under a merit promotion announcement 
open to candidates outside of the hiring agency's workforce; and
    (ii) May appoint a land management eligible who is a former time-
limited employee of a land management agency to a permanent position 
provided:
    (A) The land management eligible applied for that position within 
the 2-year period following the most recent date of separation from a 
land management agency; and
    (B) Was selected from among the best qualified following competition 
under a merit promotion announcement open to candidates outside of the 
hiring agency's workforce.
    (2) In addition, a land management agency--

[[Page 177]]

    (i) May appoint a land management eligible who is a current time-
limited employee of that agency to a permanent position provided the 
land management eligible was selected from among the best qualified 
following competition under a merit promotion announcement open to 
candidates within that agency's workforce; and
    (ii) May appoint a land management eligible who is a former time-
limited employee of that land management agency to a permanent position 
provided:
    (A) The land management eligible applied for that position within 
the 2-year period following the most recent date of separation from a 
land management agency;
    (B) The land management agency from which the land management 
eligible most recently separated is the same land management agency as 
the one making the appointment; and
    (C) The land management eligible was selected from among the best 
qualified following competition under a merit promotion announcement 
open to candidates within that agency's workforce.
    (b) Definitions--(1) Agency has the meaning given in 5 U.S.C. 105, 
and may also mean a major subdivision or component of an entity defined 
in 5 U.S.C. 105.
    (2) Land management agency means any of the following:
    (i) The Forest Service of the U.S. Department of Agriculture;
    (ii) The Bureau of Land Management of the U.S. Department of the 
Interior;
    (iii) The National Park Service of the U.S. Department of the 
Interior;
    (iv) The Fish and Wildlife Service of the U.S. Department of the 
Interior;
    (v) The Bureau of Indian Affairs of the U.S. Department of the 
Interior; and
    (vi) The Bureau of Reclamation of the U.S. Department of the 
Interior.
    (3) Land management eligible means either:
    (i) An individual currently serving in a land management agency who:
    (A) Initially was hired under competitive procedures, for a time-
limited appointment in the competitive service in accordance with part 
316, and has not received a permanent appointment;
    (B) Has served under one or more time-limited appointments by a land 
management agency for a period or periods totaling more than 24 months 
without a break in service of 2 or more years; and
    (C) Has performed at an acceptable level during each period of 
service; or
    (ii) An individual who previously served in a land management agency 
who:
    (A) Initially was hired under a time-limited appointment under 
competitive procedures in the competitive service in accordance with 
part 316, and did not receive a permanent appointment before leaving 
Federal service;
    (B) Served under one or more time-limited appointments by a land 
management agency for a total period of more than 24 months without a 
break in service of 2 or more years;
    (C) Performed at an acceptable level throughout the service 
period(s);
    (D) Applied for a position covered by these provisions within 2 
years after the individual's most recent date of separation from a land 
management agency; and
    (E) With respect to the individual's most recent separation, for 
reasons other than misconduct or performance. For these purposes, an 
individual under this paragraph is deemed a time-limited employee of the 
land management agency from which the individual was most recently 
separated.
    (4) Time-limited appointment means a temporary or term appointment, 
in accordance with 5 CFR part 316.
    (c) Conditions. An agency is expected to consider the application of 
a land management eligible; and must waive any age requirement unless it 
can prove that the requirement is essential to the performance of the 
duties of the position.
    (d) Acquisition of competitive status. A person appointed under 
paragraph (a) of this section acquires competitive status automatically 
upon appointment.
    (e) Tenure on appointment. An appointment under paragraph (a) of 
this section is career-conditional unless the

[[Page 178]]

appointee has already satisfied the requirements for career tenure or is 
exempted from the service requirement pursuant to Sec.  315.201.

[88 FR 84689, Dec. 6, 2023]

    Effective Date Note: At 88 FR 84689, Dec. 6, 2023, Sec.  315.613 was 
added, effective Jan. 5, 2024.



Sec.  315.614  Hiring Authority for College Graduates.

    (a) Appointment authority. In accordance with the provisions of this 
section, an agency may appoint noncompetitively an eligible and 
qualified individual to a position classified in a professional or 
administrative occupational category at the general schedule (GS) 11 
level (or equivalent) or below, without regard to the provisions of 5 
U.S.C. 3309 through 3319 and 3330.
    (b) Eligibility. An eligible college graduate is defined as an 
individual who:
    (1) Has received a baccalaureate or graduate degree from an 
institution of higher education as defined in 20 U.S.C. 1001(a); and
    (i) Has submitted an application for the position being filled under 
this authority (using the date on which the application is received by 
the hiring agency as the date of submission).
    (ii) Not later than two years after the date on which the individual 
received their degree described in paragraph (b)(1) introductory text of 
this section; or
    (iii) in the case of an individual who has completed a period of not 
less than four years of intervening obligated service in a uniformed 
service, not later than two years after the date on which the individual 
was released or discharged from that uniformed service.
    (2) Meets the minimum qualification standards prescribed or approved 
by OPM for the position to which the individual is being appointed.
    (c) Qualifications. Agencies must evaluate eligible college 
graduates using the OPM-prescribed qualification standard, or an OPM-
approved agency-specific minimum qualification standard, for the 
position being filled.
    (d) Classification. An agency may make an initial appointment of an 
eligible and qualified individual to any position classified according 
to OPM classification standards in a professional or administrative 
occupational series at the GS-11 level (or equivalent) or below, 
including positions with promotion potential beyond the GS-11.
    (e) Public notice and advertising. An agency must adhere to merit 
system principles, and thus must publicly advertise the position in a 
manner that endeavors to reach qualified individuals from all segments 
of society, including notifying OPM, in accordance with 5 U.S.C. 
3327(b), before filling a position under this authority. To meet this 
requirement, an agency must display information about the position to be 
filled on its home page (that is accessible to the general public). An 
agency may, but is not required to, use www.USAJOBS.gov for this 
purpose. Alternatively, an agency may either provide an actual job 
announcement on its public-facing web page (home page) or provide a link 
to the job announcement on its public-facing homepage. The agency should 
consider whether additional recruitment and advertisement activities are 
necessary or appropriate to further merit system principles. If USAJOBS 
is not used to advertise the position, the agency must satisfy the 
requirements of 5 U.S.C. 3327(b) by providing OPM information about the 
position in the same format it usually would when posting a position on 
USAJOBS. A job announcement must include, at a minimum, the following 
information:
    (1) The position title, series, grade level;
    (2) The geographic location where the position will be filled;
    (3) The starting salary of the position;
    (4) The minimum qualifications of the position;
    (5) Whether the position has promotion protentional to higher grade 
levels;
    (6) Any other relevant information about the position such as 
telework opportunities, recruitment incentives, etc.;
    (7) Specific information instructing applicants on how to apply;

[[Page 179]]

    (8) Equal employment opportunity statement (Agencies may use the 
recommended equal employment opportunity statement located on OPM's 
USAJOBS website.); and
    (9) Reasonable accommodation statement.
    (f) Appointment type. College graduates are appointed to career or 
career-conditional permanent positions in the competitive service.
    (g) Acquisition of competitive status. A person appointed under this 
section acquires competitive status upon completion of probationary 
period in accordance with the provisions of subpart H of this part.
    (h) Tenure upon appointment. A person appointed under paragraph (a) 
of this section becomes a career-conditional employee unless the 
appointee has already satisfied the requirements for career tenure or is 
exempt from the service requirement pursuant to Sec.  315.201.
    (i) Numerical limit on the number of appointments. (1) Except as 
provided in paragraph (i)(2) of this section, the total number of 
individuals that an agency may appoint under this authority during a 
fiscal year may not exceed 15 percent of the number of individuals that 
the agency appointed during the previous FY to a position in the 
competitive service classified in a professional or administrative 
occupational category, at the GS-11 level or below, or equivalent, under 
competitive examining procedures. An appointing agency may not count 
appointments made using direct hire authorities, non-competitive 
authorities, excepted service authorities, or selections under merit 
promotion authorities, when establishing the limit for a given fiscal 
year. In calculating this limitation, agencies must round up or down to 
the nearest whole number, if necessary, to eliminate a decimal place. 
Values ending in ``.5'' or more may be rounded up to the nearest whole 
number in determining an agency's cap limitation. Values ending in less 
than ``.5'' should be rounded down to the nearest whole number in 
determining an agency's cap limitation.
    (2) During any given fiscal year, OPM may establish a lower 
limitation on the number of individuals that may be appointed under 
paragraph (i)(1) of this section based on any factor OPM considers 
appropriate. OPM shall notify agencies via the OPM website to 
communicate any modification to the numerical limitation.
    (j) Reporting requirements. (1) Not later than September 30 of each 
of the first three fiscal years beginning in FY 2020 an agency that 
makes an appointment under these provisions must report to Congress and 
to OPM on the impact of this authority for the fiscal year for which the 
report is submitted. OPM will provide written guidance, at the time this 
rule is published, describing the means by which agencies should collect 
this information, the timing of such collections, and the groups as to 
which information should be collected. An agency's report must contain 
the following information:
    (i) The total number of individuals appointed by the agency under 
this authority by position title, series, grade, and geographic 
location;
    (ii) The number of individuals appointed under this authority by the 
items identified in 5 U.S.C. 3115(g), and in OPM guidance;
    (iii) The number of veterans appointed, as defined in 5 U.S.C. 2108;
    (iv) Any numerical limitation established in paragraph (i) of this 
section;
    (v) Recruitment sources, outreach, and recruitment activities used 
to fill positions;
    (vi) The total number of individuals appointed by the agency during 
the applicable fiscal year to a position in the competitive service 
classified in a professional or administrative occupational category at 
the GS-11 level, or an equivalent level, or below;
    (vii) The number of individuals appointed under the authority that 
have been separated to show a break down between involuntary and 
voluntary separations as well as the reasons for each type of 
separation;
    (viii) Information on difficulties encountered when using the 
authority;
    (2) OPM may request additional information from agencies on their 
use of this authority. An agency must include in its report to Congress 
and OPM any additional information required by OPM under this 
subsection.

[[Page 180]]

    (k) Special provisions for Department of Defense. These regulations 
do not preclude the Secretary of Defense from exercising authority to 
appoint a recent graduate under section 1106 of Public Law 114-328. 
Additionally, these regulations do not apply to the Department of 
Defense during the period section 1106 of Public Law 114-328 is in 
effect.

[86 FR 61046, Nov. 5, 2021]



  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 Sec. Sec.  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 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

[[Page 181]]

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 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

[[Page 182]]

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 recruitment 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 recruitment 
appointment or under a combination of transitional and veterans 
recruitment 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).
    (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

[[Page 183]]

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 Department of Veterans Affairs since 
1991 or later, or by a branch of the Armed Forces at any time, as having 
a compensable service-connected disability of 30 percent or more; or
    (iii) Have been so rated by the Department of Veterans Affairs, or 
by a branch of the Armed Forces, at the time of a qualifying temporary 
appointment effected within the year immediately preceding, or a term 
appointment effected within four years 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, 
as amended at 66 FR 66710, Dec. 27, 2001; 73 FR 60611, Oct. 14, 2008]



Sec.  315.708  [Reserved]



Sec.  315.709  Appointment for Persons With Disabilities.

    (a) Coverage. An employee appointed under Sec.  213.3102(u) of this 
chapter may have his or her appointment converted to a career or career-
conditional appointment when he or she:
    (1) Completes 2 or more years of satisfactory service, without a 
break of more than 30 days, under a nontemporary appointment under Sec.  
213.3102(u);
    (2) Is recommended for such conversion by his or her supervisor;
    (3) Meets all requirements and conditions governing career and 
career-conditional appointment except those requirements concerning 
competitive selection from a register and medical qualifications; and
    (4) Is 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; or
    (2) A career employee if he or she has completed 3 years of 
substantially continuous service in a temporary appointment under Sec.  
213.3102(u) 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.

[71 FR 42245, July 26, 2006]



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

[[Page 184]]

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 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  [Reserved]



Sec.  315.713  Conversion based on service in a Pathways Program 
under part 362 of this chapter.

    (a) Agency authority. An agency may convert to a career or career-
conditional employment in the competitive service, without further 
competition, the following Pathways Participants:
    (1) An Intern who has satisfactorily completed the Internship 
Program and meets all eligibility requirements for conversion under 
subpart B of part 362 of this chapter;
    (2) A Recent Graduate who has satisfactorily completed the Recent 
Graduates Program and meets all eligibility requirements for conversion 
under subpart C of part 362 of this chapter; and
    (3) A Presidential Management Fellow who has satisfactorily 
completed the Fellows Program and meets all eligibility requirements for 
conversion under subpart D of part 362 of this chapter.
    (b) Tenure on conversion. An employee whose appointment is converted 
to career or career-conditional employment under 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. A Pathways Participant 
converted to career or career-conditional employment in the competitive 
service under this

[[Page 185]]

section acquires competitive status upon completion of probation.

[77 FR 28215, May 11, 2012]



Sec.  315.714  Conversion based on service in a post-secondary
student appointment under part 316, subpart I, of this chapter.

    (a) Agency authority. An agency may convert to a career or career-
conditional appointment from a time-limited appointment pursuant to 5 
CFR part 316, subpart I, without further competition.
    (b) Eligibility. To be eligible for conversion the post-secondary 
student must:
    (1) Have completed the course of study leading to the baccalaureate 
or graduate degree (or certificate as appropriate);
    (2) Have completed not less than 640 hours of current continuous 
employment in an appointment under Sec.  316.902 of this chapter;
    (3) Meet the OPM qualification standards for the position to which 
the student will be converted; and
    (4) Meet the time-in-grade requirements in accordance with 5 CFR 
part 300, subpart F.
    (c) Tenure on conversion. An employee whose employment to career or 
career-conditional employment under this section becomes:
    (1) A career-conditional employee except as provided in paragraph 
(c)(2) of this section; or
    (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).
    (d) Acquisition of competitive status. A post-secondary student 
converted from time limited employment under this section acquires 
competitive status upon completion of probation.

[86 FR 46106, Aug. 18, 2021]



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 Appointment 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 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

[[Page 186]]

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).

    (a) The agency shall utilize the probationary period as fully as 
possible to determine the fitness of the employee and shall terminate 
his or her services during this period if the employee fails to 
demonstrate fully his or her qualifications for continued employment.
    (b) Termination of an individual serving a probationary period must 
be taken in accordance with subpart D of part 752 of this chapter if the 
individual has completed one year of current continuous service under 
other than a temporary appointment limited to 1 year or less and is not 
otherwise excluded by the provisions of that subpart.

[73 FR 7187, Feb. 7, 2008, as amended at 85 FR 65982, Oct. 16, 2020; 87 
FR 67782, Nov. 10, 2022]



Sec.  315.804  Termination of probationers for unsatisfactory 
performance or conduct.

    (a) Subject to Sec.  315.803(b), 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

[[Page 187]]

employee actually has to demonstrate fitness for further employment.

[33 FR 12418, Sept. 4, 1988, as amended at 60 FR 53505, Oct. 16, 1995; 
73 FR 7188, Feb. 7, 2008]



Sec.  315.805  Termination of probationers for conditions 
arising before appointment.

    Subject to Sec.  315.803(b), 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).

[33 FR 12418, Sept. 4, 1968, as amended at 73 FR 7188, Feb. 7, 2008]



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 appeal to the Board under this section a 
termination that the employee alleges was based on discrimination 
because of race, color, religion, sex (including pregnancy and gender 
identity), national origin, age (as defined by the Age Discrimination in 
Employment Act of 1967, as amended), or disability. 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; 79 FR 43922, July 
29, 2014]



     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]

[[Page 188]]



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 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

[[Page 189]]

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 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]

         Subpart I_Hiring Authority for Post-Secondary Students

316.901 Appointment authority.
316.902 Eligibility.
316.903 Qualifications.
316.904 Classification.
316.905 Public notification.
316.906 Acquisition of competitive status.
316.907 Tenure upon appointment.
316.908 Breaks in program.
316.909 Promotion.
316.910 Conversion.

[[Page 190]]

316.911 Reduction in force.
316.912 Termination.
316.913 Numerical limit on the number of appointments.
316.914 Reporting requirement.
316.915 Special provisions for Department of Defense.

    Authority: 5 U.S.C. 3301, 3302; E.O. 10577, 3 CFR, 1954-1958 Comp., 
p. 218; 5 CFR 2.2(c).

    Source: 33 FR 12423, Sept. 4, 1968, unless otherwise noted.

Subparts A-B [Reserved]



                        Subpart C_Term Employment

    Editorial Note: Nomenclature changes to subpart C of part 316 appear 
at 70 FR 72067, Dec. 1, 2005.



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 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.
    (c)(1) An agency may make a term appointment for a period of more 
than 1 year but not more than 10 years to a covered position defined in 
(2) when the need for an employee's services is not permanent. An agency 
may extend an appointment made for more than 1 year but fewer than 10 
years up to the 10-year limit in increments determined by the agency. 
The vacancy announcement must state that the agency has the option of 
extending a term appointment under this section up to the 10-year limit. 
No appointment made under this section may last longer than 10 years 
from the date of the initial appointment.
    (2) An agency may make a term appointment for more than 1 year but 
not more than 10 years to the following positions (as described in OPM's 
Handbook of Occupational Groups and Series):
    (i) Social Science Series, 0101;
    (ii) Economist Series, 0110;
    (iii) Psychology Series, 0180;
    (iv) Natural Resources Management and Biological Sciences Group 
(i.e., 0400 group);
    (v) Medical, Hospital, Dental, and Public Health Group (i.e., 0600 
group);
    (vi) Engineering and Architecture Group (i.e., 0800 group);
    (vii) Physical Science Group (i.e.,1300 group);
    (viii) Mathematical Sciences Group (i.e., 1500 group); and
    (ix) Information Technology Group (i.e., 2200 group).

[63 FR 63783, Nov. 17, 1998, as amended at 87 FR 73632, Dec. 1, 2022]



Sec.  316.302  Selection of term employees.

    (a) Competitive term appointment. An agency may make a term 
appointment under part 332 of this chapter, by using competitive 
procedures, or under part 337 of this chapter, 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 recruitment 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

[[Page 191]]

lead to conversion to career-conditional appointment;
    (3) Career-conditional appointment under Sec.  315.601, 315.604, 
315.605, 315.606, 315.607, 315.608, 315.609, 315.612, or 315.711 of this 
chapter;
    (4) Appointment under 5 U.S.C. 3112 (veterans with compensable 
service-connected disability of 30 percent or more). The disability must 
be documented by a notice of retirement or 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 1991 or later;
    (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 per Sec.  316.301(a), the maximum time allowed for an 
appointment authorized under this paragraph (b), or the 10-year maximum 
amount of time allowed under Sec.  316.301(c). Reappointment must be to 
a position in the same agency for filling under the original term 
appointment and for which the individual qualifies. Combined service 
under the original term appointment and reappointment must not exceed 
the 4-year limit pursuant to Sec.  316.301(a), the maximum time allowed 
for an appointment authorized under Sec.  316.301(b), or the 10-year 
limit under Sec.  316.301(c), as appropriate; 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; 
69 FR 33275, June 15, 2004; 73 FR 60611, Oct. 14, 2008; 74 FR 40477, 
Aug. 12, 2009; 87 FR 73632, Dec. 1, 2022]



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 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

    Editorial Note: Nomenclature changes to subpart D of part 316 appear 
at 70 FR 72067, Dec. 1, 2005.



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)

[[Page 192]]

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, 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, an agency may make a temporary appointment 
under part 332 of this chapter, by using competitive procedures, or 
under part 337 of this chapter, 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;

[[Page 193]]

    (2) Veterans recruitment 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 Sec.  315.601, 315.604, 
315.605, 315.606, 315.607, 315.608, 315.609, 315.612, 315.703, or 
315.711 of this chapter;
    (4) Appointment under 5 U.S.C. 3112 (veterans with compensable 
service-connected disability of 30 percent of more). The disability must 
be documented by a notice of retirement or 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 1991 or later;
    (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; 
69 FR 33275, June 15, 2004; 73 FR 60611, Oct. 14, 2008; 74 FR 40477, 
Aug. 12, 2009]



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 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

[[Page 194]]

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 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

[[Page 195]]

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 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.

Subpart H [Reserved]



         Subppart I_Hiring Authority for Post-Secondary Students

    Source: 86 FR 46107, Aug. 18, 2021, unless otherwise noted.



Sec.  316.901  Appointment authority.

    In accordance with the provisions of this section, an agency may 
make a time-limited appointment of an eligible and qualified post-
secondary student, to any position in the competitive service, at the 
General Schedule (GS) 11 level or below (or equivalent), without regard 
to the provisions of 5 U.S.C. 3309 through 3319 and 3330. An agency may 
appoint an individual for an initial period not to exceed 1 year, or for 
an initial period expected to last more than 1 year but less than 4 
years, in accordance with Sec. Sec.  316.401(c)(1) and 316.301(a) and 
(b), respectively, to coincide with the individual's academic

[[Page 196]]

curriculum. In either case an agency may extend or seek extension from 
OPM, as appropriate in accordance with this part, of an initial 
appointment for a period that will allow the post-secondary student to 
complete his or her academic requirements leading to the awarding of a 
degree or certificate, as appropriate.



Sec.  316.902  Eligibility.

    A post-secondary student means an individual who:
    (a) Is enrolled or accepted for enrollment in an institution of 
higher education as defined by the Higher Education Act of 1965, in a 
section codified at 20 U.S.C.1001(a); and
    (b) Is pursuing a baccalaureate or graduate degree on at least a 
part-time basis, as determined by the institution of higher education; 
and
    (c) Meets the minimum qualification standards prescribed or approved 
by OPM for the position to which the individual is being appointed.



Sec.  316.903  Qualifications.

    Agencies must evaluate eligible post-secondary students using the 
government-wide OPM prescribed minimum qualification standard or an OPM-
approved agency-specific qualification standard for the position being 
filled.



Sec.  316.904  Classification.

    Post-secondary student positions under the General Schedule or 
appropriate pay plan must be classified to the -99 series of the 
appropriate occupational group. Federal Wage System positions filled 
under the authority in this subpart must be classified to the -01 series 
of the appropriate occupational group. Agencies may refer to OPM's, 
``Introduction to the Position Classification Standards'' at https://
www.opm.gov/policy-data-oversight/classification-qualifications/
classifying-general-schedule-positions/positionclassificationintro.pdf 
for a definition of these positions. In addition, agencies can refer to 
the ``Handbook of Occupational Groups and Families'' available at 
https://www.opm.gov/policy-data-oversight/classification-qualifications/
classifying-general-schedule-positions/occupationalhandbook.pdf.



Sec.  316.905  Public notification.

    An agency must adhere to merit system principles and thus must 
provide public notification in a manner that recruits qualified 
individuals from appropriate sources in an endeavor to draw from all 
segments of society, before filling a position under the authority in 
this subpart. An agency may, but is not required to, use USAJOBS for 
this purpose. If the agency does not use USAJOBS to meet the 
requirements in this section, it must, at a minimum, publicly display 
information about the position to be filled on its public facing home 
page. An agency may, alternatively, provide an actual job announcement 
on its public facing home page or provide a link to the job announcement 
on its public facing home page. The agency should consider whether 
additional recruitment and advertisement activities are necessary or 
appropriate to further merit system principles. A job announcement must 
include, at a minimum, the following information:
    (a) The position title, series, grade level;
    (b) The geographic location where the position will be filled;
    (c) The starting salary of the position;
    (d) The minimum qualifications of the position;
    (e) Whether the individual in the position will be eligible for 
promotion to higher grade levels;
    (f) The time-limit applicable to the position, and in the case of a 
term appointment the vacancy announcement must state that the agency has 
the option of extending the term appointment up to the 4-year limit (if 
applicable);
    (g) The potential for conversion to the agency's permanent 
workforce;
    (h) Any other relevant information about the position such as 
telework opportunities, recruitment incentives, etc.; and
    (i) Specific information instructing applicants on how to apply for 
the position.



Sec.  316.906  Acquisition of competitive status.

    Time spent on a time-limited appointment under this part may count

[[Page 197]]

toward fulfillment of a probation period in accordance with Sec.  
315.802(b) of this chapter. A student appointed under Sec.  316.901 
acquires competitive status only upon completion of probationary period 
after any conversion, in accordance with the provisions of 5 CFR part 
315, subpart H.



Sec.  316.907  Tenure upon appointment.

    An individual appointed under Sec.  316.901 becomes a career-
conditional employee upon completion of academic requirements and 
noncompetitive conversion to a permanent appointment in accordance with 
Sec.  316.910, unless the individual has already satisfied the 
requirements for career tenure or is exempt from the service requirement 
pursuant to Sec.  315.201 of this chapter.



Sec.  316.908  Breaks in program.

    A break in program is defined as a period of time when a student is 
working for the agency but is unable to go to school, or is neither 
attending classes nor working for the agency. An agency may use its 
discretion in either approving or denying a request for a break in 
program.



Sec.  316.909  Promotion.

    An agency may promote a student appointed for an initial period 
expected to last more than 1 year but less than 4 years provided the 
student meets the qualification requirements for the higher graded 
position, time in grade requirements in 5 CFR part 300, subpart F, and 
the public notification for the position filled by the student stated 
the potential for promotion and specified a career ladder.



Sec.  316.910  Conversion.

    An agency may convert a student serving in an appointment under the 
authority in this subpart, prior to the expiration date of the 
appointment, to a permanent position in the competitive service within 
the agency without further competition if the student:
    (a) Has completed the course of study leading to the baccalaureate 
or graduate degree (or certificate as appropriate);
    (b) Has completed not less than 640 hours of current continuous 
employment in an appointment under Sec.  316.902;
    (c) Meets the OPM qualification standards for the position to which 
the student will be converted; and
    (d) Meets the time-in-grade requirements in accordance with 5 CFR 
part 300, subpart F.



Sec.  316.911  Reduction in force.

    (a) Reduction in force. Post-secondary students are covered by part 
351 of this chapter for purposes of reduction in force (RIF).
    (1) Students whose initial appointment was for a period of 1 year or 
less are not assigned a tenure group and do not compete with other 
employees in a RIF.
    (2) Students whose initial appointment was for a period expected to 
last more than 1 year are placed in Tenure Group III for purposes of 
part 351 of this chapter.
    (b) [Reserved]



Sec.  316.912  Termination.

    (a) Any appointment made under the authority in this subpart expires 
on the not-to-exceed date of that appointment unless the agency extends 
the appointment prior to expiration.
    (b) An agency must terminate any student without regard to any 
provision of 5 U.S.C. chapter 35 or 75, who:
    (1) Does not maintain eligibility in accordance with Sec. Sec.  
316.902 and 316.910; or
    (2) Is not converted in accordance with Sec.  316.910.



Sec.  316.913  Numerical limit on the number of appointments.

    (a) Except as provided in paragraph (b) of this section, the total 
number of students that an agency may appoint under this section during 
a fiscal year may not exceed the number equal to 15 percent of the 
number of students the agency head appointed during the previous fiscal 
year to a position at the GS-11 level or below (or equivalent). An 
appointing agency may not count appointments made using direct hire 
authorities, non-competitive authorities, excepted service authorities 
other than Pathways Internship Program appointments under Sec.  
213.3402(a) of this chapter and 5 CFR part 362, subpart B, or selections 
under merit promotion authorities, when establishing the limit for a 
given fiscal year.

[[Page 198]]

    (b) OPM may establish a lower limitation on the number of students 
that may be appointed by an agency under paragraph (a) of this section 
during a fiscal year based on any factor OPM considers appropriate. OPM 
shall notify agencies via the OPM website and other venues (such as the 
Chief Human Capital Officer's Council) of any changes to the numerical 
limitation, applicable governmentwide. Changes to the numerical limit 
for an individual agency will be communicated directly to the agency.



Sec.  316.914  Reporting requirement.

    (a) Not later than September 30 of each of the first three (3) 
fiscal years beginning after August 13, 2018, when 5 U.S.C. 3116 was 
enacted, an agency that makes an appointment under this subpart must 
submit a report to Congress and OPM on the impact of its use of the 
authority in this subpart during the fiscal year in which the report is 
submitted. OPM will provide written guidance describing the means by 
which agencies should collect this information, the timing of such 
collections, and the groups as to which information should be collected. 
The report must contain the following information:
    (1) The total number of individuals appointed by the agency under 
the authority in this subpart by position title, series, grade, and 
geographic location of the position, and type of appointment;
    (2) The number of individuals appointed under the authority in this 
subpart by the items identified in 5 U.S.C. 3116(h), and in OPM 
guidance;
    (3) The number of veterans appointed, as defined in 5 U.S.C. 2108;
    (4) Any numerical limitation established by the agency in accordance 
with Sec.  316.913;
    (5) The recruitment sources and methods used by the agency to fill 
positions;
    (6) The total number of individuals appointed by the agency during 
the applicable fiscal year to a position in the competitive service 
classified in a professional or administrative occupational category at 
the GS-11 level or below (or equivalent);
    (7) The number of individuals appointed under the authority that 
have been separated;
    (8) Information on difficulties encountered when using the 
authority; and
    (9) The number of employees converted to permanent positions under 
the authority in this subpart.
    (b) OPM may request additional information from agencies on their 
use of the authority in this subpart. An agency must include in its 
report to Congress and OPM any additional information required by OPM 
under this section.



Sec.  316.915  Special provisions for Department of Defense.

    This subpart does not preclude the Secretary of Defense from 
exercising authority to appoint a post-secondary student under Public 
Law 114-328, Section 1106. Additionally, this subpart does not apply to 
the Department of Defense during the period that Public Law 114-328, 
Section 1106, is effective.



PART 317_EMPLOYMENT IN THE SENIOR EXECUTIVE SERVICE--Table of Contents



Subpart A [Reserved]

                      Subpart B_General Provisions

Sec.
317.201 Regulatory requirements.
317.202 Suitability inquiries regarding criminal history.

          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.

[[Page 199]]

                      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 [Reserved]

              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, 3395, 3397, 3592, 3593, 3595, 3596, 
8414, and 8421. Sec.  317.202 also issued under 5 U.S.C. 9201-9206 and 
Pub. L. 116-92, sec. 1122(b)(1).

    Source: 44 FR 18927, Mar. 30, 1979, unless otherwise noted.

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]



Sec.  317.202  Suitability inquiries regarding criminal history.

    Agency inquiries regarding criminal history must be done in 
accordance with the requirements under chapter 92 of title 5, U.S. Code 
and part 920 of this chapter.

[88 FR 60329, Sept. 1, 2023]



          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 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

[[Page 200]]

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 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;

[[Page 201]]

    (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. Upon conversion to the Senior Executive Service, an 
employee's SES rate will be determined under 5 CFR part 534, subpart D.
    (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. An employee's SES rate will be determined under 5 CFR part 
534, subpart D.
    (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

[[Page 202]]

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. An employee's SES rate will be determined under 5 CFR part 
534, subpart D.
    (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; 69 
FR 2050, Jan. 13, 2004]



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 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.

[[Page 203]]



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
    (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

[[Page 204]]

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 
candidates 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
    (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

[[Page 205]]

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 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

[[Page 206]]

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 must 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.
    (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

[[Page 207]]

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  [Reserved]



              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 Sec. Sec.  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 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]

[[Page 208]]



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 Sec. Sec.  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 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

[[Page 209]]

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 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.

[[Page 210]]

    (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 related to basic pay (including the 
aggregate limitation on pay established by 5 U.S.C. 5307), performance 
awards, awarding of ranks, severance pay, leave, and retirement. That 
election will remain in effect for no less than 1 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.
    (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; 69 FR 2050, Jan. 13, 
2004; 72 FR 12035, Mar. 15, 2007]



             Subpart I_Reassignments, Transfers, and Details

    Source: 54 FR 9760, Mar. 8, 1989, unless otherwise noted.

[[Page 211]]



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]



Sec.  317.902  Transfers.

    (a) Definition. In this section, transfer means a permanent 
assignment or appointment to another SES position in a

[[Page 212]]

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]



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.
319.106 Suitability inquiries regarding criminal history.

            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. Sec.  
319.106 also issued under 5 U.S.C. 9201-9206 and Pub. L. 116-92, sec. 
1122(b)(1).

    Source: 60 FR 6387, Feb. 2, 1995, unless otherwise noted.

[[Page 213]]



                            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.



Sec.  319.106  Suitability inquiries regarding criminal history.

    Agency inquiries regarding criminal history must be done in 
accordance with the requirements under chapter 92 of title 5, U.S. Code 
and part 920 of this chapter.

[88 FR 60329, Sept. 1, 2023]



            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

[[Page 214]]

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 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.

[[Page 215]]

    (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.
    (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_Filling Vacancies in the Competitive Service

Sec.
330.101 Definitions.
330.102 Methods of filling vacancies.
330.103 Requirement to notify OPM.
330.104 Requirements for vacancy announcements.
330.105 Instructions on how to add a vacancy announcement to USAJOBS.
330.106 Funding.

               Subpart B_Reemployment Priority List (RPL)

330.201 Purpose.
330.202 Definitions.
330.203 RPL eligibility.
330.204 Agency requirements and responsibilities.
330.205 Agency RPL applications.
330.206 RPL registration timeframe and positions.
330.207 Registration area.
330.208 Duration of RPL registration.
330.209 Removal from an RPL.
330.210 Applying RPL placement priority.
330.211 Exceptions to RPL placement priority.
330.212 Agency flexibilities.
330.213 Selection from an RPL.
330.214 Appeal rights.

Subpart C [Reserved]

         Subpart D_Positions Restricted to Preference Eligibles

330.401 Restricted positions.
330.402 Exceptions to restriction.
330.403 Positions brought into the competitive service.
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 Purpose.
330.502 General restriction on movement after competitive appointment.
330.503 Ensuring agency compliance with the principles of open 
          competition.
330.504 Exception to the general restriction.

  Subpart F_Agency Career Transition Assistance Plan (CTAP) for Local 
                     Surplus and Displaced Employees

330.601 Purpose.
330.602 Definitions.
330.603 Requirements for agency CTAPs.
330.604 Requirements for agency CTAP selection priority.
330.605 Agency responsibilities for deciding who is well-qualified.
330.606 Minimum criteria for agency definition of ``well-qualified''.
330.607 Applying CTAP selection priority.
330.608 Other agency CTAP responsibilities.
330.609 Exceptions to CTAP selection priority.
330.610 CTAP eligibility period.
330.611 Establishing CTAP selection priority.
330.612 Proof of eligibility.
330.613 OPM's role in CTAP.

  Subpart G_Interagency Career Transition Assistance Plan (ICTAP) for 
                           Displaced Employees

330.701 Purpose.
330.702 Definitions.
330.703 Agency responsibilities for deciding who is well-qualified.
330.704 Minimum criteria for agency definition of ``well-qualified''.
330.705 Applying ICTAP selection priority.

[[Page 216]]

330.706 Other agency ICTAP responsibilities.
330.707 Exceptions to ICTAP selection priority.
330.708 ICTAP eligibility period.
330.709 Establishing ICTAP selection priority.
330.710 Proof of eligibility.
330.711 OPM's role in ICTAP.

Subparts H-I [Reserved]

                     Subpart J_Prohibited Practices

330.1001 Withdrawal from competition.

Subparts K-L [Reserved]

              Subpart M_Timing of Background Investigations

330.1300 Timing of suitability inquiries in competitive hiring.
330.1301 Suitability inquiries regarding criminal history.

    Authority: 5 U.S.C. 1104, 1302, 3301, 3302, 3304, and 3330; E.O. 
10577, 3 CFR, 1954-58 Comp., p. 218; Section 330.103 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; Subparts F and G also issued 
under Presidential Memorandum on Career Transition Assistance for 
Federal Employees, September 12, 1995; Subpart G also issued under 5 
U.S.C. 8337(h) and 8456(b). Sec.  330.1301 also issued under 5 U.S.C. 
9201-9206 and Pub. L. 116-92, sec. 1122(b)(1).

    Source: 75 FR 67593, Nov. 3, 2010, unless otherwise noted.



         Subpart A_Filling Vacancies in the Competitive Service



Sec.  330.101  Definitions.

    (a) In this part:
    Agency means:
    (1) An Executive department listed at 5 U.S.C. 101;
    (2) A military department listed at 5 U.S.C. 102;
    (3) A Government owned corporation in the executive branch;
    (4) An independent establishment in the executive branch as 
described at 5 U.S.C. 104; and
    (5) The Government Printing Office.
    Component means the first major subdivision of an agency, separately 
organized, and clearly distinguished in work function and operation from 
other agency subdivisions (e.g., the Internal Revenue Service under the 
Department of the Treasury or the National Park Service under the 
Department of the Interior).
    Local commuting area has the meaning given that term in Sec.  
351.203 of this chapter.
    Permanent competitive service workforce and permanent competitive 
service employees mean agency employees serving under career or career-
conditional appointments, in tenure group I or II, respectively.
    Position change has the meaning given that term in Sec.  210.102 of 
this chapter.
    Rating of record has the meaning given that term in Sec.  351.203 of 
this chapter.
    Representative rate has the meaning given that term in Sec.  351.203 
of this chapter.
    Tenure groups are described in Sec.  351.501 of this chapter.
    (b) In this subpart:
    Vacancy means a vacant position in the competitive service, 
regardless of whether the position will be filled by permanent or time-
limited appointment, for which an agency is seeking applications from 
outside its current permanent competitive service workforce.



Sec.  330.102  Methods of filling vacancies.

    An agency may fill a vacancy in the competitive service by any 
method authorized in this chapter, including competitive appointment 
from a list of eligibles, noncompetitive appointment under special 
authority, reinstatement, transfer, reassignment, change to lower grade, 
or promotion. The agency must exercise its discretion in each personnel 
action solely on the basis of merit and fitness, without regard to 
political or religious affiliation, marital status, or race, and 
veterans' preference entitlements.



Sec.  330.103  Requirement to notify OPM.

    An agency must provide the vacancy announcement information to OPM 
promptly when:
    (a) Filling a vacancy for more than 120 days from outside the 
agency's current permanent competitive service workforce, as required by 
the Interagency Career Transition Assistance Plan, subpart G of this 
part, unless the

[[Page 217]]

action to be taken is listed in subpart G as an exception to that 
subpart;
    (b) Filling any vacancy under the agency's merit promotion 
procedures when the agency will accept applications from outside its 
permanent competitive service workforce; and
    (c) Filling a vacancy by open competitive examination, including 
direct hire procedures under part 337 of this chapter, or in the Senior 
Executive Service, as required by 5 U.S.C. 3327.



Sec.  330.104  Requirements for vacancy announcements.

    (a) Each vacancy announcement must contain the following 
information:
    (1) Name of issuing agency;
    (2) Announcement number;
    (3) Position title, series, pay plan, and grade (or pay rate);
    (4) Duty location;
    (5) Number of vacancies;
    (6) Opening date and application deadline (closing date) and any 
other information concerning how receipt of applications will be 
documented, such as by date of receipt or postmark, and considered, such 
as by cut-off dates in open continuous announcements;
    (7) Qualification requirements, including knowledge, skills, and 
abilities or competencies;
    (8) Starting pay;
    (9) Brief description of duties;
    (10) Basis of rating;
    (11) What to file;
    (12) Instructions on how to apply;
    (13) Information on how to claim veterans' preference, if 
applicable;
    (14) Definition of ``well-qualified,'' as required by subparts F and 
G of this part;
    (15) Information on how candidates eligible under subparts F and G 
of this part may apply, including required proof of eligibility;
    (16) Contact person or contact point;
    (17) Equal employment opportunity statement (Agencies may use the 
recommended equal employment opportunity statement located on OPM's 
USAJOBS website.); and
    (18) Reasonable accommodation statement.
    (b)(1) An agency may use wording of its choice in its statement that 
conveys the availability of reasonable accommodation required by Sec.  
330.104(a)(18). In its reasonable accommodation statement, an agency may 
not list types of medical conditions or impairments appropriate for 
accommodation.
    (2) Agencies may use the recommended reasonable accommodation 
statement located on OPM's USAJOBS website.
    (c) If an agency is sharing a certificate of eligibles under part 
332 of this chapter, the original hiring agency must provide notice in 
the job opportunity announcement that the resulting list of eligible 
candidates may be used by one or more hiring agencies, and of how the 
applicant may opt-in to the disclosure of his or her applicant records 
to other hiring agencies.

[75 FR 67593, Nov. 3, 2010, as amended at 82 FR 5339, Jan. 18, 2017]



Sec.  330.105  Instructions on how to add a vacancy announcement to USAJOBS.

    An agency can find the instructions to add a vacancy announcement to 
USAJOBS on OPM's Web site at http://www.usajobs.gov. An electronic file 
of the complete vacancy announcement must be included within USAJOBS.



Sec.  330.106  Funding.

    Each year, OPM will charge a fee for the agency's share of the cost 
of providing employment information to the public and to Federal 
employees as authorized by 5 U.S.C. 3330(f).



               Subpart B_Reemployment Priority List (RPL)



Sec.  330.201  Purpose.

    (a) The Reemployment Priority List (RPL) is a required component of 
an agency's placement programs to assist its current and former 
competitive service employees who will be or were separated by reduction 
in force (RIF) under part 351 of this chapter, or who have recovered 
from a compensable work-related injury after more than 1 year, as 
required by part 353 of this chapter. In filling vacancies, an agency 
must give its RPL registrants placement priority for most competitive

[[Page 218]]

service vacancies before hiring someone from outside its own permanent 
competitive service workforce. An agency may choose to consider RPL 
placement priority candidates before other agency permanent competitive 
service employees under its Career Transition Assistance Plan (CTAP) 
established under subpart F of this part, after fulfilling agency 
obligations to its CTAP selection priority candidates.
    (b) Agencies must use an RPL to give placement priority to their:
    (1) Current competitive service employees with a specific notice of 
RIF separation or a Certification of Expected Separation issued under 
part 351 of this chapter;
    (2) Former competitive service employees separated by RIF under part 
351 of this chapter; and
    (3) Former competitive service employees fully recovered from a 
compensable injury (as defined in part 353 of this chapter) after more 
than 1 year.
    (c) All agency components within the local commuting area use a 
single RPL and are responsible for giving placement priority to the 
agency's RPL registrants.
    (d) With prior OPM approval, an agency may operate an alternate 
placement program which satisfies the basic requirements of this 
subpart, including veterans' preference, as an exception to the RPL 
regulations under this subpart. This provision is limited to 
reemployment priority because of RIF separation and allows agencies to 
adopt different placement strategies that are effective for their 
programs and satisfy employee entitlements to reemployment priority.



Sec.  330.202  Definitions.

    In this subpart:
    Competitive area means a competitive area as described in Sec.  
351.402 of this chapter.
    Competitive service appointment includes new appointments, 
reinstatements, reemployment, and transfers as defined in Sec.  210.102 
of this chapter, and conversions as defined in OPM's ``Guide to 
Processing Personnel Actions.''
    Injury, in relation to the RPL, has the meaning given that term in 
Sec.  353.102 of this chapter.
    Overseas has the meaning given that term in Sec.  210.102 of this 
chapter.
    Qualified refers to an RPL registrant who:
    (1) Meets OPM-established or -approved qualification standards and 
requirements for the position, including minimum educational 
requirements, and agency-established selective factors (as this term is 
used in OPM's ``Operating Manual: Qualification Standards for General 
Schedule Positions'');
    (2) Will not cause an undue interruption, as defined in Sec.  
351.203 of this chapter, that would prevent the completion of required 
work by the registrant 90 days after the registrant is placed in the 
position;
    (3) Is physically qualified, with or without reasonable 
accommodation, to perform the duties of the position;
    (4) Meets any special OPM-approved qualifying conditions for the 
position; and
    (5) Meets any other applicable requirements for competitive service 
appointment.
    RPL eligible means a current or former employee of the agency who 
meets the conditions in either paragraph (a) or (b) of Sec.  330.203. As 
used in this subpart, ``RPL eligible'' and ``eligible'' are synonymous.
    RPL placement priority candidate means an RPL registrant who is 
qualified and available for a specific agency vacancy.
    RPL registrant means an RPL eligible who submitted a timely RPL 
application and who is registered on the agency's RPL. As used in this 
subpart, ``RPL registrant'' and ``registrant'' are synonymous.
    Vacancy means any vacant position to be filled by a competitive 
service permanent or time-limited appointment.



Sec.  330.203  RPL Eligibility.

    An employee must meet the conditions in either paragraph (a) or (b) 
of this section to be an RPL eligible.
    (a) For eligibility based on part 351 of this chapter, the employee:
    (1) Must be serving in an appointment in the competitive service in 
tenure group I or II;

[[Page 219]]

    (2) Must have received either a specific notice of separation or a 
Certification of Expected Separation under part 351 of this chapter that 
has not been cancelled, rescinded, or modified so that the employee is 
no longer under notice of separation;
    (3) Must have received a rating of record of at least fully 
successful (Level 3) or equivalent as the most recent performance rating 
of record; and
    (4) Must not have declined an offer under part 351, subpart G, of 
this chapter of a position with the same type of work schedule and with 
a representative rate at least as high as that of the position from 
which the employee will be separated.
    (b) For eligibility based on part 353 of this chapter, the employee 
or former employee:
    (1) Must be serving in, or separated from, an appointment in the 
competitive service in tenure group I or II;
    (2) Must either have accepted a position at a lower grade or pay 
level in lieu of separation or have been separated because of a 
compensable injury or disability. (For the purposes of this subpart, any 
reference to the position from which an individual was or will be 
separated includes the position from which the RPL eligible accepted the 
lower graded or pay level position under this paragraph.);
    (3) Must have fully recovered more than 1 year after compensation 
began; and
    (4) Must have received notification from the Office of Workers' 
Compensation Programs, Department of Labor, that injury compensation 
benefits have ceased or will cease.



Sec.  330.204  Agency requirements and responsibilities.

    (a) An agency must establish policies and maintain an RPL for each 
local commuting area in which the agency has RPL eligibles.
    (b) An agency must give each RPL eligible information about its RPL 
program, including Merit Systems Protection Board appeal rights under 
Sec.  330.214, when:
    (1) The agency issues a RIF separation notice or a Certification of 
Expected Separation under part 351 of this chapter; or
    (2) The employee accepts a position at a lower grade or pay level or 
is separated from the agency because of a compensable work-related 
injury.
    (c) An agency must register an RPL eligible on the appropriate RPL 
no later than 10 calendar days after receiving the eligible's written 
application.
    (d) Agencies must include in their RPL policies established under 
this subpart how they will assist RPL eligibles who:
    (1) Request an RPL application;
    (2) Request help in completing the RPL application; and
    (3) Request help in identifying and listing on the RPL application 
those positions within the agency for which they are qualified and 
interested.
    (e) An agency must give RPL registrants placement priority for 
personnel actions as described in Sec.  330.210.
    (f) An agency must not remove an individual from the RPL under Sec.  
330.209(a)(1), (b)(1), or (b)(2) without evidence (such as a Postal 
Service return receipt signed by addressee only) showing that the offer, 
inquiry, or scheduled interview was made in writing. The written offer, 
inquiry, or scheduled interview must clearly state that failure to 
respond will result in removal from the RPL for positions at that grade 
or pay level and for positions at lower grades and pay levels for which 
registered.



Sec.  330.205  Agency RPL applications.

    Agencies may develop their own application format which must, at a 
minimum:
    (a) Allow an RPL eligible to register for positions at the same 
representative rate and work schedule (full-time, part-time, seasonal, 
or intermittent) as the position from which the RPL eligible was, or 
will be, separated; and
    (b) Allow an RPL eligible to specify the conditions under which he 
or she will accept a position, including grades or pay levels, 
appointment type (permanent or time-limited), occupations (e.g., 
position classification series or career groups), and minimum number of 
hours of work per week, as applicable.

[[Page 220]]



Sec.  330.206  RPL registration timeframe and positions.

    (a) To register, an RPL eligible must:
    (1) Meet the eligibility conditions under Sec.  330.203(a) or (b);
    (2) Complete an RPL application prescribed by the current or former 
agency and keep the agency informed of any significant changes in the 
information provided; and
    (3) Submit the RPL application on or before the RIF separation date 
or, if an RPL eligible under Sec.  330.203(b), within 30 calendar days 
after the:
    (i) Date injury compensation benefits cease; or
    (ii) Date the Department of Labor denies an appeal for continuation 
of injury compensation benefits.
    (b) RPL eligibles may register and receive placement priority for 
positions for which they are qualified and that:
    (1) Have a representative rate no higher than the position from 
which they were, or will be, separated unless the eligible was demoted 
as a tenure group I or II employee in a previous RIF. If the eligible 
was so demoted, the eligible can register for positions with a 
representative rate up to the representative rate of the position held 
on a permanent appointment immediately before the RIF demotion was 
effective;
    (2) Have no greater promotion potential than the position from which 
they were, or will be, separated; and
    (3) Have the same type of work schedule as the position from which 
they were, or will be, separated.



Sec.  330.207  Registration area.

    (a) Except as provided in paragraphs (b) through (e) of this 
section, RPL registration is limited to the local commuting area in 
which the eligible was, or will be, separated.
    (b) If the agency has, or will have, no competitive service 
positions remaining in the local commuting area from which the RPL 
eligible will be separated under part 351 of this chapter, the agency 
may designate a different local commuting area where there are 
continuing positions for the RPL eligible to exercise placement 
priority. The agency has sole discretion over whether to offer this 
option and which local commuting area to designate, taking into 
consideration the size and locations of its workforce, available 
vacancies, and available funds.
    (c) If the RPL eligible agreed to transfer with his or her function 
under part 351 of this chapter but will be separated by RIF from the 
gaining competitive area, registration is limited to the RPL covering 
the gaining competitive area's local commuting area.
    (d) For an individual who is eligible under Sec.  330.203(b), 
registration is initially limited to the RPL covering the local 
commuting area of the position from which the employee was separated. 
The agency must establish a fair and consistent policy that permits RPL 
eligibles to expand their registration to available local commuting 
areas mutually acceptable to the RPL eligible and the agency, up to 
agency-wide as required by 5 U.S.C. 8151. (For example, an agency could 
consider the number and location(s) of its positions and funding 
availability when establishing its policies on expanding consideration.) 
In lieu of expanded registration, the agency policy may provide for the 
RPL eligible to elect to receive placement priority for the next best 
available position in the former local commuting area.
    (e) If the RPL eligible was, or will be, separated from an overseas 
position (see part 301 of this chapter), RPL registration is limited to 
the local commuting area in which the eligible was, or will be, 
separated, unless:
    (1) The agency approves a written request by the RPL eligible for 
registration in the local commuting area from which employed for 
overseas service, or in another area within the United States that is 
mutually acceptable to the eligible and the agency; or
    (2) The agency has a formal program for rotating employees between 
overseas areas and the United States, and the RPL eligible's preceding 
and prospective overseas service would exceed the maximum duration of an 
overseas duty tour in the rotation program. In this case, the eligible 
may register for a local commuting area within the United States that is 
mutually acceptable to the eligible and the agency.

[[Page 221]]



Sec.  330.208  Duration of RPL registration.

    (a) RPL registration expires 2 years from the date of reduction in 
force separation under part 351 of this chapter, or 2 years from the 
date the agency registers the RPL eligible because of recovery from a 
compensable work injury under Sec.  330.206(a)(3)(i) or (ii). An RPL 
eligible remains registered for the full 2-year period unless the 
registrant is removed from the RPL for a reason specified in Sec.  
330.209.
    (b)(1) OPM may extend the registration period when an RPL eligible 
does not receive a full 2 years of placement priority, for example, 
because of an agency's administrative or procedural error.
    (2) Either the agency or the RPL eligible may request OPM to extend 
the registration period under paragraph (b)(1) of this section. The 
request must describe the administrative or procedural error that caused 
the RPL eligible to be registered for less than the full 2-year period. 
OPM may request additional information either from the agency or the RPL 
eligible in connection with any such request. OPM will notify both the 
agency and the RPL eligible of the decision to approve or deny an 
extension request. OPM's decision regarding an extension request is not 
subject to appeal under Sec.  330.214.



Sec.  330.209  Removal from an RPL.

    (a) An RPL registrant is removed from the RPL at all registered 
grades or pay levels if the registrant:
    (1) Declines or fails to reply to the agency's inquiry about an RPL 
offer of a career, career-conditional, or excepted appointment without 
time limit for a position having the same type of work schedule and a 
representative rate at least as high as the position from which the 
registrant was, or will be, separated;
    (2) Receives a written cancellation, rescission, or modification to:
    (i) The RIF separation notice or Certification of Expected 
Separation so that the employee no longer meets the conditions for RPL 
eligibility in Sec.  330.203(a); or
    (ii) The notification of cessation of injury compensation benefits 
so that injury compensation benefits continue;
    (3) Separates from the agency for any other reason (such as 
retirement, resignation, or transfer) before the RIF separation 
effective date. Registration continues if the RPL registrant retires on 
or after the RIF separation effective date. This paragraph does not 
apply to an RPL registrant under Sec.  330.203(b);
    (4) Requests the agency to remove his or her name from the RPL;
    (5) Is placed in a position without time limit at any grade or pay 
level within the agency;
    (6) Is placed in a position under a career, career-conditional, or 
excepted appointment without time limit at any grade or pay level in any 
agency; or
    (7) Leaves the area covered by an overseas RPL (see 5 CFR part 301) 
or is ineligible for continued overseas employment because of previous 
service or residence.
    (b) An RPL registrant is removed from the RPL at registered grades 
or pay levels with a representative rate at and below the representative 
rate of a position offered by the agency if the offered position is 
below the last grade or pay level held and the registrant:
    (1) Declines or fails to reply to the agency's inquiry about an RPL 
offer of a career, career-conditional, or excepted appointment without 
time limit for a position meeting the acceptable conditions shown on the 
RPL registrant's application; or
    (2) Declines or fails to appear for a scheduled interview.
    (c) An RPL registrant removed from the RPL under paragraph (b) of 
this section at lower grades or pay levels than the last grade or pay 
level held remains on the RPL for positions with a representative rate 
higher than the offered position up to the grade or pay level last held, 
unless registration expires or otherwise terminates.
    (d) Declination of time-limited employment does not affect RPL 
eligibility.



Sec.  330.210  Applying RPL placement priority.

    (a) RPL placement priority applies to:
    (1) Permanent and time-limited positions to be filled by competitive 
service appointment; and

[[Page 222]]

    (2) The grade or pay level at which the agency fills the position. 
If a position is available at multiple grades or pay levels, placement 
priority applies at the grade or pay level at which the position is 
ultimately filled.
    (b) An agency must not effect a permanent or time-limited 
competitive service appointment of another individual if there is an RPL 
placement priority candidate registered for the vacancy, unless the 
action is listed as an exception in Sec.  330.211.
    (c) An agency must document that there are no RPL placement priority 
candidates for the vacancy when requesting a competitive certificate of 
eligibles under part 332 of this chapter. Similarly, an agency must 
offer the vacancy to any RPL placement priority candidate(s) before 
effecting an appointment under a noncompetitive appointing authority, 
such as under part 315 of this chapter.
    (d) Once an agency has ensured there are no RPL placement priority 
candidates for a particular vacancy and documents in writing an 
employment offer that is accepted by another individual, the agency may 
fulfill that employment offer to that individual.



Sec.  330.211  Exceptions to RPL placement priority.

    An agency may effect the following personnel actions as exceptions 
to Sec.  330.210:
    (a) Fill a vacancy with an employee of the agency's current 
permanent competitive service workforce through detail or position 
change, subject to the requirements of subpart F of this part;
    (b) Appoint a 10-point preference eligible through an appropriate 
appointing authority;
    (c) Appoint a current or former employee 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;
    (d) Appoint a current or former employee exercising other statutory 
or regulatory reemployment rights;
    (e) Fill a specific position when all RPL placement priority 
candidates decline an offer of the position or fail to respond to a 
written agency inquiry about their availability;
    (f) Convert an employee serving under an appointment that provides 
noncompetitive conversion eligibility to a competitive service 
appointment, including from:
    (1) A Veterans Recruitment Appointment under part 307 of this 
chapter;
    (2) An appointment under 5 U.S.C. 3112 and part 316 of this chapter 
of a veteran with a compensable service-connected disability of 30 
percent or more; and
    (3) An excepted service appointment under part 213 of this chapter;
    (g) Reappoint 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);
    (h) Extend an employee's temporary or term appointment up to the 
maximum permitted by the appointment authority or as authorized by OPM; 
or
    (i) Appoint an individual under an excepted service appointing 
authority.

[75 FR 67593, Nov. 3, 2010, as amended at 77 FR 28215, May 11, 2012]



Sec.  330.212  Agency flexibilities.

    An agency may provide the following flexibilities within its written 
RPL policies established under this subpart:
    (a) Allow RPL eligibles to register only for certain sub-areas of a 
local commuting area when the agency has components dispersed throughout 
a large commuting area. However, an agency cannot deny registration 
throughout the local commuting area if the RPL eligible requests it.
    (b) Suspend an RPL registration for all positions, permanent and 
time-limited, if the agency is unable, through documented written means, 
to contact the RPL registrant; however, the agency must reactivate an 
RPL registration when the registrant submits an updated application or 
otherwise requests reactivation in writing. Registration suspension and 
reactivation do not change the expiration date of the original 
registration period set in Sec.  330.208.
    (c)(1) Modify the OPM or OPM-approved qualification standard used to

[[Page 223]]

determine if an RPL eligible is qualified for a position, provided the:
    (i) Exception is applied consistently and equitably in filling a 
position;
    (ii) RPL registrant meets any minimum educational requirements for 
the position; and
    (iii) RPL registrant has the capacity, adaptability, and special 
skills needed to satisfactorily perform the duties and responsibilities 
of the position, as determined by the agency.
    (2) Any modification to the qualification standard under paragraph 
(c)(1) of this section does not authorize a waiver of the selection 
order required under Sec.  330.213.
    (d) Permit RPL eligibles to register for positions with work 
schedules different from the work schedule of the position from which 
they were, or will be, separated.
    (e) Permit RPL registrants to update their qualifications or 
conditions for accepting positions during the RPL registration period. 
If an agency provides this flexibility in its RPL policies, the agency 
must update the RPL registrant's registration information within 10 
calendar days of receipt of the registrant's written request. The 
updated registration information would apply only to those vacancies 
becoming available after the agency updates the RPL registrant's 
registration.



Sec.  330.213  Selection from an RPL.

    (a) Methods. An agency must adopt one of the selection methods in 
paragraphs (b), (c), or (d) of this section for 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. While an agency may not vary the method used 
for an individual vacancy, it may at any time change the selection 
method for all positions covered by a single RPL.
    (b) Retention standing order. For each vacancy to be filled, the 
agency places qualified RPL placement priority candidates in tenure 
group and subgroup order in accordance with part 351 of this chapter. In 
making a selection, an agency may not pass over a candidate in tenure 
group I to select from tenure group II and, within a tenure group, may 
not pass over a candidate in a higher subgroup to select from a lower 
subgroup. Within a subgroup, an agency may select any candidate without 
regard to order of retention standing.
    (c) Numerical scoring. (1) For each vacancy to be filled, the agency 
rates RPL placement priority candidates according to their job 
experience and education. The agency must use job-related evaluation 
criteria for the position to be filled that can distinguish differences 
in qualifications measured and must apply the criteria in a fair and 
consistent manner. The agency assigns the candidates a numerical score 
of at least 70 on a scale of 100, based on the evaluation criteria 
developed under this paragraph. The agency must grant 5 additional 
points to veterans' preference eligibles under 5 U.S.C. 2108(3)(A) and 
(B), and 10 additional points to veterans' preference eligibles under 5 
U.S.C. 2108(3) (C) through (G).
    (2) RPL placement priority candidates with an eligible numerical 
score are ranked in the following order:
    (i) Veterans' 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 or 
scientific position at or above the GS-9 level, or equivalent; and
    (ii) All other candidates in the order of their augmented ratings. 
At each score, candidates entitled to 10-point veterans' preference will 
be entered ahead of all other candidates, and those entitled to 5-point 
veterans' preference will be entered ahead of those candidates not 
entitled to veterans' preference.
    (3) The agency must make its selection from among the highest three 
candidates available and may not pass over a veterans' preference 
eligible to select a nonpreference eligible.
    (d) Alternative rating and selection. (1) For each vacancy to be 
filled, the agency may use alternative rating and selection procedures 
(also called category rating) as described in 5 U.S.C. 3319 and part 337 
of this chapter. The agency assesses RPL placement priority candidates 
against job-related evaluation criteria and then places

[[Page 224]]

them into two or more pre-defined quality categories.
    (2) To use this method, the agency must:
    (i) Establish a system for evaluating RPL placement priority 
candidates that provides for two or more quality categories;
    (ii) 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 
quality category must have a clear definition that distinguishes it from 
other quality categories; and
    (iii) Place candidates into the appropriate quality categories based 
upon their job-related competencies, knowledge, skills, and abilities.
    (3) Veterans' preference must be applied as prescribed in 5 U.S.C. 
3319(b) and (c)(2). Veterans' preference points as prescribed in 
paragraph (c)(1) of this section are not applied under this method.
    (4) The agency must make its selection from the highest quality 
category in accordance with its category rating policy established under 
part 337 of this chapter.
    (e) Application-based procedure. (1) An agency may adopt an 
application-based procedure which allows RPL registrants to apply 
directly for RPL placement priority under an advertised vacancy 
announcement. Before using this procedure, the agency must establish 
policies and procedures for:
    (i) Informing RPL registrants of available vacancies;
    (ii) Informing RPL registrants of acceptable application formats, 
including how to permanently change initial registration information and 
how to apply changes only to the specific vacancy announcement for which 
the application is made;
    (iii) Determining the method under which the RPL registrant will be 
rated and ranked (paragraph (b), (c), or (d) of this section); and
    (iv) Informing each RPL registrant who applies under this method 
whether he or she was determined to be an RPL placement priority 
candidate and the outcome of the selection process, if the candidate was 
referred for selection.
    (2) RPL registrants may not be removed from the RPL for failure to 
apply for a vacancy under this paragraph. Registration continues until 
it expires or the registrant is removed from the RPL under Sec.  
330.209.



Sec.  330.214  Appeal rights.

    An RPL registrant who believes the agency violated his or her 
reemployment rights under this subpart by employing another person who 
otherwise could not have been appointed properly may appeal to the Merit 
Systems Protection Board under the Board's regulations in part 1200 of 
this chapter.

Subpart C [Reserved]



         Subpart D_Positions Restricted to Preference Eligibles



Sec.  330.401  Restricted positions.

    Under 5 U.S.C. 3310, competitive examinations for the positions of 
custodian, elevator operator, guard, and messenger (referred to in this 
subpart as restricted positions) are restricted to preference eligibles 
as long as a preference eligible is available. For more information on 
these restricted positions, refer to the OPM Delegated Examining 
Operations Handbook.



Sec.  330.402  Exceptions to restriction.

    (a) An agency may fill a restricted position with a nonpreference 
eligible under the following circumstances:
    (1) By competitive examination when no preference eligible applies;
    (2) By position change (promotion, demotion, or reassignment) to a 
position in the organizational entity (i.e., the part of an agency from 
which selections are normally made for promotion or reassignment to the 
position in question) in which the nonpreference eligible is employed;
    (3) By reemployment in the agency where the nonpreference eligible 
was formerly employed when he or she is being appointed from the 
Reemployment Priority List under subpart B of this part;
    (4) By reinstatement in the agency where the nonpreference eligible 
was formerly employed when he or she was

[[Page 225]]

last separated because of disability retirement; or
    (5) By reappointment of certain temporary employees as provided for 
in part 316 of this chapter.
    (b) Except as indicated in paragraph (a) of this section, OPM must 
authorize any other agency noncompetitive action (e.g., under an 
authority specified in part 315 of this chapter) to fill a restricted 
position with a nonpreference eligible.



Sec.  330.403  Positions brought into the competitive service.

    An agency may convert the appointment of a nonpreference eligible 
whose restricted position was brought into the competitive service under 
part 316 of this chapter, and who meets the requirements for conversion 
under part 315 of this chapter, to career or career conditional 
appointment.



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 as described in Sec. Sec.  330.405 and 330.406 are 
applicable if a preference eligible holds a competitive service position 
(other than in the Government Printing Office) that is:
    (a) A restricted position as designated in 5 U.S.C. 3310 and Sec.  
330.401; and
    (b) In tenure group 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.  330.603, 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 eligible's 
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.



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.



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.
    (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  Purpose.

    The restrictions in this subpart are designed to prevent 
circumvention of the open competitive examination system defined in 
Civil Service Rule 1.3 (5 CFR 1.3). These restrictions limit an 
appointee's immediate movement to another position after appointment 
from a competitive certificate of eligibles.

[[Page 226]]



Sec.  330.502  General restriction on movement after competitive appointment.

    (a) An agency must wait at least 90 days after an employee's latest 
nontemporary competitive appointment before the agency may take the 
following actions:
    (1) Promote an employee;
    (2) Transfer, reinstate, reassign, or detail an employee to a 
different position; or
    (3) Transfer, reinstate, reassign, or detail an employee to a 
different geographical area.
    (b) Upon written request from an agency, OPM may waive the 
restriction against movement to a different geographical area when 
moving such an employee is consistent with open competition principles.



Sec.  330.503  Ensuring agency compliance with the principles of open competition.

    OPM will review appointments made from competitive examinations and 
subsequent position changes to determine if agencies are complying with 
open competition principles. The fact that an agency waited 90 days to 
make the changes, as required under this subpart, is not an absolute 
protection. If OPM finds that an agency has not complied with these 
principles, either in an individual instance or on a program-wide basis, 
OPM will order an agency to correct the situation.



Sec.  330.504  Exception to the general restriction.

    The restrictions in this subpart do not apply to a person who is 
eligible for a competitive appointment from a certificate of eligibles 
under part 332 of this chapter.



  Subpart F_Agency Career Transition Assistance Plan (CTAP) for Local 
                     Surplus and Displaced Employees



Sec.  330.601  Purpose.

    (a) An agency's Career Transition Assistance Plan (CTAP) provides 
intra-agency selection priority for the agency's eligible surplus and 
displaced employees. This subpart sets forth minimum requirements for 
agency plans and establishes requirements for CTAP selection priority.
    (b) Consistent with these regulations and at their discretion, an 
agency may supplement these requirements to expand career transition 
opportunities to its surplus and displaced workers.
    (c) With prior OPM approval, an agency may operate an alternate 
placement program that satisfies the basic requirements of this subpart 
as an exception to CTAP selection priority under this subpart. This 
provision allows agencies to adopt different placement strategies that 
are effective for their programs while satisfying employee entitlements 
to selection priority.



Sec.  330.602  Definitions.

    For purposes of this subpart:
    Agency means an Executive agency as defined in 5 U.S.C. 105.
    CTAP eligible means an agency surplus or displaced employee who has 
a current performance rating of record of at least fully successful 
(Level 3) or equivalent. As used in this subpart, ``CTAP eligible'' and 
``eligible'' are synonymous.
    CTAP selection priority candidate means a CTAP eligible who applied 
for and was determined to be well-qualified by the agency and whom the 
agency must select over any other applicant for the vacancy, unless the 
action to be taken is listed as an exception under Sec.  330.609.
    Displaced describes an agency employee in one of the following two 
categories:
    (1) A current career or career-conditional (tenure group I or II) 
competitive service employee at grade GS-15 (or equivalent) or below 
who:
    (i) Received a reduction in force (RIF) separation notice under part 
351 of this chapter and has not declined an offer under part 351, 
subpart G, 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 will be separated; or
    (ii) Received a notice of proposed removal under part 752 of this 
chapter for declining a directed geographic relocation outside of the 
local commuting

[[Page 227]]

area (e.g., a directed reassignment or change in duty station).
    (2) A current excepted service employee on an appointment without 
time limit at grade level GS-15 (or equivalent) or below who:
    (i) Is covered by a law providing both noncompetitive appointment 
eligibility to, and selection priority for, competitive service 
positions; and
    (ii) Received a RIF separation notice under part 351 of this chapter 
or a notice of proposed removal under part 752 of this chapter for 
declining a directed geographic relocation outside the local commuting 
area (e.g., a directed reassignment or a change in duty station).
    Surplus describes an agency employee in one of the following three 
categories:
    (1) A current career or career-conditional (tenure group I or II) 
competitive service employee at grade GS-15 (or equivalent) or below who 
received a Certification of Expected Separation under part 351 of this 
chapter or other official agency certification or notification 
indicating that the employee's position is surplus (for example, a 
notice of position abolishment or a notice of eligibility for 
discontinued service retirement).
    (2) A current excepted service employee on an appointment without 
time limit at grade GS-15 (or equivalent) or below who:
    (i) Is covered by a law providing both noncompetitive appointment 
eligibility to, and selection priority for, competitive service 
positions; and
    (ii) Received a Certification of Expected Separation under part 351 
of this chapter or other official agency certification or notification 
indicating that the employee's position is surplus (for example, a 
notice of position abolishment or a notice of eligibility for 
discontinued service retirement).
    (3) A current excepted service employee on a Schedule A or B 
appointment without time limit at grade level GS-15 (or equivalent) or 
below who is in an agency offering CTAP selection priority to its 
excepted service employees and who:
    (i) Received a Certification of Expected Separation under part 351 
of this chapter or other official agency certification indicating that 
the employee is surplus (for example, a notice of position abolishment, 
or notice of eligibility for discontinued service retirement); or
    (ii) Received a RIF notice of separation under part 351 of this 
chapter or a notice of proposed removal under part 752 of this chapter 
for declining a directed geographic relocation outside the local 
commuting area (e.g., a directed reassignment or a change in duty 
station).
    Vacancy means a vacant competitive service position at grade GS-15 
(or equivalent) or below to be filled for a total of 121 days or more, 
including all extensions, regardless of whether the agency issues a 
specific vacancy announcement.



Sec.  330.603  Requirements for agency CTAPs.

    (a) Each agency must establish a CTAP for its surplus and displaced 
employees. Each agency must send its plan, and any modifications, to 
OPM, Employee Services, after approval by an authorized agency official.
    (b) Each agency must uniformly and consistently apply its CTAP and 
these regulations to all surplus and displaced employees.
    (c) In addition to a description of the agency's selection priority 
policies required by Sec.  330.604, a CTAP must describe the agency's 
policies with regard to how it will provide career transition services 
to all its surplus and displaced agency employees, including excepted 
service and Senior Executive Service employees. The plan must describe:
    (1) The types of career transition services the agency will provide;
    (2) Policies on employees' and former employees' use of transition 
services and facilities, including:
    (i) Excused absences for transition-related activities;
    (ii) Access to services or facilities after separation;
    (iii) Orientation sessions on career transition services and 
information as described in Sec.  330.608(a) and (b), respectively;
    (iv) Retraining policies;
    (v) Access to agency CTAP services and resources by all employees, 
including those with disabilities, those in field offices, and those in 
remote sites;

[[Page 228]]

    (vi) Access to other Federal, State, and local resources available 
to support career transition for employees with disabilities; and
    (vii) Availability of employee assistance programs and services.
    (d) An agency's CTAP must also describe the agency's policies and 
procedures for its Reemployment Priority List established under subpart 
B of this part and the Interagency Career Transition Placement Plan 
established under subpart G of this part.



Sec.  330.604  Requirements for agency CTAP selection priority.

    In addition to the overall requirements of Sec.  330.603, an 
agency's CTAP must describe:
    (a) How the agency will provide CTAP selection priority to surplus 
and displaced employees for vacancies in the local commuting area before 
selecting any other candidate from either within or outside the agency;
    (b) Procedures for reviewing CTAP eligibles' qualifications and 
resolving qualification issues or disputes;
    (c) Decisions involving discretionary areas under Sec.  330.607 
(such as whether excepted service employees will receive CTAP selection 
priority, priority of surplus versus displaced employees, designation of 
agency components, and selection priority beyond the local commuting 
area); and
    (d) When and how the agency will inform its surplus and displaced 
employees about CTAP eligibility criteria, as required by Sec.  
330.608(b), how to apply for agency vacancies, and how to request CTAP 
selection priority.



Sec.  330.605  Agency responsibilities for deciding who is well-qualified.

    (a) An agency must define what constitutes a well-qualified 
candidate for its specific vacancies, consistent with this subpart, and 
uniformly apply that definition to all CTAP eligibles being considered 
for the vacancy.
    (b) An agency must conduct an independent second review and document 
the specific job-related reasons whenever a CTAP eligible is determined 
to be not well-qualified under the agency's definition. The agency must 
give the CTAP eligible the written results of this review as required by 
Sec.  330.608(e).



Sec.  330.606  Minimum criteria for agency definition of ``well-qualified''.

    (a) At a minimum, the agency must define ``well-qualified'' as 
having knowledge, skills, abilities, and/or competencies clearly 
exceeding the minimum qualification requirements for the vacancy. The 
agency definition may or may not equate to the highly or best qualified 
assessment criteria established for the vacancy; however, the agency 
definition of ``well-qualified'' must satisfy the criteria in paragraph 
(b) of this section.
    (b) Under an agency's definition of ``well-qualified,'' the agency 
must be able to determine whether a CTAP eligible:
    (1) Meets the basic eligibility requirements (including employment 
suitability requirements under part 731 of this chapter and any medical 
qualifications requirements), qualification standards (including minimum 
educational and experience requirements), and any applicable selective 
factors;
    (2) Is physically qualified, with or without reasonable 
accommodation, to perform the essential duties of the position;
    (3) Meets any special qualifying conditions of the position;
    (4) Is able to satisfactorily perform the duties of the position 
upon entry; and
    (5) At agency discretion, either:
    (i) Rates at or above specified level(s) on all quality ranking 
factors; or
    (ii) Rates above minimally qualified in the agency's rating and 
ranking process.



Sec.  330.607  Applying CTAP selection priority.

    (a) An agency must not place any other candidate from within or 
outside the agency into a vacancy if there is an available CTAP 
selection priority candidate, unless the personnel action to be effected 
is an exception under Sec.  330.609.
    (b) In accordance with the conditions of part 300, subpart E, of 
this chapter, an agency may not procure temporary help services under 
that subpart until a determination is made that no CTAP eligible is 
available.
    (c) CTAP selection priority applies to a vacancy that:

[[Page 229]]

    (1) Is at a grade or pay level with a representative rate no higher 
than the representative rate of the grade or pay level of the CTAP 
eligible's permanent position of record;
    (2) Has no greater promotion potential than the CTAP eligible's 
permanent position of record;
    (3) Is in the same local commuting area as the CTAP eligible's 
permanent position of record;
    (4) Is filled during the CTAP eligible's eligibility period; and, if 
applicable,
    (5) Is filled under the same excepted appointing authority as the 
CTAP eligible's permanent position of record if the CTAP eligible is an 
excepted service employee and the agency CTAP provides selection 
priority in the excepted service.
    (d) An agency may take actions under Sec.  335.102 of this chapter 
to place a permanent competitive service employee into a vacancy if 
there are no CTAP eligible employees in the local commuting area or if 
no CTAP eligibles apply for the vacancy.
    (e) An agency component may place a component employee within the 
local commuting area in the vacancy after the component applies CTAP 
selection priority to its employees.
    (f) If there are two or more CTAP selection priority candidates for 
a vacancy, the agency may place any of them. An agency may decide the 
specific order of selection among CTAP selection priority candidates. 
For example, an agency may:
    (1) Provide a displaced candidate higher priority than a surplus 
candidate; or
    (2) Provide an internal component candidate higher priority than 
another component's candidate.
    (g) After an agency makes the vacancy available to its CTAP 
eligibles and meets its obligation to any CTAP selection priority 
candidates, the agency may place into the vacancy any other permanent 
competitive service candidate from within its workforce, under 
appropriate staffing procedures.
    (h) An agency may provide CTAP selection priority to eligible 
employees from another commuting area after fulfilling its obligation to 
CTAP selection priority candidates in the local commuting area.
    (i) An agency may deny a CTAP eligible future selection priority if 
the eligible:
    (1) Declines an offer of a permanent appointment at any grade or pay 
level in the competitive or excepted service; or
    (2) Fails to respond within a reasonable period of time, as defined 
by the agency, to an offer of a permanent appointment at any grade or 
pay level in the competitive or excepted service.
    (j) Before appointing an individual from outside the agency's 
permanent competitive service workforce, the agency must follow the 
requirements of subparts B and G of this part.



Sec.  330.608  Other agency CTAP responsibilities.

    (a) An agency must make a career transition orientation session 
available to all agency surplus and displaced employees with information 
on selection priority under this subpart and subparts B and G. Such 
orientation sessions may be in person or web-based through an agency 
automated training system or intranet.
    (b) An agency must give each agency CTAP eligible written 
information on selection priority under its plan, explaining how to 
locate and apply for agency vacancies and request selection priority. 
The agency may meet this requirement by providing a copy of its CTAP 
established under Sec.  330.603.
    (c) An agency must take reasonable steps to ensure that agency CTAP 
eligibles have access to information on all vacancies, including how 
CTAP eligibles can apply, what proof of eligibility is required, and the 
agency definition of ``well-qualified'' for the vacancy.
    (d) If the agency can document that there are no CTAP eligibles in a 
local commuting area, the agency need not post the vacancy for CTAP 
eligibles.
    (e) An agency must provide a CTAP eligible who applied for a 
specific vacancy written notice of the final status of his or her 
application, including whether the eligible was determined to be well-
qualified. The agency notice must include the results of the 
independent, second review under

[[Page 230]]

Sec.  330.605(b), if applicable; whether another CTAP selection priority 
candidate was hired; whether the position was filled under an exception 
listed in Sec.  330.609; and whether the recruitment was cancelled.



Sec.  330.609  Exceptions to CTAP selection priority.

    An agency may take the following personnel actions as exceptions to 
Sec.  330.607:
    (a) Reemploy a former agency employee with regulatory or statutory 
reemployment rights, including the reemployment of an injured worker who 
either has been restored to earning capacity by the Office of Workers' 
Compensation Programs, Department of Labor, or has received a notice 
that his or her compensation benefits will cease because of full 
recovery from the disabling injury or illness;
    (b) Reassign or demote an employee under part 432 or 752 of this 
chapter;
    (c) Appoint an individual for a period limited to 120 or fewer days, 
including all extensions;
    (d) Reassign agency employees between or among positions in the 
local commuting area (sometimes called job swaps) when there is no 
change in grade or promotion potential and no actual vacancy results;
    (e) Convert an employee currently serving under an appointment 
providing noncompetitive conversion eligibility to a competitive service 
appointment, including from:
    (1) A Veterans Recruitment Appointment under part 307 of this 
chapter;
    (2) An appointment under 5 U.S.C. 3112 and part 316 of this chapter 
of a veteran with a compensable service-connected disability of 30 
percent or more;
    (3) Make an excepted service appointment under part 213 of this 
chapter; and
    (4) A post-secondary student appointment under 5 U.S.C. 3116 and 
part 316, subpart I, of this chapter;
    (f) Effect a personnel action under, or specifically in lieu of, 
part 351 of this chapter;
    (g) Effect a position change of an employee into a different 
position as a result of a formal reorganization, as long as the former 
position ceases to exist and no actual vacancy results;
    (h) Assign or exchange an employee under a statutory program, such 
as subchapter VI of chapter 33 of title 5, United States Code (also 
called the Intergovernmental Personnel Act), or the Information 
Technology Exchange Program under chapter 37 of title 5, United States 
Code;
    (i) Appoint an individual under an excepted service appointing 
authority;
    (j) Effect a position change of an employee within the excepted 
service;
    (k) Detail an employee within the agency;
    (l) Promote an employee for a period limited to 120 or fewer days, 
including all extensions;
    (m) Effect a position change of a surplus or displaced employee in 
the local commuting area;
    (n) Effect a position change of an employee under 5 U.S.C. 8337 or 
8451 to allow continued employment of an employee who is unable to 
provide useful and efficient service in his or her current position 
because of a medical condition;
    (o) Effect a position change of an employee to a position that 
constitutes a reasonable offer as defined in 5 U.S.C. 8336(d) and 
8414(b);
    (p) Effect a position change of an employee resulting from a 
reclassification action (such as accretion of duties or an action 
resulting from application of new position classification standards);
    (q) Promote an employee to the next higher grade or pay level of a 
designated career ladder position;
    (r) Recall a seasonal or intermittent employee from nonpay status;
    (s) Effect a position change of an injured or disabled employee to a 
position in which he or she can be reasonably accommodated;
    (t) Effect a personnel action pursuant to the settlement of a formal 
complaint, grievance, appeal, or other litigation;
    (u) Reassign or demote an employee under Sec.  315.907 of this 
chapter for failure to complete a supervisory or managerial probationary 
period;
    (v) Retain an individual whose position is brought into the 
competitive service under part 316 of this chapter

[[Page 231]]

and convert that individual, when applicable, under part 315 of this 
chapter;
    (w) Retain an employee covered by an OPM-approved variation under 
Civil Service Rule 5.1 (5 CFR 5.1);
    (x) Reemploy a former agency employee who retired under a formal 
trial retirement and reemployment program and who requests reemployment 
under the program's provisions and applicable time limits;
    (y) Extend a time-limited promotion or appointment up to the maximum 
period allowed (including any OPM-approved extensions beyond the 
regulatory limit on the time-limited promotion or appointment), if the 
original action was made subject to CTAP selection priority and the 
original announcement or notice stated that the promotion or appointment 
could be extended without further announcement;
    (z) Transfer an employee between agencies under appropriate 
authority during an interagency reorganization, interagency transfer of 
function, or interagency mass transfer;
    (aa) Appoint a member of the Senior Executive Service into the 
competitive service under 5 U.S.C. 3594;
    (bb) Transfer an employee voluntarily from one agency to another 
under a Memorandum of Understanding or similar agreement under 
appropriate authority resulting from an interagency reorganization, 
interagency transfer of function, or interagency mass transfer, when 
both the agencies and the affected employee agree to the transfer;
    (cc) Reassign an employee whose position description or other 
written mobility agreement provides for reassignment outside the 
commuting area as part of a planned agency rotational program;
    (dd) Transfer or a position change of an employee under part 412 of 
this chapter;
    (ee) Convert an employee's time-limited appointment in the 
competitive or excepted service to a permanent appointment in the 
competitive service if the employee accepted the time-limited 
appointment while a CTAP eligible; or
    (ff) Make an appointment using the college graduate hiring authority 
under 5 U.S.C. 3115 and part 315 of this chapter.
    (gg) Make an appointment using the post-secondary student hiring 
authority under 5 U.S.C. 3116 and part 316, subpart I, of this chapter.

[75 FR 67593, Nov. 3, 2010, as amended at 77 FR 28215, May 11, 2012; 86 
FR 46109, Aug. 18, 2021; 86 FR 61047, Nov. 5, 2021]



Sec.  330.610  CTAP eligibility period.

    (a) CTAP eligibility begins on the date the employee meets the 
definition of surplus or displaced in Sec.  330.602.
    (b) CTAP eligibility ends on the date the employee:
    (1) Separates from the agency either voluntarily or involuntarily;
    (2) Receives a notice rescinding, canceling, or modifying the notice 
which established CTAP eligibility so that the employee no longer meets 
the definition of surplus or displaced;
    (3) Is placed in another position within the agency at any grade or 
pay level, either permanent or time-limited, before the agency separates 
the employee; or
    (4) Is appointed to a career, career-conditional, or excepted 
appointment without time limit in any agency at any grade or pay level.



Sec.  330.611  Establishing CTAP selection priority.

    (a) CTAP selection priority for a specific agency vacancy begins 
when:
    (1) The CTAP eligible submits all required application materials, 
including proof of eligibility, within agency-established timeframes; 
and,
    (2) The agency determines the eligible is well-qualified for the 
vacancy.
    (b) An agency may allow CTAP eligible employees to become CTAP 
selection priority candidates for positions in other local commuting 
areas only if there are no CTAP selection priority candidates within the 
local commuting area of the vacancy.
    (c) An agency may deny future CTAP selection priority for agency 
positions if the CTAP eligible declines an offer of permanent 
appointment at any grade level (whether it is a competitive or excepted 
appointment).

[[Page 232]]



Sec.  330.612  Proof of eligibility.

    (a) The CTAP eligible must submit a copy of one of the documents 
listed under the definition of displaced or surplus in Sec.  330.602 to 
establish selection priority under Sec.  330.611.
    (b) The CTAP eligible may also submit a copy of a RIF notice with an 
offer of another position, accompanied by the signed declination of the 
offer. The RIF notice must state that declination of the offer will 
result in separation under RIF procedures.



Sec.  330.613  OPM's role in CTAP.

    OPM has oversight of CTAP and may conduct reviews of agency 
compliance and require corrective action at any time.



  Subpart G_Interagency Career Transition Assistance Plan (ICTAP) for 
                           Displaced Employees



Sec.  330.701  Purpose.

    The Interagency Career Transition Assistance Program (ICTAP) 
provides eligible displaced Federal employees with interagency selection 
priority for vacancies in agencies that are filling positions from 
outside their respective permanent competitive service workforces. The 
ICTAP selection priority does not apply in the ICTAP eligible's current 
or former agency and it does not prohibit movement of permanent 
competitive service employees within an agency, as permitted by subpart 
F of this part. This subpart establishes requirements for ICTAP 
selection priority.



Sec.  330.702  Definitions.

    In this subpart:
    Agency means an Executive agency as defined in 5 U.S.C. 105.
    Displaced describes an individual in one of the following 
categories:
    (1) A current career or career-conditional (tenure group I or II) 
competitive service employee of any agency at grade GS-15 (or 
equivalent) or below whose current performance rating of record is at 
least fully successful (Level 3) or equivalent and who:
    (i) Received a reduction in force (RIF) separation notice under part 
351 of this chapter and has not declined an offer under part 351, 
subpart G, 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 will be separated; or
    (ii) Received a notice of proposed removal under part 752 of this 
chapter for declining a directed geographic relocation outside the local 
commuting area (e.g., a directed reassignment or a change in duty 
station).
    (2) A former career or career-conditional (tenure group I or II) 
competitive service employee of any agency at grade GS-15 (or 
equivalent) or below whose last performance rating of record was at 
least fully successful (Level 3) or equivalent who was either:
    (i) Separated by RIF under part 351 of this chapter and did not 
decline an offer under part 351, subpart G, 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 
separated; or
    (ii) Removed under part 752 of this chapter for declining a directed 
geographic relocation outside the local commuting area (e.g., a directed 
reassignment or a change in duty station).
    (3) A former career or career-conditional employee of any agency who 
was separated because of a compensable work-related injury or illness as 
provided under 5 U.S.C. chapter 81, subchapter I, whose compensation was 
terminated and who has received certification from the former employing 
agency that it is unable to place the employee as required by part 353 
of this chapter.
    (4) A former career or career-conditional (tenure group I or II) 
competitive service employee of any agency who retired with a disability 
annuity under 5 U.S.C. 8337 or 8451 and who has received notification 
from OPM that the disability annuity has been or will be terminated.
    (5) A former Military Reserve Technician or National Guard 
Technician receiving a special disability retirement annuity under 5 
U.S.C. 8337(h) or 8456 and who has certification of such annuity from 
the military department or National Guard Bureau.

[[Page 233]]

    (6) A current or former excepted service employee on an appointment 
without time limit at grade GS-15 (or equivalent) or below whose current 
or last performance rating of record is or was at least fully successful 
(Level 3) or equivalent and who:
    (i) Has been provided by law with both noncompetitive appointment 
eligibility and selection priority for competitive service positions; 
and
    (ii) Has received a RIF separation notice under part 351 of this 
chapter or notice of proposed removal under part 752 of this chapter for 
declining a directed geographic relocation outside the local commuting 
area (e.g., a directed reassignment or a change in duty station) or has 
been separated by RIF procedures or removed for declining a geographic 
relocation outside the local commuting area.
    ICTAP eligible means an individual who meets the definition of 
displaced. As used in this subpart, ``ICTAP eligible'' and ``eligible'' 
are synonymous.
    ICTAP selection priority candidate means an ICTAP eligible who 
applied for a vacancy, was determined by the agency to be well-qualified 
for that vacancy, and who the agency must select over any other 
candidate from outside the agency's current competitive service 
workforce for the vacancy, unless the action to be taken is listed as an 
exception under Sec.  330.707.
    Vacancy means a vacant competitive service position at grade GS-15 
(or equivalent) or below to be filled for 121 days or more, including 
extensions.



Sec.  330.703  Agency responsibilities for deciding who is well-qualified.

    (a) Agencies must define ``well-qualified'' for their specific 
vacancies, consistent with this subpart, and uniformly apply that 
definition to all ICTAP eligibles being considered for the vacancy.
    (b) Agencies must conduct an independent second review and document 
the specific job-related reasons whenever an ICTAP eligible is 
determined to be not well-qualified for the vacancy under the agency's 
definition. An agency must give the ICTAP eligible the written results 
of this review as required by Sec.  330.706(d).



Sec.  330.704  Minimum criteria for agency definition of ``well-qualified''.

    (a) At a minimum, agencies must define ``well-qualified'' as having 
knowledge, skills, abilities, and/or competencies clearly exceeding the 
minimum qualification requirements for the vacancy. The agency 
definition may or may not equate to the highly or best qualified 
assessment criteria established for the vacancy; however, the agency 
definition of ``well-qualified'' must satisfy the criteria in paragraph 
(b) of this section.
    (b) Under an agency's definition of ``well-qualified,'' the agency 
must be able to determine whether an ICTAP eligible:
    (1) Meets the basic eligibility requirements (including employment 
suitability requirements under part 731 of this chapter and any medical 
qualification requirements), qualification standards (including minimum 
educational and experience requirements), and any applicable selective 
factors;
    (2) Is physically qualified, with or without reasonable 
accommodation, to perform the essential duties of the position;
    (3) Meets any special qualifying conditions of the position;
    (4) Is able to satisfactorily perform the duties of the position 
upon entry; and
    (5) At agency discretion, either:
    (i) Rates at or above specified level(s) on all quality ranking 
factors; or
    (ii) Rates above minimally qualified in the agency's rating and 
ranking process.



Sec.  330.705  Applying ICTAP selection priority.

    (a) An agency must not appoint any candidate from outside its 
permanent competitive service workforce if there is an ICTAP selection 
priority candidate available for the vacancy, unless the personnel 
action to be effected is an exception under Sec.  330.707.
    (b) ICTAP selection priority applies to a vacancy that:
    (1) Is at a grade or pay level with a representative rate no higher 
than the representative rate of the grade or pay level of the ICTAP 
eligible's current or last permanent position of record;

[[Page 234]]

    (2) Has no greater promotion potential than the ICTAP eligible's 
current or last permanent position of record;
    (3) Is in the same local commuting area as the ICTAP eligible's 
current or last permanent position of record; and
    (4) Is filled during the ICTAP eligible's eligibility period.
    (c) An agency may appoint any ICTAP selection priority candidate for 
a vacancy.
    (d)(1) After an agency announces the vacancy and meets its 
obligation to any ICTAP selection priority candidates, the agency may 
appoint any other candidate from outside its current permanent 
competitive service workforce, under appropriate staffing procedures.
    (2) An agency may make additional selections or reissue selection 
certificates in accordance with its merit promotion program without 
readvertising for ICTAP eligibles only if the additional selections are 
made from the applicant pool established by the original vacancy 
announcement, including readvertisements for the same vacancy, under 
which ICTAP eligibles had an opportunity to apply.
    (e) An agency may deny an ICTAP eligible future selection priority 
for vacancies in that agency if the ICTAP eligible:
    (1) Declines an offer of a permanent appointment at any grade or pay 
level in the competitive or excepted service; or
    (2) Fails to respond within a reasonable period of time, as defined 
by the agency, to an offer or official inquiry of availability for a 
permanent appointment at any grade or pay level in the competitive or 
excepted service.
    (f) An agency may deny an ICTAP eligible future selection priority 
for a position previously obtained through ICTAP if the eligible was 
terminated or removed from that position under part 432 or 752 of this 
chapter.



Sec.  330.706  Other agency ICTAP responsibilities.

    (a) Before appointing any other candidate from outside the agency's 
permanent competitive service workforce, the agency must first fulfill 
its obligation to any employees entitled to selection priority under 
subparts B and F of this part.
    (b) In accordance with the conditions of part 300, subpart E, of 
this chapter, an agency may not procure temporary help services under 
that subpart until a determination is made that no ICTAP eligible is 
available.
    (c) An agency must announce all vacancies it intends to fill from 
outside its permanent competitive service workforce. Vacancy 
announcements must meet the requirements of subpart A of this part.
    (d) An agency must provide an ICTAP eligible who applied for a 
specific vacancy written notice of the final status of his or her 
application, including whether the eligible was determined to be well-
qualified. The agency notice must include the results of the independent 
second review under Sec.  330.703(b), if applicable; whether another 
ICTAP selection priority candidate was hired; whether the position was 
filled under an exception listed in Sec.  330.707; and whether the 
recruitment was cancelled.



Sec.  330.707  Exceptions to ICTAP selection priority.

    An agency may take the following personnel actions as exceptions to 
Sec.  330.705:
    (a) Place a current or reinstate a former agency employee with RPL 
selection priority under subpart B of this part;
    (b) Effect a position change of a current permanent competitive 
service agency employee;
    (c) Appoint a 10-point veteran preference eligible through an 
appropriate appointing authority;
    (d) Reemploy a former agency employee with regulatory or statutory 
reemployment rights, including the reemployment of an injured worker who 
either has been restored to earning capacity by the Office of Workers' 
Compensation Programs, Department of Labor, or has received a notice 
that his or her compensation benefits will cease because of recovery 
from disabling injury or illness;
    (e) Appoint an individual for a period limited to 120 or fewer days, 
including all extensions;

[[Page 235]]

    (f) Effect a personnel action under, or specifically in lieu of, 
part 351 of this chapter;
    (g) Appoint an individual under an excepted service appointing 
authority;
    (h) Convert an employee serving under an appointment that provides 
noncompetitive conversion eligibility to a competitive service 
appointment, including from:
    (1) A Veterans Recruitment Appointment under part 307 of this 
chapter;
    (2) An appointment under 5 U.S.C. 3112 and part 316 of this chapter 
of a veteran with a compensable service-connected disability of 30 
percent or more;
    (3) An excepted service appointment under part 213 of this chapter; 
and
    (4) A post-secondary student appointment under 5 U.S.C. 3116 and 
part 316, subpart I, of this chapter;
    (i) Transfer an employee between agencies under appropriate 
authority during an interagency reorganization, interagency transfer of 
function, or interagency mass transfer;
    (j) Reemploy a former agency employee who retired under a formal 
trial retirement and reemployment program and who requests reemployment 
under the program's provisions and applicable time limits;
    (k) Effect a personnel action pursuant to the settlement of a formal 
complaint, grievance, appeal, or other litigation;
    (l) Extend a time-limited appointment up to the maximum period 
allowed (including any OPM-approved extension past the regulatory limit 
on the time-limited appointment), if the original action was made 
subject to ICTAP selection priority and the original vacancy 
announcement stated that the appointment could be extended without 
further announcement;
    (m) Reappoint a former agency employee into a hard-to-fill position 
requiring unique skills and experience to conduct a formal skills-based 
agency training program;
    (n) Retain an individual whose position is brought into the 
competitive service under part 316 of this chapter and convert that 
individual, when applicable, under part 315 of this chapter;
    (o) Retain an employee covered by an OPM-approved variation under 
Civil Service Rule 5.1 (5 CFR 5.1);
    (p) Appoint an appointee of the Senior Executive Service into the 
competitive service under 5 U.S.C. 3594;
    (q) Assign or exchange an employee under a statutory program, such 
as subchapter VI of chapter 33 of title 5, United States Code (also 
called the Intergovernmental Personnel Act), or the Information 
Technology Exchange Program under chapter 37 of title 5, United States 
Code;
    (r) Detail an employee to another agency;
    (s) Transfer employees under an OPM-approved interagency job swap 
plan designed to facilitate the exchange of employees between agencies 
to avoid or minimize involuntary separations;
    (t) Transfer or reinstate an ICTAP eligible who meets the agency's 
definition of ``well-qualified'';
    (u) Transfer an employee voluntarily from one agency to another 
under a Memorandum of Understanding or similar agreement under 
appropriate authority resulting from an interagency reorganization, 
interagency transfer of function, or interagency realignment, when both 
the agencies and the affected employee agree to the transfer;
    (v) Transfer or a position change of an employee under part 412 of 
this chapter or
    (w) [Reserved]
    (x) Make an appointment using the college graduate hiring authority 
under 5 U.S.C. 3115 and part 315 of this chapter.
    (y) Make an appointment using the post-secondary student hiring 
authority under 5 U.S.C. 3116 and part 316, subpart I, of this chapter.

[75 FR 67593, Nov. 3, 2010, as amended at 77 FR 28215, May 11, 2012; 86 
FR 46109, Aug. 18, 2021; 86 FR 61047, Nov. 5, 2021]



Sec.  330.708  ICTAP eligibility period.

    (a) ICTAP eligibility begins on the date the employee or former 
employee meets the definition of displaced in Sec.  330.702.
    (b) ICTAP eligibility ends 1 year from the date of:

[[Page 236]]

    (1) Separation by RIF under part 351 of this chapter;
    (2) Removal by the agency under part 752 of this chapter for 
declining a directed geographic relocation outside the local commuting 
area (e.g., a directed reassignment or a change in duty station);
    (3) Agency certification that it cannot place the employee under 
part 353 of this chapter; or
    (4) OPM notification that an employee's disability annuity has been, 
or will be, terminated.
    (c) ICTAP eligibility ends 2 years after RIF separation if eligible 
under subpart D of this part.
    (d) ICTAP eligibility also ends on the date the eligible:
    (1) Receives a notice rescinding, canceling, or modifying the notice 
which established ICTAP eligibility so that the employee no longer meets 
the definition of displaced in Sec.  330.702;
    (2) Separates from the agency for any reason before the RIF or 
removal effective date; or
    (3) Is appointed to a career, career-conditional, or excepted 
appointment without time limit in any agency at any grade or pay level.
    (e) OPM may extend the eligibility period when an ICTAP eligible 
does not receive a full 1 year (or 2 years under subpart D of this part) 
of eligibility, for example, because of administrative or procedural 
error.
    (f) ICTAP eligibility for a former Military Reserve Technician or 
National Guard Technician described in Sec.  330.702 ends when the 
Technician no longer receives the special disability retirement annuity 
under 5 U.S.C. 8337(h) or 8456.



Sec.  330.709  Establishing ICTAP selection priority.

    ICTAP selection priority for a specific vacancy begins when:
    (a) The ICTAP eligible submits all required application materials, 
including proof of eligibility, within agency-established timeframes; 
and
    (b) The agency determines the eligible is well-qualified for the 
vacancy.



Sec.  330.710  Proof of eligibility.

    (a) The ICTAP eligible must submit a copy of one of the documents 
listed under paragraphs (1) or (3) through (6) of the definition of 
displaced in Sec.  330.702, as applicable, to establish selection 
priority under Sec.  330.709. To establish selection priority under the 
paragraph (2) of the definition of displaced in Sec.  330.702, the ICTAP 
eligible must submit documentation of the separation or removal, as 
applicable, for example, the Notification of Personnel Action, SF 50.
    (b) The ICTAP eligible may also submit a copy of the RIF notice with 
an offer of another position accompanied by the signed declination of 
that offer. The RIF notice must state that declination of the offer will 
result in separation under RIF procedures.



Sec.  330.711  OPM's role in ICTAP.

    OPM has oversight of ICTAP and may conduct reviews of agency 
compliance and require corrective action at any time.

Subparts 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 may 
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 will cancel the application or 
eligibility of an applicant or eligible who violates this section, and 
will impose such other penalty as it considers appropriate.

Subparts K-L [Reserved]



              Subpart M_Timing of Background Investigations

    Source: 88 FR 60329, Sept. 1, 2023, unless otherwise noted.

[[Page 237]]



Sec.  330.1300  Timing of suitability inquiries in competitive hiring.

    (a) A hiring agency may not make specific inquiries concerning an 
applicant's credit background of the sort asked on the OF-306, 
Declaration for Federal Employment, or other forms used to conduct 
suitability investigations for Federal employment (i.e., inquiries into 
an applicant's adverse credit history) unless the hiring agency has made 
a conditional offer of employment to the applicant. Agencies may make 
inquiries into an applicant's Selective Service registration, military 
service, citizenship status, where applicable, or previous work history, 
prior to making a conditional offer of employment to an applicant.
    (b) However, in certain situations, agencies may have a business 
need to obtain information about the credit background of applicants 
earlier in the hiring process to determine if they meet the 
qualifications requirements or are suitable for the position being 
filled. If so, agencies must request an exception from the Office of 
Personnel Management in order to determine an applicant's ability to 
meet qualifications or suitability for Federal employment prior to 
making a conditional offer of employment to the applicant(s). OPM will 
grant exceptions only when the agency demonstrates specific job-related 
reasons why the agency needs to evaluate an applicant's adverse credit 
history earlier in the process. OPM will consider such factors as, but 
not limited to, the nature of the position being filled and whether a 
clean credit history record would be essential to the ability to perform 
one of the duties of the position effectively. OPM may also consider 
positions for which the expense of completing the examination makes it 
appropriate to review an applicant's credit background at the outset of 
the process (e.g., a position that requires that an applicant complete a 
rigorous training regimen and pass an examination based upon the 
training before the applicant's selection can be finalized). A hiring 
agency must request and receive an OPM-approved exception prior to 
issuing public notice for a position for which the agency will collect 
credit background information prior to completion of the assessment 
process and the making of a conditional offer of employment.



Sec.  330.1301  Suitability inquiries regarding criminal history.

    Agency inquiries regarding criminal history must be done in 
accordance with the requirements under chapter 92 of title 5, U.S. Code 
and part 920 of this chapter.



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.

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.
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.
332.408 Shared use of a competitive certificate.

    Authority: 5 U.S.C. 1103, 1104, 1302, 2108, 3301, 3302, 3304, 3312, 
3317, 3318, 3319; sec. 2(d),

[[Page 238]]

Pub. L. 114-137, 130 Stat. 310; E.O. 10577, 19 FR 7521, 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:
    Active military duty has the meaning given that term in 5 CFR 
211.102(f).
    Certificate means a list of eligibles from which an appointing 
officer selects one or more applicants for appointment.
    Objection means an agency's request to remove a candidate from 
consideration on a particular certificate.
    Pass over request means an objection filed against a preference 
eligible that results in the selection of a non-preference eligible.

[74 FR 30461, June 26, 2009]

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 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

[[Page 239]]

    (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 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.

[[Page 240]]



                 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 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) Delegated authority. Except as specified in paragraphs (a)(1) 
and (a)(2) of this section, OPM has delegated to agencies the authority 
to adjudicate objections to eligibles, including pass over requests.
    (1) OPM retains exclusive authority to approve the sufficiency of an 
agency's request to pass over preference eligibles who are thirty 
percent (30%) or more compensably disabled. Such persons have the right, 
in accordance with 5 U.S.C. 3318, to respond to the pass over request 
before OPM makes a final decision.
    (2) OPM also retains the exclusive authority to approve the 
sufficiency of an agency's reasons to medically disqualify or medically 
pass over a preference eligible or disabled veteran in certain 
circumstances, in accordance with part 339 of this chapter.
    (3) An agency must refer any objection (including a pass over 
request) that is based on material, intentional false statement or 
deception or fraud in examination or appointment to OPM for a 
suitability action where warranted, under part 731 of this chapter.
    (b) Standard for objections. An agency is not required to consider 
an individual for a position when an objection to (including a request 
to pass over)

[[Page 241]]

the particular individual is sustained or granted. An objection, 
including a pass over request, may be sustained only if it is based on a 
proper and adequate reason. The reasons set forth for disqualification 
by OPM in part 339 of this chapter constitute proper and adequate 
reasons to sustain an objection. Similarly, the criteria for making 
suitability determinations in part 731 of this chapter constitute proper 
and adequate reasons to sustain an objection. In addition, reasons 
published by OPM in the Delegated Examining Operations Handbook 
constitute proper and adequate reasons to sustain an objection.
    (c) Sufficiency of the reasons for a pass over. Subject to the 
exception set forth in paragraph (e) of this section, an agency may not 
pass over a preference eligible to select a non-preference eligible 
unless OPM or an agency with delegated authority also makes a 
determination that the sufficiency of the reasons is supported by the 
evidence submitted for the pass over request.
    (d) Agency's obligation while request for objection is pending. 
Subject to the exception set forth in paragraph (e) of this section, if 
an agency makes an objection against an applicant for a position 
(including seeking to pass over the applicant), and the individual that 
the agency wishes to select would be within reach of selection only if 
the objection is sustained, or the pass over granted, that agency may 
not make a selection for the position until a final ruling is made.
    (e) Applicability of paragraphs (c) and (d). Paragraphs (c) and (d) 
of this section do not apply if the agency has more than one position to 
fill from the same certificate and holds open (in the event the 
objection is not sustained or the pass over request is denied) a 
position that could be filled by the individual against whom an 
objection or a pass over request has been filed.
    (f) Procedures for objections and pass overs. Agencies must follow 
the procedures for objecting to or requesting to pass over an eligible 
that are published by OPM in the Delegated Examining Operations 
Handbook.
    (g) No appeal rights to Merit Systems Protection Board (MSPB). An 
individual may not appeal to the MSPB a decision by OPM or an agency 
with delegated authority to sustain an objection pursuant to this part, 
including a decision to grant a pass over request, irrespective of the 
reason for the decision.

[74 FR 30461, June 26, 2009]



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]



Sec.  332.408  Shared use of a competitive certificate.

    (a) General authority. (1) A hiring agency may share a competitive 
service certificate issued under its delegated examining authority with 
one or more hiring agencies for a position(s) to be filled on a 
permanent or term basis. Positions filled on a term basis are subject to 
the provisions of 5 CFR part 316, subpart C. Positions may be full-time 
or other than full-time (i.e., part-time, seasonal, on-call, and 
intermittent).
    (2) Another Federal agency may make a selection from a certificate 
shared with it under paragraph (b) of this section only after it has 
considered individuals it is required to consider when filling positions 
from within its own workforce and other internal applicants under 
paragraph (c) of this section.
    (3) All actions taken on a shared certificate must be made within 
the 240-day period beginning on the date the original hiring agency 
issued the certificate of eligibles. This period cannot be extended.
    (4) The original hiring agency and any receiving agency using a 
shared certificate must each maintain case file documentation sufficient 
for each agency to reconstruct its own use of the certificate in 
accordance with the Delegated Examining Operations Handbook, and must 
safeguard testing and examination materials, examination results, and 
the names of applicants

[[Page 242]]

from disclosure to other persons in accordance with Sec.  300.201 of 
this chapter.
    (5) All actions taken on competitive certificates must be done in 
accordance with the Delegated Examining Operations Handbook and all 
applicable regulations in this part and part 337 of this chapter.
    (6) Agencies sharing certificates must keep records of the instances 
of sharing certificates and/or using shared certificates.
    (b) Requirements for the original hiring agency. (1) A hiring agency 
may share a competitive certificate it has issued under Sec.  332.402 
(for traditional rating and ranking) or under 5 CFR 337.303 (for 
category rating) with one or more hiring agencies for use in filling a 
position(s) if:
    (i) The original hiring agency intends to use the certificate for 
its own hiring;
    (ii) The original hiring agency has provided notice within the job 
opportunity announcement for the original vacancy that the resulting 
list of eligible candidates may be used by one or more hiring agencies;
    (iii) The original hiring agency has provided an opportunity for 
applicants to opt-in to have their applications and other personal 
information shared with one or more hiring agencies;
    (iv) The original hiring agency's objections to eligibles or 
requests to pass over preference eligibles on the certificate under 
Sec.  332.406 or Sec.  337.304 of this chapter have been resolved by 
that agency's Delegated Examining Unit;
    (v) The original hiring agency has either made a selection from the 
certificate or has made no selection from the certificate, and has 
documented its reason for non-selection; and
    (vi) The Delegated Examining Unit of the original hiring agency has 
closed and audited the certificate in accordance with the procedures in 
the Delegated Examining Operations Handbook.
    (2) When sharing a certificate of eligibles, the original hiring 
agency must share all documentation pertaining to the creation of that 
certificate, including but not limited to the job analysis, testing and 
examination materials, the job opportunity announcement, and 
applications, as relevant, and must safeguard any personally 
identifiable information not needed for effective use of the certificate 
by the receiving agency. The original hiring agency must share the 
certificate of eligibles in its original form in order to retain the 
original ordering of the certificate; must safeguard any personally 
identifiable information from unauthorized access during the 
transmission process; and must redact the names of applicants who did 
not opt-in to the shared certificate, and who therefore may not be 
considered by the receiving agency.
    (3) The original hiring agency may share a certificate of eligibles 
with one or more agencies.
    (4) If the original hiring agency determines that it has made an 
error that may affect selections by a receiving agency or agencies, it 
must notify each affected receiving agency.
    (c) Requirements for the receiving agency--(1) Vacancies that may be 
filled. A receiving agency may use a shared certificate to fill a 
vacancy in the same occupational series, at the same grade level (or a 
corresponding rate or level of pay for a position excluded from the 
General Schedule), with the same full performance level, and in the same 
duty location as was listed on the original hiring agency's certificate. 
If the original hiring agency's certificate is for an interdisciplinary 
position as described in the Delegated Examining Operations Handbook, 
the receiving agency may use it to fill an interdisciplinary position. 
The receiving agency must verify through its job analysis that the 
minimum qualification requirements (including use of any selective 
placement factors) and the competencies, or knowledge, skills, and 
abilities, that were used for the original position are appropriate for 
the position to be filled.
    (2) Notification to individuals who applied to the original vacancy. 
Before using a shared certificate, a receiving agency must notify the 
list of candidates of its receipt of their names and application 
materials and its intention of considering them for a position. The 
receiving agency must also inform these individuals of its requirement 
to consider its own employees as well as other individuals the agency is

[[Page 243]]

required to consider before consideration of anyone on the shared 
certificate. At a minimum, the notification must include the agency, 
position title, series, grade level or equivalent, and duty location.
    (3) Consideration of internal candidates. Before making a selection 
from a shared certificate, a receiving agency must provide notice of its 
intent to fill the available position(s) to its own employees and other 
individuals the agency is required to consider, to provide these 
internal candidates the opportunity to apply consistent with the 
provisions of part 335 of this chapter, and to review the qualifications 
of the internal candidates.
    (i) This notice and opportunity for internal candidates to apply is 
subject to applicable collective bargaining obligations (to the extent 
consistent with law). Nothing in this paragraph affects agencies' right 
to fill a position from any appropriate source under Sec. Sec.  330.102 
and 335.103 of this chapter.
    (ii) Agencies are prohibited from providing an application period 
any longer than 10 days for internal candidates. This time limit cannot 
be waived or extended.
    (iii) Before considering other candidates, a receiving agency must 
first provide for the consideration for selection required for 
individuals covered under its Career Transition Assistance Program and 
its Reemployment Priority List under part 330, subparts B and F, of this 
chapter.
    (4) Selection from the shared certificate. After considering 
internal candidates, a receiving agency may consider candidates referred 
on the shared certificate.
    (i) The receiving agency must consider candidates on a shared 
certificate independently of the actions of any other agency with which 
the certificate is simultaneously shared under paragraph (b)(3) of this 
section.
    (ii) The receiving agency may not reassess the applicants for 
purposes of rating/ranking.
    (iii) The receiving agency must provide selection priority to 
individuals eligible under the Interagency Career Transition Assistance 
Program under part 330, subpart G, of this chapter who applied to the 
original job announcement.
    (5) Time limit on selection from a shared certificate. The receiving 
agency has 240 days from the date the certificate was issued (in the 
original hiring agency) to select individuals from the shared 
certificate.
    (6) Limit on further sharing by the receiving agency. The receiving 
agency may not share or distribute the shared certificate to another 
Federal agency.

[82 FR 5339, Jan. 18, 2017]

                           PART 333 [RESERVED]



PART 334_TEMPORARY ASSIGNMENTS UNDER THE INTERGOVERNMENTAL 
PERSONNEL ACT (IPA)--Table of Contents



Sec.
334.101 Purpose.
334.102 Definitions.
334.103 Requirements for 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: 71 FR 54565, Sept. 18, 2006, unless otherwise noted.



Sec.  334.101  Purpose.

    The purpose of this part is to implement title IV of the 
Intergovernmental Personnel Act (IPA) of 1970 and title VI of the Civil 
Service Reform Act. These statutes authorize the temporary assignment of 
employees between the Federal Government and State, local, and Indian 
tribal governments, institutions of higher education and other eligible 
organizations.



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, for purposes of participation in this Program, means an 
individual serving in a Federal agency under a career or career-
conditional

[[Page 244]]

appointment, including a career appointee in the Senior Executive 
Service, an individual under an appointment of equivalent tenure in an 
excepted service position, 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 as defined in 5 U.S.C. 3371(3) 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;
    Indian tribal government as defined in 5 U.S.C. 3371(2)(c) means 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;
    Institution of higher education means a domestic, accredited public 
or private 4-year and/or graduate level college or university, or a 
technical or junior college;
    Local government as defined in 5 U.S.C. 3371(2)(A) and (B) means:
    (1) Any political subdivision, instrumentality, or authority of a 
State or States; and
    (2) Any general or special purpose agency of such a political 
subdivision, instrumentality, or authority;
    Other organization as defined in 5 U.S.C. 3371(4) means:
    (1) A national, regional, Statewide, area wide, or metropolitan 
organization representing member State or local governments;
    (2) An association of State or local public officials;
    (3) A nonprofit organization which offers, as one of its principal 
functions, professional advisory, research, educational, or development 
services, or related services, to governments or universities concerned 
with public management; or
    (4) A federally funded research and development center.
    State as defined in 5 U.S.C. 3371(1) 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; an instrumentality 
or authority of a State or States; and a Federal-State authority or 
instrumentality.

[71 FR 54565, Sept. 18, 2006, as amended at 77 FR 28215, May 11, 2012]



Sec.  334.103  Requirements for approval of instrumentalities or 
authorities of State and local governments and ``other organizations.''

    (a) Organizations interested in participating in the IPA 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 must 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 participate in the program.

[[Page 245]]

    (d) An organization denied certification by an agency may request 
reconsideration by the Office of Personnel Management (OPM).



Sec.  334.104  Length of assignment.

    (a) The head of a Federal agency, or his or her designee, may make 
an assignment for up to 2 years, which may be extended for up to 2 more 
years if the parties agree.
    (b) A Federal agency may not send an employee on an assignment if 
that person is a Federal employee and has participated in this program 
for more than a total of 6 years during his or her Federal career. OPM 
may waive this restriction upon the written request of the agency head, 
or his or her designee.
    (c) A Federal agency may not send or receive an employee on an 
assignment if the employee has participated in this program for 4 
continuous years without at least a 12-month return to duty with the 
organization from which the employee was originally assigned. Successive 
assignments with a break of no more than 60 calendar days will be 
regarded as continuous service under the mobility authority.



Sec.  334.105  Obligated service requirement.

    (a) A Federal employee assigned under this part 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.



Sec.  334.106  Requirement for written agreement.

    (a) Before the assignment begins, the assigned employee and the 
Federal agency, the State, local, Indian tribal government, institution 
of higher education, or other eligible organization must enter into a 
written agreement recording the obligations and responsibilities of the 
parties, as specified in 5 U.S.C. 3373-3375.
    (b) Federal agencies must maintain a copy of each assignment 
agreement form established under this part, including any modification 
to the agreement. The agency may determine the appropriate time period 
for retaining copies of its written agreements.



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, Indian tribal government, 
institution of higher education, or other organization participating in 
this program. 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 the 
employee's 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 or original 
employer.
    (d) OPM has the authority to direct Federal agencies to terminate 
assignments or take other corrective actions when OPM finds assignments 
have been made in violation of the requirements of the Intergovernmental 
Personnel Act or this part.



Sec.  334.108  Reports required.

    A Federal agency which assigns an employee to or receives an 
employee from a State, local, Indian tribal government, institution of 
higher education, or other eligible organization in accordance with this 
part must submit to OPM such reports as OPM may request.

[[Page 246]]



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.
335.107 Special selection procedures for land management eligibles under 
          merit promotion.

Subpart B [Reserved]

    Authority: 5 U.S.C. 2301, 2302, 3301, 3302, 3330; E.O. 10577, E.O. 
11478, 3 CFR 1966-1970, Comp., page 803, unless otherwise noted, E.O. 
13087; and E.O. 13152, 3 CFR 19554-58 Comp., p.218; 5 U.S.C. 3304(f), 
and Pub. L. 106-117, and 5 CFR 2.2 and 7.1.

    Effective Date Note: At 88 FR 84690, Dec. 6, 2022, the authority 
citation for part 335 was revised, effective Jan. 5, 2024. For the 
convenience of the user, the revised text is set forth as follows:
    Authority: 5 U.S.C. 3301, 3302, 3330; E.O. 10577, 3 CFR 1954-1958 
Comp., p. 218; 5 U.S.C. 3304(f); Pub. L. 106-117; Pub. L. 114-47, sec. 
2(a) (Aug. 7, 2015), as amended by Pub. L. 114-328, sec. 1135 (Dec. 23, 
2016), codified at 5 U.S.C. 9602.



                      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.

[[Page 247]]

    (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 
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 that 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--must be made without regard to race, color, religion, sex 
(including pregnancy and gender identity), national origin, age (as 
defined by the Age Discrimination in Employment Act of 1967, as 
amended), disability, genetic information (including family medical 
history), marital status, political affiliation, sexual orientation, 
labor organization affiliation or nonaffiliation, status as a parent, or 
any other non-merit-based factor, unless specifically designated by 
statute as a factor that must be taken into consideration when awarding 
such benefits, or retaliation for exercising rights with respect to the 
categories enumerated above, where retaliation rights are available, and 
must 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 Recruitment 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.

[[Page 248]]

    (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 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 if the individual did 
not wait 1 year or more after separating from Federal employment before 
applying for reinstatement, or did not receive a rating of record for 
his or her most recent career or career-conditional position of at least 
Fully Successful (or equivalent).
    (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

[[Page 249]]

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.
    (viii) Reinstatement in accordance with 5 CFR part 315 to any 
position in the competitive service for which the individual is 
qualified at a higher grade level or with more promotion potential than 
a career or career-conditional position previously held by the 
individual; provided: The individual has been separated for at least one 
year before applying for reinstatement, and the individual must have 
received a rating of record for his or her most recent career or career-
conditional position of at least Fully Successful (or equivalent).
    (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 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; 
70 FR 72067, Dec. 1, 2005; 79 FR 43922, July 29, 2014; 86 FR 30379, June 
8, 2021]



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 
Successful'' (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 part 330, subpart A of this chapter.

[66 FR 63906, Dec. 11, 2001, as amended at 75 FR 67605, Nov. 3, 2010]



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]



Sec.  335.107  Special selection procedures for land management
eligibles under merit promotion.

    A current or former land management employee of a land management 
agency, who is a land management eligible, as defined in Sec.  
315.613(b)(3) of this

[[Page 250]]

chapter, may compete, if otherwise qualified for:
    (a) A permanent position at any agency (including, but not limited 
to, a land management agency), in accordance with the provisions of 
Sec.  315.613 of this chapter, when that agency is accepting 
applications from individuals outside its own workforce under merit 
promotion procedures. A land management eligible so selected will be 
given a career or career-conditional appointment under Sec.  315.613; or
    (b) A permanent position at the land management agency with which 
the individual was most recently an employee, in accordance with the 
provisions of Sec.  315.613 of this chapter, when the agency is 
accepting applications from individuals within the agency's workforce 
under its merit promotion procedures. A land management eligible so 
selected will be given a career or career-conditional appointment under 
Sec.  315.613.

[88 FR 84690, Dec. 6, 2023]

    Effective Date Note: At 88 FR 84690, Dec. 6, 2023 Sec.  335.107 was 
added, effective Jan. 5, 2024.

Subpart B [Reserved]



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.

          Subpart C_Alternative Rating and Selection Procedures

337.301 Coverage and purpose.
337.302 Definitions.
337.303 Agency responsibilities.
337.304 Veterans' preference.

    Authority: 5 U.S.C. 1104(a), 1302, 2302, 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; 116 Stat. 2135, 2290; 117 Stat. 
1392, 1665; and E.O. 13833.



                      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 otherwise provided in 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 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, as amended at 72 FR 12954, Mar. 20, 2007]



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

[[Page 251]]

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: 69 FR 33275, June 15, 2004, 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(a)(3) 
for a permanent or nonpermanent position or group of positions in the 
competitive service at GS-15 (or equivalent) and below, if OPM 
determines that there is either a severe shortage of candidates or a 
critical hiring need for such positions. It is not required that this 
direct-hire authority be exercised by a delegated examining unit. 
Requests for direct-hire authority must be submitted by the agency's 
Chief Human Capital Officer (or equivalent) at the agency headquarters 
level. OPM will determine the length of the direct-hire authority based 
on the justification.



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; part 211 of this chapter; and 
subpart A of part 337 of this chapter.
    (b) A severe shortage of candidates for a particular position or 
group of positions means that an agency is having difficulty identifying 
candidates possessing the competencies or the knowledge, skills, and 
abilities required to perform the job requirements despite extensive 
recruitment, extended announcement periods, and the use, as applicable, 
of hiring flexibilities such as recruitment or relocation incentives or 
special salary rates.
    (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 circumstances such as, but 
not limited to, a national emergency, threat, potential threat, 
environmental disaster, or unanticipated or unusual event or mission 
requirement, or to conform to the requirements of law, a Presidential 
directive or Administration initiative.



Sec.  337.203  Public notice requirements.

    Agencies must comply with public notice requirements as prescribed 
in 5 U.S.C. 3327 and 3330, and subpart A of part 330 of this chapter 
with respect to any position that an agency seeks to fill using direct-
hire authority.

[69 FR 33275, June 15, 2004, as amended at 75 FR 67605, Nov. 3, 2010]



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 independently that such a shortage exists, or 
may make this decision in response to a written request from an agency.
    (b) An agency when requesting direct-hire authority under this 
section, or OPM when deciding independently, must identify the position 
or positions that are difficult to fill and must provide 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:
    (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;

[[Page 252]]

    (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 agency use of 
hiring flexibilities such as recruitment or retention allowances or 
special salary rates.
    (c) A department or agency head (other than the Secretary of 
Defense) may determine, pursuant to section 1413(a) of Public Law 108-
136, as amended by section 853 of Public Law 110-181, that a shortage of 
highly qualified candidates exists for certain Federal acquisition 
positions (covered under section 433(g)(1)(A) of title 41, United States 
Code). To make such a determination, the deciding agency official must 
use the supporting evidence prescribed in 5 CFR 337.204(b)(1)-(8) and 
must maintain a file of the supporting evidence for documentation and 
reporting purposes.
    (d) Information Technology (IT) positions. (1) The head of a covered 
agency, as defined in paragraph (d)(2) of this section, may determine 
whether a severe shortage of candidates exists at that agency for any 
position in the information technology management series, general 
schedule (GS)-2210 or equivalent. In making such a determination, a 
covered agency must adhere to and use the supporting evidence prescribed 
in 5 CFR 337.204(b)(1)-(8). For purposes of paragraph (b)(5) of this 
section, the U.S. Department of Veterans Affairs (VA) need only 
determine whether a severe shortage of highly-qualified candidates 
exists. In addition, a covered agency must maintain a file of the 
supporting evidence for documentation and reporting purposes. Upon 
determination of such a finding, an agency head may approve a direct 
hire authority for covered positions within the agency.
    (2) Covered agency. A covered agency is an entity listed in 31 
U.S.C. 901(b) (except the Department of Defense), or an independent 
regulatory agency defined in 44 U.S.C. 3502(5).
    (3) Notification to the U.S. Office of Personnel Management (OPM). 
Once the head of a covered agency affirmatively determines the presence 
of a severe shortage and the direct hire authority is approved by the 
agency head, he or she must notify OPM within 10 business days. Such 
notification must include a description of the supporting evidence 
relied upon in making the determination.
    (4) Using this authority. A covered agency must adhere to all 
provisions of subpart B of this part.
    (5) Length of appointments. A covered agency may use this authority 
to appoint individuals for a period of more than 1 year, but not more 
than 4 years.
    (i) A covered agency may extend any appointment under this authority 
for up to 4 additional years, if the direct hire authority remains in 
effect.
    (ii) No individual may serve more than 8 years on an appointment 
made under these provisions for information technology positions.
    (iii) No individual hired under these provisions may be transferred 
to positions that are not IT positions.

[69 FR 33275, June 15, 2004, as amended at 70 FR 44847, Aug. 4, 2005; 74 
FR 61263, Nov. 24, 2009; 84 FR 12875, Apr. 3, 2019]



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 independently that such a need exists or may 
make this decision in response to a written request from an agency.
    (b) An agency when requesting direct-hire authority under this 
section, or OPM when deciding on its own, must:
    (1) Identify the position(s) that must be filled;
    (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

[[Page 253]]

    (4) Include supporting evidence that demonstrates why the use of 
other hiring authorities is impracticable or ineffective.
    (c) Information Technology (IT) positions. (1) The head of a covered 
agency, as defined in paragraph (c)(2) of this section, may determine 
whether a critical hiring need exists for any position in the 
information technology management series, general schedule (GS)-2210 or 
equivalent. In making such a determination, a covered agency must adhere 
to and use the supporting evidence criteria prescribed in paragraphs 
(b)(1) through (4) of this section. In addition, a covered agency must 
maintain a file of the supporting evidence for documentation and 
reporting purposes. Upon determination of such a finding, an agency head 
may approve a direct hire authority for covered positions within the 
agency.
    (2) Covered agency. A covered agency is an entity listed in 31 
U.S.C. 901(b) (excluding the Department of Defense), or an independent 
regulatory agency defined in 44 U.S.C. 3502(5).
    (3) Notification to the U.S. Office of Personnel Management (OPM). 
Once the head of a covered agency affirmatively determines the presence 
of a critical hiring need and the direct hire authority is approved by 
the agency head, he or she must notify OPM within 10 business days. Such 
notification must include a description of the supporting evidence 
relied upon in making the determination.
    (4) Using this authority. A covered agency must adhere to all 
provisions of subpart B of this part.
    (5) Length of appointments. A covered agency may use this authority 
to appoint individuals for a period of more than 1 year, but not more 
than 4 years, if the direct hire authority remains in effect.
    (i) A covered agency may extend an appointment under this authority 
for up to 4 additional years.
    (ii) No individual may serve more than 8 years on an appointment 
made under these provisions for information technology positions.
    (iii) No individual hired under these provisions may be transferred 
to positions that are not IT positions.

[69 FR 33275, June 15, 2004, as amended at 84 FR 12875, Apr. 3, 2019]



Sec.  337.206  Terminations, modifications, extensions, and reporting.

    (a) Termination and modification. On a periodic basis, for each 
direct-hire authority, OPM will review agency use of the authority to 
ensure proper administration and to determine if continued use of the 
authority is supportable. OPM will terminate or modify a direct-hire 
authority if it determines that there is no longer a severe shortage of 
candidates or a critical hiring need. Likewise, when an agency finds 
there are adequate numbers of qualified candidates for positions 
previously filled under direct-hire authorities, based on severe 
shortage of candidates, the agency is required to report this change of 
events to OPM. OPM may also terminate an agency's authority when the 
agency has used an authority improperly.
    (b) Extension. OPM may extend direct-hire authority if OPM 
determines, based on relevant, recent, and supportable data, that there 
is or will continue to be a severe shortage of candidates or a critical 
hiring need for particular positions as of the date the authority is due 
to expire. In their requests for extensions of direct-hire authorities, 
agencies must include an update of the supporting evidence that 
demonstrated the need for the original authority.
    (c) Reporting requirement. On a periodic basis, OPM may request 
information from agencies regarding their use of these direct-hire 
authorities. The requested information may include numbers of positions, 
title, series, and grade of positions advertised under the direct-hire 
authority, the number of qualified applicants, the specific 
qualification criteria, and the number of applicants appointed under the 
authority.
    (d) No new appointments may be made under the provisions of section 
1413 of Public Law 108-136 after September 30, 2012.

[69 FR 33275, June 15, 2004, as amended at 70 FR 44847, Aug. 4, 2005; 74 
FR 61263, Nov. 24, 2009]

[[Page 254]]



          Subpart C_Alternative Rating and Selection Procedures

    Source: 69 FR 33276, June 15, 2004, 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-related competencies or similar levels of knowledge, 
skills, and abilities.



Sec.  337.303  Agency responsibilities.

    To use a category rating procedure, 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 
competencies or their knowledge, skills, and abilities; 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 5 U.S.C. 
3319(b) and (c)(7);
    (b) Veterans' preference points as prescribed in Sec.  337.101 are 
not applied in category rating; and
    (c) Sections 3319(b) and 3319(c)(7) of title 5 U.S.C. constitute 
veterans' preference requirements for purposes of 5 U.S.C. 
2302(b)(11)(A) and (B).

[82 FR 5340, Jan. 18, 2017]



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

[[Page 255]]

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]

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 disability laws.
339.104 Definitions.

    Subpart B_Medical Standards, Physical Requirements, and Medical 
                           Evaluation Programs

339.201 Disqualification by OPM.
339.202 Medical standards.
339.203 Physical requirements
339.204 Waiver of standards and requirements and medical review boards.
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 Medical examination procedures.
339.304 Payment for examination.
339.305 Records and reports.
339.306 Processing medical eligibility determinations.

    Authority: 5 U.S.C. 1104(a), 1302(a), 3301, 3302, 3304, 3312, 3318, 
3320, 3504, 5112; 39 U.S.C. 1005, Executive Order 10577, Rule II, 
codified as amended in 5 CFR 2.1(a).

    Source: 82 FR 5350, Jan. 18, 2017, unless otherwise noted.



                            Subpart A_General



Sec.  339.101  Coverage.

    This part applies to--
    (a) Applicants for and employees in competitive service positions; 
and
    (b) Applicants for and employees in positions excepted from the 
competitive service when medical issues arise in connection with an OPM 
regulation that governs a particular personnel action, such as 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 OPM permits 
medical documentation to be required and examinations and/or evaluations 
conducted to determine the nature of a medical condition that affects 
safe and efficient performance.
    (b) Personnel decisions based wholly or in part on the review of 
medical documentation, as defined below, and the results of medical 
examinations and evaluations must be made in accordance with appropriate 
sections of this part.

[[Page 256]]

    (c) Failure to meet medical (which may include psychological) 
standards and/or physical requirements established under this part means 
that the applicant or employee is not qualified for the position, unless 
reasonable accommodation or a waiver is appropriate, in accordance with 
Sec. Sec.  339.103 and 339.204. An employee's refusal to be examined or 
provide medical documentation, as defined below, in accordance with a 
proper agency order authorized under this part, constitutes a basis for 
appropriate disciplinary or adverse action. After a tentative job offer 
of employment conditioned on completion of a medical examination, an 
applicant's refusal to be examined or provide medical documentation, as 
defined below, may result in the applicant's removal from further 
consideration for the position.



Sec.  339.103  Compliance with disability laws.

    (a) The Americans with Disabilities Act (ADA) of 1990, as amended by 
the Amendments Act of 2008 (collectively the ADA), establishes 
prohibitions against discrimination and the requirements for reasonable 
accommodation that apply to the Federal Government through the 
Rehabilitation Act of 1973, as amended, 29 U.S.C. 791(f). Consequently, 
actions under this part must comply with the non-discrimination 
provisions of the Rehabilitation Act, the non-discrimination provisions 
of the ADA, and their implementing regulations.
    (b) Use of the term ``qualified'' in this part must comply with the 
Rehabilitation Act, as amended, and the ADA, as amended. Specifically, a 
``qualified individual with a disability'' means that the individual 
possess the requisite skill, experience, education, and other job-
related requirements of an employment position that the individual holds 
or seeks, and can perform the essential functions of the position with 
or without reasonable accommodation.



Sec.  339.104  Definitions.

    For purposes of this part--
    Accommodation means reasonable accommodation as described in the 
ADA.
    Arduous or hazardous positions means positions that are dangerous or 
physically demanding to such a degree that an employee's medical and/or 
physical condition is necessarily an important consideration in 
determining ability to perform safely and efficiently.
    Medical condition means a health impairment which results from 
birth, injury or disease, including mental disorder.
    Medical documentation or documentation of a medical condition means 
a copy of a dated, written and signed statement, or a dated copy of 
actual medical office or hospital records, from a licensed physician or 
other licensed health practitioner, as these terms are defined below, 
that contains necessary and relevant information to enable the agency to 
make an employment decision. To be acceptable, the diagnosis or clinical 
impression must be justified according to established diagnostic 
criteria and the conclusions and recommendations must be consistent with 
generally accepted professional standards. The determination that the 
diagnosis meets these criteria is made by or in coordination with a 
licensed physician or, if appropriate, a practitioner of the same 
discipline as the one who issued the documentation. An acceptable 
diagnosis must include the information identified by the agency as 
necessary and relevant to its employment decision. This information may 
include, but is not limited to, the following:
    (1) The history of the medical condition(s), including references to 
findings from previous examinations, treatment, and responses to 
treatment;
    (2) Clinical findings from the most recent medical evaluation, 
including any of the following: Findings of physical examination; 
results of laboratory tests; X-rays; EKGs and/or other special 
evaluations or diagnostic procedures; and, in the case of psychiatric 
examination or psychological assessment, the findings of a mental status 
examination and/or the results of psychological tests, if appropriate;
    (3) Diagnosis, including the current clinical status;
    (4) Prognosis, including plans for future treatment and an estimate 
of the

[[Page 257]]

expected date of full or partial recovery;
    (5) An explanation of the impact of the medical condition(s) on 
overall health and activities, including the basis for any conclusion as 
to whether restrictions or accommodations are necessary and, if 
determined to be necessary, an explanation supporting that 
determination; and, either of the following:
    (6) An explanation of the medical basis for any conclusion that 
indicates the likelihood that the applicant or employee will suffer 
sudden incapacitation or subtle incapacitation by carrying out, with or 
without accommodation, the tasks or duties of a specific position; or
    (7) 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 applicant or employee may 
experience sudden incapacitation 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, 
such as a result of the normal aging process, or in response to the work 
environment or the work itself.
    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. For example, an agency policy or 
directive may include medical clearances and medical surveillance to 
test for occupational exposure to biological, chemical, and/or 
radiological hazardous agents, occupational diseases, and occupational 
risk.
    Medical restriction is a medical determination that an applicant or 
employee is limited, or prevented from performing a certain type or 
duration of work or activity (e.g., standing and/or ability to 
concentrate) or motion (e.g., bending, lifting, pulling), because of a 
particular medical condition or physical limitation. The purpose of a 
medical restriction is to try to prevent aggravation, acceleration, 
exacerbation, or permanent worsening of the medical condition or 
physical limitation.
    Medical standard is a written description of the minimum medical 
requirements necessary for an applicant or employee to perform essential 
job duties as a condition of employment.
    Medical surveillance is the on-going systematic collection and 
analysis of health data to improve and protect the health and safety of 
employees in the workplace, and to monitor for health trends both in 
individual workers and in population of workers. Medical surveillance 
can include the tracking of occupational injuries, illnesses, hazards, 
and exposures, as well as laboratory and examination-based medical data, 
in order to identify findings that could provide an early warning of, or 
indicate the risk for, an occupational disease. Medical surveillance 
also is part of compliance with those Federal and state regulations that 
require medical monitoring when employees use or are exposed to certain 
hazardous materials.
    Physical requirement is a written description of job-related 
physical abilities that are essential for performance of the duties of 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, 
licensed by a State, and/or registered as a health professional to 
provide the health service in question.
    Subtle incapacitation means gradual, initially imperceptible 
impairment of physical or mental function, whether reversible or not, 
which is likely to result in safety, performance and/or conduct issues 
that may undermine the agency's commitment to maintaining a safe working 
environment for all employees and others.
    Sudden incapacitation means abrupt onset of loss of control of 
physical or mental function(s), whether reversible

[[Page 258]]

or not, which is likely to result in safety, performance or conduct 
issues that may undermine the agency's commitment to maintaining a safe 
working environment for all employees and others.



    Subpart B_Medical Standards, Physical Requirements, and Medical 
                           Evaluation Programs



Sec.  339.201  Disqualification by OPM.

    OPM must review and decide upon an agency's request to pass over a 
candidate, who is a preference eligible, on medical grounds pursuant to 
Sec.  339.306. OPM may deny an applicant employment by reason of 
physical or mental unfitness for the position for which he or she has 
applied. An OPM decision under this section or Sec.  339.306 is separate 
and distinct from a determination of disability pursuant to statutory 
provisions for disability retirement under the Civil Service Retirement 
System and the Federal Employees' Retirement System.



Sec.  339.202  Medical standards.

    OPM may establish and/or approve medical standards for a 
Governmentwide occupation (i.e., an occupation common to more than one 
agency) or approve revisions to its established medical standards. An 
individual 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 positions are arduous 
or hazardous, or require a certain level of health status for successful 
performance when the nature of the positions involves a high degree of 
responsibility toward the public or sensitive national security 
concerns. The rationale for establishing the standard must be documented 
and supported by a study(ies) or evaluation(s) establishing the medical 
standard is job-related to the occupation(s). Medical standards 
established by agencies must be approved by OPM prior to implementation. 
Standards established by OPM or an agency must be:
    (a) Established by written directive and uniformly applied, and
    (b) Directly related to the actual performance and requirements 
necessary for the performance of the duties of the position.



Sec.  339.203  Physical requirements.

    (a) An agency may establish physical requirements for individual 
positions without OPM approval when such requirements are considered 
essential for performance of the duties of a specific position. Physical 
requirements must be clearly supported by the actual duties of the 
position, documented in the position description, and supported by a 
study(ies) or evaluation(s) establishing physical requirement(s) is job-
related to the occupation(s).
    (b) An applicant or employee may not be disqualified arbitrarily on 
the basis of physical requirements or other criteria that do not relate 
specifically to performance of the duties of a specific position.



Sec.  339.204  Waiver of standards and requirements and medical review boards.

    (a) An agency must waive a medical standard or physical requirement 
established under this part when an applicant or employee, unable to 
meet that standard or requirement, presents sufficient evidence that the 
applicant or employee, with or without reasonable accommodation, can 
perform the essential duties of the position without endangering the 
health and safety of the applicant or employee or others. Additional 
information obtained by the agency may be considered in determining 
whether a waiver is appropriate. An agency may establish timeframes, in 
writing, for submission of initial or additional information for 
consideration, with allowance for reasonable extensions.
    (b) Agencies may, but are not required to, establish medical review 
boards to help the agency provide a case-by-case, fact-based, 
individualized assessment whenever an individual is found to not meet 
agency medical standards or physical requirements. An agency may also 
use a medical review board as a forum for a higher level of review 
within the agency when medical questions or issues arise. If 
established, the Board is expected to recommend

[[Page 259]]

administrative actions that are consistent with applicable law, as well 
as applicable and current medical practice standards of care, through 
the combined expertise of its members.
    (c) The use and composition of a medical review board will be 
determined by the agency. Upon request, an agency will provide to OPM 
information regarding the composition and use of medical review boards. 
OPM may issue guidance from time to time as to best practices with 
respect to the composition and use of such boards.



Sec.  339.205  Medical evaluation programs.

    Agencies may establish periodic medical examinations, medical 
surveillance, or immunization programs by written policies or directives 
to safeguard the health of employees whose work may expose them or 
others to significant health or safety risks due to occupational or 
environmental exposure or demands. This may include the requirement to 
undergo vaccination with products approved by the Food and Drug 
Administration (e.g., for national security reasons or in order to 
fulfill the duties of a position designated as national security 
sensitive). 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 employees notified in writing of the 
reasons for including the positions in the program.



Sec.  339.206  Disqualification on the basis of medical history.

    An employee or applicant may not be disqualified for any position 
solely on the basis of medical history. For positions subject to medical 
standards and/or physical requirements, and for positions under medical 
evaluation programs, a history of a particular medical condition may 
result in medical disqualification only if the condition at issue is 
itself disqualifying, recurrence of the condition is based on reasonable 
medical judgment, and the duties of the position are such that a 
recurrence of the condition would pose a significant risk of substantial 
harm to the health and safety of the applicant or employee or others 
that cannot be eliminated or reduced by reasonable accommodation or any 
other agency efforts to mitigate risk.



                     Subpart C_Medical Examinations



Sec.  339.301  Authority to require an examination.

    (a) A routine pre-employment medical examination is appropriate only 
for a position with specific medical standards and/or physical 
requirements, or that is covered by a medical evaluation program 
established under this part.
    (b) Subject to Sec.  339.103, an agency may require an applicant or 
employee who has applied for or occupies a position that has medical 
standards and/or physical requirements, or is covered by a medical 
evaluation program established under this part, to report for a medical 
examination:
    (1) Subsequent to a tentative offer of employment or reemployment 
(including return to work from medically based absence on the basis of a 
medical condition);
    (2) On a regularly recurring, periodic basis after appointment in 
accordance with Sec.  339.205; or
    (3) Whenever the agency has a reasonable belief, based on objective 
evidence, that there is a question about an employee's continued 
capacity to meet the medical standards or physical 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 injury 
or disease covered under the provisions of the Federal Employees' 
Compensation Act to report for an examination to determine medical 
limitations that may affect job placement decisions.
    (d) An agency may require an employee who is released from his or 
her competitive level in a reduction in force under part 351 of this 
chapter to undergo a relevant medical evaluation if the position to 
which the employee has assignment rights has medical standards and/or 
physical requirements, that 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:

[[Page 260]]

    (i) The result of a current general medical examination that the 
agency has the authority to order under this section indicates no 
physical explanation for behavior or actions that may affect the safe 
and efficient performance of the applicant or employee, the safety of 
others, and/or the vulnerability of business operation and information 
systems to potential threats, or
    (ii) A psychiatric examination or psychological assessment is part 
of the medical standards for a position having medical standards or 
required under a medical evaluation program established under this part.
    (2) A psychiatric examination or psychological assessment authorized 
under paragraphs (e)(1) of this section must be conducted in accordance 
with accepted professional standards by a licensed physician certified 
in psychiatry by the American Board of Psychiatry and Neurology or the 
American Osteopathic Board of Psychiatry and Neurology, or by a licensed 
psychologist or clinical neuropsychologist, and may only be used to make 
inquiry into a person's mental fitness as it directly relates to 
successfully performing the duties of the position without significant 
risk to the applicant or employee or others, and/or to the vulnerability 
of business operation and information systems to potential threats.



Sec.  339.302  Authority to offer examinations.

    An agency may, at its option, offer a medical examination (including 
a psychiatric examination or psychological assessment) in situations 
where the agency needs additional medical documentation to make an 
informed management decision. This may include situations where an 
employee requests, for medical reasons, a change in duty status, 
assignment, working conditions, or any other different treatment 
(including reasonable accommodation or return to work on the basis of 
full or partial recovery from a medical condition) or where the employee 
has a performance or conduct problem that may require agency action. 
Reasons for offering an examination must be documented. When an offer of 
an examination has been made by an agency and the offer has been 
accepted by the applicant or employee, the examination must be carried 
out in accordance with the authorities cited in Sec.  339.103. The 
results of the examination must also be used in accordance with the 
authorities cited in Sec.  339.103.



Sec.  339.303  Medical examination procedures.

    (a) When an agency requires or offers a medical or psychiatric 
examination or psychological assessment under this subpart, it must 
inform the applicant or employee in writing of its reasons for doing so, 
the consequences of failure to cooperate, and the right to submit 
medical information from his or her private physician or practitioner. A 
single written notification is sufficient to cover a series of regularly 
recurring or periodic examinations ordered under this subpart. An agency 
may establish timeframes, in writing, for submission of medical 
documentation, with allowances for reasonable extensions.
    (1) Refusal or failure to report for a medical examination ordered 
by the agency may be a basis for a determination that the applicant or 
employee is not qualified for the position. In addition, an employee may 
be subject to adverse action.
    (2) Refusal or failure on the part of an applicant or the employee 
to authorize release of any results from an agency ordered or offered 
medical examination issued in accordance with Sec. Sec.  339.301 or 
339.302, or the results of any previous medical treatments or 
evaluations relative to the identified medical issue, to authorized 
agency representatives, including the agency physician or medical review 
officer and/or independent medical specialists, may be a basis for 
disqualification for the position by the hiring agency. In addition, an 
employee may be subject to adverse action.
    (b) The agency designates the examining physician or other 
appropriate practitioner, but must offer the applicant or employee an 
opportunity to submit medical documentation from his or her private 
physician or practitioner for consideration in the medical examination 
process. The agency must review and consider all such documentation 
supplied by the private physician or practitioner. The applicant or

[[Page 261]]

employee must authorize release of this documentation to all authorized 
agency representatives. In situations where the medical documentation of 
the applicant or employee's private physician or practitioner is 
contradictory and cannot be resolved by the examining physician or the 
agency physician or medical review officer, the agency may, at its 
option, pursue another opinion from an appropriate specialist at agency 
expense. An applicant or employee also may, at his or her option, pursue 
another opinion from an appropriate specialist at his or her expense in 
the event of conflicting or contradictory medical documentation.



Sec.  339.304  Payment for examination.

    (a) An agency must pay for all medical and/or psychological and/or 
psychiatric examinations required or offered by the agency under this 
subpart, whether conducted by the agency's physician or medical review 
officer, an independent medical evaluation specialist (e.g., 
occupational audiologist) identified by the agency, or a licensed 
physician or practitioner chosen by the applicant or employee. This 
includes special evaluations or diagnostic procedures required by an 
agency.
    (b) Following conclusion of the initial medical, psychological, and/
or psychiatric examination, the agency physician or medical review 
officer will render a final medical determination. In certain final 
medical ineligibility determinations, the agency physician or medical 
review officer may reference supplemental medical examination, testing 
or documentation, which the applicant or employee may submit to the 
agency for consideration and further review relative to potential 
medical eligibility. Under these circumstances, the applicant or 
employee is responsible for payment of this further examination, testing 
and documentation.
    (c) An applicant or employee must pay to obtain all relevant medical 
documentation from his or her private licensed physician or required 
practitioners in instances where no medical examination is required or 
offered by the agency, but where the agency requests the applicant or 
employee to provide medical documentation relative to an identified 
medical or physical condition in question or where the agency needs 
medical documentation to render an informed management decision.
    (d) An applicant or employee must pay for a medical examination 
conducted by his or her private licensed physician or practitioner where 
the purpose of the examination is to secure a change sought by an 
applicant (e.g., new employment) or by an employee (e.g., a request for 
change in duty status, reasonable accommodation, and/or job 
modification).



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 part 
293, subpart E, of this chapter.
    (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), Employment Standards Administration, Department of 
Labor, a copy of all medical documentation and reports of examinations 
of employees who are receiving or have applied for injury compensation 
benefits under 5 U.S.C. chapter 81, including continuation of pay. The 
agency must also report to OWCP the failure of such employees to report 
for examinations that the agency orders under this subpart. When the 
employee has applied for disability retirement, this information and any 
medical documentation or reports of examination must be forwarded to 
OPM.



Sec.  339.306  Processing medical eligibility determinations.

    (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:

[[Page 262]]

    (1) Medically disqualify or pass over a preference eligible in order 
to select a nonpreference eligible for:
    (i) A competitive service position under part 332 of this chapter; 
or
    (ii) An excepted service position in the executive branch subject to 
title 5, U.S. Code;
    (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 under 
Sec.  351.702(d) of this chapter; or
    (4) Medically disqualify a 30 percent or more disabled veteran for 
noncompetitive appointment, for example, under Sec.  316.302(b)(4) of 
this chapter.



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.

    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;

[[Page 263]]

    ``(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 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.


[[Page 264]]


``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);
    (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; 49 FR 17722, Apr. 25, 1984, 
unless otherwise noted.

[[Page 265]]



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 
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

[[Page 266]]

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 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.

[[Page 267]]



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.

             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

[[Page 268]]

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.
    (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

[[Page 269]]

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:
    (1) The fourth step of the grade for a position covered by the 
General Schedule, using the locality rate authorized by 5 U.S.C. 5304 
and subpart F of part 531 of this chapter for General Schedule 
positions;
    (2) The prevailing rate for a position covered by a wage-board or 
similar wage-determining procedure, such as provided in the definition 
of representative rate for Federal Wage System positions in 5 CFR 
532.401 of this chapter;
    (3) For positions in a pay band, the rate (or rates) the agency 
designates as representative of that pay band or competitive levels 
within the pay band, including (as appropriate) any applicable locality 
payment authorized by 5 U.S.C. 5304 and subpart F of part 531 of this 
chapter (or equivalent payment under other legal authority); and
    (4) For other positions (e.g., positions in an unclassified pay 
system), the rate the agency designates as representative of the 
position, including (as appropriate) any applicable locality payment 
authorized by subpart F of part 531 (or equivalent payment under other 
legal authority).
    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; 73 FR 29388, May 21, 
2008]



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

[[Page 270]]

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.
    (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--

[[Page 271]]

    (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 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, except as 
provided in paragraph (e) of this section, 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.
    (e) When an agency finds that a competitive area defined under 
paragraph

[[Page 272]]

(b) of this section includes pay band positions and positions not 
covered by a pay band, the agency may, at its discretion, define a 
separate (and additional) competitive area, otherwise consistent with 
paragraph (b) of this section, to include only pay band positions. The 
original competitive area would then include only the remaining 
positions (i.e., those positions not covered by a pay band).

[51 FR 319 Jan. 3, 1986, as amended at 56 FR 65416, Dec. 17, 1991; 62 FR 
62500, Nov. 24, 1997; 73 FR 46532, Aug. 11, 2008]



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)(i) Except as provided in paragraph (a)(2)(ii) of this section 
for pay band positions, competitive level determinations are based on 
each employee's official position of record (including the official 
position description), not the employee's personal qualifications.
    (ii) To establish a competitive level comprised of pay band 
positions, an agency may supplement an employee's official position of 
record with other applicable records that document the employee's actual 
duties and responsibilities.
    (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.
    (5) If a competitive area includes positions in one or more pay 
bands, each set of interchangeable positions in the pay band under 
paragraphs (a)(1) through (4) of this section is a separate competitive 
level (e.g., with interchangeable positions under paragraphs (a)(1) 
through (4) of this section, each pay band is one competitive level; if 
the positions are not interchangeable under paragraphs (a)(1) through 
(4) of this section, the pay band may include multiple competitive 
levels).
    (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;
    (3) The grade promotion potential of the position; or
    (4) A difference in the local wage areas when a competitive area 
includes positions covered by more than one wage-board or similar wage-
determining procedure;
    (5) A difference in locality payments under 5 U.S.C. 5304 and 
subpart F of part 531 of this chapter when a competitive level includes 
more than one locality pay area listed in Sec.  531.603 of this chapter; 
or

[[Page 273]]

    (6) Representative rates in different local commuting areas when a 
competitive area includes General Schedule (GS) and Federal Wage System 
(FWS) positions in multiple GS locality pay areas, and/or FWS local wage 
areas.

[51 FR 319, Jan. 3, 1986, as amended at 60 FR 3062, Jan. 13, 1995; 62 FR 
62500, Nov. 24, 1997; 73 FR 29388, May 21, 2008; 73 FR 46532, Aug. 11, 
2008]



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.

[[Page 274]]

    (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 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 Sec. Sec.  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

[[Page 275]]

year of current continuous service under a temporary appointment with 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 16800, 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,

[[Page 276]]

those performance ratings shall be considered ratings of record for 
granting additional retention service credit in a 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:

[[Page 277]]

    (1) Twenty additional years of service for each rating of record 
with a Level 5 (Outstanding or equivalent) summary;
    (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

[[Page 278]]

rights (e.g., registers to which the released employee may have 
potential 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 must select competing employees for release from a 
competitive level (including release from a competitive level involving 
a pay band) 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) At its option an agency may provide for intervening displacement 
within the competitive level before final release of the employee with 
the lowest-retention standing from the competitive level.
    (c) 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.

[73 FR 29388, May 21, 2008]



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]

[[Page 279]]



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 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 Sec. Sec.  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 an 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.

[[Page 280]]

    (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 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

[[Page 281]]

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 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

[[Page 282]]

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.
    (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 
Sec. Sec.  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.
    (g) If a competitive area includes more than one local commuting 
area, the agency determines assignment rights under this part on the 
basis of the representative rates for one local commuting area within 
the competitive area (i.e., the same local commuting area used to 
establish competitive levels under Sec.  351.403(c)(4), (5), and (6)).
    (h) If a competitive area includes positions under one or more pay 
bands, a released employee shall be assigned in accordance with 
paragraphs (a) through (d) of this section to a position in an 
equivalent pay band or one pay band lower, as determined by the agency, 
than the pay band from which released. A preference eligible with a 
service-connected disability of 30 percent or more must be assigned in 
accordance with paragraphs (a) through (d) of this section to a position 
in an equivalent pay band or up to two pay bands lower, as determined by 
the agency, than the pay band from which released.
    (i) If a competitive area includes positions under one or more pay 
bands, and other positions not covered by a pay band (e.g., GS and/or 
FWS positions), the agency provides assignment rights under this part 
by:
    (1) Determining the representative rate of positions not covered by 
a pay band, consistent with Sec.  351.203;
    (2) Determining the representative rate of each pay band, or 
competitive

[[Page 283]]

level within the pay band(s), consistent with Sec.  351.203;
    (3) As determined by the agency, providing assignment rights under 
paragraph (b) of this section (bumping), or paragraphs (c) and (d) of 
this section (retreating), consistent with the grade intervals covered 
in paragraphs (b)(2) and (c)(2) of this section, and the pay band 
intervals in paragraph (h) of this section.

[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; 73 FR 
29389, May 21, 2008]



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 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

[[Page 284]]

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 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.

[[Page 285]]

    (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 Sec. Sec.  
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 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

[[Page 286]]

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]



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.

[[Page 287]]



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 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.

[[Page 288]]

352.302 Definitions.
352.303 [Reserved]
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 [Reserved]
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.
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.

    Editorial Note: Nomenclature changes to part 352 appear at 69 FR 
2050, Jan. 13, 2004.

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

[[Page 289]]

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 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]

[[Page 290]]



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 rate of basic pay as determined under 5 
CFR part 534, subpart D 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.



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

[[Page 291]]

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  [Reserved]



Sec.  352.304  International organizations covered.

    (a) An agency may detail or transfer an employee under this subpart, 
without prior approval, to an organization which the Department of State 
has designated as an international organization.
    (b) An agency may detail or transfer an employee under this subpart 
to any other public international organization or international 
organization preparatory commission only when 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.

[73 FR 64860, Oct. 31, 2008]



Sec.  352.305  Eligibility for detail.

    An employee is eligible for detail 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, except the following:
    (a) A Presidential appointee (other than a postmaster, Foreign 
Service officer or a Foreign Service information officer), regardless of 
whether the 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 non-career, limited emergency, or 
limited term appointment in the Senior Executive Service (SES).
    (d) A person serving under a temporary appointment.

[73 FR 64860, Oct. 31, 2008]



Sec.  352.306  Length of details.

    The total length of a detail or several details combined must not 
exceed 5 consecutive years, except that when

[[Page 292]]

the Secretary of State, on the recommendation of the head of the agency, 
determines it to be in the national interest, the 5 years allowed for 
details may be extended for up to an additional 3 years. A detail or 
combination of details and transfers must not exceed 8 years in the 
aggregate throughout an employee's Federal career.

[73 FR 64860, Oct. 31, 2008]



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 must furnish the employee with 
a leave statement, showing his or her annual and sick leave balances at 
the time of transfer. In addition, the notification of personnel action 
effecting the employee's separation for transfer must include:
    (1) Identification of the international organization to which the 
employee is transferring,
    (2) A clear statement of the period during which the employee has 
reemployment rights in the agency under section 3582 of title 5, United 
States Code, and this subpart, and
    (3) The legal and regulatory conditions for reemployment.

[35 FR 16525, Oct. 23, 1970, as amended at 73 FR 64860, Oct. 31, 2008]



Sec.  352.309  Retirement, health benefits, and group life insurance.

    (a) Agency action. An employee who is transferred to an 
international organization with the consent of the employing agency is 
entitled to retain coverage for retirement, health benefits, and group 
life insurance purposes if he or she so chooses. The period during which 
coverage, rights, and benefits are retained under this paragraph, during 
employment with the international organization, is deemed employment by 
the United States. At the time an employing Federal agency consents to 
the transfer of an employee, the agency must advise the employee in 
writing of the employee's right to continue retirement, health benefits, 
and group life insurance coverage, as applicable, for the duration of 
the assignment or

[[Page 293]]

transfer. The notice must explain the conditions for continued coverage 
and the employee's obligations and responsibilities with regard to 
continued coverage. The notice must also explain that, if the employee 
elects to retain coverage, the agency will continue to make the agency 
contributions to the funds, and the employee's coverage will continue as 
long as employee payments are currently deposited in the respective 
funds.
    (b) Employee action. The employee must acknowledge, in writing, 
receipt of the notice and state whether or not he or she wishes to 
retain coverage under the retirement, health benefits, and group life 
insurance systems or any of them by continuing the required employee 
payments. The employee must make a written election to retain benefits, 
as applicable, and make arrangements for the required employee payments. 
An employee who transfers to an international organization is not 
eligible to participate in the Thrift Savings Plan (TSP) while employed 
by the international organization even if he or she elects to retain 
Federal retirement coverage. However, upon reemployment, an employee who 
elected to retain Federal retirement coverage while employed by the 
international organization and has made all deposits required for such 
coverage may make contributions to the TSP which he or she missed as a 
result of the service with an international organization, and receive 
make-up agency contributions and lost earnings on the agency 
contributions, as provided under Sec.  352.311(e).
    (c) Agency responsibility. For retirement and group life insurance 
purposes, the employing 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 must furnish the 
employee with specific information as to how, when, and where the 
payments are to be submitted.
    (d) Coverage. Employee payments are considered to be currently 
deposited if received by the agency before, during, or within 3 months 
after the end of the pay period covered by the deposit. If the 
contributions are not currently deposited, coverage terminates on the 
last day of the pay period for which the required contributions 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 be re-established 
before the employee actually enters on duty, on the first day in a pay 
status in an agency. However, terminated retirement, health benefits, 
and group life insurance coverage must be reinstated retroactively when, 
in the judgment of OPM, the failure to make the required current deposit 
was due to circumstances beyond the employee's control and the required 
payments were deposited at the first opportunity. Coverage under a 
system other than the Civil Service Retirement System must 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.

[73 FR 64860, Oct. 31, 2008]



Sec.  352.310  [Reserved]



Sec.  352.311  Reemployment.

    (a) An employee who transferred to an international organization 
with the consent of the employing agency is entitled to be reemployed in 
his or her former position, or one of like seniority, status, and pay, 
within 30 days of applying for reemployment if the employee:
    (1) Is separated, either voluntarily or involuntarily, without 
cause, within the term of employment with an international organization; 
and
    (2) Applies for reemployment with the employing agency or its 
successor

[[Page 294]]

no later than 90 days after separation from the international 
organization.
    (b) Pay upon reemployment will be set at that to which the employee 
would have been entitled had the employee remained with the employing 
agency.
    (c) When an employee's reemployment right is to a position in the 
SES, reemployment may be to any position in the SES for which the 
employee is qualified. The employee must be returned at not less than 
the SES rate of basic pay as determined under 5 CFR part 534, subpart D, 
at which the employee was being paid immediately before transfer to the 
international organization, or if pay has been adjusted under Sec.  
352.314(c), at not less than the adjusted pay level.
    (d) The period of separation caused by the employment of the 
employee with the international organization and the period necessary to 
effect reemployment are creditable service for all appropriate civil 
service employment purposes (e.g., tenure, service computation date, 
retirement, time in grade). Employees, upon return, are also entitled to 
restoration of any sick leave.
    (e) An employee who elected to retain Federal retirement coverage 
while employed by the international organization and has made all 
deposits required for such coverage may make contributions to the TSP 
which he or she missed as a result of the service with the international 
organization, and receive make-up agency contributions and lost earnings 
on the agency contributions, consistent with applicable TSP 
requirements.

[73 FR 64861, Oct. 31, 2008]



Sec.  352.312  When to apply.

    An employee may apply for reemployment, in writing, either before or 
after separation from the international organization. If the employee 
applies before separation, the 30-day period prescribed in Sec.  352.311 
begins either with the date of the application or 30 days before the 
employee's date of separation from the international organization, 
whichever is later. If the employee applies for reemployment after 
separation, the application must be received by the employing agency no 
later than 90 days after separation from the international organization.

[73 FR 64861, Oct. 31, 2008]



Sec.  352.313  Failure to reemploy and right of appeal.

    (a) When an agency fails to reemploy an employee within 30 days of 
receiving the employee's application, it must notify the employee, in 
writing, of the reasons and of the employee's 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) If the agency fails to reach and issue a decision to the 
employee within 30 days from the date of the application for 
reemployment, the employee is entitled to appeal the agency's failure to 
issue a decision to the Merit Systems Protection Board under the 
provisions of the Board's regulations.
    (c) An employee may submit 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, to the Merit 
Systems Protection Board under the provisions of the Board's 
regulations.

[73 FR 64861, Oct. 31, 2008]



Sec.  352.314  Consideration for promotion and pay increases.

    (a) The employing agency must consider an employee who is detailed 
or transferred to an international organization for all promotions for 
which the employee would be considered if not absent. A promotion based 
on this consideration is effective on the date it would have been 
effective if the employee were not absent.
    (b) When the position of an employee who is absent on detail or 
transfer to an international organization is upgraded during the 
employee's absence, the employing agency must place the employee in the 
upgraded position upon return.
    (c) The employing agency must consider an employee who is detailed 
or transferred to an international organization from an ungraded pay 
system for all pay increases for which the employee would have been 
considered if

[[Page 295]]

not absent. An increase is effective on the date it would have been 
effective if the employee were not absent.

[73 FR 64861, Oct. 31, 2008]



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 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

[[Page 296]]

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 rate of basic 
pay as determined under 5 CFR part 534, subpart D 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:
    (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 rate of basic pay as determined under 5 CFR part 534, 
subpart D 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

[[Page 297]]

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]



  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

[[Page 298]]

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.



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.

[[Page 299]]

    (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.
    (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 rate of basic pay as determined under 
5 CFR part 534, subpart D 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]

[[Page 300]]



      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 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

[[Page 301]]

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.



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

[[Page 302]]

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 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.

[[Page 303]]

    (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 
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.

[[Page 304]]



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 time off during uniformed service.
353.209 Retention protections.
353.210 Department of Labor assistance to applicants and employees.
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

[[Page 305]]

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 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

[[Page 306]]

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 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,

[[Page 307]]

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;
    (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

[[Page 308]]

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 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

[[Page 309]]

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.
    (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

[[Page 310]]

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 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.

[[Page 311]]

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 time off during uniformed service.

    An employee performing service with the uniformed services must be 
permitted, upon request, to use any accrued annual leave under 5 U.S.C. 
6304, military leave under 5 U.S.C. 6323, earned compensatory time off 
for travel under 5 U.S.C. 5550b, or sick leave under 5 U.S.C. 6307, if 
appropriate, during such service.

[72 FR 62767, Nov. 7, 2007]



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 
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

[[Page 312]]

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 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.

[[Page 313]]

    (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 [Reserved]

         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.

                     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, 3302, 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

[[Page 314]]

her former Federal service. A reemployed annuitant serves at the 
pleasure of the appointing authority.

Subpart C [Reserved]



         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.
    (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).

[[Page 315]]

    (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 Sec. Sec.  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.
    (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).

[[Page 316]]



 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--
    (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

[[Page 317]]

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 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 acknowledged by OPM.

[[Page 318]]

    (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 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.

[[Page 319]]

    (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 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

[[Page 320]]

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 in a position outside the 
SES (in the same or different agency) 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 (i.e., a rate of basic pay within the normal 
rate range of the position in which placed, consistent with the rules of 
the pay system covering such position);
    (2) The rate of basic pay currently in effect for the position the 
appointee held 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)(1) The rate of basic pay under paragraph (a)(1) and (2) of this 
section includes any applicable locality payment under 5 U.S.C. 5304, 
special rate supplement under 5 U.S.C. 5305, or similar payment under 
other legal authority.
    (2) When an employee is entitled to a payable rate of basic pay 
under paragraph (a)(2) or (3) of this section which exceeds the maximum 
payable rate of basic pay for the grade or level of the employee's 
position after placement, the resulting saved rate is subject to the 
adjustment and termination rules in paragraphs (d) through (f) of this 
section.
    (c)(1) For an employee placed in a General Schedule position, a 
saved rate established under this section may not be supplemented by a 
locality payment under 5 U.S.C. 5304, a special rate supplement under 5 
U.S.C. 5305, or a similar payment under other legal authority.
    (2) A saved rate established under this section is subject to the 
limitation on Senior Executive Service pay in 5 U.S.C. 5382 of the rate 
for level II of the Executive Schedule.
    (3) A saved rate established under this section is considered an 
employee's rate of basic pay for the same purposes as a retained rate 
under 5 CFR part 536, as described in 5 CFR 536.307.
    (d) A saved rate established under this section must be adjusted in 
connection with a pay schedule adjustment according to the following 
rules:
    (1) When the maximum payable rate of basic pay for the grade or 
level of an employee's position is increased while the employee is 
receiving a saved rate, the employee is entitled to a pay adjustment 
equal to 50 percent of the amount of the increase in that maximum 
payable rate, except as otherwise provided in this section.
    (2) If an employee's official worksite is changed while the employee 
is receiving a saved rate, a change in the applicable range maximum 
because of a change in an employee's official worksite is not considered 
in applying paragraph (d)(1) of this section. Instead, any adjustment of 
the employee's saved rate in conjunction with a change in official 
worksite must be determined under paragraph (e) of this section. If an 
employee's range maximum is increased because of a pay schedule 
adjustment on the same effective date as a change in the employee's 
official worksite, the saved rate must

[[Page 321]]

be adjusted under paragraph (d)(1) of this section before applying 
paragraph (e) of this section.
    (3) A change in an employee's rate range maximum resulting from a 
change in the employee's position (e.g., change in occupational series) 
that causes the employee to be covered by a different pay schedule does 
not result in application of paragraph (d)(1) of this section.
    (4) When an employee's saved rate becomes equal to or lower than the 
maximum payable rate of basic pay for the grade or level of the 
employee's position, the employee is entitled to the maximum payable 
rate, and saved pay under this section ceases to apply.
    (e) When an employee receiving a saved rate established under this 
section is covered by a pay system that provides different basic pay 
schedules based on geographic location (such as the General Schedule pay 
system), the saved rate must be adjusted in conjunction with a change in 
the employee's official worksite consistent with the geographic 
conversion rule for retained rates under 5 CFR 536.303(b).
    (f) A saved rate established under this section must be terminated 
if--
    (1) The employee has a break in service of 1 workday or more;
    (2) The employee is demoted based on unacceptable performance or 
conduct or at the employee's request; or
    (3) The employee becomes entitled to a rate of basic pay that is 
equal to or higher than the saved rate.
    (g) If an employee is receiving a saved rate established under this 
section on May 1, 2005 (when section 301 of Pub. L. 108-411 took 
effect), any locality payment under 5 U.S.C. 5304 formerly paid in 
addition to the employee's saved rate no longer applies as of that date. 
Any locality-adjusted saved rate in effect and payable on April 30, 
2005, must be converted to an equal saved rate effective on May 1, 2005. 
If the employee received no locality payment because of a pay 
limitation, no conversion under this paragraph is required.

[70 FR 31286, May 31, 2005, as amended at 73 FR 66151, Nov. 7, 2008]



           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.



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

[[Page 322]]

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_PATHWAYS PROGRAMS--Table of Contents



                      Subpart A_General Provisions

Sec.
362.101 Program administration.
362.102 Definitions.
362.103 Authority.
362.104 Agency requirements.
362.105 Filling positions.
362.106 Participant Agreement.
362.107 Conversion to the competitive service.
362.108 Program oversight.
362.109 Reporting requirements.
362.110 Transition.

                      Subpart B_Internship Program

362.201 Agency authority.
362.202 Definitions.
362.203 Filling positions.
362.204 Conversion to the competitive service.
362.205 Reduction in force (RIF) and termination.

                   Subpart C_Recent Graduates Program

362.301 Program administration.
362.302 Eligibility.
362.303 Filling positions.
362.304 Movement between agencies.
362.305 Conversion to the competitive service.
362.306 Reduction in force and termination.

            Subpart D_Presidential Management Fellows Program

362.401 Definitions.
362.402 Program administration.
362.403 Announcement, eligibility, and selection.
362.404 Appointment and extension.
362.405 Development, evaluation, promotion, and certification.
362.406 Movement between agencies.
362.407 Withdrawal and readmission.
362.408 Termination and reduction in force.
362.409 Conversion to the competitive service.

    Authority: E.O. 13562, 75 FR 82585. 3 CFR, 2010 Comp., p. 291

[[Page 323]]


    Source: 77 FR 28215, May 11, 2012, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  362.101  Program administration.

    (a) The Pathways Programs authorized under Executive Order 13562 
consist of the following three Programs:
    (1) The Internship Program;
    (2) The Recent Graduates Program; and
    (3) The Presidential Management Fellows (PMF) Program.
    (b) An agency may rename the Programs specified in paragraphs (a)(1) 
through (3) of this section, provided that the agency-specific name 
includes the Pathways Program name identified in paragraph (a) of this 
section, e.g., Treasury Internship Program.
    (c) Agencies must provide for equal employment opportunity in the 
Pathways Programs without regard to race, ethnicity, color, religion, 
sex (including pregnancy and gender identity), national origin, age, 
disability, sexual orientation, genetic information, or any other non-
merit-based factor.



Sec.  362.102  Definitions.

    For the purposes of this part:
    Advanced degree means a professional or graduate degree, e.g., 
master's, Ph.D., J.D.
    Agency means an agency as defined in 5 U.S.C. 105, and the 
Government Printing Office.
    Certificate program means post-secondary education, in a qualifying 
educational institution, equivalent to at least one academic year of 
full-time study that is part of an accredited college-level, technical, 
trade, vocational, or business school curriculum.
    Director means the Director of OPM or his or her designee.
    OPM means the Office of Personnel Management.
    Participant Agreement means a written agreement between the agency 
and each Pathways Participant.
    Program Participant or Pathways Participant means any individual 
appointed under a Pathways Program.
    Qualifying educational institution means--
    (1) A public high school whose curriculum has been approved by a 
State or local governing body, a private school that provides secondary 
education as determined under State law, or a homeschool that is allowed 
to operate in a State; and
    (2) Any of the following educational institutions or curricula that 
have been accredited by an accrediting body recognized by the Secretary 
of the U.S. Department of Education:
    (i) A technical or vocational school;
    (ii) A 2-year or 4-year college or university;
    (iii) A graduate or professional school (e.g., law school, medical 
school); or
    (iv) A post-secondary homeschool curriculum.



Sec.  362.103  Authority.

    An agency may make an appointment under this part to a position 
defined in Sec.  213.3402 of this chapter, provided a Memorandum of 
Understanding between the head of the agency or his or her designee and 
OPM is in effect.



Sec.  362.104  Agency requirements.

    (a) Memorandum of Understanding. In order to make any appointment 
under a Pathways authority, a Memorandum of Understanding (Pathways MOU) 
must be in effect between the head of an agency, or his or her designee, 
and OPM for the administration and use of Pathways Programs, to be re-
executed no less frequently than every 2 years.
    (b) The Director may revoke an agency's Pathways MOU when agency use 
of these Programs is inconsistent with Executive Order 13562, this part, 
or the Pathways MOU.
    (c) The Pathways MOU must:
    (1) Include information about any agency-specific program labels 
that will be used, subject to the Federal naming conventions identified 
in Sec.  362.101 (e.g., OPM Internship Program);
    (2) State the delegations of authority for the agency's use of the 
Pathways Programs (e.g., department-wide vs. bureaus or components);
    (3) Include any implementing policy or guidance that the agency 
determines would facilitate successful implementation and administration 
for each Pathways Program;

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    (4) Prescribe criteria and procedures for agency-approved extensions 
for Recent Graduates and PMFs, not to exceed 120 days. Extension 
criteria should be limited to circumstances that would render the 
agency's compliance with the regulations impracticable or impossible;
    (5) Describe how the agency will design, implement, and document 
formal training and/or development, as well as the type and duration of 
assignments, and necessary exceptions for short term temporary work, 
such as summer jobs;
    (6) Include a commitment from the agency to:
    (i) Provide to OPM any information it requests on the agency's 
Pathways Programs;
    (ii) Adhere to any caps on the Pathways Programs imposed by the 
Director;
    (iii) Provide information to OPM about opportunities for individuals 
interested in participating in the Pathways Programs, as required by 
this part;
    (iv) Ensure adherence to the requirements for accepting 
applications, assessing applicants, rating and ranking qualified 
candidates, and affording veterans' preference in accordance with the 
provisions of part 302; and
    (v) Provide a meaningful on-boarding process for each Pathways 
Program;
    (7) Identify the agency's Pathways Programs Officer (PPO), who:
    (i) Must be in a position at the agency's headquarters level, or at 
the headquarters level of a departmental component, in a position at or 
higher than grade 12 of the General Schedule (GS) (or the equivalent 
under the Federal Wage System (FWS) or another pay and classification 
system);
    (ii) Is responsible for administering the agency's Pathways 
Programs, including coordinating the recruitment and on-boarding process 
for Pathways Programs Participants, and coordinating the agency's 
Pathways Programs plan with agency stakeholders and other hiring plans 
(e.g., merit promotion plans, plans for hiring people with 
disabilities);
    (iii) Serves as a liaison with OPM by providing updates on the 
agency's implementation of its Pathways Programs, clarifying technical 
or programmatic issues, sharing agency best practices, and other similar 
duties; and
    (iv) Reports to OPM on the agency's implementation of its Pathways 
Programs and individuals hired under these Programs, in conjunction with 
the agency's Pathways MOU; and
    (8) Identify the agency's PMF coordinator responsible for 
administering the agency PMF Program and serving as a liaison with OPM.



Sec.  362.105  Filling positions.

    (a) Workforce Planning. Before filling any positions under these 
Programs, agencies should include measures in their workforce planning 
to ensure that an adequate number of permanent positions will be 
available to convert Pathways Participants who successfully complete 
their Programs.
    (b) Announcements. When an agency accepts applications from 
individuals outside its own workforce, it must provide OPM information 
concerning Pathways Programs job opportunities as provided in each 
Pathways Program. For the purposes of this paragraph, ``agency'' means 
an Executive agency as defined in 5 U.S.C. 105 and the Government 
Printing Office. 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 consistent with its Delegated Examining Agreement.
    (c) Appointments. (1) Agencies must fill positions under the 
Pathways Programs using the excepted service appointing authority 
provided by Sec.  213.3402 (a), (b), or (c) of this chapter, as 
applicable.
    (2) Agencies must follow the procedures of part 302 of this chapter 
when filling a position under a Pathways Program.
    (3) 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.
    (d) Eligibility. Except as set forth in this section, eligibility 
requirements

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for appointment under a Pathways Program are specified in each Pathways 
Program.
    (e) Citizenship. (1) An agency may appoint a non-citizen provided 
that:
    (i) The Pathways Participant is lawfully admitted to the United 
States as a permanent resident or is 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.
    (2) A Pathways Participant must be a United States citizen to be 
eligible for noncompetitive conversion to the competitive service.
    (f) Employment of relatives. In accordance with part 310 of this 
chapter, a Pathways Participant 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 Participant's 
appointment, employment, promotion or advancement within the agency.
    (g) Length of Appointments. Except as provided in subpart B, Recent 
Graduate and PMF appointments under this authority may not exceed 2 
years plus any agency-approved extension of up to 120 days.
    (h) Terminations. An agency may terminate a Pathways Participant for 
reasons including misconduct, poor performance, or suitability under the 
provisions of this chapter.
    (i) Performance and progress evaluation. Each Participant must be 
placed on a performance plan, as prescribed by part 430 of this chapter 
or other applicable law or regulation, establishing performance elements 
and standards that are directly related to acquiring and demonstrating 
the various leadership, technical, and/or general competencies expected 
of the Participant, as well as the elements and standards established 
for the duties assigned.
    (j) Compensation. The rules for setting pay upon the initial 
appointment of a Participant are governed by the pay administration 
rules of the pay system or pay plan of the Participant's position under 
the Pathways program. In determining the Participant's compensation, 
agencies may also use any applicable pay flexibilities available under 
that pay system or pay plan (e.g., recruitment, relocation, and 
retention incentives under part 575 of this chapter; student loan 
repayments under part 537; and, for General Schedule positions, special 
rates under part 530, subpart C, and the superior qualifications and 
special needs pay setting authority and the maximum payable rate rule 
under part 531, subpart B).



Sec.  362.106  Participant Agreement.

    Agencies must execute a written Participant Agreement with each 
Pathways Participant that clearly identifies expectations, including but 
not limited to:
    (a) A general description of duties;
    (b) Work schedules;
    (c) The length of the appointment and termination date;
    (d) Mentorship opportunities;
    (e) Training requirements as applicable;
    (f) Evaluation procedures that will be used for the Participant;
    (g) Requirements for continuation and successful completion of the 
Program; and
    (h) Minimum eligibility requirements for noncompetitive conversion 
to term or permanent competitive service employment according to the 
requirements of the applicable Pathways Program.



Sec.  362.107  Conversion to the competitive service.

    (a) Subject to any limits on conversion imposed by the Director, and 
in accordance with the provisions of each Pathways Program, an agency 
may noncompetitively convert an eligible Pathways Participant to a term 
or permanent competitive service position.
    (b) A Pathways Participant who is noncompetitively converted to a 
competitive service term appointment may be subsequently converted 
noncompetitively to a permanent competitive service position.
    (c) Noncompetitive conversion. (1) An Intern may be converted to a 
position within the employing agency or any other agency within the 
Federal Government.
    (2) A Recent Graduate or Presidential Management Fellow may be 
converted within the employing agency. Agencies

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may not convert Recent Graduates or Presidential Management Fellows from 
other agencies.
    (d) The provisions of the career transition assistance programs in 
subparts B, F and G of part 330 of this chapter do not apply to 
conversions made under this part.
    (e) Time spent serving as a Pathways Participant counts towards 
career tenure when the individual is noncompetitively converted to a 
permanent position in the competitive service upon completion of the 
Program, with or without an intervening term appointment, and without a 
break in service of one day.
    (f) Though Pathways Participants are eligible for noncompetitive 
conversion to the competitive service upon successful completion of 
their Program and any other applicable conversion requirements, service 
in a Pathways Program confers no right to further employment in either 
the competitive or excepted service. An agency wishing to convert a 
Pathways Participant must therefore execute the required actions to do 
so.



Sec.  362.108  Program oversight.

    (a) The Director may establish caps on the number of Pathways 
Participants who may be appointed or converted in any Pathways Program 
within a specific agency or throughout the Federal Government.
    (b) The Director may establish such caps based on agency or 
Governmentwide use of the Pathways Programs, input from the Executive 
agencies, and consideration of the following:
    (1) Agency MOU compliance;
    (2) Agency approach to entry-level hiring;
    (3) Agency engagement in sound workforce planning to ensure that an 
adequate number of permanent positions will be available to which 
Pathways Participants who successfully complete their Programs can be 
converted;
    (4) Agency record in using the Pathways Programs as a supplement to 
competitive examining, rather than as a substitute for it;
    (5) Agency record of publicizing their positions in the Pathways 
Programs and recruiting and selecting from a broad array of sources; and
    (6) Any other information the Director deems relevant.
    (c) In the event the Director determines that any caps would be 
appropriate, OPM will publish notice of such caps in a manner chosen by 
the Director.



Sec.  362.109  Reporting requirements.

    Agencies must provide information requested by OPM regarding 
workforce planning strategies that includes:
    (a) Information on the entry-level occupations targeted for filling 
positions under this part in the coming year;
    (b) The percentage of overall hiring expected in the coming year 
under the Internship, Recent Graduates, and Presidential Management 
Fellows Programs; and
    (c) For the previous year:
    (1) The number of individuals initially appointed under each 
Pathways Program;
    (2) The percentage of the agency's overall hires made from each 
Pathways Program;
    (3) The number of Pathways Participants, per Program, converted to 
the competitive service; and
    (4) The number of Pathways Participants, per Program, who were 
separated.



Sec.  362.110  Transition.

    OPM will provide written guidance for the orderly transition of 
employees currently appointed as students under the Student Educational 
Employment Program and current PMFs to the applicable Pathways Program 
and may revise that guidance as necessary.



                      Subpart B_Internship Program



Sec.  362.201  Agency authority.

    The Internship Program provides students in high schools, colleges, 
trades schools and other qualifying educational institutions, as defined 
in Sec.  362.102 of this part, the opportunity to explore Federal 
careers as paid employees while completing their education. Students 
appointed under this authority are referred to as Interns.

[[Page 327]]



Sec.  362.202  Definitions.

    In this subpart:
    Student means an individual accepted for enrollment or enrolled and 
seeking a degree (diploma, certificate, etc.) in a qualifying 
educational institution, on a full or half-time basis (as defined by the 
institution in which the student is enrolled), including awardees of the 
Harry S. Truman Foundation Scholarship Program under Public Law 93-842. 
Students need not be in actual physical attendance, so long as all other 
requirements are met. An individual who needs to complete less than the 
equivalent of half an academic/vocational or technical course-load 
immediately prior to graduating is still considered a student for 
purposes of this Program.



Sec.  362.203  Filling positions.

    (a) Announcement. (1) When an agency accepts applications from 
individuals outside its own workforce, it must provide OPM information 
concerning opportunities to participate in the agency's Internship 
Program. For the purposes of this paragraph (a), ``agency'' means an 
Executive agency as defined in 5 U.S.C. 105 and the Government Printing 
Office. 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 consistent with its Delegated Examining Agreement. The information 
must include:
    (i) Position title, series and grade;
    (ii) Geographic location of the position, and
    (iii) How to apply. A public source (e.g., a link to the agency's 
Web site with information on how to apply) for interested individuals to 
seek further information about how to apply for Internship 
opportunities; and
    (iv) Any other information OPM considers appropriate.
    (2) OPM will publish information on Internship opportunities in such 
form as the Director may determine.
    (b) Eligibility. Except as provided in paragraph (h) of this 
section, Interns must meet the definition of student in Sec.  362.202 
throughout the duration of their appointment.
    (c) Qualifications. Individuals may be evaluated against either 
agency-developed standards or the OPM Qualification Standard for the 
position being filled.
    (d) Appointments. (1) An agency may make Intern appointments, 
pursuant to its Pathways MOU, using the Schedule D excepted service 
appointing authority provided in Sec.  213.3402(a) of this chapter.
    (2) Appointments may be made to any position for which the 
individual is qualified. The duties of the position to which the 
individual is appointed should be related to either the Intern's 
academic or career goals.
    (3) An agency may:
    (i) Appoint an Intern for an initial period expected to last more 
than 1 year. Intern appointments are not required to have an end date. 
However, agencies are required to specify an end date of the appointment 
in the Participant Agreement with the Intern; or
    (ii) Appoint an Intern on a temporary basis, not to exceed 1 year, 
to complete temporary projects, to perform labor-intensive tasks not 
requiring subject-matter expertise, or to fill traditional summer jobs. 
The agency may extend these temporary appointments as provided in part 
213 of this chapter.
    (e) Promotion. An agency may promote any Intern who meets the 
qualification requirements for the position. This provision does not 
confer entitlement to promotion.
    (f) Classification. (1) Intern positions under the General Schedule 
or appropriate pay plan must be classified to the -99 series of the 
appropriate occupational group.
    (2) Intern positions under the Federal Wage System must be 
classified to the -01 series of the appropriate occupational group.
    (g) Schedules. There are no limitations on the number of hours an 
Intern can work per week (so long as any applicable laws and regulations 
governing overtime and hours of work are adhered to). Agencies and 
students should agree on a formally-arranged schedule of school and work 
so that:
    (1) Work responsibilities do not interfere with academic schedule;

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    (2) Completion of the educational program (awarding of diploma/
certificate/degree) and the Internship Program is accomplished in a 
reasonable and appropriate timeframe;
    (3) The agency is informed of and prepared for the student's periods 
of employment; and
    (4) Requirements for noncompetitive conversion to a term or 
permanent position in the competitive service are understood by all 
parties.
    (h) Breaks in program. A break in program is defined as a period of 
time when an Intern is working but is unable to go to school, or is 
neither attending classes nor working at the agency. An agency may use 
its discretion in either approving or denying a request for a break in 
program.



Sec.  362.204  Conversion to the competitive service.

    (a) An agency may noncompetitively convert an Intern who is a U.S. 
citizen, to a term or permanent appointment in the competitive service.
    (b) To be eligible for conversion, the Intern must have:
    (1) Completed at least 640 hours of work experience acquired through 
the Internship Program, except as provided in paragraphs (c) and (d) of 
this section, while enrolled as a full-time or part-time, degree- or 
certificate-seeking student;
    (2) Completed a course of academic study, within the 120-day period 
preceding the appointment, at a qualifying educational institution 
conferring a diploma, certificate, or degree;
    (3) Received a favorable recommendation for appointment by an 
official of the agency or agencies in which the Intern served;
    (4) Met the qualification standards for the position to which the 
Intern will be converted; and
    (5) Met agency-specific requirements as specified in the agency's 
Participant Agreement with the Intern.
    (c)(1) An agency may evaluate, consider, and grant credit for up to 
one-half (320 hours) of the 640-hour service requirement in paragraph 
(b)(1) of this section for comparable non-Federal internship experience 
in a field or functional area related to the student's target position 
and acquired while the student:
    (i) Worked in, but not for, a Federal agency, pursuant to a formal 
internship agreement, comparable to the Internship Program under this 
subpart, between the agency and an accredited academic institution;
    (ii) Worked in, but not for, a Federal agency, pursuant to a written 
contract with a third-party internship provider officially established 
to provide internship experiences to students that are comparable to the 
Internship Program under this subpart; or
    (iii) Served as an active duty member of the armed forces (including 
the National Guard and Reserves), as defined in 5 U.S.C. 2101, provided 
the veteran's discharge or release is under honorable conditions.
    (2) Student volunteer service under part 308 of this chapter and 
other Federal programs designed to give internship experience to 
students (e.g., fellowships and similar programs), may be evaluated, 
considered, and credited under this section when the agency determines 
the experience is comparable to experience gained in the Internship 
Program.
    (d) An agency may waive up to one-half (i.e., 320 hours) of the 640-
hour minimum service requirement in paragraph (b)(1) of this section 
when an Intern completes 320 hours of career-related work experience 
under an Internship Program appointment and demonstrates high potential 
by outstanding academic achievement and exceptional job performance. For 
purposes of this paragraph:
    (1) Outstanding academic achievement means an overall grade point 
average of 3.5 or better, on a 4.0 scale; standing in the top 10 percent 
of the student's graduating class; and/or induction into a nationally-
recognized scholastic honor society.
    (2) Exceptional job performance means a formal evaluation conducted 
by the student's Internship supervisor(s), consistent with the 
applicable performance appraisal program that results in a rating of 
record (or summary rating) of higher than Fully Successful or 
equivalent.
    (e) An agency may not grant a credit or waiver (or a combination of 
a credit

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and waiver) totaling more than 320 hours of the 640-hour service 
requirement in paragraph (b)(1) of this section.



Sec.  362.205  Reduction in force (RIF) and termination.

    (a) Reduction in force. Interns are covered by part 351 of this 
chapter for purposes of RIF.
    (1) Tenure Groups. (i) An Intern serving under an appointment for an 
initial period expected to last more than 1 year is in excepted service 
Tenure Group II.
    (ii) A temporary Intern, serving under an appointment not to exceed 
1 year, who has not completed 1 year of service, is in excepted service 
Tenure Group 0.
    (iii) A temporary Intern serving under an appointment not to exceed 
1 year, who has completed 1 year of current, continuous service, is in 
excepted service Tenure Group III.
    (2) [Reserved]
    (b) Termination. As a condition of employment, an Intern appointment 
expires:
    (1) 120 days after completion of the designated academic course of 
study, unless the Participant is selected for noncompetitive conversion 
under Sec.  362.204, or
    (2) Upon expiration of the temporary Internship appointment.



                   Subpart C_Recent Graduates Program



Sec.  362.301  Program administration.

    The Recent Graduates Program provides an entry-level developmental 
experience designed to lead to a civil service career in the Federal 
Government after successfully completing 1 year under the Program, 
unless the training requirements of the position warrant a longer and 
more structured training program. Employment under the Recent Graduates 
Program may not exceed 2 years plus any agency approved extension of up 
to an additional 120 days. Individuals appointed under this authority 
are referred to as Recent Graduates. An agency wishing to participate in 
the Recent Graduates Program must:
    (a) Identify in the MOU the duration of its Recent Graduates 
Program, including any criteria used to determine the need for a longer 
and more structured training program that exceeds 1 year;
    (b) Ensure, within 90 days of appointment, that each Recent Graduate 
is assigned a mentor who is an employee outside the Recent Graduates' 
chain of command;
    (c) Ensure, within 45 days of appointment, that each Recent Graduate 
has an Individual Development Plan (IDP) that is approved by his or her 
supervisor; and
    (d) Provide at least 40 hours of formal interactive training per 
year that advances the goals and competencies outlined in each Recent 
Graduate's IDP. Mandatory annual training, such as information security 
and ethics training, does not count towards the 40-hour requirement.



Sec.  362.302  Eligibility.

    (a) A Recent Graduate is an individual who obtained a qualifying 
associates, bachelors, master's, professional, doctorate, vocational or 
technical degree or certificate from a qualifying educational 
institution, within the previous 2 years or other applicable period 
provided below.
    (b)(1) Except as provided in paragraph (b)(2) of this section, an 
individual may apply for a position in the Recent Graduates Program only 
if the individual's application is received not later than 2 years after 
the date the individual completed all requirements of an academic course 
of study leading to a qualifying associates, bachelor's, master's, 
professional, doctorate, vocational or technical degree or certificate 
from a qualifying educational institution.
    (2) A veteran, as defined in 5 U.S.C. 2108, who, due to a military 
service obligation, was precluded from applying to the Recent Graduates 
Program during any portion of the 2-year eligibility period described in 
paragraph (b)(1) of this section shall have a full 2-year period of 
eligibility upon his or her release or discharge from active duty. In no 
event, however, may the individual's eligibility period extend beyond 6

[[Page 330]]

years from the date on which the individual completed the requirements 
of an academic course of study.



Sec.  362.303  Filling positions.

    (a) Announcement. (1) When an agency accepts applications from 
individuals outside its own workforce, it must provide OPM information 
concerning opportunities to participate in the agency's Recent Graduates 
Program. For the purposes of this paragraph, ``agency'' means an 
Executive agency as defined in 5 U.S.C. 105 and the Government Printing 
Office. 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 consistent with its Delegated Examining Agreement. The information 
must include:
    (i) Position title, series and grade;
    (ii) Geographic location of the position;
    (iii) How to apply. A public source (e.g., a link to the agency's 
Web site with information on how to apply for interested individuals to 
seek further information about how to apply); and
    (iv) Any other information OPM considers appropriate.
    (2) OPM will publish information on Recent Graduate opportunities in 
such form as the Director may determine.
    (b) Appointments. (1) An agency may make appointments to the Recent 
Graduates Program, pursuant to a Pathways MOU executed with the OPM, 
under Schedule D of the excepted service in accordance with part 302 of 
this chapter.
    (2) An agency must appoint a Recent Graduate using the excepted 
service appointing authority provided by Sec.  213.3402(b) of this 
chapter.
    (3)(i) An agency may make an initial appointment of a Recent 
Graduate to any position filled under this authority for which the 
Recent Graduate qualifies, up to the GS-09 level (or equivalent under 
another pay and classification system, such as the Federal Wage System), 
except as provided in paragraphs (b)(3)(ii) through (iv) of this 
section.
    (ii) Initial appointments to positions for science, technology, 
engineering, or mathematics (STEM) occupations may be made at the GS-11 
level, if the candidate possesses a Ph.D. or equivalent degree directly 
related to the STEM position the agency is seeking to fill.
    (iii) Initial appointments to scientific and professional research 
positions at the GS-11 level for which the classification and 
qualification criteria for research positions apply, if the candidate 
possesses a master's degree or equivalent graduate degree directly 
related to the position the agency is seeking to fill.
    (iv) Initial appointments to scientific and professional research 
positions at the GS-12 level for which the classification and 
qualification criteria for research positions apply, if the candidate 
possesses a Ph.D. or equivalent degree directly related to the position 
the agency is seeking to fill.
    (v) Positions must have progressively more responsible duties that 
provide career advancement opportunities (i.e., positions must provide 
for career ladder advancement).
    (c) Extensions. An agency may extend the Program period for up to an 
additional 120 days to cover rare or unusual circumstances or 
situations. The agency's Pathways MOU must identify criteria for 
approving extensions.
    (d) Qualifications. An agency must evaluate candidates using OPM 
Qualification Standards for the occupation and grade level of the 
position being filled.
    (e) Promotions. An agency may promote any Recent Graduate who meets 
the qualification requirements for the position. This provision does not 
confer entitlement to promotion.
    (f) Trial period. The duration of the Recent Graduates appointment 
in the excepted service is a trial period.



Sec.  362.304  Movement between agencies.

    (a) A Recent Graduate may apply for and accept a new Recent 
Graduates appointment with another agency covered by this part, as long 
as the agency meets all the requirements for participating in the Recent 
Graduates Program.

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    (b) To move to the new agency, the Recent Graduate must separate 
from the current employing agency.
    (c) The new employing agency must appoint the Recent Graduate 
without a break in service.
    (d) Time served under the previous agency's Recent Graduates Program 
is credited toward the Program requirements for noncompetitive 
conversion eligibility to the competitive service. Because there is no 
break in service, the Recent Graduate does not begin a new period in the 
Program upon moving to the new agency.
    (e) The new employing agency's plan must identify requirements for 
Program completion and eligibility for noncompetitive conversion.



Sec.  362.305  Conversion to the competitive service.

    (a) An agency may noncompetitively convert a Recent Graduate who is 
a U.S. citizen to a competitive service term or permanent position when 
the Recent Graduate has:
    (1) Successfully completed at least 1-year of continuous service in 
addition to all the requirements of the Recent Graduates Program;
    (2) Demonstrated successful job performance consistent with the 
applicable performance appraisal program established under the agency's 
approved performance appraisal system that results in a rating of record 
(or summary rating) of at least Fully Successful or equivalent and a 
recommendation for conversion by the first-level supervisor; and
    (3) Met the OPM Qualification Standard for the competitive service 
position to which the Recent Graduate will be converted.
    (b) An agency must make the noncompetitive conversion effective on 
the date the service requirement is met, or at the end of an agency-
approved extension, if applicable.



Sec.  362.306  Reduction in force and termination.

    (a) Reduction in force. Recent Graduates are in excepted service 
Tenure Group II for purposes of Sec.  351.502 of this chapter. 
Expiration of the Recent Graduates appointment is not otherwise subject 
to part 351 of this chapter.
    (b) Terminations. (1) Except as provided in paragraph (b)(2) of this 
section, as a condition of employment, a Recent Graduate appointment 
expires at the end of the agency prescribed Program period, plus any 
agency-approved extension, unless the Participant is selected for 
noncompetitive conversion under Sec.  362.306.
    (2) A Recent Graduate who held a career-conditional or career 
appointment in an agency immediately before entering the Program, and 
fails to complete the Program for reasons that are not related to 
misconduct, poor performance, or suitability, may, at the agency's 
discretion, be placed in a permanent competitive service position, as 
appropriate, in the employing agency.



            Subpart D_Presidential Management Fellows Program



Sec.  362.401  Definitions.

    For purposes of this subpart:
    Agency PMF Coordinator is an individual, at the appropriate agency 
component level, who coordinates the placement, development, and other 
Program-related activities of PMFs appointed in his or her agency. The 
agency Pathways Programs Officer may also serve as the PMF Coordinator.
    Executive Resources Board (ERB) has the same meaning as specified in 
Sec.  317.501(a) of this section; in those agencies that are not 
required to have an ERB pursuant to that section, it means the senior 
agency official or officials who have been given responsibility for 
executive resources management and oversight by the agency head.
    Presidential Management Fellow (PMF) or Fellow is an individual 
appointed, at the GS-9, GS-11, or GS-12 level (or equivalent under a 
non-GS pay and classification system such as the Federal Wage System), 
in the excepted service under Sec.  213.3402(c) of this chapter.



Sec.  362.402  Program administration.

    (a) The Director may determine the number of Fellows who may be 
appointed during any given year. This determination will be based on 
input from the Chief Human Capital Officers

[[Page 332]]

Council, as well as input from agencies not represented on the Council.
    (b) Thereafter, subject to the provisions and requirements of this 
chapter, an agency may appoint individuals selected by the Director as 
Fellows finalists according to its short-, medium-, and long-term senior 
leadership and related (senior policy, professional, technical, and 
equivalent) recruitment, development, and succession requirements.
    (c) The Director will establish the qualification requirements for 
evaluating applicants for the PMF Program.
    (d) An agency that hires Fellows in field locations outside the 
Washington, DC, Metropolitan Area may:
    (1) In advance of making the appointment, discuss whether the 
finalist wants to do a developmental rotation to agency headquarters 
and, if so, make a commitment to allow and fund such a rotation, to the 
maximum extent practicable, in accordance with Sec.  362.405(b) of this 
part; and
    (2) Promote interaction among regional Fellows with the agency 
Federal Executive Board (FEB) and permit Fellows to attend FEB-
sanctioned activities in that region.



Sec.  362.403  Announcement, eligibility, and selection.

    (a) OPM will announce the opportunity to apply for the PMF Program 
and conduct a competition for the selection of finalists as set forth in 
this section.
    (b) A Presidential Management Fellow is an individual who, within 
the previous 2 years, completed an advanced degree from a qualifying 
educational institution.
    (c) An individual may apply for the PMF Program if:
    (1) The individual has obtained an advanced degree within the 2-year 
period preceding the Program announcement described in paragraph (a) of 
this section, or
    (2) The individual is still a student attending a qualifying 
educational institution, as defined in paragraph (2)(iii) of the 
definition of Qualifying educational institution in Sec.  362.102, and 
he or she expects to complete a qualifying advanced degree by August 31 
of the academic year in which the competition is held.
    (d) An individual may apply for the PMF Program more than once as 
long as he or she meets the eligibility criteria. However, if an 
individual becomes a finalist and subsequently applies for the Program 
during the next open announcement, the individual will forfeit his or 
her status as a finalist.
    (e) OPM will select Fellow finalists based on an OPM evaluation of 
each candidate's experience and accomplishments according to his or her 
application and the results of a rigorous structured assessment process.
    (f) OPM will publish and provide participating agencies the Fellow 
finalists list for appointment consideration.



Sec.  362.404  Appointment and extension.

    (a) Appointments. (1) An agency may make 2-year appointments to the 
PMF Program, pursuant to a Pathways MOU executed with the OPM, under 
Schedule D of the excepted service in accordance with part 302 of this 
chapter.
    (2) An agency must appoint a PMF using the excepted service 
appointing authority provided by Sec.  213.3402(c) of this chapter.
    (3) OPM will establish an eligibility period during which agencies 
may appoint Fellow finalists.
    (b) Extension. An agency may extend a Fellow's appointment for up to 
120 days to cover rare or unusual circumstances or situations. The 
agency's Pathways MOU must identify the criteria for approving 
extensions.
    (c) Grade. An agency may appoint a Fellow at the GS-09, GS-11, or 
GS-12 level or equivalent depending on his or her qualifications.
    (d) Trial period. The duration of the PMF appointment in the 
excepted service is a trial period.



Sec.  362.405  Development, evaluation, promotion, and certification.

    (a) Individual Development Plans. An agency must approve, within 45 
days, an Individual Development Plan (IDP) for each of its Fellows that 
sets forth the specific developmental activities that are mutually 
agreed upon by each Fellow and his or her supervisor. The IDP must be 
developed in consultation

[[Page 333]]

with the Agency PMF Coordinator and/or the mentor assigned to the Fellow 
under paragraph (b)(3) of this section.
    (b) Required developmental activities. (1) OPM will provide an 
orientation program for each class or cohort of Fellows and will provide 
information on available training opportunities known to it.
    (2) The agency must provide each Fellow a minimum of 80 hours of 
formal interactive training per year that addresses the competencies 
outlined in the IDP. Mandatory annual training, such as information 
security and ethics training, does not count towards the 80-hour 
requirement.
    (3) Within the first 90 days of a Fellow's appointment, the agency 
must assign the Fellow a mentor, who is a managerial employee outside 
the Fellow's chain of command.
    (4) The agency must provide each Fellow with at least one rotational 
or developmental assignment with full-time management and/or technical 
responsibilities consistent with the Fellow's IDP. With respect to this 
requirement:
    (i) Each Fellow must receive at least one developmental assignment 
of 4 to 6 months in duration, with management and/or technical 
responsibilities consistent with the Fellow's IDP. As an alternative, a 
Fellow may choose to participate in an agency-wide initiative or other 
Presidential or Administration initiative that will provide the Fellow 
with the experience he or she would have gained through the 4-to-6-month 
developmental assignment; and
    (ii) The developmental assignment may be within the Fellow's 
organization, in another component of the agency, or in another Federal 
agency.
    (5) The Fellow may receive other short-term rotational assignments 
of 1 to 6 months in duration, at the agency's discretion.
    (6) Upon the request of OPM, the appointing agency must make Fellows 
available to assist in the assessment process for subsequent PMF 
classes. Any interactive training provided to a Fellow in connection 
with assisting OPM in the assessment process may be counted toward the 
minimum 80-hour training requirement in paragraph (b)(2) of this 
section.
    (c) Promotion. An agency may promote any Fellow who meets the 
qualification requirements for the position. This provision does not 
confer entitlement to promotion.
    (d) Certification of completion. (1) Upon completion of the Program, 
the agency's ERB must evaluate each Fellow and determine whether it can 
certify in writing that the Fellow met all of the requirements of the 
Program, including the performance and developmental expectations set 
forth in the individual's performance plan and IDP. The ERB may consult 
the Fellow's mentor in reaching its determination.
    (2) The ERB must notify the Fellow of its decision regarding 
certification of successful completion.
    (3) ERB certifications must be forwarded to OPM.
    (4)(i) If the ERB decides not to certify a Fellow, the Fellow may 
request reconsideration of that determination by the Director. Such 
reconsideration must be requested in writing, with appropriate 
documentation and justification, within 15 calendar days of the date of 
the agency's decision. The Director's decision on reconsideration is not 
subject to appeal.
    (ii) The Fellow may continue in the Program pending the outcome of 
his or her request for reconsideration. The agency must continue to 
provide appropriate developmental activities during this period.



Sec.  362.406  Movement between agencies.

    (a) At any time during his or her appointment in the Program, a 
Fellow may move to another agency covered by this part, as long as the 
agency meets all the requirements for participating in the PMF Program. 
To move from one agency to another during the Program, the Fellow must 
separate from the current agency. The new employing agency must appoint 
the Participant without a break in service.
    (b) The Fellow does not begin a new Program period upon appointment 
by the new employing agency. Because there is no break in service, time 
served under the previous Program appointment will apply towards the 
completion of the Program with the new employing agency.

[[Page 334]]

    (c) An agency must notify OPM when appointing a Fellow currently 
appointed in another agency.
    (d) If the move occurs within the first 6 months of the Fellow's 
appointment, the original appointing agency may request reimbursement of 
one-quarter of the placement fee from the new appointing agency.



Sec.  362.407  Withdrawal and readmission.

    (a) Withdrawal. (1) A Fellow may withdraw from the Program at any 
time. Such withdrawal will be treated as a resignation from the Federal 
service; however, any obligations established upon admission and 
appointment (for example, as a result of accepting a recruitment 
incentive under part 575 of this chapter) still apply.
    (2) A Fellow who held a permanent appointment in the competitive 
service in an agency immediately before entering the Program, and who 
withdraws from the Program for reasons that are not related to 
misconduct, poor performance, or suitability, may, at the employing 
agency's discretion, be placed in a permanent competitive service 
position, as appropriate, in that agency. The employing agency's 
determination in this regard is not subject to appeal.
    (3) An agency must notify OPM when a Fellow withdraws from the 
Program.
    (b) Readmission. (1) If a Fellow withdraws from the Program for 
reasons that are related to misconduct, poor performance, or 
suitability, as determined by the agency, he or she will not be 
readmitted to the Program at any time.
    (2) If a Fellow withdraws from the Program for reasons that are not 
related to misconduct, poor performance, or suitability, he or she may 
petition the employing original agency for readmission and reappointment 
to the Program. Such a petition must be in writing and include 
appropriate justification. The agency may approve or deny the request 
for readmission. An agency must submit written notification of approved 
readmission requests to OPM. The individual's status in the Program upon 
readmission and reappointment must be addressed as part of the agency's 
submission. The Director may overrule the agency's decision to readmit 
and reappoint, and the Director's decision is not subject to appeal.



Sec.  362.408  Termination and reduction in force.

    (a) Termination. (1) An agency may terminate a Fellow for reasons 
related to misconduct, poor performance, or suitability.
    (2) As a condition of employment, a Fellow's appointment expires at 
the end of the 2-year Program period, plus any agency-approved 
extension, unless the Participant is selected for noncompetitive 
conversion. If an agency does not convert a Fellow at the end of the 
Program, as provided in Sec.  362.409 of this part, or extend the 
individual's initial appointment under Sec.  362.404, the appointment 
expires when certification for Program completion is denied or when the 
Director denies the agency's request for an extension.
    (3) The agency must provide written notification to OPM when a 
Fellow is terminated for any reason.
    (b) Reduction in force. Fellows are in the excepted service Tenure 
Group II for purposes of Sec.  351.502 of this chapter.



Sec.  362.409  Conversion to the competitive service.

    (a) A Fellow must complete the Program within the time limits 
prescribed in Sec.  362.404 of this part, including any agency-approved 
extension. At the conclusion of that period, the Fellow may be 
converted, as provided in paragraph (b) of this section.
    (b) An agency may convert, without a break in service, an ERB-
certified Fellow to a competitive service term or permanent appointment.



PART 370_INFORMATION TECHNOLOGY EXCHANGE PROGRAM--Table of Contents



Sec.
370.101 Purpose.
370.102 Definitions.
370.103 Eligibility.
370.104 Length of details.
370.105 Written agreements.
370.106 Terms and conditions.
370.107 Details to small business concerns.
370.108 Reporting requirements.
370.109 Agency plans.


[[Page 335]]


    Authority: Pub. L. 107-347, 116 Stat. 2923-2931 (5 U.S.C. 3707).

    Source: 70 FR 47714, Aug. 15, 2005, unless otherwise noted.



Sec.  370.101  Purpose.

    (a) The purpose of this part is to implement sections 209(b)(6) and 
(c) of the E-Government Act of 2002 (Pub. L. 107-347), which authorize 
the Office of Personnel Management to establish an Information 
Technology Exchange Program. This statute authorizes the temporary 
detail of information technology employees between the Federal 
Government and private sector organizations. The statute also gives 
Federal agencies the authority to accept private sector information 
technology employees detailed under the Information Technology Exchange 
Program.
    (b) Agency heads, or their designees, may approve details as a 
mechanism for improving the Federal workforce's competency in using 
information technology to deliver Government information and services. 
Details under this part allow Federal employees to serve with private 
sector organizations for a limited time period without loss of employee 
rights and benefits. Agencies may not make details under this part to 
circumvent personnel ceilings, or as a substitute for other more 
appropriate personnel decisions or actions. Approved details must meet 
the strategic program goals of the agency. The benefits to the Federal 
agency and the private sector organization are the primary 
considerations in initiating details; not the desires or personal needs 
of an individual employee.



Sec.  370.102  Definitions.

    In this part: Agency means an Executive agency as defined in 5 
U.S.C. 105, with the exception of the Government Accountability Office.
    Core Competencies are those IT competencies identified by the 
Federal Chief Information Officer (CIO) Council as a baseline for use by 
Federal agencies in complying with the Clinger-Cohen Act, Public Law 
104-106, to determine the training and development needs of the Federal 
IT workforce.
    Detail means: (1) The assignment or loan of an employee of an agency 
to a private sector organization without a change of position from the 
agency that employs the individual (5 U.S.C. 3701(2)(A)), or
    (2) The assignment or loan of a private sector organization employee 
to an agency without a change of position from the private sector 
organization that employs the individual (5 U.S.C. 3701(2)(B)).
    Exceptional employee means an employee who is rated at the highest 
levels of the applicable performance appraisal system or, in the case of 
an employee under an appraisal system that does not have a summary 
rating level above ``fully successful'' or equivalent, is rated at the 
highest summary level used by the performance appraisal system and 
demonstrates sustained quality performance significantly above that 
expected in the type of position involved, as determined under 
performance-related criteria established by the agency.
    Information technology (IT) management means the planning, 
organizing, staffing, directing, integrating, or controlling of 
information technology as defined by Office of Management and Budget 
Circular A-130 which states, the term ``information technology'' means 
any equipment or interconnected system or subsystem of equipment, that 
is used in the automatic acquisition, storage, manipulation, management, 
movement, control, display, switching, interchange, transmission, or 
reception of data or information by an executive agency. For purposes of 
the preceding sentence, equipment is used by an executive agency if the 
equipment is used by the executive agency directly or is used by a 
contractor under a contract with the executive agency which requires the 
use of such equipment, or requires the use, to a significant extent, of 
such equipment in the performance of a service or the furnishing of a 
product. The term ``information technology'' includes computers, 
ancillary equipment, software, firmware and similar procedures, services 
(including

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support services), and related resources. The term ``information 
technology'' does not include any equipment that is acquired by a 
Federal contractor incidental to a Federal contract. The term 
``information technology'' does not include national security systems as 
defined in the Clinger-Cohen Act of 1996 (40 U.S.C. 1452).
    OPM means the Office of Personnel Management.
    Private sector organization means a profit-making business entity 
that is registered in the Central Contractor Registration Database 
(http://www.ccr.gov) as required for the conduct of business with the 
Government.
    Small business concern means a business concern that satisfies the 
definitions and standards specified by the Administrator of the Small 
Business Administration (SBA), under section 3(a)(2) of the Small 
Business Act, codified at 13 CFR 121. Federal agencies can find more 
information through the ``Frequently Asked Questions'' page on the SBA's 
Web site at http://www.sba.gov, which addresses small business size 
standards.



Sec.  370.103  Eligibility.

    (a) To be eligible for a detail under this part, an individual must:
    (1) Work in the field of information technology management;
    (2) Be considered an exceptional employee by the individual's 
current employer; and
    (3) Be expected by the individual's current employer to assume 
increased information technology management responsibilities in the 
future.
    (b) To be eligible for a detail under this part, a Federal employee, 
in addition to meeting the requirements of paragraph (a) of this 
section, must be serving in a position at the GS-11 level or above (or 
equivalent), under a career or career-conditional appointment or an 
appointment of equivalent tenure in the excepted service. For purposes 
of this part, positions of equivalent tenure in the excepted service are 
limited to permanent appointments. In addition, only career members of 
the Senior Executive Service are eligible to be detailed under this 
part.
    (c) To be eligible to participate in the Information Technology 
Exchange Program, a private sector organization must be registered in 
the Central Contractor Registration Database located at http://
www.ccr.gov, except as permitted by the Federal Acquisition Regulation 
(48 CFR 4.1102).
    (d) To be eligible for a detail to a Federal agency under this part, 
a private sector employee, in addition to meeting the requirements of 
paragraph (a) of this section, must meet citizenship requirements for 
Federal employment in accordance with 5 CFR 7.3 and 338.101, as well as 
any other statutory limitation.



Sec.  370.104  Length of details.

    (a) Details may be for a period of between 3 months and 1 year, and 
may be extended in 3-month increments for a total of not more than 1 
additional year, in accordance with 5 U.S.C. 3702(d).
    (b) Agencies may not approve or extend details after December 17, 
2007. An individual serving on a detail prior to this date may continue 
to do so as long as the detail began or was extended on or before 
December 17, 2007.
    (c) For the life of the ITEP, a Federal agency may not send on 
assignment an employee who has served on a detail under this part for 
more than 6 years during his or her Federal career. OPM may waive this 
provision upon request of the agency head, or his or her designee.



Sec.  370.105  Written agreements.

    Before the detail begins, the agency and private sector organization 
must enter into a written agreement with the individual(s) detailed. The 
written agreement must be a three-party agreement between the Federal 
agency (agency head or designee), the individual (private sector or 
Federal), and the private sector organization. The written agreement 
must include, but is not limited to, the following elements:
    (a) The duties to be performed, duration, and terms under which 
extensions to the detail may be granted;
    (b) An individual development plan describing the core IT 
competencies and technical skills that the detailee will be expected to 
enhance or acquire;
    (c) Whether the individual will be supervised by a Federal or 
private sector

[[Page 337]]

employee; and a description of the supervision;
    (d) The requirement for Federal employees to return to their 
employing agency upon completion of the detail for a period equal to the 
length of the detail including any extensions; and
    (e) The obligations and responsibilities of all parties as described 
in 5 U.S.C. 3702 through 3704.



Sec.  370.106  Terms and conditions.

    (a) A Federal employee detailed under this part:
    (1) Remains a Federal employee without loss of employee rights and 
benefits attached to that status. These include, but are not limited to:
    (i) Consideration for promotion;
    (ii) Leave accrual;
    (iii) Continuation of retirement benefits and health, life, and 
long-term care insurance benefits; and
    (iv) Pay increases the employee otherwise would have received if he 
or she had not been detailed;
    (2) Remains covered for purposes of the Federal Tort Claims Act, and 
for purposes of injury compensation as described in 5 U.S.C. chapter 81; 
and
    (3) Is subject to any action that may impact the employee's position 
while he or she is detailed.
    (b) An individual detailed from a private sector organization under 
this part:
    (1) Is deemed to be an employee of the Federal agency for purposes 
of:
    (i) Title 5, United States Code, chapter 73 (Suitability, Security, 
and Conduct);
    (ii) Title 18, United States Code, section 201 (Bribery of Public 
Officials and Witnesses), section 203 (Compensation to Members of 
Congress, Officers, and Others in Matters Affecting the Government), 
section 205 (Activities of Officers and Employees in Claims Against and 
Other Matters Affecting the Government), section 207 (Restrictions on 
Former Officers, Employees, and Elected Officials of the Executive and 
Legislative Branches), section 208 (Acts Affecting a Personal Financial 
Interest), section 209 (Salary of Government Officials and Employees 
Payable Only by the United States), section 603 (Making Political 
Contributions), section 606 (Intimidation to Secure Political 
Contributions), section 607 (Place of Solicitation), section 643 
(Accounting Generally for Public Money), section 654 (Officer or 
Employee of United States Converting Property of Another), section 1905 
(Disclosure of Confidential Information Generally), and section 1913 
(Lobbying with Appropriated Moneys);
    (iii) Title 31, United States Code, section 1343 (Buying and Leasing 
Passenger Motor Vehicles and Aircraft), section 1344 (Passenger Carrier 
Use), and section 1349(b), (Adverse Personnel Actions);
    (iv) The Federal Tort Claims Act and any other Federal tort 
liability statute;
    (v) The Ethics in Government Act of 1978;
    (vi) Internal Revenue Code of 1986, section 1043 (Sale of Property 
to Comply with Conflict-of-Interest Requirements); and
    (vii) Title 41, United States Code, section 423 (Prohibition on 
Former Official's Acceptance of Compensation From Contractor).
    (2) Does not have any right or expectation for Federal employment 
solely on the basis of his or her detail;
    (3) May not have access to any trade secrets or to any other 
nonpublic information which is of commercial value to the private sector 
organization from which he or she is detailed;
    (4) Is subject to such regulations as the President may prescribe; 
and
    (5) Is covered by 5 U.S.C. chapter 81, Compensation for Work 
Injuries, as provided in 5 U.S.C. 3704(c).
    (c) Individuals detailed under this part may be supervised either by 
Federal or private sector managers. For example, a Federal employee on 
detail to a private sector organization may be supervised by a private 
sector manager. Likewise, a private sector employee on detail to an 
agency may be supervised by a Federal manager.
    (d) As provided in 5 U.S.C. 3704(d), a private sector organization 
may not charge the Federal Government, as direct or indirect costs under 
a Federal contract, for the costs of pay or benefits paid by that 
private sector organization to an employee detailed to an agency under 
this part.

[[Page 338]]

    (e) Details may be terminated by the agency (agency head or 
designee) or private sector organization concerned for any reason at any 
time.



Sec.  370.107  Details to small business concerns.

    (a) The head of each agency must take such actions as may be 
necessary to ensure that, of the details made to private sector 
organizations in each calendar year, at least 20 percent are to small 
business concerns, in accordance with 5 U.S.C. 3703(e)(1).
    (b) Agencies must round up to the nearest whole number when 
calculating the percentage of details to small business concerns needed 
to meet the requirements of this section. For example, if an agency 
detailed 11 individuals to private sector organizations during a given 
year, to meet the 20 percent requirement, that agency must have made at 
least 3 (rounded up from 2.2) of these details to small business 
concerns.
    (c) For purposes of this section, ``year'' refers to the 12-month 
period beginning on date of the enactment of the Act, December 17, 2002, 
and each succeeding 12-month period in which any assignments are made. 
Assignments ``made'' in a year are those commencing in such year, in 
accordance with 5 U.S.C. 3703(e)(2).
    (d) Agencies that do not meet the requirements of this section are 
subject to the reporting requirements in 5 U.S.C. 3703(e)(3).
    (e) An agency that makes fewer than five details to private sector 
organizations in any year is not subject to this section.



Sec.  370.108  Reporting requirements.

    (a) Agencies using this part must prepare and submit to OPM 
semiannual reports in accordance with 5 U.S.C. 3706 which must include:
    (1) The total number of individuals detailed to, and the total 
number of individuals detailed from, the agency during the report 
period;
    (2) A brief description of each detail reported under paragraph 
(a)(1) of this section including:
    (i) The name of the detailed individual, and the private sector 
organization and the agency (including the specific bureau or other 
agency component) to or from which such individual was detailed;
    (ii) The respective positions to and from which the individual was 
detailed, including the duties and responsibilities and the pay grade or 
level associated with each; and
    (iii) The duration and objectives of the individual's detail; and
    (3) Such other information as OPM considers appropriate.
    (b) Reports are due to OPM no later than April 7 and October 7 of 
each year for the immediately preceding 6-month periods ending March 31 
and September 30, respectively.
    (c) Agencies that do not meet the requirements of Sec.  370.107 must 
prepare and submit annual reports to Congress in accordance with 5 
U.S.C. 3703(e)(3), as appropriate.



Sec.  370.109  Agency plans.

    Before detailing agency employees or receiving private sector 
employees under this part, an agency must establish an Information 
Technology Exchange Program Plan. The plan must include, but is not 
limited to, the following elements:
    (a) Designation of the agency officials with authority to review and 
approve details;
    (b) Estimated number of candidates needed, both private sector and 
Federal employees, to address IT workforce needs within the agency;
    (c) Criteria for the selection of agency employees for a detail 
under this part. At a minimum, each agency must:
    (1) Announce the detail, including eligibility requirements, to all 
eligible employees;
    (2) Provide for employee nomination by their organization or self-
nomination, to include endorsement by their respective supervisor;
    (3) Forward nominations to designated agency reviewing and approving 
official for final selection.
    (4) Consider:
    (i) The extent to which the employee's current competencies and 
skills are being utilized in the agency;

[[Page 339]]

    (ii) The employee's capability to improve, enhance, or learn skills 
and acquire competencies needed in the agency; and
    (iii) The benefits to the agency which would result from selecting 
the employee for detail.
    (d) Return rights and continuing service requirements for Federal 
employees returning from a detail; and
    (e) Documentation and recordkeeping requirements sufficient to allow 
reconstruction of each action taken under this part to meet agency 
reporting requirements under Sec.  370.108(a) and (b).



PART 410_TRAINING--Table of Contents



                      Subpart A_General Provisions

Sec.
410.101 Definitions.

               Subpart B_Planning and Evaluating Training

410.201 Responsibilities of the head of an agency.
410.202 Responsibilities for evaluating training.
410.203 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.

                 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.

    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_Reporting

410.601 Reporting.

    Authority: 5 U.S.C. 1103(c), 2301, 2302, 4101, et seq.; E.O. 11348, 
3 CFR, 1967 Comp., p. 275, E.O. 11478, 3 CFR 1966-1970 Comp., page 803, 
unless otherwise noted, E.O. 13087; and E.O. 13152.

    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 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-

[[Page 340]]

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.
    (i) Established contact hours are the number of academic credit 
hours assigned to a course(s) times the number of weeks in a term times 
the number of terms required to complete the degree.

[61 FR 66193, Dec. 17, 1996, as amended at 69 FR 33276, June 15, 2004]



               Subpart B_Planning and Evaluating Training



Sec.  410.201  Responsibilities of the head of an agency.

    Agency employee development plans and programs should be designed to 
build or support an agency workforce capable of achieving agency mission 
and performance goals and facilitating continuous improvement of 
employee and organizational performance. In developing strategies to 
train employees, heads of agencies or their designee(s), under section 
4103 of title 5, United States Code, and Executive Order 11348, are 
required to:
    (a) Establish, budget for, operate, maintain, and evaluate plans and 
programs for training agency employees by, in, and through Government or 
non-Government facilities, as appropriate;
    (b) Establish policies governing employee training, including a 
statement of the alignment of employee training and development with 
agency strategic plans, the assignment of responsibility to ensure the 
training goals are achieved, and the delegation of training approval 
authority to the lowest appropriate level;
    (c) Establish priorities for training employees and allocate 
resources according to those priorities; and
    (d) Develop and maintain plans and programs that:
    (1) Identify mission-critical occupations and competencies;
    (2) Identify workforce competency gaps;
    (3) Include strategies for closing competency gaps; and
    (4) Assess periodically, but not less often than annually, the 
overall agency talent management program to identify training needs 
within the agency as required by section 303 of Executive Order 11348.

[74 FR 65387, Dec. 10, 2009]



Sec.  410.202  Responsibilities for evaluating training.

    Agencies must evaluate their training programs annually to determine 
how well such plans and programs contribute to mission accomplishment 
and meet organizational performance goals.

[74 FR 65387, Dec. 10, 2009]



Sec.  410.203  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.

[61 FR 66193, Dec. 17, 1996. Redesignated at 74 FR 65388, Dec. 10, 2009]



        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

[[Page 341]]

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 must 
prescribe procedures as are necessary to ensure that the selection of 
employees for training is made without regard to race, color, religion, 
sex (including pregnancy and gender identity), national origin, age (as 
defined by the Age Discrimination in Employment Act of 1967, as 
amended), disability, genetic information (including family medical 
history), marital status, political affiliation, sexual orientation, 
labor organization affiliation or nonaffiliation, status as parent, or 
any other non-merit-based factor, unless specifically designated by 
statute as a factor that must be taken into consideration when awarding 
such benefits, or retaliation for exercising rights with respect to the 
categories enumerated above, where retaliation rights are available, 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; 
79 FR 43923, July 29, 2014]



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.

[[Page 342]]



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 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

[[Page 343]]

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.
    (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 330.602 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 part 330, 
subpart F, 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.

[61 FR 66193, Dec. 17, 1996, as amended at 75 FR 67605, Nov. 3, 2010]



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 prescribed at 5 U.S.C. 4107(a).
    (b) Colleges and universities participating 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 through the Department.
    (c) The selection of employees for an academic degree training 
program must follow the requirements of Sec.  335.103(b)(3), Sec.  
335.103(c)(1)(iii), and subpart A of part 300 of this chapter. The 
selection and assignment must be accomplished to meet one or more of the 
criteria identified in 5 U.S.C. 4107(a). Therefore, 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

[[Page 344]]

and effectiveness of training assignments under this section.

[69 FR 33277, June 15, 2004]



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.
    (3) The head of an agency shall establish procedures to compute 
length of training period for academic degree training programs in 
accordance with Sec.  410.310(d).
    (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, as amended at 
69 FR 33277, June 15, 2004]



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.
    (d) When an employee is pursuing an academic degree through an 
agency academic degree training program, an agency may compute the 
length of the academic degree training period based on the academic 
institution's established contact hours.

[61 FR 66193, Dec. 17, 1996, as amended at 69 FR 33277, June 15, 2004]



                 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

[[Page 345]]

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 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.
    (8) Border Patrol agent overtime supplement. A Border Patrol agent 
may receive an overtime supplement under 5 U.S.C. 5550 and 5 CFR part 
550, subpart P, during training, subject to the limitation in 5 U.S.C. 
5550(b)(2)(G) and (b)(3)(G) and 5 CFR 550.1622(b).
    (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; 80 FR 58111, 
Sept. 25, 2015]



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

[[Page 346]]

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).
    (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.



    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

[[Page 347]]

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]



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_Reporting



Sec.  410.601  Reporting.

    (a) Each agency shall maintain records of training plans, 
expenditures, and activities in such form and manner as necessary to 
submit the recorded data to the Office of Personnel Management (OPM) 
through the OPM Governmentwide Electronic Data Collection System.
    (b) Beginning December 31, 2006, each agency shall report the 
training data for its employees' training and development at such times 
and in such form as required for the OPM Governmentwide Electronic Data 
Collection System, which is explained in the Guide to Personnel 
Recordkeeping and the Guide to Human Resources Reporting.
    (c) Each agency shall establish a Schedule of Records for 
information required to be maintained by this chapter in accordance with 
regulations promulgated by the National Archives and Records 
Administration (NARA).

[71 FR 28547, May 17, 2006. Redesignated and amended at 74 FR 65388, 
Dec. 10, 2009]

[[Page 348]]



PART 412_SUPERVISORY, MANAGEMENT, AND EXECUTIVE 
DEVELOPMENT--Table of Contents



                      Subpart A_General Provisions

Sec.
412.101 Coverage.
412.102 Purpose.

                      Subpart B_Succession Planning

412.201 Management succession.
412.202 Systematic training and development of supervisors, managers, 
          and executives.

    Subpart C_Senior Executive Service Candidate Development Programs

412.301 Obtaining approval to conduct a Senior Executive Service 
          candidate development program (SESCDP).
412.302 Criteria for a Senior Executive Service candidate development 
          program (SESCDP).

                     Subpart D_Executive Development

412.401 Continuing executive development.

    Authority: 5 U.S.C. 1103 (c)(2)(C), 3396, 3397, 4101 et seq.

    Source: 74 FR 65388, Dec. 10, 2009, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  412.101  Coverage.

    This part applies to all incumbents of, and candidates for, 
supervisory, managerial, and executive positions in the General 
Schedule, the Senior Executive Service (SES), or equivalent pay systems 
also covered by part 410 of this chapter.



Sec.  412.102  Purpose.

    (a) This part implements for supervisors, managers, and executives 
the provisions of 5 U.S.C. chapter 41, related to training, and 5 U.S.C. 
3396, related to the criteria for programs of systematic development of 
candidates for the SES and the continuing development of SES members.
    (b) This part identifies a continuum of leadership development, 
starting with supervisory positions and proceeding through management 
and executive positions Governmentwide. For this reason, this part 
provides requirements by which agencies:
    (1) Develop the competencies needed by supervisors, managers, and 
executives;
    (2) Provide learning through continuing development and training in 
the context of succession planning; and
    (3) Foster a broad agency and Governmentwide 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 leadership positions.



                      Subpart B_Succession Planning



Sec.  412.201  Management succession.

    The head of each agency, in consultation with OPM, must develop a 
comprehensive management succession program, based on the agency's 
workforce succession plans, to fill agency supervisory and managerial 
positions. These programs must be supported by employee training and 
development programs. The focus of the program should be to develop 
managers as well as strengthen organizational capability, and to ensure 
an adequate number of well-prepared and qualified candidates for 
leadership positions. These programs must:
    (a) Implement developmental training consistent with agency 
succession management plans;
    (b) Provide continuing learning experiences throughout an employee's 
career, such as details, mentoring, coaching, learning groups, and 
projects. These experiences should provide broad knowledge and practical 
experience linked to OPM's Federal leadership competencies, as well as 
agency-identified, mission-related competencies, and should be 
consistent with the agency's succession management plan; and
    (c) Include program evaluations pursuant to 5 CFR 410.202.



Sec.  412.202  Systematic training and development of supervisors, 
managers, and executives.

    All agencies must provide for the development of individuals in 
supervisory, managerial and executive positions, as well as individuals 
whom the

[[Page 349]]

agency identifies as potential candidates for those positions, based on 
the agencies' succession plans. Agencies also must issue written 
policies to ensure they:
    (a) Design and implement leadership development programs integrated 
with the employee development plans, programs, and strategies required 
by 5 CFR 410.201, and that foster a broad agency and Governmentwide 
perspective;
    (b) Provide training within one year of an employee's initial 
appointment to a supervisory position and follow up periodically, but at 
least once every three years, by providing each supervisor and manager 
additional training on the use of appropriate actions, options, and 
strategies to:
    (1) Mentor employees;
    (2) Improve employee performance and productivity;
    (3) Conduct employee performance appraisals in accordance with 
agency appraisal systems; and
    (4) Identify and assist employees with unacceptable performance.
    (c) Provide training when individuals make critical career 
transitions, for instance from non-supervisory to manager or from 
manager to executive. This training should be consistent with 
assessments of the agency's and the individual's needs.



    Subpart C_Senior Executive Service Candidate Development Programs



Sec.  412.301  Obtaining approval to conduct a Senior Executive 
Service candidate development program (SESCDP).

    (a) An SESCDP is an OPM-approved training program designed to 
develop the executive qualifications of employees with strong executive 
potential to qualify them for and authorize their initial career 
appointment in the SES. An agency conducting an SESCDP may submit 
program graduates for Qualifications Review Board (QRB) review of their 
executive qualifications under 5 CFR 317.502. A program graduate 
certified by a QRB may receive an initial career appointment without 
further competition to any SES position for which he or she meets the 
professional and technical qualifications requirements.
    (b) An agency covered by subchapter II of chapter 31 of title 5, 
United States Code, may apply to OPM to conduct an SESCDP alone or on 
behalf of a group of agencies. (In this subpart, the term ``agency'' 
refers to either a single agency or a group of agencies acting in 
partnership under this subpart.) Any agency developing an SESCDP must 
submit a policy document describing its program methodologies to OPM for 
formal approval before implementing the SESCDP. An agency must seek OPM 
approval every five years thereafter, and must also consult OPM before 
implementing a change substantially altering how the SESCDP complies 
with the requirements of this regulation. An agency implementing an 
SESCDP without first obtaining formal approval may not submit graduates 
of the program for QRB review.
    (c) An agency that obtained OPM approval under previous regulations 
must apply for re-approval in accordance with requirements in paragraph 
(b) and this subpart before initiating a new SESCDP. All existing SESCDP 
approvals expire within 2 years after publication of this regulation.
    (d) An agency covered by subchapter II of chapter 31 of title 5, 
United States Code, may authorize a major agency component employing 
senior executives to apply directly to OPM for approval to conduct an 
SESCDP. Such an application from a component must be accompanied by the 
agency's written endorsement. To obtain approval, the component must 
meet the SESCDP requirements of this subpart independent of agency 
involvement.
    (e) As always, agencies should be mindful of merit principles in 
carrying out their functions under this subpart.



Sec.  412.302  Criteria for a Senior Executive Service candidate
development program (SESCDP).

    (a) Executive Resources Board requirements. An agency's Executive 
Resources Board (ERB) must oversee the SESCDP. The ERB ensures the 
development program lasts a minimum of 12 months and includes 
substantive developmental experiences that should

[[Page 350]]

equip a successful candidate to accomplish Federal Government missions 
as a senior executive. The agency ERB must oversee and be accountable 
for SESCDP recruitment, merit staffing, and assessment. The agency ERB 
must ensure the program follows SES merit staffing provisions in 5 CFR 
317.501, subject to the condition explained in Sec.  412.302(d)(1) of 
this part. The ERB also must oversee development, evaluation, progress 
in the program, and graduation of candidates, and submit for QRB review 
within 90 workdays of graduation those candidates determined by the ERB 
to possess the executive core qualifications. The ERB must also oversee 
the writing and implementation of a removal policy for program 
candidates who do not make adequate progress.
    (b) Recruitment. 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. 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. The number of expected SES vacancies must be 
considered as one factor in determining the number of selected 
candidates.
    (c) Senior Executive Service candidate development program 
requirements. An SESCDP lasts a minimum of 12 months. To graduate, a 
candidate must accomplish the requirements of the program established by 
his or her agency. Each individual participating in an SESCDP must have:
    (1) A documented development plan based upon a competency-based 
needs determination and approved by the agency ERB. The components of 
the development plan must:
    (i) Address the executive core qualifications (ECQs);
    (ii) Address Federal Government leadership challenges crucial to the 
senior executive;
    (iii) Provide increased knowledge and understanding of the overall 
functioning of the agency, so the participant is prepared for a range of 
positions and responsibilities;
    (iv) Include interaction with senior employees outside the 
candidate's department or agency to foster a broader perspective; and
    (v) Have Governmentwide or multi-agency applicability in the nature 
and scope of the training;
    (2) A formal interagency and/or multi-sector training experience 
lasting at least 80 hours that addresses the ECQs and their application 
to SES positions Governmentwide. The training experience must include 
interaction with senior employees outside the candidate's department or 
agency;
    (3) A developmental assignment of at least 4 months of full-time 
service to include at least one assignment of 90 continuous days in a 
position other than, and substantially different from, the candidate's 
position of record. The assignment must include executive-level 
responsibility and differ from the candidate's current and past 
assignments in ways that broaden the candidate's experience, as well as 
challenge the candidate with respect to leadership competencies and the 
ECQs. Assignments need not be restricted to the agency, the Executive 
Branch, or the Federal Government, so long as they can be accomplished 
in compliance with applicable law and Federal and agency specific ethics 
regulations. The candidate is held accountable for organizational or 
agency results achieved during the assignment. If the assignment is in a 
non-Federal organization, the ERB must provide for adequate 
documentation of the individual's actions and accomplishments and must 
determine the assignment will contribute to development of the 
candidate's executive qualifications; and
    (4) A mentor who is a member of the SES or is otherwise determined 
by the ERB to have the knowledge and capacity to advise the candidate, 
consistent with goals of the SESCDP. The mentor and the candidate are 
jointly responsible for a productive mentoring relationship; however, 
the agency must establish methods to assess these relationships and, if 
necessary, facilitate them or make appropriate changes in the interest 
of the candidate.
    (d) An SESCDP is a training opportunity for which agencies must 
recruit

[[Page 351]]

consistent with merit system principles and paragraph (d)(1) of this 
section. An agency must provide procedures under which selections are 
made from among either all qualified persons or all qualified persons in 
the civil service. If selected, the individual participates in the 
agency's SESCDP.
    (1) An individual who does not currently hold a career or career-
type civil service appointment may only participate in an SESCDP by 
means of a Schedule B appointment authorized by 5 CFR 213.3202(j) to a 
full-time position created for developmental purposes connected with the 
SESCDP. Exercising its authority under Sec.  302.101(c)(6) of this 
chapter, OPM hereby exempts these full-time positions created for 
developmental purposes connected with the SESCDP from the appointment 
procedures of part 302 of this chapter. Competition for these 
appointments must be conducted pursuant to SES merit staffing procedures 
at Sec.  317.501 of this chapter, except agencies must follow the 
principle of veterans' preference as far as administratively feasible, 
in accordance with Sec.  302.101(c) of this chapter. Candidates serving 
under this Schedule B appointment may not be used to fill an agency's 
regular positions on a continuing basis.
    (2) An individual who currently holds a career or career-type 
appointment in the civil service must be selected through SES merit 
staffing procedures at Sec.  317.501 of this chapter. Subject to the 
approval of the agency in which the selectee is employed, such an 
individual may be selected for and participate in an SESCDP in any 
agency while serving in his or her position of record. The individual 
may continue to participate in the SESCDP upon moving to other civil 
service positions under career or career-type appointment, assuming the 
employing agency approves. An SESCDP competition does not satisfy the 
requirements of part 335 of this chapter and therefore does not provide 
an independent basis to appoint or promote a career or career-type 
appointee.
    (3) A career or career-type appointee may participate in an SESCDP 
conducted by an agency other than his or her employing agency under such 
terms as are mutually agreeable and outlined in a Memorandum of 
Understanding (MOU) signed by both agencies involved. The MOU should be 
submitted to OPM after the candidate is selected and before the program 
begins. Terms of the MOU must be consistent with applicable provisions 
of 5 U.S.C. chapter 41, and a copy must be provided to OPM. Either 
agency may decline or discontinue a candidate's participation if such 
terms cannot be negotiated or are not fulfilled.
    (4) Any candidate's participation in an SESCDP is at the discretion 
of the employing agency and subject to provisions established under 5 
CFR 412.302(a) for removing a participant who does not make adequate 
progress in the program.
    (5) For purposes of this paragraph (d), a ``career-type'' 
appointment means a career or career-conditional appointment or an 
appointment of equivalent tenure. An appointment of equivalent tenure is 
considered to be an appointment in the excepted service that is placed 
in Group I or Group II under section 351.502(b).



                     Subpart D_Executive Development



Sec.  412.401  Continuing executive development.

    (a) Each agency must establish a program or programs for the 
continuing development of its senior executives in accordance with 5 
U.S.C 3396(a). Such agency programs must include preparation, 
implementation, and regular updating of an Executive Development Plan 
(EDP) for each senior executive. The EDPs will:
    (1) Function as a detailed guide of developmental experiences to 
help SES members, through participation in short-term and longer-term 
experiences, meet organizational needs for leadership, managerial 
improvement, and organizational results;
    (2) Address enhancement of existing executive competencies and such 
other competencies as will strengthen the executive's performance;
    (3) Outline developmental opportunities and assignments to allow the 
individual to develop a broader perspective in the agency as well as 
Governmentwide; and

[[Page 352]]

    (4) Be reviewed annually and revised as appropriate by an ERB or 
similar body designated by the agency to oversee executive development, 
using input from the performance evaluation cycle.
    (b) Consistent with 5 U.S.C. 3396(d) and other applicable statutes, 
EDPs may provide for executive sabbaticals and other long-term 
assignments outside the Federal sector.



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 System standards for SES performance management systems.
430.306 Planning and communicating performance.
430.307 Monitoring performance.
430.308 Appraising performance.
430.309 Rating performance.
430.310 Details and job changes.
430.311 Performance Review Boards (PRBs).
430.312 Using performance results.
430.313 Training and evaluation.
430.314 OPM review of agency systems.

     Subpart D_Performance Appraisal Certification for Pay Purposes

430.401 Purpose.
430.402 Definitions.
430.403 System certification.
430.404 Certification criteria.
430.405 Procedures for certifying agency appraisal systems.

    Authority: 5 U.S.C. chapter 43 and 5307(d).



                    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.



 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

[[Page 353]]

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 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.

[[Page 354]]

    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, an 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;
    (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;

[[Page 355]]

    (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
    (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.

[[Page 356]]

    (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 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

[[Page 357]]

 
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, 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

[[Page 358]]

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: 80 FR 57694, Sept. 25, 2015, unless otherwise noted.



Sec.  430.301  General.

    (a) Statutory authority. Chapter 43 of title 5, United States Code, 
provides for the establishment of Senior Executive Service (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. In order to improve the overall performance of 
Government, agencies must establish performance management systems that 
hold senior executives accountable (within their assigned areas of 
responsibility and control) for their individual performance and for 
organizational performance by--
    (1) Encouraging excellence in senior executive performance;
    (2) Aligning executive performance plans with the results-oriented 
goals required by the Government Performance and Results Act 
Modernization Act of 2010 (GPRAMA) or other strategic planning 
initiatives;
    (3) Setting and communicating individual and organizational goals 
and expectations that clearly fall within the executive's area of 
responsibility and control;
    (4) Reporting on the success of meeting organizational goals 
(including any factors that may have impacted success);
    (5) Systematically appraising senior executive performance using 
measures that balance organizational results with customer and employee 
perspectives, and other perspectives as appropriate; and
    (6) Using performance appraisals as a basis for pay, awards, 
development, retention, removal, and other personnel decisions.
    (c) Savings provision. Agencies without OPM approval to use the 
basic SES appraisal system issued by U.S. Office of Personnel Management 
(OPM) and the Office of Management and Budget on January 4, 2012, must 
design, obtain OPM approval for, and implement systems conforming to the 
requirements of this subpart no later than one year after October 26, 
2015. No provision of this subpart will affect any administrative 
proceedings related to any action initiated under a provision of this 
chapter before October 26, 2015.



Sec.  430.302  Coverage.

    This subpart applies to--
    (a) All senior executives covered by subchapter II of chapter 31 of 
title 5, United States Code; and

[[Page 359]]

    (b) Agencies as defined in Sec.  430.303.



Sec.  430.303  Definitions.

    In this subpart--
    Agency means an agency as that term is defined in 5 U.S.C. 
3132(a)(1) and an Office of Inspector General, which is a separate 
agency for all provisions of the Senior Executive Service under the 
Inspector General Act of 1978 (5 U.S.C. App 6(d)).
    Annual summary rating means the overall rating level that an 
appointing authority assigns at the end of the appraisal period after 
considering (1) the initial summary rating, (2) any input from the 
executive or a higher level review, and (3) the applicable Performance 
Review Board's recommendations. This is the official final rating for 
the appraisal period.
    Appointing authority means the department or agency head, or other 
official with authority to make appointments in the Senior Executive 
Service (SES).
    Appraisal period means the established period of time for which a 
senior executive's performance will be appraised and rated.
    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.
    Initial summary rating means an overall rating level the supervisor 
derives, from appraising the senior executive's performance during the 
appraisal period in relation to the critical elements and performance 
standards and requirements, and forwards to the Performance Review 
Board.
    Oversight official means the agency head or the individual 
specifically designated by the agency head who provides oversight of the 
performance management system and issues performance appraisal 
guidelines.
    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 critical elements and performance 
standards 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, subpart A, 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 description of what a senior 
executive must accomplish, or the competencies demonstrated, for a 
critical element. A performance requirement establishes the criteria to 
be met to be rated at a specific level of performance and generally 
includes quality, quantity, timeliness, cost savings, manner of 
performance, or other factors.
    Performance standard means a normative description of a single level 
of performance within five such described levels of performance ranging 
from unsatisfactory performance to outstanding performance. Performance 
standards provide the benchmarks for developing performance requirements 
against which actual performance will be assessed.
    Progress review means a review of the senior executive's progress in 
meeting the performance requirements. A progress review is not a 
performance rating.
    Senior executive performance plan means the written critical 
elements and performance requirements against which performance will be 
evaluated during the appraisal period by applying the established 
performance standards. The plan includes all critical elements, 
performance standards, and performance requirements, including any 
specific goals, targets, or other measures established for the senior 
executive.
    Strategic planning initiatives means agency strategic plans as 
required by the GPRA Modernization Act of 2010, annual performance 
plans, organizational work plans, and other related initiatives.
    System standards means the OPM-established requirements for 
performance management systems.

[[Page 360]]



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 in accordance with the system 
standards established in Sec.  430.305.
    (b) Performance management systems must provide for--
    (1) Identifying executives covered by the system;
    (2) Monitoring progress in accomplishing critical elements and 
performance requirements and conducting progress reviews at least once 
during the appraisal period, including informing executives on how well 
they are performing;
    (3) Establishing an official performance appraisal period for which 
an annual summary rating must be prepared;
    (4) Establishing a minimum appraisal period of at least 90 days;
    (5) Ending the appraisal period at any time after the minimum 
appraisal period is completed, but only if the agency determines there 
is an adequate basis on which to appraise and rate the senior 
executive's performance and the shortened appraisal period promotes 
effectiveness; and
    (6) Establishing criteria and procedures to address performance of 
senior executives who are on detail, temporarily reassigned, or 
transferred as described at Sec.  430.312(c)(1), and for other special 
circumstances established by the agency.



Sec.  430.305  System standards for SES performance management systems.

    (a) Each agency performance management system must incorporate the 
following system standards:
    (1) Use critical elements based on OPM-validated executive 
competencies to evaluate executive leadership and results, including the 
quality of the executive's performance;
    (2) Align performance requirements with agency mission and strategic 
planning initiatives;
    (3) Define performance standards for each of the summary rating 
performance levels, which also may be used for the individual elements 
or performance requirements being appraised;
    (4) Appraise each senior executive's performance at least annually 
against performance requirements based on established performance 
standards and other measures;
    (5) Derive an annual summary rating through a mathematical method 
that ensures executives' performance aligns with level descriptors 
contained in performance standards that clearly differentiate levels 
above fully successful, while prohibiting a forced distribution of 
rating levels for senior executives;
    (6) Establish five summary performance levels as follows:
    (i) An outstanding level;
    (ii) An exceeds fully successful level;
    (iii) A fully successful level;
    (iv) A minimally satisfactory level; and
    (v) An unsatisfactory level;
    (7) Include equivalency statements in the system description for 
agency-specific terms for the five summary performance levels aligning 
them with the five performance levels required in Sec.  430.305(a)(6); 
and
    (8) Use performance appraisals as a basis to adjust pay, reward, 
retain, and develop senior executives or make other personnel decisions, 
including removals as specified in Sec.  430.312.
    (b) An agency may develop its own performance management system for 
senior executives in accordance with the requirements of this section.
    (c) OPM may establish, and refine as needed, a basic performance 
management system incorporating all requirements of this section, which 
agencies may adopt, with limited adaptation, for performance management 
of its senior executives.



Sec.  430.306  Planning and communicating performance.

    (a) Each senior executive must have a performance plan that 
describes the individual and organizational expectations for the 
appraisal period that clearly fall within the senior executive's area of 
responsibility and control.
    (b) Supervisors must develop performance plans in consultation with 
senior executives and communicate the plans to them in writing, 
including

[[Page 361]]

through the use of automated systems, on or before the beginning of the 
appraisal period.
    (c) A senior executive performance plan must include--
    (1) Critical elements. Critical elements must reflect individual 
performance results or competencies as well as organizational 
performance priorities within each executive's respective area of 
responsibility and control, and be based on OPM-validated executive 
competencies.
    (2) Performance standards. Performance plans must include the 
performance standards describing each level of performance at which a 
senior executive's performance can be appraised. Performance standards 
describe the general expectations that must be met to be rated at each 
level of performance and provide the benchmarks for developing 
performance requirements.
    (3) Performance requirements. At a minimum, performance requirements 
must describe expected accomplishments or demonstrated competencies for 
fully successful performance by the executive. An agency may establish 
performance requirements associated with other levels of performance as 
well. These performance requirements must align with agency mission and 
strategic planning initiatives. Performance requirements must contain 
measures of the quality, quantity, timeliness, cost savings, or manner 
of performance, as appropriate, expected for the applicable level of 
performance.
    (d) Agencies may require a review of senior executive performance 
plans at the beginning of the appraisal period to ensure consistency of 
agency-specific performance requirements. Such reviews may be performed 
by the Performance Review Board (PRB) or another body of the agency's 
choosing.



Sec.  430.307  Monitoring performance.

    Supervisors must monitor each senior executive's performance 
throughout the appraisal period and hold at least one progress review. 
At a minimum, supervisors must inform senior executives during the 
progress review about how well they are performing with regard to their 
performance plan. Supervisors must provide advice and assistance to 
senior executives on how to improve their performance. Supervisors and 
senior executives may also discuss available development opportunities 
for the senior executive.



Sec.  430.308  Appraising performance.

    (a) Agencies must establish appropriate timelines for communicating 
performance plans, conducting appraisals, and assigning and 
communicating annual summary ratings.
    (b) At least annually, agencies must appraise each senior 
executive's performance in writing, including through the use of 
automated systems, and assign an annual summary rating at the end of the 
appraisal period.
    (c) Agencies must appraise a senior executive's performance on the 
critical elements and performance requirements in the senior executive's 
performance plan.
    (d) Agencies must base appraisals of senior executive performance on 
both individual and organizational performance as it applies to the 
senior executive's area of responsibility and control, taking into 
account factors such as--
    (1) Results achieved in accordance with agency mission and strategic 
planning initiatives;
    (2) Overall quality of performance rendered by the executive,
    (3) Performance appraisal guidelines that must be based upon 
assessments of the agency's performance and are provided by the 
oversight official to senior executives, rating and reviewing officials, 
PRB members, and appointing authorities at the conclusion of the 
appraisal period and before completion of the initial summary ratings;
    (4) Customer perspectives;
    (5) Employee perspectives;
    (6) The effectiveness, productivity, and performance results of the 
employees for whom the senior executive is responsible;
    (7) Leadership effectiveness in promoting diversity, inclusion and 
engagement as set forth, in part, under section 7201 of title 5, United 
States Code; and
    (8) Compliance with the merit system principles set forth under 
section 2301 of title 5, United States Code.

[[Page 362]]



Sec.  430.309  Rating performance.

    (a) When rating senior executive performance, each agency must--
    (1) Comply with the requirements of this section, and
    (2) Establish a PRB as described at Sec.  430.311.
    (b) Each performance management system must provide that an 
appraisal and rating for a career appointee's performance may not be 
made within 120 days after the beginning of a new President's term.
    (c) 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. Once the appropriate 
conditions are met, the agency will then prepare the annual summary 
rating.
    (d) Senior executive performance appraisals and ratings are not 
appealable.
    (e) Procedures for rating senior executives must provide for the 
following:
    (1) Initial summary rating. The supervisor must develop an initial 
summary rating of the senior executive's performance, in writing, 
including through the use of automated systems, and share that rating 
with the senior executive. The senior executive may respond in writing.
    (2) Higher-level review (HLR). A senior executive may ask for a 
higher-level official to review the initial summary rating before the 
rating is given to the PRB. The agency must provide each senior 
executive an opportunity for review of the initial summary rating by an 
employee, or (with the consent of the senior executive) a commissioned 
officer in the uniformed services on active duty in the agency, in a 
higher level in the agency.
    (i) A single review by an official at a higher level who did not 
participate in determining the executive's initial summary rating will 
satisfy this requirement. An official providing HLR may not change the 
initial summary rating but may recommend a different rating to the PRB. 
HLR may be provided by an official who is at a higher level in the 
agency than the appointing authority who will approve the final rating 
under paragraph (e)(4) of this section.
    (ii) When an agency cannot provide review by a higher-level official 
for an executive who receives an initial summary rating from the agency 
head because no such official exists in the agency, the agency must 
offer an alternative review as it determines appropriate, except that 
the review may not be provided by a member of the PRB or an official who 
participated in determining the initial summary rating.
    (iii) If a senior executive declines review by agency-designated 
higher-level officials, the agency may offer an alternative review but 
it not obligated to do so. The agency must document the executive's 
declination of the HLR opportunity provided by the agency before 
offering an alternative review.
    (iv) Copies of findings and recommendations of the HLR official or 
the official performing an alternative review under paragraph (e)(2)(ii) 
through (iii) of this section must be given to the senior executive, the 
supervisor, and the PRB.
    (3) PRB review. The PRB must receive and review the initial summary 
rating, the senior executive's response to the initial rating if made, 
and findings and recommendations of any HLR or any alternative review 
under paragraph (e)(2) of this section before making recommendations to 
the appointing authority, as provided in Sec.  430.311.
    (4) Annual summary rating. The appointing authority must assign the 
annual summary rating of the senior executive's performance after 
considering the applicable PRB's recommendations. This rating is the 
official final rating for the appraisal period and must be communicated 
to the executive in writing, including through the use of automated 
systems, in accordance with the timelines developed under Sec.  
430.308(a).
    (5) Shortened appraisal periods. The procedures of this section 
apply whenever an agency terminates an appraisal period under Sec.  
430.304(b)(5).



Sec.  430.310  Details and job changes.

    (a) When a senior executive is detailed or temporarily reassigned 
for 120 days or longer, the gaining organization must set performance 
goals and

[[Page 363]]

requirements for the detail or temporary assignment. The gaining 
organization must appraise the senior executive's performance in 
writing, including through the use of automated systems, and this 
appraisal must be considered when deriving the initial summary rating.
    (b) When a senior executive is reassigned or transferred to another 
agency after completing the minimum appraisal period, the supervisor 
must appraise the executive's performance in writing, including through 
the use of automated systems, before the executive leaves and provide 
this information to the executive.
    (c) The most recent annual summary rating and any subsequent 
appraisals must be transferred to the gaining agency or organization. 
The gaining supervisor must consider the rating and appraisals when 
deriving the initial summary rating at the end of the appraisal period.



Sec.  430.311  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 consider 
diversity and inclusion in establishing their PRBs.
    (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-based pay adjustment or 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 consider agency performance as 
communicated by the oversight official through the performance appraisal 
guidelines when reviewing and evaluating the initial summary rating, any 
senior executive's response, and any higher-level official's findings 
and recommendations on the initial summary rating or the results of an 
alternative review. The PRB may conduct any further review needed to 
make its recommendations. The PRB may not review an initial summary 
rating to which the executive has not been given the opportunity to 
respond in writing, including through the use of automated systems.
    (2) The PRB must make a written recommendation, including through 
the use of automated systems, to the appointing authority about each 
senior executive's annual summary rating, performance-based pay 
adjustment, and performance award.
    (3) PRB members may not take part in any PRB deliberations involving 
their own appraisals, performance-based pay adjustments, and performance 
awards.



Sec.  430.312  Using performance results.

    (a) Agencies must use performance appraisals as a basis for 
adjusting pay, granting awards, retaining senior executives, and making 
other personnel decisions. Performance appraisals also will be a factor 
in assessing a senior executive's continuing development needs.
    (b) Agencies are required to provide appropriate incentives and 
recognition (including pay adjustments and performance awards under part 
534, subpart D) for excellence in performance.
    (c) A career executive may be removed from the SES for performance 
reasons, subject to the provisions of part 359, subpart E, as follows:
    (1) An executive who receives an unsatisfactory annual summary 
rating must be reassigned or transferred within the SES, or removed from 
the SES;
    (2) An executive who receives two unsatisfactory annual summary 
ratings in any 5-year period must be removed from the SES; 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 SES.

[[Page 364]]



Sec.  430.313  Training and evaluation.

    (a) To assure effective implementation of agency performance 
management systems, agencies must provide appropriate information and 
training to agency leadership, 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. 
Evaluations must provide for both assessment of effectiveness and 
compliance with relevant laws, OPM regulations, and OPM performance 
management policy.
    (c) Agencies must maintain all performance-related records for no 
fewer than 5 years from the date the annual summary rating is issued, as 
required in 5 CFR 293.404(b)(1).



Sec.  430.314  OPM review of agency systems.

    (a) Agencies must submit proposed SES performance management systems 
to OPM for approval. Agency systems must address the system standards 
and requirements specified in this subpart.
    (b) OPM will review agency systems for compliance with the 
requirements of law, OPM regulations, and OPM performance management 
policy, including the system standards specified at Sec.  430.305.
    (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, OPM will identify the 
requirements that were not met and direct the agency to take corrective 
action, and the agency must comply.



     Subpart D_Performance Appraisal Certification for Pay Purposes

    Source: 69 FR 45550, 45551, July 29, 2004, unless otherwise noted.
    Note to subpart D: Regulations identical to this subpart appear at 5 
CFR part 1330, subpart D.



Sec.  430.401  Purpose.

    (a) This subpart implements 5 U.S.C. 5307(d), as added by section 
1322 of the Chief Human Capital Officers Act of 2002 (Title XIII of 
Public Law 107-296, the Homeland Security Act of 2002; November 25, 
2002), which provides a higher aggregate limitation on pay for certain 
members of the Senior Executive Service (SES) under 5 U.S.C. 5382 and 
5383 and employees in senior-level (SL) and scientific or professional 
(ST) positions paid under 5 U.S.C. 5376. In addition, this subpart is 
necessary to administer rates of basic pay for members of the SES under 
5 U.S.C. 5382, as amended by section 1125 of the National Defense 
Authorization Act for Fiscal Year 2004. The regulations in this subpart 
strengthen the application of pay-for-performance principles to senior 
executives and senior professionals. Specifically, the statutory 
provisions authorize an agency to apply a higher maximum rate of basic 
pay for senior executives (consistent with 5 CFR part 534, subpart D, 
when effective) and apply a higher aggregate limitation on pay 
(consistent with 5 CFR part 530, subpart B) to its senior employees, but 
only after OPM, with OMB concurrence, has certified that the design and 
application of the agency's appraisal systems for these employees make 
meaningful distinctions based on relative performance. This subpart 
establishes the certification criteria and procedures that OPM will 
apply in considering agency requests for such certification.
    (b) Senior executives generally may receive an annual rate of basic 
pay up to the rate for level III of the Executive Schedule under 5 
U.S.C. 5382 and 5 CFR part 534, subpart D, when effective. Senior 
employees generally may receive total compensation in a calendar year up 
to the rate for level I of the Executive Schedule under 5 U.S.C. 5307(a) 
and 5 CFR 530.203(a). Only employees covered by an appraisal system that 
OPM, with OMB concurrence, certifies under this subpart are eligible for 
a maximum annual rate of basic pay for senior executives up to the rate 
for level II of the Executive Schedule (consistent with 5 U.S.C. 5382 
and 5 CFR part 534, subpart D, when effective) and a higher aggregate 
pay limitation

[[Page 365]]

equivalent to the total annual compensation payable to the Vice 
President (consistent with 5 U.S.C. 5307(d) and 5 CFR 530.203(b)).



Sec.  430.402  Definitions.

    In this subpart--
    Appraisal system means the policies, practices, and procedures an 
agency establishes under 5 U.S.C. chapter 43 and 5 CFR part 430, 
subparts B and C, or other applicable legal authority, for planning, 
monitoring, developing, evaluating, and rewarding employee performance. 
This includes appraisal systems and appraisal programs as defined at 
Sec.  430.203 and performance management systems as defined at Sec.  
430.303.
    GPRA means the Government Performance and Results Act of 1993.
    OMB means the Office of Management and Budget.
    OPM means the Office of Personnel Management.
    Outstanding performance means performance that substantially exceeds 
the normally high performance expected of any senior employee, as 
evidenced by exceptional accomplishments or contributions to the 
agency's performance.
    Performance evaluation means the comparison of the actual 
performance of senior employees against their performance expectations 
and may take into account their contribution to agency performance, 
where appropriate.
    Performance expectations means critical and other performance 
elements and performance requirements that constitute the senior 
executive performance plans (as defined in Sec.  430.303) established 
for senior executives, the performance elements and standards that 
constitute the performance plans (as defined in Sec.  430.203) 
established for senior professionals, or other appropriate means 
authorized under performance appraisal systems not covered by 5 U.S.C. 
chapter 43 for communicating what a senior employee is expected to do 
and the manner in which he/she is expected to do it, and may include 
contribution to agency performance, where appropriate.
    Program performance measures means results-oriented measures of 
performance, whether at the agency, component, or function level, which 
include, for example, measures under the Government Performance and 
Results Act.
    PRB means Performance Review Board, as described at Sec.  430.310.
    Relative performance means the performance of a senior employee with 
respect to the performance of other senior employees, including their 
contribution to agency performance, where appropriate, as determined by 
the application of a certified appraisal system.
    Senior employee means a senior executive or a senior professional.
    Senior executive means a member of the Senior Executive Service 
(SES) paid under 5 U.S.C. 5383.
    Senior professional means an employee in a senior-level (SL) or 
scientific or professional position (ST) paid under 5 U.S.C. 5376.



Sec.  430.403  System certification.

    (a) The performance appraisal system(s) covering senior employees 
must be certified by OPM, with OMB concurrence, as making meaningful 
distinctions based on relative performance before an agency may apply a 
maximum annual rate of basic pay for senior executives equal to the rate 
for level II of the Executive Schedule or apply an annual aggregate 
limitation on payments to senior employees equal to the salary of the 
Vice President under 5 U.S.C. 5307(d)). OPM, with OMB concurrence, will 
certify an agency's appraisal system(s) only when a review of that 
system's design, application, and administration reveals that the agency 
meets the certification criteria established in Sec.  430.404 and has 
followed the procedures for certifying agency appraisal systems in Sec.  
430.405.
    (b) Except as provided in paragraph (c) of this section, agencies 
subject to 5 U.S.C. chapter 43 and 5 CFR part 430 seeking certification 
of their appraisal systems must submit systems that have been approved 
by OPM under Sec.  430.312 or Sec.  430.210, as applicable. In some 
agencies, the performance appraisal system(s) covers employees in many 
organizations and/or components, and their ability to meet the 
certification criteria in Sec.  430.404 may vary significantly. In such 
cases, an agency may establish and/or submit

[[Page 366]]

separate performance appraisal systems for each of these distinct 
organizations and/or components to ensure timely certification of those 
performance appraisal system(s) that meet the criteria. New appraisal 
systems established under 5 CFR part 430, subpart B or C, as applicable 
based on the employees covered, must be approved by OPM.
    (c) When an agency establishes a new appraisal system for the 
purpose of seeking certification under this subpart, the agency may 
submit that system for certification even if it has not yet been 
approved by OPM under Sec.  430.312 or Sec.  430.210, as applicable. OPM 
will certify, with OMB concurrence, only those systems that OPM 
determines meet the approval requirements of 5 CFR part 430, subpart B 
or C, as applicable.
    (d) An agency must establish an appraisal system(s), as defined in 
Sec.  430.402, for its senior professionals that meets the requirements 
of 5 CFR part 430, subpart B, and is separate from the system(s) 
established to cover its SES members under 5 CFR part 430, subpart C. 
For the purpose of certification under this subpart, such senior 
professional appraisal system(s) must meet the certification criteria 
set forth in Sec.  430.404. At its discretion, an agency may include 
system features in its senior professional appraisal system(s) that are 
the same as, or similar to, the features of its SES appraisal system(s), 
as appropriate, including procedures that correspond to the higher level 
review procedures under Sec.  430.308(b) and PRB reviews of summary 
ratings under Sec.  430.308(c).
    (e) For agencies subject to 5 U.S.C. chapter 43 and 5 CFR part 430, 
OPM approval of the agency performance appraisal system(s) is a 
prerequisite to certification. Agencies not subject to the appraisal 
provisions of 5 U.S.C. chapter 43 and 5 CFR part 430 and which are 
seeking certification of their appraisal system(s) under this subpart 
must submit appropriate documentation to demonstrate that each system 
complies with the appropriate legal authority that governs the 
establishment, application, and administration of that system.



Sec.  430.404  Certification criteria.

    (a) To be certified, an agency's applicable appraisal system(s) for 
senior executives or senior professionals must make meaningful 
distinctions based on relative performance and meet the other 
requirements of 5 U.S.C. chapter 43, as applicable, in addition to the 
particular criterion cited here (i.e., consultation). Such system(s) 
must provide for the following:
    (1) Alignment, so that the performance expectations for individual 
senior employees derive from, and clearly link to, the agency's mission, 
GPRA strategic goals, program and policy objectives, and/or annual 
performance plans and budget priorities;
    (2) Consultation, so that the performance expectations for senior 
employees meet the requirements of 5 CFR part 430, subparts B and C, as 
applicable, and/or other applicable legal authority; are developed with 
the input and involvement of the individual senior employees who are 
covered thereby; and are communicated to them at the beginning of the 
applicable appraisal period, and/or at appropriate times thereafter;
    (3) Results, so that the performance expectations for individual 
senior employees apply to their respective areas of responsibility; 
reflect expected agency and/or organizational outcomes and outputs, 
performance targets or metrics, policy/program objectives, and/or 
milestones; identify specific programmatic crosscutting, external, and 
partnership-oriented goals or objectives, as applicable; and are stated 
in terms of observable, measurable, and/or demonstrable performance;
    (4) Balance, so that in addition to expected results, the 
performance expectations for individual senior employees include 
appropriate measures or indicators of employee and/or customer/
stakeholder feedback; quality, quantity, timeliness, and cost 
effectiveness, as applicable; and those technical, leadership and/or 
managerial competencies or behaviors that contribute to and are 
necessary to distinguish outstanding performance;
    (5) Appropriate assessments of the agency's performance--overall and 
with respect to each of its particular

[[Page 367]]

missions, components, programs, policy areas, and support functions--
such as reports of the agency's GPRA goals, annual performance plans and 
targets, program performance measures, and other appropriate indicators, 
as well as evaluation guidelines based, in part, upon those assessments, 
that are communicated by the agency head, or an individual specifically 
designated by the agency head for such purpose, to senior employees, 
appropriate senior employee rating and reviewing officials, and PRB 
members. These assessments and guidelines are to be provided at the 
conclusion of the appraisal period but before individual senior employee 
performance ratings are recommended, so that they may serve as a basis 
for individual performance evaluations, as appropriate. The guidance 
provided may not take the form of quantitative limitations on the number 
of ratings at any given rating level, and must conform to 5 CFR part 
430, subpart B or C, as applicable;
    (6) Oversight by the agency head or the individual specifically 
designated under paragraph (a)(5) of this section, who certifies, for a 
particular senior employee appraisal system, that--
    (i) The senior employee appraisal process makes meaningful 
distinctions based on relative performance;
    (ii) The results of the senior employee appraisal process take into 
account, as appropriate, the agency's assessment of its performance 
against program performance measures, as well as other relevant 
considerations; and
    (iii) Pay adjustments, cash awards, and levels of pay based on the 
results of the appraisal process accurately reflect and recognize 
individual performance and/or contribution to the agency's performance;
    (7) Accountability, so that final agency head decisions and any PRB 
recommendations regarding senior employee ratings consistent with 5 CFR 
part 430, subparts B and C, individually and overall, appropriately 
reflect the employee's performance expectations, relevant program 
performance measures, and such other relevant factors as the PRB may 
find appropriate; in the case of supervisory senior employees, ratings 
must reflect the degree to which performance standards, requirements, or 
expectations for individual subordinate employees clearly link to 
organizational mission, GPRA strategic goals, or other program or policy 
objectives and take into account the degree of rigor in the appraisal of 
their subordinate employees;
    (8) Performance differentiation, so that the system(s) includes at 
least one summary level of performance above fully successful, including 
a summary level that reflects outstanding performance, as defined in 
Sec.  430.402, and so that its annual administration results in 
meaningful distinctions based on relative performance that take into 
account the assessment of the agency's performance against relevant 
program performance measures, as described in paragraph (a)(6) of this 
section, employee performance expectations, and such other relevant 
factors as may be appropriate. Relative performance does not require 
ranking senior employees against each other; such ranking is prohibited 
for the purpose of determining performance ratings. For equivalent 
systems that do not use summary ratings, the appraisal system must 
provide for clear differentiation of performance at the outstanding 
level; and
    (9) Pay differentiation, so that those senior employees who have 
demonstrated the highest levels of individual performance and/or 
contribution to the agency's performance receive the highest annual 
summary ratings or ratings of record, as applicable, as well as the 
largest corresponding pay adjustments, cash awards, and levels of pay, 
particularly above the rate for level III of the Executive Schedule. 
Agencies must provide for transparency in the processes for making pay 
decisions, while assuring confidentiality.
    (b) Consistent with the requirements in section 3(a) of the 
Inspector General Act of 1978, an agency's Inspector General or an 
official he or she designates must perform the functions listed in 
paragraphs (a)(5) and (6) of this section for senior employees in the 
Office of the Inspector General.

[[Page 368]]



Sec.  430.405  Procedures for certifying agency appraisal systems.

    (a) General. To receive system certification, an agency must provide 
documentation demonstrating that its appraisal system(s), in design, 
application, and administration, meets the certification criteria in 
Sec.  430.404 as well as the procedural requirements set forth in this 
section.
    (b) Certification requests. In order for an agency's appraisal 
system to be certified, the head of the agency or designee must submit a 
written request for full or provisional certification of its appraisal 
system(s) to OPM. Certification requests may cover an agencywide system 
or a system that applies to one or more agency organizations or 
components and must include--
    (1) A full description of the appraisal system(s) to be certified, 
including--
    (i) Organizational and employee coverage information;
    (ii) Applicable administrative instructions and implementing 
guidance; and
    (iii) The system's use of rating levels that are capable of clearly 
differentiating among senior employees based on appraisals of their 
relative performance against performance expectations in any given 
appraisal period reflecting performance evaluation results that make 
meaningful distinctions based on relative performance, and which 
include--
    (A) For the agency's senior executives covered by 5 CFR part 430, 
subpart C, at least four, but not more than five, summary rating 
levels--an outstanding level, a fully successful level, an optional 
level between outstanding and fully successful, a minimally satisfactory 
level, and an unsatisfactory level;
    (B) For the agency's senior professionals covered by 5 CFR part 430, 
subpart B, at least three, but not more than five, summary levels--an 
outstanding level, a fully successful level, an optional level between 
outstanding and fully successful, an unacceptable level, and an optional 
level between fully successful and unacceptable; and
    (C) For agencies not subject to 5 CFR part 430, subparts B and C, a 
summary rating level that reflects outstanding performance or a 
methodology that clearly differentiates outstanding performance, as 
defined in Sec.  430.402;
    (2) A clearly defined process for reviewing--
    (i) The initial summary ratings and ratings of record, as 
applicable, of senior employees to ensure that annual summary ratings or 
ratings of record are not distributed arbitrarily or on a rotational 
basis, and
    (ii) In the case of senior employees with supervisory 
responsibilities--
    (A) The performance standards, requirements, or expectations for the 
employees they supervise to ensure that they clearly link to 
organizational mission, GPRA strategic goals, or other program and 
policy objectives, as appropriate, and
    (B) The performance standards, requirements, or expectations and the 
performance ratings of the employees they supervise to ensure that they 
reflect distinctions in individual and organizational performance, as 
appropriate;
    (3) Documentation showing that the appraisal system(s) meets the 
applicable certification criteria, as follows:
    (i) For provisional certification, the requirements in Sec.  
430.404(a)(1)-(4); and
    (ii) For full certification, all of the requirements in Sec.  
430.404.
    (4) For full certification, data on senior executive annual summary 
ratings and senior professional ratings of record, as applicable (or 
other documentation for agencies that do not use summary ratings), for 
the two appraisal periods preceding the request, as well as 
corresponding pay adjustments, cash awards, and levels of pay provided 
to those senior employees; and
    (5) Any additional information that OPM and OMB may require to make 
a determination regarding certification.
    (c) Certification actions. At the request of an agency, the Director 
of OPM, at his or her discretion and in accordance with the requirements 
of this subpart and with OMB concurrence, may grant full or provisional 
certification of the agency's appraisal system(s). OPM, with OMB 
concurrence, may--
    (1) Grant full certification of an agency's senior employee 
appraisal system(s) for 2 calendar years when an

[[Page 369]]

agency has demonstrated that it has designed and fully implemented and 
applied an appraisal system(s) for its senior executives or senior 
professionals, as applicable, that meets the certification criteria in 
Sec.  430.404 and the documentation requirements of this section.
    (2) Grant provisional certification of an agency's senior employee 
appraisal system(s) for 1 calendar year when an agency has designed, but 
not yet fully implemented or applied, an appraisal system(s) for its 
senior executives or senior professionals, as applicable, that meets the 
certification criteria in Sec.  430.404. OPM may extend provisional 
certification into the following calendar year in order to permit an 
agency to take any actions needed to adjust pay based on annual summary 
ratings, ratings of record, or other performance appraisal results 
determined during the calendar year for which the system was certified; 
or
    (3) Suspend certification under paragraph (h) of this section if, at 
any time during the certification period, OPM, with OMB concurrence, 
determines that the agency appraisal system is not in compliance with 
certification criteria.
    (d) Pay limitations. Absent full or provisional certification of its 
appraisal system(s), an agency must--
    (1) Set a senior executive's rate of basic pay at a rate that does 
not exceed the rate for level III of the Executive Schedule, consistent 
with 5 CFR part 534, subpart D, when effective; and
    (2) Limit aggregate compensation paid to senior employees in a 
calendar year to the rate for level I of the Executive Schedule, 
consistent with 5 CFR 530.203(b).
    (e) Full certification. (1) OPM, with OMB concurrence, may grant 
full certification when a review of the agency's request and 
accompanying documentation demonstrates that the design, application, 
and administration of the agency's appraisal system(s) meet the criteria 
in Sec.  430.404 and the documentation requirements of this section.
    (2) An agency with a fully-certified appraisal system(s) may set the 
rate of basic pay under 5 CFR part 534, subpart D, when effective, for a 
senior executive covered by a certified system at a rate that does not 
exceed the rate for level II of the Executive Schedule and pay senior 
employees covered by certified system(s) aggregate compensation in a 
certified calendar year in an amount up to the Vice President's salary 
under 3 U.S.C. 104.
    (3) Full certification of an agency's appraisal system will be 
renewed automatically for an additional 2 calendar years, if--
    (i) The agency meets the annual reporting requirements in paragraph 
(g) of this section; and
    (ii) Based on those annual reports, OPM determines, and OMB concurs, 
that the appraisal system(s) continues to meet the certification 
criteria and procedural requirements set forth in this subpart.
    (f) Provisional certification. (1) OPM, with OMB concurrence, may 
grant provisional certification when the design of an agency's appraisal 
system(s) for senior executives or senior professionals, as applicable, 
meets the requirements set forth in this subpart, but insufficient 
documentation exists to determine whether the actual application and 
administration of the appraisal system(s) meet the requirements for full 
certification. OPM, with OMB concurrence, may grant provisional 
certification to an agency more than once.
    (2) During the 1-year period of provisional certification, an agency 
may set the rate of basic pay for a senior executive covered by the 
provisionally certified system at a rate that does not exceed the rate 
for level II of the Executive Schedule (consistent with 5 CFR part 534, 
subpart D, when effective) and pay senior employees covered by 
provisionally certified systems aggregate compensation in the certified 
calendar year in an amount up to the Vice President's salary under 3 
U.S.C. 104 (consistent with 5 CFR part 530, subpart B).
    (3) An agency must resubmit an application requesting provisional 
certification for every calendar year for which it intends to maintain 
provisional certification. An agency with a provisionally certified 
appraisal system(s) may request that OPM, with

[[Page 370]]

OMB concurrence, grant full certification upon a showing that its 
performance appraisal systems for senior executives and senior 
professionals, as applicable, meet the certification criteria in Sec.  
430.404 and the documentation requirements in this section, particularly 
with respect to the implementation and administration of the system(s) 
over at least two consecutive performance appraisal periods.
    (g) Annual reporting requirement. Agencies with certified appraisal 
systems must provide OPM with a general summary of the annual summary 
ratings and ratings of record, as applicable, and rates of basic pay, 
pay adjustments, cash awards, and aggregate total compensation 
(including any lump-sum payments in excess of the applicable aggregate 
limitation on pay that were paid in the current calendar year as 
required by Sec.  530.204) for their senior employees covered by a 
certified appraisal system at the conclusion of each appraisal period 
that ends during a calendar year for which the certification is in 
effect, in accordance with OPM instructions.
    (h) Suspension of certification. (1) When OPM determines that an 
agency's certified appraisal system is no longer in compliance with 
certification criteria, OPM, with OMB concurrence, may suspend such 
certification, as provided in paragraph (c)(3) of this section.
    (2) An agency's system certification is automatically suspended when 
OPM withdraws performance appraisal system approval or mandates 
corrective action because of misapplication of the system as authorized 
under Sec. Sec.  430.210(c), 430.312(c), and 430.403(e).
    (3) OPM will notify the head of the agency at least 30 calendar days 
in advance of the suspension and the reason(s) for the suspension, as 
well as any expected corrective action. Upon such notice, and until its 
system certification is reinstated, the agency must set a senior 
executive's rate of basic pay under 5 CFR part 534, subpart D, when 
effective, at a rate that does not exceed the rate for level III of the 
Executive Schedule. While certification is suspended, an agency must 
limit aggregate compensation received in a calendar year by a senior 
employee to the rate for level I of the Executive Schedule. Pay 
adjustments, cash awards, and levels of pay in effect prior to that 
notice will remain in effect unless OPM finds that any such decision and 
subsequent action was in violation of law, rule, or regulation.
    (4) OPM, with OMB concurrence, may reinstate an agency's suspended 
certification only after the agency has taken appropriate corrective 
action.
    (5) OPM may reinstate the certification of an appraisal system that 
has been automatically suspended under paragraph (h)(2) of this section 
upon the agency's compliance with the applicable OPM-mandated corrective 
action(s).



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]

[[Page 371]]



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);
    (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;
    (15) An involuntary retirement because of disability under part 831 
of this chapter; and
    (16) An action against a technician in the National Guard concerning 
any activity under 32 U.S.C. 709(f)(4), except as provided by 32 U.S.C. 
709(f)(5).
    (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

[[Page 372]]

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, 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) 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
    (13) 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; 87 FR 67782, Nov. 10, 2022]



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.P(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 incumbents 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; 85 FR 
65982, Oct. 16, 2020]



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)

[[Page 373]]

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.

[87 FR 67782, Nov. 10, 2022]



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 one 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 extension 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 disability;
    (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. 1214(b)(1)(A) or (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 Manager, Employee Accountability, 
Accountability and Workforce Relations, Employee Services, 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

[[Page 374]]

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 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; 
85 FR 65982, Oct. 16, 2020; 87 FR 67782, Nov. 10, 2022]



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.e., is not excluded by the parties to the collective 
bargaining agreement) and the employee is:

[[Page 375]]

    (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 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; 85 FR 65982, Oct. 16, 2020]



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 effected. 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 one 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; 
85 FR 65982, Oct. 16, 2020]



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, 33 FR 18085, 3 CFR, 
1966-1970 Comp., p. 755; E.O. 12828, 58 FR 2965, 3 CFR, 1993 Comp., p. 
569.

[[Page 376]]



                         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 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 Sec. Sec.  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.  534.405 of this chapter.
    (e) An agency may grant performance-based cash awards on the basis 
of a rating of record at the fully successful level (or equivalent) or 
above under the authority of 5 U.S.C. 4505a and the provisions of this 
part to eligible non-GS employees who are covered by 5 U.S.C. chapter 45 
and this part and who are not otherwise covered by an explicit statutory 
authority for the payment of such awards, including 5 U.S.C. 5384 (SES 
performance awards).

[60 FR 43946, Aug. 23, 1995; 60 FR 47646, Sept. 13, 1995, as amended at 
69 FR 70359, Dec. 6, 2004; 72 FR 1270, Jan. 11, 2007]



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,

[[Page 377]]

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), provided that the 
rating of record is at the fully successful level (or equivalent) or 
above, except that performance awards may be paid to SES members only 
under Sec.  534.405 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. 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 paid as a percentage of basic pay under 5 
U.S.C. 4505a(a)(2), the rate of basic pay used must include any 
applicable locality payment under 5 CFR part 531, subpart F; special 
rate supplement under 5 CFR part 530, subpart C; or similar payment or 
supplement under other legal authority. For an employee receiving a 
retained rate under 5 CFR part 536, subpart C (or similar authority, 
such as 5 CFR 359.705), the rate of basic pay is the maximum payable 
rate for the employee's grade or level, rather than the retained rate.
    (h) Programs for granting performance-based cash awards on the basis 
of a rating of record at the fully successful level (or equivalent) or 
above, as designed and applied, must make meaningful distinctions based 
on levels of performance.

[60 FR 43946, Aug. 23, 1995, as amended at 69 FR 70359, Dec. 6, 2004; 70 
FR 31287, May 31, 2005; 70 FR 74995, Dec. 19, 2005; 72 FR 1270, Jan. 11, 
2007]



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.

[[Page 378]]

    (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.
    (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

[[Page 379]]

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 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 senior career 
employees for rank awards.

[67 FR 52596, Aug. 13, 2002, as amended at 72 FR 44367, Aug. 8, 2007]



Sec.  451.303  Restrictions.

    (a) Governmentwide limitations--SES. During any fiscal year--
    (1) The number of career SES appointees awarded the rank of 
Meritorious Executive may not exceed 5 percent of the career SES; and
    (2) 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--
    (1) The number of senior career 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

[[Page 380]]

    (2) The number of senior career 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.

[67 FR 52596, Aug. 13, 2002, as amended at 72 FR 44367, Aug. 8, 2007]



Sec.  451.304  Payment of Rank Awards.

    (a) Receipt of the Distinguished rank by an SES career appointee or 
a senior career 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 
senior career 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.

[67 FR 52596, Aug. 13, 2002, as amended at 72 FR 44367, Aug. 8, 2007]



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.



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.

[[Page 381]]

    (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.



    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.

[[Page 382]]



 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.
    (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:

[[Page 383]]

    (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.



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

[[Page 384]]

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.
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 Appeals reconsideration by the 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.

[[Page 385]]

    (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 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

[[Page 386]]

    (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 Director or the Director's designee.

[46 FR 9913, Jan. 30, 1981, as amended at 71 FR 37489, June 30, 2006]



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 
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

[[Page 387]]

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.



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  Appeals reconsideration by the Office.

    The Office may, at its discretion, reopen and reconsider a 
certificate issued under this subpart.
    (a) Requests which contain new and material information, or 
disagreements over the significance of information, will be remanded to 
the Director's designee for a decision.
    (b) The Office may reopen and reconsider a decision only when 
written argument or evidence is presented which

[[Page 388]]

establishes a reasonable doubt concerning the technical accuracy of the 
decision.

[71 FR 37489, June 30, 2006]



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);
    (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

[[Page 389]]

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 the Director or 
the Director's designee. 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 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; 71 
FR 37489, June 30, 2006]



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 the Director or the Director's designee. 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 of the 
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.

[46 FR 9915, Jan. 30, 1981, as amended at 71 FR 37489, June 30, 2006]



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

[[Page 390]]

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]

                  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 Rate Schedules for Recruitment and Retention

                           General Provisions

530.301 Purpose and applicability.
530.302 Definitions.
530.303 Coverage.
530.304 Establishing or increasing special rates.
530.305 Agency requests for new or increased special rates.
530.306 Evaluating agency requests for new or increased special rates.
530.307 OPM review and adjustment of special rate schedules.
530.308 Treatment of special rate as basic pay.
530.309 Miscellaneous provisions.

                    Setting an Employee's Rate of Pay

530.321 General.
530.322 Setting pay when a special rate is newly established or 
          increased.
530.323 Setting pay when a special rate is discontinued or decreased.

    Authority: 5 U.S.C. 5305 and 5307; subpart C also issued under 5 
U.S.C. 5338, sec. 4 of the Performance Management and Recognition System 
Termination Act of 1993 (Pub. L. 103-89), 107 Stat. 981, and sec. 1918 
of Public Law 111-84, 123 Stat. 2619.

Subpart A [Reserved]



                  Subpart B_Aggregate Limitation on Pay

    Source: 69 FR 70360, Dec. 6, 2004, unless otherwise noted.



Sec.  530.201  Purpose.

    This subpart establishes regulations for limiting an employee's 
aggregate annual compensation. An employee's aggregate compensation 
received in any given calendar year may not exceed the rate of pay for 
level I of the Executive Schedule or the rate payable to the Vice 
President at the end of the calendar year, whichever is applicable to 
the employee based on the certification status under 5 CFR part 430, 
subpart D, of the performance appraisal system covering that employee. 
These regulations must be applied in conjunction with 5 U.S.C. 5307.



Sec.  530.202  Definitions.

    In this subpart:
    Agency means an executive agency as defined at 5 U.S.C. 105.
    Aggregate compensation means the total of--

[[Page 391]]

    (1) Basic pay received as an employee of the executive branch or as 
an employee outside the executive branch to whom the General Schedule 
applies;
    (2) Premium pay under 5 U.S.C. chapter 53, subchapter IV;
    (3) Premium pay under 5 U.S.C. chapter 55, subchapter V;
    (4) Incentive awards and performance-based cash awards under 5 
U.S.C. chapters 45 and 53;
    (5) Recruitment and relocation incentives under 5 U.S.C. 5753 and 
retention incentives under 5 U.S.C. 5754;
    (6) Extended assignment incentives under 5 U.S.C. 5757;
    (7) Supervisory differentials under 5 U.S.C. 5755;
    (8) Post differentials under 5 U.S.C. 5925;
    (9) Danger pay allowances under 5 U.S.C. 5928;
    (10) Post differentials based on environmental conditions for 
employees stationed in nonforeign areas under 5 U.S.C. 5941(a)(2);
    (11) Physicians' comparability allowances under 5 U.S.C. 5948;
    (12) Continuation of pay under 5 U.S.C. 8118;
    (13) Lump-sum payments in excess of the aggregate limitation on pay 
as required by Sec.  530.204; and
    (14) Other similar payments authorized under title 5, United States 
Code, excluding--
    (i) Overtime pay under the Fair Labor Standards Act of 1938, as 
amended, and 5 CFR part 551;
    (ii) Severance pay under 5 U.S.C. 5595;
    (iii) Lump-sum payments for accumulated and accrued annual leave 
upon separation under 5 U.S.C. 5551 or 5552;
    (iv) Back pay awarded to an employee under 5 U.S.C. 5596 because of 
an unjustified personnel action;
    (v) Student loan repayments under 5 U.S.C. 5379; and
    (vi) Nonforeign area cost-of-living allowances under 5 U.S.C. 
5941(a)(1).
    Aggregate limitation means the limitation on aggregate compensation 
received in any given calendar year as established by 5 U.S.C. 5307. For 
an executive branch employee (including employees in Senior Executive 
Service positions paid under 5 U.S.C. 5383 and employees in senior-level 
or scientific or professional positions paid under 5 U.S.C. 5376), a 
General Schedule employee in the legislative branch, or General Schedule 
employee in the judicial branch (excluding those paid under 28 U.S.C. 
332(f), 603, and 604), the limitation on aggregate compensation is equal 
to the rate for level I of the Executive Schedule in effect at the end 
of the applicable calendar year. For an employee in a Senior Executive 
Service position paid under 5 U.S.C. 5383 and an employee in a senior-
level or scientific or professional position paid under 5 U.S.C. 5376 
covered by an applicable performance appraisal system that has been 
certified under 5 CFR part 430, subpart D, the limitation on aggregate 
compensation is equal to the total annual compensation payable to the 
Vice President under 3 U.S.C. 104 at the end of a calendar year.
    Basic pay means the total amount of pay received at a rate fixed by 
law or administrative action for the position held by an employee, 
including any special rate under 5 CFR part 530, subpart C, or any 
locality-based comparability payment under 5 CFR part 531, subpart F, or 
other similar payment under other legal authority, before any 
deductions. Basic pay includes night and environmental differentials for 
prevailing rate employees under 5 U.S.C. 5343(f) and 5 CFR 532.511. 
Basic pay excludes additional pay of any other kind.
    Discretionary payment means a payment an agency has discretion to 
make to an employee. Payments that are authorized to be made to an 
employee under the terms of a service agreement or preauthorized to be 
made to an employee at a regular fixed rate each pay period are not 
discretionary payments.
    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 would receive during a 
calendar year but for application of the aggregate limitation to future 
payments. This projection must be based upon known factors. Estimated 
aggregate compensation includes--
    (1) The total amount of basic pay the employee will receive during 
the calendar year;

[[Page 392]]

    (2) Any lump-sum payment of excess amounts from a previous calendar 
year, as described in Sec.  530.204;
    (3) The total amount of nondiscretionary payments the employee would 
be entitled to receive during the calendar year; and
    (4) The total amount of discretionary payments the employee would be 
authorized to receive during the calendar year.

[69 FR 70360, Dec. 6, 2004, as amended at 70 FR 25739, May 13, 2005; 72 
FR 67837, Dec. 3, 2007]



Sec.  530.203  Administration of aggregate limitation on pay.

    (a) Except as provided in paragraph (b) of this section, no 
executive branch employee or General Schedule employee in the 
legislative branch (or General Schedule employee in the judicial branch, 
excluding those paid under 28 U.S.C. 332(f), 603, and 604), may receive 
any allowance, differential, bonus, award, or other similar cash payment 
under title 5, United States Code, in any calendar year which, in 
combination with the employee's basic pay (whether received under title 
5, United States Code, or otherwise), would cause the employee's 
aggregate compensation to exceed the rate for level I of the Executive 
Schedule on the last day of that calendar year (i.e., the aggregate 
limitation).
    (b)(1) Subject to paragraph (b)(2) of this section, an employee in a 
Senior Executive Service position paid under 5 U.S.C. 5383 and an 
employee in a senior-level or scientific or professional position paid 
under 5 U.S.C. 5376 may not receive any allowance, differential, bonus, 
award, or other similar cash payment under title 5, United States Code, 
in any calendar year which, in combination with the employee's basic 
pay, would cause the employee's aggregate compensation to exceed the 
rate of pay for level I of the Executive Schedule.
    (2) An employee covered by a performance appraisal system that has 
been certified under 5 CFR part 430, subpart D, may not receive any 
allowance, differential, bonus, award, or other similar cash payment 
under title 5, United States Code, in any calendar year which, in 
combination with the employee's basic pay, would cause the employee's 
aggregate compensation to exceed the total annual compensation payable 
to the Vice President under 3 U.S.C. 104 on the last day of that 
calendar year (i.e., the aggregate limitation).
    (3) An agency must make corrective actions as provided in paragraphs 
(g) and (h) of this section if the agency underestimated or 
overestimated an employee's aggregate compensation in a calendar year as 
a result of receiving or losing certification of its applicable 
performance appraisal system under 5 CFR part 430, subpart D.
    (c) The aggregate limitations described in paragraphs (a) and (b) of 
this section apply to the aggregate compensation an employee actually 
received during the calendar year without regard to when the 
compensation was earned.
    (d) When an agency authorizes a discretionary payment for an 
employee, the agency must defer any portion of such payment that, when 
added to the estimated aggregate compensation the employee is projected 
to receive, would cause the employee's aggregate compensation during the 
calendar year to exceed the applicable aggregate limitation. Any portion 
of a discretionary payment deferred under this paragraph must be 
available for payment as provided in Sec.  530.204. When a discretionary 
payment is authorized but not required to be paid in the current 
calendar year, an agency official's decision to set the payment date in 
the next calendar year is not considered a deferral under this 
paragraph.
    (e) An agency may not defer or discontinue nondiscretionary payments 
for any period of time to make a discretionary payment that would 
otherwise cause an employee's pay to exceed the applicable aggregate 
limitation. An agency may not defer or discontinue basic pay under any 
circumstance.
    (f) If, after an agency defers discretionary payments as required by 
paragraph (d) of this section, the estimated aggregate compensation to 
which an employee is entitled exceeds the applicable aggregate 
limitation, the agency must defer all nondiscretionary payments (other 
than basic pay) as necessary to avoid payments in excess of

[[Page 393]]

that limitation. An agency must defer all nondiscretionary payments at 
the time when otherwise continuing to pay such payments would cause an 
employee's estimated aggregate compensation for that calendar year to 
exceed the applicable aggregate limitation. An agency must pay any 
portion of a nondiscretionary payment deferred under this paragraph at a 
later date, as provided in Sec.  530.204.
    (g)(1) If an agency determines that it underestimated an employee's 
aggregate compensation at an earlier date in the calendar year, or the 
aggregate limitation applicable to the employee is reduced during the 
calendar year, the sum of the employee's remaining payments of basic pay 
may exceed the difference between the aggregate compensation the 
employee has actually received to date in that calendar year and the 
applicable aggregate limitation. In such cases, the employee will become 
indebted to the Federal Government for any amount paid in excess of the 
applicable aggregate limitation. The head of the agency may waive the 
debt under 5 U.S.C. 5584, if warranted.
    (2) To the extent that any excess amount is attributable to amounts 
that should have been deferred and would have been payable at the 
beginning of the next calendar year, an agency must extinguish the 
excess amount on January 1 of the next calendar year. As part of the 
correction of the error, the agency must deem the excess amount 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 consider this deemed deferred excess payment to 
be part of the employee's aggregate compensation for the new calendar 
year.
    (h) If an agency determines that it overestimated an employee's 
aggregate compensation at an earlier date in the calendar year, which 
caused the agency to defer payments unnecessarily under this section, or 
the aggregate limitation applicable to the employee is increased during 
the calendar year, the agency may make appropriate corrective payments 
to the employee during the calendar year, notwithstanding Sec.  530.204.

[69 FR 70360, Dec. 6, 2004, as amended at 70 FR 25740, May 13, 2005]



Sec.  530.204  Payment of excess amounts.

    (a) An agency must pay the amounts that were deferred because they 
were in excess of the aggregate limitation (as described in Sec.  
530.203) as a lump-sum payment at the beginning of the following 
calendar year, except as otherwise provided in this section. This 
payment is part of the employee's aggregate compensation for the new 
calendar year.
    (b) If a lump-sum payment under paragraph (a) of this section causes 
an employee's estimated aggregate compensation to exceed the aggregate 
limitation in the current calendar year, an agency must consider only 
the employee's basic pay that is expected to be paid in the current year 
in determining the extent to which the lump-sum payment may be paid. An 
agency must defer all other payments, as provided in Sec.  530.203, in 
order to pay as much of the lump-sum excess amount as possible. Any 
payments deferred under this paragraph, including any portion of the 
lump-sum excess amount that was not payable, are 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, the gaining agency 
is responsible for making any lump-sum payment required by paragraph (a) 
of this section. The previous employing agency must provide the gaining 
agency with documentation regarding the employee's excess amount, as 
provided in Sec.  530.205. The previous employing agency must provide a 
fund transfer equal to the total cost of the lump-sum payment to the 
gaining agency through the Department of the Treasury's Intra-
Governmental Payment and Collection System. If an employee leaves 
Federal service, the employing agency is responsible for making the 
lump-sum payment to the employee as provided in paragraph (d) of this 
section.
    (d) An agency must pay any excess amount regardless of the calendar 
year

[[Page 394]]

limitation under the following conditions:
    (1) If an employee dies, the employing agency must pay the entire 
excess amount as part of the settlement of accounts, in accordance with 
5 U.S.C. 5582.
    (2) If an employee separates from Federal service, the employing 
agency must pay the entire excess amount following a 30-day break in 
service. If the individual is reemployed in the Federal service within 
the same calendar year as the separation, any previous payment of an 
excess amount must be considered part of that year's aggregate 
compensation for the purpose of applying the aggregate limitation for 
the remainder of the calendar year.



Sec.  530.205  Records.

    An agency must maintain appropriate records to administer this 
subpart and must transfer such records to any agency to which an 
employee may transfer. An agency must make such records available to any 
agency that may employ the employee later during the same calendar year. 
An agency's records must document the source of any deferred excess 
amount remaining to the employee's credit at the time of separation from 
the agency. In the case of an employee who separates from Federal 
service for at least 30 days, the agency records also must document any 
payment of a deferred excess amount made by the agency after separation.



     Subpart C_Special Rate Schedules for Recruitment and Retention

    Source: 70 FR 31287, May 31, 2005, unless otherwise noted.

                           General Provisions



Sec.  530.301  Purpose and applicability.

    (a) Purpose. This subpart contains OPM regulations implementing 5 
U.S.C. 5305, which authorizes the establishment of special rates of pay 
for Federal employees in executive agencies to address significant 
recruitment or retention problems. This subpart also contains rules for 
determining an employee's rate of pay when a special rate schedule is 
established, increased, decreased, or discontinued, or when conditions 
for coverage under a special rate schedule are changed. All other pay 
actions for special rate employees are governed by the pay-setting rules 
in 5 CFR parts 531 and 536.
    (b) Applicability. Except as explained in Sec.  530.303(a), this 
subpart applies only to GS employees.



Sec.  530.302  Definitions.

    In this subpart:
    Agency means an executive agency as defined in 5 U.S.C. 105.
    Authorized agency official means the head of the agency or an 
official who is authorized to act for the head of the agency in the 
matter concerned.
    Employee has the meaning given that term in 5 U.S.C. 2105.
    General Schedule or GS means the classification and pay system 
established under 5 U.S.C. chapter 51 and subchapter III of chapter 53. 
It also refers to the pay schedule of GS rates established under 5 
U.S.C. 5332, as adjusted under 5 U.S.C. 5303 or other law (including GS 
rates payable to GM employees). Law enforcement officers (LEOs) 
receiving LEO special base rates are covered by the GS classification 
and pay system, but receive higher base rates of pay in lieu of GS rates 
at grades GS-3 through GS-10.
    GM employee has the meaning given that term in 5 CFR 531.203.
    GS rate means a rate of basic pay within the General Schedule, 
excluding any LEO special base rate and additional pay of any kind such 
as locality payments or special rate supplements. A rate payable to a GM 
employee is considered a GS rate.
    Highest applicable rate range means the rate range applicable to an 
employee's position that provides the highest rates of basic pay, 
excluding any retained rates. For example, a rate range of special rates 
may exceed an applicable locality rate range. In certain circumstances, 
the highest applicable rate range may consist of two types of pay rates 
from different pay schedules--e.g., a range where special rates (based 
on a fixed dollar supplement) are higher in the lower portion of the 
range and locality rates are higher in the higher portion of the range.

[[Page 395]]

    Law enforcement officer or LEO has the meaning given that term in 5 
CFR 550.103.
    LEO special base rate means a special base rate established for GS 
law enforcement officers at grades GS-3 through GS-10 under section 403 
of the Federal Employees Pay Comparability Act of 1990 (section 529 of 
Pub. L. 101-509, November 5, 1990, as amended) which is used in lieu of 
a GS rate.
    Locality payment has the meaning given that term in 5 CFR 531.602.
    Locality rate means a GS rate or an LEO special base rate, if 
applicable, plus any applicable locality payment.
    Official worksite means the official location of an employee's 
position of record as determined under 5 CFR 531.605. Official worksite 
is synonymous with the term ``official duty station'' as used in 5 
U.S.C. 5305(i).
    OPM means the Office of Personnel Management.
    Pay schedule means a set of rate ranges established for GS employees 
under a single authority--i.e., the General Schedule, an LEO special 
base rate schedule (for grades GS-3 through 10), a locality rate 
schedule based on GS rates, a locality rate schedule based on LEO 
special base rates (for grades GS-3 through 10), a special rate schedule 
under this subpart, or a similar schedule under 38 U.S.C. 7455. A pay 
schedule applies to or covers a defined category of employees based on 
established coverage conditions (e.g., official worksite, occupation). A 
pay schedule is considered to apply to or cover an employee who meets 
the established coverage conditions even when a rate under that schedule 
is not currently payable to the employee because of a higher pay 
entitlement under another pay schedule.
    Position of record means an employee's official position (defined by 
grade, occupational series, employing agency, LEO status, and any other 
condition that determines coverage under a pay schedule (other than 
official worksite)), as documented on the employee's most recent 
Notification of Personnel Action (Standard Form 50 or equivalent) and 
current position description. A position to which an employee is 
temporarily detailed is not documented as a position of record. For an 
employee whose change in official position is followed within 3 workdays 
by a reduction in force resulting in the employee's separation before he 
or she is required to report for duty in the new position, the position 
of record in effect immediately before the position change is deemed to 
remain the position of record through the date of separation.
    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, including a GS rate, an LEO special base rate, a locality 
rate, a special rate under this subpart or a similar rate under 38 
U.S.C. 7455, or a retained rate, but excluding additional pay of any 
other kind.
    Rate range or range means the range of rates of basic pay for a 
grade within an established pay schedule, excluding any retained rate. A 
rate range may consist of GS rates, LEO special base rates, locality 
rates, special rates, or similar rates under other legal authority.
    Retained rate means a rate above the maximum rate of the rate range 
applicable to the employee which is payable under 5 CFR part 536 or, for 
a former member of the Senior Executive Service, under 5 CFR 359.705.
    Special rate means a rate of pay within a special rate schedule 
established under this subpart.
    Special rate schedule means a pay schedule established under this 
subpart to provide higher rates of pay for specified categories of GS 
positions or employees at one or more grades. An increased or decreased 
special rate schedule refers to an increase or decrease in one or more 
rate ranges within that schedule.
    Special rate supplement means the portion of a special rate paid 
above an employee's GS rate. However, for a law enforcement officer 
receiving an LEO special base rate who is also entitled to a special 
rate, the special rate supplement equals the portion of the special rate 
paid above the officer's LEO special base rate. When a special rate 
schedule covers both LEO positions and other positions, the value of the 
special rate supplement will be less for law enforcement officers 
receiving an LEO

[[Page 396]]

special base rate (since that rate is higher than the corresponding GS 
rate). The payable amount of a special rate supplement is subject to the 
Executive Schedule level IV limitation on special rates, as provided in 
Sec.  530.304(a).

[70 FR 31287, May 31, 2005, as amended at 73 FR 66151, Nov. 7, 2008]



Sec.  530.303  Coverage.

    (a) Under 5 U.S.C. 5305, OPM may establish special rates for 
employees paid under a statutory pay system (as defined in 5 U.S.C. 
5302(1)) or any other pay system established by or under Federal statute 
for civilian positions in the executive branch. Special rates apply only 
to GS employees unless the approved schedule coverage criteria 
specifically state otherwise. OPM will establish special rate schedules 
covering employees under a non-GS pay system only at the request of the 
agency responsible for administering that system. For employees covered 
by a non-GS pay system, the responsible agency is subject to the 
requirements in 5 U.S.C. 5305. To the extent the statutory or regulatory 
provisions governing the non-GS pay system differ from the regulatory 
provisions of this subpart, the responsible agency must follow policies 
that are consistent as possible with this subpart.
    (b) An employee's coverage under a special rate schedule is subject 
to the coverage conditions established by OPM for that schedule, except 
as provided in paragraph (c) of this section. The coverage conditions 
for a special rate schedule may be based on occupation, grade, employing 
agency, geographic location of official worksite, or other factors OPM 
may determine to be appropriate. An agency determination as to whether 
an employee meets the coverage conditions for a special rate schedule 
must be based on the employee's position of record and official 
worksite. An agency also may be required to consider other employee-
specific factors established by OPM to determine special rate coverage, 
such as special qualifications or certifications.
    (c) An agency must pay the applicable special rate to any employee 
who meets the coverage conditions established by OPM with respect to a 
special rate schedule unless an authorized agency official determines 
that a category of employees of the agency will not be covered by a 
proposed or existing special rate schedule, subject to the following 
requirements:
    (1) An authorized agency official may determine that a category of 
employees of the agency will not be covered by a special rate request or 
a proposed new special rate schedule. The official must provide written 
notice to OPM that identifies the specific category or categories of 
employees who will not be covered by the special rate schedule. The 
notice must be received by OPM before the effective date of the new 
special rate schedule.
    (2) An authorized agency official may remove a category of employees 
of the agency from coverage under an existing special rate schedule. The 
official must provide written notice to OPM that identifies the specific 
category or categories of employees who will not be covered by the 
special rate schedule. The loss of coverage under a special rate 
schedule will become effective on the first day of the first pay period 
beginning on or after the date of the notice to OPM.
    (d) An employee covered by a special rate schedule is not entitled 
to a special rate for any purpose with respect to any period during 
which the employee is entitled to a higher rate of basic pay under any 
other legal authority. For example, an employee is not entitled to a 
special rate if he or she is entitled to a higher locality rate or a 
retained rate.



Sec.  530.304  Establishing or increasing special rates.

    (a) OPM may increase the minimum rates of pay otherwise payable to a 
category of employees in one or more areas or locations, grades or 
levels, occupational groups, series, classes, or subdivisions thereof, 
when it is necessary to address existing or likely significant 
recruitment or retention difficulties. OPM will consider the 
circumstances listed in paragraph (b) of this section and the factors 
listed in Sec.  530.306 when evaluating the need for special rates. When 
OPM establishes a minimum special rate under this authority, 
corresponding increases also

[[Page 397]]

may be made in one or more of the remaining rates of the affected grade 
or level. For any given grade, a minimum special rate may not exceed the 
maximum rate of basic pay for the rate range (excluding any locality 
rate, other special rate, or similar payment under other legal 
authority) by more than 30 percent. A special rate may not exceed the 
rate for level IV of the Executive Schedule.
    (b) The circumstances considered by OPM in evaluating the need for 
special rates are the following:
    (1) Rates of pay offered by non-Federal employers which are 
significantly higher than those payable by the Government within the 
area, location, occupational group, or other category of positions under 
GS pay system;
    (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);
    (4) Locality pay authorized under 5 U.S.C. 5304 for the area 
involved;
    (5) A nonforeign area cost-of-living allowance authorized under 5 
U.S.C. 5941(a)(1) for the area involved; or
    (6) Any other circumstances OPM considers appropriate.
    (c) In setting the level of special rates within a rate range for a 
category of employees, OPM will compute the special rate supplement by 
adding a fixed dollar amount or a fixed percentage to all GS rates 
within that range, except that an alternate method may be used--
    (1) For grades GS-1 and GS-2, where within-grade increases vary 
throughout the range; and
    (2) In the nonforeign areas listed in 5 CFR 591.205 for special rate 
schedules established before January 1, 2012.
    (d) If OPM establishes a special rate schedule that covers only law 
enforcement officers, OPM may compute the special rate supplement for 
grades GS-3 through 10 as a fixed percentage of LEO special base rates 
instead of GS rates. With respect to such a schedule, references to GS 
rates in Sec.  530.307 are deemed to be references to LEO special base 
rates.
    (e) Using its authority in section 1918(a)(1) of the Non-Foreign 
Area Retirement Equity Assurance Act of 2009 in combination with its 
authority under 5 U.S.C. 5305, OPM may establish a separate special rate 
schedule for a category of employees who are in GS positions covered by 
a nonforeign area special rate schedule in effect on January 1, 2012, 
and who are employed in a nonforeign area before an OPM-specified 
effective date. Such a separate schedule may be established if the 
existing special rate schedule is being reduced. An employee's coverage 
under the separate special rate schedule is contingent on the employee 
being continuously employed in a covered GS position in the nonforeign 
area after the OPM-specified effective date. Such a separate special 
rate schedule must be designed to provide temporary pay protection and 
be phased out over time until all affected employees are covered under 
the pay schedule that would otherwise apply to the category of employees 
in question.

[70 FR 31287, May 31, 2005, as amended at 73 FR 66151, Nov. 7, 2008; 76 
FR 68633, Nov. 7, 2011]



Sec.  530.305  Agency requests for new or increased special rates.

    (a) An agency may request that a special rate schedule be 
established or increased or that its employees be covered by an existing 
special rate schedule at any time. An authorized agency official in the 
agency headquarters office must submit to OPM any request to establish 
or increase special rates for a category of agency employees. The 
request must include a certification by the authorized agency official 
that the requested special rates are necessary to ensure adequate 
staffing levels to accomplish the agency's mission.
    (b) The authorized agency official is responsible for submitting 
complete supporting data for any request for new or higher special 
rates. OPM may require that the supporting data include a survey of 
prevailing non-Federal pay rates in the relevant labor market.
    (c) OPM may coordinate an agency special rate request with other 
agencies that have similar categories of employees. OPM may designate a 
lead

[[Page 398]]

agency to assist in coordinating the collection of relevant data. Each 
affected agency is responsible for submitting complete supporting data 
upon request to OPM or the lead agency, as appropriate, unless the 
agency determines that a category of its employees will not be covered 
by the proposed special rate schedule, as provided in Sec.  530.303(c).



Sec.  530.306  Evaluating agency requests for new or increased special rates.

    (a) In evaluating agency requests for new or increased special 
rates, OPM may consider the following factors:
    (1) The number of existing vacant positions and the length of time 
they have been vacant;
    (2) The number of employees who have quit (i.e., voluntarily left 
Federal service), including, when available, a subcount of the number of 
employees who quit to take a comparable position offering higher pay;
    (3) Evidence to support a conclusion that recruitment or retention 
problems likely will develop (if such problems do not already exist) or 
will worsen;
    (4) The number of vacancies an agency tried to fill, compared to the 
number of hires and offers made;
    (5) The nature of the existing labor market;
    (6) The degree to which an agency has considered and used other 
available pay flexibilities to alleviate staffing problems, including 
the superior qualifications and special needs pay-setting authority in 5 
CFR 531.212 and recruitment, relocation, and retention incentives under 
5 CFR part 575;
    (7) The degree to which an agency has considered relevant non-pay 
solutions to staffing problems, such as conducting an aggressive 
recruiting program, using appropriate appointment authorities, 
redesigning jobs, establishing training programs, and improving working 
conditions;
    (8) The effect of the staffing problem on the agency's mission;
    (9) 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 
a non-GS pay system; and
    (10) The level of any locality pay authorized under 5 U.S.C. 5304 
and any nonforeign area cost-of-living allowance authorized under 5 
U.S.C. 5941(a)(1) for the area involved.
    (b) In determining the level at which to set special rates, OPM may 
consider the following factors:
    (1) The pay levels that, in OPM's judgment, are necessary to recruit 
or retain an adequate number of qualified employees based on OPM's 
findings with respect to the factors set forth in paragraph (a) of this 
section;
    (2) The dollar costs that will be incurred if special rates are not 
authorized;
    (3) The level of pay for comparable positions; and
    (4) The need to provide for a reasonable progression in pay from 
lower grade levels to higher grade levels to avoid pay alignment 
problems (e.g., such as might result from applying the two-step 
promotion rule in 5 U.S.C. 5334(b)).
    (c) No one factor or combination of factors specified in paragraph 
(a) or (b) of this section requires OPM to establish or increase special 
rates or to set special rates at any given level.

[70 FR 31287, May 31, 2005, as amended at 76 FR 68634, Nov. 7, 2011]



Sec.  530.307  OPM review and adjustment of special rate schedules.

    (a) OPM may review an established special rate schedule at any time 
to determine whether that schedule should be increased, decreased, or 
discontinued, taking into account the circumstances listed in Sec.  
530.304(b) and the factors listed in Sec.  530.306 that led to 
establishing the schedule. An authorized agency official may request 
that OPM conduct such a review of one or more special rate schedules.
    (b) OPM may designate lead agencies to assist in the review of 
designated special rate schedules and to coordinate the collection of 
relevant data. Each affected agency is responsible for submitting 
complete supporting data upon request to OPM or the lead agency, as 
appropriate.
    (c) OPM will adjust a special rate schedule by determining the 
amount of the special rate supplement to be paid on top of the current 
GS rate for each

[[Page 399]]

rate range within the schedule. OPM will determine the extent to which 
special rate supplements are to be adjusted (increased or decreased), if 
at all, and when the special rate supplements are to be adjusted. As 
provided in 5 U.S.C. 5305(d), special rate schedule adjustments made by 
OPM have the force and effect of statute.
    (d)(1) For special rate schedules computed by applying a fixed-
percentage supplement on top of each GS rate within a rate range, OPM 
may require that a change in the underlying GS rate automatically 
results in an adjusted special rate schedule, unless OPM determines that 
an adjustment in the supplement percentage is appropriate for one or 
more special rate schedules.
    (2) For special rate schedules computed by applying a fixed-dollar 
supplement on top of each GS rate within a rate range, OPM may require 
that special rate supplements generally be adjusted to reflect the 
increase in GS rates, unless OPM determines that a different adjustment 
is appropriate for one or more special rate schedules.
    (e) If OPM determines that a special rate schedule, or a rate range 
within a special rate schedule, is no longer needed to ensure 
satisfactory recruitment or retention of qualified employees, OPM may 
discontinue the schedule or rate range. Consistent with Sec.  
530.303(d), if all employees and positions covered by a special rate 
schedule or rate range are entitled to a higher rate of basic pay, the 
schedule or rate range (as applicable) will be automatically 
discontinued.
    (f) OPM may change the established conditions for coverage under a 
special rate schedule at any time based on a reevaluation of the 
circumstances and factors that led to establishing the schedule. 
Expansion of coverage is equivalent to establishing a special rate 
schedule for a category of affected employees. Reduction of coverage is 
the equivalent of discontinuing a special rate schedule for a category 
of affected employees.
    (g) When a special rate schedule is adjusted or discontinued, or 
when there is a change in a schedule's coverage criteria, the rate of 
pay for affected employees must be set as provided in Sec. Sec.  530.321 
through 530.323.



Sec.  530.308  Treatment of special rate as basic pay.

    Except as otherwise specifically provided under other legal 
authority, a special rate is considered a rate of basic pay only for the 
following purposes:
    (a) The purposes for which a locality rate is considered to be a 
rate of basic pay in computing other payments or benefits to the extent 
provided by 5 CFR 531.610, except as otherwise provided in paragraphs 
(b) and (c) of this section;
    (b) Computation of foreign area post differentials under 5 U.S.C. 
5925(a) and danger pay allowances under 5 U.S.C. 5928; and
    (c) Application of pay administration provisions for prevailing rate 
employees which consider rates of basic pay under the GS pay system in 
setting pay (except as otherwise provided in 5 CFR part 532), subject to 
the requirement that, if the employee's actual special rate would not 
apply at the official worksite for the prevailing rate position, a 
special rate may be used only if it is a corresponding special rate on a 
special rate schedule that would cover the employee if his or her GS 
position of record were located at the same official worksite as the 
prevailing rate position, consistent with the geographic conversion rule 
in 5 CFR 531.205.

[70 FR 31287, May 31, 2005, as amended at 76 FR 68634, Nov. 7, 2011]



Sec.  530.309  Miscellaneous provisions.

    (a) A special rate may be paid only for those hours for which an 
employee is in a pay status.
    (b) A pay increase caused by an employee becoming entitled to a new 
or higher special rate supplement is not an equivalent increase in pay 
within the meaning of 5 U.S.C. 5335. (See 5 CFR 531.407(c).)
    (c) A special rate 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 overtime pay 
computations under the Fair Labor Standards Act of 1938, as amended.

[[Page 400]]

    (d) Consistent with Sec.  530.308, the reduction or termination of 
an employee's special rate supplement in accordance with the 
requirements of this subpart is not an adverse action under 5 CFR part 
752, subpart D, or an action under 5 CFR 930.211.

[70 FR 31287, May 31, 2005, as amended at 73 FR 66151, Nov. 7, 2008]

                    Setting an Employee's Rate of Pay



Sec.  530.321  General.

    (a) This section and Sec. Sec.  530.322 and 530.323 provide 
conversion rules for setting an employee's pay when a special rate 
schedule is established, increased, decreased, or discontinued, or when 
an employee's coverage under an existing special rate schedule is 
affected by a change in coverage criteria. These conversion rules do not 
apply to changes in an employee's special rate entitlements based on a 
change in the employee's position of record or official worksite. Pay-
setting rules for other personnel actions affecting special rate 
employees are provided in 5 CFR parts 531 and 536. For example, if an 
employee becomes covered by a special rate schedule as a result of a 
change in the employee's official worksite, the geographic conversion 
rule in 5 CFR 531.205 must be used to set the employee's rate(s) of 
basic pay in the new location before considering any other simultaneous 
pay action (other than a general pay adjustment).
    (b) The conversion rules in Sec. Sec.  530.322 and 530.323 are 
considered general pay adjustments for the purpose of applying 5 CFR 
531.206 (dealing with the order of precedence for processing 
simultaneous pay actions). The rate(s) of pay resulting from these 
conversion rules are considered the employee's existing rate(s) of pay 
before processing the next simultaneous pay action in the order of 
precedence.



Sec.  530.322  Setting pay when a special rate schedule 
is newly established or increased.

    (a) General rule. When an employee holds a position that becomes 
covered by a newly established special rate schedule (including a 
schedule for which coverage is expanded) or increased special rate 
schedule (including an increased special rate range within a schedule), 
the agency must set the employee's special rate at the step (or relative 
position in range for a GM employee) of the grade on the new special 
rate schedule that corresponds to the employee's existing numerical step 
(or relative position in range for a GM employee) as in effect 
immediately before the new special rate schedule takes effect, except as 
otherwise provided in this section. The corresponding special rate is 
determined by adding the applicable special rate supplement on top of 
the employee's GS rate, subject to the limitation that no special rate 
may exceed the rate for level IV of the Executive Schedule. For an 
employee receiving an LEO special base rate, add the applicable special 
rate supplement to the GS rate for the employee's grade and step, except 
as otherwise provided under Sec.  530.304(d).
    (b) Employee entitled to a higher rate of basic pay. As provided in 
Sec.  530.303(d), if an employee meeting the coverage conditions for a 
newly established or increased special rate schedule is entitled to a 
higher rate of basic pay under other legal authority, the employee must 
be paid at that higher rate.
    (c) Employee receiving a retained rate. When an employee is 
receiving a retained rate immediately before the employee's position is 
covered by a newly established or increased special rate schedule, the 
agency must determine the employee's rate of pay consistent with the 
requirements in 5 CFR part 536, subpart C (or 5 CFR 359.705 for a former 
member of the Senior Executive Service receiving a retained rate under 
that section).

[70 FR 31287, May 31, 2005, as amended at 73 FR 66151, Nov. 7, 2008]



Sec.  530.323  Setting pay when a special rate is discontinued or decreased.

    (a) General. This section applies when a special rate applicable to 
a position is discontinued or decreased because of--
    (1) A reduction or termination of the rates of the special rate 
schedule (or of rates of a rate range within a schedule); or
    (2) The reduction in the scope of coverage of the special rate 
schedule.

[[Page 401]]

    (b) Employee entitled to pay retention. When a special rate 
applicable to a position is discontinued or decreased, and an employee 
holding the position is entitled to pay retention under 5 CFR part 536 
as a result, the employee's rate of pay must be set consistent with the 
requirements in 5 CFR part 536, subpart C.
    (c) Employee not entitled to pay retention. When a special rate 
applicable to a position is discontinued or decreased, and an employee 
holding the position is not entitled to pay retention under 5 CFR part 
536, the employee's rate of pay is set in the highest applicable rate 
range at the grade and step (or relative position in range for a GM 
employee) that corresponds to the grade and step (or relative position 
in range for a GM employee) for the employee's existing special rate (as 
in effect immediately before the schedule change).
    (d) Employee receiving a retained rate. When a special rate 
applicable to a position is discontinued or decreased, and the employee 
holding the position is receiving a retained rate immediately before the 
schedule change, the employee's rate of pay must be set consistent with 
the requirements in 5 CFR part 536, subpart C (or 5 CFR 359.705 for a 
former member of the Senior Executive Service receiving a retained rate 
under that section).

[70 FR 31287, May 31, 2005, as amended at 73 FR 66152, Nov. 7, 2008]



PART 531_PAY UNDER THE GENERAL SCHEDULE--Table of Contents



Subpart A [Reserved]

                 Subpart B_Determining Rate of Basic Pay

                           General Provisions

Sec.
531.201 Purpose.
531.202 Coverage.
531.203 Definitions.
531.204 Entitlement to other rates of pay.
531.205 Converting pay upon change in location of employee's official 
          worksite.
531.206 Order of processing simultaneous pay actions.
531.207 Applying annual pay adjustments.

            Setting Pay When Appointment or Position Changes

531.211 Setting pay for a newly appointed employee.
531.212 Superior qualifications and special needs pay-setting authority.
531.213 Setting pay upon change in position without a change in grade.
531.214 Setting pay upon promotion.
531.215 Setting pay upon demotion.
531.216 Setting pay when an employee moves from a Department of Defense 
          or Coast Guard nonappropriated fund instrumentality.
531.217 Special conversion rules for certain non-GS employees.

    Using a Highest Previous Rate Under the Maximum Payable Rate Rule

531.221 Maximum payable rate rule.
531.222 Rates of basic pay that may be used as the highest previous 
          rate.
531.223 Rates of basic pay that may not be used as the highest previous 
          rate.

                     Special Rules for GM Employees

531.241 Retaining and losing GM status.
531.242 Setting pay upon loss of GM status.
531.243 Promotion of a GM employee.
531.244 Adjusting a GM employee's rate at the time of an annual pay 
          adjustment.
531.245 Computing locality rates and special rates for GM employees.
531.246 Within-grade increases for GM employees.
531.247 Maximum payable rate rule for GM employees.

Subpart C [Reserved]

                    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.

[[Page 402]]

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 an employee's locality rate.
531.605 Determining an employee's official worksite.
531.606 Maximum limits on locality rates.
531.607 Computing hourly, daily, weekly and biweekly locality rates.
531.608 Relationship of locality rates to other pay rates.
531.609 Adjusting or terminating locality rates.
531.610 Treatment of locality rate as basic pay.
531.611 Miscellaneous provisions.

Subpart G [Reserved]

    Authority: 5 U.S.C. 5115, 5307, and 5338; sec. 4 of Public Law 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), 5305, 5333, 5334(a) 
and (b), and 7701(b)(2); Subpart D also issued under 5 U.S.C. 5335 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, and 5941(a); 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 A [Reserved]



                 Subpart B_Determining Rate of Basic Pay

    Source: 70 FR 31291, May 31, 2005, unless otherwise noted.

                           General Provisions



Sec.  531.201  Purpose.

    This subpart contains regulations of the Office of Personnel 
Management (OPM) implementing 5 U.S.C 5332, 5333, and 5334, which deal 
with setting and adjusting rates of basic pay for General Schedule (GS) 
employees. These regulations are supplemented by regulations on GS 
within-grade increases in subpart D of this part; GS quality step 
increases in subpart E of this part; locality rates in subpart F of this 
part; special rates in 5 CFR part 530, subpart C; and grade and pay 
retention in 5 CFR part 536.



Sec.  531.202  Coverage.

    This subpart covers employees who occupy positions classified and 
paid under the GS classification and pay system, as provided in 5 U.S.C. 
5102 and 5331 or other applicable laws. Law enforcement officers (LEOs) 
receiving LEO special base rates are covered by the GS classification 
and pay system, but receive higher base rates of pay in lieu of GS rates 
at grades GS-3 through GS-10. This subpart also covers GS employees who 
receive special rates under 5 U.S.C. 5305 and 5 CFR part 530, subpart C.



Sec.  531.203  Definitions.

    In this subpart:
    Agency means an Executive agency as defined in 5 U.S.C. 105 or an 
agency in the legislative branch with employees covered by this subpart. 
To the extent that the regulations in this subpart relate to non-GS 
service in the Federal Government, agency includes any other agency in 
the Federal Government.
    Demotion means a change of an employee, while continuously employed, 
from one GS grade to a lower GS grade, with or without a reduction in 
pay.
    Employee means an employee as defined in 5 U.S.C. 2105 who is 
covered by this subpart. For the purpose of determining eligibility 
under the superior qualifications and special needs pay-setting 
authority in Sec.  531.212 and applying the maximum payable rate 
provisions in Sec. Sec.  531.216 and 531.221 (which consider rates of 
pay received during non-GS service in the Federal Government), employee 
also includes any employee as defined in 5 U.S.C. 2105 and--
    (1) An individual employed by the U.S. Postal Service or the Postal 
Rate Commission who would be considered an employee under 5 U.S.C. 2105 
but for the exclusion in section 2105(e); and
    (2) An individual employed by a Department of Defense or Coast Guard 
nonappropriated fund instrumentality

[[Page 403]]

(as described in 5 U.S.C. 2105(c)) for service covered by Sec.  531.216 
(for the purpose of applying that section and Sec. Sec.  531.211 and 
531.212).
    Existing rate means the rate received immediately before a pay 
action takes effect, after processing a general pay adjustment and any 
other simultaneous pay action that is higher in the order of precedence 
under Sec.  531.206. For example, the existing rate immediately before a 
promotion action must reflect any geographic conversion under Sec.  
531.205 and any simultaneous within-grade increase or quality step 
increase.
    Federal Government means all entities of the Government of the 
United States, including the U.S. Postal Service and the Postal Rate 
Commission. The District of Columbia is deemed to be part of the Federal 
Government with respect to employees of the government of the District 
of Columbia (DC) who were first employed by that government before 
October 1, 1987. A Department of Defense or Coast Guard nonappropriated 
fund instrumentality (as described in 5 U.S.C. 2105(c)) is not 
considered part of the Federal Government except for the purpose of 
applying Sec. Sec.  531.211 and 531.212 to employees covered by Sec.  
531.216 upon employment in a GS position.
    General Schedule or GS means the classification and pay system 
established under 5 U.S.C. chapter 51 and subchapter III of chapter 53. 
It also refers to the pay schedule of GS rates established under 5 
U.S.C. 5332, as adjusted under 5 U.S.C. 5303 or other law (including GS 
rates payable to GM employees). Law enforcement officers (LEOs) 
receiving LEO special base rates are covered by the GS classification 
and pay system but receive higher base rates of pay in lieu of GS rates 
at grades GS-3 through GS-10.
    GM employee means a GS employee who was formerly covered by the 
Performance Management and Recognition System under 5 U.S.C. chapter 54 
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 5 U.S.C. 7103(a)(10) and (11)) in the same grade of the 
General Schedule (GS-13, 14, or 15) and in the same agency without a 
break in service of more than 3 days. (See Sec.  531.241.) Any reference 
to employees, grades, positions, or rates of basic pay under the General 
Schedule includes GM employees.
    GS rate means a rate of basic pay within the General Schedule, 
excluding any LEO special base rate and additional pay of any kind such 
as locality payments or special rate supplements. A rate payable to a GM 
employee is considered a GS rate even though the rate may fall between 
GS step rates.
    Highest applicable rate range means the rate range applicable to a 
GS employee based on a given position of record and official worksite 
that provides the highest rates of basic pay, excluding any retained 
rates. For example, a rate range of special rates may exceed an 
applicable locality rate range. In certain circumstances, the highest 
applicable rate range may consist of two types of pay rates from 
different pay schedules--e.g., a range where special rates (based on a 
fixed dollar supplement) are higher in the lower portion of the range 
and locality rates are higher in the higher portion of the range.
    Law enforcement officer or LEO has the meaning given that term in 5 
CFR 550.103.
    LEO special base rate means a special base rate established for GS 
law enforcement officers at grades GS-3 through GS-10 under section 403 
of the Federal Employees Pay Comparability Act of 1990 (section 529 of 
Pub. L. 101-509, November 5, 1990, as amended) which is used in lieu of 
a GS rate.
    Locality payment means a locality-based comparability payment 
payable to GS employees under 5 U.S.C. 5304 and 5 CFR part 531, subpart 
F.
    Locality rate means a GS rate or an LEO special base rate, if 
applicable, plus any applicable locality payment.
    Official worksite means the official location of the employee's 
position of record, as determined under 5 CFR 531.605.
    OPM means the Office of Personnel Management.
    Payable rate means the highest rate of basic pay to which an 
employee is

[[Page 404]]

entitled based on the employee's position of record, official worksite, 
and step (or relative position in range for a GM employee) or, if 
applicable, a retained rate.
    Pay schedule means a set of rate ranges established for GS employees 
under a single authority--i.e., the General Schedule, an LEO special 
base rate schedule (for grades GS-3 through 10), a locality rate 
schedule based on GS rates, a locality rate schedule based on LEO 
special base rates (for grades GS-3 through 10), or a special rate 
schedule. A pay schedule applies to or covers a defined category of 
employees based on established coverage conditions (e.g., official 
worksite, occupation). A pay schedule is considered to apply to or cover 
an employee who meets the established coverage conditions even when a 
rate under that schedule is not currently payable to the employee 
because of a higher pay entitlement under another pay schedule.
    Position of record means an employee's official position (defined by 
grade, occupational series, employing agency, LEO status, and any other 
condition that determines coverage under a pay schedule (other than 
official worksite)), as documented on the employee's most recent 
Notification of Personnel Action (Standard Form 50 or equivalent) and 
current position description. A position to which an employee is 
temporarily detailed is not documented as a position of record. For an 
employee whose change in official position is followed within 3 workdays 
by a reduction in force resulting in the employee's separation before he 
or she is required to report for duty in the new position, the position 
of record in effect immediately before the position change is deemed to 
remain the position of record through the date of separation.
    Promotion means a GS employee's movement from one GS grade to a 
higher GS grade while continuously employed (including such a movement 
in conjunction with a transfer).
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by a GS employee before any 
deductions, including a GS rate, an LEO special base rate, a special 
rate, a locality rate, and a retained rate, but exclusive of additional 
pay of any other kind. For the purpose of applying the maximum payable 
rate rules in Sec. Sec.  531.216 and 531.221 using a rate under a non-GS 
pay system as an employee's highest previous rate, rate of basic pay 
means a rate of pay under other legal authority which is equivalent to a 
rate of basic pay for GS employees, as described in this definition, 
excluding a rate under Sec.  531.223. (See also 5 CFR 530.308, 531.610, 
and 536.307.)
    Rate range or range means a range of rates of basic pay for a grade 
within an established pay schedule, excluding any retained rate. A rate 
range may consist of GS rates, LEO special base rates, locality rates, 
special rates, or, for non-GS employees, similar rates under other legal 
authority.
    Reassignment means a change of an employee, while serving 
continuously in the same agency, from one position to another without 
promotion or demotion.
    Reemployment means employment, including reinstatement or another 
type of appointment, after a break in service of at least 1 full 
workday.
    Retained rate means a rate above the maximum rate of the rate range 
applicable to a GS employee which is payable under 5 CFR part 536 or, 
for a former member of the Senior Executive Service, under 5 CFR 
359.705.
    Special rate means a rate of pay within a special rate schedule 
established under 5 CFR part 530, subpart C, or a similar rate for GS 
employees established under other legal authority (e.g., 38 U.S.C. 
7455). The term special rate does not include an LEO special base rate 
or an adjusted rate including market pay under 38 U.S.C. 7431(c).
    Special rate schedule means a pay schedule established under 5 CFR 
part 530, subpart C, to provide higher rates of pay for specified 
categories of GS positions or employees at one or more grades or levels 
or a similar schedule established for GS employees under other legal 
authority (e.g., 38 U.S.C. 7455).
    Special rate supplement means the portion of a special rate paid 
above an employee's GS rate. However, for a law enforcement officer 
receiving an LEO special base rate who is also entitled to

[[Page 405]]

a special rate, the special rate supplement equals the portion of the 
special rate paid above the officer's LEO special base rate. When a 
special rate schedule covers both LEO positions and other positions, the 
value of the special rate supplement will be less for law enforcement 
officers receiving an LEO special base rate (since that rate is higher 
than the corresponding GS rate). The payable amount of a special rate 
supplement is subject to the Executive Schedule level IV limitation on 
special rates, as provided in 5 CFR 530.304(a).
    Temporary promotion means a time-limited promotion with a not-to-
exceed date or a specified term.
    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.
    Where different pay schedules apply means, in the context of 
applying the geographic conversion rule, that an employee's official 
worksite is changed to a new location that would cause the employee to 
lose or gain coverage under a location-based pay schedule (i.e., 
locality rate schedule or special rate schedule) if the employee were to 
remain in the same position of record.
    Within-grade increase has the meaning given that term in Sec.  
531.403.

[70 FR 31291, May 31, 2005, as amended at 73 FR 66152, Nov. 7, 2008; 73 
FR 76847, Dec. 18, 2008]



Sec.  531.204  Entitlement to other rates of pay.

    (a) A law enforcement officer is entitled to LEO special base rates 
in lieu of GS rates at grades GS-3 through GS-10. A law enforcement 
officer is entitled to the LEO special base rate that corresponds to his 
or her grade and step. If an employee loses LEO status, the employee is 
entitled to the GS rate for his or her grade and step unless a higher 
rate is set under the maximum payable rate rule in Sec.  531.221 or 
under the pay retention rules in 5 CFR part 536, as applicable. LEO 
special base rates are used in computing locality rates, as provided in 
subpart F of this part. A law enforcement officer may be entitled to a 
special rate that is computed using the underlying GS rate for the LEO's 
grade and step.
    (b) When an employee's GS rate or LEO special base rate is 
determined under the rules of this subpart, the agency must determine 
any other rate of basic pay to which the employee is entitled, including 
a locality rate under subpart F of this part and a special rate under 5 
CFR part 530, subpart C, or other legal authority (e.g., 38 U.S.C. 
7455). The employee is entitled to the highest applicable rate of basic 
pay as his or her payable rate. When an employee's special rate is 
surpassed by a higher locality rate, his or her entitlement to a special 
rate is terminated, as provided in Sec.  530.303(d).
    (c) When application of the rules in this subpart results in setting 
an employee's payable rate in the highest applicable pay schedule (e.g., 
a locality rate schedule or a special rate schedule), the agency must 
determine the employee's underlying GS rate or LEO special base rate, as 
applicable, based on that payable rate (i.e., by finding the 
corresponding underlying rate with the same grade and step (or relative 
position in range for a GM employee) as the payable rate).

[70 FR 31291, May 31, 2005, as amended at 73 FR 66152, Nov. 7, 2008]



Sec.  531.205  Converting pay upon change in location of employee's official worksite.

    When an employee's official worksite is changed to a new location 
where different pay schedules apply, the agency must convert the 
employee's rate(s) of basic pay to the applicable pay schedule(s) in the 
new location before processing any simultaneous pay action (other than a 
general pay adjustment, as provided in Sec.  531.206). The agency must 
first set the employee's rate(s) of basic pay in the applicable pay 
schedule(s) in the new location based on his or her position of record 
(including grade) and step (or a GM employee's GS rate) immediately 
before the change in the employee's official worksite. The resulting 
rate must be used as the existing rate in processing the next 
simultaneous pay action in the order of precedence, using the applicable 
pay schedules in the new location. In conjunction with any simultaneous 
pay

[[Page 406]]

actions, the employee's rate(s) of basic pay will then be set based on 
the employee's new position of record and new official worksite.

[70 FR 31291, May 31, 2005, as amended at 73 FR 66152, Nov. 7, 2008]



Sec.  531.206  Order of processing simultaneous pay actions.

    When multiple pay actions with the same effective date affect an 
employee's rate of basic pay, the actions will be processed in the 
following order:
    (a) Process general pay adjustments before any individual pay action 
that takes effect at the same time. General pay adjustments include an 
annual adjustment in the General Schedule under 5 U.S.C. 5303; an 
adjustment in LEO special base rates; an adjustment of a locality pay 
percentage under subpart F of this part; the establishment or adjustment 
of a special rate schedule under 5 CFR part 530, subpart C, or similar 
legal authority (e.g., 38 U.S.C. 7455); and an adjustment of a retained 
rate under 5 CFR 359.705(d)(1) and 536.305(a)(1) based on the 
establishment or adjustment of a pay schedule.
    (b) Convert the employee's rate(s) of pay to reflect any change in 
the location of the employee's official worksite, as prescribed in Sec.  
531.205 (or similar geographic conversion provision).
    (c) Process any within-grade increase or quality step increase to 
which the employee is entitled.
    (d) Process any promotion action using the rates of pay and rate 
ranges in the sequence prescribed in Sec.  531.214.
    (e) Except as otherwise provided in paragraphs (a) through (d) of 
this section or other regulation, process individual pay actions that 
take effect at the same time in the order that gives the employee the 
maximum benefit.



Sec.  531.207  Applying annual pay adjustments.

    (a) Except as otherwise provided in this section, on the effective 
date of a GS pay adjustment under 5 U.S.C. 5303 or similar authority, an 
agency initially must set the GS rate of a GS employee at the new rate 
of the adjusted General Schedule corresponding to the employee's grade 
and step in effect immediately before the effective date of the pay 
adjustment. Any simultaneous pay actions must be processed after the pay 
adjustment, as provided in Sec.  531.206.
    (b) For employees receiving a retained rate immediately before the 
effective date of a GS annual pay adjustment, the agency must adjust the 
employee's rate of basic pay under the rules in 5 CFR 536.305 (or under 
5 CFR 359.705 for former members of the Senior Executive Service 
receiving a retained rate under that section).
    (c) For GM employees, the agency must follow the rules in Sec.  
531.244.

            Setting Pay When Appointment or Position Changes



Sec.  531.211  Setting pay for a newly appointed employee.

    (a) First appointment. An agency must set the payable rate of basic 
pay for an employee receiving his or her first appointment (regardless 
of tenure) as a civilian employee of the Federal Government at the 
minimum rate of the highest applicable rate range for the employee's 
position of record, except as provided in Sec.  531.212.
    (b) Reemployment. For an employee who has previous civilian service 
in the Federal Government, an agency must set the payable rate of basic 
pay upon reemployment at the minimum rate of the highest applicable rate 
range for the employee's position of record unless--
    (1) The employee meets the conditions in Sec.  531.212 and an agency 
determines it is appropriate to set pay under that section; or
    (2) The employee is eligible for a higher payable rate under the 
maximum payable rate rule in Sec.  531.221 and the agency chooses to 
apply that rule.



Sec.  531.212  Superior qualifications and special needs pay-setting authority.

    (a) Agency authority. (1) An agency may use the superior 
qualifications or special needs pay-setting authority in 5 U.S.C. 5333 
to set the payable rate of basic pay for an employee above the minimum 
rate of the highest applicable rate range for the employee's position of 
record. The superior qualifications or special needs pay-setting 
authority may be used for--

[[Page 407]]

    (i) A first appointment (regardless of tenure) as a civilian 
employee of the Federal Government; or
    (ii) A reappointment that is considered a new appointment under 5 
U.S.C. 5333 because it meets the conditions prescribed in paragraph 
(a)(2) and (3) of this section.
    (2) An agency may use the superior qualifications and special needs 
pay-setting authority for a reappointment only when the employee has had 
a break in service of at least 90 days from the last period of civilian 
employment with the Federal Government, except as provided in paragraph 
(a)(3) of this section.
    (3) Except as provided in paragraph (a)(5) of this section, an 
agency may use the superior qualifications and special needs pay-setting 
authority for a reappointment without requiring a 90-day break in 
service if the candidate's civilian employment with the Federal 
Government during the 90-day period immediately preceding the 
appointment was limited to one or more of the following:
    (i) A time-limited appointment in the competitive or excepted 
service;
    (ii) A non-permanent appointment in the competitive or excepted 
service;
    (iii) Employment with the government of the District of Columbia 
(DC) when the candidate was first appointed by the DC government on or 
after October 1, 1987;
    (iv) An appointment as an expert or consultant under 5 U.S.C. 3109 
and 5 CFR part 304;
    (v) Employment under a provisional appointment designated under 5 
CFR 316.403;
    (vi) Employment under an Internship Program appointment under Sec.  
213.3402(a) of this chapter ; or
    (vii) Employment as a Senior Executive Service limited term 
appointee or limited emergency appointee (as defined in 5 U.S.C. 
3132(a)(5) and (a)(6), respectively).
    (4) Service as an employee of a nonappropriated fund instrumentality 
(NAFI) of the Department of Defense or Coast Guard is not considered 
employment by the Federal Government under this section except for 
employees covered by Sec.  531.216 upon appointment or reappointment 
(i.e., employees who move from NAFI position to GS position with a break 
in service of 3 days or less and without a change in agency). Employees 
covered by Sec.  531.216 upon appointment or reappointment to a GS 
position are not eligible to have pay set under the superior 
qualifications or special needs authority, since their NAFI employment 
is considered employment by the Federal Government. Otherwise, NAFI 
employment does not block application of this section.
    (5) An agency may not apply an exception in paragraph (a)(3) of this 
section if the candidate's civilian employment with the Federal 
Government during the 90-day period immediately preceding the 
appointment was in one or more of the following types of positions:
    (i) A position to which an individual is appointed by the President, 
by and with the advice and consent of the Senate;
    (ii) A position in the Senior Executive Service as a noncareer 
appointee (as defined in 5 U.S.C. 3132(a)(7));
    (iii) A position excepted from the competitive service by reason of 
its confidential, policy-determining, policy-making, or policy-
advocating character;
    (iv) A position to which an individual is appointed by the President 
without the advice and consent of the Senate;
    (v) A position designated as the head of an agency, including an 
agency headed by a collegial body composed of two or more individual 
members;
    (vi) A position in which the employee is expected to receive an 
appointment as the head of an agency; or
    (vii) A position to which an individual is appointed as a Senior 
Executive Service limited term appointee or limited emergency appointee 
(as defined in 5 U.S.C. 3132(a)(5) and (a)(6), respectively) when the 
appointment must be cleared through the White House Office of 
Presidential Personnel.
    (b) Superior qualifications or special needs determination. An 
agency may set the payable rate of basic pay of a newly appointed 
employee above the minimum rate of the grade under this section if the 
candidate meets one of the following criteria:
    (1) The candidate has superior qualifications. An agency may 
determine

[[Page 408]]

that a candidate has superior qualifications based on the level, type, 
or quality of the candidate's skills or competencies demonstrated or 
obtained through experience and/or education, the quality of the 
candidate's accomplishments compared to others in the field, or other 
factors that support a superior qualifications determination. The 
candidate's skills, competencies, experience, education, and/or 
accomplishments must be relevant to the requirements of the position to 
be filled. These qualities must be significantly higher than that needed 
to be minimally required for the position and/or be of a more 
specialized quality compared to other candidates; or
    (2) The candidate fills a special agency need. An agency may 
determine that a candidate fills a special agency need if the type, 
level, or quality of skills and competencies or other qualities and 
experiences possessed by the candidate are relevant to the requirements 
of the position and are essential to accomplishing an important agency 
mission, goal, or program activity. A candidate also may meet the 
special needs criteria by meeting agency workforce needs, as documented 
in the agency's strategic human capital plan.
    (c) Pay rate determination. An agency may consider one or more of 
the following factors, as applicable in the case at hand, to determine 
the step at which to set an employee's payable rate of basic pay using 
the superior qualifications and special needs pay-setting authority:
    (1) The level, type, or quality of the candidate's skills or 
competencies;
    (2) The candidate's existing salary, recent salary history, or 
salary documented in a competing job offer (taking into account the 
location where the salary was or would be earned and comparing the 
salary to payable rates of basic pay in the same location);
    (3) Significant disparities between Federal and non-Federal salaries 
for the skills and competencies required in the position to be filled;
    (4) Existing labor market conditions and employment trends, 
including the availability and quality of candidates for the same or 
similar positions;
    (5) The success of recent efforts to recruit candidates for the same 
or similar positions;
    (6) Recent turnover in the same or similar positions;
    (7) The importance/criticality of the position to be filled and the 
effect on the agency if it is not filled or if there is a delay in 
filling it;
    (8) The desirability of the geographic location, duties, and/or work 
environment associated with the position;
    (9) Agency workforce needs, as documented in the agency's strategic 
human capital plan; or
    (10) Other relevant factors.
    (d) Consideration of recruitment incentive. In determining whether 
to use the superior qualifications and special needs pay-setting 
authority and the level at which the employee's payable rate of basic 
pay should be set, an agency must consider the possibility of 
authorizing a recruitment incentive under 5 CFR part 575, subpart A.
    (e) Approval and documentation requirements. (1) An agency must 
approve each determination to use the superior qualifications and 
special needs pay-setting authority prior to the candidate entering on 
duty. Each determination must be made in writing and reviewed and 
approved by an official of the agency who is at least one level higher 
than the employee's supervisor, unless there is no official at a higher 
level in the agency.
    (2) An agency must document all of the following for each 
determination to use the superior qualifications and special needs pay-
setting authority sufficient to allow reconstruction of the action taken 
in each case:
    (i) The superior qualifications of the candidate under paragraph 
(b)(1) of this section or the special agency need for the candidate's 
services under paragraph (b)(2) of this section which justifies a higher 
than minimum rate;
    (ii) An explanation of the factor(s) and supporting documentation 
under paragraph (c) of this section which were used to justify the rate 
at which the employee's pay is set. The written documentation must 
explain how the factors directly relate to the rate approved; and
    (iii) The reasons for authorizing a higher than minimum rate instead 
of

[[Page 409]]

or in addition to a recruitment incentive under 5 CFR part 575, subpart 
A.
    (f) Ensuring compliance. An agency must establish appropriate 
internal guidelines and evaluation procedures to ensure compliance with 
the law, this section of OPM regulations, and agency policies.

[70 FR 31291, May 31, 2005, as amended at 73 FR 66152, Nov. 7, 2008; 77 
FR 28222, May 11, 2012; 78 FR 49362, Aug. 14, 2013]



Sec.  531.213  Setting pay upon change in position without a change in grade.

    For an employee who is moved laterally (by transfer, reassignment, 
change in type of appointment, change in official worksite, or other 
change in position) from one GS position to a different GS position 
without a change in grade or a break in service, the agency must 
determine the employee's payable rate of basic pay and any underlying 
rate(s)s of basic pay based on the employee's new position of record, 
new official worksite, and the step (or relative position in range for a 
GM employee) in effect before the position change. If an employee is 
eligible to receive a higher rate under the maximum payable rate rule in 
Sec.  531.221, the agency may choose to apply that rule. If an employee 
is entitled to pay retention, the agency must apply the rules in 5 CFR 
part 536.

[70 FR 31291, May 31, 2005, as amended at 73 FR 66152, Nov. 7, 2008]



Sec.  531.214  Setting pay upon promotion.

    (a) General. An agency must set an employee's payable rate of basic 
pay upon promotion following the rules in this section, consistent with 
5 U.S.C. 5334(b). The promotion rule in 5 U.S.C. 5334(b) and the 
implementing rules in this section apply only to a GS employee who is 
promoted from one GS grade to a higher GS grade. Consistent with Sec.  
531.206, any general pay adjustment that takes effect on the same day as 
a promotion action must be processed before applying the rules in this 
section.
    (b) Geographic conversion. When an employee's official worksite is 
changed to a new location where different pay schedules apply, the 
agency must convert the employee to the applicable pay schedule(s) and 
rate(s) of basic pay for the new official worksite based on the 
employee's position of record before promotion as provided in Sec.  
531.205 before processing a simultaneous promotion action.
    (c) Simultaneous within-grade increase. When an employee is entitled 
to a within-grade increase or a quality step increase that is effective 
at the same time as a promotion, the agency must process that increase 
before processing the promotion action.
    (d) Promotion rule--(1) General. An agency must determine an 
employee's payable rate of basic pay upon promotion using the standard 
method in paragraph (d)(3) of this section or the alternate method in 
paragraph (d)(4) of this section, subject to the special rule in 
paragraph (d)(5) of this section for employees receiving a retained rate 
before promotion. A determination regarding whether the alternate method 
is used in place of the standard method depends on the pay schedules 
that apply to an employee before and after promotion, as provided in 
paragraph (d)(2) of this section. In this paragraph (d), references to 
an employee's rate or range ``before promotion'' mean the rate or range 
before promotion but after any geographic conversion required by 
paragraph (b) of this section.
    (2) Determining applicable method. The following rules govern 
determinations regarding which promotion method to use:
    (i) Apply the standard method exclusively if the employee is covered 
by the same pay schedules before and after promotion. For example, an 
employee may be covered by the General Schedule and the same locality 
rate schedule before and after promotion.
    (ii) Apply the alternate method if the employee is covered by 
different pay schedules before and after promotion and if the alternate 
method will produce a higher payable rate upon promotion than the 
standard method. For example, an employee may be covered after promotion 
by a special rate schedule that did not apply to him or her before 
promotion, and the alternate method will produce a higher rate.
    (iii) Apply the standard method in all other circumstances, except 
that an agency may, at its sole and exclusive discretion, apply the 
alternate method

[[Page 410]]

for an employee covered by different pay schedules before and after 
promotion even though the method produces a lesser payable rate than the 
standard method, but only under the following conditions:
    (A) The agency determines it would be inappropriate to use the 
standard method based on a finding that the higher pay for the position 
before promotion is not sufficiently related to the knowledge and skills 
required for the position after promotion; and
    (B) The agency informs the employee of the determination to use the 
alternate method before the effective date of the promotion.
    (3) Standard method. (i) The standard method of applying the 
promotion rule is presented in the following table:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Promotion Rule--Standard Method
------------------------------------------------------------------------
Step A                     If applicable, apply the geographic
                            conversion rule in Sec.   531.205 to
                            determine the employee's rate(s) and
                            range(s) of basic pay based on the
                            employee's position of record before
                            promotion and the new official worksite, as
                            required by paragraph (b) of this section.
                            Also, if applicable, provide any
                            simultaneous within-grade increase or
                            quality step increase, as required by
                            paragraph (c) of this section. Use the
                            resulting rate(s) of basic pay as the
                            existing rate(s) in effect immediately
                            before promotion in applying steps B and C.
------------------------------------------------------------------------
Step B                     Identify the employee's existing GS rate (or
                            LEO special base rate) in the grade before
                            promotion, and increase that rate by two GS
                            within-grade increases for that grade.
------------------------------------------------------------------------
Step C                     Determine the payable (highest) rate of basic
                            pay for the step or rate determined in step
                            B by applying any locality payment or
                            special rate supplement applicable to the
                            given grade, based on the employee's
                            position of record before promotion and
                            official worksite after promotion. (If the
                            rate determined in step B is above the range
                            maximum, use the same locality payment or
                            special rate supplement that applies to
                            rates within the rate range.)
------------------------------------------------------------------------
Step D                     Identify the highest applicable rate range
                            for the employee's position of record after
                            promotion and find the lowest step rate in
                            that range that equals or exceeds the rate
                            determined in step C. This is the employee's
                            payable rate of basic pay upon promotion.
                            (If the rate identified in step C exceeds
                            the maximum of the rate range identified in
                            this step, the employee's payable rate is
                            that maximum rate, or, if the employee's
                            existing rate is higher than that maximum
                            rate, a retained rate under 5 CFR part 536
                            equal to that existing rate.)
------------------------------------------------------------------------

    (ii) Example of standard method: A GS-11, step 5, employee in Los 
Angeles is promoted to a GS-12 position in Kansas City. In Kansas City, 
a special rate schedule would apply to the employee's GS-11 position, 
but at GS-12 no special rate range applies; instead, just a locality 
rate range applies. Thus, different pay schedules apply to the employee 
in Kansas City before and after promotion. The agency determines that 
the standard method produces a higher rate than the alternate method 
because the employee is covered by a special rate schedule before 
promotion but not after promotion, The agency also determines it will 
not invoke the exception provision under paragraph (d)(2)(iii). The 
agency applies the standard method as follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Step A                     Apply the geographic conversion rule to
                            determine the rates of basic pay for the GS-
                            11, step 5, position in Kansas City. The pay
                            schedules applicable to the employee in
                            Kansas City are the General Schedule, the
                            locality rate schedule applicable in Kansas
                            City, and the special rate schedule
                            applicable to the employee's position in
                            Kansas City.
------------------------------------------------------------------------
Step B                     Using the underlying General Schedule,
                            increase the GS-11, step 5, rate by two
                            within-grade increases, which produces the
                            GS-11, step 7, rate.
------------------------------------------------------------------------
Step C                     The payable (highest) rate of basic pay for
                            GS-11, step 7, is the corresponding GS-11,
                            step 7, special rate that would be
                            applicable to the GS-11 position in Kansas
                            City.
------------------------------------------------------------------------
Step D                     The highest applicable rate range for the GS-
                            12 position after promotion is the GS-12
                            locality rate range under the Kansas City
                            locality rate schedule. Find the lowest step
                            rate in that range that equals or exceeds
                            the GS-11, step 7, special rate from step C.
                            That step rate is the payable rate of basic
                            pay upon promotion.
------------------------------------------------------------------------

    (4) Alternate method. (i) The alternate method of applying the 
promotion rule, which involves using pay schedules applicable before 
promotion and then converting pay to a different schedule applicable 
after promotion, is presented in the following table:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Promotion Rule--Alternate Method
------------------------------------------------------------------------
Steps A, B, C              Same as standard method in paragraph (d)(3)
                            of this section.
------------------------------------------------------------------------

[[Page 411]]

 
Step D                     Identify the highest applicable rate range
                            for the employee's grade after promotion
                            based on consideration of any pay schedule
                            that applied to the employee's position of
                            record before promotion (after any
                            geographic conversion). (Do not consider pay
                            schedules that apply only to the employee's
                            new position of record after promotion. For
                            example, if a particular special rate
                            schedule applies only to an employee's
                            position of record after promotion,
                            disregard that schedule in applying this
                            step.) Find the lowest step in the highest
                            applicable rate range that equals or exceeds
                            the rate identified in step C. (If the rate
                            identified in step C exceeds the maximum of
                            the rate range identified in this step, the
                            employee's payable rate is that maximum
                            rate, or, if the employee's existing rate is
                            higher than that maximum rate, a retained
                            rate under 5 CFR part 536 equal to that
                            existing rate.)
------------------------------------------------------------------------
Step E                     Convert the lowest step rate identified in
                            step D to a corresponding step rate (same
                            step) in the highest applicable rate range
                            for the employee's new position of record
                            after promotion. This is the employee's
                            alternate payable rate of basic pay upon
                            promotion. (If the rate derived under step D
                            was a retained rate, determine the alternate
                            payable rate of basic pay as provided in
                            paragraph (d)(4)(ii) of this section.)
------------------------------------------------------------------------
Step F                     If the alternate payable rate identified in
                            step E exceeds the payable rate resulting
                            from the standard method in paragraph (d)(3)
                            of this section, the employee is entitled to
                            the alternate rate upon promotion.
                            Otherwise, the employee is entitled to the
                            payable rate derived under the standard
                            method, except as provided in paragraph
                            (d)(2)(iii) of this section.
------------------------------------------------------------------------

    (ii) In applying step E of the table in paragraph (d)(4)(i) of this 
section, if the rate derived under step D was a retained rate, compare 
the retained rate to the highest applicable rate range identified in 
step E. If the retained rate exceeds the maximum of that rate range, the 
retained rate continues and is the employee's alternate payable rate 
upon promotion. If the retained rate is below the rate range maximum, 
the employee's alternate payable rate upon promotion is the maximum rate 
of the range (step 10).
    (iii) Example of alternate method: A GS-7, step 7, employee in 
Atlanta is promoted to a GS-9 position in Washington, DC. The promotion 
involves not only a change in grade but also a change in the employee's 
occupational series. In Washington, DC, no special rate schedule would 
apply to a GS-7 or GS-9 position in the old occupational series, but a 
special rate schedule does apply to the GS-9 position in the new 
occupational series. Thus, different pay schedules apply before and 
after promotion, and the alternate method would result in a higher rate 
than the standard method. As provided in paragraph (d)(2)(ii) of this 
section, the agency must apply the alternate method and compare the 
result to the result derived under the standard method, as follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Step A                     Apply the geographic conversion rule in Sec.
                             531.205 to determine the rates of basic pay
                            for the GS-7, step 7, position in
                            Washington, DC. Based on the GS-7 position
                            before promotion (including the old
                            occupational series), the pay schedules
                            applicable to the employee in Washington,
                            DC, would be the General Schedule and the
                            locality rate schedule applicable in
                            Washington, DC.
------------------------------------------------------------------------
Step B                     Using the underlying General Schedule,
                            increase the GS-7, step 7, rate by two
                            within-grade increases, which produces the
                            GS-7, step 9, rate.
------------------------------------------------------------------------
Step C                     The payable (highest) rate of basic pay for
                            GS-7, step 9, is the corresponding GS-7,
                            step 9, locality rate in Washington, DC.
------------------------------------------------------------------------
Step D                     If the employee were promoted to a GS-9
                            position in the old occupational series, the
                            highest applicable rate range for that GS-9
                            position after promotion would be the GS-9
                            locality rate range in Washington, DC. The
                            GS-9, step 3, locality rate is the lowest
                            step rate in that range that equals or
                            exceeds the GS-7, step 9, locality rate from
                            step C.
------------------------------------------------------------------------
Step E                     Convert the GS-9, step 3, locality rate to
                            the higher GS-9, step 3, special rate that
                            applies to the employee's position after
                            promotion (including the new occupational
                            series). That GS-9, step 3, special rate is
                            the payable rate of basic pay upon
                            promotion.
------------------------------------------------------------------------
Step F                     Assume that the standard method would have
                            compared the GS-7, step 9, locality rate
                            directly to the higher GS-9 range of special
                            rates and produced a rate of GS-9, step 1.
                            Since the rate produced by the alternate
                            method (GS-9, step 3) is greater than the
                            rate produced by the standard method, the
                            result of the alternate method is used.
------------------------------------------------------------------------

    (5) If employee was receiving a retained rate before promotion. (i) 
If an employee's existing payable rate of basic pay before promotion is 
a retained rate, apply the applicable promotion methods in paragraphs 
(d)(3) or (d)(4) of this section as if the employee were receiving the 
maximum rate of the employee's grade before promotion.
    (ii) If the payable rate of basic pay after promotion determined 
under paragraph (d)(5)(i) of this section is greater than the employee's 
existing retained rate, the employee is entitled to that payable rate.
    (iii) If the existing retained rate is greater than the rate 
determined under

[[Page 412]]

paragraph (d)(5)(i) of this section, the retained rate must be compared 
to the highest applicable rate range for the position after promotion, 
as provided in 5 CFR 536.304. The employee is entitled to the lowest 
step rate in the range that equals or exceeds the retained rate or, if 
the retained rate exceeds the range maximum, to the retained rate.
    (6) If employee is promoted from GS-1 or GS-2. In applying the 
promotion rule to an employee who is promoted from step 9 or 10 of grade 
GS-1 or GS-2, the value of two within-grade increases is determined by 
doubling the within-grade increase between step 9 and 10 for the 
applicable grade.
    (e) Temporary promotions. Pay is set for an employee receiving a 
temporary promotion on the same basis as a permanent promotion. Upon 
expiration or termination of the temporary promotion, pay is set as 
provided in Sec.  531.215(c). If a temporary promotion is made permanent 
immediately after the temporary promotion ends, the agency may not 
return the employee to the lower grade; instead, the agency must convert 
the employee's temporary promotion to a permanent promotion without a 
change in pay.
    (f) Corrections of demotions. The promotion rule in this section may 
not be used in correcting an erroneous demotion. (See Sec.  531.215(e).)

[70 FR 31291, May 31, 2005, as amended at 70 FR 74995, Dec. 19, 2005]



Sec.  531.215  Setting pay upon demotion.

    (a) General. Except as otherwise provided in this section, an 
employee who is demoted is entitled to the minimum payable rate of basic 
pay for the lower grade unless the agency sets the employee's pay at a 
higher rate under--
    (1) The grade and pay retention rules in 5 CFR part 536, as 
applicable; or
    (2) The maximum payable rate rule in Sec.  531.221, as applicable.
    (b) Geographic conversion. If the employee's official worksite after 
demotion is in a different geographic location where different pay 
schedules apply, the agency must first convert the employee's payable 
rate of pay as required by Sec.  531.205 before setting the demoted 
employee's pay using the grade and pay retention rules in 5 CFR part 536 
or the maximum payable rate rule in Sec.  531.221.
    (c) Expiration or termination of a temporary promotion. (1) When an 
employee is returned to the lower grade from which promoted on 
expiration or termination of a temporary promotion, the agency must set 
the employee's payable rate of basic pay in the lower grade as if he or 
she had not been temporarily promoted, unless the agency sets pay at a 
higher rate under the maximum payable rate rule in Sec.  531.221. As 
provided in subpart D of this part, time during the temporary promotion 
may be creditable service towards GS within-grade increases in the lower 
grade.
    (2) If a temporary promotion is made permanent immediately after the 
temporary promotion ends, the agency may not return the employee to the 
lower grade. (See Sec.  531.214(e).)
    (d) Demotion upon failure to complete a supervisory probationary 
period. When an employee promoted to a supervisory or managerial 
position does not satisfactorily complete a probationary period 
established under 5 U.S.C. 3321(a)(2) and is returned to a position at 
the lower grade held before the promotion, the agency must set the 
employee's payable rate of basic pay upon return to the lower grade as 
if the employee had not been promoted to the supervisory or managerial 
position, unless the agency sets pay at a higher rate under the maximum 
payable rate rule in Sec.  531.221. As provided in subpart D of this 
part, time served following the promotion may be creditable service 
towards GS within-grade increases in the lower grade. However, nothing 
in this paragraph prohibits an agency from taking action against an 
employee serving under a probationary period under 5 U.S.C. 3321(a)(2) 
for cause unrelated to supervisory or managerial performance and setting 
pay in accordance with such action.
    (e) Correcting an erroneous demotion. When a demotion is determined 
to be erroneous and is canceled, the agency must set the employee's rate 
of basic pay as if the employee had not been demoted. The action is a 
correction of the original demotion action and may not be treated as a 
promotion under Sec.  531.214. For example, when a demotion

[[Page 413]]

based on a reclassification of the employee's position is found to be 
erroneous and is corrected retroactively under 5 CFR 511.703, the 
corrective action is cancellation of the original demotion.

[70 FR 31291, May 31, 2005, as amended at 73 FR 66152, Nov. 7, 2008]



Sec.  531.216  Setting pay when an employee moves from a Department
of Defense or Coast Guard nonappropriated fund instrumentality.

    (a) General. This section governs the setting of pay for an employee 
who moves to a GS position in the Department of Defense or the Coast 
Guard from a position in a nonappropriated fund instrumentality (NAFI) 
(as described in 5 U.S.C. 2105(c)) of the Department of Defense or the 
Coast Guard, respectively, without a break in service of more than 3 
days. If an employee moves from a NAFI position to a GS position with a 
break of more than 3 days or moves from a NAFI position in the 
Department of Defense or the Coast Guard to a GS position outside of the 
Department of Defense or the Coast Guard, respectively, the employee has 
no special conversion rights and this section does not apply.
    (b) NAFI highest previous rate. For the purpose of this section, the 
term ``NAFI highest previous rate'' means the highest rate of basic pay 
received by an employee during service in a NAFI position, as described 
in 5 U.S.C. 2105(c).
    (c) Voluntary move. (1) For a Department of Defense or Coast Guard 
employee who moves voluntarily, without a break in service of more than 
3 days, from a NAFI position in the Department of Defense or the Coast 
Guard to a GS position in the Department of Defense or the Coast Guard, 
respectively, the agency may set the employee's initial payable rate of 
basic pay at the lowest step rate in the highest applicable rate range 
currently in effect for the employee's GS position of record and 
official worksite which equals or exceeds the employee's NAFI highest 
previous rate of pay, or any lower step rate, except as provided in 
paragraph (c)(2) or (3) of this section. The employee's initial payable 
rate of basic pay may not exceed the maximum step rate (step 10).
    (2) If the highest applicable rate range would be different if the 
official worksite for the employee's position of record were located at 
the place where the employee was stationed while earning the NAFI 
highest previous rate, the agency must determine the employee's maximum 
payable rate of basic pay as follows:
    (i) Compare the NAFI highest previous rate to the highest applicable 
rate range currently in effect in the location where the employee was 
stationed while earning that rate. The highest applicable rate range is 
determined based on the pay schedules that would be applicable to the 
employee's current GS position of record if the employee were stationed 
in that location. Identify the lowest step rate in the highest 
applicable rate range that was equal to or exceeded the NAFI highest 
previous rate. If the NAFI highest previous rate is less than the range 
minimum, identify the minimum step rate (step 1). If the NAFI highest 
previous rate exceeds the range maximum, identify the maximum step rate 
(step 10).
    (ii) Identify the step rate in the highest applicable rate range for 
the employee's current official worksite and position of record that 
corresponds to the step rate derived under paragraph (c)(2)(i) of this 
section. That corresponding rate is the maximum payable rate at which 
the agency may set the employee's pay under this section, except as 
provided by paragraph (c)(3) of this section. The agency may set the 
employee's rate of basic pay at any step rate that does not exceed that 
maximum payable rate.
    (3) An agency may choose to apply the maximum payable rate rule in 
Sec.  531.221 based on a non-NAFI rate of basic pay if that rule 
provides a higher rate than provided by paragraph (c)(1) or (2) of this 
section.
    (d) Involuntary move. (1) For a Department of Defense or Coast Guard 
employee who is moved involuntarily (as defined in paragraph (d)(3) of 
this section), without a break in service of more than 3 days, from a 
NAFI position in the Department of Defense or the Coast Guard to a GS 
position with substantially the same duties in the

[[Page 414]]

Department of Defense or the Coast Guard, respectively, the employee is 
entitled to an initial payable rate of basic pay at the lowest step rate 
of the grade that is equal to or greater than the employee's rate of 
basic pay in the NAFI position immediately before the move. If the 
employee's former NAFI rate exceeds the range maximum, identify the 
maximum step rate (step 10).
    (2) For an employee covered by paragraph (d)(1) of this section, the 
agency may set the initial payable rate of basic pay at any of the 
following rates, unless the employee is entitled to receive a higher 
rate of basic pay under paragraph (d)(1) of this section:
    (i) The lowest step rate within the highest applicable rate range 
for the employee's GS position of record and official worksite that 
equals or exceeds the employee's NAFI highest previous rate, or any 
lower step rate (consistent with the method prescribed in paragraphs 
(c)(1) and (2) of this section);
    (ii) A rate determined under the maximum payable rate rule in Sec.  
531.221 (using non-NAFI rates of basic pay); or
    (iii) A rate determined under the authority to grant pay retention 
in 5 CFR 536.302(a).
    (3) For the purpose of this paragraph (d), ``moved involuntarily'' 
means the movement of the incumbent of an NAFI position in the 
Department of Defense or the Coast Guard with the position when it is 
moved to the civil service employment system of the Department of 
Defense or the Coast Guard, respectively.

[70 FR 31291, May 31, 2005, as amended at 74 FR 23938, May 22, 2009]



Sec.  531.217  Special conversion rules for certain non-GS employees.

    When an employee moves (without a break in service) to a GS position 
from a non-GS system under an authority in 5 U.S.C. chapters 47, 95, or 
similar provision of law, and that authority provides that an employee 
will be converted to GS-equivalent rates immediately before leaving the 
non-GS system, the employee is considered a GS employee in applying the 
provisions of this subpart.

    Using a Highest Previous Rate Under the Maximum Payable Rate Rule



Sec.  531.221  Maximum payable rate rule.

    (a) General. (1) An agency may apply the maximum payable rate rule 
as described in this section to determine an employee's payable rate of 
basic pay under the GS pay system at a rate higher than the otherwise 
applicable rate upon reemployment, transfer, reassignment, promotion, 
demotion, change in type of appointment, termination of a critical 
position pay authority under 5 CFR part 535, movement from a non-GS pay 
system, or termination of grade or pay retention under 5 CFR part 536. 
(Note: Special rules for GM employees are provided in Sec.  531.247.) A 
payable rate set under this section must take effect on the effective 
date of the action involved. This section may not be used to set an 
employee's rate of basic pay retroactively unless a retroactive action 
is required to comply with a nondiscretionary agency policy.
    (2) At its discretion, an agency may set an employee's rate(s) of 
basic pay at the maximum rate identified under this section or at a 
lower rate. However, the employee's rate may not be lower than the rate 
to which he or she is entitled under any other applicable pay-setting 
rule.
    (3) In applying this section, an agency must use applicable annual 
rates of pay or, if a rate under a non-GS system is an hourly rate, 
convert the hourly rate to an annual rate.
    (4) In applying this section, an agency must treat a critical 
position pay rate under 5 CFR part 535 as if it were a rate under a non-
GS pay system, as described in paragraph (d) of this section.
    (5) In applying this section, an agency must treat an adjusted GS 
rate that includes market pay under 38 U.S.C. 7431(c) as if it were a 
rate under a non-GS pay system, as described in paragraph (d) of this 
section.
    (b) When highest previous rate is based on a GS rate or LEO special 
base rate. When an employee's highest previous rate (as determined under 
Sec.  531.222) is based on a GS rate or an LEO special base rate paid 
under the GS pay system, an agency must determine the

[[Page 415]]

maximum payable rate of basic pay that may be paid to the employee as 
follows:
    (1) Compare the employee's highest previous rate with the GS rates 
for the grade in which pay is currently being set. For this comparison, 
use the schedule of GS rates in effect at the time the highest previous 
rate was earned. In applying this paragraph to an employee who was a law 
enforcement officer receiving an LEO special base rate when the highest 
previous rate was earned, compare the highest previous rate to the 
applicable LEO special base rates in lieu of GS rates if the grade in 
which pay is currently being set is one of the grades from GS-3 through 
GS-10.
    (2) Identify the lowest step in the grade at which the GS rate (or 
LEO special base rate, if applicable) was equal to or greater than the 
employee's highest previous rate. If the employee's highest previous 
rate was greater than the maximum GS rate (or LEO special base rate, if 
applicable) for the grade, identify the step 10 rate (i.e., maximum rate 
of the grade).
    (3) Identify the rate on the currently applicable range of GS rates 
or LEO special base rates for the employee's current position of record 
and grade that corresponds to the step identified in paragraph (b)(2) of 
this section. This rate is the maximum payable GS rate or LEO special 
base rate the agency may pay the employee under this section.
    (4) After setting the employee's GS or LEO special base rate within 
the rate range for the grade (not to exceed the maximum payable rate 
identified in paragraph (b)(3) of this section), the agency must 
determine the employee's payable rate of basic pay based on the 
employee's GS or LEO special base rate.
    (c) When highest previous rate is based on a GS employee's special 
rate. When a GS employee is reassigned under the conditions described in 
Sec.  531.222(c), the employee's former special rate in effect 
immediately before the reassignment may be used as the employee's 
highest previous rate. If the employee's former special rate schedule is 
being adjusted on the effective date of the employee's reassignment, the 
agency must determine what the employee's special rate would have been 
on that adjusted schedule (before any other simultaneous action) and 
treat the resulting special rate as the employee's former special rate 
in applying paragraph (c)(1) and (2) of this section. The agency must 
apply the maximum payable rate rule as follows:
    (1) When the employee is assigned to an official worksite within the 
geographic boundaries of a formerly applicable special rate schedule, 
compare the former special rate to the rates of basic pay in the highest 
applicable rate range for the employee's current position of record and 
current official worksite. Identify the lowest step rate in that range 
that equals or exceeds the former special rate (or the maximum step 
rate, if the former special rate exceeds the range maximum). That step 
rate is the employee's maximum payable rate of basic pay.
    (2) When the employee is assigned to an official worksite outside 
the geographic boundaries of the formerly applicable special rate 
schedule, determine the maximum payable rate as follows:
    (i) Convert the former special rate to a corresponding rate (same 
step) in the current highest applicable rate range for the new official 
worksite based on the employee's position of record immediately before 
the reassignment.
    (ii) If the rate resulting from the geographic conversion under 
paragraph (c)(2)(i) of this section is a special rate, that converted 
special rate is deemed to be the employee's former special rate and 
highest previous rate in applying paragraph (c)(2)(iii) of this section. 
If the resulting rate is not a special rate, this paragraph (c) may not 
be used to determine the employee's maximum payable rate. Instead, 
paragraph (b) of this section must be used.
    (iii) Compare the employee's highest previous rate (i.e., the former 
special rate after the geographic conversion) with the rates on the 
current highest applicable rate range for the new official worksite 
based on the employee's position of record after the reassignment. 
Identify the lowest step rate in that range that equals or exceeds the 
highest previous rate (or the maximum step rate, if the highest previous 
rate

[[Page 416]]

exceeds the range maximum). That step rate is the employee's maximum 
payable rate of basic pay.
    (3) After setting the employee's rate of basic pay in the highest 
applicable rate range (not to exceed the maximum payable rate), the 
agency must determine any underlying rate of basic pay to which the 
employee is entitled based on the employee's step rate.
    (d) When highest previous rate is based on a rate under a non-GS pay 
system. When an employee's highest previous rate (as provided in Sec.  
531.222) is based on a rate of basic pay in a non-GS pay system, the 
agency must determine the maximum payable rate of basic pay that may be 
paid to the employee in his or her current GS position of record as 
follows:
    (1) Compare the highest previous rate to the highest applicable rate 
range in effect at the time and place where the highest previous rate 
was earned. The highest applicable rate range is determined as if the 
employee held the current GS position of record (including grade in 
which pay is being set) at that time and place. Identify the lowest step 
rate in that range that was equal to or higher than the highest previous 
rate (or the maximum step rate if the highest previous rate exceeded the 
range maximum).
    (2) Convert the step rate identified in paragraph (d)(1) of this 
section to a corresponding rate (same step) in the current highest 
applicable rate range for the employee's current GS position of record 
and official worksite. That step rate is the employee's maximum payable 
rate of basic pay.
    (3) After setting the employee's rate of basic pay in the current 
highest applicable rate range (not to exceed the maximum payable rate), 
the agency must determine any underlying rate of basic pay to which the 
employee is entitled at the determined step rate.

[70 FR 31291, May 31, 2005, as amended at 73 FR 66152, Nov. 7, 2008]



Sec.  531.222  Rates of basic pay that may be used as the 
highest previous rate.

    (a)(1) Subject to the conditions in this section and Sec.  531.223, 
the highest previous rate used in applying Sec.  531.221 is--
    (i) The highest rate of basic pay previously received by an 
individual while employed in a civilian position in any part of the 
Federal Government (including service with the government of the 
District of Columbia for employees first employed by that government 
before October 1, 1987), without regard to whether the position was in 
the GS pay system; or
    (ii) The highest rate of basic pay in effect when a GS employee held 
his or her highest GS grade and highest step within that grade.
    (2) The highest previous rate must be a rate of basic pay received 
by an employee while serving on a regular tour of duty--
    (i) Under an appointment not limited to 90 days or less; or
    (ii) For a continuous period of not less than 90 days under one or 
more appointments without a break in service.
    (b) For periods of service as a GS employee, the highest previous 
rate may not be a special rate, except as provided in paragraph (c) of 
this section. If the highest previous rate is a locality rate, the 
underlying GS rate or an LEO special base rate associated with that 
locality rate must be used as the highest previous rate in applying 
Sec.  531.221(b).
    (c) An agency may use a GS employee's special rate established under 
5 U.S.C. 5305 and 5 CFR part 530, subpart C, or 38 U.S.C. 7455 as the 
highest previous rate when all of the following conditions apply:
    (1) The employee is reassigned to another position in the same 
agency at the same grade level;
    (2) The special rate is the employee's rate of basic pay immediately 
before the reassignment; and
    (3) An authorized agency official finds that the need for the 
services of the employee, and the employee's contribution to the program 
of the agency, will be greater in the position to which reassigned. An 
agency must make such determinations on a case-by-case basis. In each 
case, the agency must document the determination to use the special rate 
as an employee's highest previous rate in writing.
    (d) When an agency is barred from using a special rate established 
under 5 U.S.C. 5305 and 5 CFR part 530, subpart

[[Page 417]]

C, or 38 U.S.C. 7455 as an employee's highest previous rate under Sec.  
531.223(g), the agency must consider a special rate employee's 
underlying GS rate (or LEO special base rate, if applicable) in 
determining the employee's highest previous rate for the purpose of 
applying paragraph (b) of this section.

[70 FR 31291, May 31, 2005, as amended at 70 FR 74995, Dec. 19, 2005]



Sec.  531.223  Rates of basic pay that may not be used as the highest previous rate.

    The highest previous rate may not be based on the following:
    (a) A rate received under an appointment as an expert or consultant 
under 5 U.S.C. 3109;
    (b) 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;
    (c) A rate received in a position from which the employee was 
reassigned or reduced in grade for failure to satisfactorily complete a 
probationary period as a supervisor or manager;
    (d) A rate received by an individual while employed by the 
government of the District of Columbia who was first employed by that 
government on or after October 1, 1987;
    (e) A rate received by an individual while employed by a Department 
of Defense or Coast Guard nonappropriated fund instrumentality;
    (f) A rate received solely during a period of interim relief under 5 
U.S.C. 7701(b)(2)(A);
    (g) A special rate established under 5 U.S.C. 5305 and 5 CFR part 
530, subpart C, or 38 U.S.C. 7455 (except as provided in Sec.  
531.222(c));
    (h) A rate received under a void appointment or a rate otherwise 
contrary to applicable law or regulation;
    (i) A rate received as a member of the uniformed services; or
    (j) A retained rate under 5 U.S.C. 5363 or a similar rate under 
another legal authority.

[70 FR 31291, May 31, 2005, as amended at 73 FR 66153, Nov. 7, 2008]

                     Special Rules for GM Employees



Sec.  531.241  Retaining and losing GM status.

    (a) An employee retains status as a GM employee (as defined in Sec.  
531.203) when detailed to any position or when reassigned to another GS 
position in which the employee continues to be a supervisor or 
management official (as defined in 5 U.S.C. 7103(a)(10) and (11)).
    (b) An employee permanently loses status as a GM employee if he or 
she is promoted (including a temporary promotion), transferred, demoted, 
reassigned to a position in which the employee will no longer be a 
supervisor or management official, has a break in service of more than 3 
days, or becomes entitled to a retained rate under 5 CFR part 536. (A 
retained grade is not considered in determining whether a GM employee 
has been reduced in grade. See 5 CFR 536.205.)



Sec.  531.242  Setting pay upon loss of GM status.

    (a) On loss of status as a GM employee under Sec.  531.241 (except 
as provided in paragraph (b) of this section), an employee must receive 
his or her existing payable rate of basic pay, plus any of the following 
adjustments that may be applicable on the effective date of the loss of 
status, in the order specified:
    (1) The amount of any annual adjustment in GS rates under 5 U.S.C. 
5303, and the amount of any adjustment in locality payments or special 
rate supplements, to which the employee otherwise would be entitled on 
that date;
    (2) The amount of any within-grade increase to which the employee 
otherwise would be entitled on that date under 5 U.S.C. 5335 and subpart 
D of this part;
    (3) The amount resulting from a promotion effective on that date 
(consistent with Sec.  531.243(c));
    (4) In the case of an employee who loses GM status without a change 
of grade and whose GS rate falls between two steps of a GS grade, the 
amount of any increase needed to pay the employee the rate for the next 
higher step of that grade; and

[[Page 418]]

    (5) In the case of an employee whose resulting GS rate is below the 
minimum rate of a GS grade, the amount of any increase needed to pay the 
employee the minimum rate for that grade.
    (b) For an employee who loses status as a GM employee as a result of 
a demotion, pay must be set as provided in Sec.  531.215. A GM 
employee's off-step GS rate at the grade before demotion is not 
converted to a GS step rate before the demotion, but the employee must 
be placed on a GS step rate when pay is set in the lower grade.



Sec.  531.243  Promotion of a GM employee.

    (a) Upon promotion, an employee's status as a GM employee ends, as 
provided in Sec.  531.241(b).
    (b) When an employee loses status as a GM employee because of a 
temporary promotion and is returned to the lower grade upon expiration 
or termination of the temporary promotion under Sec.  531.215(c)(1), he 
or she will be deemed to have been placed at the lowest step rate that 
equals or exceeds the employee's former GS rate (as a GM employee) on 
the effective date of the temporary promotion, before applying any other 
step increases based on his or her service during the temporary 
promotion.
    (c) A GM employee's GS rate is used as the existing rate of pay in 
applying the promotion rule in Sec.  531.214. A GM employee's off-step 
GS rate in the grade before promotion is not converted to a GS step rate 
in applying the promotion rule, but the employee must be placed on a GS 
step rate in the post-promotion grade.



Sec.  531.244  Adjusting a GM employee's rate at the time of an 
annual pay adjustment.

    (a) On the effective date of an annual pay adjustment under 5 U.S.C. 
5303 or similar authority, an agency must set the new GS rate for a GM 
employee as follows:
    (1) For a GM employee whose GS rate equals a regular GS step rate, 
set the employee's rate at the new step rate in the adjusted General 
Schedule that corresponds to the employee's grade and step as in effect 
immediately before the effective date of the pay adjustment.
    (2) For a GM employee whose GS rate is below the minimum rate of the 
GS rate range for the employee's grade, increase the existing GS rate by 
the same percentage as the annual pay adjustment for the GS rate range 
applicable to the employee's grade, with the result rounded to the 
nearest dollar (not to exceed the minimum rate of the range).
    (3) For a GM employee whose GS rate is between GS step rates, apply 
the following method:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Step A                     Using the rates and ranges in effect
                            immediately before the annual pay
                            adjustment, find the difference between the
                            GM employee's GS rate and the minimum rate
                            of the GS rate range for the employee's
                            grade.
------------------------------------------------------------------------
Step B                     Find the difference between the maximum rate
                            and minimum rate of the GS rate range in
                            effect immediately before the annual pay
                            adjustment. (If the GS maximum rate was not
                            payable because of the EX level V pay
                            limitation in 5 U.S.C. 5303(f), use the
                            uncapped maximum rate.)
------------------------------------------------------------------------
Step C                     Divide the result from step A by the result
                            from step B. Carry this result to the
                            seventh decimal place and truncate, rather
                            than round, the result. This decimal factor
                            represents the employee's relative position
                            in the rate range.
------------------------------------------------------------------------
Step D                     Using rates and ranges in effect after the
                            annual pay adjustment, find the difference
                            between the maximum rate and minimum rate of
                            the new GS rate range for the employee's
                            grade. (If the GS maximum rate was not
                            payable because of the EX level V pay
                            limitation, use the uncapped maximum rate.)
------------------------------------------------------------------------
Step E                     Multiply the result from step D by the factor
                            derived from step C.
------------------------------------------------------------------------
Step F                     Add the result from step E to the minimum
                            rate of the employee's current GS rate range
                            and round to the next higher whole dollar.
                            The resulting rate is the GM employee's new
                            GS rate (subject to the EX level V pay
                            limitation).
------------------------------------------------------------------------

    (b) [Reserved]

[70 FR 31291, May 31, 2005, as amended at 73 FR 66153, Nov. 7, 2008]



Sec.  531.245  Computing locality rates and special rates for GM employees.

    Locality rates and special rates are computed for GM employees in 
the same manner as locality rates and special rates for other GS 
employees. The applicable locality payment or special rate supplement is 
added on top of the GM employee's GS rate.

[[Page 419]]



Sec.  531.246  Within-grade increases for GM employees.

    GM employees are entitled to within-grade increases as provided 
under subpart D of this part. A within-grade increase may not cause a GM 
employee's GS rate to exceed the maximum GS rate of his or her grade. GM 
employees may receive quality step increases as provided in subpart E of 
this part.

[73 FR 66153, Nov. 7, 2008]



Sec.  531.247  Maximum payable rate rule for GM employees.

    (a) A rate received by a GM employee may qualify as a highest 
previous rate under Sec.  531.222.
    (b) As provided in Sec. Sec.  531.221(a) and 531.241(b), if an 
employee loses status as a GM employee because of a transfer, promotion, 
demotion, or reassignment to a position in which the employee will no 
longer be a supervisor or management official, and if the employing 
agency after the action chooses to apply the maximum payable rate rule, 
the agency must follow the rules in Sec.  531.221.
    (c) If an employee retains GM status after an action that allows 
application of the maximum payable rate rule in Sec.  531.221 to set the 
employee's pay, the rules in Sec.  531.221 must be applied in accordance 
with the following special provisions:
    (1) In comparing the employee's highest previous rate to an 
applicable rate range for the grade in which pay is being set, do not 
identify the lowest step rate that equals or exceeds the highest 
previous rate. Instead, identify the rate in the rate range that equals 
the highest previous rate unless that highest previous rate is below the 
range minimum or above the range maximum. If the highest previous rate 
is below the range minimum, identify the minimum rate (step 1) of the 
grade. If the highest previous rate is above the range maximum, identify 
the maximum rate (step 10) of the grade.
    (2) In applying Sec.  531.221(b) for an employee whose highest 
previous rate is a GS rate, the highest previous rate must be compared 
to the GS rate range for the grade in which pay is currently being set, 
but which was in effect at the time the highest previous rate was 
earned. If the highest previous rate was earned while the current GS 
rate range was in effect, the rate identified under paragraph (c)(1) of 
this section is the maximum payable GS rate. Otherwise, based on the 
rate identified in paragraph (c)(1) of this section, the agency must 
determine the corresponding rate in the current GS rate range for the 
grade in which pay is currently being set. That corresponding rate is 
the maximum payable GS rate. If the highest previous rate was above the 
range minimum and below the range maximum, the corresponding rate in the 
current GS rate range must be derived as follows:

Step A...................  Find the difference between the employee's
                            highest previous rate and the minimum rate
                            for the GS rate range (for the employee's
                            current grade) in effect at the time the
                            highest previous rate was earned.
Step B...................  Find the difference between the maximum rate
                            and the minimum GS rate for the rate range
                            identified in step A. (If the GS maximum
                            rate was not payable because of the EX level
                            V pay limitation, use the uncapped maximum
                            rate.)
Step C...................  Divide the result from step A by the result
                            from step B. Carry this result to the
                            seventh decimal place and truncate, rather
                            than round, the result. This decimal factor
                            represents the employee's relative position
                            in the rate range.
Step D...................  Using the current GS rate range (for the
                            employee's current grade), find the
                            difference between the maximum rate and the
                            minimum rate. (If the maximum GS rate was
                            not payable because of the EX level V pay
                            limitation, use the uncapped maximum GS
                            rate.)
Step E...................  Multiply the result from step D by the factor
                            derived under step C.

[[Page 420]]

 
Step F...................  Add the result from step E to the minimum
                            rate for the employee's current GS rate
                            range and round to the next higher whole
                            dollar. This rate is the maximum payable GS
                            rate the agency may pay the employee
                            (subject to the EX level V pay limitation).
 

    (3) In applying Sec.  531.221(c) for an employee whose highest 
previous rate is a special rate, the highest previous rate (after any 
geographic conversion) must be compared directly to the current highest 
applicable rate range for the employee's position of record and official 
worksite after reassignment. Thus, the rate identified under paragraph 
(c)(1) of this section is the maximum payable rate of basic pay.

[70 FR 31291, May 31, 2005, as amended at 73 FR 66153, Nov. 7, 2008]

Subpart C [Reserved]



                    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--
    (1) Are classified and paid under the General Schedule;
    (2) Occupy permanent positions; and
    (3) Are paid less than the maximum rate of their grade.
    (b) This subpart does not apply to any employee who is appointed by 
the President, by and with the advice and consent of the Senate.

[70 FR 31301, May 31, 2005]



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 (or designee).
    Agency means an agency with employees covered by this subpart, as 
provided in Sec.  531.402.
    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 has the meaning given that term in 5 U.S.C. 2105, except 
that for the purpose of applying the provisions regarding equivalent 
increases and creditable service with respect to non-GS service, 
employee also includes--
    (1) An individual employed by the U.S. Postal Service or the Postal 
Rate Commission who would be considered an employee under 5 U.S.C. 2105 
but for the exclusion in section 2105(e); and

[[Page 421]]

    (2) An individual employed by a nonappropriated fund instrumentality 
for service that is creditable under Sec.  531.406(b)(4).
    Equivalent increase means an increase in an employee's rate of basic 
pay, or an opportunity for such an increase under a non-GS pay system, 
as described in Sec.  531.407.
    General Schedule or GS means the classification and pay system 
established under 5 U.S.C. chapter 51 and subchapter III of chapter 53. 
The term also refers to the pay schedule of GS rates established under 5 
U.S.C. 5332, as adjusted under 5 U.S.C. 5303 or other law (including GS 
rates payable to GM employees). Law enforcement officers receiving LEO 
special base rates are covered by the GS classification and pay system, 
but receive higher base rates of pay in lieu of GS rates at grades GS-3 
through GS-10.
    GM employee has the meaning given that term in 5 CFR 531.203.
    GS rate means a rate of basic pay within the General Schedule, 
excluding additional pay of any kind such as locality payments under 
subpart F of this part and special rate supplements under 5 CFR part 
530, subpart C, or 38 U.S.C. 7455. A rate payable to a GM employee is 
considered a GS rate.
    Law enforcement officer or LEO has the meaning given that term in 5 
CFR 550.103.
    LEO special base rate means a special base rate established for GS 
law enforcement officers at grades GS-3 through GS-10 under section 403 
of the Federal Employees Pay Comparability Act of 1990 (section 529 of 
Pub. L. 101-509, November 5, 1990, as amended) which is used in lieu of 
a GS rate.
    Next higher rate within the grade for a GM employee means the rate 
of basic pay that exceeds the employee's existing rate of basic pay by 
one within-grade increase, not to exceed the maximum rate of the grade. 
For the purpose of this definition, a within-grade increase equals the 
dollar value of the GS within-grade increase for the applicable grade 
(excluding any locality payment, special rate supplement, or any other 
additional payment).
    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.
    Promotion means an employee's movement from one grade or level to a 
higher grade or level while continuously employed (including such a 
movement in conjunction with a transfer).
    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. For an employee 
covered by the General Schedule, that rate of basic pay is the GS rate 
or, if applicable, an LEO special base rate.
    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.
    Temporary promotion means a time-limited promotion with a not-to-
exceed date or a specified term.
    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 5 U.S.C. 5335 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 whose rate does not equal a regular GS step 
rate (i.e., an off-step rate), a periodic increase in an employee's rate 
of basic pay from the employee's current rate to the next higher rate 
within the

[[Page 422]]

grade (as defined in this section) consistent with section 4 of Public 
Law 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; 70 FR 31301, May 31, 2005]



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:
    (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]

[[Page 423]]



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.
    (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

[[Page 424]]

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; 73 FR 66153, Nov. 7, 2008]



Sec.  531.407  Equivalent increase determinations.

    (a) GS employees. For a GS employee, an equivalent increase is 
considered to occur at the time of any of the following personnel 
actions:
    (1) A within-grade increase, excluding a quality step increase 
granted under subpart E of this part or an interim within-grade increase 
if that increase is later terminated under Sec.  531.414;
    (2) A promotion (permanent or temporary) to a higher grade, 
including the promotion of an employee receiving a retained rate under 5 
CFR 359.705 or 5 CFR part 536 that does not result in a pay increase, 
but excluding--
    (i) A temporary promotion if, at the end of the that temporary 
promotion, the employee is returned to the grade from which promoted; or
    (ii) A promotion to a higher-graded supervisory or managerial 
position when the employee does not satisfactorily complete a 
probationary period established under 5 U.S.C. 3321(a)(2) and is 
returned to a position at the lower grade held before promotion;
    (3) Application of the maximum payable rate rule in Sec.  531.221 
that results in a higher step rate within the employee's GS grade (or an 
increase for a GM employee to the next higher rate within the grade), 
except for application of that rule in a demotion to the extent that the 
employee's rate of basic pay after demotion does not exceed the lowest 
step rate that equals or exceeds the employee's rate of basic pay 
immediately before the demotion;
    (4) Application of the superior qualifications and special needs 
pay-setting authority in Sec.  531.212 that results in a higher step 
rate within the employee's GS grade (or an increase for a GM employee to 
the next higher rate within the grade); or
    (5) Application of the qualifications pay authority in 5 U.S.C. 9814 
to an employee of the National Aeronautics and Space Administration, 
when the employee fulfills the 1-year service requirement in the 
position for which qualifications pay was paid or in a successor 
position.
    (b) Non-GS employees who move to the GS pay system. When an employee 
performs service under a non-GS pay system for Federal employees and 
that service is potentially creditable towards a GS within-grade 
increase waiting period, an equivalent increase is considered to occur 
at the time of any of the following personnel actions in the non-GS pay 
system:
    (1) A promotion to a higher grade or work level within the non-GS 
pay system (unless the promotion is cancelled and the employee's rate of 
basic pay is redetermined as if the promotion had not occurred); or
    (2) An opportunity to receive a within-level or within-range 
increase that results in forward movement in the applicable range of 
rates of basic pay (including an increase granted immediately upon 
movement to the non-GS pay system from another pay system--e.g., to 
account for the value of accrued within-grade increases under the former 
pay system or to provide a promotion-equivalent increase), where 
``forward movement in the applicable range'' means any kind of increase 
in the employee's rate of basic pay other than an increase that is 
directly and exclusively linked to--
    (i) A general structural increase in the employee's basic pay 
schedule or rate range (including the adjustment of a range minimum or 
maximum); or
    (ii) The employee's placement under a new basic pay schedule within 
the same pay system, when such placement results in a nondiscretionary 
basic pay

[[Page 425]]

increase to account for occupational pay differences.
    (c) Locality rates and special rates. Since locality rates under 
subpart F of this part and special rates under 5 CFR part 530, subpart 
C, and similar rates under other legal authority (e.g., 38 U.S.C. 7455) 
are not rates of basic pay for the purpose of this subpart, increases in 
pay resulting from an adjustment in an employee's locality payment or 
special rate supplement or from placement on a new locality rate or 
special rate schedule are not considered in making equivalent increase 
determinations.

[70 FR 31301, May 31, 2005, as amended at 70 FR 74995, Dec. 19, 2005; 73 
FR 66153, Nov. 7, 2008]



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 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;

[[Page 426]]

    (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 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

[[Page 427]]

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:
    (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.

[[Page 428]]

    (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 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

[[Page 429]]

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.

    Editorial Note: Nomenclature changes to subpart F of part 531 appear 
at 70 FR 31305, May 31, 2005.



Sec.  531.601  Purpose.

    This subpart contains Office of Personnel Management (OPM) 
regulations implementing 5 U.S.C. 5304, which authorizes locality 
payments in defined geographic areas for GS employees and other 
categories of employees to whom locality payments are extended. These 
regulations must be read together with 5 U.S.C. 5304.

[70 FR 31302, May 31, 2005]



Sec.  531.602  Definitions.

    In this subpart:
    CSA means the geographic scope of a Combined Statistical Area, as 
defined by the Office of Management and Budget (OMB) in OMB Bulletin No. 
20-01.
    Employee means--
    (1) An employee in a position to which 5 U.S.C. chapter 53, 
subchapter III, applies, including a GM employee, and whose official 
worksite is located in a locality pay area; and
    (2) An employee in a category of positions described in 5 U.S.C. 
5304(h)(1)(A)-(D) for which the President (or designee) has authorized 
locality-based comparability payments under 5 U.S.C. 5304(h)(2) and 
whose official worksite is located in a locality pay area.
    General Schedule or GS means the classification and pay system 
established under 5 U.S.C. chapter 51 and subchapter III of chapter 53. 
It also refers to the pay schedule of GS rates established under 5 
U.S.C. 5332, as adjusted under 5 U.S.C. 5303 or other law (including GS 
rates payable to GM employees). Law enforcement officers (LEOs) 
receiving LEO special base rates are covered by the GS classification 
and pay system, but receive higher base rates of pay in lieu of GS rates 
at grades GS-3 through GS-10.
    GM employee has the meaning given that term in 5 CFR 531.203.
    GS rate means a rate of basic pay within the General Schedule, 
excluding any LEO special base rate and additional pay of any kind such 
as locality payments or special rate supplements. A rate payable to a GM 
employee is considered a GS rate.
    Law enforcement officer or LEO has the meaning given that term in 5 
CFR 550.103.
    LEO special base rate means a special base rate established for GS 
law enforcement officers at grades GS-3 through GS-10 under section 403 
of the Federal Employees Pay Comparability Act of 1990 (section 529 of 
Pub. L. 101-509, November 5, 1990, as amended) which is used in lieu of 
a GS rate.
    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 payment means a locality-based comparability payment 
payable under 5 U.S.C. 5304 and this subpart. An employee's locality 
payment is the difference between the employee's locality rate and the 
employee's scheduled annual rate of pay.
    Locality pay percentage means the percentage authorized for a 
locality pay area under 5 U.S.C. 5304 or 5304a which is used to compute 
a locality payment (before applying any maximum pay limitations under 
Sec.  531.606).
    Locality rate means a scheduled annual rate of pay plus an 
applicable locality payment. An employee's locality rate is computed 
under Sec.  531.604.
    MSA means the geographic scope of a Metropolitan Statistical Area, 
as defined by the Office of Management and Budget (OMB) in OMB Bulletin 
No. 20-01.

[[Page 430]]

    Official worksite means the official location of an employee's 
position of record as determined under Sec.  531.605.
    Position of record means an employee's official position (defined by 
grade, occupational series, employing agency, LEO status, and any other 
condition that determines coverage under a pay schedule (other than 
official worksite)), as documented on the employee's most recent 
Notification of Personnel Action (Standard Form 50 or equivalent) and 
current position description. A position to which an employee is 
temporarily detailed is not documented as a position of record. For an 
employee whose change in official position is followed within 3 workdays 
by a reduction in force resulting in the employee's separation before he 
or she is required to report for duty in the new position, the position 
of record in effect immediately before the position change is deemed to 
remain the position of record through the date of separation.
    Rate range or range means a range of rates of basic pay for a grade 
within an established pay schedule, excluding any retained rate. A rate 
range may consist of GS rates, LEO special base rates, locality rates, 
special rates, or, for non-GS employees, similar rates under other legal 
authority.
    Retained rate means a rate above the maximum rate of the rate range 
applicable to the employee which is payable under 5 CFR part 536 or 
similar legal authority.
    Scheduled annual rate of pay means, as applicable--
    (1) The annual GS rate payable to an employee;
    (2) An annual LEO special base rate; or
    (3) For an employee in a category of positions described in 5 U.S.C. 
5304(h)(1)(A)-(D) for which the President (or designee) has authorized 
locality payments under 5 U.S.C. 5304(h)(2), the annual rate of pay 
fixed by law or administrative action, exclusive of any locality-based 
adjustments (including adjustments equivalent to local special rate 
supplements under 5 CFR part 530, subpart C) or additional pay of any 
other kind.
    Special rate means a rate of pay within a special rate schedule 
established under 5 CFR part 530, subpart C, or a similar rate 
established under other legal authority (e.g., 38 U.S.C. 7455). The term 
special rate does not include an LEO special base rate.
    Special rate schedule means a pay schedule established under 5 CFR 
part 530, subpart C, to provide higher rates of pay for specified 
categories of positions or employees at one or more grades or levels or 
a similar schedule established under other legal authority (e.g., 38 
U.S.C. 7455).
    Special rate supplement means the portion of a special rate paid 
above an employee's scheduled annual rate of pay. However, for a law 
enforcement officer receiving an LEO special base rate who is also 
entitled to a special rate, the special rate supplement equals the 
portion of the special rate paid above the officer's LEO special base 
rate. When a special rate schedule covers both LEO positions and other 
positions, the value of the special rate supplement will be less for law 
enforcement officers receiving an LEO special base rate (since that rate 
is higher than the corresponding GS rate). The payable amount of a 
special rate supplement is subject to the Executive Schedule level IV 
limitation on special rates, as provided in 5 CFR 530.304(a).
    Telework agreement means a formal oral or written agreement between 
a supervisor and an employee to permit the employee to work at an 
alternative worksite (i.e., telework) instead of the location of the 
employee's assigned organization.

[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; 69 FR 
2050, Jan. 13, 2004; 69 FR 75453, Dec. 17, 2004; 70 FR 31302, May 31, 
2005; 70 FR 74995, Dec. 19, 2005; 73 FR 66153, Nov. 7, 2008; 76 FR 
32862, June 7, 2011; 78 FR 5115, Jan. 24, 2013; 80 FR 65610, Oct. 27, 
2015; 83 FR 63045, Dec. 7, 2018; 88 FR 78634, Nov. 16, 2023]



Sec.  531.603  Locality pay areas.

    (a) Locality rates of pay under this subpart shall be payable to 
employees whose official worksites are located in the locality pay areas 
listed in paragraph (b) of this section.
    (b) The following are locality pay areas for the purposes of this 
subpart:

[[Page 431]]

    (1) Alaska--consisting of the State of Alaska;
    (2) Albany-Schenectady, NY-MA--consisting of the Albany-Schenectady, 
NY CSA and also including Berkshire County, MA, Greene County, NY, and 
Hamilton County, NY;
    (3) Albuquerque-Santa Fe-Las Vegas, NM--consisting of the 
Albuquerque-Santa Fe-Las Vegas, NM CSA and also including Cibola County, 
NM, and McKinley County, NM;
    (4) Atlanta--Athens-Clarke County--Sandy Springs, GA-AL--consisting 
of the Atlanta--Athens-Clarke County--Sandy Springs, GA-AL CSA and also 
including Cherokee County, AL, Cleburne County, AL, Lee County, AL, 
Randolph County, AL, Russell County, AL, Banks County, GA, Chattahoochee 
County, GA, Elbert County, GA, Franklin County, GA, Gilmer County, GA, 
Gordon County, GA, Greene County, GA, Harris County, GA, Lumpkin County, 
GA, Marion County, GA, Muscogee County, GA, Putnam County, GA, Rabun 
County, GA, Stewart County, GA, Talbot County, GA, Taliaferro County, 
GA, and White County, GA;
    (5) Austin-Round Rock-Georgetown, TX--consisting of the Austin-Round 
Rock-Georgetown, TX MSA and also including Blanco County, TX, Burnet 
County, TX, Lee County, TX, and Milam County, TX;
    (6) Birmingham-Hoover-Talladega, AL--consisting of the Birmingham-
Hoover-Talladega, AL CSA and also including Calhoun County, AL, Clay 
County, AL, Coosa County, AL, Etowah County, AL, Greene County, AL, Hale 
County, AL, Pickens County, AL, Tallapoosa County, AL, Tuscaloosa 
County, AL, and Winston County, AL;
    (7) Boston-Worcester-Providence, MA-RI-NH-CT-ME-VT--consisting of 
the Boston-Worcester-Providence, MA-RI-NH-CT CSA and also including 
Androscoggin County, ME, Cumberland County, ME, Sagadahoc County, ME, 
York County, ME, Dukes County, MA, Nantucket County, MA, Carroll County, 
NH, Cheshire County, NH, Grafton County, NH, Sullivan County, NH, Orange 
County, VT, and Windsor County, VT;
    (8) Buffalo-Cheektowaga-Olean, NY--consisting of the Buffalo-
Cheektowaga-Olean, NY CSA and also including Allegany County, NY, and 
Wyoming County, NY;
    (9) Burlington-South Burlington-Barre, VT--consisting of the 
Burlington-South Burlington-Barre, VT CSA and also including Addison 
County, VT, and Lamoille County, VT;
    (10) Charlotte-Concord, NC-SC--consisting of the Charlotte-Concord, 
NC-SC CSA and also including Alexander County, NC, Burke County, NC, 
Caldwell County, NC, Catawba County, NC, and Chesterfield County, SC;
    (11) Chicago-Naperville, IL-IN-WI--consisting of the Chicago-
Naperville, IL-IN-WI CSA and also including Boone County, IL, Iroquois 
County, IL, Ogle County, IL, Stephenson County, IL, Winnebago County, 
IL, and Starke County, IN;
    (12) Cincinnati-Wilmington-Maysville, OH-KY-IN--consisting of the 
Cincinnati-Wilmington-Maysville, OH-KY-IN CSA and also including Ripley 
County, IN, Switzerland County, IN, Carroll County, KY, Fleming County, 
KY, Lewis County, KY, Owen County, KY, Robertson County, KY, Adams 
County, OH, and Highland County, OH;
    (13) Cleveland-Akron-Canton, OH-PA--consisting of the Cleveland-
Akron-Canton, OH CSA and also including Ashland County, OH, Columbiana 
County, OH, Crawford County, OH, Harrison County, OH, Holmes County, OH, 
Mahoning County, OH, Richland County, OH, Trumbull County, OH, and 
Mercer County, PA;
    (14) Colorado Springs, CO--consisting of the Colorado Springs, CO 
MSA and also including Fremont County, CO, and Pueblo County, CO;
    (15) Columbus-Marion-Zanesville, OH--consisting of the Columbus-
Marion-Zanesville, OH CSA and also including Coshocton County, OH, 
Hardin County, OH, Morgan County, OH, Noble County, OH, Pike County, OH, 
and Vinton County, OH;
    (16) Corpus Christi-Kingsville-Alice, TX--consisting of the Corpus 
Christi-Kingsville-Alice, TX CSA and also including Brooks County, TX, 
Live Oak County, TX, and Refugio County, TX;
    (17) Dallas-Fort Worth, TX-OK--consisting of the Dallas-Fort Worth, 
TX-OK CSA and also including Carter County, OK, Love County, OK, Delta

[[Page 432]]

County, TX, Hill County, TX, Hopkins County, TX, Jack County, TX, 
Montague County, TX, Rains County, TX, Somervell County, TX, and Van 
Zandt County, TX;
    (18) Davenport-Moline, IA-IL--consisting of the Davenport-Moline, 
IA-IL CSA and also including Carroll County, IL, Lee County, IL, 
Whiteside County, IL, Cedar County, IA, Jackson County, IA, and Louisa 
County, IA;
    (19) Dayton-Springfield-Kettering, OH--consisting of the Dayton-
Springfield-Kettering, OH CSA and also including Allen County, OH, 
Auglaize County, OH, Mercer County, OH, Preble County, OH, and Van Wert 
County, OH;
    (20) Denver-Aurora, CO--consisting of the Denver-Aurora, CO CSA and 
also including Larimer County, CO, and Lincoln County, CO;
    (21) Des Moines-Ames-West Des Moines, IA--consisting of the Des 
Moines-Ames-West Des Moines, IA CSA and also including Adair County, IA, 
Clarke County, IA, Greene County, IA, Hamilton County, IA, Lucas County, 
IA, Monroe County, IA, and Poweshiek County, IA;
    (22) Detroit-Warren-Ann Arbor, MI--consisting of the Detroit-Warren-
Ann Arbor, MI CSA and also including Clinton County, MI, Eaton County, 
MI, Huron County, MI, Ingham County, MI, Jackson County, MI, Sanilac 
County, MI, Shiawassee County, MI, and Tuscola County, MI;
    (23) Fresno-Madera-Hanford, CA--consisting of the Fresno-Madera-
Hanford, CA CSA and also including Mariposa County, CA, and Tulare 
County, CA;
    (24) Harrisburg-Lebanon, PA--consisting of the Harrisburg-York-
Lebanon, PA CSA, except for Adams County, PA, and York County, PA, and 
also including Juniata County, PA, and Lancaster County, PA;
    (25) Hartford-East Hartford, CT-MA--consisting of the Hartford-East 
Hartford, CT CSA and also including Franklin County, MA, Hampden County, 
MA, and Hampshire County, MA;
    (26) Hawaii--consisting of the State of Hawaii;
    (27) Houston-The Woodlands, TX--consisting of the Houston-The 
Woodlands, TX CSA and also including Colorado County, TX, Grimes County, 
TX, Jackson County, TX, Madison County, TX, San Jacinto County, TX, and 
Trinity County, TX;
    (28) Huntsville-Decatur, AL-TN--consisting of the Huntsville-
Decatur, AL CSA and also including Colbert County, AL, DeKalb County, 
AL, Lauderdale County, AL, Marshall County, AL, and Lincoln County, TN;
    (29) Indianapolis-Carmel-Muncie, IN--consisting of the Indianapolis-
Carmel-Muncie, IN CSA and also including Benton County, IN, Blackford 
County, IN, Carroll County, IN, Clinton County, IN, Fayette County, IN, 
Fountain County, IN, Grant County, IN, Lawrence County, IN, Monroe 
County, IN, Owen County, IN, Randolph County, IN, Rush County, IN, 
Tippecanoe County, IN, Tipton County, IN, Warren County, IN, and Wayne 
County, IN;
    (30) Kansas City-Overland Park-Kansas City, MO-KS--consisting of the 
Kansas City-Overland Park-Kansas City, MO-KS CSA and also including 
Anderson County, KS, Jackson County, KS, Jefferson County, KS, Osage 
County, KS, Shawnee County, KS, Wabaunsee County, KS, Carroll County, 
MO, Daviess County, MO, Gentry County, MO, Henry County, MO, and Holt 
County, MO;
    (31) Laredo, TX--consisting of the Laredo, TX MSA and also including 
Jim Hogg County, TX, and La Salle County, TX;
    (32) Las Vegas-Henderson, NV-AZ--consisting of the Las Vegas-
Henderson, NV CSA and also including Mohave County, AZ;
    (33) Los Angeles-Long Beach, CA--consisting of the Los Angeles-Long 
Beach, CA CSA and also including Imperial County, CA, Kern County, CA, 
San Luis Obispo County, CA, and Santa Barbara County, CA;
    (34) Miami-Port St. Lucie-Fort Lauderdale, FL--consisting of the 
Miami-Port St. Lucie-Fort Lauderdale, FL CSA and also including 
Okeechobee County, FL;
    (35) Milwaukee-Racine-Waukesha, WI--consisting of the Milwaukee-
Racine-Waukesha, WI CSA and also including Fond du Lac County, WI, and 
Sheboygan County, WI;
    (36) Minneapolis-St. Paul, MN-WI--consisting of the Minneapolis-St. 
Paul,

[[Page 433]]

MN-WI CSA and also including Blue Earth County, MN, Brown County, MN, 
Dodge County, MN, Fillmore County, MN, Kanabec County, MN, Meeker 
County, MN, Morrison County, MN, Mower County, MN, Nicollet County, MN, 
Olmsted County, MN, Pine County, MN, Sibley County, MN, Wabasha County, 
MN, Waseca County, MN, and Polk County, WI;
    (37) New York-Newark, NY-NJ-CT-PA--consisting of the New York-
Newark, NY-NJ-CT-PA CSA and also including Warren County, NJ, Sullivan 
County, NY, Carbon County, PA, Lehigh County, PA, Northampton County, 
PA, Wayne County, PA, and all of Joint Base McGuire-Dix-Lakehurst;
    (38) Omaha-Council Bluffs-Fremont, NE-IA--consisting of the Omaha-
Council Bluffs-Fremont, NE-IA CSA and also including Fremont County, IA, 
Shelby County, IA, and Burt County, NE;
    (39) Palm Bay-Melbourne-Titusville, FL--consisting of the Palm Bay-
Melbourne-Titusville, FL MSA;
    (40) Philadelphia-Reading-Camden, PA-NJ-DE-MD--consisting of the 
Philadelphia-Reading-Camden, PA-NJ-DE-MD CSA, except for Joint Base 
McGuire-Dix-Lakehurst, and also including Sussex County, DE, Somerset 
County, MD, Wicomico County, MD, Worcester County, MD, and Schuylkill 
County, PA;
    (41) Phoenix-Mesa, AZ--consisting of the Phoenix-Mesa, AZ CSA;
    (42) Pittsburgh-New Castle-Weirton, PA-OH-WV--consisting of the 
Pittsburgh-New Castle-Weirton, PA-OH-WV CSA and also including Belmont 
County, OH, Cambria County, PA, Greene County, PA, Somerset County, PA, 
Marshall County, WV, and Ohio County, WV;
    (43) Portland-Vancouver-Salem, OR-WA--consisting of the Portland-
Vancouver-Salem, OR-WA CSA and also including Wahkiakum County, WA;
    (44) Raleigh-Durham-Cary, NC--consisting of the Raleigh-Durham-Cary, 
NC CSA and also including Caswell County, NC, Cumberland County, NC, 
Edgecombe County, NC, Halifax County, NC, Harnett County, NC, Hoke 
County, NC, Lee County, NC, Moore County, NC, Nash County, NC, 
Northampton County, NC, Robeson County, NC, Scotland County, NC, Warren 
County, NC, Wayne County, NC, and Wilson County, NC;
    (45) Reno-Fernley, NV--consisting of the Reno-Carson City-Fernley, 
NV CSA, except for Carson City, NV, and Douglas County, NV, and also 
including Churchill County, NV;
    (46) Richmond, VA--consisting of the Richmond, VA MSA and also 
including Brunswick County, VA, Cumberland County, VA, Essex County, VA, 
Greensville County, VA, Louisa County, VA, Nottoway County, VA, and 
Emporia city, VA;
    (47) Rochester-Batavia-Seneca Falls, NY--consisting of the 
Rochester-Batavia-Seneca Falls, NY CSA;
    (48) Sacramento-Roseville, CA-NV--consisting of the Sacramento-
Roseville, CA CSA and also including Alpine County, CA, Amador County, 
CA, Butte County, CA, Colusa County, CA, Sierra County, CA, Carson City, 
NV, and Douglas County, NV;
    (49) San Antonio-New Braunfels-Pearsall, TX--consisting of the San 
Antonio-New Braunfels-Pearsall, TX CSA and also including Gillespie 
County, TX, Gonzales County, TX, Karnes County, TX, Kerr County, TX, and 
McMullen County, TX;
    (50) San Diego-Chula Vista-Carlsbad, CA--consisting of the San 
Diego-Chula Vista-Carlsbad, CA MSA;
    (51) San Jose-San Francisco-Oakland, CA--consisting of the San Jose-
San Francisco-Oakland, CA CSA and also including Calaveras County, CA, 
and Monterey County, CA;
    (52) Seattle-Tacoma, WA--consisting of the Seattle-Tacoma, WA CSA 
and also including Clallam County, WA, Grays Harbor County, WA, 
Jefferson County, WA, Pacific County, WA, San Juan County, WA, and 
Whatcom County, WA;
    (53) Spokane-Spokane Valley-Coeur d'Alene, WA-ID--consisting of the 
Spokane-Spokane Valley-Coeur d'Alene, WA-ID CSA and also including 
Benewah County, ID, Shoshone County, ID, Ferry County, WA, Lincoln 
County, WA, and Pend Oreille County, WA;
    (54) St. Louis-St. Charles-Farmington, MO-IL--consisting of the St. 
Louis-St. Charles-Farmington, MO-IL CSA and also including Fayette 
County, IL, Greene County, IL, Montgomery

[[Page 434]]

County, IL, Randolph County, IL, Washington County, IL, Crawford County, 
MO, Gasconade County, MO, Iron County, MO, Madison County, MO, 
Montgomery County, MO, Pike County, MO, Ste. Genevieve County, MO, and 
Washington County, MO;
    (55) Tucson-Nogales, AZ--consisting of the Tucson-Nogales, AZ CSA 
and also including Cochise County, AZ;
    (56) Virginia Beach-Norfolk, VA-NC--consisting of the Virginia 
Beach-Norfolk, VA-NC CSA and also including Chowan County, NC, Hertford 
County, NC, Tyrrell County, NC, Middlesex County, VA, and Surry County, 
VA;
    (57) Washington-Baltimore-Arlington, DC-MD-VA-WV-PA--consisting of 
the Washington-Baltimore-Arlington, DC-MD-VA-WV-PA CSA and also 
including Allegany County, MD, Caroline County, MD, Dorchester County, 
MD, Kent County, MD, Adams County, PA, Fulton County, PA, York County, 
PA, Caroline County, VA, King George County, VA, Orange County, VA, 
Shenandoah County, VA, Westmoreland County, VA, Hardy County, WV, and 
Mineral County, WV; and
    (58) Rest of U.S.--consisting of those portions of the United States 
and its territories and possessions as listed in 5 CFR 591.205 not 
located within another locality pay area.

[58 FR 69174, Dec. 30, 1993, as amended at 61 FR 42939, Aug. 19, 1996; 
65 FR 75154, Dec. 1, 2000; 70 FR 31302, May 31, 2005; 72 FR 34362, June 
22, 2007; 74 FR 49308, Sept. 28, 2009; 75 FR 60286, Sept. 30, 2010; 76 
FR 32862, June 7, 2011; 80 FR 65611, Oct. 27, 2015; 83 FR 63045, Dec. 7, 
2018; 85 FR 65188, Oct. 15, 2020; 87 FR 74290, Dec. 5, 2022; 87 FR 
76105, Dec. 13, 2022; 88 FR 78634, Nov. 16, 2023; 88 FR 85467, Dec. 8, 
2023]



Sec.  531.604  Determining an employee's locality rate.

    (a) An annual locality rate consists of a scheduled annual rate of 
pay plus an applicable locality payment (representing an annual dollar 
amount), as determined under paragraph (b) of this section.
    (b) An agency determines an employee's locality rate by--
    (1) Determining the employee's official worksite consistent with the 
rules in Sec.  531.605;
    (2) Determining the locality pay area in which the employee's 
official worksite is located, consistent with the locality pay areas 
established in Sec.  531.603;
    (3) Identifying the locality pay percentage in effect in the 
applicable locality pay area;
    (4) Increasing the employee's scheduled annual rate of pay by the 
applicable locality pay percentage and rounding the result to the 
nearest whole dollar (counting 50 cents and over as the next higher 
dollar); and
    (5) Applying any applicable limitation as described in Sec.  
531.606.
    (c) A locality rate may be expressed as an hourly, daily, weekly, or 
biweekly rate, as provided in Sec.  531.607.

[70 FR 31303, May 31, 2005]



Sec.  531.605  Determining an employee's official worksite.

    (a)(1) Except as otherwise provided in this section, the official 
worksite is the location of an employee's position of record where the 
employee regularly performs his or her duties.
    (2) If the employee's work involves recurring travel or the 
employee's work location varies on a recurring basis, the official 
worksite is the location where the work activities of the employee's 
position of record are based, as determined by the employing agency, 
subject to the requirement that the official worksite must be in a 
locality pay area in which the employee regularly performs work.
    (3) An agency must document an employee's official worksite on an 
employee's Notification of Personnel Action (Standard Form 50 or 
equivalent).
    (b) For an employee who is relocated and authorized to receive 
relocation expenses under 5 U.S.C. chapter 57, subchapter II (or similar 
authority), the official worksite is the established worksite for the 
position in the area to which the employee has been relocated. For an 
employee authorized to receive relocation expenses under 5 U.S.C. 5737 
in connection with an extended assignment resulting in a temporary 
change of station, the worksite associated with the extended assignment 
is the official worksite. (See 41 CFR 302-1.1.)
    (c) For an employee whose assignment to a new worksite is followed 
within 3 workdays by a reduction in force resulting in the employee's 
separation before he or she is required to

[[Page 435]]

report for duty at the new location, the official worksite in effect 
immediately before the assignment remains the official worksite through 
the date of separation.
    (d) For an employee covered by a telework agreement, the following 
rules apply:
    (1) If the employee is scheduled to work at least twice each 
biweekly pay period on a regular and recurring basis at the regular 
worksite for the employee's position of record, the regular worksite 
(where the employee's work activities are based) is the employee's 
official worksite. However, in the case of such an employee whose work 
location varies on a recurring basis, the employee need not work at 
least twice each biweekly pay period at the regular official worksite 
(where the employee's work activities are based) as long as the employee 
is regularly performing work within the locality pay area for that 
worksite.
    (2) An authorized agency official may make an exception to the 
twice-in-a-pay-period standard in paragraph (d)(1) of this section in 
appropriate situations of a temporary nature, such as the following:
    (i) An employee is recovering from an injury or medical condition;
    (ii) An employee is affected by an emergency situation, which 
temporarily prevents the employee from commuting to his or her regular 
official worksite;
    (iii) An employee has an extended approved absence from work (e.g., 
paid leave);
    (iv) An employee is in temporary duty travel status away from the 
official worksite; or
    (v) An employee is temporarily detailed to work at a location other 
than a location covered by a telework agreement.
    (3) If an employee covered by a telework agreement does not meet the 
requirements of paragraphs (d)(1) or (d)(2) of this section, the 
employee's official worksite is the location of the employee's telework 
site.
    (4) An agency must determine a telework employee's official worksite 
on a case-by-case basis. A determination made under this paragraph (d) 
is within the sole and exclusive discretion of the authorized agency 
official, subject only to OPM review and oversight.
    (e) In applying paragraph (d) of this section for the purpose of 
other location-based pay entitlements under other regulations that refer 
to this section, the reference to a locality pay area is deemed to be a 
reference to the applicable geographic area associated with the given 
pay entitlement. For example, for the purpose of special rates under 5 
CFR part 530, subpart C, the reference to a locality pay area is deemed 
to be a reference to the geographic area covered by a special rate 
schedule.

[73 FR 66154, Nov. 7, 2008]



Sec.  531.606  Maximum limits on locality rates.

    (a) Except as provided by paragraph (b) of this section, a locality 
rate may not exceed the rate of basic pay payable for level IV of the 
Executive Schedule.
    (b)(1) A locality rate for an employee in a category of positions 
described in 5 U.S.C. 5304(h)(1)(A) and 5304(h)(1)(B) may not exceed the 
rate for level III of the Executive Schedule.
    (2) A locality rate for an employee in a category of positions 
described in 5 U.S.C. 5304(h)(1)(C) may not exceed--
    (i) The rate for level III of the Executive Schedule, when the 
positions are not covered by an appraisal system certified under 5 
U.S.C. 5307(d); or
    (ii) The rate for level II of the Executive Schedule, when the 
positions are covered by an appraisal system certified under 5 U.S.C. 
5307(d).
    (3) A locality rate for an employee in a category of positions 
described in 5 U.S.C. 5304(h)(1)(D) 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.

[[Page 436]]

    (4) If initial application of paragraph (b)(3) of this section 
otherwise would reduce an employee's existing locality rate, the 
employee's locality rate is capped at the higher of--
    (i) The amount of the employee's locality rate on the day before 
paragraph (b)(3) of this section was initially applied; or
    (ii) The rate for level IV of the Executive Schedule.
    (c) Paragraph (b) 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). Such experts and 
consultants are subject to the pay limitations established in 5 CFR 
304.105.
    (d) A portion of a locality payment that is not payable because of 
an applicable limitation is not considered in applying any other 
provision of law or regulation.

[70 FR 31304, May 31, 2005, as amended at 76 FR 32863, June 7, 2011]



Sec.  531.607  Computing hourly, daily, weekly, and biweekly locality rates.

    (a) Apply the following methods to convert an annual locality rate 
to an hourly, daily, weekly, or biweekly rate:
    (1) To derive an hourly rate, divide the annual locality rate by 
2,087 and round to the nearest cent, counting one-half cent and over as 
the next higher cent.

Example:
Annual locality rate = $50,000
Computation of hourly rate: $50,000 / 2,087 = 23.957 or $23.96.

    (2) 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.

Example:
Hourly rate = $23.96
Daily hours = 8
Computation of daily rate: $23.96 x 8 = $191.68

    (3) To derive a weekly or biweekly rate, multiply the hourly rate by 
40 or 80, as applicable.

Example:
Hourly rate = $23.96
Biweekly hours = 80
Computation of biweekly rate: $23.96 x 80 = $1,916.80

    (b) Notwithstanding paragraph (a) of this section, for a firefighter 
whose pay is computed under 5 U.S.C. 5545b, a firefighter hourly 
locality rate is computed using a divisor of 2,756 hours instead of 
2,087, as prescribed in 5 CFR part 550, subpart M. Also, such a 
firefighter's weekly and biweekly locality rates must be based on the 
firefighter's extended tour of duty as prescribed in that subpart.

[70 FR 31304, May 31, 2005]



Sec.  531.608  Relationship of locality rates to other pay rates.

    (a) An employee must receive the greatest of the following rates of 
pay, as applicable--
    (1) The scheduled annual rate of pay payable to the employee;
    (2) A locality rate under this subpart;
    (3) A special rate under 5 CFR part 530, subpart C, or a similar 
rate under other legal authority (e.g., 38 U.S.C. 7455); or
    (4) A retained rate under 5 CFR part 536 or a similar rate under 
other legal authority.
    (b) A GS employee receiving a special rate is entitled to any 
applicable locality payment on the same basis as any other GS employee. 
The locality payment is computed based on the employee's scheduled 
annual rate of pay, which excludes any special rate. The employee is 
entitled to the higher of the locality rate or the corresponding special 
rate. As provided in 5 U.S.C. 5305(h) and 5 CFR 530.303(d), when an 
employee's locality rate exceeds a corresponding special rate, the 
employee's entitlement to the special rate is terminated.

[70 FR 31304, May 31, 2005]



Sec.  531.609  Adjusting or terminating locality rates.

    (a) When an employee's official worksite is changed to a different 
locality pay area, the employee's entitlement to the locality rate for 
the new locality pay area begins on the effective date of the change in 
official worksite.
    (b) A locality rate must be adjusted as of the effective date of any 
change in the applicable scheduled annual rate

[[Page 437]]

of pay or any change in the applicable locality percentage.
    (c) Except as provided in paragraph (d) of this section, entitlement 
to a locality rate associated with a particular locality pay area under 
this subpart terminates on the date--
    (1) An employee's official worksite is no longer in the locality pay 
area;
    (2) An employee is no longer in a position covered by this subpart; 
or
    (3) An employee separates from Federal service.
    (d) In the event of a change in the geographic coverage of a 
locality pay area, the effective date of any change in an employee's 
entitlement to a locality rate of pay under this subpart is the first 
day of the first pay period beginning on or after the effective date 
indicated in the applicable final rule published in the Federal 
Register.
    (e) As provided in Sec.  531.205, when an employee becomes covered 
by one or more different pay schedule(s) because the employee is 
stationed at a new official worksite in a different geographic location, 
the employee's pay (including a locality rate) must first be converted 
to the applicable pay schedule(s) in the new location before applying 
any other pay action (other than a general pay adjustment).

[70 FR 31304, May 31, 2005, as amended at 72 FR 34363, June 22, 2007; 78 
FR 5115, Jan. 24, 2013]



Sec.  531.610  Treatment of locality rate as basic pay.

    A locality rate is considered to be an employee's rate of basic pay 
only for the purpose of computing or applying--
    (a) Retirement deductions, contributions, and benefits under 5 
U.S.C. chapters 83 and 84;
    (b) Life insurance premiums and benefits under 5 U.S.C. chapter 87;
    (c) Premium pay under 5 U.S.C. chapter 55, subchapter V, and 5 CFR 
part 550, subparts A and I (including the computation of limitations on 
premium pay);
    (d) Severance pay under 5 U.S.C. 5595 and 5 CFR part 550, subpart G;
    (e) Advances in pay under 5 U.S.C. 5524a and 5 CFR part 550, subpart 
B;
    (f) Post differentials under 5 U.S.C. 5925(a) and danger pay 
allowances under 5 U.S.C. 5928 for an employee temporarily working in a 
foreign area when the employee's official worksite is located in a 
locality pay area;
    (g) Nonforeign area cost-of-living allowances and post differentials 
under 5 U.S.C. 5941 and 5 CFR part 591, subpart B;
    (h) Recruitment, relocation, and retention incentives, supervisory 
differentials, and extended assignment incentives under 5 U.S.C. chapter 
57, subchapter IV, and 5 CFR part 575;
    (i) Performance-based cash awards under 5 U.S.C. 4505a and 5 CFR 
part 451, subpart A, when such awards are computed as a percentage of an 
employee's rate of basic pay;
    (j) GS pay administration provisions (e.g., GS promotion provisions) 
to the extent provided in subpart B of this part;
    (k) Pay administration provisions for prevailing rate employees 
which consider rates of basic pay under the GS pay system in setting pay 
(except as otherwise provided in 5 CFR part 532), subject to the 
requirement that, if the employee's actual locality rate would not apply 
at the official worksite for the prevailing rate position, that locality 
rate must be converted to a corresponding rate on the locality rate 
schedule for that official worksite;
    (l) Lump-sum payments under 5 CFR part 550, subpart L, for 
accumulated and accrued annual leave;
    (m) Grade and pay retention under 5 U.S.C. chapter 53, subchapter 
VI, to the extent provided by 5 CFR part 536;
    (n) Other provisions as specified in other statute or OPM 
regulations; and
    (o) Payments or benefits equivalent to those listed in this section 
under other legal authority, as determined by the head of the agency or 
other authorized official responsible for administering such payments or 
benefits.

[70 FR 31304, May 31, 2005, as amended at 70 FR 74996, Dec. 19, 2005; 73 
FR 66154, Nov. 7, 2008; 76 FR 68634, Nov. 7, 2011]



Sec.  531.611  Miscellaneous provisions.

    (a) A locality rate may be paid only for those hours for which an 
employee is in a pay status.
    (b) Payment of, or an increase in, a locality rate is not an 
equivalent increase in pay within the meaning of 5 U.S.C. 5335. (See 
Sec.  531.407(c).)

[[Page 438]]

    (c) A locality rate 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 overtime pay 
computations under the Fair Labor Standards Act of 1938, as amended.
    (d) Consistent with Sec.  531.610, a reduction or termination of a 
locality rate under Sec.  531.609 is not an adverse action for the 
purpose of 5 CFR part 752, subpart D, or an action under 5 CFR 930.211.

[70 FR 31305, May 31, 2005, as amended at 73 FR 66154, Nov. 7, 2008]

Subpart G [Reserved]



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.
532.277 Special wage schedules for U.S. Navy positions in Bridgeport, 
          California.
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.
532.287 Special wage schedules for nonappropriated fund automotive 
          mechanics.
532.289 Special wage schedules for U.S. Army Corps of Engineers flood 
          control employees of the Vicksburg District in Mississippi.

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

[[Page 439]]

  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.
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. With the 
unanimous consent of the members of a Local Wage Survey Committee, data 
may also be obtained from a private sector establishment or 
establishments during a full-scale wage survey by telephone, mail, or 
electronic means.
    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

[[Page 440]]

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, electronic means, or personal visit.

[46 FR 21344, Apr. 10, 1981, as amended at 86 FR 11858, Mar. 1, 2021]



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;
    (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]

[[Page 441]]



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 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. With the unanimous consent of the members of a Local 
Wage Survey Committee, data may also be obtained from a private sector 
establishment or establishments during a full-scale wage survey by 
telephone, mail, or electronic means.
    (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, electronic means, 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, as amended at 86 FR 11859, Mar. 1, 2021]

[[Page 442]]



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 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.
    (f) A single contiguous military installation defined as a Joint 
Base that would otherwise overlap two separate wage areas shall be 
included in only a single wage area. The wage area of

[[Page 443]]

such a Joint Base shall be defined to be the wage area with the most 
favorable payline based on an analysis of the simple average of the 15 
nonsupervisory second step rates on each one of the regular wage 
schedules applicable in the otherwise overlapped wage areas.

[55 FR 46142, Nov. 1, 1990, as amended at 57 FR 29783, July 7, 1992; 81 
FR 86249, Nov. 30, 2016]



Sec.  532.213  Industries included in regular appropriated fund wage surveys.

    (a) The lead agency must include the industries in the following 
North American Industry Classification System (NAICS) codes in all 
regular appropriated fund wage surveys:

------------------------------------------------------------------------
       2017 NAICS codes                2017 NAICS industry titles
------------------------------------------------------------------------
311 through 339 (except 323).  All manufacturing classes except printing
                                and related support activities (NAICS
                                323).
221..........................  Utilities.
481..........................  Air transportation.
482..........................  Rail transportation.
484..........................  Truck transportation.
485 (except 4853)............  Transit and ground passenger
                                transportation except taxi and limousine
                                service (NAICS 4853).
487 (except 4872)............  Scenic and sightseeing transportation
                                except scenic and sightseeing
                                transportation, water (NAICS 4872).
488 (except 4883 and 4884)...  Support activities for transportation
                                except support activities for water
                                transportation (NAICS 4883) and support
                                activities for road transportation
                                (NAICS 4884).
492..........................  Couriers and messengers.
493..........................  Warehousing and storage.
515..........................  Broadcasting (except Internet).
517..........................  Telecommunications.
5621.........................  Waste collection.
5622.........................  Waste Treatment and Disposal.
423..........................  Merchant wholesalers, durable goods.
424..........................  Merchant wholesalers, 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.
    (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, as amended at 71 FR 35373, June 20, 2006; 73 
FR 45853, Aug. 7, 2008; 78 FR 58153, Sept. 23, 2013; 84 FR 36813, July 
30, 2019]



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

[[Page 444]]

 
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
Electronic Industrial Controls Mechanic........................       11
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; 69 FR 26475, May 13, 2004]



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.
    (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]

[[Page 445]]



Sec.  532.221  Industries included in regular nonappropriated fund surveys.

    (a) The lead agency must include the following North American 
Industry Classification System (NAICS) codes in all regular 
nonappropriated fund wage surveys:

------------------------------------------------------------------------
       2017 NAICS codes                2017 NAICS industry titles
------------------------------------------------------------------------
42312........................  Motor vehicle supplies and new parts
                                merchant wholesalers.
4232.........................  Furniture and home furnishing merchant
                                wholesalers.
42362........................  Electrical and electronic appliance,
                                television, and radio set merchant
                                wholesalers.
42369........................  Other electronic parts and equipment
                                merchant wholesalers.
42371........................  Hardware merchant wholesalers.
42391........................  Sporting and recreational goods and
                                supplies merchant wholesalers.
42399........................  Other miscellaneous durable goods
                                merchant wholesalers.
4241.........................  Paper and paper product merchant
                                wholesalers.
42421........................  Drugs and druggists' sundries merchant
                                wholesalers.
4243.........................  Apparel, piece goods, and notions
                                merchant wholesalers.
42445........................  Confectionery merchant wholesalers.
4247.........................  Petroleum and petroleum products merchant
                                wholesalers.
4249.........................  Miscellaneous nondurable goods merchant
                                wholesalers.
44132........................  Tire dealers.
443..........................  Electronics and appliance stores.
44411........................  Home centers.
44611........................  Pharmacies and drug stores.
4471.........................  Gasoline stations.
44814........................  Family clothing stores.
4522.........................  Department stores.
4523.........................  All other general merchandise stores.
45321........................  Office supplies and stationery stores.
4542.........................  Vending machine operators.
71391........................  Golf courses and country clubs.
71395........................  Bowling centers.
72111........................  Hotels (except casino hotels) and motels.
7224.........................  Drinking places (alcoholic beverages).
7225.........................  Restaurants and other eating places.
------------------------------------------------------------------------

    (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, as amended at 71 FR 35374, June 20, 2006; 73 
FR 45853, Aug. 7, 2008; 78 FR 58153, Sept. 23, 2013; 84 FR 36813, July 
30, 2019]



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 must be included in the survey universe. 
Establishments in NAICS codes 4471, 4542, 71391, and 71395 must 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, as amended at 71 FR 35374, June 20, 2006]



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

[[Page 446]]

 
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.
    (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

[[Page 447]]

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 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

[[Page 448]]

    (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 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.
    (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

[[Page 449]]

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 private sector establishments. With 
the unanimous consent of the members of a Local Wage Survey Committee, 
data may also be obtained from a private sector establishment or 
establishments during a full-scale wage survey by telephone, mail, or 
electronic means. 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 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, as amended at 86 FR 11859, 
Mar. 1, 2021]



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

[[Page 450]]

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
    (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 Sec. Sec.  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

[[Page 451]]

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.
    (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

[[Page 452]]

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, 
electronic means, 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; 86 FR 11859, Mar. 1, 2021]



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 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

[[Page 453]]

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.
    (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

[[Page 454]]

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 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

[[Page 455]]

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 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) The lead agency 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 American Samoa, the 
Commonwealth of the Northern Mariana Islands, Guam, Midway, and the U.S. 
Virgin 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

[[Page 456]]

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, as amended at 84 FR 22693, May 20, 2019]



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
  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

[[Page 457]]

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 must, at a minimum, include the air transportation and 
electronics industries in the following North American Industry 
Classification System (NAICS) codes:

------------------------------------------------------------------------
       2017 NAICS codes                2017 NAICS industry titles
------------------------------------------------------------------------
333316.......................  Photographic and photocopying equipment
                                manufacturing.
3341.........................  Computer and peripheral equipment
                                manufacturing.
33422........................  Radio and television broadcasting and
                                wireless communications equipment
                                manufacturing.
33429........................  Other communications equipment
                                manufacturing.
3343.........................  Audio and video equipment manufacturing.
334412.......................  Bare printed circuit board manufacturing.
334413.......................  Semiconductor and related device
                                manufacturing.
334418.......................  Printed circuit assembly (electronic
                                assembly) manufacturing.
334419.......................  Other electronic component manufacturing.
334511.......................  Search, detection, navigation, guidance,
                                aeronautical, and nautical system and
                                instrument manufacturing.
334515.......................  Instrument manufacturing for measuring
                                and testing electricity and electrical
                                signals.
334613.......................  Blank magnetic and optical recording
                                media manufacturing.
42342........................  Office equipment merchant wholesalers.
42343........................  Computer and computer peripheral
                                equipment and software merchant
                                wholesalers.
4811.........................  Scheduled air transportation.
4812.........................  Nonscheduled air transportation.
4879.........................  Scenic and sightseeing transportation,
                                other.
4881.........................  Support activities for air
                                transportation.
4921.........................  Couriers and express delivery services.
56172........................  Janitorial services.
62191........................  Ambulance services.
81142........................  Reupholstery and furniture repair.
------------------------------------------------------------------------

    (2) Surveys shall cover all establishments in the surveyed 
industries.
    (3) Surveys shall, as a minimum, include all the following jobs:

[[Page 458]]



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

    (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; 71 
FR 35374, June 20, 2006; 73 FR 45853, Aug. 7, 2008; 78 FR 58154, Sept. 
23, 2013; 84 FR 36814, July 30, 2019]



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

[[Page 459]]

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.
    (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.  532.277  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.  532.281  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 applied. Changes in tip 
offset practices

[[Page 460]]

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) Based on Bureau of Reclamation activities and types of 
supervisory positions in the special wage area, the Bureau of 
Reclamation must survey private industry companies, with no minimum 
employment size requirement for establishments, in the following North 
American Industry Classification System code subsectors:

------------------------------------------------------------------------
       2017 NAICS codes                2017 NAICS industry titles
------------------------------------------------------------------------
211..........................  Oil and gas extraction.
212..........................  Mining (except oil and gas).
213..........................  Support activities for mining.
221..........................  Utilities.
333..........................  Machinery manufacturing.
334..........................  Computer and electronic product
                                manufacturing.
335..........................  Electrical equipment, appliance, and
                                component manufacturing.
484..........................  Truck transportation.
492..........................  Couriers and messengers.
493..........................  Warehousing and storage.
515..........................  Broadcasting (except Internet).
517..........................  Telecommunications.
562..........................  Waste management and remediation
                                services.
811..........................  Repair and maintenance.
------------------------------------------------------------------------

    (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.

[[Page 461]]

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.
    (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: February

                    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

[[Page 462]]

               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, 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, as amended at 69 FR 7105, Feb. 13, 2004; 71 
FR 35375, June 20, 2006; 73 FR 45853, Aug. 7, 2008; 78 FR 58154, Sept. 
23, 2013; 84 FR 36814, July 30, 2019]

[[Page 463]]



Sec.  532.287  Special wage schedules for nonappropriated fund automotive mechanics.

    (a) The Department of Defense (DOD) will establish a flat rate pay 
system for nonappropriated fund (NAF) automotive mechanics. This flat 
rate pay system will take into account local prevailing rates, the 
mechanic's skill level, and the standard number of hours required to 
complete a particular job.
    (b) DOD will issue special wage schedules for NAF automotive 
mechanics who are covered by the flat rate pay system. These special 
schedules will provide rates of pay for nonsupervisory, leader, and 
supervisory employees. These special schedule positions will be 
identified by pay plan codes XW (nonsupervisory), XY (leader), and XZ 
(supervisory), grades 8-10, and will use the Federal Wage System 
occupational code 5823.
    (c) DOD will issue special wage schedules for NAF automotive 
mechanics based on annual special flat rate surveys of similar jobs 
conducted in each special schedule wage area.
    (1) The survey area for these special surveys will include the same 
counties as the regular NAF survey area.
    (2) The survey jobs used will be Automotive Worker and Automotive 
Mechanic.
    (3) The special surveys will include data on automotive mechanics 
that are paid under private industry flat rate pay plans as well as 
those paid by commission.
    (4) In addition to all standard North American Industry 
Classification System (NAICS) codes currently used on the regular 
surveys, the industries surveyed will include--

------------------------------------------------------------------------
             2012 NAICS Codes                2012 NAICS Industry titles
------------------------------------------------------------------------
441110....................................  New car dealers.
441310....................................  Automotive parts and
                                             accessory stores.
811111....................................  General automotive repair.
811191....................................  Automotive oil change and
                                             lubrication shops.
------------------------------------------------------------------------

    (5) The surveys will cover establishments with a total employment of 
eight or more.
    (6) The special schedules for NAF automotive mechanics will be 
effective on the same dates as the regular wage schedules in the NAF FWS 
wage area.
    (d) New employees will be hired at step 1 of the position under the 
flat rate pay system. Current employees will be moved to these special 
wage schedules on a step-by-step basis. Pay retention will apply to any 
employee whose rate of basic pay would otherwise be reduced as a result 
of placement in these new special schedules.

[79 FR 22765, Apr. 24, 2014]



Sec.  532.289  Special wage schedules for U.S. Army Corps of Engineers
flood control employees of the Vicksburg District in Mississippi.

    (a)(1) The Department of Defense will establish special wage 
schedules for wage employees of the U.S. Army Corps of Engineers who 
work at flood control dams (also known as reservoir projects) and whose 
duty station is located in one of the lakes that comprise the Vicksburg 
District of the Mississippi Valley Division.
    (2) These special wage schedules will provide rates of pay for 
nonsupervisory, leader, and supervisory employees. These special 
schedule positions will be identified by pay plan codes XR 
(nonsupervisory), XT (leader), and XU (supervisory).
    (b) The Vicksburg District of the Mississippi Valley Division is 
comprised of the following four lakes:

(1) Grenada Lake in Grenada County, MS
(2) Enid Lake in Yalobusha County, MS
(3) Sardis Lake in Panola County, MS
(4) Arkabutla Lake in Tate County, MS

    (c) Special wage schedules shall be established at the same time and 
with rates identical to the Memphis, TN, appropriated fund wage 
schedule.

[80 FR 61277, Oct. 13, 2015]



    Sec. 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

[[Page 464]]

    (3) Whether full-scale surveys will be done in odd or even numbered 
fiscal years.

----------------------------------------------------------------------------------------------------------------
                                                                                                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........................  Central Illinois.......  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.
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.

[[Page 465]]

 
                                  St. Louis..............  DoD            October...........  Odd.
                                  Southern Missouri......  DoD            October...........  Odd.
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.
                                  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, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.govinfo.gov.

[[Page 466]]



    Sec. 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 calendar years.

----------------------------------------------------------------------------------------------------------------
                                                                Beginning month of   Calendar year of full-scale
               State                        Wage area                 survey              survey odd or even
----------------------------------------------------------------------------------------------------------------
Alabama...........................  Calhoun..................  April...............  Even.
                                    Madison..................  April...............  Even.
                                    Montgomery...............  April...............  Odd.
Alaska............................  Anchorage................  June................  Even.
Arizona...........................  Maricopa.................  October.............  Even.
                                    Pima.....................  October.............  Even.
                                    Yuma.....................  October.............  Even.
Arkansas..........................  Pulaski..................  April...............  Odd.
California........................  Kern.....................  September...........  Odd.
                                    Los Angeles..............  September...........  Even.
                                    Monterey.................  September...........  Odd.
                                    Orange...................  September...........  Even.
                                    Riverside................  September...........  Even.
                                    Sacramento...............  February............  Odd.
                                    San Bernardino...........  September...........  Even.
                                    San Diego................  September...........  Odd.
                                    San Joaquin..............  February............  Odd.
                                    Santa Barbara............  September...........  Even.
                                    Solano...................  September...........  Odd.
                                    Ventura..................  September...........  Even.
Colorado..........................  Arapahoe-Denver..........  July................  Even.
                                    El Paso..................  July................  Even.
Connecticut.......................  New London...............  July................  Even.
Delaware..........................  Kent.....................  August..............  Odd.
District of Columbia..............  Washington, DC...........  August..............  Even.
Florida...........................  Bay......................  January.............  Even.
                                    Brevard..................  January.............  Odd.
                                    Miami-Dade...............  January.............  Odd.
                                    Duval....................  January.............  Odd.
                                    Escambia.................  January.............  Even.
                                    Hillsborough.............  January.............  Odd.
                                    Monroe...................  January.............  Odd.
                                    Okaloosa.................  January.............  Even.
                                    Orange...................  January.............  Even.
Georgia...........................  Chatham..................  March...............  Odd.
                                    Cobb.....................  June................  Odd.
                                    Columbus.................  June................  Odd.
                                    Dougherty................  March...............  Odd.
                                    Houston..................  April...............  Odd.
                                    Lowndes..................  March...............  Odd.
                                    Richmond.................  April...............  Odd.
Guam..............................  Guam.....................  September...........  Even.
Hawaii............................  Honolulu.................  May.................  Even.
Idaho.............................  Ada-Elmore...............  July................  Odd.
Illinois..........................  Lake.....................  April...............  Even.
                                    St. Clair................  April...............  Even.
Kansas............................  Leavenworth-Jackson-       April...............  Even.
                                     Johnson.
                                    Sedgwick.................  April...............  Odd.
Kentucky..........................  Christian-Montgomery.....  February............  Even.
                                    Hardin-Jefferson.........  March...............  Even.
Louisiana.........................  Bossier-Caddo............  March...............  Odd.
                                    Orleans..................  June................  Odd.
                                    Rapides..................  March...............  Odd.
Maine.............................  York.....................  October.............  Odd.
Maryland..........................  Anne Arundel.............  August..............  Even.
                                    Charles-St. Mary's.......  August..............  Even.
                                    Frederick................  August..............  Even.
                                    Harford..................  May.................  Even.
                                    Montgomery-Prince          August..............  Even.
                                     George's.
Massachusetts.....................  Hampden..................  October.............  Odd.
                                    Middlesex................  October.............  Odd.
Michigan..........................  Macomb...................  May.................  Odd.

[[Page 467]]

 
Minnesota.........................  Hennepin.................  July................  Odd.
Mississippi.......................  Harrison.................  March...............  Even.
                                    Lauderdale...............  March...............  Odd.
                                    Lowndes..................  March...............  Odd.
Montana...........................  Cascade..................  July................  Odd.
Nebraska..........................  Douglas-Sarpy............  April...............  Even.
Nevada............................  Churchill-Washoe.........  January.............  Even.
                                    Clark....................  January.............  Even.
New Jersey........................  Burlington...............  August..............  Odd.
                                    Morris...................  August..............  Odd.
New Mexico........................  Bernalillo...............  February............  Odd.
                                    Curry....................  June................  Odd.
                                    Dona Ana.................  February............  Odd.
New York..........................  Jefferson................  May.................  Odd.
                                    Kings-Queens.............  October.............  Even.
                                    Niagara..................  May.................  Odd.
                                    Orange...................  May.................  Odd.
North Carolina....................  Craven...................  March...............  Even.
                                    Cumberland...............  March...............  Even.
                                    Onslow...................  February............  Even.
                                    Wayne....................  March...............  Even.
North Dakota......................  Grand Forks..............  July................  Odd.
                                    Ward.....................  July................  Odd.
Ohio..............................  Greene-Montgomery........  April...............  Odd.
Oklahoma..........................  Comanche.................  March...............  Even.
                                    Oklahoma.................  March...............  Even.
Pennsylvania......................  Allegheny................  May.................  Odd.
                                    Cumberland...............  May.................  Even.
                                    York.....................  May.................  Even.
Puerto Rico.......................  Guaynabo-San Juan........  February............  Even.
Rhode Island......................  Newport..................  July................  Even.
South Carolina....................  Charleston...............  February............  Even.
                                    Richland.................  March...............  Even.
South Dakota......................  Pennington...............  June................  Even.
Tennessee.........................  Shelby...................  February............  Even.
Texas.............................  Bell.....................  June................  Odd.
                                    Bexar....................  June................  Even.
                                    Dallas...................  June................  Even.
                                    El Paso..................  February............  Odd.
                                    McLennan.................  May.................  Odd.
                                    Nueces...................  June................  Even.
                                    Tarrant..................  June................  Even.
                                    Taylor...................  June................  Odd.
                                    Tom Green................  June................  Odd.
                                    Wichita..................  March...............  Even.
Utah..............................  Davis-Salt Lake-Weber....  July................  Odd.
Virginia..........................  Alexandria-Arlington-      August..............  Even.
                                     Fairfax.
                                    Chesterfield-Richmond....  August..............  Odd.
                                    Hampton-Newport News.....  May.................  Even.
                                    Norfolk-Portsmouth-        May.................  Even.
                                     Virginia Beach.
                                    Prince William...........  August..............  Even.
Washington........................  Kitsap...................  June................  Even.
                                    Pierce...................  July................  Even.
                                    Snohomish................  July................  Even.
                                    Spokane..................  July................  Odd.
Wyoming...........................  Laramie..................  July................  Even.
----------------------------------------------------------------------------------------------------------------


[46 FR 21344, Apr. 10, 1981]

    Editorial Note: For Federal Register citations affecting appendix B, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.govinfo.gov.



  Sec. 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:

[[Page 468]]

    (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
    Chilton
    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
    Navajo
New Mexico:
    McKinley
    San Juan

                 Area of Application. Survey area plus:

Colorado:

[[Page 469]]

    Dolores
    Gunnison (Only includes the Curecanti National Recreation Area 
portion)
    La Plata
    Montezuma
    Montrose
    Ouray
    San Juan
    San Miguel
Utah:
    Garfield (Only includes the Bryce Canyon, Capitol Reef, and 
Canyonlands National Parks portions)
    Grand (Only includes the Arches and Canyonlands National Parks 
portions)
    Iron (Only includes the Cedar Breaks National Monument and Zion 
National Park portions)
    Kane
    San Juan
    Washington
    Wayne (Only includes the Capitol Reef and Canyonlands National Parks 
portions)

                                 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

    Jefferson
    Pulaski
    Saline

                 Area of Application. Survey area plus:

Arkansas:
    Arkansas
    Ashley
    Baxter
    Boone
    Bradley
    Calhoun
    Chicot
    Clay
    Clark
    Cleburne
    Cleveland
    Conway
    Dallas
    Desha
    Drew
    Faulkner
    Franklin (Does not include the Fort Chaffee portion)
    Fulton
    Garland
    Grant
    Greene
    Hot Spring
    Independence
    Izard
    Jackson
    Johnson
    Lawrence
    Lincoln
    Logan
    Lonoke
    Marion
    Monroe
    Montgomery
    Newton
    Ouachita
    Perry
    Phillips
    Pike
    Polk
    Pope
    Prairie
    Randolph
    Scott
    Searcy
    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 in Boron (City))
    Madera (Does not include Devils Postpile National Monument and 
Yosemite National Park portions)

[[Page 470]]

                               Los Angeles

                               Survey Area

California:
    Los Angeles

                 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.

                    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

California:
    Alameda
    Contra Costa
    Marin
    Napa
    San Francisco
    San Mateo
    Santa Clara
    Solano

                 Area of Application. Survey area plus:

California:
    Mendocino
    San Benito
    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
    Madera (Only includes Yosemite National Park portion)
    Mariposa
    Merced
    Stanislaus
    Tuolumne

[[Page 471]]

                                Colorado

                                 Denver

                               Survey Area

Colorado:
    Adams
    Arapahoe
    Boulder
    Broomfield
    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
    Fremont
    Gunnison (Does not include the Curecanti National Recreation Area 
portion)
    Hinsdale
    Huerfano
    Kiowa
    Kit Carson
    Las Animas
    Lincoln
    Mineral
    Otero
    Prowers
    Rio Grande
    Saguache

                               Connecticut

                           New Haven--Hartford

                               Survey Area

Connecticut:
    Hartford
    New Haven

                 Area of application. Survey area plus:

Connecticut:
    Fairfield
    Litchfield
    Middlesex
    Tolland

                               New London

                               Survey Area

Connecticut:
    New London

                    Area of application. Survey area.

                                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
    Somerset
    Talbot
    Wicomico
    Worcester (Does not include the Assateague Island portion)

                          District of Columbia

                             Washington, DC

                               Survey Area

District of Columbia:
    Washington, DC
Maryland:
    Charles

[[Page 472]]

    Frederick
    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 (city):
    Fredericksburg
Virginia (counties):
    Albemarle (Only includes the Shenandoah National Park portion)
    Augusta (Only includes the Shenandoah National Park portion)
    Clarke
    Culpeper
    Fauquier
    Greene (Only includes the Shenandoah National Park portion)
    King George
    Madison
    Page (Only includes the Shenandoah National Park portion)
    Rappahannock
    Rockingham (Only includes the Shenandoah National Park portion)
    Spotsylvania
    Stafford
    Warren
West Virginia:
    Jefferson

                                 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
    Putnam
    Seminole
    Sumter
    Suwannee
    Taylor
    Union
    Volusia
Georgia:
    Camden
    Charlton

                                  Miami

                               Survey Area

Florida:
    Miami-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

[[Page 473]]

                                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

                                 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
    Jasper
    Lamar
    Lumpkin
    Madison
    Meriwether
    Morgan
    Murray
    Oconee
    Oglethorpe
    Pickens
    Pike
    Polk
    Rabun
    Spalding
    Stephens

[[Page 474]]

    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

Alabama:
    Autauga
    Elmore
    Lee
    Macon
    Montgomery
    Russell
Georgia
    Chattahoochee
    Columbus

                 Area of Application. Survey area plus:

Alabama:
    Bullock
    Butler
    Chambers
    Coosa
    Crenshaw
    Dallas
    Lowndes
    Pike
    Tallapoosa
    Wilcox
Georgia:
    Harris
    Marion
    Quitman
    Schley
    Stewart
    Talbot
    Taylor
    Troup
    Webster

                                  Macon

                               Survey Area

Georgia:
    Bibb
    Houston
    Jones
    Laurens
    Twiggs
    Wilkinson

                 Area of Application. Survey area plus:

Georgia:
    Baldwin
    Bleckley
    Crawford
    Crisp
    Dodge
    Dooly
    Hancock
    Johnson
    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
    Brantley
    Bulloch
    Candler
    Evans
    Glynn
    Jeff Davis
    Long
    McIntosh
    Pierce
    Screven
    Tattnall
    Toombs
    Wayne

[[Page 475]]

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
    Fremont
    Gooding
    Jefferson
    Jerome
    Lemhi
    Lincoln
    Madison
    Minidoka
    Oneida
    Owyhee
    Payette
    Power
    Teton
    Twin Falls
    Valley
    Washington

                                Illinois

                            Central Illinois

                               Survey Area

Illinois:
    Champaign
    Menard
    Sangamon
    Vermilion

                 Area of Application. Survey area plus:

Illinois:
    Christian
    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:
    Jasper
    Lake
    La Porte
    Newton
    Porter
    Pulaski
    Starke
Wisconsin:
    Kenosha

[[Page 476]]

                                 Indiana

                     Bloomington-Bedford-Washington

                               Survey Area

Indiana:
    Daviess
    Greene
    Knox
    Lawrence
    Martin
    Monroe
    Orange

                 Area of Application. Survey area plus:

Indiana:
    Crawford
    Dubois
    Gibson
    Jackson
    Owen
    Perry
    Pike
    Posey
    Spencer
    Vanderburgh
    Warrick
Illinois:
    Edwards
    Gallatin
    Hardin
    Lawrence
    Richland
    Wabash
    White
Kentucky:
    Crittenden
    Daviess
    Hancock
    Henderson
    Livingston
    McLean
    Ohio
    Union
    Webster

                            Fort Wayne-Marion

                               Survey Area

Indiana:
    Adams
    Allen
    DeKalb
    Grant
    Huntington
    Wells

                 Area of Application. Survey area plus:

Indiana:
    Blackford
    Case
    Elkhart
    Fulton
    Jay
    Kosciusko
    Lagrange
    Marshall
    Miami
    Noble
    St. Joseph
    Steuben
    Wabash
    White
    Whitley
Ohio:
    Allen
    Defiance
    Henry
    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
    Benton
    Brown
    Carroll
    Clay
    Clinton
    Decatur
    Delaware
    Fayette
    Fountain
    Henry
    Howard
    Madison
    Montgomery
    Parke
    Putnam
    Rush
    Sullivan
    Tippecanoe
    Tipton
    Vermillion
    Vigo
    Warren

                                  Iowa

                         Cedar Rapids-Iowa City

                               Survey Area

Iowa:
    Benton
    Black Hawk
    Johnson
    Linn

[[Page 477]]

                 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
    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

[[Page 478]]

    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
    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

[[Page 479]]

    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
    Washington

                                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
    Iberia
    Jefferson Davis
    Lafayette
    La Salle
    Madison
    Natchitoches
    St. Landry
    St. Martin
    Tensas
    Vermilion
    Winn

                               New Orleans

                               Survey Area

Louisiana:
    Jefferson
    Orleans
    Plaquemines
    St. Bernard
    St. Charles
    St. John the Baptist
    St. Tammany

                 Area of Application. Survey area plus:

Louisiana:
    Ascension
    Assumption
    East Baton Rouge
    East Feliciana
    Iberville
    Lafourche
    Livingston
    Pointe Coupee
    St. Helena
    St. James
    St. Mary
    Tangipahoa
    Terrebonne
    Washington
    West Baton Rouge
    West Feliciana

                               Shreveport

                               Survey Area

Louisiana: (parishes)
    Bossier
    Caddo
    Webster

                 Area of Application. Survey area plus:

Louisiana: (parishes)
    Bienville
    Claiborne
    De Soto
    East Carroll
    Jackson
    Lincoln
    Morehouse
    Ouachita
    Red River
    Richland
    Union
    West Carroll
Texas:
    Cherokee

[[Page 480]]

    Gregg
    Harrison
    Panola
    Rusk
    Upshur

                                  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

                                Maryland

                                Baltimore

                               Survey Area

Maryland (city):
    Baltimore
Maryland (counties):
    Anne Arundel
    Baltimore
    Carroll
    Harford
    Howard

                 Area of Application. Survey area plus:

Maryland:
    Queen Anne's

                   Hagerstown-Martinsburg-Chambersburg

                               Survey Area

Maryland:
    Washington
Pennsylvania:
    Franklin
West Virginia:
    Berkeley

                 Area of Application. Survey area plus:

Maryland:
    Allegany
    Garrett
Pennsylvania:
    Fulton
Virginia (cities):
    Harrisonburg
    Winchester
Virginia (counties):
    Frederick
    Page (Does not include the Shenandoah National Park portion)
    Rockingham (Does not include the Shenandoah National Park portion)
    Shenandoah
West Virginia:
    Hampshire
    Hardy
    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

[[Page 481]]

    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

                 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

[[Page 482]]

    West Warren

                 Area of Application. Survey area plus:

Connecticut
    Windham
Massachusetts:
    Berkshire
    Franklin
    Worcester (except Blackstone and Millville)
The following cities and towns in:
    Hampden County
    Blandford
    Brimfield
    Chester
    Granville
    Holland
    Montgomery
    Russell
    Tolland
    Wales
    Hampshire County
    Amherst
    Belchertown
    Chesterfield
    Cummington
    Goshen
    Hatfield
    Huntington
    Middlefield
    Pelham
    Plainfield
    Southampton
    Ware
    Westhampton
    Williamsburg
    Worthington
    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

                                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:
    Fulton
    Lucas
    Ottawa
    Wood

                          Northwestern Michigan

                               Survey Area

Michigan:
    Delta
    Dickinson
    Marquette

                 Area of Application. Survey area plus:

Michigan:
    Alcona
    Alger
    Alpena
    Antrim
    Baraga
    Benzie
    Charlevoix
    Cheboygan
    Chippewa
    Crawford
    Emmet
    Gogebic
    Grand Traverse
    Houghton
    Iosco
    Iron

[[Page 483]]

    Kalkaska
    Keweenaw
    Leelanau
    Luce
    Mackinac
    Manistee
    Menominee
    Missaukee
    Montmorency
    Ogemaw
    Ontonagon
    Oscoda
    Otsego
    Presque Isle
    Roscommon
    Schoolcraft
    Wexford

                          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
    Becker (Including the White Earth Indian Reservation portion only)
    Beltrami
    Cass
    Clearwater
    Cook
    Crow Wing
    Hubbard
    Itasca
    Koochiching
    Lake
    Lake of the Woods
    Mahnomen
    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
    Fillmore
    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

[[Page 484]]

    Stearns
    Steele
    Stevens
    Swift
    Todd
    Traverse
    Wabasha
    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

                                 Jackson

                               Survey Area

Mississippi:
    Hinds
    Rankin
    Warren

                 Area of Application. Survey area plus:

Mississippi:
    Adams
    Amite
    Attala
    Claiborne
    Copiah
    Franklin
    Holmes
    Humphreys
    Issaquena
    Jefferson
    Jefferson Davis
    Lawrence
    Lincoln
    Madison
    Marion
    Pike
    Scott
    Sharkey
    Simpson
    Smith
    Walthall
    Wilkinson
    Yazoo

                                Meridian

                               Survey Area

Alabama:
    Choctaw
Mississippi:
    Forest
    Lamar
    Lauderdale

                 Area of Application. Survey area plus:

Alabama:
    Sumter
Mississippi:
    Clarke
    Covington
    Greene
    Jasper
    Jones
    Kemper
    Leake
    Neshoba
    Newton
    Perry
    Wayne

                          Northern Mississippi

                               Survey Area

Mississippi:
    Clay
    Grenada
    Lee
    Leflore
    Lowndes
    Monroe
    Oktibbeha

                 Area of Application. Survey area plus:

Mississippi:
    Alcorn
    Bolivar
    Calhoun
    Carroll
    Chickasaw
    Choctaw
    Coahoma
    Itawamba
    Lafayette (Does not include the Holly Springs National Forest 
portion)
    Montgomery
    Noxubee
    Pontotoc (Does not include the Holly Spring National Forest portion)
    Prentiss
    Quitman
    Sunflower
    Tallahatchie
    Tishomingo
    Union (Does not include the Holly Springs National Forest portion)
    Washington
    Webster
    Winston
    Yalobusha

[[Page 485]]

                                Missouri

                               Kansas City

                               Survey Area

Kansas:
    Johnson
    Leavenworth
    Wyandotte
Missouri:
    Cass
    Clay
    Jackson
    Platte
    Ray

                 Area of Application. Survey area plus:

Kansas:
    Allen
    Anderson
    Atchison
    Bourbon
    Doniphan
    Douglas
    Franklin
    Linn
    Miami
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

                                St. Louis

                               Survey Area

Illinois:
    Clinton
    Madison
    Monroe
    St. Clair
Missouri: (city)
    St. Louis
Missouri: (counties)
    Franklin
    Jefferson
    St. Charles
    St. Louis

                 Area of Application. Survey area plus:

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
Missouri:
    Audrain
    Bollinger
    Boone
    Callaway
    Cape Girardeau
    Clark
    Cole
    Crawford
    Gasconade
    Knox
    Lewis
    Lincoln
    Marion
    Moniteau
    Monroe
    Montgomery
    Osage
    Perry
    Pike
    Ralls
    Randolph
    St. Francois
    Ste. Genevieve
    Scotland
    Shelby
    Warren

[[Page 486]]

    Washington

                            Southern Missouri

                               Survey Area

Missouri:
    Christian
    Greene
    Laclede
    Phelps
    Pulaski
    Webster

                 Area of Application. Survey area plus:

Kansas:
    Cherokee
    Crawford
Missouri:
    Barry
    Barton
    Benton
    Butler
    Camden
    Carter
    Cedar
    Dade
    Dallas
    Dent
    Douglas
    Hickory
    Howell
    Iron
    Jasper
    Lawrence
    Madison
    Maries
    Miller
    Mississippi
    Morgan
    New Madrid
    Newton
    Oregon
    Ozark
    Polk
    Reynolds
    Ripley
    St. Clair
    Scott
    Shannon
    Stoddard
    Stone
    Taney
    Texas
    Vernon
    Wayne
    Wright

                                 Montana

                               Survey Area

Montana:
    Cascade
    Lewis and Clark
    Yellowstone

                 Area of Application. Survey area plus:

Montana:
    Beaverhead
    Big Horn
    Blaine
    Broadwater
    Carbon
    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

[[Page 487]]

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
    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
South Dakota
    Union

                                 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:

[[Page 488]]

    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

Maine:
    Androscoggin
    Cumberland
    Sagadahoc
    York
Massachusetts:
The following cities and towns in:
    Essex County
    Amesbury
    Georgetown
    Groveland
    Haverhill
    Merrimac
    Newbury
    Newburyport
    North Andover
    Salisbury
    South Byfield
    West Newbury
New Hampshire:
    Rockingham (except the following cities and towns: Newton, Plaistow, 
Salem, and Westville)
    Strafford

                 Area of Application. Survey area plus:

Maine
    Franklin
    Oxford
New Hampshire
    Coos
    The following cities and towns in:
    Rockingham County
    Newton
    Plaistow
    Salem
    Westville

                               New Mexico

                               Albuquerque

                               Survey Area

New Mexico:
    Bernalillo
    Sandoval

                 Area of Application. Survey area plus:

New Mexico:
    Catron
    Cibola
    Colfax
    Curry
    De Baca
    Guadalupe
    Harding
    Lincoln (Does not include White Sands Missile Range portion)
    Los Alamos
    Mora
    Quay
    Rio Arriba
    Roosevelt
    San Miguel
    Santa Fe
    Socorro (Does not include White Sands Missile Range 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
    Delaware
    Fulton
    Greene
    Schoharie
    Ulster
    Warren
    Washington

                                 Buffalo

                               Survey Area

New York:
    Erie
    Niagara

                 Area of Application. Survey area plus:

New York:

[[Page 489]]

    Cattaraugus
    Chautauqua
Pennsylvania:
    Elk (Only includes the Allegheny National Forest portion)
    Forest (Only includes the Allegheny National Forest portion)
    McKean
    Warren

                                New York

                               Survey Area

New Jersey:
    Bergen
    Essex
    Hudson
    Middlesex
    Morris
    Passaic
    Somerset
    Union
New York:
    Bronx
    Kings
    Nassau
    New York
    Orange
    Queens
    Suffolk
    Westchester

                 Area of Application. Survey area plus:

New Jersey:
    Burlington (Joint Base McGuire-Dix-Lakehurst portion only)
    Hunterdon
    Monmouth
    Ocean
    Sussex
New York:
    Dutchess
    Putnam
    Richmond
    Rockland
Pennsylvania
    Pike

                            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
    Wyoming
    Yates
Pennsylvania:
    Tioga

                           Syracuse-Utica-Rome

                               Survey Area

New York:
    Herkimer
    Madison
    Oneida
    Onondaga
    Oswego

                 Area of Application. Survey area plus:

New York:
    Broome
    Cayuga
    Chenango
    Cortland
    Hamilton
    Otsego
    Tioga
    Tompkins

                             North Carolina

                                Asheville

                               Survey Area

North Carolina:
    Buncombe
    Haywood
    Henderson
    Madison
    Transylvania

                 Area of Application. Survey area plus:

North Carolina:
    Alexander
    Avery
    Burke
    Caldwell
    Catawba
    Cherokee
    Clay
    Graham

[[Page 490]]

    Jackson
    McDowell
    Macon
    Mitchell
    Polk
    Rutherford
    Swain
    Yancey

                         Central North Carolina

                               Survey Area

North Carolina:
    Cumberland
    Durham
    Harnett
    Hoke
    Johnston
    Orange
    Wake
    Wayne

                 Area of Application. Survey area plus:

North Carolina:
    Alamance
    Bladen
    Caswell
    Chatham
    Davidson
    Davie
    Edgecombe
    Franklin
    Forsyth
    Granville
    Guilford
    Halifax
    Lee
    Montgomery
    Moore
    Nash
    Northampton
    Person
    Randolph
    Richmond
    Robeson
    Rockingham
    Sampson
    Scotland
    Stokes
    Surry
    Vance
    Warren
    Wilson
    Yadkin
South Carolina:
    Dillon
    Marion
    Marlboro

                                Charlotte

                               Survey Area

North Carolina:
    Cabarrus
    Gaston
    Mecklenburg
    Rowan
    Union

                 Area of Application. Survey area plus:

North Carolina:
    Anson
    Cleveland
    Iredell
    Lincoln
    Stanly
    Wilkes
South Carolina:
    Chester
    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
    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:

[[Page 491]]

    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 (Excluding the White Earth Indian Reservation portion)
    Kittson
    Marshall
    Norman
    Otter Tail
    Pennington
    Red Lake
    Roseau
    Wilkin

                                  Ohio

                               Cincinnati

                               Survey Area

Indiana:
    Dearborn
Kentucky:
    Boone
    Campbell
    Kenton
Ohio:
    Clermont
    Hamilton
    Warren

                 Area of Application: Survey area plus:

Indiana:
    Franklin
    Ohio
    Ripley
    Switzerland
    Union
Kentucky:
    Bracken
    Carroll
    Gallatin
    Grant
    Mason
    Pendleton
Ohio:
    Adams
    Brown
    Butler
    Highland

                                Cleveland

                               Survey Area

Ohio:
    Cuyahoga
    Geauga
    Lake
    Medina

                 Area of Application. Survey area plus:

Ohio:
    Ashland
    Ashtabula
    Carroll
    Columbiana
    Erie
    Huron
    Lorain
    Mahoning
    Portage
    Sandusky
    Seneca
    Stark
    Summit
    Trumbull
    Wayne
Pennsylvania
    Mercer

                                Columbus

                               Survey Area

Ohio:
    Delaware
    Fairfield
    Franklin
    Licking
    Madison
    Pickaway

                 Area of Application. Survey area plus:

Ohio:

[[Page 492]]

    Coshocton
    Crawford
    Fayette
    Guernsey
    Hancock
    Hardin
    Hocking
    Holmes
    Knox
    Marion
    Morrow
    Muskingum
    Perry
    Richland
    Ross
    Union
    Wyandot

                                 Dayton

Ohio:
    Champaign
    Clark
    Greene
    Miami
    Montgomery
    Preble

                 Area of Application. Survey area plus:

Indiana:
    Randolph
    Wayne
Ohio:
    Auglaize
    Clinton
    Darke
    Logan
    Shelby

                                Oklahoma

                              Oklahoma City

                               Survey Area

Oklahoma:
    Canadian
    Cleveland
    McClain
    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:

Arkansas:
    Benton
    Carroll
    Crawford
    Franklin (Only includes the Fort Chaffee portion)
    Madison
    Sebastian
    Washington
Missouri:
    McDonald
Oklahoma:
    Adair
    Cherokee
    Choctaw
    Craig
    Delaware
    Haskell
    Kay
    Latimer
    LeFlore
    McCurtain
    McIntosh
    Nowata
    Okfuskee
    Okmulgee
    Ottawa
    Pawnee
    Pushmataha
    Sequoyah
    Washington

[[Page 493]]

                                 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
    Northumberland
    Perry
    Schuylkill
    Snyder
    Union

                              Philadelphia

                               Survey Area

New Jersey:
    Burlington (Excluding the Joint Base McGuire-Dix-Lakehurst portion)
    Camden
    Gloucester
Pennsylvania:
    Bucks
    Chester
    Delaware
    Montgomery
    Philadelphia

                 Area of Application. Survey area plus:

New Jersey:
    Atlantic
    Cape May
    Cumberland
    Mercer
    Warren
Pennsylvania:
    Carbon
    Lehigh
    Northampton

                               Pittsburgh

                               Survey Area

Pennsylvania:
    Allegheny
    Beaver
    Butler
    Washington
    Westmoreland

                 Area of Application. Survey area plus:

Ohio:
    Belmont
    Harrison
    Jefferson
    Tuscarawas
Pennsylvania:
    Armstrong
    Bedford
    Blair
    Cambria
    Cameron
    Centre
    Clarion
    Clearfield
    Clinton

[[Page 494]]

    Crawford
    Elk (Does not include the Allegheny National Forest portion)
    Erie
    Fayette
    Forest (Does not include the Allegheny National Forest portion)
    Greene
    Huntingdon
    Indiana
    Jefferson
    Lawrence
    Potter
    Somerset
    Venango
West Virginia:
    Brooke
    Hancock
    Marshall
    Ohio

                          Scranton-Wilkes-Barre

                               Survey Area

Pennsylvania:
    Lackawanna
    Luzerne
    Monroe

                 Area of Application. Survey area plus:

New York
    Sullivan
Pennsylvania:
    Bradford
    Columbia
    Lycoming (Excluding Allenwood Federal Prison Camp)
    Montour
    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
    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
    Lafayette
    Narragansett
    North Kingstown
    Point Judith
    Quonset Point
    Saunderstown
    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

[[Page 495]]

                 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
    Hopkinton
    New Shoreham
    Richmond
    South Kingstown
    Westerly
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
    Clarendon
    Fairfield
    Greenville
    Greenwood
    Laurens
    Newberry
    Oconee
    Orangeburg
    Pickens
    Saluda
    Spartanburg
    Union

                              South Dakota

                          Eastern South Dakota

                               Survey Area

South Dakota:
    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

[[Page 496]]

    Potter
    Roberts
    Sanborn
    Spink
    Stanley
    Sully
    Todd
    Tripp
    Turner
    Walworth
    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

Arkansas:
    Crittenden
    Mississippi
Mississippi:
    De Soto
Tennessee:
    Shelby
    Tipton

                 Area of Application. Survey area plus:

Arkansas:
    Craighead
    Cross
    Lee
    Poinsett
    St. Francis
Mississippi:
    Benton
    Lafayette (Holly Springs National Forest portion only)
    Marshall
    Panola
    Pontotoc (Holly Springs National Forest portion only)
    Tate
    Tippah
    Tunica
    Union (Holly Springs National Forest portion only)
Missouri:
    Dunklin
    Pemiscot
Tennessee:
    Carroll
    Chester
    Crockett
    Dyer
    Fayette
    Gibson
    Hardeman
    Hardin
    Haywood
    Lake
    Lauderdale
    Madison
    McNairy
    Obion

                                Nashville

                               Survey Area

Tennessee:
    Cheatham
    Davidson
    Dickson
    Montgomery
    Robertson
    Rutherford
    Sumner
    Williamson
    Wilson
Kentucky:
    Christian

[[Page 497]]

                 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

                                  Texas

                                 Austin

                               Survey Area

Texas:
    Hays
    Milam
    Travis
    Williamson

                 Area of Application. Survey area plus:

Texas:
    Bastrop
    Blanco
    Burnet
    Caldwell
    Fayette
    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

[[Page 498]]

    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

New Mexico:
    Dona Ana
    Otero
Texas:
    El Paso

                 Area of Application. Survey area plus:

New Mexico:
    Chaves
    Eddy
    Grant
    Hidalgo
    Lincoln (Only White Sands Missile Range portion)
    Luna
    Sierra
    Socorro (Only White Sands Missile Range portion)
Texas:
    Culberson
    Hudspeth

                      Houston-Galveston-Texas City

                               Survey Area

Texas:
    Brazoria
    Fort Bend
    Galveston
    Harris
    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

[[Page 499]]

    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
Arkansas:
    Columbia
    Hempstead
    Howard
    Lafayette
    Nevada
    Sevier

                                  Waco

                               Survey Area

Texas:
    Bell
    Coryell
    McLennan

                 Area of Application. Survey area plus:

Texas:
    Anderson
    Bosque
    Brazos
    Burleson
    Falls
    Freestone
    Hamilton
    Hill
    Lampasas
    Leon
    Limestone
    Mills
    Robertson

                              Western Texas

                               Survey Area

Texas:
    Callahan
    Ector
    Howard
    Jones
    Lubbock
    Midland
    Nolan
    Taylor
    Tom Green

                 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

[[Page 500]]

    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

                                  Utah

                               Survey Area

Utah:
    Box Elder
    Davis
    Salt Lake
    Tooele
    Utah
    Weber

                 Area of Application. Survey area plus:

Utah:
    Beaver
    Cache
    Carbon
    Daggett
    Duchesne
    Emery
    Garfield (Does not include the Bryce Canyon, Capitol Reef, and 
Canyonlands National Parks portions)
    Grand (Does not include the Arches and Canyonlands National Parks 
portions)
    Iron (Does not include the Cedar Breaks National Monument and Zion 
National Park portions)
    Juab
    Millard
    Morgan
    Piute
    Rich
    Sevier
    Sanpete
    Summit
    Uintah
    Wasatch
    Wayne (Does not include the Capitol Reef and Canyonlands National 
Parks portions)

                                Virginia

                 Norfolk-Portsmouth-Newport News-Hampton

                               Survey Area

Virginia (cities):
    Chesapeake
    Hampton
    Newport News
    Norfolk
    Poquoson
    Portsmouth
    Suffolk

[[Page 501]]

    Virginia Beach
    Williamsburg
Virginia (counties):
    Gloucester
    James City
    York
North Carolina:
    Currituck

                 Area of Application. Survey area plus:

Virginia (city):
    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
Virginia (counties):
    Albemarle (Does not include the Shenandoah National Park portion)
    Amelia
    Brunswick
    Buckingham
    Caroline
    Charlotte
    Cumberland
    Essex
    Fluvanna
    Greene (Does not include the Shenandoah National Park portion)
    Greensville
    King and Queen
    King William
    Lancaster
    Louisa
    Lunenberg
    Mecklenburg
    Middlesex
    Nelson
    Northumberland
    Nottoway
    Orange
    Prince Edward
    Richmond
    Sussex
    Westmoreland

                                 Roanoke

                               Survey Area

Virginia (cities):
    Radford
    Roanoke
    Salem
Virginia (counties):
    Botetourt
    Craig
    Montgomery
    Roanoke

                 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 (Does not include the Shenandoah National Park portion)
    Bath
    Bedford
    Bland
    Campbell
    Carroll
    Floyd
    Franklin
    Giles
    Halifax
    Henry
    Highland
    Patrick
    Pittsylvania
    Pulaski
    Rockbridge
    Wythe

[[Page 502]]

                               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

Oregon:
    Umatilla
Washington:
    Benton
    Franklin
    Walla Walla
    Yakima

                 Area of Application. Survey area plus:

Oregon:
    Baker
    Grant
    Harney
    Malheur
    Morrow
    Union
    Wallowa
    Wheeler
Washington:
    Columbia
    Kittitas (Only includes the Yakima Firing Range portion)

                                 Spokane

                               Survey Area

Washington:
    Spokane

                 Area of Application. Survey area plus:

Idaho:
    Benewah
    Bonner
    Boundary
    Clearwater
    Idaho
    Kootenai
    Latah
    Lewis
    Nez Perce
    Shoshone
Washington:
    Adams
    Asotin
    Chelan (Does not include the North Cascades National Park portion)
    Douglas
    Ferry
    Garfield
    Grant
    Kittitas (Does not include the Yakima Firing Range portion)
    Lincoln
    Okanogan
    Pend Oreille
    Stevens
    Whitman

                              West Virginia

                               Survey Area

West Virginia:
    Cabell
    Harrison
    Kanawha
    Marion
    Monongalia
    Putnam
    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

[[Page 503]]

    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:
    Adams
    Columbia
    Dodge
    Grant
    Green
    Green Lake
    Iowa
    Jefferson
    Lafayette
    Marquette
    Rock
    Sauk
    Waushara

                                Milwaukee

                               Survey Area

Wisconsin:
    Milwaukee
    Ozaukee
    Washington
    Waukesha

                 Area of Application. Survey area plus:

Wisconsin:
    Brown
    Calumet
    Door
    Fond du Lac
    Kewaunee
    Manitowoc
    Oconto
    Outagamie
    Racine
    Sheboygan
    Walworth
    Winnebago

                         Southwestern Wisconsin

                               Survey Area

Wisconsin:
    Chippewa
    Eau Claire
    La Crosse
    Monroe
    Trempealeau

                 Area of Application. Survey area plus:

Minnesota:
    Houston
    Winona
Wisconsin:
    Barron
    Buffalo
    Clark
    Crawford
    Dunn
    Florence
    Forest
    Jackson
    Juneau
    Langlade
    Lincoln
    Marathon
    Marinette
    Menominee
    Oneida
    Pepin
    Portage
    Price
    Richland
    Rusk
    Shawano
    Taylor
    Vernon
    Vilas
    Waupaca
    Wood

                                 Wyoming

                               Survey Area

Wyoming:
    Albany

[[Page 504]]

    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, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.govinfo.gov.



Sec. 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 Areas and Wage Area Survey Areas

                                 ALABAMA
                                 Calhoun
 
                               Survey Area
Alabama:
  Calhoun
 
                 Area of Application. Survey area plus:
 
Alabama:
  Jefferson
 
                                 Madison
 
                               Survey Area
Alabama:
  Madison
 
                 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
 

[[Page 505]]

 
                 Area of Application. Survey area plus:
 
Arizona:
  Coconino
  Yavapai
 
                                  Pima
 
                               Survey Area
Arizona:
  Pima
 
                 Area of Application. Survey area plus:
 
Arizona:
  Cochise
 
                                  Yuma
 
                               Survey Area
Arizona:
  Yuma
 
                 Area of Application. Survey area plus:
 
California:
  Imperial
 
                                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.
                                Monterey
                               Survey Area
California:
  Monterey
                 Area of Application. Survey area plus:
California:
  San Mateo
  Santa Clara
                                 Orange
                               Survey Area
California:
  Orange
                    Area of Application. Survey area.
                                Riverside
                               Survey Area
California:
  Riverside
                    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
                                 Solano
                               Survey Area
California:
  Solano
                 Area of Application. Survey area plus:
California:
  Alameda
  Contra Costa
  Marin
  Napa
  San Francisco
  Sonoma
                                 Ventura
                               Survey Area
California:
  Ventura
                    Area of Application. Survey area.
 
                                COLORADO
                             Arapahoe-Denver
 
                               Survey Area
Colorado:

[[Page 506]]

 
  Arapahoe
  Denver
 
                 Area of Application. Survey area plus:
 
Colorado:
  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 plus:
 
Delaware:
  Sussex
 
Maryland:
  Kent
 
                          DISTRICT OF COLUMBIA
                             Washington, DC
 
                               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.
 
                                  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:
  Hillsborough
 
                 Area of Application. Survey area plus:
 
Florida:
  Lee
  Pinellas
  Polk
 
                               Miami-Dade
 
                               Survey Area
Florida:
  Miami-Dade
 
                 Area of Application. Survey area plus:
 
Florida:
  Broward
  Palm Beach
 
                                 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
 

[[Page 507]]

 
                 Area of Application. Survey area plus:
 
Georgia:
  Glynn
  Liberty
 
South Carolina:
  Beaufort
                                  Cobb
 
                               Survey Area
Georgia:
  Cobb
 
                 Area of Application. Survey area plus:
 
Georgia:
  Bartow
  De Kalb
  Fulton
 
                                Columbus
 
                               Survey Area
Georgia:
  Columbus
 
                 Area of Application. Survey area plus:
 
Georgia:
  Chattahoochee
 
                                Dougherty
 
                               Survey Area
Georgia:
  Dougherty
 
                    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 plus.
 
Florida:
  Leon
                                Richmond
 
                               Survey Area
Georgia:
  Richmond
 
                 Area of Application. Survey area plus:
 
South Carolina:
  Aiken
 
                                  GUAM
                                  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 Islands
  Johnston Atoll
  American Samoa
 
                                  IDAHO
                               Ada-Elmore
 
                               Survey Area
Idaho:
  Ada
  Elmore
 
                    Area of Application. Survey area.
 
                                ILLINOIS
                                  LAKE
 
                               Survey Area
Illinois:
  Lake
                    Area of Application. Survey area.
Illinois:
  Cook
  Rock Island
  Vermilion
Indiana:
  St. Joseph
Iowa:
  Johnson
Michigan:
  Dickinson
  Marquette
Wisconsin:
  Brown
  Dane
  Milwaukee
                                St. Clair
 
                               Survey Area
Illinois:
  St. Clair
 
                 Area of Application. Survey area plus:
Illinois:
  Madison
  Williamson
Indiana:
  Vanderburgh
Missouri: (city)
  St. Louis
Missouri: (counties)
  Jefferson

[[Page 508]]

 
  Pulaski
 
                                 KANSAS
                      Leaven-Worth-Jackson-Johnson
                               Survey Area
Kansas:
  Leavenworth
Missouri:
  Jackson
  Johnson
 
                    Area of Application. Survey area.
Kansas:
  Shawnee
Missouri:
  Boone
  Camden
  Cass
  Greene
                                Sedgwick
 
                               Survey Area
Kansas:
    Sedgwick
 
                    Area of Application. Survey area.
Kansas:
  Geary
  Saline
 
                                KENTUCKY
                          Christian-Montgomery
 
                               Survey Area
Kentucky:
  Christian
 
Tennessee:
  Montgomery
 
                    Area of Application. Survey area.
 
                            Hardin-Jefferson
 
Kentucky:
  Hardin
  Jefferson
 
                 Area of Application. Survey area plus:
 
Indiana:
  Jefferson
  Johnson
  Martin
 
Kentucky:
  Fayette
  Madison
  Warren
 
                                LOUISIANA
                              Bossier-Caddo
 
                               Survey Area
Louisiana: (parishes)
  Bossier
  Caddo
 
                 Area of Application. Survey area plus:
 
Texas:
  Bowie
                                 Orleans
 
                               Survey Area
Louisiana: (parish)
  Orleans
 
                 Area of Application. Survey area plus:
 
Louisiana: (parish)
  Plaquemines
 
                                 Rapides
 
                               Survey Area
Louisiana: (parish)
  Rapides
 
                 Area of Application. Survey area plus:
 
Louisiana: (parish)
  Vernon
 
                                  MAINE
                                  York
 
                               Survey Area
Maine:
  York
 
                 Area of Application. Survey area plus:
 
Maine:
  Cumberland
  Kennebec
  Penobscot
 
New Hampshire:
  Rockingham
 
Vermont:
  Windsor
 
                                MARYLAND
                              Anne Arundel
 
                               Survey Area
Maryland:
  Anne Arundel
 
                 Area of Application. Survey area plus:
 
Maryland: (city)
  Baltimore
 
Maryland: (county)
  Baltimore
 
                           Charles-St. Mary's
 
                               Survey Area
Maryland:
  Charles
  St. Mary's
 
                 Area of Application. Survey area plus:
 
Maryland:
  Calvert
 
Virginia:
  King George
 
                                Frederick
 
                               Survey Area
Maryland:
  Frederick
 
                 Area of Application. Survey area plus:
 
West Virginia:

[[Page 509]]

 
  Berkeley
 
                                 Harford
 
                               Survey Area
Maryland:
  Harford
 
                 Area of Application. Survey area plus:
 
Maryland:
  Cecil
 
                       Montgomery-Prince George's
 
                               Survey Area
Maryland:
  Montgomery
  Prince George's
 
                    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
  Kent
  Leelanau
  Ottawa
  Saginaw
  Washtenaw
  Wayne
Ohio:
  Cuyahoga
  Lucas
  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
  Hancock
  Jackson
 
                               Lauderdale
 
                               Survey Area
Mississippi:
  Lauderdale
 
                 Area of Application. Survey area plus:
 
Mississippi:
  Hinds
  Rankin
  Warren
 
                                 Lowndes
 
                               Survey Area
Mississippi:
  Lowndes
 
                 Area of Application. Survey area plus:
 
Alabama:
  Tuscaloosa
 
                                 MONTANA
                                 Cascade
 
                               Survey Area
Montana:
  Cascade
 
                 Area of Application. Survey area plus:
 
Montana:
  Fergus

[[Page 510]]

 
  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
  Cape May
  Monmouth
  Ocean
  Salem
Pennsylvania:
  Chester
  Montgomery
  Philadelphia
 
                                 Morris
 
                               Survey Area
New Jersey:
  Morris
 
                 Area of Application. Survey area plus:
 
New Jersey:
  Somerset
 
Pennsylvania:
  Luzerne
  Monroe
 
                               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:
  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
 

[[Page 511]]

 
                 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
Ohio:
  Trumbull
 
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
 
                               Cumberland
 
                               Survey Area
North Carolina:
  Cumberland
 
                 Area of Application. Survey area plus:
 
North Carolina:
  Durham
  Forsyth
  Rowan
 
                                 Onslow
 
                               Survey area
North Carolina:
  Onslow
 
    Area of Application. Survey area plus:
 
North Carolina:
  New Hanover
 
                                  Wayne
 
                               Survey area
North Carolina:
  Wayne
 
    Area of Application. Survey area plus:
 
North Carolina:
  Halifax
  Pitt
 
                              NORTH DAKOTA
                               Grand Forks
 
                               Survey Area
North Dakota:
  Grand Forks
 
                 Area of Application. Survey area plus:
 
North Dakota:
  Cass
  Cavalier
  Pembina
  Steele
 
                                  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
 

[[Page 512]]

 
                 Area of Application. Survey area plus:
 
Oklahoma:
  Cotton
  Jackson
 
                                Oklahoma
 
                               Survey Area
Oklahoma:
  Oklahoma
 
                 Area of Application. Survey area plus:
 
Oklahoma:
  Garfield
  Muskogee
  Pittsburg
  Tulsa
 
                              PENNSYLVANIA
                               Cumberland
 
                               Survey Area
Pennsylvania:
  Cumberland
 
                 Area of Application. Survey area plus:
 
Pennsylvania:
  Allegheny
  Blair
  Butler
  Franklin
 
                                  York
 
                               Survey Area
Pennsylvania:
  York
 
                 Area of Application. Survey area plus:
 
Pennsylvania:
  Lebanon
 
                               PUERTO RICO
                            Guaynabo-San Juan
 
                               Survey Area
Puerto Rico:
  Guaynabo
  San Juan
 
                    Area of Application. Survey area.
Puerto Rico:
  Aguadilla
  Bayamon
  Mayaguez
  Ponce
  Salinas
 
                              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
 
                                Richland
 
                               Survey Area
South Carolina:
  Richland
 
                 Area of Application. Survey area plus:
 
North Carolina:
  Buncombe
  Mecklenburg
 
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:
 
Missouri:
  Butler
 
                                  TEXAS
                                  Bell
 
                               Survey Area
Texas:
  Bell
 
                 Area of Application. Survey area plus:
 
Texas:
  Burnet
  Coryell
  Falls
 

[[Page 513]]

 
                                  Bexar
 
                               Survey Area
Texas:
  Bexar
 
                 Area of Application. Survey area plus:
 
Texas:
  Comal
  Kerr
  Travis
  Val Verde
 
                                 Dallas
 
                               Survey Area
Texas:
  Dallas
 
                 Area of Application. Survey area plus:
 
Texas:
  Angelina
  Fannin
  Galveston
  Harris
 
                                 El Paso
 
                               Survey Area
Texas:
  El Paso
 
                    Area of Application. Survey area.
 
                                McLennan
 
                               Survey Area
Texas:
  McLennan
 
                    Area of Application. Survey area.
 
                                 Nueces
 
                               Survey Area
Texas:
  Nueces
 
                 Area of Application. Survey area plus:
 
Texas:
  Bee
  Calhoun
  Cameron
  Kleberg
  San Patricio
  Webb
 
                                 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 (city):
  Alexandria
 
Virginia (counties):
  Arlington
  Fairfax
 
                    Area of Application. Survey area.
 
                          Chesterfield-Richmond
 
                               Survey Area
Virginia: (city)
  Richmond
 
Virginia: (county)
  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)

[[Page 514]]

 
  Hampton
  Newport News
 
                 Area of Application. Survey area plus:
 
Virginia: (city)
  Williamsburg
 
Virginia: (county)
  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
West Virginia:
  Harrison
 
                               WASHINGTON
                                 Kitsap
 
                               Survey Area
Washington:
  Kitsap
 
                 Area of Application. Survey area plus:
 
Washington:
  Clallam
  Jefferson
 
                                 Pierce
 
                               Survey Area
 
Washington:
  Pierce
                 Area of Application. Survey area plus:
 
Oregon:
  Clatsop
  Coos
  Douglas
  Lane
  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.
 


[75 FR 49351, Aug. 13, 2010, as amended at 76 FR 9640, Feb. 22, 2011; 76 
FR 31786, June 2, 2011; 76 FR 53046, Aug. 25, 2011; 77 FR 28472, May 15, 
2012; 78 FR 29612, May 21, 2013; 78 FR 60181, 60182, Oct. 1, 2013; 82 FR 
40669, Aug. 28, 2017; 82 FR 41321, Aug. 31, 2017; 84 FR 49942, Sept. 24, 
2019; 85 FR 19377, Apr. 7, 2020]



      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

[[Page 515]]

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 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

[[Page 516]]

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
    (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, the lead agency must use the 
private sector industries in the following North American Industry 
Classification System (NAICS) codes when it makes its wage schedule 
determinations for each specialized Federal industry:

[[Page 517]]



------------------------------------------------------------------------
       2017 NAICS codes                2017 NAICS industry titles
------------------------------------------------------------------------
                      Aircraft Specialized Industry
------------------------------------------------------------------------
332912.......................  Fluid power valve and hose fitting
                                manufacturing.
336411.......................  Aircraft manufacturing.
336412.......................  Aircraft engine and engine parts
                                manufacturing.
336413.......................  Other aircraft part and auxiliary
                                equipment manufacturing.
336415.......................  Guided missile and space vehicle
                                propulsion unit and propulsion unit
                                parts manufacturing.
336419.......................  Other guided missile and space vehicle
                                parts and auxiliary equipment
                                manufacturing.
4811.........................  Scheduled air transportation.
4812.........................  Nonscheduled air transportation.
4879.........................  Scenic and sightseeing transportation,
                                other.
4881.........................  Support activities for air
                                transportation.
4921.........................  Couriers and express delivery services.
541713.......................  Research and development in
                                nanotechnology.
541715.......................  Research and development in the physical,
                                engineering, and life sciences (except
                                nanotechnology and biotechnology).
56172........................  Janitorial services.
62191........................  Ambulance services.
81142........................  Reupholstery and furniture repair.
------------------------------------------------------------------------
                     Ammunition Specialized Industry
------------------------------------------------------------------------
32592........................  Explosives manufacturing.
332992.......................  Small arms ammunition manufacturing.
332993.......................  Ammunition (except small arms)
                                manufacturing.
------------------------------------------------------------------------
           Artillery and Combat Vehicles Specialized Industry
------------------------------------------------------------------------
2211.........................  Electric power generation, transmission,
                                and distribution.
2212.........................  Natural gas distribution.
32732........................  Ready-mix concrete manufacturing.
332216.......................  Saw blade and hand tool manufacturing.
332323.......................  Ornamental and architectural metal work
                                manufacturing.
332439.......................  Other metal container manufacturing.
332994.......................  Small arms, ordnance, and ordnance
                                accessories manufacturing.
332999.......................  All other miscellaneous fabricated metal
                                product manufacturing.
33311........................  Agricultural implement manufacturing.
33312........................  Construction machinery manufacturing.
333611.......................  Turbine and turbine generator set units
                                manufacturing.
333618.......................  Other engine equipment manufacturing.
333922.......................  Conveyor and conveying equipment
                                manufacturing.
333923.......................  Overhead traveling crane, hoist, and
                                monorail system manufacturing.
333924.......................  Industrial truck, tractor, trailer, and
                                stacker machinery manufacturing.
3361.........................  Motor vehicle manufacturing.
336211.......................  Motor vehicle body manufacturing.
336212.......................  Truck trailer manufacturing.
33631........................  Motor vehicle gasoline engine and engine
                                parts manufacturing.
33632........................  Motor vehicle electrical and electronic
                                equipment manufacturing.
33633........................  Motor vehicle steering and suspension
                                components (except spring)
                                manufacturing.
33634........................  Motor vehicle brake system manufacturing.
33635........................  Motor vehicle transmission and power
                                train parts manufacturing.
33639........................  Other motor vehicle parts manufacturing.
33651........................  Railroad rolling stock manufacturing.
336992.......................  Military armored vehicle, tank, and tank
                                component manufacturing.
4231.........................  Motor vehicle and motor vehicle parts and
                                supplies merchant wholesalers.
42381........................  Construction and mining (except oil well)
                                machinery and equipment merchant
                                wholesalers.
42382........................  Farm and garden machinery and equipment
                                merchant wholesalers.
4413.........................  Automotive parts, accessories, and tire
                                stores.
44421........................  Outdoor power equipment stores.
484..........................  Truck transportation.
4862.........................  Pipeline transportation of natural gas.
492..........................  Couriers and messengers.
5173.........................  Wired and wireless telecommunications
                                carriers.
517911.......................  Telecommunications resellers.
5621.........................  Waste collection.
------------------------------------------------------------------------
                   Communications Specialized Industry
------------------------------------------------------------------------
33422........................  Radio and television broadcasting and
                                wireless communications equipment
                                manufacturing.
33429........................  Other communications equipment
                                manufacturing.
334511.......................  Search, detection, navigation, guidance,
                                aeronautical and nautical system and
                                instrument manufacturing.
334514.......................  Totalizing fluid meter and counting
                                device manufacturing.
334515.......................  Instrument manufacturing for measuring
                                and testing electricity and electrical
                                signals.

[[Page 518]]

 
335311.......................  Power, distribution, and specialty
                                transformer manufacturing.
48531........................  Taxi service.
5151.........................  Radio and television broadcasting.
5152.........................  Cable and other subscription programming.
5173.........................  Wired and wireless telecommunications
                                carriers.
5174.........................  Satellite telecommunications.
517911.......................  Telecommunications resellers.
------------------------------------------------------------------------
                    Electronics Specialized Industry
------------------------------------------------------------------------
333316.......................  Photographic and photocopying equipment
                                manufacturing.
3341.........................  Computer and peripheral equipment
                                manufacturing.
33422........................  Radio and television broadcasting and
                                wireless communications equipment
                                manufacturing.
33429........................  Other communications equipment
                                manufacturing.
33431........................  Audio and video equipment manufacturing.
334412.......................  Bare printed circuit board manufacturing.
334413.......................  Semiconductor and related device
                                manufacturing.
334416.......................  Electronic coil, transformer, and other
                                inductor manufacturing.
334417.......................  Electronic connector manufacturing.
334418.......................  Printed circuit assembly (electronic
                                assembly) manufacturing.
334419.......................  Other electronic component manufacturing.
334511.......................  Search, detection, navigation, guidance,
                                aeronautical and nautical system and
                                instrument manufacturing.
334515.......................  Instrument manufacturing for measuring
                                and testing electricity and electrical
                                signals.
334613.......................  Blank magnetic and optical recording
                                media manufacturing.
42342........................  Office equipment merchant wholesalers.
42343........................  Computer and computer peripheral
                                equipment and software merchant
                                wholesalers.
------------------------------------------------------------------------
                  Guided Missiles Specialized Industry
------------------------------------------------------------------------
332912.......................  Fluid power valve and hose fitting
                                manufacturing.
333316.......................  Photographic and photocopying equipment
                                manufacturing.
3341.........................  Computer and peripheral equipment
                                manufacturing.
33422........................  Radio and television broadcasting and
                                wireless communications equipment
                                manufacturing.
33429........................  Other communications equipment
                                manufacturing.
334418.......................  Printed circuit assembly (electronic
                                assembly) manufacturing.
334511.......................  Search, detection, navigation, guidance,
                                aeronautical and nautical system and
                                instrument manufacturing.
334515.......................  Instrument manufacturing for measuring
                                and testing electricity and electrical
                                signals.
334613.......................  Blank magnetic and optical recording
                                media manufacturing.
3364.........................  Aerospace product and parts
                                manufacturing.
54131........................  Architectural services.
54133........................  Engineering services.
54136........................  Geophysical surveying and mapping
                                services.
54137........................  Surveying and mapping (except
                                geophysical) services.
541713.......................  Research and development in
                                nanotechnology.
541715.......................  Research and development in the physical,
                                engineering, and life sciences (except
                                nanotechnology and biotechnology).
------------------------------------------------------------------------
                Heavy Duty Equipment Specialized Industry
------------------------------------------------------------------------
332439.......................  Other metal container manufacturing.
332999.......................  All other miscellaneous fabricated metal
                                product manufacturing.
33312........................  Construction machinery manufacturing.
333923.......................  Overhead traveling crane, hoist, and
                                monorail system manufacturing.
333924.......................  Industrial truck, tractor, trailer, and
                                stacker machinery manufacturing.
33651........................  Railroad rolling stock manufacturing.
42381........................  Construction and mining (except oil well)
                                machinery and equipment merchant
                                wholesalers.
------------------------------------------------------------------------
                    Shipbuilding Specialized Industry
------------------------------------------------------------------------
336611.......................  Ship building and repairing.
48839........................  Other support activities for water
                                transportation.
------------------------------------------------------------------------
        Sighting and Fire Control Equipment Specialized Industry
------------------------------------------------------------------------
333314.......................  Optical instrument and lens
                                manufacturing.
333316.......................  Photographic and photocopying equipment
                                manufacturing.
3341.........................  Computer and peripheral equipment
                                manufacturing.
33422........................  Radio and television broadcasting and
                                wireless communications equipment
                                manufacturing.
33429........................  Other communications equipment
                                manufacturing.
334418.......................  Printed circuit assembly (electronic
                                assembly) manufacturing.
334511.......................  Search, detection, navigation, guidance,
                                aeronautical and nautical system and
                                instrument manufacturing.
334515.......................  Instrument manufacturing for measuring
                                and testing electricity and electrical
                                signals.

[[Page 519]]

 
334613.......................  Black magnetic and optical recording
                                media manufacturing.
------------------------------------------------------------------------
                     Small Arms Specialized Industry
------------------------------------------------------------------------
332994.......................  Small arms manufacturing.
------------------------------------------------------------------------

    (b) For wage surveys involving the specialized Federal industry 
``Artillery and Combat Vehicles'' in paragraph (a) of this section, the 
lead agency must limit special job coverage for industries in NAICS 
codes 2211, 2212, 32732, 484, 4862, 5621, 492, 5171, 5172, and 5173 to 
automotive mechanic, diesel engine mechanic, and heavy mobile equipment 
mechanic.
    (c) For nonappropriated fund wage surveys, the lead agency must use 
NAICS codes 71111, 7221, 7222, 72231, 72232, and 7224 (eating and 
drinking places) when it determines a wage schedule for a specialized 
industry.

[71 FR 35375, June 20, 2006, as amended at 73 FR 45853, Aug. 7, 2008; 78 
FR 58154, Sept. 23, 2013; 79 FR 21121, Apr. 15, 2014; 84 FR 36814, July 
30, 2019]



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

[[Page 520]]

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.
    (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

[[Page 521]]

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;
    (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

[[Page 522]]

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.



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 536.301(a)(8).

[46 FR 21344, Apr. 10, 1981, as amended at 60 FR 62701, Dec. 7, 1995; 70 
FR 31305, May 31, 2005]



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

[[Page 523]]

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 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

[[Page 524]]

    (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.
    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;

[[Page 525]]

    (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 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

[[Page 526]]

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.
    (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 a period of 
service of up to 8 hours 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.

[76 FR 52539, Aug. 23, 2011]



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

[[Page 527]]

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 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]



  Sec. 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;

[[Page 528]]

 
              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.
         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)

[[Page 529]]

 
              --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.
         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

[[Page 530]]

 
         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.
------------------------------------------------------------------------


            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.

[[Page 531]]

 
              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
          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

[[Page 532]]

 
          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
          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

[[Page 533]]

 
              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
              --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      Nov. 24, 2003.
               airborne concentrations of asbestos
               fibers may expose employees to potential
               illness or injury. This differential will
               be determined by applying occupational
               safety and health standards consistent
               with the permissible exposure limit
               promulgated by the Secretary of Labor
               under the Occupational Safety and Health
               Act of 1970 as published in title 29,
               Code of Federal Regulations, Sec.  Sec.
               1910.1001 or 1926.1101. Regulatory
               changes in Sec.  Sec.   1910.1001 or
               1926.1101 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.
          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 534]]

                                Exhibit 1
[GRAPHIC] [TIFF OMITTED] TC01SE91.000


[[Page 535]]



                   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, as amended at 58 FR 32274, June 9, 1993; 64 FR 15916, 
Apr. 2, 1999; 70 FR 21613, Apr. 27, 2005; 71 FR 8922, Feb. 22, 2006]



                      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

[[Page 536]]

minimum, shall provide that the following requisites be met.
    (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 537]]

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 the 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 
considered by the Office;

[[Page 538]]

    (2) There is room for reasonable doubt as to the appropriateness of 
the decision; or
    (3) The potential impact of a decision on similar jobs is 
sufficiently significant to make further 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; 71 
FR 37490, June 30, 2006]



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.
    (e) The unrestricted rates authorized under this subpart shall be 
shown on

[[Page 539]]

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 Purpose.
534.402 Definitions.
534.403 SES rate range.
534.404 Setting and adjusting pay for senior executives.
534.405 Performance awards.
534.406 Conversion to the SES pay system.
534.407 Pay computation and aggregate compensation.
534.408 Restrictions on premium pay and compensatory time.

 Subpart E_Pay for Senior-Level and Scientific or Professional Positions

534.501 Purpose.
534.502 Coverage.
534.503 Definitions.
534.504 Pay range.
534.505 Written procedures.
534.506 Setting a rate of basic pay upon appointment.
534.507 Annual increases in basic pay.
534.508 Reductions in a rate of basic pay.
534.509 Preservation of an established rate of basic pay.
534.510 Off-cycle pay increases.
534.511 Exemption from performance appraisal requirements.

        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, 
5382, 5383, 5384, 5385, 5541, 5550a, sec. 1125 of the National Defense 
Authorization Act for FY 2004, Pub. L. 108-136, 117 Stat. 1638 (5 U.S.C. 
5304, 5382, 5383, 7302; 18 U.S.C. 207); and sec. 2 of Pub. L. 110-372, 
122 Stat. 4043 (5 U.S.C. 5304, 5307, 5376).

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

[[Page 540]]

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 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.

[[Page 541]]



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 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.

    Rates of basic pay for executive level positions of temporary 
organizations may not exceed the rate for level III of the Executive 
Schedule.

[69 FR 70362, Dec. 6, 2004]



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 rate 
for level III of the Executive Schedule.

[67 FR 3582, Jan. 25, 2002, as amended at 67 FR 63050, Oct. 10, 2002; 69 
FR 70362, Dec. 6, 2004]



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.

[[Page 542]]



 Subpart D_Pay and Performance Awards Under the Senior Executive Service

    Source: 54 FR 2987, Jan. 23, 1989, unless otherwise noted.



Sec.  534.401  Purpose.

    This subpart contains the rules for setting and adjusting rates of 
basic pay and granting performance awards for members of the Senior 
Executive Service (SES), as provided by 5 U.S.C. 5382, 5383, and 5384. 
An agency must set and adjust the rate of basic pay for an SES member on 
the basis of the employee's performance and/or contribution to the 
agency's performance, as determined by the agency through the 
administration of its performance management system(s) for senior 
executives. These regulations must be read in combination with 
applicable statutes and with the regulations for the approval of an SES 
performance management system under 5 CFR part 430, subpart C, and 
certification of an SES performance appraisal system under 5 CFR part 
430, subpart D.

[69 FR 70362, Dec. 6, 2004]



Sec.  534.402  Definitions.

    In this subpart--
    Agency means an executive agency or military department, as defined 
by 5 U.S.C. 105 and 102.
    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. The agency's Inspector General is the authorized 
agency official for senior executive positions in the Office of the 
Inspector General, consistent with the requirements in section 3(a) of 
the Inspector General Act of 1978.
    Outstanding performance means performance that substantially exceeds 
the normally high performance expected of any senior executive, as 
evidenced by exceptional accomplishments or contributions to the 
agency's performance.
    Performance expectations means the critical and other performance 
elements and performance requirements that constitute the senior 
executive performance plans (as defined in Sec.  430.303).
    PRB means Performance Review Board, as described in Sec.  430.310.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the senior executive, within the established 
SES rate range or, in the case of a senior executive entitled to pay 
retention, the employee's retained rate of pay, excluding any applicable 
locality-based comparability payments under 5 U.S.C. 5304, but before 
any deductions and exclusive of additional pay of any other kind.
    Relative performance means the performance of a senior executive 
with respect to the performance of other senior executives, including 
their contribution to agency performance, where appropriate, as 
determined by the application of a certified performance appraisal 
system under 5 CFR part 430, subpart D.
    Senior executive means a member of the Senior Executive Service 
(SES) paid under 5 U.S.C. 5383.
    SES rate means a rate of basic pay within the SES rate range 
assigned to a member of the SES under Sec.  534.403(a).
    SES rate range means the range of rates of basic pay established for 
the SES under 5 U.S.C. 5382 and Sec.  534.403(a).

[69 FR 70362, Dec. 6, 2004]



Sec.  534.403  SES rate range.

    (a) SES rate range. (1) On the first day of the first applicable pay 
period beginning on or after January 1, 2004, the minimum rate of basic 
pay of the SES rate range is set at an amount equal to the minimum rate 
of basic pay under 5 U.S.C. 5376 for senior-level positions (excluding 
any locality-based comparability payment under 5 U.S.C. 5304). The 
minimum rate of basic pay for the SES rate range will increase 
consistent with any increase in the minimum rate of basic pay for 
senior-level positions under 5 U.S.C. 5376. An SES member may not 
receive less than the minimum rate of the SES rate range. Except as 
provided in paragraph (a)(2) of this section, the maximum rate of basic 
pay of the SES rate range is set at the rate for level III of the 
Executive Schedule. An SES member's rate of basic pay must be set at one 
of the rates within the SES rate range

[[Page 543]]

based on the senior executive's performance and/or contribution to the 
agency's performance.
    (2) The maximum rate of basic pay of the SES rate range is set at 
the rate for level II of the Executive Schedule for senior executives in 
an agency who are covered by a performance appraisal system that makes 
meaningful distinctions based on relative performance, as certified by 
the Office of Personnel Management (OPM), with concurrence by the Office 
of Management and Budget (OMB), under 5 U.S.C. 5307(d) and 5 CFR part 
430, subpart D. A senior executive's rate of basic pay may not exceed 
the maximum rate of the applicable SES rate range, except as provided in 
Sec.  534.404(h)(2). The applicable maximum rate of basic pay for the 
SES rate range will increase with any increase in the rate for levels II 
or III of the Executive Schedule under 5 U.S.C. 5318.
    (3) Rates of basic pay higher than the rate for level III of the 
Executive Schedule but less than or equal to the rate for level II of 
the Executive Schedule generally are reserved for those senior 
executives who have demonstrated the highest levels of individual 
performance and/or made the greatest contributions to the agency's 
performance, as determined by the agency through the administration of 
its performance appraisal system for senior executives, or, in the case 
of newly-appointed senior executives, those who possess superior 
leadership or other competencies, consistent with the agency's strategic 
human capital plan.
    (b) Suspension of certification of performance appraisal system. A 
senior executive whose rate of basic pay is higher than the rate for 
level III of the Executive Schedule may not suffer a reduction in pay 
because his or her agency's applicable performance appraisal system 
certification is suspended under 5 CFR 430.405(h). The senior executive 
will continue to receive his or her current SES rate and is not eligible 
for a pay adjustment until the senior executive is assigned to a 
position that would allow the employee to receive a pay adjustment or 
until certification of the employing agency's applicable performance 
appraisal system is reinstated under 5 CFR part 430, subpart D. The SES 
rate of pay is not considered a retained rate of pay for the purpose of 
applying 5 U.S.C. 3594 and 5 CFR part 359, subpart G, or 5 U.S.C. 5363 
and 5 CFR part 536, subpart C.

[69 FR 70362, Dec. 6, 2004, as amended at 70 FR 31305, May 31, 2005]



Sec.  534.404  Setting and adjusting pay for senior executives.

    (a) Setting pay upon initial appointment to the SES. An authorized 
agency official may set the rate of basic pay of an individual at any 
rate within the SES rate range upon initial appointment to the SES, 
subject to the limitation on the maximum rate of basic pay in Sec.  
534.403(a). Rates of basic pay above the rate for level III of the 
Executive Schedule but less than or equal to the rate for level II of 
the Executive Schedule generally are reserved for those newly appointed 
senior executives who possess superior leadership or other competencies, 
as determined by the agency as part of its strategic human capital plan. 
In setting a new senior executive's rate of basic pay, an agency must 
consider the nature and quality of the individual's experience, 
qualifications, and accomplishments as they relate to the requirements 
of the SES position, as well as the individual's current 
responsibilities.
    (b) Adjusting the pay of SES members. (1) An authorized agency 
official may adjust (increase or reduce) the rate of basic pay of a 
senior executive consistent with the agency's plan for setting and 
adjusting SES rates of basic pay under paragraph (g) of this section.
    (2) A senior executive who receives an annual summary rating of 
outstanding performance must be considered for an annual pay increase, 
subject to the limitation on the maximum rate of basic pay in Sec.  
534.403(a).
    (3) An agency may provide a pay increase to allow a senior executive 
to advance his or her relative position within the SES rate range only 
upon a determination by the authorized agency official that the senior 
executive's individual performance and/or contributions to agency 
performance so warrant. In assessing a senior executive's performance 
and/or contribution

[[Page 544]]

to the agency's performance, the authorized agency official may consider 
such things as unique skills, qualifications, or competencies that the 
individual possesses, and their significance to the agency's 
performance, as well as the senior executive's current responsibilities. 
Senior executives who demonstrate the highest levels of individual 
performance and/or make the greatest contributions to the agency's 
performance, as determined by the agency through the administration of 
its performance appraisal system, or, in the case of newly-appointed 
senior executives, those who possess superior leadership or other 
competencies, as determined by the agency as part of its strategic human 
capital plan, must receive the highest rates of basic pay or pay 
adjustments.
    (4)(i) On the effective date of an increase in the minimum or 
maximum rate of basic pay of the SES rate range under Sec.  
534.403(a)(1) or (2), an authorized agency official may increase the 
rate of basic pay of a senior executive who meets or exceeds his or her 
performance expectations by an amount that does not exceed the amount 
necessary to maintain the senior executive's relative position in the 
SES rate range, except as provided in paragraph (b)(4)(ii) and 
(b)(4)(iii) of this section. A pay increase made under this paragraph is 
not considered a pay adjustment for the purpose of applying Sec.  
534.404(c).
    (ii) A pay increase under paragraph (b)(4)(i) of this section may 
not be provided to a senior executive whose rate of basic pay is at or 
below the rate for level III of the Executive Schedule if such an 
increase would cause the senior executive's rate of basic pay to exceed 
the rate for level III of the Executive Schedule unless the senior 
executive has received an annual summary rating of outstanding for the 
most recently completed appraisal period and the agency head or designee 
who performs the functions described in 5 CFR 430.404(a)(5) or (6) 
(including the Inspector General, where applicable) has approved the 
increase in pay.
    (iii) A pay increase under paragraph (b)(4)(i) of this section may 
not be provided to a senior executive whose rate of basic pay is above 
the rate for level III of the Executive Schedule unless the senior 
executive has received an annual summary rating of outstanding for the 
most recently completed appraisal period and the agency head or designee 
who performs the functions described in 5 CFR 430.404(a)(5) or (6) 
(including the Inspector General, where applicable) has approved the 
increase in pay. However, in the case of a senior executive whose rate 
of basic pay is above the rate for level III of the Executive Schedule 
and who has been rated below outstanding, but above fully successful, 
for the most recently completed appraisal period, the agency head or 
designee who performs the functions described in 5 CFR 430.404(a)(5) or 
(6) (including the Inspector General, where applicable) may approve such 
a pay increase in limited circumstances, such as for an exceptionally 
meritorious accomplishment.
    (5) A senior executive who receives a summary rating of less than 
fully successful may not receive an increase in pay for the current 
appraisal period.
    (6) An authorized agency official may reduce the rate of basic pay 
of a senior executive for performance and/or disciplinary reasons, 
consistent with the restrictions on reducing the rate of basic pay of a 
career senior executive in paragraph (j) of this section and in Sec.  
534.406(b).
    (c) 12-month rule. (1) An authorized agency official may adjust 
(i.e., increase or reduce) the rate of basic pay of a senior executive 
not more than once during any 12-month period. However, an agency may 
make a determination to provide an additional pay increase under certain 
conditions as prescribed in paragraph (c)(3) and (4) of this section 
without regard to whether the senior executive has received a pay 
adjustment during the previous 12-month period.
    (2) The following pay actions are considered pay adjustments for the 
purpose of applying this paragraph:
    (i) The setting of an individual's rate of basic pay upon initial 
appointment or reappointment to the SES under paragraphs (a) and (i)(1) 
of this section and upon reinstatement to the SES under paragraph 
(i)(2)(ii) of this section; and

[[Page 545]]

    (ii) Any adjustment (increase or reduction) in an SES rate of basic 
pay granted to a senior executive, except as provided in paragraph 
(c)(3) of this section.
    (3) The following pay actions are not considered pay adjustments for 
the purpose of applying this paragraph:
    (i) The conversion of senior executives to the new SES pay system 
under Sec.  534.406 and the conversion of other employees to equivalent 
senior executive positions;
    (ii) A determination by an authorized agency official to make a zero 
adjustment in pay after reviewing a senior executive's annual summary 
rating;
    (iii) A zero adjustment in pay made during the 12-month period 
preceding the first day of the first applicable pay period beginning on 
or after January 1, 2004, caused by the former limitation on basic pay 
plus locality-based comparability payments under 5 U.S.C. 5304(g)(2) for 
a senior executive who was granted an increase in his or her rate of 
basic pay that did not result in an actual increase in pay;
    (iv) A determination to provide an additional pay increase under 
paragraph (f) of this section when there is an increase in Executive 
Schedule rates of pay;
    (v) [Reserved]
    (vi) A determination to provide a pay increase under paragraph 
(b)(4) of this section to allow a senior executive to maintain his or 
her relative position in the SES rate range; and
    (vii) An increase in pay equivalent to the minimum amount necessary 
to ensure that a senior executive's rate of basic pay does not fall 
below the minimum rate of the SES rate range.
    (4) An authorized agency official may approve increases in a senior 
executive's rate of basic pay more than once during a 12-month period if 
the agency head or designee who performs the functions described in 5 
CFR 430.404(a)(5) or (6) (including the Inspector General, where 
applicable) determines that--
    (i) The senior executive's exceptionally meritorious accomplishment 
significantly contributes to the agency's performance;
    (ii) A pay increase is necessary to reassign a senior executive to a 
position with substantially greater scope and responsibility or to 
recruit a senior executive with superior leadership or other 
competencies from a position in another agency;
    (iii) The retention of the senior executive is critical to the 
mission of the agency and the senior executive would be likely to leave 
the agency in the absence of a pay increase; or
    (iv) Such action conforms to an otherwise applicable executive 
appraisal and pay adjustment cycle (e.g., in the case of a senior 
executive who was appointed to an SES position within the past 12 months 
or a senior executive who was transferred to an SES position from an 
agency with a different senior executive appraisal and pay adjustment 
cycle within the past 12 months).
    (5) An authorized agency official must provide written documentation 
approving an exception under paragraph (c)(4) of this section. Any pay 
adjustment made as a result of a determination under paragraph (c)(4) of 
this section is considered a pay adjustment for the purpose of applying 
Sec.  534.404(c) and begins a new 12-month period.
    (d) Adjustments in pay prior to certification of applicable 
performance appraisal system. An authorized agency official may adjust a 
senior executive's rate of basic pay converted under Sec.  534.406 on 
the first day of the first applicable pay period beginning on or after 
January 1, 2004, or on any date thereafter prior to obtaining 
certification under 5 CFR part 430, subpart D, but only up to the rate 
for level III of the Executive Schedule. The authorized agency official 
may provide an increase in pay if warranted under the conditions 
prescribed in paragraph (b) of this section and the senior executive is 
otherwise eligible for such an increase (i.e., he or she did not receive 
a pay adjustment under Sec.  534.404(c) during the previous 12-month 
period). An adjustment in pay made under this paragraph is considered a 
pay adjustment for the purpose of applying Sec.  534.404(c).
    (e) Adjustments in pay after certification of applicable performance 
appraisal system. (1) In the case of an agency that obtains 
certification of a performance appraisal system for senior executives 
under 5 CFR part 430,

[[Page 546]]

subpart D, an authorized agency official may increase a covered senior 
executive's rate of basic pay up to the rate for level II of the 
Executive Schedule, consistent with the limitations in Sec.  
534.403(a)(3). The authorized agency official may provide an increase in 
pay if warranted under the conditions prescribed in paragraph (b) of 
this section and if the senior executive is otherwise eligible for such 
an increase (i.e., he or she did not receive a pay adjustment under 
Sec.  534.404(c) during the previous 12-month period). An adjustment in 
pay made under this paragraph is considered a pay adjustment for the 
purpose of applying Sec.  534.404(c).
    (2) [Reserved]
    (f) Effect of increase in Executive Schedule rates of pay. (1) If 
there is an additional increase in the rates for the Executive Schedule 
in a calendar year, and if that increase becomes effective on the first 
day of the first pay period beginning on or after January 1 (i.e., the 
date prescribed in 5 U.S.C. 5318), an agency may review any previous 
determination to adjust the pay of a senior executive that was made 
effective on or after the effective date of the first increase in the 
rates for the Executive Schedule to determine whether, and to what 
extent, an additional pay increase may be warranted for senior 
executives based on the same criteria used for the previous 
determination. If the agency determines that an additional pay increase 
is warranted, that increase must be made effective as of the effective 
date of the previous pay increase and is not considered a pay adjustment 
for the purpose of applying Sec.  534.404(c).
    (2) If there is an increase in the rates of pay for the Executive 
Schedule under 5 U.S.C. 5318 after an agency has already granted pay 
increases to its senior executives following the applicable performance 
appraisal period, an agency may review any previous determination to 
increase the pay of a senior executive whose rate of basic pay is 
equivalent to the rate for level II (if covered under a performance 
appraisal system that is certified) or level III (if covered under a 
performance appraisal system that is not certified) when the applicable 
maximum rate is increased to determine whether, and to what extent, an 
additional pay increase may be warranted for the senior executive based 
on the same criteria used for the previous determination. The 
determination to provide an additional pay increase must be approved and 
made effective as of the effective date of increases in the Executive 
Schedule under 5 U.S.C. 5318 (i.e., the first day of the first pay 
period beginning on or after January 1). An additional pay increase 
under this paragraph is not considered a pay adjustment for the purpose 
of applying Sec.  534.404(c).
    (g) Agency plan for setting and adjusting SES rate of basic pay. 
Each agency must establish a plan for setting and adjusting the rates of 
basic pay for SES members. Agencies must provide for transparency in the 
processes for making pay decisions, while assuring confidentiality. In 
developing its plan for setting and adjusting SES rates, an agency may 
consider the senior executive's broad scope of authority and level of 
responsibility and his or her personal accountability for the success 
(or failure) of an agency's programs. The agency's plan must require 
that any decisions to adjust pay must reflect meaningful distinctions 
among senior executives based on individual performance and/or 
contribution to agency performance and must include--
    (1) The criteria that will be used to set and adjust a senior 
executive's rate of basic pay to ensure that individual pay rates or pay 
adjustments, as well as their overall distribution within the SES rate 
range, reflect meaningful distinctions within a single performance 
rating level (e.g., the higher the employee's relative performance 
within a rating level, the higher the pay adjustment) and/or between 
performance rating levels (e.g., the higher the rating level, the higher 
the pay adjustment);
    (2) The criteria that will be used to set and adjust a senior 
executive's rate of basic pay at a rate that exceeds the rate for level 
III of the Executive Schedule if the applicable agency performance 
appraisal system has been certified under 5 CFR part 430, subpart D;
    (3) The designation of the authorized agency official who has 
authority to set and adjust SES rates of pay for individual senior 
executives, subject to

[[Page 547]]

the requirement that the agency head or designee who performs the 
functions described in 5 CFR 430.404(a)(5) and (6) (including the 
Inspector General, where applicable) must approve any determination to 
set a senior executive's rate of basic pay higher than the rate for 
level III of the Executive Schedule and must approve any determination 
to increase a senior executive's rate of basic pay more than once in any 
12-month period; and
    (4) The administrative and management controls that will be applied 
to ensure compliance with applicable statutes, OPM's regulations, the 
agency's plan, and, where applicable, the certification requirements set 
forth in 5 CFR 430, subpart D, and the limitation on the maximum rate of 
basic pay in Sec.  534.403(a).
    (h) Setting pay upon transfer. (1) An authorized agency official may 
set the pay of a senior executive transferring from another agency at 
any rate within the SES rate range, subject to the limitation on the 
maximum rate of basic pay in Sec.  534.403(a) and the restrictions on 
reducing the pay of career senior executives in paragraph (h)(2) of this 
section (upon transfer to an agency whose applicable performance 
appraisal system is not certified) and in Sec.  534.406(b) (for 12 
months following the effective date of the new SES pay system). If pay 
is set at the same SES rate the senior executive received in his or her 
former agency, the action is not considered a pay adjustment for the 
purpose of applying Sec.  534.404(c).
    (2) A senior executive whose rate of basic pay is higher than the 
rate for level III of the Executive Schedule may not suffer a reduction 
in pay as a result of transferring to an agency where the maximum rate 
of basic pay for the applicable SES rate range is equal to the rate for 
level III of the Executive Schedule. The senior executive will continue 
to receive his or her current SES rate and is not eligible for a pay 
adjustment until the senior executive is assigned to a position that 
would allow the employee to receive a pay adjustment or the employing 
agency's applicable performance appraisal system is certified under 5 
CFR part 430, subpart D. The SES rate of pay is not considered a 
retained rate of pay for the purpose of applying 5 U.S.C. 3594 and 5 CFR 
part 359, subpart G, or 5 U.S.C. 5363 and 5 CFR part 536, subpart C.
    (i) Setting pay following a break in SES service--(1) General. Upon 
reappointment to the SES, an authorized agency official may set the rate 
of basic pay of a former senior executive at any rate within the SES 
rate range, subject to the limitations in Sec.  534.403(a), if there has 
been a break in SES service of more than 30 days. If there has been a 
break in SES service of 30 days or less, the senior executive's rate of 
basic pay may be set at any rate within the SES rate range (without 
regard to whether the employee received a pay adjustment during the 
previous 12-month period), but not higher than the senior executive's 
former SES rate of basic pay. Where there has been a break in service of 
30 days or less, the agency head or designee who performs the functions 
described in 5 CFR 430.404(a)(5) and (6) (including the Inspector 
General, where applicable) may approve a higher rate than the senior 
executive's former rate of basic pay, if warranted. Setting a rate of 
basic pay upon reappointment to the SES is considered a pay adjustment 
under Sec.  534.404(c).
    (2) Reinstatement from a Presidential appointment requiring Senate 
confirmation. The following provisions apply to a former career senior 
executive who is reinstated under 5 CFR 317.703:
    (i) If the individual elected to remain subject to the SES pay 
provisions while serving under a Presidential appointment, his or her 
SES rate may be adjusted upon reinstatement to the SES, whether in the 
agency where the individual held the Presidential appointment or in 
another agency, if at least 12 months have elapsed since the employee's 
last SES pay adjustment. If fewer than 12 months have elapsed since the 
employee's last SES pay adjustment, an authorized agency official may 
approve an additional pay increase under Sec.  534.404(c)(4) if the 
additional pay increase is warranted. Any pay adjustment must be made in 
accordance with paragraphs (b), (d), and (e) of this section and the 
agency's plan for adjusting SES rates of pay in paragraph (g) of this 
section.

[[Page 548]]

    (ii) If the individual did not elect to remain subject to the SES 
pay provisions while serving under a Presidential appointment, his or 
her SES rate may be set upon reinstatement to the SES at any rate within 
the SES rate range, subject to the limitations in Sec.  534.403(a).
    (iii) Setting a rate of basic pay upon reinstatement to the SES 
under paragraphs (i)(2)(i) and (ii) of this section is considered a pay 
adjustment for the purpose of applying Sec.  534.404(c).
    (j) Restrictions on reducing the pay of career senior executives. 
(1) An authorized agency official may reduce a career senior executive's 
SES rate of basic pay by not more than 10 percent for performance or 
disciplinary reasons, subject to the restriction on reducing the pay of 
career senior executives in Sec.  534.406(b) or setting pay below the 
minimum rate of the SES rate range in Sec.  534.403(a).
    (2) The SES rate of basic pay of a career senior executive may be 
reduced without the employee's consent by the senior executive's agency 
or upon transfer of function to another agency only--
    (i) If the senior executive has received a less than fully 
successful annual summary rating under 5 CFR part 430, subpart C, or has 
otherwise failed to meet the performance requirements for a critical 
element as defined in 5 CFR 430.303; or
    (ii) As a disciplinary or adverse action resulting from conduct-
related activity, including, but not limited to, misconduct, neglect of 
duty, or malfeasance.
    (3) Prior to reducing a career senior executive's rate of basic pay, 
the agency must provide the senior executive with the following:
    (i) Written notice of such reduction at least 15 days in advance of 
its effective date;
    (ii) A reasonable period of time, but not less than 7 days, for the 
senior executive to respond to such notice orally and/or in writing and 
to furnish affidavits and other documentary evidence in support of that 
response;
    (iii) An opportunity to be represented in the matter by an attorney 
or other representative;
    (iv) A written decision and specific reasons for the pay reduction 
at the earliest practicable date after the senior executive's response, 
if any; and
    (v) An opportunity to request, within 7 days after the date of that 
decision, reconsideration by the head of the agency, whose determination 
with respect to that request will be final and not subject to further 
review.
    (4) Reductions in pay under paragraph (j) of this section are not 
appealable under 5 U.S.C. 7543.

[69 FR 70363, Dec. 6, 2004, as amended at 70 FR 31305, May 31, 2005; 71 
FR 38754, July 10, 2006; 79 FR 12357, Mar. 5, 2014]



Sec.  534.405  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 rate of basic pay of 
the individual is higher than the maximum rate of basic pay for the 
applicable SES rate range, the maximum rate of that SES rate range 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 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

[[Page 549]]

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)(1) The total amount of performance awards paid during a fiscal 
year by an agency may not exceed the greater of--
    (i) Ten percent of the aggregate career SES rates of 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
    (ii) 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.
    (2) In determining the aggregate career SES rates of basic pay and 
the average annual rate of basic pay as of the end of FY 2003 for the 
purpose of applying paragraph (b) of this section, agencies must use the 
annual rate of basic pay, plus any applicable locality-based 
comparability payment under 5 U.S.C. 5304 or special geographic pay 
adjustment established for law enforcement officers under section 404(a) 
of the Federal Employees Pay Comparability Act of 1990 (Pub. L. 101-
509), which the SES appointees were receiving at the end of FY 2003.
    (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 SES rate of basic pay as of the end of the performance 
appraisal period.
    (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 must be paid in a lump sum except in those 
instances when it is not possible to pay the full amount because of the 
applicable aggregate limitation on pay during a calendar year under 5 
CFR part 530, subpart B. In that case, any amount in excess of the 
applicable aggregate limitation must be paid at the beginning of the 
following calendar year in accordance with 5 CFR part 530, subpart B. 
The full performance award, however, is charged against the agency bonus 
pool under Sec.  534.405(b) 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; 69 FR 2051, Jan. 13, 2004. Redesignated and amended at 69 FR 
70362, 70366, Dec. 6, 2004]



Sec.  534.406  Conversion to the SES pay system.

    (a) On the first day of the first applicable pay period beginning on 
or after January 1, 2004, agencies must convert an existing SES rate of 
basic pay for a senior executive to an SES rate of basic pay that is 
equal to the employee's rate of basic pay, plus any applicable locality-
based comparability payment under 5 U.S.C. 5304 which the senior 
executive was receiving immediately before that date, except as provided 
in paragraph (b) of this section. The newly converted rate is the senior 
executive's SES rate of basic pay. An agency's establishment of an SES 
rate of basic pay for a senior executive under this paragraph is not 
considered

[[Page 550]]

a pay adjustment for the purpose of applying Sec.  534.404(c).
    (b) An SES member's rate of basic pay, plus any applicable locality-
based comparability payment under 5 U.S.C. 5304 to which the employee 
was entitled on November 24, 2003, may not be reduced for 1 year after 
the first day of the first applicable pay period beginning on or after 
January 1, 2004. If an SES member's rate of basic pay, plus any 
applicable locality-based comparability payment under 5 U.S.C. 5304 to 
which the employee was entitled on November 23, 2003, is higher than the 
rate in effect immediately prior to the first day of the first 
applicable pay period beginning on or after January 1, 2004, the agency 
must use the higher rate for the purpose of converting SES members to 
the SES pay system.
    (c) An SES member who is assigned to a position outside the 48 
contiguous States and the District of Columbia to a position overseas or 
in Alaska, Hawaii, Guam or the Commonwealth of the Northern Mariana 
Islands, Puerto Rico, the U.S. Virgin Islands, or other U.S. territories 
and possessions as of the first day of the first applicable pay period 
beginning on or after January 1, 2004, will be converted to a new rate 
of basic pay that equals the senior executive's current rate of basic 
pay, plus the amount of locality pay authorized under 5 U.S.C. 5304 for 
the applicable locality pay area upon the employee's initial 
reassignment to a position in the 48 contiguous States or the District 
of Columbia. The adjustment will be prospective, not retroactive, and it 
will not be considered a pay adjustment for the purpose of applying 
Sec.  534.404(c). If the senior executive's rate of basic pay did not 
exceed the rate for level III of the Executive Schedule while assigned 
to a position outside the 48 contiguous States or the District of 
Columbia, upon initial reassignment to a locality pay area the senior 
executive's converted rate of basic pay may not exceed the rate for 
level III of the Executive Schedule. The newly converted rate is the 
senior executive's SES rate of basic pay.
    (d) On the first day of the first applicable pay period beginning on 
or after January 1, 2004, a law enforcement officer (LEO), as defined in 
5 CFR 531.301, who is a member of the SES will have his or her rate of 
basic pay, plus any applicable special geographic pay adjustment 
established for LEOs under section 404(a) of the Federal Employees Pay 
Comparability Act of 1990 (Pub. L. 101-509) to which he or she was 
entitled immediately before that date, converted to a new SES rate of 
basic pay. The newly converted rate is the senior executive's SES rate 
of basic pay, and any pay adjustments approved on or after January 11, 
2004, must be computed based on the senior executive's converted rate of 
basic pay. Conversion to a new SES rate of basic pay is not considered a 
pay adjustment for the purpose of applying Sec.  534.404(c).

[69 FR 70366, Dec. 6, 2004]



Sec.  534.407  Pay computation and aggregate compensation.

    (a) Except as provided in paragraph (b) of this section, pay for 
members of the SES must be computed in accordance with 5 U.S.C. 5504(b).
    (b) To determine the hourly rate of pay for members of the SES, 
divide the annual SES rate of basic pay by 2,087 and round to the 
nearest cent, counting one-half cent and over as a whole cent. To derive 
the biweekly rate, multiply the hourly rate by 80.
    (c) Senior executives are subject to the applicable aggregate 
limitation on pay in 5 CFR part 530, subpart B.

[69 FR 70367, Dec. 6, 2004]



Sec.  534.408  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 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, subpart J.

[60 FR 6390, Feb. 2, 1995. Redesignated and amended at 69 FR 70362, 
70367, Dec. 6, 2004]

[[Page 551]]



 Subpart E_Pay for Senior-Level and Scientific or Professional Positions

    Source: 79 FR 12357, Mar. 5, 2014, unless otherwise noted.



Sec.  534.501  Purpose.

    This subpart provides rules for setting and adjusting rates of basic 
pay for senior-level (SL) and scientific or professional (ST) employees 
under 5 U.S.C. 5376. Section 5376, as amended by section 2 of the Senior 
Professional Performance Act of 2008 (Pub. L. 110-372, October 8, 2008), 
promotes performance-based pay by enabling an agency that attains 
certification of a performance appraisal system covering senior 
professionals to fix rates of basic pay for those employees up to the 
rate payable for level II of the Executive Schedule. Under 5 U.S.C. 
5307(d) and subpart D of part 430 of this chapter, the Office of 
Personnel Management (OPM), with Office of Management and Budget (OMB) 
concurrence, grants certification only to a performance appraisal system 
that, in its design and application, makes meaningful distinctions based 
upon relative performance. This subpart implements the purpose of the 
law by providing for pay determinations for SL and ST employees to be 
based on individual performance, contributions to the agency's 
performance, or both, as determined through administration of the 
agency's performance management system(s) for SL and ST employees.



Sec.  534.502  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 for which pay is fixed by administrative action and is 
limited to level IV of the Executive Schedule under 5 U.S.C. 5373.



Sec.  534.503  Definitions.

    In this subpart--
    Agency means--
    (1) An Executive agency as defined in 5 U.S.C. 105;
    (2) The Library of Congress; and
    (3) Any other entity that is not part of an Executive agency, for 
which OPM has approved establishment of one or more scientific or 
professional positions under 5 U.S.C. 3104.
    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.
    Certified means having the certification that OPM, with OMB 
concurrence, grants under 5 U.S.C. 5307(d) and part 430, subpart D of 
this chapter only to a performance appraisal system that makes, in its 
design and application, meaningful distinctions based on relative 
performance. In this subpart, the term ``certified'' refers to a 
performance appraisal system that has this certification, including a 
performance appraisal system for which certification has been reinstated 
after suspension under Sec.  430.405(h) of this chapter.
    Movement means a change of an SL or ST employee from one SL or ST 
position to a different SL or ST position without a break in service 
under procedures that meet applicable requirements for staffing 
positions in the competitive service and excepted service. As used in 
this subpart, the term ``movement'' applies only to an appointment, not 
a detail, and is used without reference to the pay consequences of an 
action. Unless otherwise specified, the term refers to position changes 
both within and between agencies.
    Not certified means lacking the certification that OPM, with OMB 
concurrence, grants under 5 U.S.C. 5307(d) and

[[Page 552]]

part 430, subpart D of this chapter only to a performance appraisal 
system that makes, in its design and application, meaningful 
distinctions based on relative performance. In this subpart, the term 
``not certified'' refers to a performance appraisal system that does not 
have this certification, or for which a previously granted certification 
has expired or is suspended under Sec.  430.405(h) of this chapter.
    Off-cycle pay increase means any increase in a senior professional's 
rate of basic pay that becomes effective on a date other than the date 
specified in Sec.  534.507(a)(1).
    OMB means the Office of Management and Budget.
    OPM means the Office of Personnel Management.
    Performance appraisal system means the policies, practices, and 
procedures an agency establishes under 5 U.S.C. chapter 43 and 5 CFR 
part 430, subpart B, or other applicable legal authority, for planning, 
monitoring, developing, evaluating, and rewarding employee performance. 
For a senior professional employee, this term refers to appraisal 
programs or appraisal systems as defined in Sec.  430.203 of this 
chapter.
    Performance management system means the framework of policies and 
practices that an agency uses to implement performance management, as 
described in Sec.  430.102 of this chapter. As used in this subpart, the 
term includes, but is not limited to, those disciplines and activities 
by which an agency addresses the criteria identified in Sec.  
430.404(a)(1) through (9) of this chapter.
    Performance rating means the written, or otherwise recorded, 
appraisal of performance compared to the SL or ST employee's performance 
standard(s) for each critical and non-critical element on which there 
has been an opportunity to perform for a minimum of 90 days. A 
performance rating may include the assignment of a summary level within 
a pattern as specified in Sec.  430.208(d) of this chapter.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for an SL or ST employee under the provisions of 5 
U.S.C. 5376 and this subpart before any deductions and exclusive of 
additional pay of any other kind.
    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) of this chapter that has been reviewed and 
approved in accordance with Sec.  534.505(a).
    Scientific or professional (ST) employee means an individual 
appointed to a position described in Sec.  319.103 and authorized by OPM 
under Sec.  319.202 of this chapter or otherwise established under 5 
U.S.C. 3104.
    Senior-level (SL) employee means an individual appointed to a 
position described in Sec.  319.102 and authorized by OPM under Sec.  
319.202 of this chapter.
    Senior professional means an SL or ST employee.
    Transfer means any movement, as defined in this section, that is a 
change of a senior professional from an SL or ST position in one agency 
to an SL or ST position in another agency without a break in service of 
at least 1 full workday.



Sec.  534.504  Pay range.

    (a) A rate of basic pay under this subpart must be--
    (1) Not less than 120 percent of the minimum rate of basic pay 
payable for GS-15 of the General Schedule, and
    (2) Not greater than--
    (i) The rate of basic pay payable for level III of the Executive 
Schedule (EX-III), or
    (ii) In the case of an SL or ST employee who is covered by a 
certified performance appraisal system or whose established rate of 
basic pay is preserved under Sec.  534.509, the rate of basic pay 
payable for level II of the Executive Schedule (EX-II).
    (b) An agency may not set or adjust the rate of basic pay for an SL 
or ST employee higher than the maximum in--
    (1) Paragraph (a)(2)(i) of this section (i.e., EX-III) when the SL 
or ST employee is covered by a performance appraisal system that is not 
certified or when the SL or ST employee is not subject to a performance 
appraisal system, except as provided in Sec.  534.509; or

[[Page 553]]

    (2) Paragraph (a)(2)(ii) of this section (i.e., EX-II) when the SL 
or ST employee is covered by a certified performance appraisal system.



Sec.  534.505  Written procedures.

    (a) Each agency with positions subject to this subpart must 
establish written procedures for setting the rate of basic pay and 
increasing the rate of basic pay of incumbents of the positions in 
accordance with law and this subpart. Agencies must provide for 
transparency in the processes for making pay decisions, while assuring 
confidentiality. The agency's plan for setting and increasing rates of 
basic pay must reflect meaningful distinctions among SL and ST employees 
based on individual performance, contribution to agency performance, or 
both, and must include--
    (1) The criteria that will be used to set and increase a senior 
professional's rate of basic pay to ensure that individual pay rates or 
pay increases, as well as their overall distribution within the senior 
professional pay range, reflect meaningful distinctions within a single 
performance level (e.g., the higher the employee's relative performance 
within a rating level, the higher the pay increase), between performance 
rating levels (e.g., the higher the rating level, the higher the pay 
increase), or both;
    (2) The criteria that will be used to set and increase a senior 
professional's rate of basic pay at a rate that exceeds the rate for 
level III of the Executive Schedule if the applicable agency performance 
appraisal system has been certified under part 430, subpart D of this 
chapter;
    (3) Any system, methods, or criteria the agency uses to establish 
pay ranges applicable to various SL or ST positions within the pay range 
that applies under Sec.  534.504(a), consistent with the requirement 
that pay be determined based upon individual performance, contributions 
to the agency's performance, or both;
    (4) The designation of the authorized agency official(s) who will 
have the authority to set and adjust rates of basic pay for SL and ST 
employees, subject to the requirements of paragraph (c) of this section; 
and
    (5) The administrative and management controls that will be applied 
to assure compliance with applicable statutes, OPM regulations, the 
agency's written procedures established under this section, the 
applicable maximum rate of basic pay in Sec.  534.504(a), and, where 
applicable, the certification requirements set forth in part 430, 
subpart D of this chapter. In an agency that employs ten or more senior 
professionals, these controls must include centralized review of ratings 
proposed under Sec.  430.208 of this chapter and pay actions proposed 
under Sec.  534.507 by a panel of individuals designated by the agency 
head to provide advice from an agency-wide perspective for authorized 
agency officials to consider before approving pay adjustments on 
whether--
    (i) Ratings of record and performance ratings proposed for senior 
professionals accurately reflect their individual performance, 
contributions to agency performance, or both, and take into account, as 
appropriate, assessment of the agency's performance against program 
performance measures and other relevant considerations; and
    (ii) Proposed pay adjustments for senior professionals conform to 
the requirements of Sec.  534.507 and appropriately correspond to 
proposed ratings of record and performance ratings.
    (b) Each agency's written procedure must provide that, 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 basic pay under the General Schedule, the 
head of an agency will adjust a senior professional's rate of basic pay 
under the provisions of Sec.  534.507.
    (c) The following actions must be approved by the agency head or by 
a designee who provides the certifications described in Sec.  
430.404(a)(6)(i), (ii) and (iii) of this chapter for all senior 
professionals in the agency, and this approval authority may not be 
further delegated:
    (1) Any pay-setting action under Sec.  534.506 or any pay increase 
under Sec.  534.507 that results in a rate of basic pay that is within 
the highest 10 percent of the applicable rate range under Sec.  534.504. 
A rate of basic pay equal to or

[[Page 554]]

above the amount derived using the following rules is considered to be 
within the highest 10 percent of the applicable pay range (in 2015, 
$177,166 or above if the applicable system is certified, or $164,026 or 
above if the applicable system is not certified or performance appraisal 
does not apply):
    (i) Subtract the minimum rate of basic pay from the maximum rate of 
basic pay for the applicable rate range under Sec.  534.504 (in 2015, 
$183,300-$121,956 = $61,344 if the applicable system is certified, or 
$168,700-$121,956 = $46,744 if the applicable system is not certified or 
performance appraisal does not apply);
    (ii) Multiply the amount derived in paragraph (c)(1)(i) of this 
section by 0.10 (in 2015, $61,344 - 0.10 = $6,134 if the applicable 
system is certified, or $46,744 - 0.10 = $4,674 if the applicable system 
is not certified or performance appraisal does not apply); and
    (iii) Subtract the amount derived in paragraph (c)(1)(ii) of this 
section from the maximum rate of basic pay applicable under Sec.  
534.504 (in 2015, $183,300-$6,134 = $177,166 if the applicable system is 
certified, or $168,700-$4,674 = $164,026 if the applicable system is not 
certified or performance appraisal does not apply);
    (2) Any pay increase under Sec.  534.507 that results in a rate of 
basic pay more than 10 percent above the SL or ST employee's rate of 
basic pay as in effect on the last day of the preceding fiscal year or, 
if the individual was first appointed as an SL or ST employee in the 
agency after the last day of the preceding fiscal year, more than 10 
percent above the rate of basic pay set at the time of that appointment. 
A rate of basic pay more than 10 percent above the applicable rate of 
basic pay is considered to be any rate of basic pay that exceeds the 
amount derived by multiplying the applicable rate of basic pay by a 
factor of 1.1;
    (3) Any pay-setting action under Sec.  534.506(c)(2) that results in 
a higher rate of basic pay than the senior professional had upon leaving 
the agency; and
    (4) Any off-cycle pay increase under Sec.  534.510.
    (d) An agency must keep its written procedures for setting and 
increasing rates of basic pay up to date, make them available to 
affected SL and ST employees, periodically provide training or 
supplemental guidance to clarify how they are applied, and provide a 
copy to OPM upon request.
    (e)(1) The head of an agency may delegate to an Inspector General 
the authority to set and adjust pay for senior professionals in the 
Office of the Inspector General, including authority for pay actions 
described in paragraph (c) of this section.
    (2) An agency head who delegates to an Inspector General the 
authority to set and adjust pay for all senior professionals in the 
Office of the Inspector General, including all pay actions described in 
paragraph (c) of this section, may exclude those senior professionals 
from the count of agency senior professionals for the purpose of 
determining whether centralized review under paragraph (a)(5) of this 
section is required.
    (3) An Inspector General to whom an agency head delegates authority 
to set and adjust pay for 10 or more senior professionals in the Office 
of the Inspector General must provide the centralized review required by 
paragraph (a)(5) of this section and may use Federal employees from 
outside the agency for that purpose or from the Inspector General 
community, whether or not in the same agency.
    (f)(1) A panel performing centralized review under paragraphs (a)(5) 
or (e)(3) of this section for a senior professional who holds a career 
or career-conditional appointment or an appointment of equivalent tenure 
in the excepted service must have a majority of career appointees.
    (2) For the purpose of paragraph (f)(1) of this section, a career 
appointee is considered to be a career SES member or a senior 
professional who holds a career or career-conditional appointment or an 
appointment of equivalent tenure in the excepted service.
    (3) An agency head may include Federal employees from outside the 
agency on a panel performing centralized review.
    (4) An agency using the discretion provided in Sec.  430.403(d) of 
this chapter

[[Page 555]]

must do so in accordance with paragraphs (a)(5), (e) and (f) of this 
section, as applicable.

[79 FR 12357, Mar. 5, 2014, as amended at 80 FR 57698, Sept. 25, 2015]



Sec.  534.506  Setting a rate of basic pay upon appointment.

    (a) An authorized agency official may set the rate of basic pay of 
an individual who is not currently an SL or ST appointee of the agency 
at any rate within the applicable rate range under Sec.  534.504(a) upon 
appointment to an SL or ST position in the agency, subject to the 
requirements of this section. In setting a new senior professional's 
rate of basic pay, an agency must consider the nature and quality of the 
individual's experience, accomplishments, and any unique skills, 
qualifications, or competencies the individual possesses as they relate 
to requirements of the senior professional position and its impact on 
the agency's performance. Rates of basic pay above the rate for level 
III of the Executive Schedule, but less than or equal to the rate for 
level II of the Executive Schedule, generally are reserved for those 
newly appointed senior professionals who possess superior leadership, 
scientific, professional or other competencies necessary to address key 
program and mission requirements, as determined by the agency through 
its strategic human capital planning process.
    (b) Consistent with the agency's written procedures and paragraph 
(a) of this section, an authorized agency official may set the rate of 
basic pay for an SL or ST employee upon transfer from another agency at 
any rate of basic pay within the pay range that applies to the SL or ST 
position under Sec.  534.504(a), except as provided in Sec.  534.509(a).
    (c)(1) Consistent with the agency's written procedures and paragraph 
(a) of this section, except as provided in paragraph (c)(2) of this 
section, an authorized agency official may set pay upon reappointment of 
a former SL or ST employee at any rate of basic pay within the pay range 
that applies to the SL or ST position under Sec.  534.504(a).
    (2) If a former agency SL or ST employee is reappointed within 30 
days to the same position or a successor position in the same agency, 
the agency may not give the individual a higher rate of basic pay upon 
reappointment unless the agency head or a designee who provides the 
certifications described in Sec.  430.404(a)(6)(i), (ii) and (iii) of 
this chapter for all senior professionals in the agency determines that 
a higher rate of basic pay is warranted.



Sec.  534.507  Annual increases in basic pay.

    (a)(1) 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 basic pay under the 
General Schedule, the head of an agency must adjust a senior 
professional's rate of basic pay under paragraph (b) of this section by 
an amount he or she considers appropriate, subject to the applicable 
maximum rate under Sec.  534.504(a), the agency's written procedures 
under Sec.  534.505, and the provisions of this section.
    (2) A determination by an authorized agency official to make a zero 
adjustment in pay after reviewing a senior professional's current rating 
of record or performance rating meets the requirement of paragraph 
(a)(1) of this section only if the notice required by paragraph (h) of 
this section is provided to the senior professional.
    (3) A pay adjustment under paragraph (a)(1) or a determination under 
paragraph (a)(2) of this section does not restrict the authority of an 
agency head to increase pay at other times under Sec.  534.510, if 
warranted.
    (b)(1) An agency may provide a pay increase to a senior professional 
only upon a determination by the authorized agency official that the 
senior professional's performance and/or contributions to agency 
performance so warrant.
    (2) Increases resulting in a rate of basic pay that exceeds the rate 
for level III of the Executive Schedule, but is less than or equal to 
the rate for level II of the Executive Schedule, are reserved for those 
senior professionals who demonstrate the highest levels of individual 
performance, make the greatest contributions to the agency's 
performance, or both, as determined by the agency through the 
administration

[[Page 556]]

of its performance management system.
    (3) A pay increase must reflect the agency's judgment concerning the 
value of the employee's characteristic and continuing service to the 
agency in the SL or ST position. A single noteworthy contribution that 
is not characteristic of the employee's continuing performance 
requirements, individual performance or contributions to the agency's 
performance should be recognized by an appropriate award under part 451, 
subpart A of this chapter or other appropriate authority, rather than by 
a permanent increase in the rate of basic pay.
    (c) An agency must document the basis for each pay increase granted 
under paragraph (b) by means of--
    (1) A current rating of record; or
    (2) A performance rating that covers a period of at least 90 days 
and is assigned in accordance with subpart B of part 430 of this chapter 
and the centralized review required by Sec.  534.505(a)(5), but only if 
a rating of record is not available or does not reflect current 
performance.
    (d) Any increase under this section that results in a rate of basic 
pay above the rate for level III of the Executive Schedule may not be 
made effective unless--
    (1) The rating of record or performance rating used to justify the 
increase covers a period of at least 90 days of performance during which 
the applicable performance appraisal system has continuously been 
certified under 5 U.S.C. 5307(d) and part 430, subpart D of this 
chapter;
    (2) The rating of record or performance rating used to justify the 
increase becomes final while the applicable performance appraisal system 
is certified;
    (3) The rating and pay increase are reviewed and approved in 
accordance with Sec.  534.505(a);
    (4) The pay increase is approved in accordance with Sec.  
534.505(c), as applicable, and the agency's written procedures; and
    (5) The pay increase becomes effective while the applicable 
performance appraisal system is certified.
    (e) Upon the initial certification under 5 U.S.C. 5307(d) and part 
430, subpart D of this chapter by OPM, with OMB concurrence, of an 
agency performance appraisal system covering SL or ST employees, OPM may 
waive the requirement of paragraph (d)(1) of this section. The 
requirement may be waived only if OPM determines that the agency has, 
for a period of no less than 90 days prior to certification, 
consistently applied the same performance appraisal system to covered SL 
or ST employees in a manner consistent with certification. If OPM waives 
this requirement, OPM will notify the agency in writing.
    (f) Except as required by paragraph (g) of this section, a pay 
increase under this section may not be provided to an employee--
    (1) Who has a current rating of record below Level 3 (Fully 
Successful or equivalent), as described in Sec.  430.208 of this 
chapter; or
    (2) Who, after receiving a rating of record at Level 3 or above, 
receives a more recent performance rating that rates performance in a 
critical element at a level below Fully Successful, as described in 
Sec.  430.206(b)(8)(i) of this chapter.
    (g) An SL or ST employee whose rate of basic pay would otherwise 
fall below the minimum rate of the SL and ST pay range under Sec.  
534.504(a)(1) must be provided a pay adjustment sufficient to maintain 
the minimum rate of basic pay.
    (h)(1) If the rates of basic pay under the General Schedule are 
increased under 5 U.S.C. 5303 on the date specified in paragraph (a)(1) 
of this section and the agency head decides upon a zero adjustment for 
an SL or ST employee who has a current rating of record or applicable 
performance rating at Level 3 or above, as described in Sec.  430.208 of 
this chapter, the agency must communicate the reasons for that decision 
to the employee in writing.
    (2) Paragraph (h)(1) of this section does not apply to a senior 
professional with a rate of basic pay described in Sec.  534.505(c)(1) 
unless--
    (i) The rates of basic pay for the Executive Schedule are also 
increased on the date specified in paragraph (a)(1) of this section; and

[[Page 557]]

    (ii) The senior professional has a current rating of record or 
applicable performance rating at Level 4 in an appraisal program that 
uses summary level pattern C or G, or at Level 5 in an appraisal program 
that uses summary level pattern B, E, F, or H, as described in Sec.  
430.208 of this chapter.
    (3) Paragraphs (h)(1) and (h)(2) of this section may not be 
construed to require a pay increase for any senior professional 
employee.



Sec.  534.508  Reductions in a rate of basic pay.

    (a) Any reduction in a rate of basic pay for an SL or ST employee is 
subject to part 752, subpart D of this chapter except as otherwise 
provided in this section.
    (b) If an employee is removed from an SL or ST position and placed 
in a General Schedule position under procedures in part 752, subpart D 
of this chapter or part 432 of this chapter providing for reduction in 
grade, or otherwise moves voluntarily or involuntarily to a General 
Schedule position, the employee is entitled to the minimum rate of basic 
pay, as defined in Sec.  531.203 of this chapter, for the General 
Schedule grade unless the agency sets the employee's pay at a higher 
rate under--
    (1) The maximum payable rate rule in Sec.  531.221 of this chapter, 
if applicable;
    (2) The superior qualifications and special needs pay-setting 
authority in Sec.  531.212 of this chapter, if applicable; or
    (3) The pay retention rules in part 536, subpart C of this chapter, 
if applicable.
    (c) An agency may reduce an SL or ST employee's rate of basic pay, 
subject to part 752, subpart D of this chapter, upon movement to a 
different SL or ST position within the agency. If an SL or ST employee 
elects to accept a reduction in pay to facilitate a reassignment and the 
agency documents the voluntary nature of the action, the resulting pay 
reduction is not subject to part 752, subpart D of this chapter.
    (d) If an agency justifies an increase in an SL or ST employee's 
rate of basic pay under Sec.  534.510 upon the employee's movement to 
another SL or ST position having a substantially greater impact on 
agency performance with the understanding that the employee will be 
reduced to his or her former rate of basic pay upon movement out of the 
position, and the agency documents the voluntary nature of the action, 
the resulting reduction to the former rate of basic pay (or to a higher 
rate of basic pay determined under this subpart that is within the pay 
range applicable to the SL or ST position under Sec.  534.504(a)) is not 
subject to part 752, subpart D of this chapter.
    (e) A reduction in the rate of basic pay of an SL or ST employee 
under Sec.  534.506(b) upon transfer is considered voluntary upon the 
employee's acceptance of the appointment and is not subject to part 752, 
subpart D of this chapter, except that an SL or ST employee's rate of 
basic pay may not be reduced upon transfer under circumstances described 
in Sec.  534.509(a). A reduction in the rate of basic pay of an SL or ST 
employee upon a transfer of function under part 351, subpart C of this 
chapter from another agency is subject to part 752, subpart D of this 
chapter unless otherwise provided by statute.



Sec.  534.509  Preservation of an established rate of basic pay.

    (a) An SL or ST employee whose rate of basic pay is higher than the 
rate for level III of the Executive Schedule may not suffer a reduction 
in pay as a result of transfer to an SL or ST position in another agency 
where the maximum rate of basic pay for the applicable SL or ST rate 
range is equal to the rate for level III of the Executive Schedule.
    (b) An SL or ST employee whose rate of basic pay is higher than the 
rate for level III of the Executive Schedule may not suffer a reduction 
in pay because his or her agency's applicable performance appraisal 
system certification expires or is suspended under Sec.  430.405(h) of 
this chapter. See Sec.  530.203(g) and (h) of this chapter for treatment 
of the aggregate pay limit when certification status changes during the 
calendar year.
    (c) An agency may continue an SL or ST employee's rate of basic pay 
above the rate for level III of the Executive Schedule upon that 
employee's movement within the agency to an SL or ST position that is 
not under a certified

[[Page 558]]

performance appraisal system. Pay may be reduced upon the movement only 
as provided in Sec.  534.508.
    (d) If an agency grants a temporary pay increase under conditions 
described in Sec.  534.508(d) to an SL or ST employee subject to a 
certified performance appraisal system who, prior to the temporary pay 
increase, has a rate of basic pay above the rate for level III of the 
Executive Schedule, the agency may return the employee to an SL or ST 
position that is not subject to a certified performance appraisal system 
when the temporary assignment ends and set the SL or ST employee's rate 
of basic pay at the rate in effect immediately before the temporary pay 
increase.
    (e) When a rate of basic pay that is higher than the rate for level 
III of the Executive Schedule is preserved under a provision of this 
section, the SL or ST employee will continue to receive his or her 
current rate of basic pay and is not eligible for a pay increase until 
he or she is assigned to an SL or ST position covered by a certified 
performance appraisal system or his or her rate of basic pay is less 
than the rate for level III of the Executive Schedule.
    (f) An agency that is otherwise subject to the limitation in Sec.  
534.504(a)(2)(i) with respect to an SL or ST position occupied by an SL 
or ST employee whose rate of basic pay is authorized to be preserved 
under paragraph (a), (b), (c), or (d) of this section may set that 
employee's rate of basic pay above EX-III only at the level required to 
preserve the applicable rate.
    (g) Preservation of a rate of basic pay under this section does not 
preclude a subsequent reduction in pay as provided in Sec.  534.508.
    (h) The provisions of this section do not apply upon the appointment 
of a senior professional employee to a position in the Senior Executive 
Service or upon the appointment of a member of the Senior Executive 
Service to a senior professional position.



Sec.  534.510  Off-cycle pay increases.

    (a) An authorized agency official may provide an off-cycle pay 
increase to a senior professional if, and only if, the agency head or a 
designee who provides the certifications described in Sec.  
430.404(a)(6)(i), (ii) and (iii) of this chapter for all senior 
professionals in the agency determines an off-cycle pay increase is 
warranted and approves the amount of the increase, subject to the 
requirements of this section and the agency's written procedures 
established under Sec.  534.505. The authority to approve an off-cycle 
pay increase under this section may not be further delegated.
    (b) Except as provided in paragraph (d) of this section, an off-
cycle pay increase must be supported by factors that distinguish the 
level of the senior professional's performance and/or contributions to 
agency performance from that of his or her peers, as applicable, and 
from that sufficiently rewarded through the annual pay adjustment. In 
assessing the warrant for an off-cycle pay increase, the approving 
official may consider such factors as--
    (1) A senior professional's exceptionally meritorious 
accomplishments that contribute significantly to the agency's 
performance;
    (2) The need to offer a pay increase to reassign a senior 
professional to a position that has a substantially greater impact on 
agency performance; and
    (3) The need to retain a senior professional whose contributions are 
critical to the agency and who is likely to leave the agency in the 
absence of a pay increase.
    (c) Each off-cycle pay increase that is based upon such factors as 
are described in paragraphs (b)(1) through (3) of this section must be 
documented in accordance with Sec.  534.507(b) through (e), except that 
the agency must also provide information to explain how each applicable 
factor was considered in determining the pay increase. This information 
may be derived from the agency's written pay procedures established 
under Sec.  534.505, agency performance management system activities, or 
other sources the agency deems useful for this purpose.
    (d) If the maximum rate of basic pay applicable to an agency's 
senior professionals increases during the 1 year period following the 
annual pay adjustment under Sec.  534.507(a)(1) for reasons other than a 
change in the certification status of an applicable performance 
appraisal system, the agency head

[[Page 559]]

or a designee who provides the certifications described in Sec.  
430.404(a)(6)(i), (ii) and (iii) of this chapter for all senior 
professionals in the agency may consider whether, and to what extent, an 
additional pay increase may be warranted for a senior professional based 
on the same criteria used in determining his or her annual pay increase. 
However, if the increase in maximum rate of basic pay is due to a change 
in the certification status of an applicable performance appraisal 
system, the requirements of paragraphs (a), (b), and (c) of this section 
apply.
    (e) An off-cycle pay increase granted under this section will be 
effective prospectively, not retroactively.



Sec.  534.511  Exemption from performance appraisal requirements.

    (a) An agency responsible for setting and adjusting rates of basic 
pay for SL or ST employees or positions excluded from performance 
appraisal by or under statute is, with respect to those employees or 
positions, exempt from any provision of this subpart to the extent that 
it makes a pay determination contingent upon performance appraisal, 
including--
    (1) Section 534.505(a)(1), (2) and (3) to the extent these 
paragraphs require that an agency's plan for setting and increasing 
rates of basic pay reflect meaningful distinctions among SL and ST 
employees based upon individual performance and include criteria that 
ensure individuals with the highest levels of individual performance, or 
the greatest contributions to agency performance, or both, receive the 
highest pay increases. The agency must still provide written procedures 
for setting and adjusting rates of pay for covered SL and ST employees 
that specify criteria that will be applied consistent with applicable 
law. The remaining provisions of Sec.  534.505 apply, except for 
references in Sec.  534.505(a)(5) to compliance with certification 
requirements and centralized review of ratings and pay actions;
    (2) Section 534.507(b), (c), (d), (e), and (f). The agency must 
still document in writing the basis for each pay increase under Sec.  
534.507 in accordance with criteria specified in the agency's written 
procedures under Sec.  534.505(a); and
    (3) Section 534.510(b) and (c). The agency must still document in 
writing the basis for each off-cycle pay increase under Sec.  534.510 in 
accordance with criteria specified in the agency's written procedures 
under Sec.  534.505(a).
    (b) Except as specified in paragraph (a) of this section, an agency 
responsible for setting and adjusting rates of basic pay for SL or ST 
employees excluded from performance appraisal by or under statute is 
subject to the requirements of this subpart with respect to those 
employees.
    (c) The maximum rate of basic pay for an SL or ST employee or 
position not subject to performance appraisal is the maximum rate 
described in Sec.  534.504(a)(2)(i). An agency head who uses the 
exemption in paragraph (a) of this section to set the rate of basic pay 
for SL or ST employees who are not subject to performance appraisal may 
not certify that those employees are covered by a performance appraisal 
system meeting the certification criteria established in part 430, 
subpart D of this chapter for purposes of authorizing rates of basic pay 
above the rate for level III of the Executive Schedule.
    (d) Notwithstanding paragraph (c) of this section, an agency 
responsible for setting and adjusting rates of basic pay for SL or ST 
employees or positions excluded from performance appraisal by or under 
statute is subject to Sec.  534.509(a) when setting a rate of basic pay 
for an SL or ST employee upon transfer to such a position. The agency 
may also apply Sec.  534.509(c) upon movement of an SL or ST employee 
whose rate of basic pay was initially set under Sec.  534.509(a) or (c) 
to another SL or ST position that is excluded from performance 
appraisal. Pay may be reduced upon the movement only as provided in 
Sec.  534.508. In either case, the employee will not be eligible for a 
pay increase until he or she is appointed to an SL or ST position that 
is subject to a certified performance appraisal system or until his or 
her rate of basic pay is less than the rate for level III of the 
Executive Schedule.

[[Page 560]]



        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.



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

[[Page 561]]

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.



PART 535_CRITICAL POSITION PAY AUTHORITY--Table of Contents



Sec.
535.101 Purpose.
535.102 Definitions.
535.103 Authority.
535.104 Requests for and granting critical position pay authority.
535.105 Setting and adjusting rates of basic pay.
535.106 Treatment as rate of basic pay.
535.107 Annual reporting requirements.

    Authority: 5 U.S.C. 5377; E.O. 13415, 71 FR 70641.

    Source: 73 FR 50181, Aug. 26, 2008, unless otherwise noted.



Sec.  535.101  Purpose.

    The purpose of this part is to provide a regulatory framework for 
the critical position pay authority authorized by 5 U.S.C. 5377. The 
Office of Personnel Management (OPM), in consultation with the Office of 
Management and Budget (OMB), may grant authority to the head of an 
agency to fix the rate of basic pay for one or more positions under this 
part.



Sec.  535.102  Definitions.

    Agency has the meaning given that term in 5 U.S.C. 5102.
    Critical position means a position for which OPM has granted 
authority to the head of an agency to exercise the pay-setting authority 
provided in 5 U.S.C. 5377.
    Critical position pay authority means the authority that may be 
granted to the head of an agency by OPM under 5 U.S.C. 5377 to set the 
rate of basic pay for a given critical position under the provisions of 
that section.

[[Page 562]]

    Critical position pay rate means the specific rate of pay 
established by the head of an agency for an employee in a critical 
position based upon the exercise of the critical position pay authority. 
A critical position pay rate is a rate of basic pay to the extent 
provided in Sec.  535.106.
    Employee means an employee (as defined in 5 U.S.C. 2105) in or under 
an agency.
    Head of an agency means the agency head or an official who has been 
delegated the authority to act for the agency head in the matter 
concerned.



Sec.  535.103  Authority.

    (a) Subject to a grant of authority from OPM in consultation with 
OMB and all other requirements in this part, the head of an agency may 
fix the rate of basic pay for a critical position at a rate not less 
than the rate of basic pay that would otherwise be payable for the 
position, but not greater than--
    (1) The rate payable for level II of the Executive Schedule (unless 
paragraph (a)(2) or (a)(3) of this section applies);
    (2) The rate payable for level I of the Executive Schedule in 
exceptional circumstances based on information and data that justify a 
rate higher than the rate payable for level II of the Executive 
Schedule; or
    (3) A rate in excess of the rate for level I of the Executive 
Schedule that is established in rare circumstances with the written 
approval of the President.
    (b) The head of an agency may exercise his or her critical position 
pay authority only--
    (1) When such a position requires expertise of an extremely high 
level in a scientific, technical, professional, or administrative field 
and is critical to the agency's successful accomplishment of an 
important mission; and
    (2) To the extent necessary to recruit or retain an individual 
exceptionally well-qualified for the critical position.
    (c) If critical position pay authority is granted for a position, 
the head of an agency may determine whether it is appropriate to 
exercise the authority with respect to any proposed appointee or 
incumbent of the position.
    (d) An agency granted critical position pay authority may continue 
to use the authority for an authorized position as long as needed. OPM 
will monitor the use of critical position pay authorities annually, 
through the agency's required reports under Sec.  535.107, and will 
terminate the authority associated with a given position after notifying 
the agency if, in OPM's judgment in consultation with OMB, the authority 
is no longer needed.



Sec.  535.104  Requests for and granting critical position pay authority.

    (a) An agency may request critical position pay authority only after 
determining that the position in question cannot be filled with an 
exceptionally well-qualified individual through the use of other 
available human resources flexibilities and pay authorities. Agency 
requests must include the information in paragraph (d) of this section. 
OPM, in consultation with OMB, will review agency requests. OPM will 
advise the requesting agency as to whether the request is approved and 
when the agency's critical position pay authority becomes effective.
    (b) A request for critical position pay authority (or authorities) 
must be signed by the head of an agency and submitted to OPM. Requests 
covering multiple positions must include a list of the positions in 
priority order. The head of an agency may request coverage of positions 
of a type not listed in 5 U.S.C. 5377(a)(2), as authorized by 5 U.S.C. 
5377(i)(2) and Executive Order 13415.
    (c) Requests for critical position pay authority to set pay above 
the rate for level II of the Executive Schedule and up to the rate for 
level I of the Executive Schedule because of exceptional circumstances 
require information and data that justify the higher pay. Requests for 
critical position pay authority to set pay above the rate for level I of 
the Executive Schedule due to rare circumstances require approval by the 
President. The head of an agency must submit such requests to OPM with 
the information required in paragraph (d) of this section. If OPM, in 
consultation with OMB, concurs with a request to set pay above the rate 
for level I of the Executive Schedule, OPM will seek the President's 
approval. The President

[[Page 563]]

may establish a maximum limitation on the critical pay rate.
    (d) At a minimum, all requests for critical position pay authority 
must include:
    (1) Position title;
    (2) Position appointment authority (for Senior Executive Service 
positions, appointment authority for any incumbent);
    (3) Pay plan and grade/level;
    (4) Occupational series of the position;
    (5) Geographic location of the position;
    (6) Current salary of the position or incumbent;
    (7) Name of incumbent (or ``Vacant'');
    (8) Length of time the incumbent has been in the position or length 
of time the position has been vacant;
    (9) A written evaluation of the need to designate the position as 
critical. Such an evaluation must include--
    (i) The kinds of work required by the position and the context 
within which it operates;
    (ii) The range of positions and qualification requirements that 
characterize the occupational field, including those that require 
extremely high levels of expertise;
    (iii) The rates of pay reasonably and generally required in the 
public and private sectors for similar positions; and
    (iv) The availability of individuals who possess the qualifications 
to do the work required by the position;
    (10) Documentation, with appropriate supporting data, of the 
agency's experience and, as appropriate, the experience of other 
organizations, in efforts to recruit or retain exceptionally well-
qualified individuals for the position or for a position sufficiently 
similar with respect to the occupational field, required qualifications, 
and other pertinent factors, to provide a reliable comparison;
    (11) Assessment of why the agency could not, through diligent and 
comprehensive recruitment efforts and without using the critical 
position pay authority, fill the position within a reasonable period 
with an individual who could perform the duties and responsibilities in 
a manner sufficient to fulfill the agency's mission. This assessment 
must include a justification as to why the agency could not, as an 
effective alternative, use other human resources flexibilities and pay 
authorities, such as recruitment, relocation, and retention incentives 
under 5 CFR part 575;
    (12) An explanation regarding why the position should be designated 
a critical position and made eligible for a higher rate of pay under 
this part within its organizational context (i.e., relative to other 
positions in the organization) and, when applicable, how it compares 
with other critical positions in the agency. The agency must include an 
explanation of how it will deal with perceived inequities among agency 
employees (e.g., situations in which employees in positions designated 
as critical would receive higher rates of pay than their peers, 
supervisors, or other employees in positions with higher-level duties 
and responsibilities);
    (13) Documentation of the effect on the successful accomplishment of 
important agency missions if the position is not designated as a 
critical position, including an explanation and justification for OPM 
and OMB to expedite processing in cases where the agency believes that 
urgency warrants expedited processing;
    (14) Any additional information the agency may deem appropriate to 
demonstrate that higher pay is needed to recruit or retain an employee 
for a critical position;
    (15) Unless the position is an Executive Schedule position, a copy 
of the position description and qualification standard for the critical 
position; and
    (16) The desired rate of basic pay for requests to set pay above the 
rate for level II of the Executive Schedule and justification to show 
that such a rate is necessary to recruit and retain an individual 
exceptionally well-qualified for the critical position.



Sec.  535.105  Setting and adjusting rates of basic pay.

    (a) The rate of basic pay for a critical position may not be less 
than the rate of basic pay, including any locality-based comparability 
payments established under 5 U.S.C. 5304 or special rate supplement 
under 5 U.S.C. 5305 (or other similar payment or supplement

[[Page 564]]

under other legal authority) that would otherwise be payable for the 
position.
    (b) If critical position pay authority is granted for a position, 
the head of an agency may set pay initially at any amount up to the rate 
of pay for level II or level I of the Executive Schedule, as applicable, 
without further approval unless a higher maximum rate is approved by the 
President under Sec.  535.104(c).
    (c) The head of an agency may make subsequent adjustments in the 
rate of basic pay for a critical position each January at the same time 
general pay adjustments are authorized for Executive Schedule employees 
under section 5318 of title 5, United States Code. Such adjusted rates 
may not exceed the new rate for Executive Schedule level II or other 
applicable maximum established for the critical position. However, the 
employee must have at least a rating of Fully Successful or equivalent, 
and subsequent adjustments must be based on labor market factors, 
recruitment and retention needs, and individual accomplishments and 
contributions to an agency's mission.
    (d) Employees receiving critical position pay are not entitled to 
locality-based comparability payments established under 5 U.S.C. 5304, 
special rate supplements under 5 U.S.C. 5305, or other similar payments 
or supplements under other legal authority.
    (e) If an agency discontinues critical position pay for a given 
position (on its own initiative or because OPM, in consultation with 
OMB, terminates the authority under Sec.  535.103(d)), the employee's 
rate of basic pay will be set at the rate to which the employee would be 
entitled had he or she not received critical pay, as determined by the 
head of the agency, unless the employee is eligible for a higher payable 
rate under the General Schedule maximum payable rate rule in Sec.  
531.221 and the agency chooses to apply that rule.



Sec.  535.106  Treatment as rate of basic pay.

    A critical position pay rate is considered a rate of basic pay for 
all purposes, including any applicable premium pay, except--
    (a) Application of any saved pay or pay retention provisions (e.g., 
5 U.S.C. 5363); or
    (b) Application of any adverse action provisions (e.g., 5 U.S.C. 
7512).



Sec.  535.107  Annual reporting requirements.

    (a) OPM must submit an annual report to Congress on the use of the 
critical position pay authority. Agencies must submit the following 
information to OPM by January 31 of each year on their use of critical 
position pay authority for the previous calendar year:
    (1) The name, title, pay plan, and grade/level of each employee 
receiving a higher rate of basic pay under this subpart;
    (2) The annual rate or rates of basic pay paid in the preceding 
calendar year to each employee in a critical position;
    (3) The beginning and ending dates of such rate(s) of basic pay, as 
applicable;
    (4) The rate or rates of basic pay that would have been paid but for 
the grant of critical position pay. This includes what the rate or rates 
of basic pay were, or would have been, without critical position pay at 
the time critical position pay is initially exercised and any subsequent 
adjustments to basic pay that would have been made if critical position 
pay authority had not been exercised; and
    (5) Whether the authority is still needed for the critical 
position(s).



PART 536_GRADE AND PAY RETENTION--Table of Contents



                      Subpart A_General Provisions

Sec.
536.101 Purpose.
536.102 Coverage.
536.103 Definitions.
536.104 Reasonable offer.
536.105 Comparing grades under different pay systems.

                        Subpart B_Grade Retention

536.201 Mandatory grade retention.
536.202 Optional grade retention.
536.203 Additional eligibility requirements for grade retention.
536.204 Period of grade retention.
536.205 Applicability of retained grade.
536.206 Determining an employee's rate of basic pay under grade 
          retention.

[[Page 565]]

536.207 Loss of eligibility for grade retention.
536.208 Termination of grade retention.

                         Subpart C_Pay Retention

536.301 Mandatory pay retention.
536.302 Optional pay retention.
536.303 Geographic conversion.
536.304 Determining an employee's pay retention entitlement.
536.305 Adjusting an employee's retained rate when a pay schedule is 
          adjusted.
536.306 Limitation on retained rates.
536.307 Treatment of a retained rate as basic pay for other purposes.
536.308 Loss of eligibility for or termination of pay retention.
536.309 Converting retained rates on May 1, 2005.
536.310 Exceptions for certain employees in nonforeign areas.

             Subpart D_Appeals and Miscellaneous Provisions

536.401 Placement and classification plans.
536.402 Appeal of termination of benefits because of reasonable offer.
536.403 Documentation.
536.404 Issuance of employee letters.
536.405 Availability of information.

    Authority: 5 U.S.C. 5361-5366; sec. 4 of the Performance Management 
and Recognition System Termination Act of 1993 (Pub. L. 103-89), 107 
Stat. 981; Sec.  536.301(b) also issued under 5 U.S.C. 5334(b); Sec.  
536.308 also issued under sec. 301(d)(2) of the Federal Workforce 
Flexibility Act of 2004 (Pub. L. 108-411), 118 Stat. 2305; Sec.  536.310 
also issued under sections 1913 and 1918 of the Non-Foreign Area 
Retirement Equity Assurance Act of 2009 (subtitle B of title XIX of Pub. 
L.111-84), 123 Stat. 2619; Sec.  536.405 also issued under 5 U.S.C. 552, 
Freedom of Information Act, Public Law 92-502.

    Source: 45 FR 85656, Dec. 30, 1980, unless otherwise noted.



                      Subpart A_General Provisions

    Source: 70 FR 31305, May 31, 2005, unless otherwise noted.



Sec.  536.101  Purpose.

    This part contains OPM regulations for the administration of grade 
and pay retention. This part supplements and implements the provisions 
of 5 U.S.C. 5361-5366 and must be read together with those sections of 
law. Under 5 U.S.C. 5362, an employee under a covered pay system who is 
placed in a lower grade (e.g., as a result of a reduction in force or 
when his or her position is reduced in grade as a result of a 
reclassification) is entitled to retain the grade held immediately 
before the reduction for a period of 2 years under the circumstances 
prescribed in this part. Under 5 U.S.C. 5363, an employee whose rate of 
basic pay otherwise would be reduced as a result of a management action 
is entitled to retain his or her rate of basic pay under the 
circumstances prescribed in this part.



Sec.  536.102  Coverage.

    (a) Subject to the exclusions in paragraphs (b) through (e) of this 
section, this part covers any employee who, at the time this part is 
applied--
    (1) Is in a covered pay system; or
    (2) Is moving to a position under a covered pay system from a 
position not under a covered pay system, as long as the individual was 
an employee as defined in 5 CFR 536.103 while serving in the position in 
a noncovered pay system.
    (b) An agency may not provide grade or pay retention under this part 
to an employee who--
    (1) Is reduced in grade or pay for personal cause or at the 
employee's request;
    (2) Was employed on a temporary or term basis immediately before the 
action causing the reduction in grade or pay;
    (3) 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;
    (4) Is entitled to receive a saved rate of basic pay under 5 U.S.C. 
3594(c) and 5 CFR 359.705 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);
    (5) Moves from an Executive Schedule position paid under 5 U.S.C. 
chapter 53, subchapter II, or a position whose rate of pay is fixed by 
law at a rate equal to a rate for the Executive Schedule;
    (6) Moves between positions not under a covered pay system or from a 
position under a covered pay system to a position not under a covered 
pay system;

[[Page 566]]

    (7) Moves to a nonappropriated fund position as described in 5 
U.S.C. 2105(c) (except a position occupied by a prevailing rate 
employee);
    (8) Moves from a nonappropriated fund position as described in 5 
U.S.C. 2105(c) (except a position occupied by a prevailing rate 
employee) to a position in a covered pay system, unless covered by Sec.  
536.302(a); or
    (9) Is reduced in pay upon termination of a critical position pay 
authority under 5 CFR part 535.
    (c) An agency may not provide grade or pay retention under this part 
based on the grade or rate of basic pay held by the employee during a 
temporary promotion or temporary reassignment. However, a temporary 
promotion or temporary reassignment does not affect an employee's 
preexisting entitlement to grade or pay retention.
    (d) An agency may not provide grade retention under subpart B of 
this part to an employee who moves from a position not under a covered 
pay system to a position under a covered pay system.
    (e) An employee loses eligibility for or entitlement to grade or pay 
retention under the conditions specified in Sec. Sec.  536.207, 536.208, 
and 536.308.

[70 FR 31305, May 31, 2005, as amended at 73 FR 50183, Aug. 26, 2008]



Sec.  536.103  Definitions.

    For the purpose of this part:
    Authorized agency official means the head of the agency or an 
official who is authorized to act for the head of the agency in the 
matter concerned.
    Comparison rate means--
    (1) For the purpose of comparing grades that are under different 
covered pay systems under Sec.  536.105 and after applying any 
applicable geographic conversion under Sec.  536.105(b) for positions 
with different official worksites--
    (i) The highest rate of basic pay that applies to the fourth step of 
the grade for a position covered by the General Schedule; and
    (ii) The highest rate of basic pay that applies to the second step 
of the grade of a position under a regular prevailing rate system 
established under 5 U.S.C. chapter 53, subchapter IV, or, in the case of 
a prevailing rate position with a single rate, the single rate of basic 
pay for that position; and
    (2) For the purpose of comparing grades or levels of work in making 
reasonable offer determinations when one of the grades or levels of work 
is not under a covered pay system and after applying any applicable 
geographic conversion rules under Sec.  536.105(b) for positions with 
different official worksites--
    (i) The maximum payable rate of basic pay that applies to the grade 
of a position covered by the General Schedule;
    (ii) The maximum payable rate of basic pay that applies to the grade 
of a position under a regular prevailing rate system established under 5 
U.S.C. chapter 53, subchapter IV, or in the case of a prevailing rate 
position with a single rate, the single rate of basic pay for that 
position; and
    (iii) The maximum payable rate of basic pay that applies to the 
grade or level of work in the case of a position not covered by 
paragraph (2)(i) or (ii) of this definition. In the case of a position 
with a single rate under such a schedule, the single rate of basic pay 
for that position is the comparison rate.
    Covered pay system means a covered pay schedule as defined in 5 
U.S.C. 5361(5)--i.e., the General Schedule pay system established under 
5 U.S.C. chapter 53, subchapter III; a prevailing rate system 
established under 5 U.S.C. chapter 53, subchapter IV; or a special 
occupational pay system established under 5 U.S.C. chapter 53, 
subchapter IX. The various prevailing rate systems under 5 U.S.C. 
chapter 53, subchapter IV, are considered separate systems if they have 
separate job grading structures.
    Employed on a temporary or term basis means employment under an 
appointment having a definite time limitation or designated as temporary 
or term.
    Employee has the meaning given that term in 5 U.S.C. 2105, except 
that employee also includes--
    (1) An individual employed by the U.S. Postal Service or the Postal 
Rate Commission who would be considered an employee under 5 U.S.C. 2105 
but for the exclusion in section 2105(e); and
    (2) An individual employed by a Department of Defense or Coast Guard 
nonappropriated fund instrumentality (as described in 5 U.S.C. 2105(c)) 
who is moved without a break in service of

[[Page 567]]

more than 3 days from employment in such an instrumentality to a 
position under a covered pay system in the same agency.
    FEPCA means the Federal Employees Pay Comparability Act of 1990 
(section 529 of Pub. L. 101-509, November 5, 1990, as amended).
    General Schedule or GS means the classification and pay system 
established under 5 U.S.C. chapter 51 and subchapter III of chapter 53. 
This term also refers to the pay schedule established under 5 U.S.C. 
5332.
    Highest applicable rate range means the rate range applicable to an 
employee based on a given position of record and official worksite that 
provides the highest rates of basic pay, excluding any retained rates. 
For example, a rate range of special rates under 5 U.S.C. 5305 may 
exceed an applicable locality rate range under 5 U.S.C. 5304 for General 
Schedule employees. In certain circumstances, the highest applicable 
rate range may consist of two types of pay rates from different pay 
schedules--e.g., a range where special rates are higher in the lower 
portion of the range and locality rates are higher in the higher portion 
of the range.
    Management action means an action (not for personal cause) by an 
agency official not initiated or requested by an employee which may 
adversely affect the employee's grade or rate of basic pay. However, an 
employee's placement in or transfer to a position under a formal 
employee development program established by an agency for recruitment 
and employee advancement purposes (e.g., Recent Graduates Program) is 
considered a management action even though the employee initiates or 
requests such placement or transfer.
    Official worksite means the official location of the employee's 
position of record as determined under the rules of the applicable pay 
system (e.g., 5 CFR 531.605 for General Schedule employees). Official 
worksite is synonymous with the term ``official duty station'' as used 
in 5 U.S.C. 5363(c).
    OPM means the Office of Personnel Management.
    Payable rate means the highest rate of basic pay to which an 
employee is entitled based on the employee's position of record, 
official worksite, and step (or relative position in range for a GM 
employee) or, if applicable, a retained rate.
    Pay schedule means a set of rate ranges established under a single 
authority--i.e., the General Schedule, a law enforcement officer special 
base rate schedule (for grades GS-3 through 10) under section 403 of 
FEPCA; a prevailing rate schedule (including a special schedule or 
special rate schedule) under 5 U.S.C. chapter 53, subchapter IV; a 
locality rate schedule under 5 U.S.C. 5304 based on GS rates; a locality 
rate schedule under 5 U.S.C. 5304 based on law enforcement officer 
special base rates (for grades GS-3 through 10); or a special rate 
schedule under 5 U.S.C. 5305 or similar authority. A pay schedule 
applies to or covers a defined category of employees based on 
established coverage conditions (e.g., official worksite, occupation). A 
pay schedule is considered to apply to or cover an employee who meets 
the established coverage conditions even when a rate under that schedule 
is not currently payable to the employee because of a higher pay 
entitlement under another pay schedule.
    Position of record means an employee's official position (defined by 
grade, occupational series, employing agency, LEO status, and any other 
condition that determines coverage under a pay schedule (other than 
official worksite)), as documented on the employee's most recent 
Notification of Personnel Action (Standard Form 50 or equivalent) and 
current position description. A position to which an employee is 
temporarily detailed is not documented as a position of record. For an 
employee whose change in official position is followed within 3 workdays 
by a reduction in force resulting in the employee's separation before he 
or she is required to report for duty in the new position, the position 
of record in effect immediately before the position change is deemed to 
remain the position of record through the date of separation.
    Prevailing rate employee has the meaning given that term in 5 U.S.C. 
5342(a)(2) and refers to an employee in a position covered by a 
prevailing rate system or schedule established under 5 U.S.C. chapter 
53, subchapter IV.

[[Page 568]]

    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, including a General Schedule rate under 5 U.S.C. 5332; a law 
enforcement officer special base rate under section 403 of FEPCA; a 
special rate under 5 CFR part 530, subpart C, or similar payment under 
other legal authority; a locality rate under 5 CFR part 531, subpart F, 
or similar payment under other legal authority; a prevailing rate under 
5 U.S.C. 5343; or a retained rate under this part, but excluding 
additional pay of any other kind (such as premium payments, 
differentials, and allowances).
    Rate range or range means the range of rates of basic pay for a 
grade within an established pay schedule, excluding any retained rate.
    Reasonable offer means an offer that meets the conditions in Sec.  
536.104.
    Reduced in grade or pay at the employee's request means a reduction 
in grade or rate of basic pay that is initiated by the employee for his 
or her benefit, convenience, or personal advantage. A reduction in grade 
or pay that is caused or influenced by a management action is not 
considered to be at an employee's request, except that the voluntary 
reduction in grade or pay of an employee in response to a management 
action directly related to personal cause is considered to be at the 
employee's request.
    Reduced in grade or pay for personal cause means a reduction in 
grade or rate of basic pay based on the conduct, character, or 
unacceptable performance of an employee. In situations in which an 
employee is reduced in grade or pay for inability to perform the duties 
of his or her position because of a medical or physical condition beyond 
the employee's control, the reduction in grade or pay is not considered 
to be for personal cause.
    Reorganization means the planned elimination, addition, 
redistribution, or restructuring of functions or duties either wholly 
within an agency or between agencies.
    Retained rate means a rate above the maximum rate of the employee's 
highest applicable rate range that is payable under subpart C of this 
part.
    Temporary promotion means a promotion that has a definite time 
limitation or is otherwise designated as temporary when the affected 
employee is informed in advance.
    Temporary reassignment means a reassignment that has a definite time 
limitation or is otherwise designated as temporary when the affected 
employee is informed in advance.
    Where different pay schedules apply means, in the context of 
applying the geographic conversion rule, that an employee's official 
worksite is changed to a new location that would cause the employee to 
lose or gain coverage under a location-based pay schedule if the 
employee were to remain in the same position of record.

[70 FR 31305, May 31, 2005, as amended at 73 FR 66154, Nov. 7, 2008; 77 
FR 28222, May 11, 2012]



Sec.  536.104  Reasonable offer.

    (a) For the purpose of determining whether grade retention 
eligibility or entitlement must be terminated under Sec.  536.207 or 
536.208, the offer of a position is a reasonable offer if the position's 
grade is equal to or higher than the retained grade and if all the 
conditions in paragraph (c) of this section are met. If the offered 
position is in a different pay system, Sec.  536.105 must be applied to 
determine whether the grade of the offered position is equal to or 
greater than the retained grade.
    (b) For the purpose of determining whether pay retention eligibility 
or entitlement must be terminated under Sec.  536.308, the offer of a 
position is a reasonable offer if the employee's rate of basic pay in 
the position would be equal to or greater than the rate to which the 
employee is or would be entitled under the pay retention provisions and 
if all the conditions in paragraph (c) of this section are met.
    (c) An offer of a position must meet the following additional 
conditions to qualify as a reasonable offer:
    (1) The offer must be in writing and must include an official 
position description of the offered position;
    (2) The offer must inform the employee that entitlement to grade or 
pay retention will terminate if the offer is declined and that the 
employee

[[Page 569]]

may appeal the reasonableness of the offer as provided in Sec.  536.402;
    (3) The offered position must be of equal or greater tenure than the 
employee's position before the action resulting in the grade or pay 
retention entitlement;
    (4) The offered position must be full-time, unless the employee's 
position immediately before the action resulting in entitlement to grade 
or pay retention was less than full-time, in which case the offered 
position must have a work schedule providing for no fewer hours of work 
per week or per pay period than the position held before the action; and
    (5) 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 that 
requires employee mobility.



Sec.  536.105  Comparing grades under different pay systems.

    (a) General. An agency must compare the comparison rates (as defined 
in Sec.  536.103) of the applicable grades to determine whether a grade 
of a position is equal to, higher than, or lower than the grade of 
another position when--
    (1) Determining eligibility for grade retention upon movement from a 
position under a covered pay system to a lower-graded position under a 
different covered pay system (including determinations under Sec.  
536.203 that involve different covered pay systems);
    (2) Determining whether grade retention eligibility is lost or grade 
retention is terminated when an employee is placed in a lower-graded 
position under a different covered pay system and the action is taken 
for personal cause or at the employee's request;
    (3) Determining whether grade retention eligibility is lost or grade 
retention is terminated based on movement to a position under a 
different covered pay system with an equal or higher grade;
    (4) Determining whether grade retention eligibility is lost or grade 
retention is terminated based on declination of a reasonable offer of a 
position under a different pay system with an equal or higher grade; and
    (5) Determining whether pay retention eligibility is lost or a 
retained rate is terminated when an employee is placed in a lower-graded 
position under a different covered pay system and the action is taken 
for personal cause or at the employee's request.
    (b) Geographic conversion. When comparing positions under paragraph 
(a) of this section which are stationed in different geographic 
locations where different pay schedules apply, the comparison rate of 
the employee's existing position of record (as in effect before the 
movement to a position in a different pay system) must be determined as 
if the official worksite of that position of record were the same as the 
official worksite of the new or offered position of record. Geographic 
conversion is not necessary for the purpose of comparing grades if an 
employee is being moved to (or given a reasonable offer of) a position 
under the same covered pay system (i.e., same grading structure).

[70 FR 31305, May 31, 2005, as amended at 73 FR 66155, Nov. 7, 2008]



                        Subpart B_Grade Retention

    Source: 70 FR 31305, May 31, 2005, unless otherwise noted.



Sec.  536.201  Mandatory grade retention.

    (a) Subject to the requirements in this section and in Sec. Sec.  
536.102 and 536.203, an agency must provide grade retention to an 
employee who moves from a position under a covered pay system to a 
lower-graded position under a covered pay system as a result of--
    (1) Reduction in force procedures, or
    (2) A reclassification process.
    (b) An agency must apply Sec.  536.105 in determining whether a 
position under a different covered pay system is a lower-graded 
position.
    (c) An employee's movement to a lower-graded position is considered 
to be the result of reduction in force procedures when the employee has 
received a specific reduction in force notice and--
    (1) The employee is placed in the position offered in the notice; or

[[Page 570]]

    (2) The employee is placed in a position other than that offered in 
the notice but in the same agency, if the position was offered in 
writing and at the initiative of management.
    (d) An employee's movement to a lower-graded position is considered 
to be the result of a reclassification process when--
    (1) The employee remains in his or her position after it is 
reclassified; or
    (2) The employee is placed in a different position in the same 
agency before the effective date of the reclassification action, if the 
position was offered in writing and at the initiative of management 
after the employee received a specific written notice that the position 
would be reclassified to a lower grade.

[70 FR 31305, May 31, 2005, as amended at 73 FR 66155, Nov. 7, 2008]



Sec.  536.202  Optional grade retention.

    (a) Subject to the requirements in Sec. Sec.  536.102 and 536.203, 
an authorized agency official may provide grade retention to an employee 
moving from a position under a covered pay system to a lower-graded 
position under a covered pay system when--
    (1) Management announces a reorganization or reclassification 
decision in writing (including a general notice or a specific notice) 
that may or would affect the employee; and
    (2) The employee moves to a lower-graded position (either at the 
employee's initiative or in response to a management-initiated offer) on 
or before the date the announced reorganization or reclassification is 
effected.
    (b) An agency must apply Sec.  536.105 in determining whether a 
position under a different covered pay system is a lower-graded 
position.
    (c) When an employee is offered a position with grade retention 
under this section in anticipation of a reduction in grade, the agency 
must inform the employee in writing that acceptance of the position is 
not required and that declination of the offer will not affect the 
employee's entitlement to grade retention under Sec.  536.201 if the 
agency actually moves the employee to the lower-graded position.

[70 FR 31305, May 31, 2005, as amended at 73 FR 66155, Nov. 7, 2008]



Sec.  536.203  Additional eligibility requirements for grade retention.

    (a) An employee is eligible for grade retention under Sec.  
536.201(a)(1) only if the employee has served for at least 52 
consecutive weeks in one or more positions under a covered pay system at 
one or more grades higher than the grade of the position in which the 
employee is being placed. Such service is deemed to include 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.
    (b) An employee is eligible for grade retention under Sec.  
536.201(a)(2) based on a reclassification of his or her position only 
if, immediately before the reduction in grade, that position was 
classified at the existing grade or a higher grade for a continuous 
period of at least 1 year.
    (c) An employee is eligible for grade retention under Sec.  536.202 
only if, immediately before being placed in the lower grade, the 
employee has served for at least 52 consecutive weeks in one or more 
positions under a covered pay system at one or more grades higher than 
that lower grade. Such service is deemed to include 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.
    (d) Eligibility for grade retention under Sec.  536.201 or Sec.  
536.202 ceases under the conditions specified in Sec.  536.207.



Sec.  536.204  Period of grade retention.

    (a) Unless grade retention is terminated under Sec.  536.208, an 
employee is

[[Page 571]]

entitled to retain the grade held immediately before the action that 
provides entitlement to grade retention for 2 years beginning on the 
date the employee is placed in the lower-graded position.
    (b) During the 2-year period of grade retention, if an agency 
further reduces an employee in grade under circumstances also entitling 
the employee to grade retention, the employee must continue to retain 
the previous retained grade for the remainder of the first 2-year 
period. At the end of the first 2-year period, the employee is entitled 
to retain the grade of the position from which the second reduction in 
grade was made for 2 years following the effective date of the second 
reduction in grade.
    (c) Notwithstanding Sec.  536.207(a)(1), grade retention continues 
to apply to an employee serving under an interim appointment made under 
5 CFR 772.102 for the duration of the original 2-year grade retention 
period if the employee's grade was retained under this part in the 
appointment immediately preceding the interim appointment.



Sec.  536.205  Applicability of retained grade.

    (a) Except as provided in paragraph (b) of this section, an agency 
must treat an employee's retained grade as the employee's grade for all 
purposes, including pay and pay administration, premium pay, retirement, 
life insurance, and eligibility for training. If the employee's actual 
position of record is under a different covered pay system than the 
covered pay system associated with the retained grade, the agency also 
must treat the employee as being under the covered pay system associated 
with the retained grade for the same purposes.
    (b) An agency may not use an employee's retained grade--
    (1) In any reduction in force procedure;
    (2) To determine whether an employee has been reduced in grade for 
the purpose of terminating grade or pay retention (i.e., based on 
personal cause or at the employee's request);
    (3) To determine whether an employee retains status as a GM employee 
(as defined in 5 CFR 531.203); or
    (4) To determine whether an employee is exempt or nonexempt from the 
Fair Labor Standards Act of 1938, as amended.



Sec.  536.206  Determining an employee's rate of basic pay under grade retention.

    (a) General. (1) When an employee becomes entitled to grade 
retention or becomes covered by one or more different pay schedules 
(because of a change in the employee's position of record, a change in 
the employee's official worksite, or the establishment of a new pay 
schedule) during a period of grade retention, the agency must apply the 
rules in this section to determine the employee's rate of basic pay.
    (2) This section does not apply to an employee whose entitlement to 
grade retention is terminated under one of the conditions in Sec.  
536.208. (See Sec.  536.208(d).)
    (b) Preexisting rate within a range. If an employee is entitled to a 
rate of basic pay within the applicable rate range before the action 
resulting in application of this section, the employee is entitled to 
the rate(s) of basic pay in the applicable pay schedule(s) for the 
employee's position of record after the action (including the retained 
grade) which correspond to the employee's grade and step (or relative 
position in range for a GM employee) immediately before the action. The 
employee's payable rate is the corresponding rate in the highest 
applicable rate range for the employee's position of record after the 
action (including the retained grade). If an employee's rate of basic 
pay otherwise would be reduced because of placement under a lower-paying 
pay schedule (excluding any reduction that results from a geographic 
conversion), the employee would be eligible for pay retention under 
subpart C of this part to the same extent as other employees holding the 
same position of record whose actual grade is the same as the employee's 
retained grade.
    (c) Preexisting retained or saved rate. (1) If an employee is 
entitled to a retained rate immediately before the action resulting in 
application of this section, the agency must determine the employee's 
payable rate of basic pay under Sec. Sec.  536.303 and 536.304.

[[Page 572]]

    (2) If an employee is entitled to a saved rate under 5 CFR 359.705, 
the agency must determine the employee's payable rate of basic pay under 
that section.
    (d) Order of processing pay actions. When an action resulting in 
application of this section takes effect on the same effective date as 
other pay actions that affect an employee's rate of basic pay (e.g., 
within-grade increase), the actions will be processed in the order 
prescribed in the rules governing the covered pay system of the 
employee's position of record (e.g., 5 CFR 531.206 for GS positions and 
5 CFR 532.413 for Federal Wage System positions).

[70 FR 31305, May 31, 2005, as amended at 73 FR 66155, Nov. 7, 2008]



Sec.  536.207  Loss of eligibility for grade retention.

    (a) Eligibility for grade retention as a result of an entitlement 
under Sec.  536.201 ceases if any of the following conditions occurs at 
any time after the employee receives written notice of the reduction in 
grade, 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;
    (2) The employee is reduced in grade for personal cause or at the 
employee's request (based on the actual grade of the employee's position 
rather than the employee's retained grade and, when a movement to a 
different covered pay system is involved, a comparison of comparison 
rates under Sec.  536.105);
    (3) The employee moves to a position under a covered pay system with 
a grade that is equal to or higher than the retained grade (as 
determined under Sec.  536.105), excluding a temporary promotion;
    (4) The employee declines a reasonable offer of a position with a 
grade equal to or higher than the retained grade (as determined under 
Sec. Sec.  536.104 and 536.105);
    (5) The employee elects in writing to terminate the benefits of 
grade retention; or
    (6) The employee moves to a position not under a covered pay system.
    (b) Eligibility for grade retention as a result of entitlement under 
Sec.  536.202 ceases if any of the following conditions occurs at any 
time after management informs the employee of an impending 
reorganization or reclassification that will or could result in a 
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 another 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.
    (c) If an employee loses eligibility for grade retention under this 
section, the employee's rate of basic pay must be set in accordance with 
the pay-setting rules and pay rates applicable to the employee's 
position of record (e.g., 5 CFR part 531, subpart B, for GS positions). 
An employee is not eligible for pay retention under subpart C of this 
part based on an action that provided eligibility for grade retention if 
the employee elects to terminate eligibility for grade retention under 
paragraph (a)(5) or (b) of this section.

[70 FR 31305, May 31, 2005, as amended at 73 FR 66155, Nov. 7, 2008]



Sec.  536.208  Termination of grade retention.

    (a) Grade retention under Sec.  536.201 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 under Sec.  536.202 terminates if any of the 
conditions listed in Sec.  536.207(b) occurs after the commencement of 
the 2-year period of grade retention.
    (c) Termination of grade retention benefits takes effect--
    (1) At the end of the day before separation from service if 
termination is the result of a break in service;
    (2) At the end of the day before placement if the termination is the 
result of

[[Page 573]]

the employee's placement in another position; or
    (3) At the end of the last day of the pay period in which the 
employee--
    (i) Declines a reasonable offer;
    (ii) Elects to terminate grade retention benefits (except that, if 
an employee's election specifically provides that the termination will 
take effect at the end of a later pay period, the election is considered 
to be made effective on the last day of that later pay period for the 
purpose of applying this paragraph); 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) If an employee's entitlement to grade retention terminates under 
this section, the employee's rate of basic pay must be set in accordance 
with the pay-setting rules and pay rates applicable to the employee's 
position of record (e.g., 5 CFR part 531, subpart B, for GS positions). 
An employee is not entitled to pay retention under subpart C of this 
part based on a reduction in basic pay resulting from waiver of the 
employee's grade retention entitlement under paragraph (a)(5) or (b) of 
Sec.  536.207.

[70 FR 31305, May 31, 2005, as amended at 73 FR 66155, Nov. 7, 2008]



                         Subpart C_Pay Retention

    Source: 70 FR 31310, May 31, 2005, unless otherwise noted.



Sec.  536.301  Mandatory pay retention.

    (a) Subject to the requirements in Sec.  536.102 and this section, 
an agency must provide pay retention to an employee who moves between 
positions under a covered pay system or from a position not under a 
covered pay system to a position under a covered pay system and whose 
payable rate of basic pay otherwise would be reduced (after application 
of any applicable geographic conversion under Sec.  536.303(a)) as a 
result of--
    (1) The expiration of the 2-year period of grade retention under 
subpart B of this part;
    (2) A reduction in force or reclassification action that places an 
employee in a lower-graded position when the employee does not meet the 
eligibility requirements for grade retention under subpart B of this 
part;
    (3) A management action that places an employee in a non-special 
rate position or in a lower-paid special rate position from a special 
rate position;
    (4) A management action that places an employee under a different 
pay schedule;
    (5) A management action that places an employee in a formal employee 
development program generally utilized Governmentwide (e.g., Recent 
Graduates Program); or
    (6) A reduction or elimination of scheduled rates, special 
schedules, or special rate schedules, excluding--
    (i) A statutory reduction in scheduled rates of pay under the 
General Schedule, including a reduction authorized under 5 U.S.C. 
5303(b); or
    (ii) A statutory reduction in a prevailing rate schedule established 
under 5 U.S.C. chapter 53, subchapter IV, and 5 CFR part 532.
    (b) An agency must establish a retained rate when application of a 
promotion increase rule for General Schedule or prevailing rate 
employees results in a payable rate of basic pay that exceeds the 
maximum rate of the highest applicable rate range for the employee's new 
position. (See the promotion increase rules in 5 U.S.C. 5334(b) and 5 
CFR 531.214 for GS employees and in 5 CFR 532.407 for prevailing rate 
employees--in particular, the special provisions in these promotion 
increase rules on establishing a retained rate equal to an employee's 
existing rate when that existing rate exceeds the applicable range 
maximum.) Once established, such a retained rate is governed by the 
provisions of this subpart.
    (c) If an employee's official worksite changes in conjunction with 
an action that may entitle the employee to pay retention under paragraph 
(a) of this section, the agency must apply the geographic conversion 
rule in Sec.  536.303(a) before determining whether an employee's rate 
of basic pay otherwise would be reduced.
    (d) An employee is considered ``placed'' under paragraph (a)(2), 
(3), (4), and (5) of this section only when the

[[Page 574]]

employee remains in a position in the same agency. Optional pay 
retention under Sec.  536.302 may apply when an employee transfers to a 
different agency as a result of a reduction in force or reclassification 
action or is selected by a different agency to fill a position under a 
formal employee development program, if all other qualifying conditions 
are met.
    (e) Eligibility for pay retention under this section ceases under 
the conditions specified in Sec.  536.308.

[70 FR 31310, May 31, 2005, as amended at 73 FR 66155, Nov. 7, 2008; 77 
FR 28223, May 11, 2012]



Sec.  536.302  Optional pay retention.

    (a) Subject to the requirements in Sec.  536.102 and this section, 
an authorized agency official may provide pay retention to an employee 
not entitled to pay retention under Sec.  536.301, but whose payable 
rate of basic pay otherwise would be reduced (after application of any 
applicable geographic conversion under Sec.  536.303(a)) as the result 
of a management action. This includes a management action to move an 
employee's position, without a break in service of more than 3 days, 
from a Department of Defense or Coast Guard nonappropriated fund 
instrumentality (as defined in 5 U.S.C. 2105(c)) to a position under a 
covered pay system in the same agency.
    (b) If an employee's official worksite changes in conjunction with 
an action that may entitle the employee to pay retention under paragraph 
(a) of this section, the agency must apply the geographic conversion 
rule in Sec.  536.303(a) before determining whether an employee's rate 
of basic pay otherwise would be reduced.
    (c) Eligibility for pay retention under this section ceases under 
the conditions specified in Sec.  536.308.



Sec.  536.303  Geographic conversion.

    (a) Geographic conversion at time of action that may provide initial 
entitlement to pay retention. If, in conjunction with a pay action that 
may entitle the employee to pay retention under Sec. Sec.  536.301 or 
536.302, an employee's official worksite is changed to a new location 
where different pay schedules apply, the agency must convert the 
employee's rate(s) of basic pay to the applicable pay schedule(s) in the 
new location before applying the pay retention rules in this subpart or 
any other simultaneous pay action (other than a general pay adjustment). 
The agency must identify the highest applicable rate range that would 
apply to the employee's position of record before the pay action as if 
that position were stationed at the new official worksite and determine 
the employee's converted payable rate of basic pay based on the step (or 
relative position in range for a GM employee) in that range that 
corresponds to the employee's step (or relative position in range for a 
GM employee) before the pay action. A reduction in an employee's payable 
rate of basic pay resulting from this geographic conversion is not a 
basis for entitlement to pay retention. The pay retention rules in this 
subpart must be applied as if the employee's payable rate of basic pay 
after geographic conversion is the employee's existing payable rate of 
basic pay in effect immediately before the action.
    (b) Geographic conversion when a retained rate employee's official 
worksite is changed. When an employee is receiving a retained rate and 
the employee's official worksite is changed to a new location where 
different pay schedules apply, the agency must apply the following rules 
(after applying any simultaneous general pay adjustment under Sec.  
536.305) to derive the converted retained rate that will be used as the 
existing retained rate in determining the employee's pay retention 
entitlement in the new position of record and at the new official 
worksite:
    (1) Identify the maximum rate for the highest applicable rate range 
that applies to the employee's former position of record based on the 
former official worksite;
    (2) Identify the maximum rate for the highest applicable rate range 
that would apply to the employee's former position of record if the 
employee were stationed at the official worksite for the new position of 
record;
    (3) Divide the maximum rate identified in paragraph (b)(2) of this 
section by the maximum rate identified in paragraph (b)(1) of this 
section and

[[Page 575]]

round the result to the fourth decimal place; and
    (4) Multiply the factor resulting from paragraph (b)(3) of this 
section by the employee's former retained rate and round to the nearest 
whole dollar (for an annual rate) or the nearest whole cent (for an 
hourly rate) to derive the employee's converted retained rate at the new 
official worksite.

[70 FR 31310, May 31, 2005, as amended at 73 FR 66155, Nov. 7, 2008]



Sec.  536.304  Determining an employee's pay retention entitlement.

    (a) General. (1) When an employee becomes entitled to pay retention 
under Sec.  536.301 or 536.302 or undergoes a change in his or her 
position of record or pay schedule while receiving a retained rate (when 
the terminating conditions for pay retention under Sec.  536.308 do not 
apply), the agency must determine the employee's pay retention 
entitlement following the rules in this section.
    (2) Any general pay adjustment (including a retained rate adjustment 
under Sec.  536.305) that takes effect on the same date as an action 
described in paragraph (a)(1) of this section must be processed first, 
before any other pay action and before applying the rules in paragraphs 
(a)(3), (a)(4), (b), or (c) of this section, as applicable.
    (3) If the location of an employee's official worksite changes in 
conjunction with an action that may provide initial entitlement to pay 
retention, the agency must apply the geographic conversion rule under 
Sec.  536.303(a) before applying the rules in paragraph (b) of this 
section. The converted rate of basic pay must be treated as the 
employee's existing payable rate of basic pay in applying those rules.
    (4) If the location of an employee's official worksite changes while 
he or she is receiving a retained rate, the agency must apply the 
geographic conversion rule under Sec.  536.303(b) before applying the 
rules in paragraph (c) of this section. The converted retained rate must 
be treated as the employee's existing retained rate in applying those 
rules.
    (5) When an employee's pay retention entitlement is established or 
redetermined under this section on the same effective date as other pay 
actions that affect an employee's rate of basic pay, the actions must be 
processed in the order prescribed under the rules governing the covered 
pay system of the employee's position of record (e.g., 5 CFR 531.206 for 
GS positions and 5 CFR 532.413 for Federal Wage System positions).
    (6) In applying this section, an agency must convert an employee's 
existing annual rate of pay to an hourly rate of pay if the employee's 
new position is under a pay system that uses only hourly rates. An 
agency must convert an employee's existing hourly rate of pay to an 
annual rate of pay if the employee's new position is under a pay system 
that uses annual rates of pay.
    (b) Determining initial pay retention entitlement. When an employee 
becomes entitled to pay retention under Sec.  536.301 or 536.302, the 
agency must determine the employee's pay retention entitlement under the 
following rules (subject to the requirements in paragraph (a) of this 
section):
    (1) If an employee's existing payable rate of basic pay is less than 
or equal to the maximum rate of the highest applicable rate range for 
the grade of the employee's position of record immediately after the 
event causing the pay retention entitlement, the employee is entitled to 
the lowest rate of basic pay in such rate range that equals or exceeds 
the employee's existing payable rate of basic pay. If an employee's 
payable rate of basic pay is set at or below the maximum rate of the 
highest applicable rate range, pay retention under this subpart ceases 
to apply to the employee.
    (2) If the employee's existing payable rate of basic pay is greater 
than the maximum rate of the highest applicable rate range for the grade 
of the employee's position immediately after the event causing the pay 
retention entitlement, the employee is entitled to a retained rate equal 
to the employee's existing payable rate of basic pay, subject to the 
limitations in paragraph (b)(3) of this section.
    (3) A newly established retained rate may not exceed--

[[Page 576]]

    (i) 150 percent of the maximum payable rate of basic pay of the 
highest applicable rate range for the grade of the employee's position 
of record; or
    (ii) The Executive Level IV maximum rate limitation established 
under Sec.  536.306.
    (4) In applying this section for an employee who becomes eligible 
for pay retention while serving on a temporary promotion or temporary 
reassignment, the agency must use the rate of basic pay the employee 
would have received if the temporary promotion or temporary reassignment 
had not occurred.
    (c) Redetermining pay retention entitlement at time of change in 
position or pay schedule. When an employee receiving a retained rate 
undergoes a change in position or pay schedule that results in a new 
highest applicable rate range (and when the terminating conditions for 
pay retention under Sec.  536.308(a)(1), (3), (4), and (5) do not 
apply), the agency must determine the employee's pay retention 
entitlement under the following rules (subject to the requirements in 
paragraph (a) of this section):
    (1) If the employee's grade and pay system are not changing and if 
the employee's existing retained rate is less than or equal to the 
maximum rate of the highest applicable rate range for the employee's 
position of record immediately after the position or schedule change, 
the employee is entitled to the maximum rate of the highest applicable 
rate range, and pay retention ceases to apply.
    (2) If the employee's grade and pay system are not changing and if 
the employee's existing retained rate is greater than the maximum rate 
on the highest applicable rate range for the employee's position of 
record immediately after the position or schedule change, the employee 
continues to be entitled to the existing retained rate.
    (3) If the employee's pay system is not changing but the employee is 
being promoted to a higher-graded position, the agency must apply the 
applicable promotion rules to determine the employee's payable rate of 
basic pay (e.g., the rules in 5 CFR 531.214(d)(5) for GS positions and 5 
CFR 532.407 for Federal Wage System positions). If the promotion action 
results in a terminating condition as described in Sec.  536.308 (e.g., 
the resulting rate is equal to or greater than the existing retained 
rate), pay retention ceases to apply. Otherwise, the employee's existing 
retained rate continues.
    (4) If the employee is moving to a position under a different 
covered pay system whose grade has a higher comparison rate, the agency 
must apply the applicable pay administration rules to determine the 
employee's payable rate of basic pay (e.g., part 531, subpart B, for GS 
positions and part 532 for Federal Wage System provisions). If the 
promotion action results in a terminating condition as described in 
Sec.  536.308 (e.g., the resulting rate is equal to or greater than the 
existing retained rate), pay retention ceases to apply. Otherwise, the 
employee's existing retained rate continues.
    (5) In applying this section to a retained rate employee who 
receives a temporary promotion or temporary reassignment, the temporary 
promotion or temporary reassignment is not a basis for permanently 
terminating an employee's pay retention entitlement. When the temporary 
promotion or temporary reassignment ends, the employee's pay retention 
entitlement will be determined as if the employee had not received the 
temporary promotion or temporary reassignment.
    (6) Notwithstanding Sec.  536.308(a)(1), an agency must continue a 
retained rate entitlement for an employee serving under an interim 
appointment made under 5 CFR 772.102 if the employee's pay was retained 
under this subpart under the appointment immediately preceding the 
interim appointment.

[70 FR 31310, May 31, 2005, as amended at 73 FR 66156, Nov. 7, 2008]



Sec.  536.305  Adjusting an employee's retained rate when a pay schedule is adjusted.

    (a)(1) Except as otherwise provided in this section, when the 
maximum rate of the highest applicable rate range for an employee's 
position of record is increased while the employee is receiving a 
retained rate, the employee is entitled to 50 percent of the amount of 
the increase in that maximum rate, subject to the maximum rate 
limitation in Sec.  536.306. This 50-percent adjustment rule applies 
only when the maximum

[[Page 577]]

rate increases are attributable to the adjustment of the employee's 
existing pay schedule or the establishment of a new pay schedule that 
covers the employee's existing position of record.
    (2) As provided in 5 CFR 531.206, a retained rate adjustment under 
paragraph (a)(1) of this section is a general pay adjustment that must 
be applied before any geographic conversion under Sec.  536.303(b) or 
any other simultaneous pay action. The retained rate adjustment under 
paragraph (a)(1) of this section must be determined based on the 
employee's position of record and official worksite as in effect 
immediately before the effective date of the adjustment.
    (3) Consistent with 5 U.S.C. 5363(c), a change in the maximum rate 
of the highest applicable rate range based on a change in the employee's 
official worksite is not considered in applying paragraph (a)(1) of this 
section. The employee's new retained rate must be determined under the 
geographic conversion rule in Sec.  536.303(b).
    (4) Paragraph (a)(1) of this section does not apply to an increase 
in an employee's highest applicable rate range that results from a 
change in the employee's position of record. Such an increase is not 
attributable to an adjustment in the pay schedule applicable to the 
employee's position and thus is not an increase as described in 5 U.S.C. 
5363(b)(2)(B).
    (b) When a pay schedule adjustment causes an employee's retained 
rate (after any adjustment under this section) to become equal to or 
lower than the maximum rate of the highest applicable rate range for the 
grade of the employee's position, the employee is entitled to the 
maximum rate of the highest applicable rate range, and pay retention 
ceases to apply.



Sec.  536.306  Limitation on retained rates.

    (a) A retained rate may not at any time exceed the rate payable for 
level IV of the Executive Schedule.
    (b) When an employee's retained rate is limited under this section, 
an agency may not apply this subpart or the provisions of any other law 
or regulation to the rate of basic pay the employee would have received 
but for this limitation.



Sec.  536.307  Treatment of a retained rate as basic pay for other purposes.

    (a) A retained rate is considered to be an employee's rate of basic 
pay for the purpose of computing or applying--
    (1) Retirement deductions, contributions, and benefits under 5 
U.S.C. chapters 83 and 84;
    (2) Life insurance premiums and benefits under 5 U.S.C. chapter 87;
    (3) Premium pay under 5 U.S.C. chapter 55, subchapter V, and 5 CFR 
part 532 and part 550, subparts A and I;
    (4) Severance pay under 5 U.S.C. 5595 and 5 CFR part 550, subpart G;
    (5) Post differentials under 5 U.S.C. 5925 and danger pay allowances 
under 5 U.S.C. 5928;
    (6) Nonforeign area cost-of-living allowances and post differentials 
under 5 U.S.C. 5941(a) and 5 CFR part 591, subpart B;
    (7) Lump-sum payments for accumulated and annual leave under 5 CFR 
part 550, subpart L;
    (8) General Schedule pay administration provisions (e.g., promotion 
increases) to the extent provided in 5 CFR part 531, subpart B;
    (9) Pay administration provisions for prevailing rate employees to 
the extent provided in 5 CFR part 532;
    (10) Adverse action provisions in 5 CFR part 752;
    (11) Other provisions as specified in other statutes or regulations; 
and
    (12) Payments and benefits equivalent to those listed in this 
section under other legal authorities, as determined by the head of the 
agency or other authorized official responsible for administering such 
payments or benefits.
    (b) For the purpose of applying other laws and regulations not 
listed in paragraph (a) of this section to an employee receiving a 
retained rate, the employee's rate of basic pay is deemed to be the 
applicable maximum rate of basic pay for the employee's position of 
record (e.g., the maximum rate of basic pay for a locality rate range or 
special rate range, as applicable, for the purpose of computing a 
percentage-based award under 5 CFR 451.104(g)).

[70 FR 31310, May 31, 2005, as amended at 73 FR 66156, Nov. 7, 2008]

[[Page 578]]



Sec.  536.308  Loss of eligibility for or termination of pay retention.

    (a) Eligibility for pay retention ceases if any of the following 
conditions occurs at any time after the employee has received written 
notification that the employee's pay will be reduced, and entitlement to 
pay retention terminates if any of the following conditions occurs after 
the commencement of pay retention:
    (1) The employee has a break in service of 1 workday or more;
    (2) The employee is entitled to a rate of basic pay under a covered 
pay system which is equal to or greater than the employee's retained 
rate (after applying any applicable geographic conversion under 
paragraph (b) of this section), except that entitlement to a retained 
rate will not be terminated based on entitlement to an equal or higher 
rate of basic pay during a temporary promotion or temporary reassignment 
but will be held in abeyance during that temporary period.
    (3) The employee declines a reasonable offer (as determined under 
Sec.  536.104) of a position in which the employee's rate of basic pay 
would be equal to or greater than the employee's retained rate (after 
applying any applicable geographic conversion under paragraph (b) of 
this section);
    (4) The employee is reduced in grade for personal cause or at the 
employee's request (based on the actual grade of the employee's position 
rather than the employee's retained grade and, when a movement to a 
different covered pay system is involved, a comparison of comparison 
rates under Sec.  536.105); or
    (5) The employee moves to a position not under a covered pay system.
    (b) When the rate comparison required by paragraph (a)(2) or (3) of 
this section involves a new or offered position that is located in a 
different geographic area where different pay schedules would apply to 
the employee's existing position of record, the agency must convert the 
employee's existing retained rate using the geographic conversion rules 
in Sec.  536.303(b) before making the rate comparison. The converted 
retained rate must be compared to the payable rate of basic pay for the 
new or offered position in determining whether the rate of basic pay for 
an offered position is equal to or higher than the employee's retained 
rate.
    (c) Termination of pay retention benefits takes effect--
    (1) At the end of the day before separation from service if 
termination is the result of a break in service;
    (2) At the end of the day before the employee becomes entitled to an 
equal or greater rate as described in paragraph (a)(2) of this section;
    (3) At the end of the day before placement or movement if the 
termination is the result of the employee's placement in or movement to 
another position; or
    (4) At the end of the last day of the pay period in which the 
employee declines a reasonable offer.
    (d) If an employee's eligibility for pay retention ceases or 
entitlement to pay retention terminates under this section, the 
employee's rate of basic pay must be set using the pay-setting rules 
applicable to the employee's position of record (e.g., 5 CFR part 531, 
subpart B, for GS positions). However, when an employee's retained rate 
is terminated under paragraph (a)(2) or (3) of this section and the 
employee's grade is unchanged, the employee's payable rate of basic pay 
may not be set below the maximum rate of the highest applicable rate 
range.

[70 FR 31310, May 31, 2005, as amended at 73 FR 66156, Nov. 7, 2008]



Sec.  536.309  Converting retained rates on May 1, 2005.

    (a) Consistent with section 301(d)(2) of Public Law 108-411, an 
agency must convert an employee's retained rate or similar rate, as 
described in paragraph (b) of this section, to a retained rate under 
this subpart on May 1, 2005. The new retained rate must equal the 
retained rate in effect on April 30, 2005, as adjusted to include any 
applicable locality payment under 5 U.S.C. 5304 or similar provision of 
law.
    (b) This section applies to an employee under a covered pay system 
who, on April 30, 2005, was receiving--
    (1) A retained rate under 5 U.S.C. 5363;
    (2) A rate paid under the authority of 5 U.S.C. 5334(b) or 5 U.S.C. 
5362 which was greater than the maximum rate of

[[Page 579]]

basic pay payable for the grade of the employee's position of record; or
    (3) A continued rate of pay under 5 CFR part 531, subpart C or G (as 
contained in the January 1, 2005, edition of title 5, Code of Federal 
Regulations, parts 1 to 699) which was greater than the maximum rate of 
basic pay payable for the grade of the employee's position.
    (c) The conversion rules in this section must be applied before any 
simultaneous pay action that takes effect on May 1, 2005.



Sec.  536.310  Exceptions for certain employees in nonforeign areas.

    (a) Notwithstanding Sec. Sec.  536.304(b)(3) and 536.306(a), an 
employee who is receiving a retained rate in excess of Executive 
Schedule level IV on January 1, 2012, consistent with the Non-Foreign 
Retirement Equity Assurance Act of 2009 (subtitle B of title XIX of Pub. 
L. 111-84), may continue to receive a retained rate higher than 
Executive Schedule level IV until--
    (1) The retained rate becomes equal to or falls below Executive 
Schedule level IV; or
    (2) The employee ceases to be entitled to pay retention under Sec.  
536.308.
    (b) Notwithstanding 5 U.S.C. 5361(1) and Sec.  536.102(b)(2), an 
employee who is employed on a temporary or term basis is not barred from 
receiving a retained rate if such employee--
    (1) Is receiving a special rate above Executive Schedule level IV on 
January 1, 2012, and is covered by paragraph (a) of this section; or
    (2) Is receiving a special rate incorporating an additional 
adjustment under section 1915(b)(1) of the Non-Foreign Retirement Equity 
Assurance Act (subtitle B of title XIX of Pub. L. 111-84) at the time 
the employee's special rate schedule is reduced or terminated.

[76 FR 68634, Nov. 7, 2011]



             Subpart D_Appeals and Miscellaneous Provisions

    Source: 45 FR 85656, Dec. 30, 1980, unless otherwise noted. 
Redesignated at 70 FR 31310, May 31, 2005.



Sec.  536.401  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.

[45 FR 85656, Dec. 30, 1980. Redesignated at 70 FR 31310, May 31, 2005.]



Sec.  536.402  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

[[Page 580]]

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. Redesignated at 70 FR 31310, May 31, 2005]



Sec.  536.403  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 minimum this documentation will include a copy of the 
letter described in Sec.  536.404.

[45 FR 85656, Dec. 30, 1980. Redesignated and amended at 70 FR 31310, 
May 31, 2005]



Sec.  536.404  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.

[45 FR 85656, Dec. 30, 1980. Redesignated at 70 FR 31310, May 31, 2005]



Sec.  536.405  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.  297.205 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. 
Redesignated and amended at 70 FR 31310, May 31, 2005]



PART 537_REPAYMENT OF STUDENT LOANS--Table of Contents



Sec.
537.101 Purpose.
537.102 Definitions.
537.103 Agency student loan repayment plans.
537.104 Employee eligibility.
537.105 Criteria for payment.
537.106 Conditions and procedures for providing student loan repayment 
          benefits.
537.107 Service agreements.
537.108 Loss of eligibility for student loan repayment benefits.
537.109 Employee reimbursements to the Government.
537.110 Records and reports.


[[Page 581]]


    Authority: 5 U.S.C. 2301, 2302, and 5379(g); E.O. 11478, 3 CFR 1966-
1970 Comp., page 803, unless otherwise noted, E.O. 13087; and E.O. 
13152.

    Source: 73 FR 64865, Oct. 31, 2008, unless otherwise noted.



Sec.  537.101  Purpose.

    This part implements 5 U.S.C. 5379, which authorizes agencies to 
establish a student loan repayment program for the purpose of recruiting 
or retaining highly qualified personnel. Under such a program, an agency 
may agree to repay (by direct payment to the loan holder on behalf of 
the employee) all or part of any outstanding qualifying student loan or 
loans previously taken out by a job candidate to whom an offer of 
employment has been made, or by a current employee of the agency.



Sec.  537.102  Definitions.

    The definitions in this section apply only to part 537. In this 
part:
    Agency has the meaning given that term in subparagraphs (A) through 
(E) of 5 U.S.C. 4101(1).
    Authorized agency official means the head of an Executive 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 the term in 5 U.S.C. 2105.
    Loan payment means the net payment made by an agency to the holder 
of a student loan (after deducting any tax withholdings that may be made 
from the gross student loan repayment benefit credited to the employee).
    Service agreement means a written agreement between an agency and an 
employee (or job candidate) under which the employee (or job candidate) 
agrees to a specified period of service in exchange for student loan 
repayment benefits, subject to the conditions set forth under this part.
    Student loan means--
    (1) A loan made, insured, or guaranteed under parts B, D or E of 
title IV of the Higher Education Act of 1965; or
    (2) 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.
    Student loan repayment benefit means the benefit provided to an 
employee under this part in which an agency repays (by a direct payment 
on behalf of the employee) a qualifying student loan as described in 
Sec.  537.106(b) previously taken out by such employee. The dollar value 
of this benefit is the gross amount credited to the employee at the time 
of a loan payment to the holder of the student loan, before deducting 
any employee tax withholdings from that gross amount as described in 
Sec.  537.106(a)(6)(iii). A student loan repayment benefit is not 
considered basic pay for any purpose.
    Time-limited appointment means a non-permanent appointment 
including--
    (1) A temporary appointment under 5 CFR part 316, subpart D, or 
similar authority;
    (2) A term appointment under 5 CFR part 316, subpart C, or similar 
authority;
    (3) An overseas limited appointment with a time limitation under 5 
CFR part 301, subpart B;
    (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 Recruitment Appointment under 5 CFR part 307;
    (6) A Presidential Management Fellows Program appointment under 
Sec.  213.3402(c) of this chapter;
    (7) A Recent Graduates Program appointment under Sec.  213.3402(b) 
of this chapter; and
    (8) An appointment under the fellowship and similar programs 
authority at 5 CFR 213.3102(r).

[73 FR 64865, Oct. 31, 2008, as amended at 77 FR 28223, May 11, 2012]



Sec.  537.103  Agency student loan repayment plans.

    Before providing student loan repayment benefits under this part, an 
agency must establish a student loan repayment plan. This plan must 
include the following elements:
    (a) The designation of officials with authority to review and 
approve offering student loan repayment benefits (which may parallel the 
approval delegations used for other recruitment, relocation, and 
retention incentives);

[[Page 582]]

    (b) The situations in which the student loan repayment authority may 
be used;
    (c) The criteria to meet or consider in authorizing student loan 
repayment benefits, including criteria for determining the size and 
timing of the loan payment(s);
    (d) A system for selecting employees (or job candidates) to receive 
student loan repayment benefits that ensures fair and equitable 
treatment;
    (e) The requirements associated with service agreements (including a 
basis for determining the length of service to be required if it is 
greater than the statutory minimum);
    (f) The procedures for making loan payments;
    (g) The provisions for recovering any amount outstanding from an 
employee who fails to satisfy a service agreement and conditions for 
waiving an employee's obligation to reimburse the agency for payments 
made under this part; and
    (h) Documentation and recordkeeping requirements sufficient to allow 
reconstruction of each action to approve a student loan repayment 
benefit.



Sec.  537.104  Employee eligibility.

    (a) Subject to the conditions in 5 U.S.C. 5379 and this part, an 
authorized agency official may approve student loan repayment benefits 
to recruit a highly qualified job candidate or retain a highly qualified 
employee who, during the service period established under a service 
agreement (consistent with Sec.  537.107), will be serving under--
    (1) An appointment other than a time-limited appointment; or
    (2) A time-limited appointment if--
    (i) The employee (or job candidate) will have at least 3 years 
remaining under the appointment after the beginning of the service 
period established under a service agreement; or
    (ii) The time-limited appointment authority leads to conversion to 
another appointment of sufficient duration so that his or her employment 
with the agency is projected to last for at least 3 additional years 
after the beginning of the service period established under a service 
agreement.
    (b) An employee occupying a position that is excepted from the 
competitive service because of its confidential, policy-determining, 
policy-making, or policy-advocating character is ineligible for student 
loan repayment benefits.
    (c) An employee becomes ineligible for student loan repayment 
benefits under the conditions described in Sec.  537.108.



Sec.  537.105  Criteria for payment.

    (a) General criteria. Before authorizing student loan repayment 
benefits for an employee (or job candidate), an agency must make a 
written determination that--
    (1) The employee (or job candidate) is highly qualified and 
otherwise eligible (as described in Sec.  537.104); and
    (2)(i) In a case where the authorization is granted to recruit a job 
candidate to fill an agency position, the agency otherwise would 
encounter difficulty in filling a position with a highly qualified 
individual; or
    (ii) In a case where the authorization is granted to retain a 
current employee of the agency, the employee otherwise is likely to 
leave the agency for employment outside the Federal service and it is 
essential to retain the employee based on the employee's high or unique 
qualifications or a special need of the agency.
    (b) Retention considerations. In making a determination under 
paragraph (a)(2)(ii) of this section, an agency must consider 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 
its mission.
    (c) Current Federal employees. An agency may not authorize student 
loan repayment benefits to recruit an individual from outside the agency 
who is currently employed in the Federal service.
    (d) Selection. When selecting employees (or job candidates) to 
receive student loan repayment benefits, agencies must ensure that 
benefits are awarded without regard to race, color, religion, sex 
(including pregnancy and gender identity), national origin, age (as 
defined by the Age Discrimination in Employment Act of 1967, as 
amended), disability, genetic information (including

[[Page 583]]

family medical history), marital status, political affiliation, sexual 
orientation, labor affiliation or nonaffiliation, status as a parent, or 
any other non-merit-based factor, unless specifically designated by 
statute as a factor that must be taken into consideration when awarding 
such benefits, or retaliation for exercising rights with respect to the 
categories enumerated above, where retaliation rights are available.

[73 FR 64865, Oct. 31, 2008, as amended at 79 FR 43923, July 29, 2014]



Sec.  537.106  Conditions and procedures for providing student loan repayment benefits.

    (a) General conditions. (1) Student loan repayment benefits may be 
provided 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 the employee (or job candidate) as part of a service 
agreement under Sec.  537.107.
    (2) The student loan to be repaid must be a qualifying student loan 
as set forth in paragraph (b) of this section.
    (3) The agency must document in writing each approval of student 
loan repayment benefits. An authorized agency official must review and 
approve each written determination. The written determination must show 
the employee (or job candidate) meets the criteria specified in Sec.  
537.105.
    (4) An authorized agency official must approve student loan 
repayment benefits in connection with a recruitment action before the 
job candidate actually enters on duty in the position for which he or 
she was recruited. The agency and the job candidate may sign the service 
agreement consistent with Sec.  537.107 before the job candidate begins 
serving in the position, but the agency may not begin making loan 
payments until the job candidate begins serving in the position.
    (5) Student loan repayment benefits are in addition to basic pay and 
any other form of compensation otherwise payable to the employee 
involved.
    (6) Appropriate tax withholdings must be deducted or applied at the 
time any payment is made. Since these tax implications could create a 
financial hardship for the recipient of the student loan repayment 
benefit, agencies may lessen the impact of tax withholdings on an 
employee's paycheck in one of the following ways:
    (i) Make smaller payments at periodic intervals throughout the year, 
rather than issue payments under this part in one lump sum;
    (ii) Allow the employee to write a check to the agency to cover his 
or her tax liability, rather than have the tax liability withheld from 
the employee's paycheck;
    (iii) Deduct the amount of taxes to be withheld from the student 
loan repayment benefit before the balance is issued as a loan payment to 
the holder of the loan.

    Note to Sec.  537.106(a)(6): Contact the Internal Revenue Service 
for further details concerning these options, as well as the tax 
withholding implications of payments under this part.

    (b) Qualifying student loans. (1) The agency may make loan payments 
only for student loan debts that are outstanding at the time the agency 
and the employee (or job candidate) enter into a service agreement. 
Before authorizing loan payments, an agency must verify with the holder 
of the loan that the employee (or job candidate) has an outstanding 
student loan that qualifies for repayment under this part. The agency 
must verify remaining balances to ensure that loans are not overpaid.
    (2) The agency may repay more than one loan if the employee's 
student loan repayment benefit does not exceed the limits set forth in 
paragraph (c) of this section.
    (3) These regulations do not impose a limit on the age of a student 
loan for qualification purposes. The agency may, however, specify in its 
agency plan that only student loans made within a certain timeframe are 
eligible for repayment.
    (c) Benefit amount. (1) In determining the amount of student loan 
repayment benefits to approve, an agency must consider the employee's 
(or job candidate's) value to the agency and how far in advance the 
agency is permitted to commit funds. If an agency decides

[[Page 584]]

to make additional student loan repayment benefits contingent on budget 
levels or other factors, it must address these contingent benefits in 
the written service agreement as described in Sec.  537.107(a).
    (2) The amount of student loan repayment benefits provided by an 
agency is subject to both of the following limits:
    (i) $10,000 per employee per calendar year; and
    (ii) A total of $60,000 per employee.
    (3) In applying the limits in paragraph (c)(2) of this section, the 
agency must count the full student loan repayment benefit (i.e., before 
deducting any tax withholdings as described in paragraph (a)(6)(iii) of 
this section).
    (d) Employee responsibility. Loan payments made by an agency 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 
also is responsible for any income tax obligations resulting from the 
student loan repayment benefit.



Sec.  537.107  Service agreements.

    (a) Before an employing agency makes any loan payments for an 
employee, the employee (or job candidate) must sign a written service 
agreement to complete a specified period of service with the agency and 
to reimburse the agency for the student loan repayment benefit when 
required by Sec.  537.109. The service agreement also may specify any 
other employment conditions the agency considers to be appropriate, 
including the employee's (or job candidate's) position and the duties he 
or she is expected to perform, his or her work schedule, his or her 
level of performance, and the geographic location of his or her 
position. (See Sec. Sec.  537.108 and 537.109.) The service agreement 
may address the possibility that, during the period the agreement is in 
effect, the agency may modify the agreement to provide student loan 
repayment benefits in addition to those fixed in the agreement based on 
contingencies or conditions specified in the agreement.
    (b) The minimum period of service to be established under a service 
agreement is 3 years, regardless of the amount of student loan repayment 
benefits authorized. The agency and the employee may mutually agree to 
modify an existing service agreement, subject to the limitations at 
Sec.  537.106(c)(2), to provide additional student loan repayment 
benefits for additional service without the need for an entirely new 
service agreement (which would require a new 3-year minimum service 
period). Periods of leave without pay, or other periods during which the 
employee is not in a pay status, do not count toward completion of the 
required service period. Thus, the service completion date must be 
extended by the total amount of time spent in non-pay status. However, 
as provided by 5 CFR 353.107, absence because of uniformed service or 
compensable injury is considered creditable toward the required service 
period upon reemployment.
    (c) A service agreement made under this part in no way constitutes a 
promise of, or right or entitlement to, appointment, continued 
employment, or noncompetitive conversion to the competitive service. 
This condition should be stated in the service agreement.
    (d) The service period begins on the date specified in the service 
agreement. That beginning date may not be--
    (1) Earlier than the date the service agreement is signed; or
    (2) Earlier than the date the individual begins serving in the 
position for which he or she was recruited (when student loan repayment 
benefits are approved to recruit a job candidate to fill an agency 
position).
    (e) The service agreement must contain a provision addressing 
whether the individual would be required to reimburse the paying agency 
for student loan repayment benefits if he or she voluntarily separates 
from the paying agency to work for another agency before the end of the 
service period. (See Sec.  537.109(b)(2).)
    (f) The agency may include in a service agreement specific 
conditions (in addition to those required by law) that trigger the loss 
of eligibility for student loan repayment benefits and/or a requirement 
that the employee reimburse the agency for student loan repayment 
benefits already received. (See Sec. Sec.  537.108(a)(3) and 
537.109(a)(2).)

[[Page 585]]

However, a service agreement may not require reimbursement based on--
    (1) An employee's failure to maintain performance at a particular 
level (unless the employee is separated based on unacceptable 
performance); or
    (2) An involuntary separation for reasons other than misconduct, 
unacceptable performance, or a negative suitability determination under 
5 CFR part 731 (e.g., an involuntary separation resulting from a 
reduction in force or medical reasons).



Sec.  537.108  Loss of eligibility for student loan repayment benefits.

    (a) An employee receiving student loan repayment benefits from an 
agency is ineligible for continued benefits from that agency if the 
employee--
    (1) Separates from the agency;
    (2) Does not maintain an acceptable level of performance, as 
determined under standards and procedures prescribed by the agency; or
    (3) Violates a condition in the service agreement, if the agreement 
specifically provides that eligibility is lost when the condition is 
violated.
    (b) For the purpose of applying paragraph (a)(2) of this section, an 
acceptable level of performance is one that is equivalent to level 3 
(``Fully Successful'' or equivalent) or higher, as described in 5 CFR 
430.208(d). An employee loses eligibility for student loan repayment 
benefits if his or her most recent official performance evaluation does 
not meet this requirement.



Sec.  537.109  Employee reimbursements to the Government.

    (a) An employee is indebted to the Federal Government and must 
reimburse the paying agency for the amount of any student loan repayment 
benefits received under a service agreement if he or she--
    (1) Fails to complete the period of service required in the 
applicable service agreement (except as provided by paragraph (b) of 
this section); or
    (2) Violates any other condition that specifically triggers a 
reimbursement requirement under the agreement.
    (b) An agency may not apply paragraph (a) of this section based on 
an employee's failure to complete the required period of service 
established under a service agreement if--
    (1) The employee is involuntarily separated for reasons other than 
misconduct, unacceptable performance, or a negative suitability 
determination under 5 CFR part 731; or
    (2) The employee leaves the paying agency voluntarily to enter into 
the service of any other agency, unless reimbursement to the agency is 
otherwise required in the service agreement, as provided by Sec.  
537.107(e).
    (c) If an agency and an employee mutually agree to modify an 
existing service agreement to provide additional student loan repayment 
benefits for additional service (as provided by Sec.  537.107(b)), the 
modified service agreement may stipulate that, if the employee completes 
the initial service period but fails to complete the additional service 
period, he or she is required to reimburse the paying agency only for 
the amount of any student loan repayment benefits received during the 
additional service period.
    (d) If an employee fails to reimburse the paying agency for the 
amount owed under paragraph (a) of this section, a sum equal to the 
amount outstanding is recoverable 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 governing Federal debt collection if the 
individual is no longer a Federal employee.
    (e) An authorized agency official may waive, in whole or in part, a 
right of recovery of an employee's debt if he or she determines that 
recovery would be against equity and good conscience or against the 
public interest. (See 5 U.S.C. 5379(c)(3).)
    (f) Any amount reimbursed by, or recovered from, an employee under 
this section must be credited to the appropriation account from which 
the amount involved was originally paid. Any amount so credited must be 
merged with other sums in such account and must be available for the 
same purposes and time period, and subject to the same limitations (if 
any), as the sums with which merged. (See 5 U.S.C. 5379(c)(4).)

[[Page 586]]



Sec.  537.110  Records and reports.

    (a) Each agency must keep a record of each determination to provide 
student loan repayment benefits under this part and make such records 
available for review upon request by OPM. Such a record may be destroyed 
when 3 years have elapsed since the end of the service period specified 
in the employee's service agreement unless any dispute has arisen 
regarding the agreement. If the service agreement has not been 
fulfilled, there are other disputes regarding the agreement or the loan 
payouts, or the agreement has become the subject of litigation, the 
records should be kept until the agency is notified by agency counsel 
that all pending claims have been resolved, all litigation concluded, 
and any applicable periods for seeking further review has elapsed and, 
in any event, for a minimum of 6 years from the date the facts giving 
rise to the dispute occurred. If debt collection is pursued against the 
employee for repayments made by the agency, the agency must keep the 
records until the agency is notified by agency counsel that the debt is 
fully collected, compromised, or settled finally and that any applicable 
period for seeking further review has elapsed.
    (b) By March 31st of each year, each agency must submit a written 
report to OPM containing information about student loan repayment 
benefits it provided to employees during the previous calendar year. 
Each report must include the following information:
    (1) The number of employees who received student loan repayment 
benefits;
    (2) The job classifications of the employees who received student 
loan repayment benefits; and
    (3) The cost to the Federal Government of providing student loan 
repayment benefits.



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.

[[Page 587]]

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.

                        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 From Federal Employees

                               Definitions

550.301 Definitions.

                           General Provisions

550.311 Authority of agency.
550.312 General limitations.

                           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.

                      Alimony and/or Child Support

550.361 Scope.

                  Foreign Affairs Agency Organizations

550.371 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.
550.409 Evacuation payments during a pandemic health crisis.

                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_Computation of Pay for Biweekly Pay Periods

550.601 Purpose.
550.602 Coverage.
550.603 Definitions.
550.604 Biweekly pay periods and computation of pay.
550.605 Exceptions.
550.606 Reporting exceptions to OPM.

                         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 to Subpart H of Part 550--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.

[[Page 588]]

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 to Subpart I of Part 550--Schedule of Pay Differentials 
          Authorized for Hazardous Duty Under Subpart I
Appendix A-1 to Subpart I of Part 550--Windchill Chart

        Subpart J_Compensatory Time Off for Religious Observances

550.1001 Purpose.
550.1002 Coverage.
550.1003 Definitions.
550.1004 Employee responsibilities.
550.1005 Agency responsibilities.
550.1006 Scheduling time to earn and use religious compensatory time 
          off.
550.1007 Accumulation and documentation.
550.1008 Employee separation or transfer.
550.1009 Relationship to premium pay and overtime work.
550.1010 Transitional provisions.

    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.

               Subpart N_Compensatory Time Off for Travel

550.1401 Purpose.
550.1402 Coverage.
550.1403 Definitions.
550.1404 Creditable travel time.
550.1405 Crediting compensatory time off.
550.1406 Use of accrued compensatory time off.
550.1407 Forfeiture of unused compensatory time off.
550.1408 Prohibition against payment for unused compensatory time off.
550.1409 Inapplicability of premium pay and aggregate pay caps.

Subpart O_Flag Recognition Benefit for Fallen Federal Civilian Employees

550.1501 General.
550.1502 Coverage.
550.1503 Definitions.
550.1504 Eligibility.
550.1505 Order of precedence.
550.1506 Beneficiary receipt of a flag.
550.1507 Agency responsibilities.

             Subpart P_Overtime Pay for Border Patrol Agents

                           General Provisions

550.1601 Purpose and authority.
550.1602 Coverage.
550.1603 Definitions.
550.1604 Authority of U.S. Customs and Border Protection.
550.1605 Interpretation instruction.

       Assignment of Regular Tour of Duty and Overtime Supplement

550.1611 Assignments for an annual period.
550.1612 Assignments made at other times.
550.1613 Selection of agents for assignment.
550.1614 Limit on percentage of agents who do not have a Level 1 regular 
          tour of duty.
550.1615 Pay assignment continuity.
550.1616 Corrective actions.

                       Treatment of Overtime Work

550.1621 Rules for types of regular tour of duty.
550.1622 Circumstances requiring special treatment.
550.1623 Overtime work outside the regular tour of duty.
550.1624 Regularly scheduled overtime outside the regular tour of duty.
550.1625 Irregular overtime and compensatory time off.

[[Page 589]]

550.1626 Leave without pay during regular time and absences during 
          obligated overtime hours.

                    Relationship to Other Provisions

550.1631 Other types of premium pay.
550.1632 Hazardous duty pay.
550.1633 Treatment of overtime supplement as basic pay.
550.1634 Leave and other paid time off.
550.1635 Alternative work schedule.
550.1636 Exemption from Fair Labor Standards Act.
550.1637 Travel time.
550.1638 Official time.

    Source: 33 FR 12458, Sept. 4, 1968, unless otherwise noted.



                          Subpart A_Premium Pay

    Authority: 5 U.S.C. 5304 note, 5305 note, 5504(d), 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); section 2(h), Pub. L. 113-277, 128 Stat. 3005; 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 (Sec. Sec.  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 Sec. Sec.  550.121 and 550.122, pay for holiday work under 
Sec. Sec.  550.131 and 550.132, and pay for Sunday work under Sec. Sec.  
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 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.

[[Page 590]]

    (c) Employees to whom Sec. Sec.  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, Sec. Sec.  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 Sec. Sec.  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.
    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

[[Page 591]]

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 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 Sec. Sec.  
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 Sec. Sec.  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.

[[Page 592]]

    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. This includes 
an overtime supplement received by a Border Patrol agent under 5 U.S.C. 
5550 and subpart P of this part for regularly scheduled overtime hours 
within the agent's regular tour of duty and the dollar value of hours of 
compensatory time off earned by such an agent.
    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 locality payment under 5 CFR part 531, subpart F; special 
rate supplement under 5 CFR part 530, subpart C; retained rate under 5 
CFR part 536; or similar payment or supplement under other legal 
authority, 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.
    Regular tour of duty, with respect to a Border Patrol agent covered 
by 5 U.S.C. 5550 and subpart P of this part, means the basic 40-hour 
workweek plus any regularly scheduled overtime work hours that the agent 
is assigned to work as part of an officially established 5-day weekly 
work schedule generally consisting of--
    (1) 10-hour workdays (including 2 overtime hours each workday) in 
exchange for a 25-percent overtime supplement (Level 1); or
    (2) 9-hour workdays (including 1 overtime hour each workday) in 
exchange for a 12.5-percent overtime supplement (Level 2).
    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 an 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 tour of duty) that 
constitute an employee's regularly scheduled administrative workweek.

[33 FR 12458, Sept. 4, 1968]

    Editorial Note: For Federal Register citations affecting Sec.  
550.103, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.govinfo.gov.

                      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

[[Page 593]]

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.
    (d) The biweekly rates of pay for the GS-15 maximum rate and for 
level V of the Executive Schedule are computed as follows:
    (1) Compute an hourly rate by dividing the applicable published 
annual rate of basic pay by 2,087 hours and rounding the result to the 
nearest cent.
    (2) Compute the biweekly rate by multiplying the hourly rate from 
paragraph (d)(1) of this section by 80 hours.
    (e) Notwithstanding any other provision in this section, premium pay 
for protective services authorized by 18 U.S.C. 3056(a) is subject to 
the requirements in section 118 of the Treasury and General Government 
Appropriations Act of 2001 (as enacted into law by section 1(3) of 
Public Law 106-554).

[67 FR 19320, Apr. 19, 2002, as amended at 69 FR 55942, Sept. 17, 2004]



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 594]]

    (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 of pay by multiplying the biweekly rate 
from paragraph (d)(2) of this section by the number of pay periods for 
which a salary payment is issued in the given calendar year under the 
agency's payroll cycle (i.e., either 26 or 27 pay periods).
    (e) An agency may defer payment of some or all 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.
    (g) If an agency determines that the emergency or mission-critical 
work conditions are no longer in effect for an employee, it must resume 
application of the biweekly limitation. However, any premium pay the 
employee receives during the remainder of the calendar year is also 
subject to the annual limitation (as applied to any given pay period as 
described in paragraph (c) of this section).

[67 FR 19321, Apr. 19, 2002, as amended at 69 FR 55943, Sept. 17, 2004]



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;
    (4) Overtime pay for hours in the regular tour of duty of a 
firefighter covered by 5 U.S.C. 5545b; and
    (5) An overtime supplement for regularly scheduled overtime hours 
within a Border Patrol agent's regular tour of duty under 5 U.S.C. 5550.
    (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) The biweekly rates under paragraph (c) of this section are 
computed as provided in Sec.  550.105(d).
    (e) 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, as amended at 69 FR 55943, Sept. 17, 2004; 
80 FR 58111, Sept. 25, 2015]

                              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

[[Page 595]]

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 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.
    (j) For Border Patrol agents covered by 5 U.S.C. 5550 and subpart P 
of this part, overtime work means hours of work in excess of applicable 
thresholds, as specified in Sec.  550.1623, excluding hours that are--
    (1) Compensated by payment of an overtime supplement for regularly

[[Page 596]]

scheduled overtime within the agent's regular tour of duty under Sec.  
550.1621;
    (2) Compensated by the earning of compensatory time off under Sec.  
550.1625; or
    (3) Used in substitution or application under Sec.  550.1626.

[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; 80 FR 58111, Sept. 25, 2015]



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 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.

[[Page 597]]

    (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.
    (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 
300-3.1); 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

[[Page 598]]

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.
    (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 66632, Dec. 28, 1994; 64 FR 
69175, Dec. 10, 1999; 72 FR 12035, Mar. 15, 2007]



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 equal to the greater of--(i) one and one-half 
times the applicable minimum hourly rate of basic pay for GS-10 (as 
determined under paragraph (a) of this section); or (ii) the employee's 
hourly rate of basic pay, except as provided in 5 U.S.C. 5542(a)(3) and 
(5).
    (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

[[Page 599]]

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 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; 69 FR 26476, May 13, 2004]



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) Except as provided in paragraph (f)(2) of this section, an 
employee must use accrued compensatory time off to which he or she is 
entitled under paragraph (a) or (b) of this section by the end of the 
26th pay period after the pay period during which it was earned. The 
head of an agency, at his or her sole and exclusive discretion, may 
provide that an employee who fails to take compensatory time off to 
which he or she is entitled within 26 pay periods after the pay period 
during which it was earned must--
    (1) Receive payment for such unused compensatory time off at the 
dollar value prescribed in paragraph (g) of this section; or
    (2) Forfeit the unused compensatory time off, unless the failure to 
take the compensatory time off is due to an exigency of the service 
beyond the employee's control, in which case the agency head must 
provide payment for the unused compensatory time off at the dollar value 
prescribed in paragraph (g) of this section.

[[Page 600]]

    (e) Except as provided in paragraph (f)(2) of this section, 
compensatory time off to an employee's credit as of May 14, 2007 must be 
used by the end of the pay period ending 3 years after May 14, 2007. The 
head of an agency, at his or her sole and exclusive discretion, may 
provide that an employee who fails to take compensatory time off to 
which he or she is entitled by the end of the pay period ending 3 years 
after May 14, 2007 must--
    (1) Receive payment for such unused compensatory time off at the 
dollar value prescribed in paragraph (g) of this section; or
    (2) Forfeit the unused compensatory time off, unless the failure to 
take the compensatory time off is due to an exigency of the service 
beyond the employee's control, in which case the agency head must 
provide payment for the unused compensatory time off at the dollar value 
prescribed in paragraph (g) of this section.
    (f)(1) Except as provided in paragraph (f)(2) of this section, an 
employee with unused compensatory time off under paragraph (a) or (b) of 
this section who transfers to another agency or separates from Federal 
service before the expiration of the time limit established under 
paragraphs (d) or (e) of this section may receive overtime pay or 
forfeit the unused compensatory time off, consistent with the employing 
agency's policy established under paragraphs (d) and (e) of this 
section.
    (2) If an employee with unused compensatory time off under paragraph 
(a) or (b) of this section separates from Federal service or is placed 
in a leave without pay status under the following circumstances, the 
employee must be paid for unused compensatory time off at the dollar 
value prescribed in paragraph (g) of this section:
    (i) The employee separates or is placed in a leave without pay 
status to perform service in the uniformed services (as defined in 38 
U.S.C. 4303 and Sec.  353.102); or
    (ii) The employee separates or is placed in a leave without pay 
status because of an on-the-job injury with entitlement to injury 
compensation under 5 U.S.C. chapter 81.
    (g) 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; 72 FR 12035, Mar. 15, 2007]

                                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 hours of his 
tour of duty while he is in

[[Page 601]]

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.
    (e) Border Patrol agents. For a Border Patrol agent covered by 5 
U.S.C. 5550 and subpart P of this part, no night pay differential is 
payable for regularly scheduled overtime hours within the agent's 
regular tour of duty, as required by 5 U.S.C. 5550(b)(2)(C), (b)(3)(C), 
and (c)(1)(A). The overtime supplement payable for such scheduled 
overtime hours is not part of the agent's rate of basic pay used in 
computing the night pay differential for other hours that qualify for 
such a differential.

[33 FR 12458, Sept. 4, 1968, as amended at 48 FR 3934, Jan. 28, 1983; 80 
FR 58111, Sept. 25, 2015]

                          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.
    (d) For a Border Patrol agent covered by 5 U.S.C. 5550 and subpart P 
of this part, no holiday premium pay is payable for regularly scheduled 
overtime hours within the agent's regular tour of duty, as required by 5 
U.S.C. 5550(b)(2)(C), (b)(3)(C), and (c)(1)(A). The overtime supplement 
payable for such scheduled overtime hours is not part of the agent's 
rate of basic pay used in computing the holiday premium pay for other 
hours that qualify for such premium pay.

[33 FR 12458, Sept. 4, 1968, as amended at 80 FR 58111, Sept. 25, 2015]

[[Page 602]]

                  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 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.

[[Page 603]]

    (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 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

[[Page 604]]

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]

                  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

[[Page 605]]

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 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

[[Page 606]]

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 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.

[[Page 607]]

    (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 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 Sec. Sec.  
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

[[Page 608]]

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 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) An 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).
    (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; 72 FR 12036, Mar. 15, 2007; 76 FR 52539, 
Aug. 23, 2011]



Sec.  550.172  Relation to overtime, night, and holiday pay.

    (a) 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.
    (b) For a Border Patrol agent covered by 5 U.S.C. 5550 and subpart P 
of this part, no Sunday premium pay is payable for regularly scheduled 
overtime hours within the agent's regular tour of duty, as required by 5 
U.S.C. 5550(b)(2)(C), (b)(3)(C), and (c)(1)(A). The overtime supplement 
payable for such scheduled overtime hours is not part of the agent's 
rate of basic pay used in computing the Sunday premium pay for other 
hours that qualify for such premium pay.

[33 FR 12458, Sept. 4, 1968, as amended at 80 FR 58111, Sept. 25, 2015]

[[Page 609]]

                    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 Sec. Sec.  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 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

[[Page 610]]

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--
    (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

[[Page 611]]

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
    (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

[[Page 612]]

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 Sec. Sec.  
550.181 through 550.186) no later than--
    (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 Sec. Sec.  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, 5527, 5545a(h)(2)(B), 5550(d)(1)(B); 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 in an Internship Program (as described in 5 
CFR part 362, subpart B), provided such employee--
    (1) Was separated from the service, in a nonpay status, or a 
combination of

[[Page 613]]

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, excluding 
additional pay of any kind except the following, as applicable:
    (1) Any locality payment under 5 CFR part 531, subpart F; special 
rate supplement under 5 CFR part 530, subpart C; or similar payment or 
supplement under other legal authority;
    (2) Annual premium pay under 5 U.S.C. 5545(c) or availability pay 
under 5 U.S.C. 5545a;
    (3) Straight-time pay for regular overtime hours for firefighters 
under 5 U.S.C. 5545b (as provided in Sec.  550.1305(b));
    (4) Night differential for prevailing rate employees under 5 U.S.C. 
5343(f); and
    (5) An overtime supplement for regularly scheduled overtime within a 
Border Patrol agent's regular tour of duty under 5 U.S.C. 5550 (as 
allowed under 5 U.S.C. 5550(d)(1)(B)).

[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; 70 FR 
31313, May 31, 2005; 73 FR 66156, Nov. 7, 2008; 77 FR 28223, May 11, 
2012; 80 FR 58111, Sept. 25, 2015]



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

[[Page 614]]

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 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 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.

[[Page 615]]

    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 who satisfies the definition 
of that term in 5 U.S.C. 2105.
    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; 71 
FR 66828, Nov. 17, 2006]

                           General Provisions



Sec.  550.311  Authority of agency.

    (a) Mandatory allotments. An agency must 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) Two or more allotments to an employee's personal account(s) at a 
financial organization;
    (6) An allotment for child support and/or alimony payments under 
Sec.  550.361; and
    (7) Any allotment effecting a salary reduction as part of a flexible 
benefits plan established by the Office of Personnel Management in 
conformance with section 125 of title 26, United States Code.
    (b) Discretionary allotments. 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 (or designee). This paragraph does not 
constitute an independent authority for an agency to permit pretax 
allotments in addition to those authorized by the Office of Personnel 
Management as described in paragraph (a)(7) of this section.
    (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; 71 FR 66828, Nov. 17, 1006]



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.

[[Page 616]]

    (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 
Federal Employees Health Benefits premiums under Sec.  550.311(a)(7) and 
part 892 of this chapter 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; 71 FR 66828, Nov. 17, 2006]

                           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.

                      Alimony and/or Child Support



Sec.  550.361  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.

[46 FR 2325, Jan. 9, 1981. Redesignated at 71 FR 66828, Nov. 17, 2006]

                  Foreign Affairs Agency Organizations



Sec.  550.371  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

[[Page 617]]

ceases to be applicable to the employee.

[46 FR 2325, Jan. 9, 1981. Redesignated at 71 FR 66828, Nov. 17, 2006]



                  Subpart D_Payments During Evacuation

    Authority: 5 U.S.C. 5527; E.O. 10982, 3 CFR 1959-1963, p. 502.

    Source: 59 FR 66632, 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 66632, 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 family member 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.
    Domestic partner means a person in a domestic partnership with an 
employee or annuitant of the same sex.
    Domestic partnership means a committed relationship between two 
adults of the same sex in which the partners--
    (1) Are each other's sole domestic partner and intend to remain so 
indefinitely;
    (2) Maintain a common residence, and intend to continue to do so (or 
would maintain a common residence but for an assignment abroad or other 
employment-related, financial, or similar obstacle);
    (3) Are at least 18 years of age and mentally competent to consent 
to contract;
    (4) Share responsibility for a significant measure of each other's 
financial obligations;
    (5) Are not married or joined in a civil union to anyone else;
    (6) Are not the domestic partner of anyone else;
    (7) Are not related in a way that, if they were of opposite sex, 
would prohibit legal marriage in the U.S. jurisdiction in which the 
domestic partnership was formed;
    (8) Are willing to certify, if required by the agency, that they 
understand that willful falsification of any documentation required to 
establish that an individual is in a domestic partnership may lead to 
disciplinary action

[[Page 618]]

and the recovery of the cost of benefits received related to such 
falsification, as well as constitute a criminal violation under 18 
U.S.C. 1001, and that the method for securing such certification, if 
required, will be determined by the agency; and
    (9) Are willing promptly to disclose, if required by the agency, any 
dissolution or material change in the status of the domestic 
partnership.
    Evacuated employee means an employee of an agency who has received 
an order to evacuate.
    Family member means an individual with any of the following 
relationships to the employee:
    (1) Spouse, and parents thereof;
    (2) Sons and daughters, and spouses thereof;
    (3) Parents, and spouses thereof;
    (4) Brothers and sisters, and spouses thereof;
    (5) Grandparents and grandchildren, and spouses thereof;
    (6) Domestic partner, and children and parents thereof, including a 
domestic partner of any individual in paragraphs (2)-(5) of this 
definition; and
    (7) Any individual related by blood or affinity whose close 
association with the employee is the equivalent of a family 
relationship.
    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 66632, Dec. 28, 1994, as amended at 65 FR 41869, July 7, 2000; 77 
FR 42904, July 20, 2012]



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 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.

[[Page 619]]

    (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.
    (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

[[Page 620]]

regular travel per diem in accordance with the FTR.

[59 FR 66632, 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 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.

[[Page 621]]



Sec.  550.409  Evacuation payments during a pandemic health crisis.

    (a) An agency may order one or more employees to evacuate from their 
worksite and perform work from their home (or an alternative location 
mutually agreeable to the agency and the employee) during a pandemic 
health crisis without regard to whether the agency and the employee have 
a telework agreement in place at the time the order to evacuate is 
issued. Under these circumstances, an agency may designate the 
employee's home (or an alternative location mutually agreeable to the 
agency and the employee) as a safe haven and provide evacuation payments 
to the employee. An agency must compute the evacuation payments and 
determine the time period during which such payments will be made in 
accordance with Sec.  550.404. An evacuated employee at a safe haven may 
be assigned to perform any work considered necessary or required to be 
performed during the period of evacuation without regard to his or her 
grade, level, or title. The employee must have the necessary knowledge 
and skills to perform the assigned work. Failure or refusal to perform 
assigned work may be a basis for terminating evacuation payments, as 
well as disciplinary action.
    (b) The head of an agency, in his or her sole and exclusive 
discretion, may grant special allowance payments, based upon a case-by-
case analysis, to offset the direct added expenses incidental to 
performing work from home (or an alternative location mutually agreeable 
to the agency and the employee) during a pandemic health crisis.
    (c) An agency may terminate evacuation payments under the conditions 
listed in Sec.  550.407. An agency must make any necessary adjustments 
in pay consistent with Sec.  550.408 after the evacuation is terminated.

[71 FR 47693, Aug. 17, 2006, as amended at 72 FR 33148, June 15, 2007]



                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

[[Page 622]]

services cannot be readily obtained otherwise. The exception shall 
specify the position(s) to which it applies.
    (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_Computation of Pay for Biweekly Pay Periods

    Authority: 5 U.S.C. 5504; Public Law 108-136, 117 Stat. 1637.

    Source: 70 FR 24477, May 10, 2005, unless otherwise noted.



Sec.  550.601  Purpose.

    This subpart provides regulations to implement 5 U.S.C. 5504 to 
compute pay on a biweekly pay period basis for employees in an agency, 
as defined in Sec.  550.603.



Sec.  550.602  Coverage.

    (a) This subpart applies to--
    (1) An employee in or under an agency, except an employee excluded 
by paragraph (b) of this section;
    (2) The head of an agency;
    (3) The head of a military department, as defined in 5 U.S.C. 102;
    (4) A Foreign Service officer;
    (5) A member of the Senior Foreign Service;
    (6) A member of the Senior Executive Service; or
    (7) A member of the Federal Bureau of Investigation and Drug 
Enforcement Administration Senior Executive Service.
    (b) This subpart does not apply to--
    (1) An employee on the Isthmus of Panama in the service of the 
Panama Canal Commission; or
    (2) An employee or individual excluded from the definition of 
employee in 5 U.S.C. 5541(2), except employees excluded by 5 U.S.C. 
5541(2)(ii), (iii), and (xiv) through (xvii) are covered by this 
subpart.



Sec.  550.603  Definitions.

    In this subpart--
    Agency means an executive agency, as defined in 5 U.S.C. 105.
    Employee has the meaning given that term in 5 U.S.C. 2105.



Sec.  550.604  Biweekly pay periods and computation of pay.

    Agencies must apply the biweekly pay period and computation of pay 
provisions of 5 U.S.C. 5504 for employees covered by Sec.  550.602(a).



Sec.  550.605  Exceptions.

    An agency head or designee may deem that an employee excluded from 
coverage under Sec.  550.602(b)(2) is covered by 5 U.S.C. 5504 in 
situations where he or she determines that continuing to calculate the 
pay of such employees on a monthly or other basis would diminish the 
level of services provided to the public by the agency. An agency head 
or designee also may deem that otherwise excluded employees are covered 
by 5 U.S.C. 5504 when he or she determines that computing the pay of 
such employees under that provision of law would provide cost savings in 
agency operations.



Sec.  550.606  Reporting exceptions to OPM.

    Each agency must notify OPM in writing of any exceptions made under 
Sec.  550.605.



                         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.

[[Page 623]]

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.
    Comparison rate has the meaning given that term in Sec.  536.103 of 
this chapter, except paragraph (2) of that definition should be used for 
the purpose of comparing grades or levels of work for all situations not 
covered by paragraph (1) of that definition.
    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 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

[[Page 624]]

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) An overseas limited appointment with a time limitation;
    (3) 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;
    (4) A Veterans Recruitment Appointment under part 307 of this 
chapter; and
    (5) A Presidential Management Fellows Program appointment under 
Sec.  213.3402(c) 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, excluding 
additional pay of any kind except the following, as applicable:
    (1) Any locality payment under 5 CFR part 531, subpart F; special 
rate supplement under 5 CFR part 530, subpart C; or similar payment or 
supplement under other legal authority;
    (2) Annual premium pay under 5 U.S.C. 5545(c) or availability pay 
under 5 U.S.C. 5545a;
    (3) Straight-time pay for regular overtime hours for firefighters 
under 5 U.S.C. 5545b (as provided in Sec.  550.1305(b));
    (4) Night differential for prevailing rate employees under 5 U.S.C. 
5343(f); and
    (5) An overtime supplement for regularly scheduled overtime within a 
Border Patrol agent's regular tour of duty under 5 U.S.C. 5550 (as 
required by 5 U.S.C. 5550(d)(1)(A)).
    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

[[Page 625]]

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 comparison rate of 
the offered position must not be lower than the comparison 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.
    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; 70 FR 31313, May 31, 2005; 70 
FR 28783, May 19, 2005; 70 FR 72068, Dec. 1, 2005; 73 FR 66156, Nov. 7, 
2008; 77 FR 28223, May 11, 2012; 80 FR 58112, Sept. 25, 2015]



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;
    (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]

[[Page 626]]



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.
    (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

[[Page 627]]

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 
Sec. Sec.  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 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.

[[Page 628]]

    (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 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:

[[Page 629]]

    (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 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.

[[Page 630]]

    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 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

[[Page 631]]

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 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

[[Page 632]]

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]



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:

[[Page 633]]

    (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, 
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

[[Page 634]]

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]



   Sec. 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.
(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.

[[Page 635]]

 
(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 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--

[[Page 636]]

    (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 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

[[Page 637]]

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]



Sec. 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.
(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.
 

[[Page 638]]

 
   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.
(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,
 Sec.  Sec.   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.

[[Page 639]]

 
(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.
(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.
 

[[Page 640]]

 
              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.
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.
------------------------------------------------------------------------


[[Page 641]]


(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 642]]



       Sec. Appendix A-1 to Subpart I of Part 550--Windchill Chart
[GRAPHIC] [TIFF OMITTED] TC01SE91.002


[[Page 643]]



                   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_Compensatory Time Off for Religious Observances

    Authority: 5 U.S.C. 5550a.

    Source: 84 FR 17939, Apr. 29, 2019, unless otherwise noted.



Sec.  550.1001  Purpose.

    This subpart implements 5 U.S.C. 5550a, which permits an employee 
whose personal religious beliefs require the abstention from work during 
certain periods of time to elect to engage in overtime work and earn a 
special form of compensatory time off to make up for the time lost in 
meeting those personal religious requirements. Religious compensatory 
time off differs from other forms of compensatory time off in that the 
sole purpose is to adjust an employee's work schedule to accommodate a 
religious observance. The employee earns religious compensatory time off 
by spending an equal amount of time in overtime work before and/or after 
taking time from the employee's scheduled tour of duty to meet personal 
religious requirements. Hours worked to earn religious compensatory time 
off provide a time off credit in lieu of any pay that would otherwise be 
payable for that work.



Sec.  550.1002  Coverage.

    This subpart applies to each employee (as defined in 5 U.S.C. 2105) 
in or under an Executive agency (as defined in 5 U.S.C. 105) who has a 
scheduled tour of duty. The definition of ``employee'' in section 
5541(2) does not apply to this subpart.



Sec.  550.1003  Definitions.

    In this subpart:
    Overtime work means work performed by an employee outside his or her 
scheduled tour of duty for the purpose

[[Page 644]]

of making up time lost for meeting personal religious requirements, as 
such term is explained in the definition of ``religious compensatory 
time off'' in this section. It is also deemed to include work performed 
by a part-time employee outside of his or her scheduled tour of duty, 
even if that work is below applicable overtime thresholds (e.g., below 
40 hours in a week), and work an employee performs during holiday hours 
(within the employee's scheduled tour of duty) during which the employee 
would otherwise be excused from duty.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee, including 
any special rate under 5 CFR part 530, subpart C; locality rate under 5 
CFR part 531, subpart F; retained rate under 5 CFR part 536; or similar 
rate under other legal authority, before any deductions and excluding 
additional pay of any other kind. For example, a rate of basic pay does 
not include additional pay such as night shift differentials under 5 
U.S.C. 5343(f) or environmental differentials under 5 U.S.C. 5343(c)(4).
    Religious compensatory time off means compensatory time off, as 
authorized by 5 U.S.C. 5550a, under which an employee whose personal 
religious beliefs require the abstention from work during certain 
periods of time may elect to perform overtime work in order to make up 
for time the employee takes off to meet those personal religious 
requirements. Those requirements need not be officially mandated by a 
religious organization to which the employee belongs. It is sufficient 
that the employee's personal religious beliefs cause the employee to 
feel an obligation that he or she should be absent from work for a 
religious purpose. An employee approved to perform overtime work under 
this subpart will be granted an equal amount of compensatory time off 
from his or her scheduled tour of duty (in lieu of overtime pay or other 
pay otherwise payable) to meet his or her personal religious 
obligations.
    Scheduled tour of duty means the regular work hours in an 
established full-time or part-time work schedule during which the 
employee is charged leave or time off when absent.



Sec.  550.1004  Employee responsibilities.

    (a) An employee is required to provide his or her supervisor with a 
request for religious compensatory time off in advance of the religious 
observance by following the agency's procedures established in 
accordance with Sec. Sec.  550.1005 and 550.1006.
    (b) At the time the religious compensatory time off is requested, 
the employee must provide the agency with the following information:
    (1) The name and/or description of the religious observance that is 
the basis of the employee's request to be absent from work in order to 
meet the employee's personal religious requirements;
    (2) The date(s) and time(s) the employee plans to be absent to 
participate in the religious observances identified in paragraph (b)(1) 
of this section; and
    (3) The date(s) and time(s) the employee plans to perform overtime 
work to earn religious compensatory time off to make up for the absence.
    (c) An employee must comply with the agency's procedures for 
requesting religious compensatory time off, including any time 
limitations prescribed under Sec.  550.1006.
    (d) In the event that an adjustment to the dates and times of 
planned overtime work is required due to unforeseen circumstances, the 
employee must submit for approval a revised schedule to reflect those 
changes.



Sec.  550.1005  Agency responsibilities.

    (a) An agency may require an employee to submit his or her request 
to use religious compensatory time off with all the information 
specified in Sec.  550.1004(b) in a manner that is administratively 
acceptable to the agency. To the maximum extent practicable, the agency 
must require that the request be in writing (including electronic 
communications). If the agency accepts an oral request, the agency must 
document all the information specified in Sec.  550.1004(b) and must 
require the employee to submit a written document containing all the 
information as soon as practicable. An agency may require an employee to 
submit a

[[Page 645]]

request to use religious compensatory time off sufficiently in advance 
to accommodate necessary scheduling changes without interfering with the 
agency's ability to efficiently carry out its mission.
    (b) An agency must approve an employee's request to use religious 
compensatory time off unless the agency determines that approving the 
request would interfere with the agency's ability to efficiently carry 
out its mission. If the employee's request to use religious compensatory 
time off is denied, the agency must provide a written explanation as to 
the reason the request has been denied, regardless of whether the 
employee's request was written or oral.
    (c) The agency must provide the employee with an opportunity to earn 
religious compensatory time off before the deadline established in Sec.  
550.1006(c), although the specific timing of when an employee will be 
allowed to earn religious compensatory time off by performing overtime 
work is a matter of agency discretion based on the needs of the agency.



Sec.  550.1006  Scheduling time to earn and use religious compensatory time off.

    (a) The scheduling of time to earn and use religious compensatory 
time off by an employee is subject to the agency's approval as provided 
in Sec.  550.1005.
    (b) For an employee who earns religious compensatory time off prior 
to using it, religious compensatory time off may be earned up to 13 pay 
periods in advance of the pay period in which the targeted religious 
observance commences and must be linked to specific dates and times for 
future use, as compatible with agency mission requirements.
    (c)(1) An employee who uses religious compensatory time off prior to 
earning it must fulfill his or her obligation to perform overtime work 
in exchange for the advanced religious compensatory time off within 13 
pay periods after the pay period in which he or she used religious 
compensatory time off, or the agency must take action as provided in 
paragraph (c)(3) of this section.
    (2) The 13 pay periods described in paragraph (c)(1) of this section 
are calculated beginning with the first pay period beginning after the 
date on which the religious compensatory time off was used.
    (3) If the employee fails to earn religious compensatory time off 
within 13 pay periods after taking religious compensatory time off, the 
agency may take corrective action to eliminate or reduce the negative 
balance by making a corresponding reduction in the employee's balance of 
annual leave, credit hours, compensatory time off in lieu of regular 
overtime pay, compensatory time off for travel, or time-off awards. An 
agency may determine the order of precedence for applying the various 
types of paid time off to offset the negative balance. Any negative 
balance of religious compensatory time off remaining after any charging 
of these types of paid time off must be resolved by charging the 
employee leave without pay, which would result in an indebtedness that 
is subject to the agency's internal debt collection procedures.



Sec.  550.1007  Accumulation and documentation.

    (a) Agencies must keep records of the name and/or description of the 
religious observance, and the dates, times, and amount of religious 
compensatory time off each employee earns and uses. An agency must 
credit religious compensatory time off for work performed on a time-for-
time basis, under its time and attendance procedures.
    (b) Except as provided in paragraph (c) of this section, an employee 
may accumulate only the amount of religious compensatory time off needed 
to cover an approved absence for a religious observance that has already 
occurred or to cover an approved absence for a future religious 
observance. An employee may only accumulate the amount of religious 
compensatory time off needed to cover the specific dates and times for 
which the employee has submitted a request for religious compensatory 
time off under Sec.  550.1004.
    (c) If the employee does not use his or her earned religious 
compensatory time off as planned--

[[Page 646]]

    (1) The positive balance of unused compensatory time off may be 
redirected toward a future religious observance that has been approved, 
even if that future observance is more than 13 pay periods after the 
compensatory time off was originally earned (notwithstanding Sec.  
550.1006(b)); and
    (2) The employee may not earn any additional religious compensatory 
time off until the retained amount of religious compensatory time off 
has been used or the need to earn additional religious compensatory time 
off has been properly established and documented.
    (d) Accumulated religious compensatory time off that is not used as 
planned is not subject to time limits for usage. Unused religious 
compensatory time off hours remain to the employee's credit until used 
(subject to the agency's approval under Sec.  550.1005), or the 
employee's separation or transfer (subject to Sec.  550.1008), as 
applicable.



Sec.  550.1008  Employee separation or transfer.

    (a) Upon an employee's separation from Federal service or transfer 
to another Federal agency, the losing agency must compensate the 
employee for any positive balance of earned religious compensatory time 
off to his or her credit. The agency must pay the employee for hours of 
earned religious compensatory time off at the hourly rate of basic pay 
in effect at the time religious compensatory time off was earned.
    (b) For an employee who has a negative balance of religious 
compensatory time off upon an employee's separation from Federal service 
or transfer to another Federal agency, the losing agency may take 
corrective action to eliminate or reduce the negative balance by making 
a corresponding reduction in the employee's balance of annual leave, 
earned credit hours, compensatory time off in lieu of regular overtime 
pay, compensatory time off for travel, or time-off awards. An agency may 
determine the order of precedence for applying the various types of paid 
time off to offset the negative balance. Any negative balance of 
religious compensatory time off remaining after any charging of these 
types of paid time off must be resolved by charging the employee leave 
without pay, which would result in an indebtedness that is subject to 
the agency's internal debt collection procedures.
    (c) For purposes of applying paragraphs (a) and (b) of this section, 
an hourly rate of basic pay is computed by dividing the annual rate of 
basic pay by 2,087 hours (or 2,756 hours for firefighter hours subject 
to that divisor under subpart F of this part).



Sec.  550.1009  Relationship to premium pay and overtime work.

    The premium pay provisions for overtime work in subpart A of this 
part and section 7 of the Fair Labor Standards Act of 1938, as amended 
(FLSA), do not apply to overtime work performed by an employee that is 
used to earn religious compensatory time off under this subpart. The 
overtime hours worked to earn religious compensatory time off under this 
subpart do not create an entitlement to premium pay (including overtime 
pay) under subpart A of this part or FLSA overtime pay under 5 CFR part 
551. Religious compensatory time off is not considered in applying the 
premium pay limitations described in Sec. Sec.  550.105, 550.106, and 
550.107.



Sec.  550.1010  Transitional provisions.

    (a) This section applies only with respect to employees who as of 
May 29, 2019 had a positive balance of earned but unused religious 
compensatory time off hours or a negative balance (i.e., a debt) of used 
religious compensatory time off hours not yet repaid by earned hours.
    (b) If an employee described in paragraph (a) of this section has a 
negative balance (i.e., a debt) of used but not-yet-earned religious 
compensatory time off hours as of the date specified in paragraph (a) of 
this section, the 13 pay period limitation in Sec.  550.1006(c) is 
applied as if such date were the date on which the hours of religious 
compensatory time off were used.
    (c) If an employee described in paragraph (a) of this section has a 
positive balance of earned but unused religious compensatory time off 
hours as of the date specified in paragraph (a) of this section, the 
agency must confirm and document that the hours are connected

[[Page 647]]

to one or more specific religious observances requiring the employee's 
absence from work in order to meet the employee's personal religious 
requirements. The agency must give the employee an opportunity to direct 
all unused hours to such a future religious observance. If the employee 
does not so direct all of those unused hours, the employee may not earn 
any additional religious compensatory time off hours until the employee 
establishes a need to earn such time off hours.



    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--
    (i) Debts arising under the Internal Revenue Code (26 U.S.C. 1 et 
seq.);
    (ii) Debts arising under the tariff laws of the United States;
    (iii) 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); or
    (iv) Any other debt excluded by the FCCS or 31 CFR part 285.
    (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.
    (3) Compromise, suspension, or termination of collection actions. 
This subpart does not preclude the compromise, suspension, or 
termination of collection actions, where appropriate, as provided in the 
FCCS (31 CFR 900.4) or the use of alternative dispute resolution methods 
if they are not inconsistent with agency-specific laws and regulations.

[49 FR 27472, July 3, 1984, as amended at 63 FR 72099, Dec. 31, 1998; 79 
FR 530, Jan. 6, 2014]



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 Regulatory 
Commission; any nonappropriated fund instrumentality described in 5 
U.S.C. 2105(c); 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. If an

[[Page 648]]

agency under this definition is a component of an agency, the broader 
definition of agency may be used in applying the provisions of 5 U.S.C. 
5514(b) (concerning the authority to prescribe regulations).
    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, 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 Collections Standards published in 31 
CFR parts 900 through 904.
    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; 74 FR 23938, May 22, 2009; 79 FR 530, Jan. 6, 
2014]



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;

[[Page 649]]

    (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 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 a written notice at least 30 days before any 
deduction begins. (For debts outstanding more than 10 years on or before 
June 11, 2009, see also 31 CFR 285.7(d) for additional notification 
requirements.) The written notice must state 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 except as provided in paragraph (i) of this section) 
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

[[Page 650]]

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, Sec. Sec.  3729-3731 of 
title 31, United States Code, or any other applicable statutory 
authority; or
    (iii) Criminal penalties under Sec. Sec.  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 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 at 31 CFR 901.8). 
However, the amount deducted for any period under this subpart may 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 or a higher deduction has been ordered by a court under 
section 124 of Public Law 97-276 (96 Stat.1195).
    (j) Duration of deductions. Prescribe the duration of deductions 
under this subpart. 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

[[Page 651]]

of disposable pay (or other applicable limitation as provided in 
paragraph (i) of this section) 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 (1) 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.)
    (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; 79 FR 530, Jan. 6, 2014]



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.

    Agencies may initiate salary offset to collect a debt without time 
limitations on any debt outstanding after the Government's right to 
collect the debt first accrued. (See Sec.  550.1108 for requirement when 
debts are delinquent over 180 days.)

[79 FR 530, Jan. 6, 2014]

[[Page 652]]



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 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

[[Page 653]]

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 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

[[Page 654]]

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]



   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.

[[Page 655]]

    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, including 
any applicable locality payment under 5 CFR part 531, subpart F; special 
rate supplement under 5 CFR part 530, subpart C; or similar payment or 
supplement under other legal authority, before any deductions and 
exclusive of additional pay of any other kind.
    Transfer means the movement of an employee to another position 
without a break in service of 1 workday or more.

[64 FR 36771, July 8, 1999, as amended at 70 FR 31314, May 31, 2005]



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. 
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.

[[Page 656]]

    (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;
    (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

[[Page 657]]

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; unused compensatory time off earned under 5 U.S.C. 
5543 and Sec.  550.114(d) or Sec.  551.531(d) or under 5 U.S.C. 5542(g) 
and Sec.  550.1625; 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.

[64 FR 36771, July 8, 1999, as amended at 80 FR 58112, Sept. 25, 2015]



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 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) An employee's rate of basic pay (as defined in Sec.  550.1202);
    (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) at the applicable 
percentage rate received by a prevailing rate employee for all regularly 
scheduled periods of night shift duty covered by the unused annual leave 
as if the employee had continued to work beyond the effective date of 
separation, death, or transfer. In the case of an employee who is 
assigned to a regular rotating schedule involving work on both day and 
night shifts, the night differential is payable for that portion of the 
lump-sum period that would have occurred when the employee was scheduled 
to work night shifts.
    (ii) Premium pay under 5 U.S.C. 5545(c) or 5545a if the employee was 
receiving premium pay for the pay period

[[Page 658]]

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.
    (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 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.
    (iv) An overtime supplement for regularly scheduled overtime within 
a Border Patrol agent's regular tour of duty under 5 U.S.C. 5550, as in 
effect immediately prior to the date the agent became eligible for a 
lump-sum payment under Sec.  550.1203. The agency must base the lump-sum 
payment on the agent's assigned overtime supplement percentage. The 
assigned percentage will be considered fixed for the duration of the 
lump-sum annual leave projection period described in Sec.  550.1204, 
even if an annual period for elections under 5 U.S.C. 5550 begins during 
that projection period. In cases where the amount of the overtime 
supplement actually payable in a 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 the overtime supplement the 
agent could receive in a pay period.
    (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

[[Page 659]]

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.  837.303 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.

[64 FR 36771, July 8, 1999, as amended at 70 FR 31314, May 31, 2005; 72 
FR 12036, Mar. 15, 2007; 80 FR 58112, Sept. 25, 2015]



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 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

[[Page 660]]

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.
    (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-

[[Page 661]]

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 Sec. Sec.  
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 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.  362.203(f) 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.

[[Page 662]]

    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; 77 
FR 28223, May 11, 2012; 84 FR 17941, Apr. 29, 2019]



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 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;

[[Page 663]]

    (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 Sec. Sec.  
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 Sec. Sec.  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.  531.610 of this 
chapter, or other specific provision of law.

[63 FR 64593, Nov. 23, 1998, as amended at 67 FR 15467, Apr. 2, 2002; 70 
FR 31314, May 31, 2005]



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 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.



               Subpart N_Compensatory Time Off for Travel

    Authority: 5 U.S.C. 5548(a).

[[Page 664]]


    Source: 70 FR 3856, Jan. 27, 2005, unless otherwise noted.



Sec.  550.1401  Purpose.

    This subpart contains OPM regulations implementing 5 U.S.C. 5550b, 
which establishes a separate type of compensatory time off. Subject to 
the conditions specified in this subpart, an employee is entitled to 
earn, on an hour-for-hour basis, compensatory time off for time in a 
travel status away from the employee's official duty station when the 
travel time is not otherwise compensable.

[70 FR 3856, Jan. 27, 2005, as amended at 72 FR 19098, Apr. 17, 2007]



Sec.  550.1402  Coverage.

    This subpart applies to an employee as defined in 5 U.S.C. 5541(2) 
who is employed by an agency. In accordance with section 1111 of Public 
Law 110-181, 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, is covered by this 
subpart effective April 27, 2008.

[73 FR 30455, May 28, 2008]



Sec.  550.1403  Definitions.

    In this subpart:
    Accrued compensatory time off means the compensatory time off earned 
by an employee that has not been used or forfeited.
    Agency means an Executive agency as defined in 5 U.S.C. 105.
    Authorized agency official means the head of the agency or an 
official who is authorized to act for the head of the agency in the 
matter concerned.
    Compensable refers to periods of time that are creditable as hours 
of work for the purpose of determining a specific pay entitlement, even 
when that work time may not actually generate additional compensation 
because of applicable pay limitations.
    Compensatory time off means compensatory time off for travel that is 
credited under the authority of this subpart.
    Official duty station means the geographic area surrounding an 
employee's regular work site that is the same as the area designated by 
the employing agency for the purpose of determining whether travel time 
is compensable for the purpose of determining overtime pay, consistent 
with the regulations in 5 CFR 550.112(j) and 551.422(d).
    Regular working hours means the days and hours of an employee's 
regularly scheduled administrative workweek established under 5 CFR part 
610.
    Scheduled tour of duty for leave purposes means an employee's 
regular hours for which he or she may be charged leave under 5 CFR part 
630 when absent. For full-time employees, it is the 40-hour basic 
workweek as defined in 5 CFR 610.102. For employees with an uncommon 
tour of duty as defined in 5 CFR 630.201, it is the uncommon tour of 
duty.
    Travel means officially authorized travel--i.e., travel for work 
purposes that is approved by an authorized agency official or otherwise 
authorized under established agency policies. Time spent traveling in 
connection with union activities is excluded.
    Travel status means travel time as described in Sec.  550.1404 that 
is creditable in accruing compensatory time off for travel under this 
subpart, excluding travel time that is otherwise compensable under other 
legal authority.

[70 FR 3856, Jan. 27, 2005, as amended at 72 FR 19098, Apr. 17, 2007]



Sec.  550.1404  Creditable travel time.

    (a) General. Subject to the conditions specified in this subpart, an 
agency must credit an employee with compensatory time off for time in a 
travel status if--
    (1) The employee is required to travel away from the official duty 
station; and
    (2) The travel time is not otherwise compensable hours of work under 
other legal authority.
    (b)(1) Travel status. Time in a travel status includes the time an 
employee actually spends traveling between the official duty station and 
a temporary duty station, or between two temporary duty stations, and 
the usual waiting time that precedes or interrupts such travel, subject 
to the exclusion specified in paragraph (b)(2) of this

[[Page 665]]

section and the requirements in paragraph (c), (d) and (e) of this 
section. Time spent at a temporary duty station between arrival and 
departure is not time in a travel status. Time in a travel status ends 
when the employee arrives at the temporary duty worksite or his or her 
lodging in the temporary duty station, wherever the employee arrives 
first. Time in a travel status resumes when an employee departs from the 
temporary duty worksite or his or her lodging in the temporary duty 
station, from whichever the employee departs last. Travel time in 
connection with an employee's permanent change of station is not time in 
a travel status. Determinations regarding what is creditable as ``usual 
waiting time'' are within the sole and exclusive discretion of the 
employing agency.
    (2) If an employee experiences an extended (i.e., not usual) waiting 
time between actual periods of travel during which the employee is free 
to rest, sleep, or otherwise use the time for his or her own purposes, 
the extended waiting time is not creditable as time in a travel status.
    (c) Travel between home and a temporary duty station. (1) If an 
employee is required to travel directly between his or her home and a 
temporary duty station outside the limits of the employee's official 
duty station, the travel time is creditable as time in a travel status 
if otherwise qualifying under this subpart. However, the agency must 
deduct from such travel hours the time the employee would have spent in 
normal home-to-work or work-to-home commuting.
    (2) In the case of an employee who is offered one mode of 
transportation and who is permitted to use an alternative mode of 
transportation, or who travels at a time or by a route other than that 
selected by the agency, the agency must determine the estimated amount 
of time in a travel status the employee would have had if the employee 
had used the mode of transportation offered by the agency or traveled at 
the time or by the route selected by the agency. In determining time in 
a travel status under this subpart, the agency must credit the employee 
with the lesser of the estimated time in a travel status or the actual 
time in a travel status.
    (3) In the case of an employee who is on a multiple-day travel 
assignment and who chooses, for personal reasons, not to use temporary 
lodgings at the temporary duty station, but to return home at night or 
on a weekend, only travel from home to the temporary duty station on the 
1st day and travel from the temporary duty station to home on the last 
day that is otherwise qualifying as time in a travel status under this 
subpart is mandatorily creditable (subject to the deduction of normal 
commuting time). Travel to and from home on other days is not creditable 
travel time unless the agency, at its discretion, determines that credit 
should be given based on the net savings to the Government from reduced 
lodging costs, considering the value of lost labor time attributable to 
compensatory time off. The dollar value of an hour of compensatory time 
off for this purpose is equal to the employee's hourly rate of basic pay 
as defined in Sec.  550.103.
    (d) Time spent traveling to or from a transportation terminal as 
part of travel away from the official duty station. If an employee is 
required to travel between home and a transportation terminal (e.g., 
airport or train station) within the limits of his or her official duty 
station as part of travel away from that duty station, the travel time 
outside regular working hours to or from the terminal is considered to 
be equivalent to commuting time and is not creditable time in a travel 
status. If the transportation terminal is outside the limits of the 
employee's official duty station, the travel time to or from the 
terminal outside regular working hours is creditable as time in a travel 
status, but is subject to an offset for the time the employee would have 
spent in normal home-to-work or work-to-home commuting. If the employee 
travels between a worksite and a transportation terminal, the travel 
time outside regular working hours is creditable as time in a travel 
status, and no commuting time offset applies.
    (e) Travel involving two or more time zones. When an employee's 
travel involves two or more time zones, the time zone from the point of 
first departure must be used to determine how many hours the employee 
actually

[[Page 666]]

spent in a travel status for the purpose of accruing compensatory time 
off.

[70 FR 3856, Jan. 27, 2005, as amended at 72 FR 19098, Apr. 17, 2007]



Sec.  550.1405  Crediting compensatory time off.

    (a) Upon a request filed in accordance with the procedures 
established under paragraph (b) of this section, an employee is entitled 
to credit for compensatory time off for travel under the conditions 
specified in this subpart. The employing agency must credit an employee 
with compensatory time off for creditable time in a travel status as 
provided in Sec.  550.1404. The agency may authorize credit in 
increments of one-tenth of an hour (6 minutes) or one-quarter of an hour 
(15 minutes). Agencies must track and manage compensatory time off 
granted under this subpart separately from other forms of compensatory 
time off.
    (b) An employee must comply with his or her agency's procedures for 
requesting credit of compensatory time off under this section. Employees 
must file such requests within the time period required by the agency. 
An employee's request for credit of compensatory time off for travel may 
be denied if the request is not filed within the time period required by 
the agency.

[70 FR 3856, Jan. 27, 2005, as amended at 72 FR 19098, Apr. 17, 2007]



Sec.  550.1406  Use of accrued compensatory time off.

    (a) An employee must request permission from his or her supervisor 
to schedule the use of his or her accrued compensatory time off in 
accordance with agency-established policies and procedures.
    (b) Compensatory time off may be used when the employee is granted 
time off from his or her scheduled tour of duty established for leave 
purposes. An employee must use earned compensatory time off under this 
subpart in increments of one-tenth of an hour (6 minutes) or one-quarter 
of an hour (15 minutes). Agencies must charge compensatory time off in 
the chronological order in which it was earned, with compensatory time 
off earned first being charged first.

[70 FR 3856, Jan. 27, 2005, as amended at 72 FR 19098, Apr. 17, 2007]



Sec.  550.1407  Forfeiture of unused compensatory time off.

    (a) After 26 pay periods. (1) Except as provided in paragraphs 
(a)(2) and (e) of this section, an employee must use accrued 
compensatory time off by the end of the 26th pay period after the pay 
period during which it was earned. If an employee fails to use the 
compensatory time off within 26 pay periods after it was earned, he or 
she must forfeit such compensatory time off.
    (2) If an employee with unused compensatory time off separates from 
Federal service or is placed in a leave without pay status in the 
following circumstances and later returns to service with the same (or 
successor) agency, the employee must use all of the compensatory time 
off by the end of the 26th pay period following the pay period in which 
the employee returns to duty, or such compensatory time off will be 
forfeited:
    (i) The employee separates or is placed in a leave without pay 
status to perform service in the uniformed services (as defined in 38 
U.S.C. 4303 and 5 CFR 353.102) and later returns to service through the 
exercise of a reemployment right provided by law, Executive order, or 
regulation; or
    (ii) The employee separates or is placed in a leave without pay 
status because of an on-the-job injury with entitlement to injury 
compensation under 5 U.S.C. chapter 81 and later recovers sufficiently 
to return to work.
    (b) Upon transfer to another agency. When an employee voluntarily 
transfers to another agency (including a promotion or change to lower 
grade action), he or she must forfeit his or her unused compensatory 
time off.
    (c) Upon separation. (1) When an employee separates from Federal 
service, any unused compensatory time off is forfeited, except as 
provided in paragraph (c)(2) of this section.
    (2) Unused compensatory time off will not be forfeited but will be 
held in abeyance in the case of an employee who separates from Federal 
service and later returns to service with the same

[[Page 667]]

(or successor) agency under the circumstances described in paragraph 
(a)(2) of this section.
    (d) Upon movement to a noncovered position. When an employee moves 
to a Federal position not covered by this subpart, he or she forfeits 
any unused compensatory time off. This requirement does not prevent an 
agency from using another legal authority to give the employee credit 
for compensatory time off equal to the forfeited amount.
    (e) Exception due to an exigency. If an employee fails to use his or 
her compensatory time earned under Sec.  550.1404(a) by the end of the 
26th pay period after the pay period during which it was earned due to 
an exigency of the service beyond the employee's control, an authorized 
agency official, at his or her sole and exclusive discretion, may extend 
the time limit for using such compensatory time off for travel for up to 
an additional 26 pay periods.

[70 FR 3856, Jan. 27, 2005, as amended at 72 FR 19098, Apr. 17, 2007]



Sec.  550.1408  Prohibition against payment for unused compensatory time off.

    As provided by 5 U.S.C. 5550b(b), an individual may not receive 
payment under any circumstances for any unused compensatory time off he 
or she earned under this subpart. This prohibition against payment 
applies to surviving beneficiaries in the event of the individual's 
death.



Sec.  550.1409  Inapplicability of premium pay and aggregate pay caps.

    Accrued compensatory time off under this subpart is not considered 
in applying the premium pay limitations established under 5 U.S.C. 5547 
and 5 CFR 550.105 through 550.107 or the aggregate limitation on pay 
established under 5 U.S.C. 5307 and 5 CFR part 530, subpart B.



Subpart O_Flag Recognition Benefit for Fallen Federal Civilian Employees

    Authority: 5 U.S.C. 5570 note; also issued under Sec. 2 of Pub. L. 
112-73, 125 Stat.784-785.

    Source: 79 FR 53602, Sept. 10, 2014, unless otherwise noted.



Sec.  550.1501  General.

    (a) Statutory authority. This subpart implements the Civilian 
Service Recognition Act of 2011 (Public Law 112-73; December 20, 2011), 
reprinted as a note to 5 U.S.C.A. 5570, which authorizes agencies to 
give a flag of the United States to a beneficiary of a Federal civilian 
employee who dies of injuries incurred in connection with his or her 
employment with the Federal Government, under specific circumstances.
    (b) Eligibility. Agencies may furnish a flag to the beneficiary (as 
defined in Sec.  550.1503) of an eligible employee (as specified in 
Sec.  550.1504) who died on or after December 20, 2011.



Sec.  550.1502  Coverage.

    This subpart applies to--
    (a) Executive agencies as defined in section 105 of title 5, United 
States Code, the United States Postal Service, and the Postal Regulatory 
Commission; and
    (b) Employees as defined in section 2105 of title 5, United States 
Code; an officer or employee of the United States Postal Service; and an 
officer or employee of the Postal Regulatory Commission.



Sec.  550.1503  Definitions.

    In this subpart--
    Agency means an Executive agency as defined in 5 U.S.C. 105, the 
United States Postal Service, or the Postal Regulatory Commission.
    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.
    Beneficiary means the eligible person who may request the flag 
following the order of precedence specified in Sec.  550.1505.
    Employee means an employee as defined in section 2105 of title 5, 
United States Code; an officer or employee of the United States Postal 
Service; and an officer or employee of the Postal Regulatory Commission.
    Flag means a standard United States flag that is at least 3 feet by 
5 feet.

[[Page 668]]



Sec.  550.1504  Eligibility.

    (a) An authorized agency official may, upon the request of a 
beneficiary, furnish one United States flag for an individual who--
    (1) Was an employee of the agency at the time of death; and
    (2) Died of injuries incurred in connection with such individual's 
employment with the Federal Government suffered as a result of--
    (i) A criminal act;
    (ii) An act of terrorism;
    (iii) A natural disaster; or
    (iv) Other circumstances, as determined by the President.
    (b) An authorized agency official may not furnish a flag when the 
death is the result of--
    (1) Unlawful or negligent action of the employee;
    (2) Willful misconduct of the employee; or
    (3) Activities unrelated to the employee's status as a Federal 
employee.
    (c) The decision whether to furnish a flag to the beneficiary of an 
eligible employee is at the discretion of the agency. When an authorized 
agency official determines the agency will furnish a flag for a deceased 
eligible employee, the official must follow the order of precedence 
specified in Sec.  550.1505.



Sec.  550.1505  Order of precedence.

    If the authorized agency official determines the agency will furnish 
a flag, it must be issued to one beneficiary pursuant to the following 
order of precedence--
    (a) The widow or widower;
    (b) If none, to a child (including step, foster, or adopted child), 
according to age (i.e., oldest to youngest);
    (c) If none, to a parent (including step, foster, or adoptive 
parent);
    (d) If none, to a sibling (including step, half, or adopted 
sibling), according to age; (i.e., oldest to youngest);
    If none, to any individual related by blood or close family 
affiliation.



Sec.  550.1506  Beneficiary receipt of a flag.

    One eligible beneficiary, following the order of precedence in Sec.  
550.1505, may be provided a flag by the agency once the agency has--
    (a) Documented the date and nature of death of the employee and 
certified that it conforms to the eligibility criteria in Sec.  
550.1504;
    (b) Received a request from a beneficiary; and
    (c) Established the beneficiary's relationship to the deceased 
employee and determined whether the beneficiary may receive the flag, 
consistent with the order of precedence under 550.1505.



Sec.  550.1507  Agency responsibilities.

    To efficiently and effectively implement the provisions of the law 
and these regulations, an agency that wishes to furnish a flag pursuant 
to this part must --
    (a) Establish procedures for procuring and furnishing a flag, 
including reaching out to survivors of known eligible employees to 
provide information and offer assistance on obtaining a flag;
    (b) Notify its employees of the flag benefit annually; and
    (c) Disclose information necessary to prove that a deceased 
individual is an eligible employee as described in Sec.  550.1504 to the 
extent that such information is not classified and to the extent that 
such disclosure does not endanger the national security of the United 
States.



             Subpart P_Overtime Pay for Border Patrol Agents

    Authority: 5 U.S.C. 5548 and 5550(b)(1)(B) and (d)(1)(B); section 
2(h), Pub. L. 113-277, 128 Stat. 3005.

    Source: 80 FR 58112, Sept. 25, 2015, unless otherwise noted.

                           General Provisions



Sec.  550.1601  Purpose and authority.

    This subpart contains OPM regulations to implement section 2 of the 
Border Patrol Agent Pay Reform Act of 2014 (Pub. L. 113-277), which 
added section 5550 in title 5, United States Code, and made related 
statutory amendments. The Act created a special overtime pay program for 
Border Patrol agents in the U.S. Customs and Border Protection component 
within the Department of Homeland Security. OPM has authority under 5 
U.S.C.

[[Page 669]]

5548(a) to regulate subchapter V (Premium Pay) of chapter 55 of title 5, 
United States Code, including section 5550 and the Act's amendments to 
sections 5542 and 5547. OPM was also granted broad authority to 
promulgate necessary regulations to carry out the Act and the amendments 
made by the Act under section 2(h) of the Act.



Sec.  550.1602  Coverage.

    This subpart applies to an employee of the U.S. Customs and Border 
Protection component of the Department of Homeland Security (or any 
successor organization) who holds a position assigned to the Border 
Patrol Enforcement classification series 1896 or any successor series, 
consistent with classification standards established by OPM. Such an 
employee is referred to as a ``Border Patrol agent'' or ``agent'' in 
this subpart.



Sec.  550.1603  Definitions.

    For the purpose of this subpart--
    Advanced training means all training, other than initial training, 
provided on a whole-workday basis. Advanced training excludes training 
that covers only part of an 8-hour basic workday.
    Agent means a Border Patrol agent.
    Annual period means a 1-year period that begins on the first day of 
the first pay period beginning on or after January 1 of a given year and 
ends on the day before the first day of the first pay period beginning 
on or after January 1 of the next year. The term ``year'' in 5 U.S.C. 
5550(b)(1)(A) and (C) and the term ``leave year'' in 5 U.S.C. 
5542(g)(5)(A) are interpreted to be an annual period as defined here.
    Basic regular tour of duty means an officially established weekly 
regular tour of duty consisting of five 8-hour workdays (including no 
overtime hours) for which no overtime supplement is payable.
    Basic workday means the 8 nonovertime hours on a day within an 
agent's basic workweek.
    Basic workweek, for full-time employees, means the 40-hour workweek 
established in accordance with 5 CFR 610.111.
    Border Patrol agent means an employee to whom this subpart applies, 
as provided in Sec.  550.1602.
    CBP means the component of the Department of Homeland Security known 
as U.S. Customs and Border Protection (or any successor organization). 
When this term is used in the context of CBP making determinations or 
taking actions, it means management officials of CBP who are authorized 
to make the given determination or take the given action.
    Hybrid pay period means a biweekly pay period within which--
    (1) An agent has one type of established regular tour of duty for 
one part of the pay period and another type of regular tour of duty for 
a different part of the pay period; or
    (2) An individual is employed as an agent for only a portion of the 
pay period.
    Initial training means training for newly hired agents--including 
initial orientation sessions, basic training, and other preparatory 
activities--provided prior to the agent's first regular work assignment 
in which he or she will be authorized to make arrests and carry a 
firearm.
    Irregular overtime work means officially ordered or approved 
overtime work that is not regularly scheduled overtime work--i.e., 
overtime work that is not part of the agent's regularly scheduled 
administrative workweek.
    Leave without pay means a period of time within an agent's basic 
workweek during which the agent is in nonpay status, including periods 
of unpaid voluntary absence with approval, absence without approval 
(AWOL), suspension, or furlough.
    Level 1 regular tour of duty means an officially established weekly 
regular tour of duty generally consisting of five 10-hour workdays 
(including 2 overtime hours each workday) that provides entitlement to a 
25 percent overtime supplement.
    Level 2 regular tour of duty means an officially established weekly 
regular tour of duty generally consisting of five 9-hour workdays 
(including 1 overtime hour each workday) that provides entitlement to a 
12.5 percent overtime supplement.
    Obligated overtime hours means regularly scheduled overtime hours 
that an agent with a Level 1 or Level 2 regular tour of duty is 
obligated to work as

[[Page 670]]

part of the agent's regular tour of duty, if the agent performs any 
amount of work during regular time on same day, and that are converted 
into an overtime hours debt when the agent fails to work the hours.
    Overtime hours debt means the balance of obligated overtime hours 
not worked for which the agent has not satisfied the hours obligation by 
applying compensatory time off hours or other overtime hours of work 
outside the agent's regular tour of duty.
    Overtime supplement means a payment received (in addition to the 
regular amount of basic pay for nonovertime work) in exchange for 
regularly scheduled overtime work within an agent's Level 1 or Level 2 
regular tour of duty. For an agent who is assigned a 10-hour workday as 
part of the agent's Level 1 regular tour of duty, the overtime 
supplement is 25 percent. For an agent who is assigned a 9-hour workday 
as part of the agent's Level 2 regular tour of duty, the overtime 
supplement is 12.5 percent. The overtime supplement is computed as 
provided in Sec.  550.1621(a)(4) and (b)(4). For an agent with a Basic 
regular tour of duty, the overtime supplement is 0 percent.
    Pay period means a 14-day biweekly pay period.
    Rate of basic pay means the regular nonovertime rate of pay payable 
to an agent, excluding any overtime supplement, but including any 
applicable locality payment under 5 CFR part 531, subpart F; special 
rate supplement under 5 CFR part 530, subpart C; or similar payment or 
supplement under other legal authority, before any deductions and 
exclusive of additional pay of any other kind. An overtime supplement is 
included as part of an agent's rate of basic pay for purposes outside 
this subpart, as provided in Sec.  550.1633.
    Regularly scheduled administrative workweek, for a full-time 
employee, means the period within an administrative workweek, 
established in accordance with 5 CFR 610.111, within which the employee 
is regularly scheduled to work.
    Regularly scheduled work means work (including overtime work) that 
is scheduled in advance of an administrative workweek under an agency's 
procedures for establishing workweeks in accordance with 5 CFR 610.111.
    Regular time means the regular basic (nonovertime) hours within an 
agent's 8-hour basic workday within the 40-hour basic workweek.
    Regular tour of duty means the basic 40-hour workweek plus any 
regularly scheduled overtime work hours that the agent is assigned to 
work as part of an officially established 5-day weekly work schedule 
generally consisting of--
    (1) 10-hour workdays (including 2 overtime hours each workday) in 
exchange for a 25 percent overtime supplement (Level 1); or
    (2) 9-hour workdays (including 1 overtime hour each workday) in 
exchange for a 12.5 percent overtime supplement (Level 2).



Sec.  550.1604  Authority of U.S. Customs and Border Protection.

    Authorized management officials of U.S. Customs and Border 
Protection are responsible for determining the mission requirements and 
operational needs of the organization and have the right to assign 
scheduled and unscheduled work as necessary to meet those requirements 
and needs, regardless of an agent's officially established regular tour 
of duty. (See subsections (a) and (f)(1) of section 2 of Pub. L. 113-277 
and 5 U.S.C. 5550(g).)



Sec.  550.1605  Interpretation instruction.

    As required by section 2(f) of the Border Patrol Agent Pay Reform 
Act of 2014 (Public Law 113-277), nothing in section 2 of the Act or 
this subpart may be construed to require compensation of an agent other 
than for hours during which the agent is actually performing work or 
using approved paid leave or other paid time off. This section does not 
prevent CBP from granting paid excused absence from an agent's basic 
workweek under other authority.

       Assignment of Regular Tour of Duty and Overtime Supplement



Sec.  550.1611  Assignments for an annual period.

    (a) Annual period. The assignment of a regular tour of duty and 
overtime supplement to an agent is in effect for

[[Page 671]]

a full annual period (or the portion of such period during which the 
individual is employed as an agent), except as otherwise provided in 
this subpart. The annual period is a 1-year period that begins on the 
first day of the first pay period beginning on or after January 1 of a 
given year and ends on the day before the first day of the first pay 
period beginning on or after January 1 of the next year.
    (b) Information regarding annual election opportunity. No later than 
November 1 of each year, CBP must provide each currently employed agent 
with information regarding the opportunity to elect a regular tour of 
duty and corresponding overtime supplement for the next annual period. 
The information must include an explanation of election options and 
procedures. For an agent who will be in initial training status on the 
first day of the annual period, this paragraph is not applicable, and 
Sec.  550.1612(a) and (b) will apply instead.
    (c) Annual election opportunity. No later than December 1 of each 
year, an agent to whom paragraph (b) of this section is applicable may 
make an election among three options for the regular tour of duty and 
corresponding overtime supplement (as described in Sec.  550.1621) that 
the agent wishes to be applicable to him or her during the next annual 
period.
    (d) Failure to make an election. If an agent fails to make a timely 
election under paragraph (c) of this section, CBP must assign the agent 
a Level 1 regular tour of duty for the annual period (i.e., deemed 
election) with a 25 percent overtime supplement, except as otherwise 
provided in paragraph (f) of this section or Sec.  550.1622.
    (e) Effect of agent election. CBP must assign an agent the regular 
tour of duty elected by the agent under paragraph (c) or (d) of this 
section unless CBP informs the agent of an alternative assignment, as 
provided under paragraph (f) of this section or Sec.  550.1622. CBP may 
change the assignment during the annual period, as provided under Sec.  
550.1612(d). An annual election under paragraph (c) or (d) of this 
section that is superseded as provided under paragraph (f) of this 
section or Sec.  550.1622 remains as the default election in the event 
that the superseding circumstances cease to be applicable, subject to 
Sec.  550.1612(d).
    (f) Management assignment to tour. CBP may assign a different 
regular tour of duty than that elected by the agent under paragraph (c) 
or (d) of this section for an upcoming annual period under the following 
circumstances:
    (1) An agent who is assigned canine care duties must be assigned a 
Level 1 regular tour of duty, subject to Sec.  550.1622(c);
    (2) An agent who is unable to perform overtime on a daily basis, as 
determined by CBP, must be assigned a Basic regular tour of duty with no 
overtime supplement until such time as CBP determines the agent is able 
to perform the required overtime on a daily basis, subject to the rules 
in Sec.  550.1612(e);
    (3) An agent who holds a position at CBP headquarters, as a training 
instructor at a CBP training facility, or as a fitness instructor--or 
who holds another type of position that CBP has determined to be an 
administrative position-- must be assigned a Basic regular tour of duty 
unless CBP determines a Level 1 or Level 2 regular tour of duty may be 
assigned to the agent based on a comprehensive staffing analysis 
conducted for the agent's duty station as required by section 2(e) of 
the Border Patrol Agent Pay Reform Act of 2014 (Public Law 113-277);
    (4) CBP determines that an agent must be assigned to a Level 1 
regular tour of duty to ensure that not more than 10 percent (or higher 
percentage established under Sec.  550.1614(b)) of agents stationed at a 
location are assigned to a Level 2 regular tour of duty or a Basic 
regular tour of duty, as required by 5 U.S.C. 5550(b)(1)(E) and Sec.  
550.1614; or
    (5) CBP determines that assignment of a different regular tour of 
duty is necessary to comply with the pay assignment continuity 
provisions in 5 U.S.C. 5550(b)(1)(G) and Sec.  550.1615, notwithstanding 
any other provision of law or this subpart (including paragraphs (f)(1) 
through (4) of this section).
    (g) Temporary detail. If an agent is serving in a position under a 
temporary detail, that position may not be

[[Page 672]]

considered, for the purpose of applying paragraph (f)(3) of this 
section, to be the position held by the agent during the first 90 days 
of the detail. After completing 90 days under a temporary detail, an 
agent will be considered, for the purpose of applying paragraph (f)(3) 
of this section, to hold the position to which temporarily detailed for 
the remainder of the detail, notwithstanding the agent's official 
position of record.



Sec.  550.1612  Assignments made at other times.

    (a) Initial training period. An individual who is newly hired as an 
agent must be assigned a Basic regular tour of duty during any period of 
initial training. After completing any period of initial training, an 
agent must be assigned a Level 1 regular tour of duty for any portion of 
the annual period remaining at that point, except under applicable 
circumstances described in paragraph (f) of Sec.  550.1611 or paragraph 
(b) of this section.
    (b) Election by new agent. An agent who would otherwise be assigned 
a regular tour of duty under paragraph (a) of this section may submit an 
election of a different regular tour of duty to be effective on a 
prospective basis for the remaining portion of the annual period. CBP 
must provide the agent with election information no later than the date 
the agent begins a regular work assignment (i.e., after completing any 
period of initial training). CBP must assign an agent the regular tour 
of duty elected by the agent under this section unless CBP informs the 
agent of an alternative assignment based on the circumstances described 
in paragraph (f) of Sec.  550.1611. Such election must be submitted to 
CBP no later than 30 days after the agent begins a regular work 
assignment and, if approved by CBP, is effective on the first day of the 
first pay period beginning on or after the later of--
    (1) The date the election was submitted; or
    (2) The date the agent completed initial training.
    (c) Belated election for new agent's first annual period. An 
individual who is newly hired as an agent during the period beginning on 
November 2 and ending on the day before the first day of the next annual 
period may make an election to take effect at the beginning of the next 
annual period notwithstanding the normally applicable December 1 
election deadline, if the agent will not be in initial training status 
on the first day of the annual period. Such election must be submitted 
no later than 30 days after receiving election information, but before 
the first day of the annual period. Such an election is subject to the 
same requirements and conditions that apply to an election for an annual 
period under paragraphs (e) and (f) of Sec.  550.1611. If such election 
is not made, CBP must assign the agent a Level 1 regular tour of duty 
with a 25 percent overtime supplement for the next annual period, except 
under applicable circumstances described in paragraph (f) of Sec.  
550.1611.
    (d) Change in tour during annual period. CBP may change an agent's 
assigned regular tour of duty during an annual period based on a change 
in the circumstances described in Sec.  550.1611(f) or in Sec.  
550.1622. For example, an agent's regular tour of duty may be changed 
one or more times during an annual period as necessary to comply with 
the pay assignment continuity provision described in Sec.  
550.1611(f)(5). As provided in Sec.  550.1611(e), an annual election 
under Sec.  550.1611(c) or (d) that is superseded by operation of Sec.  
550.1611(f) or Sec.  550.1622 remains as the default election and 
becomes effective in the event that Sec.  550.1611(f) or Sec.  550.1622 
ceases to be applicable. A tour change under this paragraph is effective 
with the change in circumstances, as determined by CBP, except as 
otherwise provided in paragraph (e)(2) of this section and Sec.  
550.1622(c)(2).
    (e) Inability determination and effective date of tour change. The 
action to assign a Basic regular tour of duty based on a determination 
that an agent is unable to perform overtime on a daily basis under Sec.  
550.1611(f)(2) is subject to the following rules:
    (1) The inability determination may be made--
    (i) When an agent's law enforcement authority is revoked (e.g., in 
connection with an investigation, loss of security clearance, or a 
suspension);
    (ii) When an agent is unable to perform overtime duties for an 
extended

[[Page 673]]

period due to physical or health reasons; or
    (iii) For any other appropriate reason, as determined by CBP, but 
excluding inability based on lack of work (as opposed to inability based 
on the employee's availability).
    (2) The change to a Basic regular tour of duty is effective on the 
next workday following a CBP inability determination, except that--
    (i) CBP may delay the effective date to coincide with the beginning 
of a week or a biweekly pay period;
    (ii) CBP may delay the effective date as necessary to allow an agent 
who is able to work during regular time to exhaust a positive balance of 
unused compensatory time off (by applying that balance against the newly 
accruing overtime hours debt resulting from work during regular time);
    (iii) CBP may delay the effective date as necessary to allow an 
agent to use accrued paid leave or other paid time off if the agent will 
be performing no work during regular time for a continuous period;
    (iv) CBP may delay the effective date during a continuous period of 
leave without pay granted under 5 U.S.C. chapter 63, subchapter V 
(dealing with family and medical leave); and
    (v) CBP must delay the effective date during any period of paid 
leave, continuation of pay, or leave without pay granted in connection 
with application of 5 U.S.C. chapter 81 (dealing with workers' 
compensation due to a job-related injury).



Sec.  550.1613  Selection of agents for assignment.

    If application of paragraphs (f)(3) and (4) of Sec.  550.1611 (or 
application of those paragraphs through Sec.  550.1612) requires CBP to 
select agents for assignment to a particular regular tour of duty out of 
a pool of agents who prefer a different assignment, CBP must make any 
such selection consistent with an established written plan that includes 
the criteria that will be considered and the priority of those criteria. 
Such plan must be consistent with the requirements of this subpart.



Sec.  550.1614  Limit on percentage of agents who do not have
a Level 1 regular tour of duty.

    (a) CBP must take such action as is necessary, including unilateral 
assignment of agents to a Level 1 regular tour of duty, to ensure that 
not more than 10 percent of agents stationed at a location are assigned 
to a Level 2 regular tour of duty or a Basic regular tour of duty, as 
required by 5 U.S.C. 5550(b)(1)(E), notwithstanding any other provision 
of law or this subpart, except as provided by paragraphs (b), (c), and 
(d) of this section. For the purpose of this paragraph, the term 
``location'' means a Border Patrol sector, which includes all 
subordinate organizational structures and related geographic areas 
within the sector (e.g., stations).
    (b) CBP may waive the 10 percent limit in paragraph (a) of this 
section and apply a higher percentage limit if CBP determines it is able 
to adequately fulfill its operational requirements under that higher 
limit based on a comprehensive staffing analysis conducted for the 
agent's duty station under section 2(e) of the Border Patrol Agent Pay 
Reform Act of 2014 (Pub. L. 113-277).
    (c) The 10 percent limit in paragraph (a) does not apply to agents 
working at CBP headquarters or at a CBP training location.
    (d) Regardless of the percentage limits set under this section, 
assignments of regular tours of duty to individual agents must be made 
consistent with the requirement to ensure pay assignment continuity 
under Sec.  550.1615.



Sec.  550.1615  Pay assignment continuity.

    (a) Plan. (1) In consultation with OPM, CBP must develop and 
implement a plan to ensure, to the greatest extent practicable, that the 
assignment of a regular tour of duty to an agent during all consecutive 
3-year periods within the control period specified in paragraph (b) of 
this section produces an average overtime supplement percentage (during 
each 3-year period) that is consistent with the agent's average overtime 
supplement percentage during the course of the agent's career prior to 
the beginning of

[[Page 674]]

that control period, subject to paragraph (c) of this section. The 
purpose of this plan is to protect the retirement fund and ensure that 
agents are not able to artificially enhance their retirement annuities 
during the period when the high-3 average pay may be determined (in 
accordance with 5 U.S.C. 8331(4) or 5 U.S.C. 8401(3)).
    (2) In applying paragraph (a)(1) of this section, the career average 
overtime supplement percentage for an agent is the greater of--
    (i) The average of overtime supplement percentages (25 percent, 12.5 
percent, or 0 percent) assigned during service as an agent on or after 
January 10, 2016, that is prior to the beginning of the agent's control 
period (as specified in paragraph (b) of this section); or
    (ii) The average of the overtime supplement percentages during all 
service as an agent that is prior to the beginning of the agent's 
control period (as specified in paragraph (b) of this section), with 
assigned overtime supplement percentages (25, 12.5, or 0 percent) 
assigned during service on or after January 10, 2016, and with assigned 
percentages of administratively uncontrollable overtime under 5 U.S.C. 
5545(c)(2) treated as overtime supplement percentages for any period of 
service prior to January 10, 2016.
    (3) In applying paragraph (a)(2) of this section, the assigned 
overtime supplement percentage is used regardless of whether or not the 
payable amount of the overtime supplement is limited by a premium pay 
cap.
    (4) In applying paragraph (a)(2) of this section, if an agent's 
control period begins on January 10, 2016, as provided in paragraph (b), 
the agent's initially assigned overtime supplement percentage must be 
considered the agent's career average under paragraph (a)(2)(i).
    (b) Control period. The period of time during which CBP must control 
an agent's assignment to a regular tour of duty (i.e., the control 
period) begins on the date 3 years before the agent meets age and 
service requirements for an immediate retirement and remains in effect 
during all subsequent service in a Border Patrol agent position. If, as 
of January 10, 2016, the date that is 3 years before the agent first met 
age and service requirements for an immediate retirement has already 
passed, then the agent's control period is considered to have begun on 
January 10, 2016.
    (c) Consistency requirement. (1) The consistency requirement in 
paragraph (a) of this section is considered to be met when the agent's 
average overtime supplement percentage during all consecutive 3-year 
periods within the control period specified in paragraph (b) of this 
section is within 2.5 percentage points of the agent's average overtime 
supplement percentage during the course of the agent's career prior to 
the beginning of that control period, except as provided in paragraph 
(c)(2) of this section.
    (2) Notwithstanding the consistency requirement in paragraph (a) of 
this section, the CBP plan may allow an agent to be assigned a regular 
tour of duty that provides an overtime supplement percentage that is 
less than that necessary to produce an average percentage (during all 
consecutive 3-year periods within the control period specified in 
paragraph (b)) that is consistent with the agent's career average 
percentage if--
    (i) The agent's overtime supplement is limited by the premium pay 
cap under Sec. Sec.  550.105 and 550.107 and the agent voluntarily 
elects a regular tour of duty providing such a lesser overtime 
supplement percentage that is approved by CBP; or
    (ii) CBP determines an agent is unable to perform overtime on a 
daily basis due to a physical or medical condition affecting the agent 
and assigns the agent a Basic regular tour of duty, as described in 
Sec.  550.1611(f)(2), (but only if such assignment makes it impossible 
to satisfy the consistency requirement during any given consecutive 3-
year period).
    (d) CBP authority. (1) CBP may take such action as is necessary, 
including the unilateral assignment of a regular tour of duty to 
implement the plan described in paragraph (a) of this section, 
notwithstanding any other provision of law or this subpart, except as 
provided in paragraph (d)(2) of this section.
    (2) Notwithstanding the requirements of 5 U.S.C. 5550(b)(1)(G) and 
this section, CBP is authorized to assign

[[Page 675]]

agents to regular tours of duty as necessary to meet operational 
requirements. Before exercising the authority to allow assignment of a 
regular tour of duty that does not comply with the plan described in 
paragraph (a) of this section, CBP must first determine that it cannot 
adequately address the specific operational requirements in question by 
other means, such as the assignment of overtime work outside the regular 
tour of duty to the affected agent or other agents. If this authority is 
exercised, CBP must return an affected agent to a regular tour of duty 
that complies with the plan described in paragraph (a) of this section 
as soon as possible.
    (e) Reporting requirements--(1) Annual data reporting for agents 
within their control period. For each agent within the control period 
specified in paragraph (b) of this section, CBP must provide to OPM no 
later than March 30th of each year the following information (in a 
format specified by OPM) based on data compiled through the end of the 
most recent annual period:
    (i) The date the agent became subject to controls on the assignment 
to a regular tour of duty;
    (ii) The date the agent will become subject to mandatory separation 
under 5 U.S.C. 8335(b) or 5 U.S.C. 8425(b);
    (iii) The service computation date based on eligibility under 5 
U.S.C. 8336(c) or 5 U.S.C. 8412(d);
    (iv) The average overtime supplement percentage during the course of 
the agent's career prior to the beginning of the control period 
specified in paragraph (b);
    (v) The average overtime supplement percentage for the time period 
beginning with the date the agent became subject to controls on the 
assignment to a regular tour of duty and ending on the last day of the 
most recent annual period;
    (vi) The average overtime supplement percentage for the last three 
annual periods (excluding any time that was not within a control period 
specified in paragraph (b) of this section);
    (vii) The average overtime supplement percentage for the most recent 
annual period (excluding any time that was not within a control period 
specified in paragraph (b) of this section), and;
    (viii) Any other information requested by OPM.
    (2) Annual data reporting for all agents. No later than March 30th 
of each year, CBP must provide to OPM the following information (in a 
format specified by OPM) for each agent compiled for the preceding 
calendar year based on salary payments made during that year:
    (i) The amount of earnings subject to retirement deductions, 
including overtime supplement payments, received during the most recent 
calendar year;
    (ii) The amount of earnings subject to retirement deductions during 
the most recent calendar year minus the total amount of the overtime 
supplement payments during that year;
    (iii) The service computation date computed as though law 
enforcement officer service is regular employee service (i.e., the 
``regular'' SCD);
    (iv) The service computation date computed with credit for law 
enforcement officer service, and any other service creditable for 
eligibility under 5 U.S.C. 8336(c) or 5 U.S.C. 8412(d) (i.e., the 
``LEO'' SCD);
    (v) Date of birth;
    (vi) Gender;
    (vii) Retirement system (e.g., CSRS, FERS, FERS-RAE, FERS-FRAE); and
    (viii) Any other information requested by OPM.
    (3) Additional data. CBP must provide additional data as requested 
by OPM at any time, including data on the percentage rate of 
administratively uncontrollable overtime under Sec.  550.154 during the 
period before the annual period that begins in January 2016.
    (f) Corrective actions. If it is determined that the consistency 
requirement described in paragraphs (a) and (c) of this section is not 
being met for a particular agent, CBP must document why the differential 
occurred and establish any necessary actions, including the modification 
of the plan described in paragraph (a) of this section, to ensure that 
the goal of pay assignment continuity is achieved going forward. 
Consistent with Sec.  550.1616(b), CBP is not required to retroactively 
correct an agent's assigned tour or

[[Page 676]]

overtime supplement based on violation of the consistency requirement, 
except when CBP determines there exists, in connection with an agent's 
assigned overtime supplement, evidence of fraud, misrepresentation, 
fault, or lack of good faith on the part of that agent.



Sec.  550.1616  Corrective actions.

    (a) Except at provided in paragraph (b) of this section, an error 
made in connection with the assignment of an agent's regular tour of 
duty (including any associated overtime supplement) must be corrected as 
soon as possible.
    (b) A retroactive correction of a tour assignment (i.e., actual 
assigned work schedule as opposed to an error in the payroll system) may 
not be made in the following circumstances, unless CBP determines there 
exists, in connection with an agent's assigned tour, evidence of fraud, 
misrepresentation, fault, or lack of good faith on the part of the 
affected agent:
    (1) Correction of an error in applying the consistency requirement 
described in Sec. Sec.  550.1611(f)(5) and 550.1615; and
    (2) Correction of an error that caused an employee to have a Level 1 
regular tour of duty based solely on misapplication of the applicable 
percentage limitation described in Sec. Sec.  550.1611(f)(4) and 
550.1614.

                       Treatment of Overtime Work



Sec.  550.1621  Rules for types of regular tour of duty.

    (a) Level 1 regular tour of duty. For an agent with a Level 1 
regular tour of duty and a 25 percent overtime supplement, the following 
rules apply:
    (1) The agent has an officially established weekly regular tour of 
duty generally consisting of five 10-hour workdays (an 8-hour basic 
workday and 2 regularly scheduled overtime hours);
    (2) The agent's 8-hour basic workday (regular time) may be 
interrupted by an unpaid off-duty meal break;
    (3) The obligation to perform 2 hours of overtime work on a day 
including part of the agent's regular tour of duty does not apply if the 
agent performs no work during regular time on that day, subject to 
paragraph (e) of this section;
    (4) As compensation for regularly scheduled overtime hours within 
the regular tour of duty, the agent is entitled to an overtime 
supplement equal to 25 percent of the agent's hourly rate of basic pay 
times the number of paid hours of regular time for the agent in the pay 
period (subject to the premium cap in Sec. Sec.  550.105 and 550.107 and 
the restriction in Sec.  550.1626(a)(5)), and no additional compensation 
or compensatory time off may be provided for such overtime hours;
    (5) For any additional regularly scheduled overtime hours outside 
the regular tour of duty, the agent is entitled to overtime pay as 
provided in Sec.  550.1624, except as otherwise provided by Sec.  
550.1626;
    (6) For any irregular overtime hours, the agent is entitled to be 
credited with compensatory time off as provided in Sec.  550.1625, 
except as otherwise provided by Sec.  550.1626;
    (7) The agent must be charged corresponding amounts of paid leave, 
compensatory time off, other paid time off, or time in nonpay status for 
each hour (or part thereof) the agent is absent from duty during regular 
time, as provided in Sec.  550.1634, except as otherwise provided in 
Sec.  550.1626(a); and
    (8) If the agent is absent during regularly scheduled overtime hours 
within the agent's regular tour of duty that the agent is obligated to 
work, the agent accrues an obligation to perform other overtime work for 
each hour (or part thereof) the agent is absent, and such obligation 
must be satisfied as provided in Sec.  550.1626.
    (b) Level 2 regular tour of duty. For an agent with a Level 2 
regular tour of duty and a 12.5 percent overtime supplement, the 
following rules apply:
    (1) The agent has an officially established weekly regular tour of 
duty generally consisting of five 9-hour workdays (an 8-hour basic 
workday and 1 regularly scheduled overtime hour);
    (2) The agent's 8-hour basic workday (regular time) may be 
interrupted by an unpaid off-duty meal break;
    (3) The obligation to perform 1 hour of overtime work on a day 
including part of the agent's regular tour of duty does not apply if the 
agent performs no work during regular time on that day, subject to 
paragraph (e) of this section;

[[Page 677]]

    (4) As compensation for regularly scheduled overtime hours within 
the regular tour of duty, the agent receives an overtime supplement 
equal to 12.5 percent of the agent's hourly rate of basic pay times the 
number of paid hours of regular time for the agent in the pay period 
(subject to the premium cap in Sec. Sec.  550.105 and 550.107 and the 
restriction in Sec.  550.1626(a)(5)), and no additional compensation or 
compensatory time off may be provided for such overtime hours;
    (5) For any additional regularly scheduled overtime hours outside 
the regular tour of duty, the agent is entitled to overtime pay as 
provided in Sec.  550.1624, except as otherwise provided by Sec.  
550.1626;
    (6) For any irregular overtime hours, the agent is entitled to be 
credited with compensatory time off as provided in Sec.  550.1625, 
except as otherwise provided by Sec.  550.1626;
    (7) The agent must be charged corresponding amounts of paid leave, 
compensatory time off, other paid time off, or time in nonpay status for 
each hour (or part thereof) the agent is absent from duty during regular 
time, as provided in Sec.  550.1634, except as otherwise provided in 
Sec.  550.1626(a); and
    (8) If the agent is absent during regularly scheduled overtime hours 
within the agent's regular tour of duty that the agent is obligated to 
work, the agent accrues an obligation to perform other overtime work for 
each hour (or part thereof) the agent is absent, and such obligation 
must be satisfied as provided in Sec.  550.1626.
    (c) Basic regular tour of duty. For an agent with a Basic regular 
tour of duty that includes no scheduled overtime hours and provides no 
overtime supplement, the following rules apply:
    (1) The agent has an officially established weekly regular tour of 
duty generally consisting of five 8-hour basic workdays;
    (2) The agent's 8-hour basic workday (regular time) may be 
interrupted by an unpaid off-duty meal break;
    (3) For any regularly scheduled overtime hours, the agent is 
entitled to overtime pay as provided in Sec.  550.1624, except as 
otherwise provided by Sec.  550.1626;
    (4) For any irregular overtime hours, the agent is entitled to be 
credited with compensatory time off as provided in Sec.  550.1625, 
except as otherwise provided by Sec.  550.1626; and
    (5) The agent must be charged corresponding amounts of paid leave, 
compensatory time off, other paid time off, or time in nonpay status for 
each hour (or part thereof) the agent is absent from duty during regular 
time, as provided in Sec.  550.1634, except as otherwise provided in 
Sec.  550.1626(a).
    (d) Effect of premium pay cap. If a premium pay cap established 
under 5 U.S.C. 5547 and Sec. Sec.  550.105 and 550.107 limits payment of 
an overtime supplement or regularly scheduled overtime pay, or limits 
crediting of compensatory time off, the affected agent is still required 
to perform assigned overtime work.
    (e) Meaning of ``work''. In applying paragraphs (a)(3) and (b)(3) of 
this section, the term ``work'' refers to paid hours of work, consistent 
with Sec.  550.112, except that paid leave and other paid time off when 
an agent is excused from duty are not considered to be work hours. 
Official time under 5 U.S.C. 7131 during regular time is considered to 
be paid hours of ``work'' during the time an employee otherwise would be 
in a duty status.
    (f) Approval of absences. Any absence during obligated overtime 
hours (as described in paragraphs (a)(8) and (b)(8) of this section) is 
subject to management approval under CBP policies.



Sec.  550.1622  Circumstances requiring special treatment.

    (a) General. The rules in paragraphs (b) and (c) of this section 
provide for special treatment based on specified circumstances and apply 
notwithstanding any other provision of this subpart.
    (b) Advanced training. (1) During the first 60 days of advanced 
training in a calendar year, an agent's assigned regular tour of duty 
must be considered to continue and the agent must be deemed to have 
worked during any nonwork period within obligated overtime hours for the 
purpose of determining the agent's total hours to be compared to the 
applicable overtime threshold (as provided in Sec.  550.1623(a)(2)(iv)), 
except

[[Page 678]]

as provided under paragraph (b)(2) of this section.
    (2) If an agent, during the period covered by paragraph (b)(1) of 
this section, performs creditable overtime work outside the agent's 
regular tour of duty on a day when the agent performed less than the 
required amount of obligated overtime work, the overtime work outside 
the regular tour of duty must be applied towards the obligated overtime 
hours, as provided in Sec.  550.1626(b). After any such substitution, 
CBP must credit the agent with hours of work for any remaining nonwork 
time during obligated overtime hours on the same day for the purpose of 
determining the agent's total hours to be compared to the applicable 
overtime threshold. For example, if an agent performs 2 creditable hours 
of regularly scheduled overtime work outside the agent's Level 1 regular 
tour of duty on a training day when the agent performed half an hour of 
work during the 2 hours of obligated overtime, CBP would substitute 1.5 
hours of regularly scheduled overtime outside the regular tour of duty 
for 1.5 hours of obligated overtime when no work was performed. CBP 
would not provide the agent with any credit for nonwork hours under 
paragraph (b)(1) of this section, since the 0.5 hours of actual work 
plus the 1.5 substituted hours account for the entire 2-hour period. The 
agent would be paid for the unsubstituted half hour of creditable 
regularly scheduled overtime work under Sec.  550.1624.
    (3) For days of advanced training in excess of 60 days in a calendar 
year, an agent must be assigned a Basic regular tour of duty and be 
treated accordingly. If this results in a hybrid pay period in which an 
agent has two types of regular tours of duty within the same biweekly 
pay period, CBP must determine the number of overtime hours outside the 
regular tour of duty as provided in Sec.  550.1623(c). For an agent who 
is assigned a Basic regular tour of duty during advanced training under 
this paragraph, CBP must change the agent's regular tour of duty to the 
type in effect before the Basic tour was assigned when the agent is no 
longer participating in advanced training.
    (4) Paragraphs (b)(1) through (3) of this section apply solely to 
advanced training that is provided in whole-workday increments (i.e., 
covering an entire 8-hour basic workday).
    (c) Canine care. (1) For an agent assigned to provide care for a 
canine and assigned to the Level 1 regular tour of duty border patrol 
rate of pay, the combined sum of basic pay plus the 25 percent overtime 
supplement is considered to provide compensation for all canine care. 
Such an agent must be credited with 1 hour of regularly scheduled 
overtime work as part of the regular tour of duty on each day containing 
a part of that tour, without regard to the actual duration of such care 
or the time and day when such care was actually provided. That leaves 
the agent with an additional obligation to perform 1 other hour of 
regularly scheduled overtime work as part of the agent's regular tour of 
duty on any day containing a part of the employee's tour, if the agent 
performs work during regular time on that day and thus has obligated 
overtime hours. An agent may receive no other compensation or 
compensatory time off for hours of canine care beyond what is 
specifically provided under this paragraph.
    (2) If an agent is generally assigned to provide care for a canine, 
but is temporarily relieved of that duty for any reason (e.g., no dog 
available), the agent may not receive the 1-hour credit for canine care 
on a day when the agent is relieved from providing canine care. If the 
period during which the agent is temporarily relieved from providing 
canine care lasts more than two full pay periods, CBP must assign the 
agent's tour based on the agent's default election for the annual period 
as provided in Sec.  550.1611(c) or (d) unless other circumstances 
described in paragraph (f) of Sec.  550.1611 are applicable. For shorter 
periods, the Level 1 regular tour of duty assigned based on canine care 
responsibilities will continue unless the agent requests a different 
tour based on the agent's default election for the annual period.



Sec.  550.1623  Overtime work outside the regular tour of duty.

    (a) General. (1) For the purpose of determining hours of overtime 
work outside an agent's regular tour of duty in order to apply 
Sec. Sec.  550.1624, 550.1625, and

[[Page 679]]

550.1626, CBP must apply the applicable biweekly overtime threshold 
prescribed in paragraphs (b) and (c) of this section. An agent's total 
hours of work (as determined under paragraph (a)(2) of this section) 
must be compared to the applicable threshold, and hours in excess of 
that threshold are overtime hours in applying Sec. Sec.  550.1624, 
550.1625, and 550.1626. The 8-hour daily and 40-hour weekly overtime 
thresholds under 5 U.S.C. 5542(a) and Sec.  550.111 are not applicable 
to agents.
    (2) An agent's total hours of work in a pay period for the purpose 
of applying applicable overtime thresholds is equal to the sum of:
    (i) Time determined to be hours of work in duty status (regular time 
or overtime), subject to this subpart, 5 U.S.C. 4109 and 5 CFR 410.402 
(related to training periods), and 5 U.S.C. 5542(b) and Sec.  550.112 
(establishing general rules), except that paragraphs (d) and (e) of 
Sec.  550.112 are superseded by Sec.  550.1626;
    (ii) Paid leave or other paid time off during a period of nonduty 
status within an agent's regular time;
    (iii) Obligated overtime hours during which no work is performed 
(creating a debt of hours) and for which no substitution is made under 
Sec.  550.1626(b);
    (iv) Nonwork hours deemed to be hours of work during obligated 
overtime hours on a day of advanced training under Sec.  550.1622(b); 
and
    (v) Overtime hours normally scheduled within an agent's regular tour 
of duty that an agent is not obligated to work because the agent 
performs no work during regular time on that day (as provided in 
paragraphs (a)(3) and (b)(3) of Sec.  550.1621).
    (b) Overtime thresholds for standard tours. (1) The applicable 
biweekly overtime threshold prescribed in paragraph (b)(2) of this 
section applies during a pay period to an agent whose regular tour of 
duty is fixed at one of the three standard tours for the entire pay 
period. (2) For an agent covered by paragraph (b)(1) of this section, 
the threshold used to determine whether an agent has performed overtime 
work outside the regular tour of duty in a given pay period is--
    (i) 100 hours for a Level 1 regular tour of duty;
    (ii) 90 hours for a Level 2 regular tour of duty; or
    (iii) 80 hours for a Basic regular tour of duty.
    (c) Overtime threshold for hybrid pay period. (1) For a hybrid pay 
period in which an agent has one type of regular tour of duty in effect 
for one part of the period and another type for another part of the 
period, the threshold used to determine whether an agent has performed 
overtime work outside the regular tour of duty in a given pay period is 
equal to the sum of the regular time hours (paid or unpaid) and the 
number of normally scheduled overtime hours within a regular tour of 
duty (whether obligated or not and whether worked or not) in the pay 
period. For example, if an agent has a Level 1 regular tour of duty in 
the first week of a pay period and a Level 2 regular tour of duty in the 
second week, the agent's regular time hours would be 40 in the first 
week and 40 in the second week and the normally scheduled overtime hours 
within a regular tour of duty would be 10 (5 days times 2 hours each 
day) in the first week and 5 (5 days times 1 hour each day) in second 
week, resulting in an biweekly overtime threshold of 95 hours.
    (2) For a hybrid pay period in which an individual is employed as a 
Border Patrol agent for only part of the pay period, the threshold used 
to determine whether an agent has performed overtime work outside the 
regular tour of duty in a given pay period is equal to the sum of the 
paid regular time hours (paid or unpaid) and the number of normally 
scheduled overtime hours within a regular tour of duty (whether 
obligated or not and whether worked or not) during the portion of the 
pay period the individual was employed as an agent. For example, if an 
individual is employed as an agent only during the second week of a pay 
period and has a Level 1 regular tour of duty, the overtime threshold 
would be 50 hours (40 regular time hours plus 10 normally scheduled 
overtime hours) in determining whether the agent has overtime hours in 
that week that are compensable under Sec. Sec.  550.1624, 550.1625, and 
550.1626.

[[Page 680]]



Sec.  550.1624  Regularly scheduled overtime outside the regular tour of duty.

    (a) Coverage. Any regularly scheduled overtime hours outside an 
agent's regular tour of duty, as specified in Sec.  550.1623, are 
covered by this section, except that such hours are excluded from 
coverage under this section when required by the superseding provisions 
in Sec.  550.1626.
    (b) Rates. Agents receive overtime pay at the rates specified under 
5 U.S.C. 5542(a) and Sec.  550.113 for regularly scheduled overtime 
hours covered by paragraph (a) of this section, subject to the premium 
pay limitation established under 5 U.S.C. 5547 and Sec. Sec.  550.105 
and 550.107. An agent's rate of basic pay (without any overtime 
supplement) is used in computing overtime pay for such hours.
    (c) Avoiding additional regularly scheduled overtime. (1) As 
required by section 2(c)(2) of the Border Patrol Agent Pay Reform Act of 
2014 (Public Law 113-277), CBP must, to the maximum extent practicable, 
avoid the use of regularly scheduled overtime work by agents outside of 
the regular tour of duty.
    (2) Notwithstanding paragraph (c)(1) of this section, CBP may allow 
use of regularly scheduled overtime work outside an agent's regular tour 
of duty if an agent volunteers to perform such overtime (e.g., to reduce 
an overtime hours debt).



Sec.  550.1625  Irregular overtime and compensatory time off.

    (a) Coverage. An agent is entitled to compensatory time off as 
provided in this section for irregular overtime hours outside an agent's 
regular tour of duty, as specified in Sec.  550.1623, except that such 
hours are excluded from coverage under this section (except paragraph 
(c) of this section) when required by the superseding provisions in 
Sec.  550.1626. The compensatory time off provisions in 5 U.S.C. 5543 
and 5 CFR 550.114 are not applicable to an agent.
    (b) Earning on an hour-for-hour basis for irregular overtime. 
Subject to the limitations specified in this section and the superseding 
provisions in Sec.  550.1626, an agent must receive compensatory time 
off for an equal amount of time spent performing irregular overtime 
work.
    (c) Call-back overtime work. Notwithstanding paragraph (b) of this 
section, consistent with 5 U.S.C. 5542(b)(1) and Sec.  550.112(h), an 
agent must be deemed to have performed 2 hours of irregular overtime 
work for a lesser amount of irregular overtime work if--
    (1) An agent is required perform such work on a day when the agent 
was not scheduled to work; or
    (2) An agent is required to return to the agent's place of 
employment to perform such work.
    (d) Earning limited by premium pay cap. An agent may not be credited 
with earning compensatory time off if the value of such time off would 
cause the sum of the agent's basic pay and premium pay in the given pay 
period to exceed the limitation established under 5 U.S.C. 5547 and 
Sec. Sec.  550.105 and 550.107 in the period in which it was earned. The 
dollar value of compensatory time off for the purpose of this paragraph 
is the amount of overtime pay the agent would have received for the 
period during which compensatory time off was earned if the overtime had 
been regularly scheduled outside the agent's regular tour of duty.
    (e) Pay period limit. (1) An agent may not earn more than 10 hours 
of compensatory time off during any pay period unless--
    (i) CBP, as it determines appropriate, approves in writing a waiver 
of the 10-hour limit; and
    (ii) Such waiver approval is executed in advance of the performance 
of any work for which compensatory time off is earned.
    (2) If a waiver of the 10-hour limit described in paragraph (e)(1) 
of this section is not granted, the agent involved may not be ordered to 
perform the associated overtime work.
    (f) Annual period limit. An agent may not earn more than 240 hours 
of compensatory time off during an annual period.
    (g) Usage. (1) An agent may use compensatory time off by being 
excused from duty during regular time (in an amount equal to the 
compensatory time off being used) during the agent's basic workweek.

[[Page 681]]

    (2) An agent's balance of unused compensatory time off is used to 
satisfy an overtime hours debt, as provided in Sec.  550.1626(c)(1).
    (h) Time limit for usage and forfeiture. An agent must use any hours 
of compensatory time off not later than the end of the 26th pay period 
after the pay period during which the compensatory time off was earned. 
Any compensatory time off not used within that time limit, or prior to 
separation from an agent position, is forfeited and not available for 
any purpose, regardless of the circumstances. An agent may not receive 
any cash value for unused compensatory time off. An agent may not 
receive credit towards the computation of the agent's retirement annuity 
for unused compensatory time off.



Sec.  550.1626  Leave without pay during regular time and absences during obligated overtime hours.

    (a) Substitution for leave without pay during regular time. (1) For 
any period of leave without pay during an agent's regular time (basic 
workweek), an equal period of work outside the agent's regular time in 
the same pay period must be substituted to the extent such work was 
performed. Any time substituted for leave without pay must be treated 
for all pay computation purposes as if it were regular time (except as 
provided in paragraph (a)(5) of this section) and may not be considered 
an overtime hour of work for any purpose, including Sec. Sec.  
550.1621(a)(4) and (b)(4), 550.1624, and 550.1625.
    (2) Hours of work must be substituted for regular time work under 
paragraph (a)(1) of this section before being substituted for regularly 
scheduled overtime within the agent's regular tour of duty under 
paragraph (b) of this section.
    (3) Hours used for substitution under paragraph (a)(1) of this 
section must be substituted in the following priority order: first, 
irregular overtime hours; second, regularly scheduled overtime hours 
outside the regular tour of duty; and third, regularly scheduled 
overtime hours within the regular tour of duty.
    (4) The substitution of overtime hours for leave without pay is 
solely for pay computation purposes. The substitution does not change 
the hours of an agent's basic workweek or the fact that the agent was in 
a particular type of nonpay status during those hours. The hours that 
are substituted are considered to have been performed when they were 
worked, not during the leave without pay hours for which they are 
substituted. For example, if an agent performs 4 hours of overtime work 
outside the agent's regular tour of duty during the first week of a pay 
period and then is placed in leave without pay during the second week 
due to a shutdown furlough caused by a lapse in appropriations, the 4 
hours must be substituted for furlough hours for the purpose of 
computing pay owed the agent for the week before the furlough began.
    (5) If overtime hours are substituted for an absence without 
approval (AWOL) or a suspension, the basic pay for such substituted 
hours may not be used in computing an agent's overtime supplement.
    (b) Substitution for absences during obligated overtime hours within 
the regular tour of duty. (1) For a period of absence during obligated 
overtime hours within an agent's regular tour of duty, an equal period 
of work outside the agent's regular tour of duty in the same pay period 
must be substituted to the extent such work was performed. Any time so 
substituted must be treated for all pay computation purposes as if it 
were obligated overtime work and may not be considered an overtime hour 
of work for any other purpose, including Sec. Sec.  550.1624 and 
550.1625.
    (2) In substituting hours of work under paragraph (b)(1) of this 
section, work performed on the same day as the period of absence must be 
substituted first in circumstances described in Sec.  550.1622(b)(2). 
Hours substituted under this paragraph must be substituted in the 
following priority order: first, irregular overtime hours; and second, 
regularly scheduled overtime hours outside the regular tour of duty.
    (3) After substituting hours under paragraph (b)(2) of this section, 
any remaining hours used for substitution under paragraph (b)(1) of this 
section must be substituted in the following priority order: first, 
irregular overtime hours; and second, regularly scheduled

[[Page 682]]

overtime hours outside the regular tour of duty.
    (4) The substitution of overtime hours outside the regular tour of 
duty for obligated overtime hours not worked is solely for pay 
computation purposes. The substitution does not change the hours of an 
agent's regular tour of duty. The hours that are substituted are 
considered to have been performed when they were worked, not during the 
obligated overtime hours for which they are substituted.
    (c) Application of compensatory time off or future overtime work to 
offset overtime hours debt. (1) If a Border Patrol agent does not have 
sufficient additional work in a pay period to substitute for all periods 
of absence during obligated overtime hours within the agent's regular 
tour of duty for that pay period, any unused balance of compensatory 
time off hours previously earned under Sec.  550.1625 must be applied 
towards the newly accrued overtime hours debt.
    (2) If an agent has a remaining overtime hours debt after applying 
paragraphs (b) and (c)(1) of this section, any additional overtime work 
outside the agent's regular tour of duty in subsequent pay periods that 
would otherwise be credited under Sec.  550.1624 or Sec.  550.1625 must 
be applied towards the overtime hours debt until that debt is satisfied. 
The application of such hours must be done in the following priority 
order: first, irregular overtime hours; and second, regularly scheduled 
overtime hours outside the regular tour of duty. Any overtime hour 
applied under this paragraph (c)(2) may not be considered an overtime 
hour of work for any other purpose.
    (d) Unsatisfied overtime hours debt at movement to a non-agent 
position or separation. (1) Any unsatisfied overtime hours debt that 
exists at the time of movement to a non-agent position or separation 
from Federal service must be recovered to the extent possible by 
offsetting the affected employee's positive balance (if any) of annual 
leave, time-off awards, or compensatory time off for travel. In cases 
where the offset will totally eliminate the debt, an agent's balances 
must be applied in the following order: first, the balance of annual 
leave; second, the balance of time-off awards; and third, the balance of 
compensatory time off for travel.
    (2) Any unsatisfied overtime hours debt that exists at the time of 
movement to a non-agent position or separation from Federal service 
after applying paragraph (d)(1) of this section must be converted to a 
monetary debt equal to the result of multiplying the agent's hourly rate 
of basic pay at the time of movement to a non-agent position or 
separation by the number of hours in the overtime hours debt. CBP must 
follow standard debt collection procedures to recover any debt.

                    Relationship to Other Provisions



Sec.  550.1631  Other types of premium pay.

    (a) An agent may not receive premium pay for night, Sunday, or 
holiday work for hours of regularly scheduled overtime work within the 
agent's regular tour of duty.
    (b) An agent may receive premium pay for night, Sunday, or holiday 
work, as applicable, for hours not covered by paragraph (a) of this 
section, in accordance with 5 U.S.C. 5545(a) and (b) and section 5546 
and corresponding regulations, except that section 5546(d) does not 
apply. (For an agent, pay for overtime work on a Sunday or holiday is 
determined under 5 U.S.C. 5542(g), not under section 5546(d).) The 
agent's rate of basic pay (without any overtime supplement) must be used 
in computing such premium payments.
    (c) An agent may not be paid standby duty premium pay under 5 U.S.C. 
5545(c)(1) or administratively uncontrollable overtime pay under 5 
U.S.C. 5545(c)(2).



Sec.  550.1632  Hazardous duty pay.

    An agent is eligible for hazardous duty pay, subject to the 
requirements in 5 U.S.C. 5545(d) and subpart I of this part. The agent's 
rate of basic pay (without any overtime supplement) must be used in 
computing any hazardous duty pay.



Sec.  550.1633  Treatment of overtime supplement as basic pay.

    Regularly scheduled overtime pay within an agent's regular tour of 
duty is treated as part of basic pay or basic salary only for the 
following purposes:

[[Page 683]]

    (a) 5 U.S.C. 5524a and 5 CFR part 550, subpart B, pertaining to 
advances in pay;
    (b) 5 U.S.C. 5595(c) and 5 CFR part 550, subpart G, pertaining to 
severance pay;
    (c) 5 U.S.C. 8114(e), pertaining to workers' compensation;
    (d) 5 U.S.C. 8331(3) and 5 U.S.C. 8401(4) and related provisions 
that rely on the definition in those paragraphs, pertaining to 
retirement benefits;
    (e) Subchapter III of chapter 84 of title 5, United States Code, 
pertaining to the Thrift Savings Plan;
    (f) 5 U.S.C. 8704(c), pertaining to life insurance; and
    (g) For any other purposes explicitly provided for by law or as the 
Office of
    Personnel Management may prescribe by other regulation.



Sec.  550.1634  Leave and other paid time off.

    (a) An agent is subject to the rules governing leave accrual and 
usage under 5 U.S.C. chapter 63 on the same basis as other employees. 
The tour of duty for leave accrual and usage purposes is the basic 
workweek, which excludes regularly scheduled overtime hours within the 
regular tour of duty established under this subpart. The agent must be 
charged corresponding amounts of leave for each hour (or part thereof) 
the agent is absent from duty during regular time (except that full days 
off for military leave must be charged when required).
    (b) An agent is subject to the normally applicable rules governing 
other types of paid time off (such as holiday time off under 5 U.S.C. 
chapter 61, compensatory time off for religious observances under 
subpart J of this part, or compensatory time off for travel under 
subpart N of this part) on the same basis as other covered employees. 
The tour of duty used in applying those rules is the basic workweek, 
which excludes regularly scheduled overtime hours within the regular 
tour of duty established under this subpart. The agent must be charged 
corresponding amounts of paid time off for each hour (or part thereof) 
the agent is absent from duty during regular time.
    (c) In computing a lump-sum annual leave payment under 5 U.S.C. 
5551-5552, an overtime supplement for an agent's regularly scheduled 
overtime hours within the agent's regular tour of duty is included, as 
provided in Sec.  550.1205(b)(5)(iv).



Sec.  550.1635  Alternative work schedule.

    An agent may not have a flexible or compressed work schedule under 5 
U.S.C. chapter 61, subchapter II. The regular tour of duty established 
under this subpart is a special work schedule established under 5 U.S.C. 
5550. CBP may allow flexible starting and stopping times for an agent's 
basic workday if it determines such flexibility is appropriate for the 
position in question.



Sec.  550.1636  Exemption from Fair Labor Standards Act.

    The minimum wage and the hours of work and overtime pay provisions 
of the Fair Labor Standards Act do not apply to Border Patrol agents. 
(See also 5 CFR 551.217.)



Sec.  550.1637  Travel time.

    (a) A Border Patrol agent's travel time to and from home and the 
agent's regular duty station (or to an alternative work location within 
the limits of the agent's official duty station, as defined in Sec.  
550.112(j)) may not be considered hours of work under any provision of 
law.
    (b) Official travel time away from an agent's official duty station 
may be creditable hours of work as provided in Sec.  550.112(g). When an 
agent travels directly between home and a temporary duty location 
outside the limits of the agent's official duty station (as defined in 
Sec.  550.112(j)), the time the agent would have spent in normal home to 
work travel must be deducted from any creditable hours of work while 
traveling.



Sec.  550.1638  Official time.

    An agent who uses official time under 5 U.S.C. 7131 may be assigned 
to a Level 1 or Level 2 regular tour of duty, but is required to perform 
agency work during obligated overtime hours or to accrue an overtime 
hours debt. Official time may be used during overtime hours only when, 
while the agent is engaged in the performance of agency work, an event 
arises incident to representational functions that must

[[Page 684]]

be immediately addressed during the overtime hours. CBP may excuse the 
agent from duty during scheduled obligated overtime hours if it 
determines that an agent's official time duties during the basic workday 
make it impracticable to perform agency work during the scheduled 
obligated overtime hours on that day. The agent will accrue an overtime 
hours debt for that excused time. If CBP excuses the agent in this 
manner, then it must provide the agent with an opportunity to eliminate 
the resulting overtime hours debt by performing agency work outside the 
agent's regular tour of duty at another time. As provided in Sec.  
550.1621(e), official time during regular time is considered to be 
``work'' when an agent otherwise would be in a duty status in applying 
paragraphs (a)(3) and (b)(3) of Sec.  550.1621.



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.
551.203 Salary-based nonexemption.
551.204 Nonexemption of certain employees.
551.205 Executive exemption criteria.
551.206 Administrative exemption criteria.
551.207 Professional exemption criteria.
551.208 Learned professionals.
551.209 Creative professionals.
551.210 Computer employees.
551.211 Effect of performing different work or duties for a temporary 
          period of time on FLSA exemption status.
551.212 Foreign exemption criteria.
551.213 Exemption of employees receiving availability pay.
551.214 Statutory exclusion.
551.215 Fire protection activities and 7(k) coverage for FLSA pay and 
          exemption determinations.
551.216 Law enforcement activities and 7(k) coverage for FLSA pay and 
          exemption determinations.
551.217 Exemption of Border Patrol agents.

                    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.

                           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.

[[Page 685]]

                  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: 72 FR 52762, Sept. 17, 2007, 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 minimum standards for both wages and 
overtime entitlements, and 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 and prescribes penalties for 
the commission of specifically prohibited acts.
    (b) This part contains the regulations, criteria, and conditions set 
forth by the Office of Personnel Management (OPM) as prescribed by the 
Act, supplements and implements the Act, and must be read in conjunction 
with it.
    (c) OPM's administration of the Act must comply with the terms of 
the Act but the law does not require OPM's regulations to mirror the 
Department of Labor's FLSA regulations. OPM's administration of the Act 
must be consistent with the Department of Labor's administration of the 
Act only to the extent practicable and only to the extent that this 
consistency is required to maintain compliance with the terms of the 
Act. For example, while OPM's executive, administrative, and 
professional exemption criteria are consistent with the Department of 
Labor's exemption criteria, OPM does not apply the highly compensated 
employee criteria in 29 CFR 541.601 to determine FLSA exemption status.



Sec.  551.102  Authority and administration.

    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.
    (a) Office of Personnel Management. 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 government 
of the District of Columbia and 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;
    (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

[[Page 686]]

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 by 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 
administrative exemption criteria in Sec.  551.206.
    Agency 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 regarding a current or former 
employee concerning the employee's 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 and includes 
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 any party who files an FLSA claim.
    Customarily and regularly means a frequency which must be greater 
than occasional but which may be less than constant. Tasks or work 
performed customarily and regularly includes work normally and 
recurrently performed every workweek. It does not include isolated or 
one-time tasks.
    Directly and closely related means work that is directly and closely 
related to the performance of exempt work which is also considered 
exempt work. The phrase directly and closely related means tasks that 
are related to exempt duties and that contribute to or facilitate 
performance of exempt work. Directly and closely related work may 
include typically nonexempt tasks that arise out of and are integral to 
exempt duties. Those nonexempt tasks must be performed by the exempt 
employee to perform his or her exempt work. Work directly and closely 
related to the performance of exempt duties may also include 
recordkeeping; maintaining various records pertaining to workload or 
employee performance; monitoring and adjusting machinery; taking notes; 
using the computer to create documents or presentations; opening the 
mail for the purpose of reading it and making decisions; and using a 
photocopier or fax machine. Work which both workers and supervisors are 
required to perform is 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) and is exempt work. 
Work is not directly and closely related if the work is remotely related 
or completely unrelated to exempt duties. The following examples 
illustrate the type of work that is and is not normally considered as 
directly and closely related to exempt work:
    (1) Work is closely related to exempt supervisory work when it 
contributes to the effective supervision of subordinate workers, or the 
smooth functioning of the unit supervised, or both. A supervisor who 
spot checks and examines the work of subordinates to determine whether 
they are performing their duties properly, and whether the product is 
satisfactory, is performing work which is directly and closely related 
to managerial and supervisory

[[Page 687]]

functions, so long as the checking is distinguishable from the work 
ordinarily performed by a nonexempt inspector.
    (2) Depending upon the nature of an organization, a supervisor who 
sets up a machine may be engaged in exempt work. In some cases the setup 
work, or adjustment of the machine for a particular job, is typically 
performed by the same employees who operate the machine. In such cases, 
setup work is part of the production operation and is not exempt. In 
other cases, the setting up of the work is a highly skilled operation 
which the ordinary production worker typically does not perform. In 
large plants, non-supervisors may perform such work. However, 
particularly in small plants, such work may be a regular duty of the 
executive employee and is directly and closely related to the executive 
employee's responsibility for the subordinates' work performance and for 
the adequacy of the final product. In addition, 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. Such closely 
related work may include 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. Under such 
circumstances, it is exempt work.
    (3) A management analyst may take extensive notes recording the flow 
of work and materials through an organization; the analyst may 
personally use a computer to type a report and create a proposed table 
of organization. Standing alone, or separated from the primary duty, 
such note-taking and typing would not be exempt. However, because this 
work is necessary for analyzing the data and making recommendations 
(which is exempt work), it is directly and closely related to exempt 
work.
    (4) A traffic manager in charge of planning an organization's 
transportation function, including identifying the most economical and 
quickest routes for shipping material to and from the activity, 
contracting for common-carrier and other transportation facilities, 
negotiating with carriers for adjustments for damages to material, and 
making the necessary rearrangements resulting from delays, damages or 
irregularities in transit, is performing exempt work. If the employee 
also spends part of the day taking telephone orders for local 
deliveries, such order-taking is a routine function and is not directly 
and closely related to the exempt work.
    (5) An example of work directly and closely related to exempt 
professional duties is a chemist performing nonexempt tasks such as 
cleaning a test tube in the middle of an original experiment, even 
though such tasks can be assigned to laboratory assistants.
    (6) A teacher performs work directly and closely related to exempt 
duties when, while taking students on a field trip, the teacher drives a 
school van or monitors the students' behavior in a restaurant.
    Educational establishment means a nursery school, an elementary or 
secondary school system, an institution of higher education, other 
educational institutions, and in certain circumstances, training 
facilities. The term other educational establishment includes special 
schools for mentally or physically disabled or gifted children, 
regardless of any classification of such schools as elementary, 
secondary, or higher.
    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, including 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;

[[Page 688]]

    (4) In a unit of the judicial branch of the Government that has 
positions in the competitive service; or
    (5) In 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.
    Executive employee means an employee who meets the executive 
exemption 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) Commonwealth of the Northern Mariana Islands;
    (9) Midway Atoll;
    (10) Wake Island;
    (11) Johnston Island; and
    (12) Palmyra.
    Filed means a claim has been properly submitted by the claimant. The 
claimant must deliver the claim to the appropriate office within the 
agency or OPM, whichever is deciding the FLSA claim. The claim must be 
postmarked or date-stamped in order to establish the time of delivery.
    FLSA exempt means not covered by the minimum wage and overtime 
provisions of the Act.
    FLSA exemption status means an employee's designation as either FLSA 
exempt or FLSA nonexempt from the minimum wage and overtime provisions 
of the Act.
    FLSA nonexempt means covered by the minimum wage and overtime 
provisions of the Act.
    FLSA overtime pay means overtime pay under this part.
    FLSA pay claim means a claim concerning an employee's entitlement to 
minimum wage or overtime pay for work performed under the Act.
    Formulate, affect, interpret, or implement management policies or 
operating practices means perform work that involves management policies 
or operating practices which range from specific objectives and 
practices of a small field office to broad national goals expressed in 
statutes or Executive orders. Employees performing such work make policy 
decisions or participate indirectly through developing or recommending 
proposals that are acted on by others. The work of employees who 
significantly affect the execution of management policies 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 purpose of 
determining overtime pay under subpart D of this part. 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 part, provisions of law, 
Comptroller General decisions, OPM decisions and policy guidance, agency 
policy, 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 means performing activities such as interviewing, 
selecting, and training of employees; setting and adjusting their rates 
of pay and hours

[[Page 689]]

of work; directing the work of employees; maintaining production or 
financial records for use in supervision or control; appraising 
employees' productivity and efficiency for the purpose of recommending 
promotions or other changes in status; handling employee complaints and 
grievances; disciplining employees; planning the work; determining the 
techniques to be used; apportioning the work among the employees; 
determining the type of materials, supplies, machinery, equipment, or 
tools to be used or merchandise to be bought, stocked and sold; 
controlling the flow and distribution of materials or merchandise and 
supplies; providing for the safety and security of the employees or the 
property; planning and controlling the budget; and monitoring or 
implementing legal compliance measures.
    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) Commonwealth of the Northern Mariana Islands;
    (9) Midway Atoll;
    (10) Wake Island;
    (11) Johnston Island; and
    (12) Palmyra.
    Official position means the position to which the employee is 
officially assigned by means of a personnel action authorized by the 
agency.
    Perform work in connection with an emergency means 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 establish the period of possible 
entitlement to back pay by filing a written claim. The date the agency 
or OPM receives the claim preserves the claim period and 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 an employee's work (alternative primary duty) may be 
credited as the primary duty for exemption purposes provided that duty:
    (1) Constitutes a substantial, regular part of the work assigned and 
performed;
    (2) Is the reason for the existence 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 as discussed in Sec.  551.206, and the significance 
of the decisions made.
    Professional employee means an employee who meets the professional 
exemption 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 of 
temporary groups formed to perform assignments of limited duration.
    (1) The term recognized organizational unit is intended to 
distinguish between a mere collection of employees assigned from time to 
time to a specific job or series of jobs and a unit with permanent 
status and function. A recognized organizational unit must have a 
permanent status and a continuing function. For example, a large human 
resources department might have subdivisions for labor relations, 
pensions and other benefits, equal employment opportunity, and 
recruitment and placement, each of which has a permanent status and 
function.
    (2) A recognized organizational unit may move from place to place. 
The mere fact that the employee works in more than one location does not 
invalidate the exemption if other factors show that the employee is 
actually in charge of a recognized organizational unit with a continuing 
function in the organization.

[[Page 690]]

    (3) Continuity of the same subordinates is not essential to the 
existence of a recognized organizational unit with a continuing 
function. An otherwise exempt employee will not lose the exemption 
merely because the employee draws and supervises workers from a pool or 
supervises a team of workers drawn from other recognized organizational 
units, if other factors are present that indicate the employee is in 
charge of a recognized organizational unit with a continuing function.
    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.
    Title 5 overtime pay, for the purpose of Sec.  551.211, 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 is 
not a Federal employee 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 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.
    Two or more other employees means the equivalent of two or more 
full-time employees. For the purpose of this definition, an employee is 
equal to a full-time equivalent (FTE). For example, one full-time and 
two half-time employees are equivalent to two full-time employees.
    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.
    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. 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 worktime 
over a period long enough to even out normal fluctuations in workloads 
and is 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

[[Page 691]]

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 must 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 (except for employees engaged in fire 
protection or law enforcement activities under section 7(k) of the Act) 
and does not permit the 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.



                   Subpart B_Exemptions and Exclusions

    Source: 72 FR 52765, Sept. 17, 2007, unless otherwise noted.



Sec.  551.201  Agency authority.

    The employing agency must review and make a determination on each 
employee's exemption status.



Sec.  551.202  General principles.

    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 
the requirements of one or more of the exemptions of this subpart and 
such supplemental interpretations or instructions issued by OPM. The 
agency must designate an employee FLSA exempt when the agency correctly 
determines that the employee meets the requirements of one or more of 
the exemptions 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 will be 
designated FLSA nonexempt.
    (e) While established position descriptions and titles may assist in 
making initial FLSA exemption determinations, the designation of an 
employee as FLSA exempt or nonexempt must ultimately rest on the duties 
actually performed by the employee.
    (f) Although separate criteria are provided for the exemption of 
executive, administrative, and professional employees, those categories 
are not mutually exclusive. Employees who perform a combination of 
exempt duties set forth in this regulation may also qualify for 
exemption. For example, an employee whose primary duty involves a 
combination of exempt administrative and exempt executive work may 
qualify for exemption, i.e., work that is exempt under one section of 
this part will not defeat the exemption under any other section.
    (g) Failure to meet the criteria for exemption under what might 
appear to be the most obvious 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 
a single exemption category, this is not always appropriate. 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. The agency is 
responsible for showing and documenting that the work as a whole clearly 
meets one or more of the exemption criteria.

[[Page 692]]



Sec.  551.203  Salary-based nonexemption.

    (a) An employee, including a supervisory employee, whose annual rate 
of basic pay is less than $23,660 is nonexempt, unless:
    (1) The employee is subject to Sec.  551.211 (Effect of performing 
different work or duties for a temporary period of time on FLSA 
exemption status); or
    (2) The employee is subject to Sec.  551.212 (Foreign exemption 
criteria); or
    (3) The employee is a professional engaged in the practice of law or 
medicine as prescribed in paragraphs (c) and (d) of Sec.  551.208.
    (b) For the purpose 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, including any applicable locality payment under 5 CFR 
part 531, subpart F, special rate supplement under 5 CFR part 530, 
subpart C, or similar payment or supplement under other legal authority, 
before any deductions and exclusive of additional pay of any other kind, 
such as premium payments, differentials, and allowances.



Sec.  551.204  Nonexemption of certain employees.

    (a) Certain nonsupervisory white-collar employees are FLSA nonexempt 
(unless the employees are subject to Sec.  551.211 (Effect of performing 
different work or duties for a temporary period of time on FLSA 
exemption status) or Sec.  551.212 (Foreign exemption criteria)) because 
they do not fit any of the exemption categories. They include:
    (1) Employees in equipment operating and protective occupations, and 
most clerical occupations;
    (2) Employees performing technician work in positions properly 
classified below GS-9 (or the equivalent level in other 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 white-collar pay 
systems); and
    (3) Employees at any grade, or equivalent level, in occupations 
requiring highly specialized, technical skills and knowledge that can be 
acquired only through prolonged job training and experience, such as in 
the Air Traffic Control series, or in the Aircraft Operations series 
unless such employees are performing predominantly administrative 
functions rather than the technical work of the occupation.
    (b) Nonsupervisory employees in the Federal Wage System or in other 
comparable wage systems are nonexempt, unless the employees are subject 
to Sec.  551.211 (Effect of performing different work or duties for a 
temporary period of time on FLSA exemption status) or Sec.  551.212 
(Foreign exemption criteria).



Sec.  551.205  Executive exemption criteria.

    (a) An executive employee is an employee whose primary duty is 
management (as defined in Sec.  551.104) of a Federal agency or any 
subdivision thereof (including the lowest recognized organizational unit 
with a continuing function) and who:
    (1) Customarily and regularly directs the work of two or more other 
employees. However, an employee who merely assists the manager of a 
particular department and supervises two or more employees only in the 
actual manager's absence does not meet this requirement. In addition, 
hours worked by an employee cannot be credited more than once for 
different executives. This takes into consideration those organizations 
that use matrix management, i.e., a system of ``shared'' leadership, 
where supervision cuts across product and service lines in terms of 
accessing activities and advising top management on business operations, 
but where the supervisor/leader does not have the operating authority 
over all employees. Thus, a shared responsibility for the supervision of 
the same two employees in the same recognized organizational unit does 
not satisfy this requirement. However, a full-time employee who works 4 
hours for one supervisor and 4 hours for a different supervisor will be 
credited as a half-time employee for both supervisors; and
    (2) Has the authority to hire or fire other employees or whose 
suggestions and recommendations as to the hiring, firing, advancement, 
promotion, or any other change of status of other employees, are given 
particular weight.
    (b) Particular weight. Criteria to determine whether an employee's 
suggestions and recommendations are given

[[Page 693]]

particular weight by higher-level management include, but are not 
limited to: whether it is part of the employee's job duties to make such 
suggestions and recommendations; the frequency with which such 
suggestions and recommendations are made or requested; and the frequency 
with which the employee's suggestions and recommendations are relied 
upon. Generally, an executive's suggestions and recommendations must 
pertain to employees whom the executive customarily and regularly 
directs. Particular weight does not include consideration of an 
occasional suggestion with regard to the change in status of a co-
worker. An employee's suggestions and recommendations may still be 
deemed to have particular weight even if a higher level manager's 
recommendation has more importance and even if the employee does not 
have authority to make the ultimate decision as to the employee's change 
in status.



Sec.  551.206  Administrative exemption criteria.

    An administrative employee is an employee whose primary duty is the 
performance of office or non-manual work directly related to the 
management or general business operations, as distinguished from 
production functions, of the employer or the employer's customers and 
whose primary duty includes the exercise of discretion and independent 
judgment with respect to matters of significance.
    (a) In general, the exercise of discretion and independent judgment 
involves the comparison and the evaluation of possible courses of 
conduct, and acting or making a decision after the various possibilities 
have been considered. The term ``matters of significance'' refers to the 
level of importance or consequence of the work performed.
    (b) The phrase discretion and independent judgment must be applied 
in light of all the facts involved in the particular employment 
situation in which the question arises. Factors to consider when 
determining whether an employee exercises discretion and independent 
judgment with respect to matters of significance include, but are not 
limited to, whether the employee:
    (1) Has authority to formulate, affect, interpret, or implement 
management policies or operating practices;
    (2) Carries out major assignments in conducting the operations of 
the organization;
    (3) Performs work that affects the organization's operations to a 
substantial degree, even if the employee's assignments are related to 
operation of a particular segment of the organization;
    (4) Has authority to commit the employer in matters that have 
significant financial impact;
    (5) Has authority to waive or deviate from established policies and 
procedures without prior approval;
    (6) Has authority to negotiate and bind the organization on 
significant matters;
    (7) Provides consultation or expert advice to management;
    (8) Is involved in planning long- or short-term organizational 
objectives;
    (9) Investigates and resolves matters of significance on behalf of 
management; and
    (10) Represents the organization in handling complaints, arbitrating 
disputes, or resolving grievances.
    (c) The exercise of discretion and independent judgment implies that 
the employee has authority to make an independent choice, free from 
immediate direction or supervision. However, an employee can exercise 
discretion and independent judgment even if the employee's decisions or 
recommendations are reviewed at a higher level. Thus, the term 
discretion and independent judgment does not require that decisions made 
by an employee have a finality that goes with unlimited authority and a 
complete absence of review. The decisions made as a result of the 
exercise of discretion and independent judgment may consist of 
recommendations for action rather than the actual taking of action. The 
fact that an employee's decision may be subject to review and that upon 
occasion the decisions are revised or reversed after review does not 
mean that the employee is not exercising discretion and independent 
judgment.
    (d) An organization's workload may make it necessary to employ a 
number of employees to perform the same or

[[Page 694]]

similar work. The fact that many employees perform identical work or 
work of the same relative importance does not mean that the work of each 
such employee does not involve the exercise of discretion and 
independent judgment with respect to matters of significance.
    (e) The exercise of discretion and independent judgment must be more 
than the use of skill in applying well-established techniques, 
procedures, or specific standards described in manuals or other sources.
    (f) The use of manuals, guidelines, or other established procedures 
containing or relating to highly technical, scientific, legal, 
financial, or other similarly complex matters that can be understood or 
interpreted only by those with advanced or specialized knowledge or 
skills does not preclude exemption. Such manuals and procedures provide 
guidance in addressing difficult or novel circumstances and thus use of 
such reference material would not affect an employee's exemption status. 
However, employees who simply apply well-established techniques or 
procedures described in manuals or other sources within closely 
prescribed limits to determine the correct response to an inquiry or set 
of circumstances will be nonexempt.
    (g) An employee does not exercise discretion and independent 
judgment with respect to matters of significance merely because the 
employer will experience financial losses if the employee fails to 
perform the job properly. For example, a messenger who is entrusted with 
carrying large sums of money does not exercise discretion and 
independent judgment with respect to matters of significance even though 
serious consequences may flow from the employee's neglect. Similarly, an 
employee who operates very expensive equipment does not exercise 
discretion and independent judgment with respect to matters of 
significance merely because improper performance of the employee's 
duties may cause serious financial loss to the employer.
    (h) Employees in certain occupations typically assist and support 
line managers and assume facets of the overall management function. 
Neither the location of the work nor the number of employees performing 
the same or similar work turns such work into a production function. For 
example, independent agencies or agency components often provide 
centralized human resources, information systems, procurement and 
acquisition, or financial management services as support services to 
other agencies or agency components. However, this does not change the 
inherent administrative nature of the work performed to line or 
production work. Similarly, employees who develop, interpret, and 
oversee agency or Governmentwide policy are performing management 
support functions. Some of these activities may be performed by 
employees who would otherwise qualify under another exemption. Depending 
upon the purpose of the work and the organizational context, work in 
certain occupations may be either exempt or nonexempt. For example, 
criminal investigators who perform work directly related to the internal 
management of the agency and typically would be expected to provide 
recommendations of great significance based on the analysis of 
investigative findings would likely be considered as performing a staff 
function. In contrast, the performance of investigative and inspectional 
work to confirm whether specific regulatory requirements have been met 
for an investigative/inspectional component of any agency would likely 
be considered as performing a line rather than a staff function.
    (i) An employee who leads a team of other employees assigned to 
complete major projects (such as acquisitions; negotiating real estate 
transactions or collective bargaining agreements; designing and 
implementing productivity improvements; oversight, compliance, or 
program reviews; investigations) generally meets the duties requirements 
for the administrative exemption, even if the employee does not have 
direct supervisory responsibility over the other employees on the team. 
An example is a lead auditor who oversees an audit team in an auditing 
agency and who is assigned responsibility for leading a major audit 
requiring the use of substantial agency resources. This auditor is 
responsible for proposing the parameters of the audit and

[[Page 695]]

developing a plan of action and milestones to accomplish the audit. 
Included in the plan are the methodologies to be used, the staff and 
other resources required to conduct the audit, proposed staff member 
assignments, etc. When conducting the audit, the lead auditor makes on-
site decisions and/or proposes major changes to managers on matters of 
significance in accomplishing the audit, including deviations from 
established policies and practices of the agency.
    (j) An executive assistant or administrative assistant to a high 
level manager or senior executive generally meets the duties 
requirements for the administrative exemption if such employee, without 
specific instructions or prescribed procedures, has been delegated 
authority regarding matters of significance.
    (k) Human resources employees who formulate, interpret or implement 
human resources management policies generally meet the duties 
requirements for the administrative exemption. In addition, when 
interviewing and screening functions are performed by the human 
resources employee who makes the hiring decision or makes 
recommendations for hiring from a pool of qualified applicants, such 
duties constitute exempt work, even though routine, because this work is 
directly and closely related to the employee's exempt functions.
    (l) Management analysts who study the operations of an organization 
and propose changes in the organization, program analysts who study 
program operations and propose changes to the program, and other 
management advisors generally meet the duties requirements for the 
administrative exemption.
    (m) Acquisition employees with authority to bind the organization to 
significant purchases generally meet the duties requirements for the 
administrative exemption even if they must consult with higher 
management officials when making a commitment.
    (n) Ordinary inspection work generally does not meet the duties 
requirements for the administrative exemption. Inspectors normally 
perform specialized work along standardized lines involving well-
established techniques and procedures which may have been catalogued and 
described in manuals or other sources. Such inspectors rely on 
techniques and skills acquired by special training or experience. They 
have some leeway in the performance of their work but only within 
closely prescribed limits.



Sec.  551.207  Professional exemption criteria.

    To qualify for the professional exemption, an employee's primary 
duty must be the performance of work requiring knowledge of an advanced 
type in a field of science or learning customarily acquired by a 
prolonged course of specialized intellectual instruction or requiring 
invention, imagination, originality or talent in a recognized field of 
artistic or creative endeavor. Learned professionals, creative 
professionals, and computer employees are described in Sec. Sec.  
551.208, 551.209, and 551.210, respectively.



Sec.  551.208  Learned professionals.

    (a) To qualify for the learned professional exemption, an employee's 
primary duty must be the performance of work requiring advanced 
knowledge in a field of science or learning customarily acquired by a 
prolonged course of specialized intellectual instruction. The work must 
include the following three elements:
    (1) The employee must perform work requiring advanced knowledge. 
Work requiring advanced knowledge is predominantly intellectual in 
character and includes work requiring the consistent exercise of 
discretion and judgment, as distinguished from performance of routine 
mental, manual, mechanical or physical work. An employee who performs 
work requiring advanced knowledge generally uses the advanced knowledge 
to analyze, interpret or make deductions from varying facts or 
circumstances. Advanced knowledge cannot be attained at the high school 
level;
    (2) The advanced knowledge must be in a field of science or learning 
which includes the traditional professions of law, medicine, theology, 
accounting, actuarial computation, engineering, architecture, teaching, 
various types of physical, chemical and biological

[[Page 696]]

sciences, pharmacy, and other similar occupations that have a recognized 
professional status as distinguished from the mechanical arts or skilled 
trades where in some instances the knowledge is of a fairly advanced 
type, but is not in a field of science or learning; and
    (3) The advanced knowledge must be customarily acquired by a 
prolonged course of specialized intellectual instruction which restricts 
the exemption to professions where specialized academic training is a 
standard prerequisite for entrance into the profession. The best prima 
facie evidence that an employee meets this requirement is possession of 
the appropriate academic degree. However, the word ``customarily'' means 
that the exemption is appropriate for employees in such professions who 
have substantially the same knowledge level and perform substantially 
the same work as the degreed employees, but who attained the advanced 
knowledge through a combination of work experience and intellectual 
instruction. For example, the learned professional exemption is 
appropriate in unusual cases where a lawyer has not gone to law school, 
or a chemist does not possess a degree in chemistry. However, the 
learned professional exemption is not applicable to occupations that 
customarily may be performed with only the general knowledge acquired by 
an academic degree in any field, with knowledge acquired through an 
apprenticeship, or with training in the performance of routine mental, 
manual, mechanical, or physical processes. The learned professional 
exemption also does not apply to occupations in which most employees 
have acquired their skill by experience rather than by advanced 
specialized intellectual instruction. The position of Engineering 
Technician is an example of such an occupation where the employee 
collects, observes, tests and records factual scientific data within the 
oversight of professional engineers, and performs work using knowledge 
acquired through on-the-job and classroom training rather than by 
acquiring the knowledge through prolonged academic study.
    (b) Expansion of professional exemption. The areas in which the 
professional exemption may be applicable are expanding. As knowledge is 
developed, academic training is broadened and specialized degrees are 
offered in new and diverse fields, thus creating new specialists in 
particular fields of science or learning. When an advanced specialized 
degree has become a standard requirement for a particular occupation, 
that occupation may have acquired the characteristics of a learned 
profession. Accrediting and certifying organizations similar to those 
listed in this section also may be created in the future. Such 
organizations may develop similar, specialized curriculums and 
certification programs which, if a standard requirement for a particular 
occupation, may indicate that the occupation has acquired the 
characteristics of a learned profession.
    (c) Practice of law. (1) This exemption applies to an employee in a 
professional legal position requiring admission to the bar and involved 
in preparing cases for trial and/or the trial of cases before a court or 
an administrative body or persons having quasi-judicial power; rendering 
legal advice and services; preparing interpretive and administrative 
orders, rules, or regulations; drafting, negotiating, or examining 
contracts or other legal documents; drafting, preparing formal comments, 
or otherwise making substantive recommendations with respect to proposed 
legislation; editing and preparing for publication statutes enacted by 
Congress and opinions or decisions of a court, commission, or board; and 
drafting and reviewing decisions for consideration and adoption by 
agency officials.
    (2) Section 551.203 (Salary-based nonexemption) does not apply to 
the employees described in this section.
    (d) Practice of medicine. (1) An employee who holds a valid license 
or certificate permitting the practice of medicine or any of its 
branches and is actually engaged in the practice of the profession is 
exempt. The exemption applies to physicians and other practitioners 
licensed and practicing in the field of medical science and healing or 
any of the medical specialties practiced by physicians or practitioners.

[[Page 697]]

The term ``physicians'' includes medical doctors, including general 
practitioners and specialists, osteopathic physicians (doctors of 
osteopathy), podiatrists, dentists (doctors of dental medicine), and 
optometrists (doctors of optometry or bachelors of science in 
optometry).
    (2) An employee who holds the required academic degree for the 
general practice of medicine and is engaged in an internship or resident 
program pursuant to the practice of the profession is exempt. Employees 
engaged in internship or resident programs, whether or not licensed to 
practice prior to commencement of the program, qualify as exempt 
professionals if they enter such internship or resident programs after 
the earning of the appropriate degree required for the general practice 
of their profession.
    (3) Section 551.203 (Salary-based nonexemption) does not apply to 
the employees described in this section.
    (e) Accounting. Certified public accountants generally meet the 
duties requirements for the learned professional exemption. An employee 
performing similar professional work in a position with a positive 
educational requirement and requiring the application of accounting 
theories, concepts, principles, and standards may qualify as an exempt 
learned professional. However, accounting clerks and technicians and 
other employees who normally perform a great deal of routine work 
generally will not qualify as exempt professionals.
    (f) Engineering. Engineers generally meet the duties requirements 
for the learned professional exemption. Professional engineering work 
typically involves the application of a knowledge of such engineering 
fundamentals as the strength and strain analysis of engineering 
materials and structures, the physical and chemical characteristics of 
engineering materials such as elastic limits, maximum unit stresses, 
coefficients of expansion, workability, hardness, tendency to fatigue, 
resistance to corrosion, engineering adaptability, and engineering 
methods of construction and processing. Exempt professional engineering 
work includes equivalent work performed in any of the specialized 
branches of engineering (e.g., electrical, mechanical, or materials 
engineering). On unusual occasions, engineering technicians performing 
work comparable to that performed by professional engineers on the basis 
of advanced knowledge may also be exempt. In such instances, the 
employee actually is performing the work of an occupation that generally 
requires a specialized academic degree and is performing substantially 
the same work as the degreed employee, but has gained the same advanced 
knowledge through a combination of work experience and intellectual 
instruction which has provided both theoretical and practical knowledge 
of the specialty, including knowledge of related disciplines and of new 
developments in the field.
    (g) Architecture. Architects generally meet the duties requirements 
for the learned professional exemption. Professional architectural work 
typically requires knowledge of architectural principles, theories, 
concepts, methods, and techniques; a creative and artistic sense; and an 
understanding and skill to use pertinent aspects of the construction 
industry, as well as engineering and the physical sciences related to 
the design and construction of new, or the improvement of existing, 
buildings.
    (h) Teachers. A teacher is any employee with a primary duty of 
teaching, tutoring, instructing or lecturing in the activity of 
imparting knowledge and who is employed and engaged in this activity as 
a teacher in an educational establishment by which the employee is 
employed.
    (1) A teacher performs exempt work when serving, for example, as a 
regular academic teacher; teacher of kindergarten or nursery school 
pupils; teacher of gifted or disabled children; teacher of skilled and 
semi-skilled trades and occupations; teacher engaged in automobile 
driving instruction; aircraft flight instructor; home economics teacher; 
or vocal or instrumental music instructor. A faculty member who is 
engaged as a teacher but also spends a considerable amount of time in 
extracurricular activities such as coaching athletic teams or acting as 
a moderator or advisor in such areas as drama, speech, debate, or 
journalism is engaged in teaching. Such activities

[[Page 698]]

are a recognized part of an educational establishment's responsibility 
in contributing to the educational development of the student. An 
instructor in an institution of higher education or another educational 
establishment whose primary duty is teaching, tutoring, instructing, or 
lecturing in the activity of imparting knowledge is also an exempt 
teacher.
    (2) The possession of an elementary or secondary teacher's 
certificate provides a clear means of identifying the individuals 
contemplated as being within the scope of the exemption for teaching 
professionals. Teachers who possess a teaching certificate qualify for 
the exemption regardless of the terminology (e.g., permanent, 
conditional, standard, provisional, temporary, emergency, or unlimited) 
used by appropriate certifying entities. However, a teacher's 
certificate is not generally necessary for post-secondary educational 
establishments.
    (3) Exempt teachers do not include teachers of skilled and semi-
skilled trade, craft, and laboring occupations when the paramount 
knowledge is the knowledge of and the ability to perform the trade, 
craft, or laboring occupation. Conversely, if the primary requirement of 
the post-secondary education instructor is the ability to instruct, as 
opposed to knowledge of and ability to perform a trade, craft, or 
laboring occupation, then the position may be exempt.
    (4) Section 551.203 (Salary-based nonexemption) does not apply to 
the employees described in this section.
    (i) Medical technologists. Registered or certified medical 
technologists who have successfully completed 3 academic years of pre-
professional study in an accredited college or university, plus a 4th 
year of professional course work in a school of medical technology 
approved by the Council of Medical Education of the American Medical 
Association, generally meet the duties requirements for the learned 
professional exemption.
    (j) Nurses. Registered nurses who are registered by the appropriate 
State examining board generally meet the duties requirements for the 
learned professional exemption. Licensed practical nurses and other 
similar health care employees, however, generally do not qualify as 
exempt learned professionals because possession of a specialized 
advanced academic degree is not a standard prerequisite for entry into 
such occupations.
    (k) Dental hygienists. Dental hygienists who have successfully 
completed 4 academic years of pre-professional and professional study in 
an accredited college or university approved by the Commission on 
Accreditation of Dental and Dental Auxiliary Educational Programs of the 
American Dental Association generally meet the duties requirements for 
the learned professional exemption.
    (l) Physician assistants. Physician assistants who have successfully 
completed 4 academic years of pre-professional and professional study, 
including graduation from a physician assistant program accredited by 
the Accreditation Review Commission on Education for the Physician 
Assistant, and who are certified by the National Commission on 
Certification of Physician Assistants, generally meet the duties 
requirements for the learned professional exemption.
    (m) Paralegals. Paralegals and legal assistants generally do not 
qualify as exempt learned professionals because an advanced, specialized 
academic degree is not a standard prerequisite for entry into the field. 
Although many paralegals possess general 4-year advanced degrees, most 
specialized paralegal programs are 2-year associate degree programs from 
a community college or equivalent institution. However, the learned 
professional exemption is applicable to paralegals who possess advanced, 
specialized degrees in other professional fields and apply advanced 
knowledge in that field in the performance of their duties. In addition, 
a paralegal who fails to meet the professional exemption criteria may be 
performing exempt administrative work, e.g., overseeing a full range of 
support services for a large legal office.



Sec.  551.209  Creative professionals.

    (a) To qualify for the creative professional exemption, an 
employee's primary duty must be the performance of work requiring 
invention, imagination, originality, or talent in a recognized

[[Page 699]]

field of artistic or creative endeavor as opposed to routine mental, 
manual, mechanical, or physical work. The work performed must be ``in a 
recognized field of artistic or creative endeavor,'' including such 
fields as music, writing, acting, and the graphic arts. The exemption 
does not apply to work which can be produced by a person with general 
manual or intellectual ability and training. The requirement of 
``invention, imagination, originality, or talent'' distinguishes the 
creative professions from work that primarily depends on intelligence, 
diligence, and accuracy. The duties of employees vary widely, and 
exemption as a creative professional depends on the extent of the 
invention, imagination, originality, or talent exercised by the 
employee. Determination of exempt creative professional status must be 
made on a case-by-case basis. This requirement generally is met by 
actors, musicians, composers, conductors, and soloists; painters who at 
most are given the subject matter of their painting; and writers who 
choose their own subjects and hand in a finished piece of work to their 
employers. This requirement generally is not met by a person who is 
employed as a retoucher of photographs, since such work is not properly 
described as creative in character.
    (b) Federal employees engaged in the work of newspapers, magazines, 
television, or other media are not exempt creative professionals if they 
only collect, organize, and record information that is routine or 
already public, or if they do not contribute a unique interpretation or 
analysis to a news product. For example, employees who merely rewrite 
press releases or who write standard recounts of public information by 
gathering facts on routine community events are not exempt creative 
professionals. Employees also do not qualify as exempt creative 
professionals if their work product is subject to substantial control by 
the organization. However, when the work requires invention, 
imagination, originality, or talent, as opposed to work which depends 
primarily on intelligence, diligence, and accuracy, such employees may 
qualify as exempt creative professionals if their primary duty is 
performing on the air in radio, television or other electronic media; 
conducting investigative interviews; analyzing or interpreting public 
events; writing editorials, opinion columns, or other commentary; or 
acting as a narrator or commentator. Work that does not fully meet the 
creative professional exemption criteria does not preclude exemption 
under another exemption category. For example, public affairs work under 
control of the organization that does not meet the creative professional 
exemption may meet the administrative exemption.



Sec.  551.210  Computer employees.

    (a) Computer systems analysts, computer programmers, software 
engineers, or other similarly skilled workers in the computer field are 
eligible for exemption as professionals under section 13(a)(1) of the 
Act and under section 13(a)(17) of the Act. Because job titles vary 
widely and change quickly in the computer industry, job titles are not 
determinative of the applicability of this exemption.
    (b) The exemption in section 13(a)(1) of the Act applies to any 
computer employee whose annual remuneration exceeds the salary-based 
nonexemption prescribed in Sec.  551.203. The exemption in section 
13(a)(17) applies to any computer employee compensated on an hourly 
basis at a rate of basic pay (as defined in Sec.  551.203(b)) not less 
than $27.63 an hour. In addition, these exemptions apply only to 
computer employees whose primary duties consist of:
    (1) The application of systems analysis techniques and procedures, 
including consulting with users, to determine hardware, software or 
system functional specifications;
    (2) 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;
    (3) The design, documentation, testing, creation or modification of 
computer programs related to machine operating systems; or
    (4) A combination of the aforementioned duties, the performance of 
which requires the same level of skills.

[[Page 700]]

    (c) Computer manufacture and repair. The exemption for employees in 
computer occupations does not include employees engaged in the 
manufacture or repair of computer hardware and related equipment. 
Employees whose work is highly dependent upon, or facilitated by, the 
use of computers and computer software programs (e.g., engineers, 
drafters and others skilled in computer-aided design software), but who 
are not primarily engaged in computer systems analysis and programming 
or other similarly skilled computer-related occupations as identified in 
paragraph (b) of this section, are also not exempt computer 
professionals.
    (d) Executive and administrative computer employees. Computer 
employees within the scope of this exemption, as well as those employees 
not within its scope, may also have executive and administrative duties 
which qualify the employees for exemption under this subpart. For 
example, systems analysts and computer programmers generally meet the 
duties requirements for the administrative exemption if their primary 
duty includes work such as planning, scheduling, and coordinating 
activities required to develop systems to solve complex business, 
scientific or engineering problems of the organization or the 
organization's customers. Similarly, a senior or lead computer 
programmer who manages the work of two or more other programmers in a 
customarily recognized organizational unit, and whose recommendations 
regarding the hiring, firing, advancement, promotion, or other change of 
status of the other programmers are given particular weight, generally 
meets the duties requirements for the executive exemption. 
Alternatively, a senior or lead computer programmer who leads a team of 
other employees assigned to complete a major project that is directly 
related to the management or general business operations of the employer 
or the employer's customers generally meets the duties requirements for 
the administrative exemption, even if the employee does not have direct 
supervisory responsibility over the other employees on the team.



Sec.  551.211  Effect of performing different work or duties for a temporary period of time on FLSA exemption status.

    (a) Applicability. Performing different work or duties for a 
temporary period of time may affect an employee's exemption status.
    (1) When applicable. This section applies only when an employee must 
perform work or duties that are not consistent with the employee's 
primary duties for an extended period, that is, for more than 30 
consecutive calendar days--the ``30-day test.'' The period of performing 
different work or duties may or may not involve a different geographic 
duty location. The exemption status of an employee temporarily 
performing different 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 at the same level with the same 
basic duties and exemption status as the employee's position.
    (b) An agency generally may not change an employee's exemption 
status based on a snapshot of the employee's duties during a particular 
week, unless the week involves emergency work under paragraph (f) of 
this section. An agency must:
    (1) Assess an employee's temporary work or duties over a reasonable 
period of time (the 30-day test), compare them with the primary duties 
upon which the employee's exemption status is based, and determine the 
employee's exemption status as described in Sec. Sec.  551.203 through 
551.210; and
    (2) Ensure that it does not avoid reassessing, and perhaps changing, 
an employee's exemption status by breaking up periods of temporary work 
or duties with periods of having the employee perform his or her regular 
work or duties. For example, an agency may not assign exempt employees 
to perform nonexempt work or duties for 29 consecutive calendar days, 
return them to their exempt duties for two or three days, then assign 
them again to perform nonexempt work for another 29 days.

[[Page 701]]

    (c) Aggregation of more than 30 nonconsecutive calendar days over an 
extended period does not meet the 30-day test and may not be used to 
change an employee's exemption status. For example, if an exempt 
employee performs nonexempt duties 4 days in one week, 2 days in the 
following week, and so on over a period of weeks or months, the days of 
nonexempt work may not be aggregated for the purpose of changing the 
employee's exemption status.
    (d) Effect on nonexempt employees. (1) A nonexempt employee who must 
temporarily perform work or duties that are different from the 
employee's primary duties remains nonexempt for the entire period of 
temporary work or duties unless both of the following conditions are 
met:
    (i) The period of temporary work or duties exceeds 30 consecutive 
calendar days; and
    (ii) The employee's primary duties for the period of temporary work 
are exempt as defined in this part.
    (2) If a nonexempt employee becomes exempt under the criteria in 
paragraph (d)(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 no longer entitled to 
the FLSA overtime pay received but may be owed title 5 overtime pay, or 
its equivalent.
    (e) Effect on exempt employees. (1) An exempt employee who must 
temporarily perform work or duties that are different from the 
employee's primary duties remains exempt for the entire period of 
temporary work or duties unless both of the following conditions are 
met:
    (i) The period of temporary work or duties exceeds 30 consecutive 
calendar days; and
    (ii) The employee's primary duties for the period of temporary work 
are not exempt as defined in this part.
    (2) If an exempt employee becomes nonexempt under the criteria in 
paragraph (e)(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, or its 
equivalent, for work performed during the first 30 consecutive 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 no longer be entitled to some or all of the title 5, or 
equivalent, overtime pay received but may be owed FLSA overtime pay.
    (f) Emergency situation. Notwithstanding any other provision of this 
section, and regardless of an employee's grade or equivalent 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. 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 
(f)(2)(i) and (f)(2)(ii) of this section.
    (i) Remain exempt. An exempt employee remains exempt for any 
workweek in which the employee's primary duties for the period of 
emergency work are exempt as defined in this part.
    (ii) Become nonexempt. An exempt employee becomes nonexempt for any 
workweek in which the employee's primary duties for the period of 
emergency work are nonexempt as defined in this part.



Sec.  551.212  Foreign exemption criteria.

    Foreign exemption means a provision of the Act under which the 
minimum

[[Page 702]]

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.
    (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.  
551.104.
    (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 in 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 duties of the employee's official position, 
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 duties of the employee's official 
position:
    (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 if the employee was 
permanently stationed in any nonexempt area; and
    (ii) The agency must determine the employee's exemption status for 
that workweek by applying Sec.  551.211.
    (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.  551.213  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(a) of this chapter, as provided in 29 U.S.C. 213(a)(16));
    (b) A pilot employed by U.S. Customs and Border Protection or its 
successor 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.  551.214  Statutory exclusion.

    A customs officer who receives overtime pay under subsection (a) or 
premium pay under subsection (b) of 19 U.S.C. 267 and under 19 CFR 24.16 
for time worked may not receive pay or other compensation for that work 
under any other provision of law.



Sec.  551.215  Fire protection activities and 7(k) coverage 
for FLSA pay and exemption determinations.

    (a) The Office of Personnel Management may determine that the 
provisions of section 7(k) of the Act apply to certain categories of 
fire protection employees based on appropriate factors, such as the type 
of premium payments they receive (see Sec.  551.501(a)(1) and (5) and 
Sec.  551.541).

[[Page 703]]

    (b) Fire protection activities. Fire protection activities involve 
the performance of functions directly concerned with the response to and 
the control and extinguishment of fires; or performance of inspection of 
facilities and equipment for the primary purpose of reducing or 
eliminating fire hazards by trained firefighters eligible for 
reassignment to fire control and suppression or prevention duties; or 
provision of the primary (i.e., the first called) rescue and ambulance 
service in connection with fire protection functions.
    (c) Engaged in fire protection activities. (1) An employee 
(including a firefighter, paramedic, emergency medical technician, 
rescue worker, ambulance personnel, or hazardous materials worker) is 
considered engaged in fire protection activities for the purpose of 
determining possible application of section 7(k) of the Act as provided 
for in Sec.  551.501(a)(1) and (5) and Sec.  551.541 if the employee:
    (i) Is trained in fire suppression, has authority and responsibility 
to engage in fire suppression, and is employed by an organization with 
fire suppression as a primary mission; and
    (ii) Is engaged in the prevention, control, and extinguishment of 
fires or response to emergency situations where life, property, or the 
environment is at risk.
    (2) Subject to the requirements of paragraph (c)(1) of this section, 
the following types of employees are engaged in fire protection 
activities for the purpose of determining possible application of 
section 7(k) of the Act:
    (i) Employees in positions properly classified in the Fire 
Protection and Prevention series, including any qualified firefighter 
who is assigned to perform support functions (e.g., communications or 
dispatching functions, equipment maintenance or repair) or who is 
transferred to an administrative or supervisory position within the fire 
protection activity, except when such administrative or supervisory work 
exempts the employee under executive, administrative, and professional 
considerations;
    (ii) Employees in positions properly classified in other series, 
such as Forestry Technician, for whom fire protection functions 
constitute substantially full-time assignments throughout the year, or 
for the duration of a specified fire season within the year;
    (iii) Temporary employees hired solely to perform fire suppression 
work on an as-needed basis;
    (iv) Members of rescue and ambulance crews with fire suppression 
training, authority, and responsibility, who are part of a fire 
suppression organization, as described in paragraph (c)(1)(i) of this 
section; and
    (v) Any other employee in any workweek in which the employee 
performs fire control or suppression work for 80 percent or more of the 
total hours worked.
    (d) Not engaged in fire protection activities. Examples of types of 
employees who are not engaged in fire protection activities for the 
purpose of applying section 7(k) of the Act (as provided for in Sec.  
551.501(a)(1) and (5) and Sec.  551.541) include the following:
    (1) Professional engineers, engineering technicians, and similar 
employees involved in fire protection research or in the design and 
development of fire protection and prevention equipment and materials;
    (2) Employees who perform functions that support fire protection 
activities but who are not trained, qualified firefighters eligible for 
reassignment to fire control and suppression or prevention duties. 
Supporting functions (such as maintenance of fire apparatus, equipment, 
alarm systems, etc., or communications and dispatching work or 
preparation of records and reports) are included when performed by 
firefighters but are not included when performed by mechanics, 
communications systems and radio operators, clerks, or other employees;
    (3) Employees whose primary duties are not related to fire 
protection but who perform fire control or suppression work on an as 
needed basis, provided that the fire control or suppression work 
constitutes less than 80 percent of the employees' hours of work within 
any workweek; and
    (4) Employees on rescue and ambulance crews who:
    (i) Are not trained in fire suppression;
    (ii) Do not have fire suppression authority and responsibility; or

[[Page 704]]

    (iii) Are employed by an organization, such as a hospital, that does 
not have fire suppression as a primary mission.



Sec.  551.216  Law enforcement activities and 7(k) coverage for FLSA pay and exemption determinations.

    (a) The Office of Personnel Management may determine that the 
provisions of section 7(k) of the Act apply to certain categories of law 
enforcement employees based on appropriate factors, such as the type of 
premium payments they receive (see Sec. Sec.  551.501(a)(1) and (5) and 
551.541).
    (b) Law enforcement activities. Law enforcement activities involve 
work directly and primarily concerned with:
    (1) Patrol and control functions that include patrolling an area to 
enforce law and order and to protect the lives, property, and civil 
rights of individuals through the prevention and detection of criminal 
acts; responding to complaints, violations, accidents, and emergencies; 
investigating for clues at the scene of a crime, interviewing witnesses, 
and evaluating evidence to locate suspects; and apprehending and 
arresting persons suspected of, or wanted for, criminal violations under 
a statutorily prescribed arrest authority;
    (2) Executing the orders of a Federal court, including serving civil 
writs and criminal warrants issued by Federal courts; tracing and 
arresting persons wanted by warrants; and seizing and disposing of 
property under court orders;
    (3) Planning and conducting investigations relating to alleged or 
suspected violations of criminal laws, including the arrest of suspected 
or wanted persons under a statutorily prescribed arrest authority;
    (4) Security functions in a correctional institution involving 
direct custody and safeguarding of inmates charged with or convicted of 
violations of criminal laws; or
    (5) Rescue and ambulance functions that provide the primary (i.e., 
the first called) service in connection with law enforcement activities 
described above.
    (c) Engaged in law enforcement activities. The following employees 
are engaged in law enforcement activities for the purpose of determining 
possible application of section 7(k) of the Act as provided for in Sec.  
551.501(a)(1) and (5) and Sec.  551.541:
    (1) Employees in positions properly classified in the Police series, 
and employees in positions that would be otherwise classifiable in that 
series if covered by classification criteria of chapter 51 of title 5, 
U.S. Code;
    (2) Employees whose primary duties involve patrol and control 
functions performed for the purpose of detecting and apprehending 
persons suspected of violating criminal laws;
    (3) Employees in positions properly classified in the U.S. Marshal 
series;
    (4) Employees in positions properly classified in the Criminal 
Investigating series, and other employees performing criminal 
investigation as their primary duty, except as provided for in Sec.  
551.213 (Exemption of employees receiving availability pay);
    (5) Employees in positions properly classified in the Correctional 
Officer series, Guard series, or other series, whose primary duty is to 
maintain custody of inmates of a correctional institution; and
    (6) Employees on rescue and ambulance crews that provide the primary 
service in connection with law enforcement functions, provided that crew 
members have received intensive training in specialized rescue and first 
aid procedures applicable to law enforcement emergencies (e.g., gunshot 
wounds, riot and accident victims) and the crew responds to actual or 
potential law enforcement emergencies on a regular and recurring basis.
    (d) Not engaged in law enforcement activities. The following 
employees are not engaged in law enforcement activities for the purpose 
of pay under section 7(k) of the Act as provided for in Sec. Sec.  
551.501(a)(1) and (5) and 551.541:
    (1) Employees whose primary duties concern the protection of 
Government property from hazards such as sabotage, espionage, theft, 
fire, or accidental or willful damage and in so doing, control the 
movement of persons and protect the lives and property of persons on 
Government property (e.g., guards or other employees performing similar 
functions);
    (2) Employees who perform work concerned with the determination of 
the

[[Page 705]]

applicability of or compliance with laws and regulations when the duties 
primarily involve:
    (i) Examining or inspecting products, premises, property, or papers 
of persons or firms to enforce or obtain compliance with laws and 
regulations (e.g., immigration and customs examining or inspecting; mine 
safety and health examining or inspecting; alcohol, tobacco and firearms 
examining or inspecting; plant protection and quarantine examining or 
inspecting); or
    (ii) Planning and conducting investigations covering the character, 
practices, suitability or qualifications of persons or organizations 
seeking, claiming or receiving Federal benefits, permits, or employment 
(e.g., general investigations work);
    (3) Employees who work within correctional institutions but who do 
not have direct custody and safeguarding of inmates as their primary 
duty; and
    (4) Members of rescue or ambulance crews that provide those services 
in connection with law enforcement activities only in unusual situations 
(e.g., when the primary crews are unavailable or when an emergency 
situation requires more crews than can be provided by the primary 
service).

[72 FR 52765, Sept. 17, 2007, as amended at 80 FR 58121, Sept. 25, 2015]



Sec.  551.217  Exemption of Border Patrol agents.

    A Border Patrol agent (as defined in 5 U.S.C. 5550(a)(2) and 5 CFR 
550.1603) is exempt from the minimum wage and the hours of work and 
overtime pay provisions of the Act.

[80 FR 58121, Sept. 25, 2015]



                    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.

[[Page 706]]

    (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.
    (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 exceed 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

[[Page 707]]

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 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

[[Page 708]]

duty'' under the Federal Travel Regulation issued by the General 
Services Administration (41 CFR 300-3.1).

[45 FR 85664, Dec. 30, 1980, as amended at 59 FR 66635, Dec. 28, 1994; 
72 FR 12036, Mar. 15, 2007]



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 Recruitment 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 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; 
70 FR 72068, Dec. 1, 2005]



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.

[[Page 709]]



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 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.

[[Page 710]]

    (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;
    (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 Sec. Sec.  
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

[[Page 711]]

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 FR 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 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,

[[Page 712]]

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 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]

[[Page 713]]

                          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) If compensatory time off earned under paragraph (a) or (b) of 
this section is not taken within 26 pay periods after the pay period 
during which it was earned or if the employee transfers or separates 
from an agency before using the compensatory time, the employee must be 
paid for overtime work at the dollar value prescribed in paragraph (g) 
of this section.
    (e) Compensatory time off to an employee's credit as of May 14, 2007 
must be used by the end of the pay period ending 3 years after May 14, 
2007. If the earned compensatory time off is not taken by the end of the 
pay period ending 3 years after May 14, 2007, the employee must be paid 
for overtime work at the dollar value prescribed in paragraph (g) of 
this section.
    (f) If an employee with unused compensatory time off under 
paragraphs (a), (b), or (e) of this section separates from Federal 
service or is placed in a leave without pay status under the following 
circumstances, the employee must be paid for overtime work at the 
overtime rate at the dollar value prescribed in paragraph (g) of this 
section:
    (1) The employee is separated or placed in a leave without pay 
status to perform service in the uniformed services (as defined in 38 
U.S.C. 4303 and Sec.  353.102); or
    (2) The employee is separated or placed in a leave without pay 
status because of an on-the-job injury with entitlement to injury 
compensation under 5 U.S.C. chapter 81.
    (g) The dollar value of compensatory time off when it is liquidated 
is the amount of overtime pay the employee otherwise would have received 
for 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; 72 FR 12036, Mar. 15, 2007]

                     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 (as described in Sec. Sec.  551.215 and 551.216, 
respectively) who receives compensation for those activities under 5 
U.S.C. 5545(c)(1) or (2) or 5545b, or does not meet the definition of 
``employee'' in 5 U.S.C. 5541(2) for the purposes of 5 U.S.C. 5542, 
5543, and 5544, is subject to section 7(k) of the Act and this section. 
(See Sec.  551.501(a)(1) and (5)). Such an employee 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.
    (b) The tour of duty of an employee covered by paragraph (a) of this 
section 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 Sec. Sec.  551.411(c) and 551.432(b).
    (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.

[[Page 714]]

    (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; 72 FR 52773, 
Sept. 17, 2007]



                          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.
    (c) All work in fire suppression is deemed hazardous for the 
employment of individuals under 18 years of age. All work in fire 
protection and prevention is particularly hazardous for the employment 
of individuals between 16 and 18 years of age, except the following:
    (1) Work in offices or in repair or maintenance shops without 
exposure to hazardous materials;
    (2) Work in the construction, operation, repair, or maintenance of 
living and administrative quarters in firefighting camps without 
exposure to hazardous materials;
    (3) Work in forest protection, such as clearing fire trails or 
roads, piling and burning slash, maintaining firefighting equipment, or 
acting as fire lookout or fire patrolman away from the actual logging 
operations, provided that this provision shall not apply to the felling 
or bucking of timber, the collecting or transporting of logs, the 
operation of power-driven machinery, the handling or use of explosives, 
and work on trestles;
    (4) Work in the clean-up service outside of a structure after a fire 
has been declared by the fire official in charge to be under control; 
and
    (5) Work assisting in the administration of first aid.

[62 FR 67251, Dec. 23, 1997, as amended at 72 FR 52773, Sept. 17, 2007]



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: 72 FR 52774, Sept. 17, 2007, 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.



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

[[Page 715]]

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 and for retaining 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 
NGP, the claimant must use that NGP 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, Sec. Sec.  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 NGP.
    (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
    (c) When the release of the designated representative would give 
rise to unreasonable costs to the Government.

[[Page 716]]



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, this is a matter 
of personal discretion and a claimant is not required to do this; 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 (c) 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, or equivalent level) 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 requested information. The disclosure of 
information by a claimant is voluntary. However, OPM may be unable

[[Page 717]]

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. OPM may grant a request from the claimant or 
claimant's representative to withdraw an FLSA claim at any time before 
OPM issues its decision. The claimant or the claimant's representative 
must submit the request in writing to OPM.
    (b) Cancellation. OPM may, at its discretion, cancel an FLSA claim 
if the claimant or the claimant's 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.

    (a) 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. 
However, at its discretion, OPM may reconsider its FLSA claim decision 
when material information was not considered or there was a material 
error of law, regulation, or fact in the original decision. The request 
must be submitted in writing and received by OPM within 45 calendar days 
after the date of the decision. At its unreviewable discretion, OPM may 
waive the time limit.
    (b) 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.
    (c)(1) 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 to 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.
    (2) The agency should identify all similarly situated current and 
former employees to ensure that they are treated in a manner consistent 
with the decision on FLSA coverage, informing them in writing of their 
right to file an FLSA claim with the agency or OPM.

[[Page 718]]



Sec.  551.709  Availability of information.

    (a) Except when the claimant has requested confidentiality, the 
agency and the claimant must provide to each 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 Classification Appeals and 
FLSA Program, 1900 E Street, NW., Washington, DC 20415-0001.



PART 553_REEMPLOYMENT OF 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 or 
          termination of annuity in individual cases.
553.202 Request for delegation of authority to approve reemployment 
          without reduction or termination of annuity in emergencies or 
          other unusual circumstances.
553.203 Status of individuals serving without reduction.

    Authority: 5 U.S.C. 8344, 8468, Sec. 651, Pub. L. 106-65 (113 STAT. 
664).

    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,

[[Page 719]]

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 or termination of annuity 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 
hiring needs based on an emergency or other unusual circumstances 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.
    (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 paragraphs (c), (d), (e), or (f) 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.
    (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. Requests submitted on that 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

[[Page 720]]

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) Requests based on other unusual circumstances. An agency may 
request reemployment without penalty for an individual whose services 
are needed on a temporary basis due to other unusual circumstances. 
Agencies must provide justification describing the unusual 
circumstances.
    (g) 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; 72 FR 53412, Sept. 19, 2007]



Sec.  553.202  Request for delegation of authority to approve 
reemployment without reduction or termination of annuity in
emergencies or other unusual 
          circumstances.

    (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).
    (b) Content of request. The request for delegation must include:
    (1) Description of the situations for which authority is requested. 
The situation must result from emergencies posing immediate and direct 
threat to life or property or 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; 72 
FR 53412, Sept. 19, 2007]



Sec.  553.203  Status of individuals serving without reduction.

    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

[[Page 721]]

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.

[72 FR 53413, Sept. 19, 2007]



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.



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, RELOCATION, AND RETENTION INCENTIVES; SUPERVISORY
DIFFERENTIALS; AND EXTENDED ASSIGNMENT INCENTIVES--Table of Contents



                    Subpart A_Recruitment Incentives

Sec.
575.101 Purpose.
575.102 Definitions.
575.103 Eligible categories of employees.
575.104 Ineligible categories of employees.
575.105 Applicability to employees.
575.106 Authorizing a recruitment incentive.
575.107 Agency recruitment incentive plan and approval levels.
575.108 Approval criteria and written determination.
575.109 Payment of recruitment incentives.
575.110 Service agreement requirements.
575.111 Termination of a service agreement.
575.112 Internal monitoring requirements and revocation or suspension of 
          authority.
575.113 Records and reports.

                     Subpart B_Relocation Incentives

575.201 Purpose.
575.202 Definitions.
575.203 Eligible categories of employees.
575.204 Ineligible categories of employees.
575.205 Applicability to employees.
575.206 Authorizing a relocation incentive.
575.207 Agency relocation incentive plan and approval levels.
575.208 Approval criteria and written determination.
575.209 Payment of relocation incentives.
575.210 Service agreement requirements.
575.211 Termination of a service agreement.
575.212 Internal monitoring requirements and revocation or suspension of 
          authority.
575.213 Records and reports.

                     Subpart C_Retention Incentives

575.301 Purpose.
575.302 Definitions.
575.303 Eligible categories of employees.
575.304 Ineligible categories of employees.
575.305 Applicability to employees.
575.306 Authorizing a retention incentive.

[[Page 722]]

575.307 Agency retention incentive plan and approval levels.
575.308 Approval criteria and written determination.
575.309 Payment of retention incentives.
575.310 Service agreement requirements.
575.311 Continuation, reduction, and termination of retention 
          incentives.
575.312 Internal monitoring requirements and revocation or suspension of 
          authority.
575.313 Records and reports.
575.314 Retention incentives for employees likely to leave for a 
          different position in the Federal service.

                   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) and 5307; subparts A and B also 
issued under 5 U.S.C. 5753; subpart C also issued under 5 U.S.C. 5754; 
subpart D also issued under 5 U.S.C. 5755; subpart E also issued under 5 
U.S.C. 5757 and sec. 207 of Public Law 107-273, 116 Stat. 1780.

    Source: 56 FR 12838, Mar. 28, 1991, unless otherwise noted.



                    Subpart A_Recruitment Incentives

    Source: 70 FR 25740, May 13, 2005, unless otherwise noted.



Sec.  575.101  Purpose.

    This subpart contains regulations implementing 5 U.S.C. 5753, which 
authorizes payment of recruitment incentives. An agency may pay a 
recruitment incentive to a newly appointed employee under the conditions 
specified in this subpart provided the agency has determined that the 
employee's position is likely to be difficult to fill in the absence of 
an incentive.



Sec.  575.102  Definitions.

    In this subpart:
    Agency means an executive agency or a legislative branch agency 
included in 5 U.S.C. 5102(a)(1).
    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.
    Competencies means the knowledge, skills, abilities, behaviors, and 
other characteristics an individual needs to perform the duties of a 
position.
    Employee has the meaning given that term in 5 U.S.C. 2105, except 
that the term also includes an employee described in 5 U.S.C. 2105(c). 
For the purpose of determining whether an individual was an employee of 
the Federal Government during the 90-day period referred to in the 
definition of newly appointed, employee also includes an employee 
described in 5 U.S.C. 2105(e). For the purpose of Sec.  575.109(d), an 
employee means an individual not yet employed who has received a written 
offer to be newly appointed or reappointed and has signed the written 
service agreement required by Sec.  575.110 before payment of the 
recruitment incentive.

[[Page 723]]

    Executive agency has the meaning given that term in 5 U.S.C. 105.
    Federal Government means all entities of the Government of the 
United States, including the United States Postal Service and the Postal 
Regulatory Commission.
    Newly appointed refers to--
    (1) The first appointment, regardless of tenure, as an employee of 
the Federal Government;
    (2) An appointment of a former employee of the Federal Government 
following a break in Federal Government service of at least 90 days; or
    (3) An appointment of an individual in the Federal Government when 
his or her service in the Federal Government during the 90-day period 
immediately preceding the appointment was not in a position excluded by 
Sec.  575.104 and was limited to one or more of the following:
    (i) A time-limited appointment in the competitive or excepted 
service;
    (ii) A non-permanent appointment in the competitive or excepted 
service;
    (iii) Employment with the government of the District of Columbia 
(DC) when the candidate was first appointed by the DC government on or 
after October 1, 1987;
    (iv) An appointment as an expert or consultant under 5 U.S.C. 3109 
and 5 CFR part 304;
    (v) Employment under a provisional appointment designated under 5 
CFR 316.403;
    (vi) Employment under an Internship Program appointment under Sec.  
213.3402(a) of this chapter; or
    (vii) Employment as a Senior Executive Service limited term 
appointee or limited emergency appointee (as defined in 5 U.S.C. 
3132(a)(5) and (a)(6), respectively).
    OPM means the Office of Personnel Management.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position to which an employee is or will 
be appointed before deductions and including any special rate under 5 
CFR part 530, subpart C, or similar payment under other legal authority, 
and any locality-based comparability payment under 5 CFR part 531, 
subpart F, or similar payment under other legal authority, but excluding 
additional pay of any other kind. For example, a rate of basic pay does 
not include additional pay such as 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 of not less than 6 months or more than 4 years with the 
agency in return for payment of a recruitment incentive.

[70 FR 25740, May 13, 2005, as amended at 72 FR 67837, Dec. 3, 2007; 77 
FR 28223, May 11, 2012; 78 FR 49363, Aug. 14, 2013 ]



Sec.  575.103  Eligible categories of employees.

    (a) Except as provided in Sec.  575.104, an Executive agency may pay 
a recruitment incentive to an employee appointed or placed in the 
following categories of positions:
    (1) A General Schedule position paid under 5 U.S.C. 5332 or 5305 (or 
similar special rate authority);
    (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 5 CFR 
550.103;
    (5) A position under the Executive Schedule paid under 5 U.S.C. 
5311-5317 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) A prevailing rate position, as defined in 5 U.S.C. 5342(a)(3); 
or
    (7) Any other position in a category for which payment of 
recruitment incentives has been approved by OPM at the request of the 
head of an executive agency.
    (b) Except as provided in Sec.  575.104, a legislative agency may 
pay a recruitment incentive to an employee appointed or placed in a 
General Schedule position paid under 5 U.S.C. 5332 or 5305 (or similar 
special rate authority).

[70 FR 25740, May 13, 2005, as amended at 72 FR 67837, Dec. 3, 2007]

[[Page 724]]



Sec.  575.104  Ineligible categories of employees.

    An agency may not pay a recruitment incentive to an employee in--
    (a) A position to which an individual is appointed by the President, 
by and with the advice and consent of the Senate;
    (b) A position in the Senior Executive Service as a noncareer 
appointee (as defined in 5 U.S.C. 3132(a)(7));
    (c) A position excepted from the competitive service by reason of 
its confidential, policy-determining, policy-making, or policy-
advocating character; or
    (d) A position not otherwise covered by the exclusions in paragraphs 
(a), (b), and (c) of this section--
    (1) To which an individual is appointed by the President without the 
advice and consent of the Senate, except a Senior Executive Service 
position in which the individual serves as a career appointee (as 
defined in 5 U.S.C. 3132(a)(4));
    (2) Designated as the head of an agency, including an agency headed 
by a collegial body composed of two or more individual members;
    (3) In which the employee is expected to receive an appointment as 
the head of an agency; or
    (4) To which an individual is appointed as a Senior Executive 
Service limited term appointee or limited emergency appointee (as 
defined in 5 U.S.C. 3132(a)(5) and (a)(6), respectively) when the 
appointment must be cleared through the White House Office of 
Presidential Personnel.

[70 FR 25740, May 13, 2005, as amended at 78 FR 49363, Aug. 14, 2013]



Sec.  575.105  Applicability to employees.

    (a) A recruitment incentive may be paid under the conditions 
prescribed in this subpart to an employee who is newly appointed to a 
position listed in Sec.  575.103 that is likely to be difficult to fill, 
as determined under Sec.  575.106.
    (b)(1) An agency may target groups of similar positions (excluding 
positions covered by Sec.  575.103(a)(2), (a)(3), or (a)(5) or those in 
similar categories approved by OPM under Sec.  575.103(a)(7)) that have 
been difficult to fill in the past or that may be difficult to fill in 
the future and make the required determination to offer a recruitment 
incentive to newly-appointed employees on a group basis.
    (2) An agency must define a targeted category of positions using 
factors that relate to the conditions described in Sec.  575.106(b). 
Factors that may be appropriate include the following: occupational 
series, grade level, distinctive job duties, unique competencies 
required for the positions, and geographic location.
    (3) An agency must review each decision to target a group of similar 
positions for the purpose of granting a recruitment incentive at least 
annually to determine whether the positions are still likely to be 
difficult to fill. An authorized agency official must certify this 
determination in writing. If an agency determines the positions are no 
longer likely to be difficult to fill, the agency may not offer a 
recruitment incentive to newly-appointed employees in that group on a 
group basis.
    (c) An agency may not commence a recruitment incentive service 
agreement during--
    (1) A period of employment established under any service agreement 
required for a relocation incentive under 5 CFR part 575, subpart B, or
    (2) A period of employment established under any service agreement 
required for a retention incentive or for which an employee receives 
retention incentive payments without a service agreement under 5 CFR 
part 575, subpart C.

[70 FR 25740, May 13, 2005, as amended at 72 FR 67838, Dec. 3, 2007; 78 
FR 49363, Aug. 14, 2013]



Sec.  575.106  Authorizing a recruitment incentive.

    (a) Authority of authorized agency official. An authorized agency 
official retains sole and exclusive discretion, subject only to OPM 
review and oversight, to--
    (1) Determine when a position is likely to be difficult to fill 
under paragraph (b) of this section;
    (2) Approve a recruitment incentive for an employee under Sec.  
575.105;
    (3) Establish the criteria for determining the amount of a 
recruitment incentive and the length of a service

[[Page 725]]

period under Sec. Sec.  575.109(a) and 575.110(a), respectively;
    (4) Request a waiver from OPM of the limitation on the maximum 
amount of a recruitment incentive under Sec.  575.109(c); and
    (5) Establish the criteria for terminating a service agreement under 
Sec.  575.111.
    (b) Factors for determining when a position is likely to be 
difficult to fill. An agency in its sole and exclusive discretion, 
subject only to OPM review and oversight, may determine that a position 
is likely to be difficult to fill if the agency is likely to have 
difficulty recruiting candidates with the competencies required for the 
position (or group of positions) in the absence of a recruitment 
incentive. An agency must consider the following factors, as applicable 
to the case at hand, in determining whether a position (or group of 
positions) is likely to be difficult to fill in the absence of a 
recruitment incentive and in documenting this determination as required 
by Sec.  575.108:
    (1) The availability and quality of candidates possessing the 
competencies required for the position, including the success of recent 
efforts to recruit candidates for the position or similar positions 
using indicators such as offer acceptance rates, proportion of positions 
filled, and the length of time required to fill similar positions;
    (2) The salaries typically paid outside the Federal Government for 
similar positions;
    (3) Recent turnover in similar positions;
    (4) Employment trends and labor-market factors that may affect the 
agency's ability to recruit candidates for similar positions;
    (5) Special or unique competencies required for the position;
    (6) Agency efforts to use non-pay authorities, such as special 
training and work scheduling flexibilities, to resolve difficulties 
alone or in combination with a recruitment incentive;
    (7) The desirability of the duties, work or organizational 
environment, or geographic location of the position; and
    (8) Other supporting factors.
    (c) An agency may determine that a position (or group of positions) 
is likely to be difficult to fill if OPM has approved the use of a 
direct-hire authority applicable to the position (or group of positions) 
under 5 CFR part 337, subpart B.

[70 FR 25740, May 13, 2005, as amended at 72 FR 67838, Dec. 3, 2007]



Sec.  575.107  Agency recruitment incentive plan and approval levels.

    (a) Before paying recruitment incentives under this subpart, an 
agency must establish a recruitment incentive plan. The plan must 
include the following elements:
    (1) The designation of officials with authority to review and 
approve payment of recruitment incentives (subject to paragraph (b) of 
this section), including the circumstances under which an official has 
the authority to approve payment without higher-level approval under 
paragraph (b)(2) of this section, and the designation of officials with 
authority to waive the repayment of a recruitment incentive under Sec.  
575.111(h);
    (2) The categories of employees who are prohibited from receiving 
recruitment incentives;
    (3) Required documentation for determining that a position is likely 
to be difficult to fill;
    (4) Any requirements for determining the amount of a recruitment 
incentive;
    (5) The payment methods that may be authorized;
    (6) Requirements governing service agreements, which, at a minimum, 
must include--
    (i) The criteria for determining the length of a service period;
    (ii) The conditions for terminating a service agreement; and
    (iii) The obligations of the agency and the employee, as applicable, 
if an agency terminates a service agreement; and
    (7) Documentation and recordkeeping requirements sufficient to allow 
reconstruction of the action and to fulfill the requirements of 
Sec. Sec.  575.112 and 575.113.
    (b)(1) Except as provided in paragraph (b)(2) of this section, an 
authorized agency official who is at least one

[[Page 726]]

level higher than the employee's supervisor must review and approve each 
determination to pay a recruitment incentive to a newly appointed 
employee, unless there is no official at a higher level in the agency. 
The authorized agency official must review and approve the recruitment 
incentive determination before the agency may pay the incentive to the 
employee.
    (2) When necessary to make a timely offer of employment, an 
authorized agency official may establish criteria in advance for 
offering recruitment incentives to newly-appointed employees and may 
authorize an official who is not lower than a candidate's supervisor to 
use these criteria to offer a recruitment incentive (in any amount 
within a pre-established range) to a candidate without further review or 
approval.
    (c) Unless the head of the agency determines otherwise, an agency 
recruitment incentive plan must apply uniformly across the agency.

[70 FR 25740, May 13, 2005, as amended at 72 FR 67838, Dec. 3, 2007]



Sec.  575.108  Approval criteria and written determination.

    (a) For each determination to pay a recruitment incentive under this 
subpart, an agency must document in writing--
    (1) The basis for determining that a position is likely to be 
difficult to fill, as determined under Sec.  575.106;
    (2) The basis for authorizing a recruitment incentive; and
    (3) The basis for the amount and timing of the approved recruitment 
incentive payment and the length of the required service period.
    (b) An agency must make the determination to pay a recruitment 
incentive before the prospective employee enters on duty in the position 
for which recruited.



Sec.  575.109  Payment of recruitment incentives.

    (a) An authorized agency official must establish the criteria for 
determining the amount of a recruitment incentive. An agency may pay a 
recruitment incentive-(1) As an initial lump-sum payment at the 
commencement of the service period required by the service agreement or 
before the start of the service period, as authorized by paragraph (d) 
of this section;
    (2) In installments throughout the service period required by the 
service agreement;
    (3) As a final lump-sum payment upon the completion of the full 
service period required by the service agreement; or
    (4) In a combination of these payment methods.
    (b)(1) Except as provided in paragraph (c) of this section, the 
total amount of recruitment incentive payments paid to an employee in a 
service period may not exceed 25 percent of the annual rate of basic pay 
of the employee at the beginning of the service period multiplied by the 
number of years (including fractions of a year) in the service period 
(not to exceed 4 years).
    (2) For hourly rate employees who do not have a scheduled annual 
rate of basic pay, compute the annual rate required for paragraph (b)(1) 
of this section by multiplying the applicable hourly rate in effect at 
the beginning of the service period by 2,087 hours.
    (3) For the purpose of determining the number of years in a service 
period under paragraph (b)(1) of this section, divide the total number 
of calendar days in the service period by 365 and round 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.
    (c)(1) An authorized agency official may request that OPM waive the 
limitation in paragraph (b)(1) of this section for an employee or group 
of employees based on a critical agency need. The authorized agency 
official must determine that the competencies required for the 
position(s) are critical to the successful accomplishment of an 
important agency mission, project, or initiative (e.g., programs or 
projects related to a national emergency or implementing a new law or 
critical management initiative). Under such a waiver, the total amount 
of recruitment incentive payments paid to an employee in a service 
period may not exceed 50 percent of the employee's annual rate of basic 
pay at the beginning of the

[[Page 727]]

service period multiplied by the number of years (including fractions of 
a year) in the service period. However, in no event may a waiver provide 
total recruitment incentive payments exceeding 100 percent of the 
employee's annual rate of basic pay at the beginning of the service 
period.
    (2) Waiver requests must include--
    (i) A description of the critical agency need the proposed 
recruitment incentive would address;
    (ii) The documentation required by Sec.  575.108;
    (iii) The proposed recruitment incentive payment amount and a 
justification for that amount;
    (iv) The timing and method of making the recruitment incentive 
payments;
    (v) The service period required; and
    (vi) Any other information pertinent to the case at hand.
    (d) An agency may pay a recruitment incentive to an employee who has 
not yet entered on duty once the employee has signed a service agreement 
established under Sec.  575.110.
    (e) A recruitment incentive is not part of an employee's rate of 
basic pay for any purpose.
    (f) Payment of a recruitment incentive is subject to the aggregate 
limitation on pay under 5 CFR part 530, subpart B.

[70 FR 25740, May 13, 2005, as amended at 78 FR 49363, Aug. 14, 2013]



Sec.  575.110  Service agreement requirements.

    (a) Before paying a recruitment incentive, an agency must require 
the employee to sign a written service agreement to complete a specified 
period of employment with the agency (or successor agency in the event 
of a transfer of function). An authorized agency official must establish 
the criteria for determining the length of a service period. The service 
period may not be less than 6 months and may not exceed 4 years.
    (b)(1) The service agreement must include the commencement and 
termination dates of the required service period. Except as provided in 
paragraphs (b)(2) and (b)(3) of this section, the required service 
period must begin upon the commencement of service with the agency. The 
service period must terminate on the last day of a pay period.
    (2) If service with the agency does not begin on the first day of a 
pay period, the agency must delay the service period commencement date 
so that a required service period begins on the first day of the first 
pay period beginning on or after the commencement of service in the 
agency.
    (3) An agency may delay a service agreement commencement date until 
after the employee completes an initial period of formal training or 
required probationary period when continued employment in the position 
is contingent on successful completion of the formal training or 
probationary period. The agency must make the determination to pay a 
recruitment incentive before the employee enters on duty in the 
position. However, the service agreement must specify that if an 
employee does not successfully complete the training or probationary 
period before the service period commences, the agency is not obligated 
to pay any portion of the recruitment incentive to the employee.
    (c) The service agreement must specify the total amount of the 
incentive, the method of paying the incentive, and the timing and 
amounts of each incentive payment, as established under Sec.  575.109.
    (d) The service agreement must include the conditions under which 
the agency must terminate the service agreement (i.e., if an employee is 
demoted or separated for cause, receives a rating of record of less than 
``Fully Successful'' or equivalent, or otherwise fails to fulfill the 
terms of the service agreement) and the conditions under which the 
employee must repay a recruitment incentive under Sec.  575.111.
    (e) The service agreement must include the conditions under which 
the agency may terminate the service agreement before the employee 
completes the agreed-upon service period. The service agreement must 
specify the effect of a termination under Sec.  575.111, including the 
conditions under which the agency will pay an additional recruitment 
incentive payment for partially completed service under Sec.  575.111(e) 
and (f).

[[Page 728]]

    (f) The service agreement may include any other terms or conditions 
that, if violated, will result in termination of the service agreement 
under Sec.  575.111(b). For example, the service agreement may specify 
the employee's work schedule, type of position, and the duties he or she 
is expected to perform. In addition, the service agreement may address 
the extent to which periods of time on detail, in a nonpay status, or in 
a paid leave status are creditable towards the completion of the service 
period.



Sec.  575.111  Termination of a service agreement.

    (a) An authorized agency official may unilaterally terminate a 
recruitment incentive service agreement based solely on the management 
needs of the agency. For example, an agency may terminate a service 
agreement when the employee's position is affected by a reduction in 
force, when there are insufficient funds to continue the planned 
incentive payments, or when the agency assigns the employee to a 
different position (if the different position is not within the terms of 
the service agreement).
    (b) An authorized agency official must terminate a recruitment 
incentive service agreement if an employee is demoted or separated for 
cause (i.e., for unacceptable performance or conduct), if the employee 
receives a rating of record (or an official performance appraisal or 
evaluation under a system not covered by 5 U.S.C. chapter 43 or 5 CFR 
part 430) of less than ``Fully Successful'' or equivalent, or if the 
employee otherwise fails to fulfill the terms of the service agreement.
    (c) The termination of a service agreement is not grievable or 
appealable.
    (d) The agency must notify an employee in writing when it terminates 
a recruitment incentive service agreement.
    (e) If an authorized agency official terminates a service agreement 
under paragraph (a) of this section, the employee is entitled to all 
recruitment incentive payments that are attributable to completed 
service and to retain any portion of a recruitment incentive payment he 
or she received that is attributable to uncompleted service.
    (f) Except as provided in paragraph (j) of this section, if an 
authorized agency official terminates a service agreement under 
paragraph (b) of this section, the employee is entitled to retain 
recruitment incentive payments previously paid by the agency that are 
attributable to the completed portion of the service period. If the 
employee received recruitment incentive payments that are less than the 
amount that would be attributable to the completed portion of the 
service period, the agency is not obligated to pay the employee the 
amount attributable to completed service, unless the agency agreed to 
such payment under the terms of the recruitment incentive service 
agreement. If the employee received recruitment incentive payments in 
excess of the amount that would be attributable to the completed portion 
of the service period, he or she must repay the excess amount, except 
when an authorized agency official waives the requirement to repay the 
excess amount under paragraph (h) of this section.
    (g) If an employee fails to reimburse the paying agency for the full 
amount owed under paragraph (f) of 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 governing Federal debt collection if the individual is no 
longer a Federal employee.
    (h) If an employee received recruitment incentive payments in excess 
of the amount that would be attributable to the completed portion of the 
service period under paragraph (f) of this section, an authorized agency 
official may waive the requirement to repay the excess amount when, in 
the judgment of the official, collection of the excess amount would be 
against equity and good conscience and not in the best interest of the 
United States.
    (i) The full amount of the authorized recruitment incentive must be 
prorated across the length of the service period to determine the amount 
of the recruitment incentive attributable to

[[Page 729]]

completed service and uncompleted service under this section.
    (j) Notwithstanding paragraph (f) of this section, if an agency 
terminates a service agreement under paragraph (b) of this section when 
an employee is separated as a result of material false or inaccurate 
statements or deception or fraud in examination or appointment, or as a 
result of failing to meet employment qualifications, the employee must 
repay all recruitment incentive payments received under that service 
agreement.

[70 FR 25740, May 13, 2005, as amended at 72 FR 67838, Dec. 3, 2007]



Sec.  575.112  Internal monitoring requirements and revocation or suspension of authority.

    (a) Each agency must monitor the use of recruitment incentives to 
ensure that its recruitment incentive plan and the payment of 
recruitment incentives are consistent with the requirements and criteria 
established under 5 U.S.C. 5753 and this subpart.
    (b) When OPM finds that an agency is not paying recruitment 
incentives consistent with the agency's recruitment incentive plan and 
the criteria established under 5 U.S.C. 5753 and this subpart or 
otherwise determines that the agency is not using this authority 
selectively and judiciously, OPM may--
    (1) Direct the agency to revoke or suspend the authority granted to 
any organizational component in the agency and, with respect to any 
category or categories of employees, require that the component obtain 
approval from the agency's headquarters level before paying a 
recruitment incentive to such employees; or
    (2) Revoke or suspend the authority granted to the agency under this 
subpart for all or any part of the agency and, with respect to any 
category or categories of employees, require that the agency obtain 
OPM's approval before paying a recruitment incentive to such employees.



Sec.  575.113  Records and reports.

    Each agency must keep a record of each determination to pay a 
recruitment incentive and make such records available for review upon 
OPM's request.

[70 FR 25740, May 13, 2005, as amended at 78 FR 49363, Aug. 14, 2013]



                     Subpart B_Relocation Incentives

    Source: 70 FR 25743, May 13, 2005, unless otherwise noted.



Sec.  575.201  Purpose.

    This subpart contains regulations implementing 5 U.S.C. 5753, which 
authorizes payment of relocation incentives. An agency may pay a 
relocation incentive to a current employee who must relocate to accept a 
position in a different geographic area under the conditions specified 
in this subpart provided the agency determines that the position is 
likely to be difficult to fill in the absence of an incentive.



Sec.  575.202  Definitions.

    In this subpart:
    Agency means an executive agency or a legislative branch agency 
included in 5 U.S.C. 5102(a)(1).
    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.
    Competencies means the knowledge, skills, abilities, behaviors, and 
other characteristics an employee needs to perform the duties of a 
position.
    Employee has the meaning given that term in 5 U.S.C. 2105, except 
that the term also includes an employee described in 5 U.S.C. 2105(c). 
For the purpose of determining whether an individual had status as an 
employee of the Federal Government immediately prior to the relocation 
(i.e., in Sec.  575.205(a)(2)), employee also includes an employee 
described in 5 U.S.C. 2105(e).
    Executive agency has the meaning given that term in 5 U.S.C. 105.
    Federal Government means all entities of the Government of the 
United States, including the United States Postal Service and the Postal 
Regulatory Commission.
    OPM means the Office of Personnel Management.

[[Page 730]]

    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position to which the employee is 
relocated before deductions and including any special rate under 5 CFR 
part 530, subpart C, or similar payment under other legal authority, and 
any locality-based comparability payment under 5 CFR part 531, subpart 
F, or similar payment under other legal authority, but excluding 
additional pay of any other kind. For example, a rate of basic pay does 
not include additional pay such as 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 of not more than 4 years with the agency at the new duty 
station to which relocated in return for payment of a relocation 
incentive.

[70 FR 25743, May 13, 2005, as amended at 72 FR 67838, Dec. 3, 2007]



Sec.  575.203  Eligible categories of employees.

    (a) Except as provided in Sec.  575.204, an Executive agency may pay 
a relocation incentive to an employee in the following categories of 
positions:
    (1) A General Schedule position paid under 5 U.S.C. 5332 or 5305 (or 
similar special rate authority);
    (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 5 CFR 
550.103;
    (5) A position under the Executive Schedule paid under 5 U.S.C. 
5311-5317 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) A prevailing rate position, as defined in 5 U.S.C. 5342(a)(3); 
or
    (7) Any other position in a category for which payment of relocation 
incentives has been approved by OPM at the request of the head of an 
executive agency.
    (b) Except as provided in Sec.  575.204, a legislative agency may 
pay a relocation incentive to an employee in a General Schedule position 
paid under 5 U.S.C. 5332 or 5305 (or similar special rate authority).

[70 FR 25743, May 13, 2005, as amended at 72 FR 67838, Dec. 3, 2007]



Sec.  575.204  Ineligible categories of employees.

    An agency may not pay a relocation incentive to an employee in--
    (a) A position to which an individual is appointed by the President, 
by and with the advice and consent of the Senate;
    (b) A position in the Senior Executive Service as a noncareer 
appointee (as defined in 5 U.S.C. 3132(a)(7));
    (c) A position excepted from the competitive service by reason of 
its confidential, policy-determining, policy-making, or policy-
advocating character; or
    (d) A position not otherwise covered by the exclusions in paragraphs 
(a), (b), and (c) of this section--
    (1) To which an individual is appointed by the President without the 
advice and consent of the Senate, except a Senior Executive Service 
position in which the individual serves as a career appointee (as 
defined in 5 U.S.C. 3132(a)(4));
    (2) Designated as the head of an agency, including an agency headed 
by a collegial body composed of two or more individual members;
    (3) In which the employee is expected to receive an appointment as 
the head of an agency; or
    (4) To which an individual is appointed as a Senior Executive 
Service limited term appointee or limited emergency appointee (as 
defined in 5 U.S.C. 3132(a)(5) and (a)(6), respectively) when the 
appointment must be cleared through the White House Office of 
Presidential Personnel.

[70 FR 25743, May 13, 2005, as amended at 78 FR 49363, Aug. 14, 2013]



Sec.  575.205  Applicability to employees.

    (a) An agency may pay a relocation incentive under the conditions 
prescribed in this subpart to an employee who--

[[Page 731]]

    (1) Relocates to a different geographic area (permanently or 
temporarily) to accept a position listed in Sec.  575.203 in an agency 
when the position is likely to be difficult to fill, as determined under 
Sec.  575.206; and
    (2) Is an employee of the Federal Government immediately before the 
relocation.
    (b) An agency may pay a relocation incentive under paragraph (a) of 
this section when an employee must relocate to accept a position or 
assignment in a different geographic area. A position is considered to 
be in a different geographic area if the worksite of the new position is 
50 or more miles from the worksite of the position held immediately 
before the move. If the worksite of the new position is less than 50 
miles from the worksite of the position held immediately before the 
move, but the employee must relocate (i.e., establish a new residence) 
to accept the position, an authorized agency official may waive the 50-
mile requirement and pay the employee a relocation incentive subject to 
the requirements of this subpart. In all cases, the employee must 
establish a residence in the new geographic area before the agency may 
pay a relocation incentive to the employee. A relocation incentive may 
be paid only if the employee maintains residency in the new geographic 
area for the duration of the service agreement.
    (c) A relocation incentive may be paid only when the employee's 
rating of record (or an official performance appraisal or evaluation 
under a system not covered by 5 U.S.C. chapter 43 or 5 CFR part 430) for 
the position held immediately before the move is at least ``Fully 
Successful'' or equivalent.
    (d) An agency may not commence a relocation incentive service 
agreement during--
    (1) A period of employment established under any service agreement 
required for a recruitment incentive under 5 CFR part 575, subpart A, or
    (2) A period of employment established under any service agreement 
required for a relocation incentive previously authorized under this 
subpart.
    (e) An agency may commence a relocation incentive service agreement 
during a period of employment established under a service agreement for 
a previously authorized retention incentive or for which an employee is 
receiving previously authorized retention incentive payments without a 
service agreement under 5 CFR part 575, subpart C. The service period 
under such a relocation incentive service agreement and the service 
period required by the retention incentive service agreement, if 
applicable, must be fulfilled concurrently.

[70 FR 25743, May 13, 2005, as amended at 72 FR 67838, Dec. 3, 2007; 78 
FR 49364, Aug. 14, 2013]



Sec.  575.206  Authorizing a relocation incentive.

    (a) Authority of authorized agency official. An authorized agency 
official retains sole and exclusive discretion, subject only to OPM 
review and oversight, to--
    (1) Determine when a position is likely to be difficult to fill 
under paragraph (b) of this section;
    (2) Approve a relocation incentive for an employee under Sec.  
575.205;
    (3) Establish the criteria for determining the amount of a 
relocation incentive and the length of a service period under Sec. Sec.  
575.209 and 575.210, respectively;
    (4) Request a waiver from OPM of the limitation on the maximum 
amount of a relocation incentive under Sec.  575.209(c); and
    (5) Establish the criteria for terminating a service agreement under 
Sec.  575.211.
    (b) Factors for determining when a position is likely to be 
difficult to fill. An agency in its sole and exclusive discretion, 
subject only to OPM review and oversight, may determine that a position 
is likely to be difficult to fill if the agency is likely to have 
difficulty recruiting candidates with the competencies required for the 
position (or group of positions) in the absence of a relocation 
incentive. An agency must consider the following factors, as applicable 
to the case at hand, in determining whether a position (or group of 
positions) is likely to be difficult to fill in the absence of a 
relocation incentive and in documenting this determination as required 
by Sec.  575.208:

[[Page 732]]

    (1) The availability and quality of candidates possessing the 
competencies required for the position, including the success of recent 
efforts to recruit candidates for the position or similar positions 
using indicators such as offer acceptance rates, proportion of positions 
filled, and the length of time required to fill similar positions;
    (2) The salaries typically paid outside the Federal Government for 
similar positions;
    (3) Recent turnover in similar positions;
    (4) Employment trends and labor-market factors that may affect the 
agency's ability to recruit candidates for similar positions;
    (5) Special or unique competencies required for the position;
    (6) Agency efforts to use non-pay authorities, such as special 
training and work scheduling flexibilities, to resolve difficulties 
alone or in combination with a relocation incentive;
    (7) The desirability of the duties, work or organizational 
environment, or geographic location of the position; and
    (8) Other supporting factors.
    (c) An agency may determine that a position (or group of positions) 
is likely to be difficult to fill if OPM has approved the use of a 
direct-hire authority applicable to the position (or group of positions) 
under 5 CFR part 337, subpart B.

[70 FR 25743, May 13, 2005, as amended at 70 FR 74996, Dec. 19, 2005; 72 
FR 67839, Dec. 3, 2007]



Sec.  575.207  Agency relocation incentive plan and approval levels.

    (a) Before paying relocation incentives under this subpart, an 
agency must establish a relocation incentive plan. This plan must 
include the following elements:
    (1) The designation of officials with authority to review and 
approve payment of relocation incentives (subject to paragraph (b) of 
this section) and the designation of officials with authority to waive 
the repayment of a relocation incentive under Sec.  575.211(h);
    (2) The categories of employees who are prohibited from receiving 
relocation incentives;
    (3) Required documentation for determining that a position (or group 
of positions) is likely to be difficult to fill;
    (4) Any requirements for determining the amount of a relocation 
incentive;
    (5) The payment methods that may be authorized;
    (6) Requirements governing service agreements which, at a minimum, 
must include--
    (i) The criteria for determining the length of a service period 
under a service agreement;
    (ii) The conditions for terminating a service agreement; and
    (iii) The obligations of the agency and the employee, as applicable, 
if an agency terminates a service agreement; and
    (7) Documentation and recordkeeping requirements sufficient to allow 
reconstruction of the action and fulfill the requirements of Sec. Sec.  
575.212 and 575.213.
    (b)(1) Except as provided in paragraph (b)(2) of this section, an 
authorized agency official who is at least one level higher than the 
employee's supervisor must review and approve each determination to pay 
a relocation incentive, unless there is no official at a higher level in 
the agency. The authorized agency official must review and approve the 
relocation incentive determination before the agency pays the incentive 
to the employee.
    (2) The higher level approval required by paragraph (b)(1) of this 
section is not needed when approving coverage of individual employees 
under a previously approved relocation incentive authorization if the 
case-by-case approval requirement is waived under Sec.  575.208(b).
    (c) Unless the head of the agency determines otherwise, an agency 
relocation incentive plan must apply uniformly across the agency.

[70 FR 25743, May 13, 2005, as amended at 72 FR 67839, Dec. 3, 2007]



Sec.  575.208  Approval criteria and written determination.

    (a)(1) For each determination to pay a relocation incentive under 
this subpart, an agency must document in writing--
    (i) The basis for determining that a position is likely to be 
difficult to fill as determined under Sec.  575.206;

[[Page 733]]

    (ii) The basis for authorizing a relocation incentive for an 
employee;
    (iii) The basis for the amount and timing of the approved relocation 
incentive payments and the length of the required service period; and
    (iv) That the worksite of the employee's new position is not in the 
same geographic area as the worksite of the position held immediately 
before the move (or that a waiver was approved under Sec.  575.205(b)) 
and that the employee established a residence in the new geographic 
area, as required by Sec.  575.205(b).
    (2) Except as provided in paragraph (b) of this section, the agency 
must make each determination to pay a relocation incentive on a case-by-
case basis for each employee.
    (3) The agency must make the determination to pay a relocation 
incentive before the employee enters on duty in the position to which 
relocated.
    (b)(1) An agency may waive the case-by-case approval requirement 
under paragraph (a) of this section when--
    (i) The employee is a member of a group of employees subject to a 
mobility agreement and the agency determines that relocation incentives 
are necessary to retain employees subject to such an agreement to ensure 
continuation of operations; or
    (ii) A major organizational unit of the agency is relocated to a new 
duty station and the agency determines that relocation incentives are 
necessary for a group 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 or without undue disruption of 
service to the public.
    (2) The written determination under paragraph (a) of this section 
must specify the group of employees covered by the case-by-case waiver, 
the conditions under which the waiver is approved, and the period of 
time for which the waiver may be applied.



Sec.  575.209  Payment of relocation incentives.

    (a) An authorized agency official must establish the criteria for 
determining the amount of a relocation incentive. An agency may pay a 
relocation incentive--
    (1) As an initial lump-sum payment at the commencement of the 
service period required by the service agreement;
    (2) In installments throughout the service period required by the 
service agreement;
    (3) As a final lump-sum payment upon the completion of the full 
service period required by the service agreement; or
    (4) In a combination of these payment methods.
    (b)(1) Except as provided in paragraph (c) of this section, the 
total amount of relocation incentive payments paid to an employee in a 
service period may not exceed 25 percent of the annual rate of basic pay 
of the employee at the beginning of the service period multiplied by the 
number of years (including fractions of a year) in the service period 
(not to exceed 4 years).
    (2) For hourly rate employees who do not have a scheduled annual 
rate of basic pay, compute the annual rate required for paragraph (b)(1) 
of this section by multiplying the applicable hourly rate in effect at 
the beginning of the service period by 2,087 hours.
    (3) For the purpose of determining the number of years in a service 
period under paragraph (b)(1) of this section, divide the total number 
of calendar days in the service period (as established under Sec.  
575.208) by 365 and round 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.
    (c)(1) An authorized agency official may request that OPM waive the 
limitation in paragraph (b)(1) of this section for an employee based on 
a critical agency need. The authorized agency official must determine 
that the competencies required for the position are critical to the 
successful accomplishment of an important agency mission, project, or 
initiative (e.g., programs or projects related to a national emergency 
or implementing a new law or critical management initiative). Under such 
a waiver, the total amount of relocation incentive payments paid to an 
employee in a service period may not exceed 50 percent of the annual 
rate of

[[Page 734]]

basic pay of the employee at the beginning of the service period 
multiplied by the number of years (including fractions of a year) in the 
service period. However, in no event may a waiver provide total 
relocation incentive payments exceeding 100 percent of the employee's 
annual rate of basic pay at the beginning of the service period.
    (2) Waiver requests must include--
    (i) A description of the critical agency need the proposed 
relocation incentive would address;
    (ii) The documentation required by Sec.  575.208;
    (iii) The proposed relocation incentive payment amount and a 
justification for that amount;
    (iv) The timing and method for making the relocation incentive 
payments;
    (v) The period of service required; and
    (vi) Any other information pertinent to the case at hand.
    (d) A relocation incentive is not part of an employee's rate of 
basic pay for any purpose.
    (e) Payment of a relocation incentive is subject to the aggregate 
limitation on pay under 5 CFR part 530, subpart B.



Sec.  575.210  Service agreement requirements.

    (a) Before paying a relocation incentive, an agency must require the 
employee to sign a written service agreement to complete a specified 
period of employment with the agency (or successor agency in the event 
of a transfer of function) at the new duty station. An authorized agency 
official must establish the criteria for determining the length of a 
service period. The service period may not exceed 4 years.
    (b)(1) The service agreement must include the commencement and 
termination dates of the required service period. Except as provided 
under paragraphs (b)(2) and (b)(3) of this section, the required service 
period must begin upon the commencement of service at the new duty 
station. The service period must terminate on the last day of a pay 
period.
    (2) If service at the new duty station does not begin on the first 
day of a pay period, the agency must delay the service period 
commencement date so that a required service period begins on the first 
day of the first pay period beginning on or after the commencement of 
service at the new duty station.
    (3) An agency may delay a service agreement commencement date until 
after the employee completes an initial period of formal training when 
continued employment in the position is contingent on successful 
completion of the formal training. The agency must make the 
determination to pay a relocation incentive before the employee enters 
on duty in the position, as required by Sec.  575.208(a)(3). However, 
the service agreement must specify that if an employee does not 
successfully complete the training before the service period commences, 
the agency is not obligated to pay any portion of the relocation 
incentive to the employee.
    (c) The service agreement must specify the total amount of the 
incentive, the method of paying the incentive, and the timing and amount 
of each incentive payment, as established under Sec.  575.209.
    (d) The service agreement must include the conditions under which 
the agency must terminate the service agreement (i.e., if an employee is 
demoted or separated for cause, receives a rating of record of less than 
``Fully Successful'' or equivalent, fails to maintain residency in the 
new geographic area for the duration of the service agreement, or 
otherwise fails to fulfill the terms of the service agreement) and the 
conditions under which the employee must repay a relocation incentive 
under Sec.  575.211. An agency must define the limits of the new 
geographic area in the service agreement for the purpose of determining 
whether an employee maintains residency in that geographic area for the 
duration of the service agreement.
    (e) The service agreement must include the conditions under which 
the agency may terminate the service agreement before the employee 
completes the agreed-upon service period. The service agreement must 
specify the effect of the termination under Sec.  575.211, including the 
conditions under which the agency will pay an additional relocation 
incentive payment for partially completed service under Sec.  575.211(e) 
and (f).

[[Page 735]]

    (f) The service agreement may include any other terms or conditions 
that, if violated, will result in termination of the service agreement. 
For example, the service agreement may specify the employee's work 
schedule, type of position, and the duties he or she is expected to 
perform. In addition, the service agreement may address the extent to 
which periods of time on detail, in a nonpay status, or in a paid leave 
status are creditable towards the completion of the service period.

[70 FR 25743, May 13, 2005, as amended at 72 FR 67839, Dec. 3, 2007; 78 
FR 49364, Aug. 14, 2013]



Sec.  575.211  Termination of a service agreement.

    (a) An authorized agency official may unilaterally terminate a 
relocation incentive service agreement based solely on the management 
needs of the agency. For example, an agency may terminate a service 
agreement when the employee's position is affected by a reduction in 
force, when there are insufficient funds to continue the planned 
incentive payments, or when the agency assigns the employee to a 
different position (if the different position is not within the terms of 
the service agreement).
    (b) An authorized agency official must terminate a relocation 
incentive service agreement if an employee is demoted or separated for 
cause (i.e., for unacceptable performance or conduct), if the employee 
receives a rating of record (or an official performance appraisal or 
evaluation under a system not covered by 5 U.S.C. chapter 43 or 5 CFR 
part 430) of less than ``Fully Successful'' or equivalent, if the 
employee fails to maintain residency in the new geographic area for the 
duration of the service agreement, or if the employee otherwise fails to 
fulfill the terms of the service agreement.
    (c) The termination of a service agreement is not grievable or 
appealable.
    (d) The agency must notify an employee in writing when it terminates 
a relocation incentive service agreement.
    (e) If an authorized agency official terminates a service agreement 
under paragraph (a) of this section, the employee is entitled to all 
relocation incentive payments attributable to completed service and to 
retain any portion of a relocation incentive payment he or she received 
that is attributable to uncompleted service.
    (f) If an authorized agency official terminates a service agreement 
under paragraph (b) of this section, the employee is entitled to retain 
relocation incentive payments previously paid by the agency that are 
attributable to the completed portion of the service period. If the 
employee received relocation incentive payments that are less than the 
amount that would be attributable to the completed portion of the 
service period, the agency is not obligated to pay the employee the 
amount attributable to completed service, unless the agency agreed to 
such payment under the terms of the relocation incentive service 
agreement. If the employee received relocation incentive payments in 
excess of the amount that would be attributable to the completed portion 
of the service period, he or she must repay the excess amount, except 
when an authorized agency official waives the requirement to repay the 
excess amount under paragraph (h) of this section.
    (g) If an employee fails to reimburse the paying agency for the full 
amount owed under paragraph (f) of 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 governing Federal debt collection if the individual is no 
longer a Federal employee.
    (h) If an employee received relocation incentive payments in excess 
of the amount that would be attributable to the completed portion of the 
service period under paragraph (f) of this section, an authorized agency 
official may waive the requirement to repay the excess amount when, in 
the judgment of the official, collection of the excess amount would be 
against equity and good conscience and not in the best interest of the 
United States.
    (i) The full amount of the authorized relocation incentive must be 
prorated across the length of the service period

[[Page 736]]

to determine the amount of the relocation incentive attributable to 
completed service and uncompleted service under this section.

[70 FR 25743, May 13, 2005, as amended at 72 FR 67839, Dec. 3, 2007; 78 
FR 49364, Aug. 14, 2013]



Sec.  575.212  Internal monitoring requirements and revocation or suspension of authority.

    (a) Each agency must monitor the use of relocation incentives to 
ensure that the agency's relocation incentive plan and the payment of 
relocation incentives are consistent with the requirements and criteria 
established under 5 U.S.C. 5753 and this subpart.
    (b) When OPM finds that an agency is not paying relocation 
incentives consistent with the agency's relocation incentive plan and 
the criteria established under this subpart or otherwise determines that 
the agency is not using this authority selectively and judiciously, OPM 
may--
    (1) Direct the agency to revoke or suspend the authority granted to 
any organizational component in the agency and, with respect to any 
category or categories of employees, require that the component obtain 
approval from the agency's headquarters level before paying a relocation 
incentive to such employees; or
    (2) Revoke or suspend the authority granted to the agency under this 
subpart for all or any part of the agency and, with respect to any 
category or categories of employees, require that the agency obtain 
OPM's approval before paying a relocation incentive to such employees.



Sec.  575.213  Records and reports.

    Each agency must keep a record of each determination to pay a 
relocation incentive and make such records available for review upon 
OPM's request.

[70 FR 25743, May 13, 2005, as amended at 78 FR 49364, Aug. 14, 2013]



                     Subpart C_Retention Incentives

    Source: 70 FR 25747, May 13, 2005, unless otherwise noted.



Sec.  575.301  Purpose.

    This subpart contains regulations implementing 5 U.S.C. 5754, which 
authorizes payment of retention incentives. An agency may pay a 
retention incentive to a current employee under the conditions specified 
in this subpart when an agency determines 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 the employee would be likely to leave in the absence of an 
incentive.

[70 FR 25747, May 13, 2005, as amended at 72 FR 64527, Nov. 16, 2007]



Sec.  575.302  Definitions.

    In this subpart:
    Agency means an executive agency or a legislative branch agency 
included in 5 U.S.C. 5102(a)(1).
    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.
    Competencies means the knowledge, skills, abilities, behaviors, and 
other characteristics an employee needs to perform the duties of a 
position.
    Employee has the meaning given that term in 5 U.S.C. 2105, except 
that the term also includes an employee described in 5 U.S.C. 2105(c).
    Executive agency has the meaning given that term in 5 U.S.C. 105.
    OPM means the Office of Personnel Management.
    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position to which an employee is appointed 
before deductions and including any special rate under 5 CFR part 530, 
subpart C, or similar payment under other legal authority, and any 
locality-based comparability payment under 5 CFR part 531, subpart F, or 
similar payment under other legal authority, but excluding additional 
pay of any other kind. For example, a rate of basic pay does not include 
additional pay such as 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

[[Page 737]]

agrees to a specified period of employment with the agency in return for 
payment of a retention incentive.



Sec.  575.303  Eligible categories of employees.

    (a) Except as provided in Sec.  575.304, an Executive agency may pay 
a retention incentive to a current employee who holds--
    (1) A General Schedule position paid under 5 U.S.C. 5332 or 5305 (or 
similar special rate authority);
    (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 5 CFR 
550.103;
    (5) A position under the Executive Schedule paid under 5 U.S.C. 
5311-5317 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) A prevailing rate position, as defined in 5 U.S.C. 5342(a)(3); 
or
    (7) Any other position in a category for which payment of retention 
incentives has been approved by OPM at the request of the head of an 
executive agency.
    (b) Except as provided in Sec.  575.304, a legislative agency may 
pay a retention incentive to a current employee who holds a General 
Schedule position paid under 5 U.S.C. 5332 or 5305 (or similar special 
rate authority).

[70 FR 25747, May 13, 2005, as amended at 72 FR 67839, Dec. 3, 2007]



Sec.  575.304  Ineligible categories of employees.

    An agency may not pay a retention incentive to an employee in--
    (a) A position to which an individual is appointed by the President, 
by and with the advice and consent of the Senate;
    (b) A position in the Senior Executive Service as a noncareer 
appointee (as defined in 5 U.S.C. 3132(a)(7));
    (c) A position excepted from the competitive service by reason of 
its confidential, policy-determining, policy-making, or policy-
advocating character; or
    (d) A position not otherwise covered by the exclusions in paragraphs 
(a), (b), and (c) of this section--
    (1) To which an individual is appointed by the President without the 
advice and consent of the Senate, except a Senior Executive Service 
position in which the individual serves as a career appointee (as 
defined in 5 U.S.C. 3132(a)(4));
    (2) Designated as the head of an agency, including an agency headed 
by a collegial body composed of two or more individual members;
    (3) In which the employee is expected to receive an appointment as 
the head of an agency; or
    (4) To which an individual is appointed as a Senior Executive 
Service limited term appointee or limited emergency appointee (as 
defined in 5 U.S.C. 3132(a)(5) and (a)(6), respectively) when the 
appointment must be cleared through the White House Office of 
Presidential Personnel.

[70 FR 25747, May 13, 2005, as amended at 78 FR 49364, Aug. 14, 2013]



Sec.  575.305  Applicability to employees.

    (a) An agency may pay a retention incentive to an individual 
employee under the conditions prescribed in this subpart when the agency 
determines that--
    (1) The unusually high or unique qualifications (i.e., competencies) 
of the employee or a special need of the agency for the employee's 
services makes it essential to retain the employee; and
    (2) The employee would be likely to leave the Federal service in the 
absence of a retention incentive.
    (b) Except as provided in paragraph (c) of this section, an agency 
may pay a retention incentive to a group or category of employees under 
the conditions prescribed in this subpart when the agency determines 
that--
    (1) The unusually high or unique qualifications (i.e., competencies) 
of the group or category of employees or a special need of the agency 
for the employees' services makes it essential to retain the employees 
in that group or category; and

[[Page 738]]

    (2) There is a high risk that a significant number of the employees 
in the group would be likely to leave the Federal service in the absence 
of a retention incentive.
    (c) An agency may not include in a group retention incentive 
authorization an employee covered by Sec.  575.303(a)(2), (a)(3), or 
(a)(5) or those in similar categories of positions approved by OPM to 
receive retention incentives under Sec.  575.303(a)(7).
    (d) A retention incentive may be paid only when the employee's 
rating of record (or an official performance appraisal or evaluation 
under a system not covered by 5 U.S.C. chapter 43 or 5 CFR part 430) is 
at least ``Fully Successful'' or equivalent.

[70 FR 25747, May 13, 2005, as amended at 78 FR 49364, Aug. 14, 2013]



Sec.  575.306  Authorizing a retention incentive.

    (a) Authority of authorized agency official. An authorized agency 
official retains sole and exclusive discretion, subject only to OPM 
review and oversight, to--
    (1) Determine when the unusually high or unique qualifications 
(i.e., competencies) of an employee or a special need of the agency for 
the employee's services makes it essential to retain the employee and 
when the employee would be likely to leave the Federal service in the 
absence of a retention incentive;
    (2) Determine when a group or category of employees has unusually 
high or unique qualifications (i.e., competencies) or when an agency has 
a special need for the employees' services that makes it essential to 
retain the employees in that group or category and when there is a high 
risk that a significant number of employees in the group would be likely 
to leave the Federal service in the absence of a retention incentive;
    (3) Approve a retention incentive for an employee (or group or 
category of employees, except as prohibited by Sec.  575.305(c)) in a 
position (or positions) listed in Sec.  575.303;
    (4) Establish the criteria for determining the amount of a retention 
incentive and the length of a service period under Sec. Sec.  575.309 
and 575.310, respectively;
    (5) Request a waiver from OPM of the limitation on the maximum 
amount of a retention incentive for an employee (or group or category of 
employees) under Sec.  575.309(e); and
    (6) Establish the criteria for terminating a service agreement or 
retention incentive payments under Sec.  575.311.
    (b) Factors for authorizing a retention incentive for an individual 
employee. An agency must consider the following factors, as applicable 
to the case at hand, in determining whether the unusually high or unique 
qualifications of an employee or a special need of the agency for an 
employee's services makes it essential to retain the employee and that 
the employee would be likely to leave the Federal service in the absence 
of a retention incentive:
    (1) Employment trends and labor market factors such as the 
availability and quality of candidates in the labor market possessing 
the competencies required for the position and who, with minimal 
training, cost, or disruption of service to the public, could perform 
the full range of duties and responsibilities of the employee's position 
at the level performed by the employee;
    (2) The quality and availability of the potential sources of 
employees that are identified in any agency succession plan (e.g., 
succession plans required for leadership positions), who possess the 
competencies required for the position, and who, with minimal training, 
cost, and disruption of service to the public, could perform the full 
range of duties and responsibilities of the employee's position at the 
level performed by the employee;
    (3) The success of recent efforts to recruit candidates and retain 
employees with competencies similar to those possessed by the employee 
for positions similar to the position held by the employee;
    (4) Special or unique competencies required for the position;
    (5) Agency efforts to use non-pay authorities to help retain the 
employee instead of or in addition to a retention incentive, such as 
special training and work scheduling flexibilities or improving working 
conditions;

[[Page 739]]

    (6) The desirability of the duties, work or organizational 
environment, or geographic location of the position;
    (7) The extent to which the employee's departure would affect the 
agency's ability to carry out an activity, perform a function, or 
complete a project that the agency deems essential to its mission;
    (8) The salaries typically paid outside the Federal Government; and
    (9) Other supporting factors.
    (c) Factors for authorizing a retention incentive for a group or 
category of employees. (1) An agency must consider the factors in 
paragraph (b) of this section as they relate to determining whether a 
group or category of employees--
    (i) Has unusually high or unique qualifications (i.e., competencies) 
or that the agency has a special need for the employees' services that 
makes it essential to retain the employees in that category; and
    (ii) That it is reasonable to presume that there is a high risk that 
a significant number of employees in the targeted category would be 
likely to leave the Federal service in the absence of a retention 
incentive.
    (2) An agency must narrowly define a targeted category of employees 
using factors that relate to the conditions described in paragraph 
(c)(1) of this section. Factors that may be appropriate include the 
following: occupational series, grade level, distinctive job duties, 
unique competencies required for the position, assignment to a special 
project, minimum agency service requirements, organization or team 
designation, geographic location, and required rating of record. (While 
a rating of record of higher than the ``Fully Successful'' rating of 
record required by Sec.  575.305(d) may be a factor used in defining the 
targeted category, a rating of record by itself is not sufficient to 
justify a retention incentive. A rating of record may function as a 
supporting factor in authorizing an incentive or setting the incentive 
rate only to the extent it directly relates to the conditions in 
paragraph (d) of this section.)
    (d) An agency must document the determinations required under 
paragraphs (b) and (c) of this section as required by Sec.  575.308.

[70 FR 25747, May 13, 2005, as amended at 78 FR 49364, Aug. 14, 2013]



Sec.  575.307  Agency retention incentive plan and approval levels.

    (a) Before paying retention incentives under this subpart, an agency 
must establish a retention incentive plan. This plan must include the 
following elements:
    (1) The designation of officials with authority to review and 
approve payment of retention incentives, subject to paragraph (b) of 
this section;
    (2) The categories of employees who are prohibited from receiving 
retention incentives;
    (3) Required documentation for determining that an employee would be 
likely to leave the Federal service;
    (4) Any requirements for determining the amount of a retention 
incentive;
    (5) The payment methods that may be authorized;
    (6) Requirements governing service agreements which, at a minimum, 
must include--
    (i) The criteria for determining the length of a service period 
under a service agreement;
    (ii) The conditions for terminating a service agreement;
    (iii) The obligations of the agency if the agency terminates a 
service agreement; and
    (iv) The conditions for terminating retention incentive payments 
when no service agreement is required (see Sec.  575.310(f)); and
    (7) Documentation and recordkeeping requirements sufficient to allow 
reconstruction of the action and fulfill the requirements of Sec. Sec.  
575.312 and 575.313.
    (b)(1) Except as provided in paragraph (b)(2) of this section, an 
authorized agency official who is at least one level higher than the 
employee's (or group of employees') supervisor must review and approve 
each determination to pay a retention incentive to an individual or 
group of employees, unless there is no official at a higher level in the 
agency. The authorized agency official must review and approve the 
retention incentive determination before the agency pays the incentive 
to the employee.

[[Page 740]]

    (2) The higher level approval required by paragraph (b)(1) of this 
section is not needed when approving coverage of individual employees 
under a previously approved group retention incentive authorization.
    (c) Unless the head of the agency determines otherwise, an agency 
retention incentive plan must apply uniformly across the agency.

[70 FR 25747, May 13, 2005, as amended at 72 FR 67839, Dec. 3, 2007]



Sec.  575.308  Approval criteria and written determination.

    (a) An agency in its sole and exclusive discretion, subject only to 
OPM review and oversight, may approve a retention incentive for an 
individual employee or group or category of employees using the approval 
criteria in Sec.  575.306.
    (b) For each determination to pay a retention incentive under this 
subpart, an agency must document in writing--
    (1) The basis for determining that the unusually high or unique 
qualifications of the employee (or group of employees) or a special need 
of the agency for the employee's (or group of employees') services makes 
it essential to retain the employee(s);
    (2) The basis for determining that the employee (or a significant 
number of employees in a group) would be likely to leave the Federal 
service in the absence of a retention incentive; and
    (3) The basis for establishing the amount and timing of the approved 
retention incentive payment and the length of the required service 
period.



Sec.  575.309  Payment of retention incentives.

    (a) An authorized agency official must determine the criteria for 
determining the amount of a retention incentive. An agency must 
establish a single retention incentive rate for each individual or group 
of employees that is expressed as a percentage of the employee's rate of 
basic pay. Except as provided in paragraph (e) of this section, a 
retention incentive rate may not exceed--
    (1) 25 percent, if authorized for an individual employee; or
    (2) 10 percent, if authorized for a group or category of employees.
    (b) An agency may pay a retention incentive in--
    (1) Installments after the completion of specified periods of 
service; or
    (2) A single lump-sum payment after completion of the full service 
period.
    (c)(1) An installment payment is derived by multiplying the rate of 
basic pay the employee earned in the installment period by a percentage 
not to exceed the incentive percentage rate established for the employee 
under paragraph (a) of this section. For example, an agency establishes 
a retention incentive percentage rate of 10 percent for an employee. The 
employee has a service agreement that provides for a retention incentive 
installment payment after completion of 6 pay periods of service at the 
full percentage rate established for the employee. The employee earns 
$15,000 during the 6 pay periods of service ($2,500 biweekly rate of 
basic pay x 6). Upon completion of that service period, the employee 
will receive the accrued retention incentive installment payment of 
$1,500 ($15,000 x .10).
    (2) If the retention incentive installment payment percentage is 
less than the full percentage rate established for the employee under 
paragraph (a) of this section, any accrued portion of the retention 
incentive that is not paid as an installment payment during the service 
period must be paid as part of a final installment payment to the 
employee after completion of the full service period under the terms of 
the service agreement established under Sec.  575.310. For example, an 
agency establishes a retention incentive percentage rate of 10 percent 
for an employee. The employee's service agreement provides for a 7 
percent retention incentive installment payment after completion of 6 
pay periods of service. The employee earns $15,000 during the 6 pay 
periods of service ($2,500 biweekly rate of basic pay x 6). Upon 
completion of that installment period, the employee accrues a retention 
incentive installment payment of $1,500 ($15,000 x .10). However, under 
the terms of the service agreement, the employee will receive a $1,050 
retention incentive installment payment ($15,000 x .07). The agency

[[Page 741]]

must pay the accrued but unpaid portion of the retention incentive 
payment of $450 ($1,500-$1,050) as a final lump-sum payment upon 
completion of the full service period required by the service agreement.
    (3) An agency may not pay a retention incentive as an initial lump-
sum payment at the start of a service period or in advance of fulfilling 
the service period for which the retention incentive is being paid.
    (d) A retention incentive payment paid as a single lump-sum payment 
upon completion of the full service period required by the service 
agreement is derived by multiplying the retention incentive percentage 
rate established under paragraph (a) of this section by the total basic 
pay the employee earned during the full service period. For example, an 
agency establishes a retention incentive percentage rate of 10 percent 
for an employee. The employee has a service agreement that provides for 
a single lump-sum retention incentive payment after completion of the 
full service period required by the service agreement (i.e., 26 pay 
periods). The employee earns $65,000 during the 26 pay periods of 
service ($2,500 biweekly rate of basic pay x 26). Upon completion of the 
full service period, the employee will receive a single lump-sum 
retention incentive payment of $6,500 ($65,000 x .10).
    (e)(1) An authorized agency official may request that OPM waive the 
limitation in paragraph (a) of this section and permit the agency to pay 
an individual employee or group of employees a retention incentive of up 
to 50 percent of the employee's basic pay based on a critical agency 
need. In addition to the determination required by Sec.  575.308, the 
authorized agency official must determine that the employee's (or group 
of employees') unusually high or unique qualifications (i.e., 
competencies) are critical to the successful accomplishment of an 
important agency mission, project, or initiative (e.g., programs or 
projects related to a national emergency or implementing a new law or 
critical management initiative).
    (2) Waiver requests must include--
    (i) A description of the employee's work requirements and 
responsibilities or, if requesting a group retention incentive, a 
description of the group or category of employees and the number of 
employees to be covered by the proposed retention incentive;
    (ii) A description of the critical agency need the proposed 
retention incentive would address;
    (iii) The written documentation required by Sec.  575.308;
    (iv) The proposed retention incentive percentage rate and a 
justification for that percentage;
    (v) The timing and method of making the retention incentive 
payments;
    (vi) The service period required; and
    (vii) Any other information pertinent to the case at hand.
    (3) OPM may require that waiver requests for groups or categories of 
employees be coordinated with other agencies having similarly situated 
employees in the same category.
    (4) Notwithstanding Sec.  575.310(f), an authorized agency official 
must require a signed written service agreement for any employee who may 
receive a higher retention incentive as a result of approval of a waiver 
of the maximum limit on the amount of a retention incentive under 
paragraph (e)(1) of this section.
    (f) An agency may not offer or authorize a retention incentive for 
an individual prior to employment with the agency.
    (g) An agency may not commence a group or individual retention 
incentive service agreement or provide a group or individual retention 
incentive without a service agreement under Sec.  575.310(f) for any 
biweekly pay period during--
    (1) A period of employment established under any service agreement 
required for the payment of a recruitment incentive under 5 CFR part 
575, subpart A, or a relocation incentive under 5 CFR part 575, subpart 
B, (see 5 CFR 575.205(e) regarding the authority to commence a 
relocation incentive service agreement during a period of employment 
established under a service agreement for a previously authorized 
retention incentive or for which an employee is receiving previously 
authorized retention incentive payments without a service agreement); or

[[Page 742]]

    (2) A period of employment established under a service agreement for 
a previously authorized retention incentive or for which an employee is 
receiving a previously authorized retention incentive without a service 
agreement under Sec.  575.310(f) (including a group retention incentive 
with or without a service agreement).
    (h) A retention incentive is not part of an employee's rate of basic 
pay for any purpose.
    (i) Payment of a retention incentive is subject to the aggregate 
limitation on pay under 5 CFR part 530, subpart B.

[70 FR 25747, May 13, 2005, as amended at 72 FR 67839, Dec. 3, 2007]



Sec.  575.310  Service agreement requirements.

    (a) Before paying a retention incentive, an agency must require an 
employee, including each employee covered by a group retention incentive 
authorization and any employee who may receive a higher retention 
incentive as a result of an approved waiver of the maximum limit on the 
amount of a retention incentive under Sec.  575.309(e), to sign a 
written service agreement to complete a specified period of employment 
with the agency (or successor agency in the event of a transfer of 
function). An authorized agency official must determine the length of a 
service period. A written service agreement is not required under the 
condition described in paragraph (f) of this section.
    (b) The service agreement must include the commencement and 
termination dates of the required service period. The service period 
must begin on the first day of a pay period and end on the last day of a 
pay period.
    (c) The service agreement must specify the retention incentive 
percentage rate established under Sec.  575.309(a); whether the 
incentive will be paid in installments or in a lump-sum payment upon 
completion of the service period provided in the service agreement; 
whether any installment payments will be paid at less than the full 
retention incentive percentage rate established under Sec.  575.309(a), 
with the accrued but unpaid incentive payment being paid in a lump sum 
upon completion of the full service period required by the service 
agreement under Sec.  575.309(c)(2); and the timing of incentive 
payments.
    (d) The service agreement must include the conditions under which 
the agency must terminate the service agreement before the employee 
completes the agreed-upon service period (i.e., if an employee is 
demoted or separated for cause, receives a rating of record of less than 
``Fully Successful'' or equivalent, or otherwise fails to fulfill the 
terms of the service agreement) under Sec.  575.311. The service 
agreement must specify the effect of a termination, including the 
conditions under which the agency will pay an additional retention 
incentive payment for partially completed service under Sec.  575.311(e) 
and (f).
    (e) The service agreement may include any other terms or conditions 
that, if violated, will result in a termination of the service agreement 
under Sec.  575.311(b). For example, the service agreement may specify 
the employee's work schedule, type of position, and the duties he or she 
is expected to perform. In addition, the service agreement may address 
the extent to which periods of time on detail, in a nonpay status, or in 
paid leave status are creditable towards the completion of the service 
period.
    (f) A written service agreement is not required if the agency--
    (1) Pays the retention incentive in biweekly installments; and
    (2) Sets each biweekly installment payment at the full retention 
incentive percentage rate established for the employee under Sec.  
575.309(a).

[70 FR 25747, May 13, 2005, as amended at 70 FR 74996, Dec. 19, 2005]



Sec.  575.311  Continuation, reduction, and termination of retention incentives.

    (a)(1) For each retention incentive that is subject to a service 
agreement, an authorized agency official must review the determination 
to pay a retention incentive at least annually to determine whether the 
original determination still applies or whether payment is still 
warranted as provided in paragraph (a)(2) of this section, and must 
certify this determination in writing.

[[Page 743]]

    (2) An authorized agency official must terminate a retention 
incentive service agreement when conditions change such that the 
original determination to pay the retention incentive no longer applies 
(e.g., when the agency assigns the employee to a different position that 
is not within the terms of the service agreement) or when payment is no 
longer warranted after considering factors such as--
    (i) Whether a retention incentive is needed to retain the employee 
(or group of employees),
    (ii) Whether labor-market factors make it more likely (or reasonably 
likely) to recruit a candidate with competencies similar to those 
possessed by the employee (or group of employees), or
    (iii) Whether 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 paying a retention incentive.
    (3) An authorized agency official may terminate unilaterally a 
retention incentive service agreement based solely on the management 
needs of the agency, even if the conditions giving rise to the original 
determination to pay the incentive still exist. For example, an agency 
may terminate a service agreement when there are insufficient funds to 
continue the planned retention incentive payments.
    (b) An authorized agency official must terminate a retention 
incentive service agreement when--
    (1) The employee is demoted or separated for cause (i.e., for 
unacceptable performance or conduct);
    (2) The employee receives a rating of record (or an official 
performance appraisal or evaluation under a system not covered by 5 
U.S.C. chapter 43 or 5 CFR part 430) of less than ``Fully Successful'' 
or equivalent; or
    (3) The employee otherwise fails to fulfill the terms of the service 
agreement.
    (c) If an authorized agency official terminates a service agreement 
under paragraph (a) of this section, the employee is entitled to retain 
any retention incentive payments that are attributable to completed 
service and to receive any portion of a retention incentive payment owed 
by the agency for completed service.
    (d) If an authorized agency official terminates a service agreement 
under paragraph (b) of this section, the employee is entitled to retain 
retention incentive payments previously paid by the agency that are 
attributable to the completed portion of the service period. If the 
employee received retention incentive payments that are less than the 
amount that would be attributable to the completed portion of the 
service period, the agency is not obligated to pay the employee the 
amount attributable to completed service, unless the agency agreed to 
such payment under the terms of the retention incentive service 
agreement.
    (e) To determine the amount of retention incentive payments that may 
be owed to an employee for completed service under paragraphs (c) and 
(d) of this section, multiply the total rate of basic pay the employee 
earned during the completed portion of the service period by the 
retention incentive percentage rate established for the employee under 
Sec.  575.309(a) and subtract the amount of retention incentive payments 
already paid to the employee from this product. The difference is the 
amount owed to the employee for completed service.
    (f)(1) For retention incentives that are paid when no service 
agreement is required under Sec.  575.310(f), an agency must review each 
determination to pay the incentive at least annually to determine 
whether payment is still warranted. An authorized agency official must 
certify this determination in writing.
    (2) An agency may continue paying a retention incentive to an 
employee when no service agreement is required as long as the conditions 
giving rise to the original determination to pay the incentive still 
exist.
    (3) An authorized agency official must reduce or terminate a 
retention incentive authorization when no service agreement is required 
whenever conditions change such that the original determination to pay 
the retention incentive no longer applies (e.g., when the agency assigns 
the employee to a different position that is not within

[[Page 744]]

the terms of the original determination) or when payment is no longer 
warranted at the level originally approved or at all after considering 
factors such as--
    (i) Whether a lesser amount (or none at all) would be sufficient to 
retain the employee (or group or category of employees);
    (ii) Whether labor-market factors make it more likely (or reasonably 
likely) to recruit a candidate with competencies similar to those 
possessed by the employee (or group or category of employees); or
    (iii) Whether 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).
    (4) An authorized agency official may terminate unilaterally a 
retention incentive authorization when no service agreement is required 
based solely on the management needs of the agency, even if the 
conditions giving rise to the original determination to pay the 
incentive still exist. For example, an agency may terminate a retention 
incentive when there are insufficient funds to continue the planned 
retention incentive payments.
    (5) An authorized agency official must terminate a retention 
incentive authorization when no service agreement is required when--
    (i) The employee is demoted or separated for cause (i.e., for 
unacceptable performance or conduct), or
    (ii) The employee receives a rating of record (or an official 
performance appraisal or evaluation under a system not covered by 5 
U.S.C. chapter 43 or 5 CFR part 430) of less than ``Fully Successful'' 
or equivalent.
    (g) The termination of a retention incentive service agreement or 
the reduction or termination of a retention incentive under this section 
is not grievable or appealable.
    (h) If an agency terminates a retention incentive service agreement 
or reduces or terminates a retention incentive paid without a service 
agreement under this section, the agency must notify the employee in 
writing. When a retention incentive is terminated under paragraph (f) of 
this section, the employee is entitled to receive any scheduled 
incentive payments through the end of the pay period in which the 
written notice is provided or until the date of separation, if sooner.

[72 FR 67840, Dec. 3, 2007, as amended at 78 FR 49364, Aug. 14, 2013]



Sec.  575.312  Internal monitoring requirements and revocation
or suspension of authority.

    (a) Each agency must monitor the use of retention incentives to 
ensure that its retention incentive plan and the payment of retention 
incentives are consistent with the requirements and criteria established 
under 5 U.S.C. 5754 and this subpart.
    (b) When OPM finds that an agency is not paying retention incentives 
consistent with the agency's retention incentive plan and the criteria 
established under 5 U.S.C. 5754 or this subpart or otherwise determines 
that the agency is not using this authority selectively and judiciously, 
OPM 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, require that the component obtain 
approval from the agency's headquarters level before paying a retention 
incentive to such employees; or
    (2) Revoke or suspend the authority granted to the agency under this 
subpart for all or any part of the agency and, with respect to any 
category or categories of employees, require that the agency obtain 
OPM's approval before paying a retention incentive to such employees.



Sec.  575.313  Records and reports.

    Each agency must keep a record of each determination to pay a 
retention incentive and make such records available for review upon 
OPM's request.

[70 FR 25747, May 13, 2005, as amended at 78 FR 49364, Aug. 14, 2013]



Sec.  575.314  Retention incentives for employees likely to 
leave for a different position in the Federal service.

    (a) Authority. (1) An agency in its sole and exclusive discretion, 
subject only

[[Page 745]]

to OPM review and oversight, may approve a retention incentive for an 
individual employee under the conditions prescribed in this section when 
the agency determines that--
    (i) Given the agency's mission requirements and employee's 
competencies, the agency has a special need for the employee's services 
that makes it essential to retain the employee in his or her current 
position during a period of time before the closure or relocation of the 
employee's office, facility, activity, or organization; and
    (ii) The employee would be likely to leave for a different position 
in the Federal service in the absence of a retention incentive.
    (2) An agency in its sole and exclusive discretion, subject only to 
OPM review and oversight, may approve a retention incentive for a group 
or category of employees (subject to the exclusions in Sec.  575.305(c)) 
under the conditions prescribed in this section when the agency 
determines that--
    (i) Given the agency's mission requirements and employees' 
competencies, the agency has a special need for the employees' services 
that makes it essential to retain the employees in their current 
positions during a period of time before the closure or relocation of 
the employees' office, facility, activity, or organization; and
    (ii) There is a high risk that a significant number of the employees 
in the group would be likely to leave for different positions in the 
Federal service in the absence of a retention incentive.
    (b) Employee eligibility. An agency may pay a retention incentive to 
an employee under this section when--
    (1) The employee holds a position listed in Sec.  575.303, and is 
not excluded by Sec.  575.304;
    (2) The employee's rating of record (or an official performance 
appraisal or evaluation under a system not covered by 5 U.S.C. chapter 
43 or 5 CFR part 430) is at least ``Fully Successful'' or equivalent; 
and
    (3) The agency has provided a general or specific written notice to 
the employee that his or her position may or would be affected by the 
closure or relocation of the employee's office, facility, activity, or 
organization (e.g., the employee's position may or would move to a new 
geographic location or the employee's position may or would be 
eliminated).
    (c) Retention incentive plan and approval levels. Before authorizing 
a retention incentive under this section, an agency must include in its 
retention incentive plan established under Sec.  575.307(a) the 
conditions and requirements governing the use of retention incentives 
under this section for employees who would be likely to leave for a 
different position in the Federal service before the closure or 
relocation of the employees' office, facility, activity, or 
organization, including a designation of the authorized agency officials 
who may approve retention incentives under this section, consistent with 
the approval requirements in Sec.  575.307(b).
    (d) Approval criteria and written determination. (1) For each 
determination to pay a retention incentive under this section, an agency 
must document in writing--
    (i) The basis for determining the agency has a special need for the 
employee's (or group of employees') services that makes it essential to 
retain the employee(s), based on the agency's mission needs and the 
employee's (or group of employees') competencies, during a period of 
time before the closure or relocation of the employee's (or group of 
employees') office, facility, activity, or organization;
    (ii) The basis for determining, in the absence of a retention 
incentive, the employee (or a significant number of employees in a 
group) would be likely to leave for a different position in the Federal 
service; and
    (iii) The basis for establishing the amount and timing of the 
approved retention incentive payment and the length of the required 
service period.
    (2) An agency must address the following factors when documenting 
the determination required by paragraph (a) of this section for an 
individual employee:
    (i) The factors for authorizing a retention incentive for an 
individual employee described in Sec.  575.306(b) as they relate to a 
determination made under paragraph (a)(1) of this section;

[[Page 746]]

    (ii) The extent to which the employee's departure for a different 
position in the Federal service would affect the agency's ability to 
carry out an activity, perform a function, or complete a project the 
agency deems essential to its mission before and during the closure or 
relocation period (e.g., the agency's need to retain the employee to 
ensure minimal disruption in the performance of mission-critical 
functions, continuity of key operations, or minimal disruption of 
service to the public before and during the closure or relocation; to 
train new employees who will move with the organization to the new 
geographic location; to assist with the actual closure or relocation of 
the office, facility, activity, or organization; or to perform similar 
mission-essential functions before or during the closure or relocation);
    (iii) The competencies possessed by the employee that are essential 
to retain; and
    (iv) The agency (which may be in the executive, judicial, or 
legislative branch) for which the employee would be likely to leave in 
the absence of the retention incentive.
    (3) An agency must address the following factors when documenting 
the determination required by paragraph (a) of this section for a group 
or category of employees:
    (i) The factors for authorizing a retention incentive for a group or 
category of employees described in Sec.  575.306(c) as they relate to 
the determination made under paragraph (a)(2) of this section; and
    (ii) The factors in paragraphs (d)(2)(ii) through (d)(2)(iv) of this 
section as they relate to the determination made under paragraph (a)(2) 
of this section for the group or category of employees.
    (4) An agency must narrowly define a targeted category of employees 
using factors that relate to the conditions described in paragraph 
(a)(2) of this section. The factors that may be appropriate are 
described in Sec.  575.306(c)(2), except that each group retention 
incentive authorized under this section may cover no more than one 
occupational series.
    (e) Payment of retention incentives. (1) Except as provided in 
paragraph (e)(2) of this section, the provisions regarding computing and 
paying retention incentives under Sec.  575.309 apply to computing and 
paying retention incentives under this section for employees who would 
be likely to leave for a different position in the Federal service 
before the closure or relocation of the their office, facility, 
activity, or organization.
    (2) An agency may not pay retention incentives under this section in 
biweekly installments at the full retention incentive percentage rate 
established for the employee under Sec.  575.309(a).
    (f) Service agreement requirements. (1) The service agreement 
provisions in Sec. Sec.  575.310(b) through 575.310(e) apply to 
retention incentive service agreements under this section, subject to 
the additional requirements in paragraphs (f)(2) through (f)(5) of this 
section.
    (2) Before paying a retention incentive under this section, an 
agency must require an employee, including each employee covered by a 
group retention incentive authorization, to sign a written service 
agreement to complete a specified period of employment with the agency.
    (3) In no event, may the service period under a service agreement 
established under this paragraph extend past the date on which the 
employee's position is actually affected by the relocation or closure of 
the employee's office, facility, activity, or organization (e.g., the 
date the employee's position moves to a new geographic location or the 
date the employee's position is eliminated).
    (4) In addition to the terminating conditions in Sec.  575.310(d) 
and (e), the service agreement must include the conditions under which 
the agency must terminate the service agreement under paragraph (g) of 
this section, including the conditions under which the agency will pay 
an additional retention incentive payment for partially completed 
service under Sec.  575.311.
    (5) The service agreement must include a notification to the 
employee that the agency will review the determination to pay the 
retention incentive at least annually to determine whether payment is 
still warranted, as

[[Page 747]]

required by paragraph (g) of this section.
    (g) Termination of retention incentives. (1) The provisions in Sec.  
575.311 regarding termination of retention incentive service agreements 
and paragraphs (g)(2) through (g)(4) of this section apply to the 
termination of retention incentives authorized under this section. Each 
determination to pay a retention incentive under this section must be 
reviewed at least annually to determine if payment is still warranted. 
An authorized agency official must certify this determination in 
writing.
    (2) In addition to the terminating conditions in Sec.  575.311(a) 
and (b), an authorized agency official must terminate a retention 
incentive service agreement under this section if--
    (i) The closure or relocation is cancelled or no longer affects the 
employee's position;
    (ii) The employee moves to another position not affected by the 
closure or relocation (including another position within the same 
agency);
    (iii) For relocation situations, the employee accepts the agency's 
offer to relocate with his or her the office, facility, activity, or 
organization and, thus, the employee is no longer likely to leave for a 
different position in the Federal service; or
    (iv) The employee moves to a different position in the same office, 
facility, activity, or organization subject to closure or relocation 
that is not covered by the employee's service agreement. In this 
situation, the agency may authorize a new retention incentive for the 
employee under this section, as appropriate.
    (3) If an authorized agency official terminates a service agreement 
under paragraph (g)(2)(ii) or (iv) of this section in cases in which the 
employee's movement to another position is by management action and not 
at the employee's request or under paragraph (g)(2)(i) of this section, 
the employee is entitled to retain any retention incentive payments that 
are attributable to completed service and to receive any portion of a 
retention incentive payment owed by the agency for completed service.
    (4) If an authorized agency official terminates a service agreement 
in termination actions under paragraph (g)(2) of this section that are 
not covered by paragraph (g)(3) of this section, the employee is 
entitled to retain retention incentive payments previously paid by the 
agency that are attributable to the completed portion of the service 
period. If the employee received retention incentive payments that are 
less than the amount that would be attributable to the completed portion 
of the service period, the agency is not obligated to pay the employee 
the amount attributable to completed service, unless the agency agreed 
to such payment under the terms of the retention incentive service 
agreement.
    (h) Monitoring requirements. The monitoring requirements in Sec.  
575.312 apply to retention incentives authorized under this section.
    (i) Records and reports. In addition to the recordkeeping 
requirements in Sec.  575.313, each agency must submit a written report 
to OPM by March 31 of each year on the use of retention incentives under 
this section. Each report must include--
    (1) A description of how the authority to pay retention incentives 
under this section was used in the agency during the previous calendar 
year;
    (2) The number and dollar amount of retention incentives paid during 
the previous calendar year to individuals under this section by 
occupational series and grade, pay level, or other pay classification;
    (3) The agency (which may be in the executive, judicial, legislative 
branch) to which each employee would be likely to leave in the absence 
of a retention incentive;
    (4) Each employee's official worksite and the geographic location of 
the agency (which may be in the executive, judicial, or legislative 
branch) for which each employee would be likely to leave in the absence 
of a retention incentive; and
    (5) Other information, records, reports, and data as OPM may 
require.

[72 FR 64527, Nov. 16, 2007. Redesignated and amended at 78 FR 49364, 
Aug. 14, 2013]

[[Page 748]]



                   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 special rate under 5 CFR part 530, subpart C; locality-based 
comparability payment under 5 CFR part 531, subpart F; or similar 
payment or supplement under other legal authority.

[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; 70 FR 25751, May 13, 
2005; 72 FR 67841, Dec. 3, 2007]



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 to which the employee is or will 
be appointed before deductions and including any special rate under 5 
CFR part 530, subpart C; locality-based comparability payment under 5 
CFR part 531, subpart F; or similar payment or supplement under other 
legal authority, but excluding additional pay of any other kind. For 
example, rate of basic pay excludes a night differential under 5 U.S.C. 
5343(f), an environment differential under 5 U.S.C. 5343(c)(4), or a 
similar payment under other legal authority.
    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; 70 FR 25751, May 13, 2005; 72 FR 67841, Dec. 3, 
2007]



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

[[Page 749]]

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) 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;
    (3) Premium pay paid on an annual basis under 5 U.S.C. 5545(c); and
    (4) Any other continuing payment, except night, Sunday, or holiday 
premium pay or hazardous duty pay under 5 U.S.C. chapter 55, subchapter 
V; recruitment or relocation incentives under 5 U.S.C. 5753; retention 
incentives under 5 U.S.C. 5754; or similar payments under other legal 
authority.
    (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 5343(c)(4), respectively, or similar payment under 
other legal authority;
    (2) Any other continuing payment, except Sunday or holiday pay under 
5 U.S.C. chapter 55, subchapter V; recruitment or relocation incentives 
under 5 U.S.C. 5753; retention incentives under 5 U.S.C. 5754; or 
similar payments under other legal authority; and
    (3) 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; 70 FR 25752, May 13, 2005; 72 FR 67841, Dec. 3, 2007]



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.

[[Page 750]]

    (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 Sec. Sec.  575.404(a) and 575.406(e) of this part. Each record shall 
contain sufficient information to allow reconstruction of 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.

[[Page 751]]

    Rate of basic pay means the rate of pay fixed by law or 
administrative action for the position held by an employee, including 
any special rate under 5 CFR part 530, subpart C; locality-based 
comparability payment under 5 CFR part 531, subpart F; or similar 
payment under other legal authority, but before deductions and exclusive 
of additional pay of any other 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.

[68 FR 53669, Sept. 12, 2003, as amended at 70 FR 25752, May 13, 2005; 
72 FR 67841, Dec. 3, 2007]



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 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

[[Page 752]]

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 receiving or fulfilling the 
requirements of a service agreement for the payment of a recruitment, 
relocation, or retention incentive. (See 5 CFR part 575, subparts A, B, 
and C.)

[68 FR 53669, Sept. 12, 2003, as amended at 70 FR 25752, May 13, 2005]



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 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

[[Page 753]]

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 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.  575.512.
    (b) Except as provided in paragraph (g) of this section, 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.

[[Page 754]]

    (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, except when an authorized agency official 
waives the requirement to repay the excess amount under paragraph (g) 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 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.
    (g) If an employee received extended assignment incentive payments 
in excess of the amount that would be attributable to the completed 
portion of the service period under paragraph (c) of this section, an 
authorized agency official may waive the requirement to

[[Page 755]]

repay the excess amount when, in the judgment of the official, 
collection of the excess amount would be against equity and good 
conscience and not in the best interest of the United States.

[68 FR 53669, Sept. 12, 2003, as amended at 69 FR 33536, June 16, 2004; 
72 FR 67841, Dec. 3, 2007]



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;
    (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. Sec.  575.511, 575.512, and 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: Sections 3521 through 3525 of title 5, United States 
Code.

    Source: 70 FR 3859, Jan. 27, 2005, unless otherwise noted.



            Subpart A_Voluntary Separation Incentive Payments



Sec.  576.101  Definitions.

    In this part:
    Employee, as defined in 5 U.S.C. 3521, means an employee as defined 
under 5

[[Page 756]]

U.S.C. 2105 employed by an agency and an individual employed by a county 
committee established under section 8(b)(5) of the Soil Conservation and 
Domestic Allotment Act (16 U.S.C. 590h(b)(5)) who--
    (1) Is serving under an appointment without time limitation; and
    (2) Has been currently employed for a continuous period of at least 
3 years.
    Specific designee means a senior officer or official within an 
agency who has been specifically designated to sign requests for 
authority to offer Voluntary Separation Incentive Payments for, or in 
place of, the head of the agency. Examples include the Chief Human 
Capital Officer, the Assistant Secretary for Administration, the 
Director of Human Resources Management, or a deputy of one of these 
persons.



Sec.  576.102  Voluntary Separation Incentive Payment implementation 
plans.

    (a) In accordance with section 3522(b) of title 5, United States 
Code, a plan submitted by the head of an agency, or his or her specific 
designee, must include:
    (1) Identification of the specific positions and functions to be 
reduced or eliminated, identified by organizational unit, geographic 
location, occupational series, grade level and any other factors related 
to the position;
    (2) A description of the categories of employees who will be offered 
incentives identified by organizational unit, geographic location, 
occupational series, grade level and any other factors, such as skills, 
knowledge, or retirement eligibility (as discussed in implementing 
guidance);
    (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;
    (7) A short explanation of how Voluntary Early Retirement Authority 
will be used in conjunction with separation incentives, if the agency 
has requested, or will request, that authority; and
    (8) A description of how Voluntary Separation Incentives offered 
under another statutory authority are being used, if the agency is 
offering incentives under any other statutory authority.
    (b) When submitting a plan to OPM, the agency may submit either:
    (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. If the human capital plan is submitted, it must include the 
information specified in paragraph (a) of this section.
    (c) OPM will consult with the Office of Management and Budget 
regarding the plan and any subsequent modifications, and will notify the 
agency head in writing when the plan is approved. The review may include 
a consideration of costs and benefits associated with using the 
authority. If there are questions concerning the agency's plan, OPM 
reserves the right to contact the agency, inform agency staff of its 
concerns, and require that the agency revise the plan to bring it into 
conformance with these regulations. The agency must obtain OPM approval 
before offering incentives under this authority.



Sec.  576.103  Offering Voluntary Separation Incentive Payments to employees.

    (a) Agencies may make offers of Voluntary Separation Incentive 
Payments to employees who agree to voluntarily separate by resignation, 
early retirement, or optional retirement.
    (b) Each time an agency with authority to offer Voluntary Separation 
Incentive Payments establishes a window period for acceptance of 
Voluntary Separation Incentive applications, it may limit offers to its 
employees based on an established opening and closing date or the 
acceptance of a specified number of applications. However, at

[[Page 757]]

the time of the offer, the agency must notify its employees that it 
retains the right to limit the number of Voluntary Separation Incentive 
Payment offers by use of a specific closing date or by receipt of a 
specified number of applications.
    (c) An agency's downsizing and/or reshaping strategy may change, 
necessitating a change in the offer notice to employees. If the amended 
notice includes a revised closing date, or a revised number of 
applications to be accepted, the new date or number of applications must 
be announced to the same group of employees included in the original 
announcement. If a new or separate notice includes a new window period 
with a new closing date, or a new instance of a specific number of 
applications to be accepted, the new window period or number of 
applications to be accepted may be announced to a different group of 
employees as long as the new group is covered by the approved Voluntary 
Separation Incentive Payment authority.
    (d) Section 4311 of title 38, United States Code, requires that, for 
all practical purposes, agencies treat employees on military duty as 
though they were still on the job. Further, employees are not to be 
disadvantaged because of their military duty. In accordance with these 
provisions, employees on military duty who would otherwise be eligible 
for an offer of a Voluntary Separation Incentive Payment will have 30 
days following their return to duty to either accept or reject an offer 
of a Voluntary Separation Incentive Payment. This is true even if the 
Voluntary Separation Incentive Payment authority provided by OPM has 
expired.
    (e) An employee may separate from the service voluntarily, with a 
Voluntary Separation Incentive Payment, if, on the date of separation, 
the employee:
    (1) Is serving in a position covered by a Voluntary Separation 
Incentive Payment offer; and
    (2) Meets the definition of employee discussed in 5 U.S.C. 3521.
    (f) Agencies are responsible for ensuring that employees are not 
coerced into accepting a Voluntary Separation Incentive Payment. If an 
agency finds any instances of coercion, it must take appropriate 
corrective action.
    (g) An agency may not offer Voluntary Separation Incentive Payments 
beyond the stated expiration date of an authority or assign an effective 
date for a Voluntary Separation Incentive Payment that is beyond the 
time period for paying a Voluntary Separation Incentive Payment that was 
stated in the agency's approved Voluntary Separation Incentive Payment 
plan.
    (h) An agency may not offer Voluntary Separation Incentive Payments 
to employees who are outside the scope of the Voluntary Separation 
Incentive Payment authority approved by OPM.
    (i) OPM may amend, limit, or terminate Voluntary Separation 
Incentive Payment authority if it determines that the agency is no 
longer undergoing the condition(s) that formed the basis for its 
approval or to ensure that the law and regulations governing Voluntary 
Separation Incentive Payments, including the Voluntary Separation 
Incentive Payment usage reporting requirements, are being properly 
followed.



Sec.  576.104  Additional agency requirements.

    After OPM approves an agency plan for Voluntary Separation Incentive 
Payments, the agency must immediately notify OPM of any subsequent 
changes in the conditions that served as the basis for the approval of 
the Voluntary Separation Incentive Payment authority.

[80 FR 75786, Dec. 4, 2015]



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.

[[Page 758]]



Subpart B_Waiver of Repayment of Voluntary Separation Incentive Payments



Sec.  576.201  Definitions.

    `Employment' means employment with the Government of the United 
States, including employment under a personal services contract (or 
other direct contract) with the United States Government (other than an 
entity in the legislative branch) unless employed pursuant to Sec.  
576.203(a).



Sec.  576.202  Repayment requirement.

    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 must repay the entire amount of the Voluntary Separation Incentive 
Payment to the agency that paid it before the individual's first day of 
reemployment.



Sec.  576.203  Waivers of the Voluntary Separation Incentive 
Repayment requirement.

    (a)(1) If the proposed reemployment is with an agency other than the 
Government Accountability Office, the United States Postal Service, or 
the Postal Rate Commission, the Director of the Office of Personnel 
Management may, at the request of the head of the agency, waive the 
repayment if--
    (i) The individual involved possesses unique abilities and is the 
only qualified applicant available for the position; or
    (ii) In case of an emergency involving a direct threat to life or 
property, the individual--
    (A) Has skills directly related to resolving the emergency; and
    (B) Will serve on a temporary basis only so long as that 
individual's services are made necessary by the emergency.
    (2) If the proposed reemployment is with an entity in the 
legislative branch, the head of the entity or the appointing official 
may waive the repayment if the individual involved possesses unique 
abilities and is the only qualified applicant available for the 
position.
    (3) If the proposed reemployment is with the judicial branch, the 
Director of the Administrative Office of the United States Courts may 
waive the repayment if the individual involved possesses unique 
abilities and is the only qualified applicant available for the 
position.
    (4) The repayment waiver provisions under this section do not extend 
to a repayment obligation resulting from employment under a personal 
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.

[70 FR 3859, Jan. 27, 2005, as amended at 70 FR 46065, Aug. 9, 2005]



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; transfer of service of legal 
          process to another governmental entity.
581.307 Compliance with legal process requiring the payment of attorney 
          fees, interest, and/or court costs.

[[Page 759]]

          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). Secs. 581.102 and 581.306 also issued under 5 
U.S.C. 8336a and 8412a.

    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 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)

[[Page 760]]

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 
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.
    (l) Phased retirement status has the same meaning given that term in 
Sec.  838.103 of this chapter; and
    (m) Phased retirement annuity has the same meaning given that term 
in Sec.  838.103 of this chapter.

[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; 79 FR 46618, Aug. 8, 
2014]



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;

[[Page 761]]

    (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);
    (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;

[[Page 762]]

    (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;
    (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;

[[Page 763]]

    (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 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

[[Page 764]]

    (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 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.

[[Page 765]]

    (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 Sec. Sec.  
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, 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;

[[Page 766]]

    (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:
    (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,

[[Page 767]]

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 
(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; transfer of service of
legal process to another 
          governmental entity.

    (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

[[Page 768]]

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.
    (d) In instances where an employee obligor, who is employed by a 
governmental entity which is honoring a continuing legal process, enters 
phased retirement status in accordance with part 831, subpart Q, and 
part 848 of this chapter, the entity must inform the party who caused 
the legal process to be served, or the party's representative, and the 
court or other authority, that remuneration for employment will continue 
at a reduced rate and that the employee obligor will be receiving a 
phased retirement annuity. The governmental entity must provide the 
party with the designated agent at the Office of Personnel Management 
who is responsible for the disbursement of retirement benefits.

[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; 79 FR 46618, Aug. 8, 
2014]



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.



Sec.  581.402  Maximum garnishment limitations.

    (a) Except as provided in paragraph (b) of this section, pursuant to 
section

[[Page 769]]

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]



 Sec. 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 Regulatory Commission, the District of Columbia, 
American Samoa, Guam, the Virgin Islands, and the Smithsonian 
Institution.]

                             I. Departments

                        Department of Agriculture

    Office of the Secretary: USDA, Office of Human Resources 
Management--Executive Resources, 1400 Independence Ave. SW, Room 318 W, 
Whitten Bldg., Washington, DC 20250-1400, (202) 720-0027.
    Farm Production and Conservation: FPAC-BC, WDC (NHQ), Attn: FPAC 
HRD--Room 3223S, 1400 Independence Ave. SW, Washington, DC 20250, 855-
344-4793, 833-528-1259 (fax).
    Farm Service Agency: FPAC-BC, WDC (NHQ), Attn: FPAC HRD--Room 3223S, 
1400 Independence Ave. SW, Washington, DC 20250, 855-344-4793, 833-528-
1259 (fax).
    Natural Resources Conservation Service: FPAC-BC, WDC (NHQ), Attn: 
FPAC HRD--Room 3223S, 1400 Independence Ave. SW, Washington, DC 20250, 
855-344-4793, 833-528-1259 (fax).

[[Page 770]]

    Risk Management Agency: FPAC-BC, WDC (NHQ), Attn: FPAC HRD--Room 
3223S, 1400 Independence Ave. SW, Washington, DC 20250, 855-344-4793, 
833-528-1259 (fax).
    FPAC Business Center: FPAC-BC, WDC (NHQ), Attn: FPAC HRD--Room 
3223S, 1400 Independence Ave. SW, Washington, DC 20250, 855-344-4793, 
833-528-1259 (fax).
    Food, Nutrition, and Consumer Services: Director, Human Resources 
Division, Food, Nutrition and Consumer Services, 1320 Braddock Pl., 
Alexandria, VA 22314, (844) 208-2364.
    Food Safety and Inspection Service: Chief, Financial Services, Food 
Safety and Inspection Service, 4520 114th Street, Urbandale, IA 50322, 
(833) 643-2258 or [email protected].
    Marketing and Regulatory Programs: Chief, Human Resources, USDA, 
APHIS, 250 Marquette Avenue, Suite 410, Minneapolis, MN 55401, (612) 
336-3317.
    Agricultural Marketing Services: Chief, Human Resources, USDA, 
APHIS, 250 Marquette Avenue, Suite 410, Minneapolis, MN 55401, (612) 
336-3317.
    Agricultural Marketing Service--Milk Marketing Administration: 
Personnel Management Specialist, Agricultural Marketing Service, DA, 
Room 2548--South Bldg., Mail Stop 0228, 1400 Independence Ave. SW, 
Washington, DC 20250-0228, (202) 690-0212.
    Animal and Plant Health Inspection Service: Chief, Human Resources, 
USDA, APHIS, 250 Marquette Avenue, Suite 410, Minneapolis, MN 55401, 
(612) 336-3317.
    Forest Service: U.S. Forest Service, Human Resources Management, 
Attn: Pay and Leave, 4000 Masthead Street NE, Albuquerque, NM 87109, 
877-372-7248.
    Research, Education, and Economics: Agricultural Research Service, 
Human Resources Division, 5601 Sunnyside Ave., Room 2-WS-1515, Stop--
5101, Beltsville, MD 20705-5101, (301) 504-1357.
    Agricultural Research Service: Human Resources Division, 5601 
Sunnyside Ave., Room 2-WS-1515, Stop--5101, Beltsville, MD 20705-5101, 
(301) 504-1357.
    Economic Research Service: Agricultural Research Service, Human 
Resources Division, 5601 Sunnyside Ave., Room 2-WS-1515, Stop--5101, 
Beltsville, MD 20705-5101, (301) 504-1357.
    National Agricultural Statistics Service: Agricultural Research 
Service, Human Resources Division, 5601 Sunnyside Ave., Room 2-WS-1515, 
Stop--5101, Beltsville, MD 20705-5101, (301) 504-1357.
    National Institute of Food and Agriculture: Agricultural Research 
Service, Human Resources Division, 5601 Sunnyside Ave., Room 2-WS-1515, 
Stop--5101, Beltsville, MD 20705-5101, (301) 504-1357.
    Office of the Chief Scientist: U.S. Department of Agriculture, 1400 
Independence Ave. SW, Office of Human Resources Management, Room 318W, 
Washington, DC 20250, (202) 302-9509.
    Rural Development: Human Resources Office, 1400 Independence Ave. 
SW, Mail Stop 0730, Washington, DC 20250, (202) 720-2278.
    Rural Business--Cooperative Service: Human Resources Office, 1400 
Independence Ave. SW, Mail Stop 0730, Washington, DC 20250, (202) 720-
2278.
    Rural Housing Service: Human Resources Office, 1400 Independence 
Ave. SW, Mail Stop 0730, Washington, DC 20250, (202) 720-2278.
    Rural Utilities Service: Human Resources Office, 1400 Independence 
Ave. SW, Mail Stop 0730, Washington, DC 20250, (202) 720-2278.
    Rural Development Business Center: Human Resources Office, 1400 
Independence Ave. SW, Mail Stop 0730, Washington, DC 20250, (202) 720-
2278.
    Trade and Foreign Agricultural Affairs: Human Capital Management 
Division, 1400 Independence Ave. SW, Room 5071, Mail Stop 1001, 
Washington, DC 20250.
    Foreign Agricultural Service: Human Capital Management Division, 
1400 Independence Ave. SW, Room 5071, Mail Stop 1001, Washington, DC 
20250.
    Office of Budget and Program Analysis: USDA, Office of Human 
Resources Management--Payroll, 1400 Independence Ave. SW, Room 318 W, 
Whitten Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of the Chief Economist: USDA, Office of Human Resources 
Management--Payroll, 1400 Independence Ave. SW, Room 318 W, Whitten 
Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of the Chief Financial Officer: USDA, Office of the Chief 
Financial Officer, 13800 Old Gentilly Road, Modular Bldg. H-8, New 
Orleans, LA 70129, [email protected].
    Office of the Chief Information Officer: USDA, Office of Human 
Resources Management--Payroll, 1400 Independence Ave. SW, Room 318 W, 
Whitten Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of Civil Rights: USDA, Office of Human Resources Management--
Payroll, 1400 Independence Ave. SW, Room 318 W, Whitten Bldg., 
Washington, DC 20250-1400, (202) 720-4175, [email protected].
    Office of Communications: USDA, Office of Human Resources 
Management--Payroll, 1400 Independence Ave. SW, Room 318 W, Whitten 
Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of the General Counsel: USDA, Office of Human Resources 
Management--Payroll, 1400 Independence Ave. SW, Room 318 W, Whitten 
Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of the General Counsel, Office of Ethics: USDA, Office of 
Human Resources Management--Payroll, 1400 Independence Ave. SW, Room 318 
W, Whitten Bldg., Washington,

[[Page 771]]

DC 20250-1400, (202) 720-4175, [email protected].
    Office of Hearings and Appeals: USDA, Office of the Chief Financial 
Officer, 13800 Old Gentilly Road, Modular Bldg. H-8, New Orleans, LA 
70129, [email protected].
    Office of Homeland Security: USDA, Office of Human Resources 
Management--Payroll, 1400 Independence Ave. SW, Room 318 W, Whitten 
Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Counsel to the Inspector General, Office of Inspector General: USDA, 
Whitten Buildinguiin1400 Independence Avenue SW, STOP 2308, Room 441-E, 
Washington, DC 20250-2308, (202) 720-9110.
    Office of Partnerships and Public Engagement: USDA, Office of Human 
Resources Management--Payroll, 1400 Independence Ave. SW, Room 318 W, 
Whitten Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of Small and Disadvantaged Business Utilization: USDA, Office 
of Human Resources Management--Payroll, 1400 Independence Ave. SW, Room 
318 W, Whitten Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Departmental Administration: USDA, Office of Human Resources 
Management--Payroll, 1400 Independence Ave. SW, Room 318 W, Whitten 
Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of Contracting and Procurement: USDA, Office of Human 
Resources Management--Payroll, 1400 Independence Ave. SW, Room 318 W, 
Whitten Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of Customer Experience: USDA, Office of Human Resources 
Management--Payroll, 1400 Independence Ave. SW, Room 318 W, Whitten 
Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of Human Resources Management: USDA, Office of Human 
Resources Management--Payroll, 1400 Independence Ave. SW, Room 318 W, 
Whitten Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of Operations: USDA, Office of Human Resources Management--
Payroll, 1400 Independence Ave. SW, Room 318 W, Whitten Bldg., 
Washington, DC 20250-1400, (202) 720-4175, [email protected].
    Office of Property and Environmental Management: USDA, Office of 
Human Resources Management--Payroll, 1400 Independence Ave. SW, Room 318 
W, Whitten Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].
    Office of Safety, Security, and Protection: USDA, Office of Human 
Resources Management--Payroll, 1400 Independence Ave. SW, Room 318 W, 
Whitten Bldg., Washington, DC 20250-1400, (202) 720-4175, 
[email protected].

                         Department of Commerce

    1. Bureau of the Census, Bureau of Economic Analysis (BEA), and the 
Office of the Under Secretary for Economic Affairs (OUS/EA): For Census 
employee-obligors employed by Census headquarters in Suitland, Maryland; 
for BEA employee-obligors, and OUS/EA employee-obligors and serviced by 
Enterprise Services: Enterprise Services Human Resource Service Center, 
8400 Corporate Drive, Suite 300, Landover, MD 20785, (888) 316-2285.
    1.a. For employee-obligors employed by the Census National 
Processing Center and Tucson Telephone Center: Bureau of the Census, 
National Processing Center, ATTN: Chief, Employee and Labor Relations 
Section, Human Resources Branch, Bldg. 63A, Room 2, 1201 East 10th 
Street, Jeffersonville, IN 47132, (812) 218-3321, or by eFax at 812-218-
3492.
    b. For employee-obligors employed by the Census Regional Offices:
    UPS and Fed Ex: Bureau of the Census, Human Resources Division ATTN: 
Chief, Information Services Branch, 4600 Silver Hill Road, Suitland, MD 
20746, (301) 763-4748.
    Certified Mail and USPS: Bureau of the Census, Human Resources 
Division ATTN: Chief, Information Services Branch, 4600 Silver Hill Rd., 
Washington, DC 20233, (301) 763-4748.
    eFax: Bureau of the Census, HRD Call Center, 301-763-8466.
    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 Street & 
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 Street & 
Constitution Avenue NW, Washington, DC 20230, (202) 482-3438.
    5. National Institute of Standards and Technology (NIST)and the 
National Technical Information Service (NTIS) (For NIST employee-
obligors; for employee-obligors employed by 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 Street & 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

[[Page 772]]

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 Industry and Security 
(BIS), 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 Street 
and Constitution Avenue NW, Washington, DC 20230, (202) 482-3827.
    9. Regional employees of NOAA, NIST, BIS, 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 National 
Weather Service employees in the states of Colorado, Kansas, Nebraska, 
North Dakota, South Dakota, and Wyoming; for employee-obligors in the 
BIS, 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 BIS, 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 BIS, 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 BIS, 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 Street and Constitution Avenue NW, Room 5001, (202) 482-
4807.
    11. For employee-obligors employed by bureaus serviced by Enterprise 
Services (BIS, EDA, ITA, MBDA, NOAA, NTIA, and O/S): Enterprise Services 
Human Resource Service Center, 8400 Corporate Drive, Suite 300, 
Landover, MD 20785, (888) 316-2285.

                          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: Defense Finance and Accounting Service, Office of 
General Counsel, Attn: Garnishment Law Directorate, P.O. Box 998002, 
Cleveland, OH 44199-8002, Fax: 216-367-3675; Toll-Free Fax: 877-622-
5930, Phone: 888-332-7411.

                                  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. Non-appropriated fund civilian employees of the Army:

                             Post Exchanges

    Department of Defense. Defense Finance and Accounting Service, 
Office of General Counsel, Attn: Garnishment Law Directorate, P.O. Box 
998002, Cleveland, OH 44199-8002, Fax: 216-367-3675; Toll-Free Fax: 877-
622-5930, Phone: 888-332-7411.

                                  Navy

    a. Military Sealift Command Pacific Mariners: Defense Finance and 
Accounting Service, Office of General Counsel, Attn: Garnishment Law 
Directorate, P.O. Box 998002, Cleveland,

[[Page 773]]

OH 44199-8002, Fax: 216-367-3675; Toll-Free Fax: 877-622-5930, Phone: 
888-332-7411.
    b. Military Sealift Command Atlantic Mariners: Defense Finance and 
Accounting Service, Office of General Counsel, Attn: Garnishment Law 
Directorate, P.O. Box 998002, Cleveland, OH 44199-8002, Fax: 216-367-
3675; Toll-Free Fax: 877-622-5930, Phone: 888-332-7411.
    c. Non-appropriated fund civilian employees of Navy Exchanges or 
related non-appropriated fund instrumentalities administered by the Navy 
Exchange Service Command: Chief Executive Officer, Navy Exchange Service 
Command, ATTN: Office of Counsel, 3280 Virginia Beach Blvd., Virginia 
Beach, VA 23452-5724, (757) 631-3617.
    d. Non-appropriated 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. Non-appropriated fund personnel of activities that fall outside 
the purview of the Chief of Navy Personnel or the Chief Executive 
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.

                              Marine Corps

    Non-appropriated fund civilian employees, process may be served on 
the commanding officer of the activity concerned.

                                Air Force

    a. Non-appropriated fund civilian employees of base exchanges: Army 
and Air Force Exchange Service, Attention: FA-F/R, P.O. Box 650038, 
Dallas, TX 75265-0038, (214) 312-2119.
    b. Non-appropriated fund civilian employees of all other Air Force 
non-appropriated 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 Finance and Operations, Lyndon Baines 
Johnson Building--2nd Floor, 400 Maryland Avenue SW, Washington, DC 
20202, (202) 401-3000.

                          Department of Energy

    Garnishment orders for civilian employees of the Department of 
Energy, other than those employed by the Bonneville Power Administration 
(BPA) and the Federal Energy Regulatory Commission (FERC), should be 
sent to: Defense Finance and Accounting Service, Office of General 
Counsel, Attn: Garnishment Law Directorate, P.O. Box 998002, Cleveland, 
OH 44199-8002, Fax: 216-367-3675; Toll-Free Fax: 877-622-5930, Phone: 
888-332-7411.
    Garnishment orders for civilian employees of BPA and FERC should be 
sent to the addresses below:

                     Bonneville Power Administration

    Chief, Payroll Section DSDP, Bonneville Power Administration, 
Department of Energy, 905 NE 11th Avenue, Portland, OR 97232, (503) 230-
3203.

                  Federal Energy Regulatory Commission

    Payroll Office, 888 First Street NE, Washington, DC 20246, (202) 
502-8990.

                 Department of Health and Human Services

    Garnishment orders for civilian employees of the Department of 
Health and Human Services should be sent to: Defense Finance and 
Accounting Service, Office of General Counsel, Attn: Garnishment Law 
Directorate, P.O. Box 998002, Cleveland, OH 44199-8002, Fax: 216-367-
3675; Toll-Free Fax: 877-622-5930, Phone: 888-332-7411.

                     Department of Homeland Security

    For Department of Homeland Security Headquarters employees: Office 
of the Chief Human Capital Officer, HRMS/Payroll and Processing/Mailstop 
0170, Department of Homeland Security, 6595 Springfield Center Drive, 
Springfield, VA 20598-0170.

                U.S. Citizenship and Immigration Services

    Financial Operations Center--Payroll, United States Citizenship and 
Immigration Services, 70 Kimball Avenue South Burlington, VT 05403, 
(802) 657-7860.

                        United States Coast Guard

    Commanding Officer (LGL), Coast Guard Pay and Personnel Center, 444 
SE Quincy Street, Topeka, KS 66683-3591, (785) 339-3595.

                   U.S. Customs and Border Protection

    Chief, Payroll Branch, Finance and Accounting Division, 6650 Telecom 
Drive, Suite 100, Indianapolis, IN 46278, (317) 298-1305.

            Cybersecurity and Infrastructure Security Agency

    Unless an alternative means of service is specified at https://
www.cisa.gov/contact-us, deliver service of process to: Office of the 
Chief Counsel, CISA-NGR STOP 0645 Cybersecurity and Infrastructure 
Security Agency, 1110 N Glebe Rd., Arlington, VA 20598-0645. To aid in 
prompt handling, parties are encouraged to also email a copy to 
[email protected].

                   Federal Emergency Management Agency

    Director, Payroll and Processing Division, Office of the Chief Human 
Capital Officer, 500 C St. SW, Washington, DC 20472, (866) 896-8003.

[[Page 774]]

                 Federal Law Enforcement Training Center

    Chief Counsel, 1131 Chapel Crossing Road, Building 93, Glynco, GA 
31524, (912) 267-244.

            United States Immigration and Customs Enforcement

    Office of Human Capital, Payroll Unit, 8222 N Belt Line Road, 2nd 
Floor, Irving, TX 75063.

                      United States Secret Service

    U.S. Secret Service, 245 Murray Ln SW--BLDG T-5, Washington, DC 
20223, (202) 406-5708.

                 Transportation Security Administration

    TSA HR Service Center, 6363 Walker Lane, Suite 400, Alexandria, VA 
22310.

               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, Interior 
Business Center, Department of the Interior, P.O. Box 272030, Denver, CO 
80227-9030, (303) 969-7739.

                          Department of Justice

                           Antitrust Division

    Executive Office, Personnel Section 450 5th Street NW, Room 3100, 
Washington, DC 20530, (202) 415-4163.

           Bureau of Alcohol, Tobacco, Firearms and Explosives

    Human Resources and Professional Development, 99 New York Ave. NE, 
Washington, DC 20226, (202) 344-5608.

                   Bureau of Prisons (All Facilities)

    Human Resource Services Center, 346 Marine Forces Drive, Grand 
Prairie, TX 75051, (202) 235-7824.

                             Civil Division

    Office of Human Resources, 1100 L Street NW, Room 2034, Washington, 
DC 20530, (202) 616-0353.

                          Civil Rights Division

    Office of Human Resources and Security, 150 M Street NE, Room 
6.1408, Washington, DC 20530, (202) 514-3934.

                            Criminal Division

    Office of Administration, 1400 New York Ave. NW, 6th Floor, Room 
629, Washington, DC 20005, (202) 514-0361.

                     Drug Enforcement Administration

    Compensation, Benefits and Processing Section, 8701 Morrissette 
Drive, HR/HRS, Springfield, VA 22152, (571) 776-2821.

                Environment & Natural Resources Division

    150 M Street NE, Room 2.1142, Washington, DC 20530, (202) 616-3359.

                 Executive Office for Immigration Review

    Office of Human Resources, 5107 Leesburg Pike, 19th Floor, (703) 
756-8061.

              Executive Office for United States Attorneys

    Human Resources, 175 N Street NE, Washington, DC 20530, (202) 252-
5324.

                    Federal Bureau of Investigations

    Human Resources Division, Payroll Management Unit, 935 Pennsylvania 
Avenue NW, Room 10997, Washington, DC 20535, (202) 324-3333.

   Justice Management Division (for All DOJ Components Not Otherwise 
                                 Listed)

    JMD Human Resources Operations/Payroll, 145 N Street NE, Room 
9W.1425, Washington, DC 20530, (202) 616-9008.

                       Office of Justice Programs

    Office of Administration, Human Resources Division, 810 7th Street 
NW, Room 3300, Washington, DC 20531, (202) 307-0730.

                     Office of the Inspector General

    M&P Office of Human Resources, 150 M Street, Suite 11.000, 
Washington, DC 20530, (202) 616-4522.

                              Tax Division

    150 M Street NE, Suite 1.1330, Washington, DC 20530, (202) 616-1762.

                          U.S. Marshals Service

    Human Resources Division, Office of Compensation, Benefits, and 
Processing, CG3 4th Floor, Room 4030, Arlington, VA 22202, (703) 740-
1714.

                           Department of Labor

    1. Payments to employees of the Department of Labor: Division 
Director, Office of Compensation and Processing, Department of Labor, 
200 Constitution Avenue NW, N-4654, Washington, DC 20210, (202) 693-
6856.
    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, C-3516, 
Washington, DC 20210, (202) 219-8721.

[[Page 775]]

    3. Process relating to benefits payable under the Federal Employees' 
Compensation Act should be directed to the Office of Workers' 
Compensation Programs:

                              DFELHWC--FECA

    Fiscal Operations, Office of Workers' Compensation Programs, 2300 
Main Street, Suite 10128, Kansas City, MO 64108-2416, (202) 513-6860.

                           Department of State

    The Executive Office, Office of the Legal Adviser, Suite 5.600, 
Department of State, 600 19th Street NW, Washington, DC 20522.

                      Department of Transportation

                         Office of the Secretary

    Assistant General Counsel for Litigation and Enforcement, C-30, U.S. 
Department of Transportation, 1200 New Jersey Avenue SE, Room W94-310, 
Washington, DC 20590, (202) 366-4713.

                     Federal Aviation Administration

    Chief, Payroll Operations Division, Attn: Code D-2605, Interior 
Business Center, Department of the Interior, P.O. Box 272030, Denver, CO 
80227-9030, (303) 969-7739.

                       Department of the Treasury

                        (1) Departmental Offices

    Office of Human Resources, Treasury Department, 1500 Pennsylvania 
Avenue NW, Washington, DC 20220, (202) 622-0450.

                  (2) Office of Foreign Assets Control

    Chief Counsel, Second Floor, Treasury Annex/Freedman's Bank 
Building, 1500 Pennsylvania Avenue NW, Washington, DC 20220, (202) 622-
2410.

                    (3) Bureau of the Fiscal Service

    Human Capital Division, Room A4-H, Bureau of the Fiscal Service, 
P.O. Box 1328, Parkersburg WV 26106-1328, (304) 480-8303.

                      (4) Internal Revenue Service

    Austin Payroll Center, P.O. Box 9002, Beckley, WV 25802-9002, (304) 
254-5940.

              (5) Alcohol and Tobacco Tax and Trade Bureau

    Bureau of the Fiscal Service, Attention: Accounting Services Branch 
2 Avery Street A3-G, P.O. Box 1328, Parkersburg, WV 26106-1328.

            (6) Financial Crimes Enforcement Network (FinCEN)

    Office of Human Resources, 2070 Chain Bridge Road, G99, Vienna, VA 
22182, (703) 905-3591.

                   (7) Office of the Inspector General

    Office of Human Resources, 875 15th Street NW, Suite 200, 
Washington, DC 20220, 202-927-5200.

           (8) Special Inspector General for Pandemic Recovery

    2051 Jamieson Avenue, Suite 600, Alexandria, VA 22314, (202) 695-
0753.

  (9) Special Inspector General for the Troubled Asset Relief Program 
                                (SIGTARP)

    HR Office, 14509 Delcastle Dr., Bowie, MD 20721, (202) 538-4647, 
[email protected].

         (10) Treasury Inspector General for Tax Administration

    Bureau of Fiscal Service, Administrative Resource Center, Room A2-A, 
P.O. Box 1328, Parkersburg, WV 26106-1328, (304) 480--8000 Option 4, 
[email protected], Fax: (304) 480--8295.

                   (11) Bureau of Engraving & Printing

    Chief Counsel, 14th & C Streets NW, Room 306M, Washington, DC 20228, 
(202) 874-2500.

             (12) Office of the Comptroller of the Currency

                         Washington Headquarters

    Director of Litigation, Chief Counsel's Office, Office of the 
Comptroller of the Currency, 400 7th Street SW, Washington, DC 20219-
0001, (202) 649-5400.

                            District Offices

    District Counsel-Northeast, Office of the Comptroller of the 
Currency, 340 Madison Avenue, 5th Floor, New York, NY 10173, (212) 790-
4000.
    District Counsel-Southern, Office of the Comptroller of the 
Currency, 500 North Akard Street, Suite 1600, Dallas, TX 75201-3323, 
(214) 720-0656.
    District Counsel-Central, Office of the Comptroller of the Currency, 
425 South Financial Place, Suite 1700, Chicago, IL 60605-1073, (312) 
360-8800.
    District Counsel-Western, Office of the Comptroller of the Currency, 
1050 17th Street, Suite 1500, Denver, CO 80265-1050, (720) 475-7600.

                         (13) United States Mint

    Chief Counsel, 801 Ninth Street NW, Washington, DC 20220, (202) 756-
6468.

                     Department of Veterans Affairs

    Garnishment orders for civilian employees of the Department of 
Veterans Affairs should be sent to: Defense Finance and Accounting 
Service, Office of General Counsel, Attn: Garnishment Law Directorate, 
P.O. Box

[[Page 776]]

998002, Cleveland, OH 44199-8002, Fax: 216-367-3675; Toll-Free Fax: 877-
622-5930, Phone: 888-332-7411 (Those parties seeking offset of Veteran 
benefit payments pursuant to court and/or child support enforcement 
orders should contact the Veterans Benefits Administration at 1-800-827-
1000 or https.www.benefits.va.gov/benefits/offices.asp for the 
appropriate service address of the Veterans Affairs Regional Office 
corresponding to the debtor's legal domicile).

                     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: Chief, 
Payroll Division, United States Agency for International Development, 
1300 Pennsylvania Avenue NW, Washington, DC 20523, (202) 916-4405, (202) 
916-4956 (fax), [email protected].

                       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 Financial Protection Bureau

    General Counsel, Consumer Financial Protection Bureau, 1700 G Street 
NW, Washington, DC 20552, (202) 435-5206.

                   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.

      Council of the Inspectors General on Integrity and Efficiency

    Interior Business Center, Department of the Interior, Chief, Payroll 
Operations Division, ATTN: D-2640, P.O. Box 272030, Denver, CO 80227-
9030, (303) 969-7739.

                     Environmental Protection Agency

    Department of the Interior, Interior Business Center, Debt 
Management Branch Attention: D-2640, 7201 W Mansfield Avenue, Denver, CO 
80235, (866) 367-1272.

                 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, Finance and Systems Services Division, Room 4SE09E, 131 M 
Street NE, Washington, DC 20507, (202) 921-2869.

                       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 Labor Relations Authority

    Director of Personnel, Federal Labor Relations Authority, 607 14th 
Street NW, Suite 430, Washington, DC 20424, (202) 482-6690.

[[Page 777]]

                       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.

                     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, 1615 M 
Street NW, Washington, DC 20419, (202) 653-7263.

              National Aeronautics and Space Administration

    Interior Business Center, Department of the Interior, Chief, Payroll 
Operations Division, ATTN: D-2640, P.O. Box 272030, Denver, CO 80227-
9030, (303) 969-7739.

              National Archives and Records Administration

    General Counsel (NGC), National Archives and Records Administration, 
Suite 3110, 8601 Adelphi Road, College Park, MD 20740, 301-837-1750.

                  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

    Human Resources Management, National Science Foundation, 2415 
Eisenhower Avenue, Alexandria, VA 22314, (703) 292-5111.

                        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, ATTN: AD-30, 800 Independence Avenue SW, Washington, DC 
20594, (202) 382-6718.

              Navajo and Hopi Indian Relocation Commission

    Attorney, Navajo and Hopi Indian Relocation Commission, 201 East 
Birch, Room 11,

[[Page 778]]

P.O. Box KK, Flagstaff, AZ 86002, (602) 779-2721.

                      Nuclear Regulatory Commission

    Comptroller, Nuclear Regulatory Commission, Washington, DC 20555, 
(301) 415-0667.

                     Office of Personnel Management

    Payments to OPM employees: Human Resources, Office of Personnel 
Management, 1900 E Street NW, Washington, DC 20415.
    Payments of retirement benefits under the Civil Service Retirement 
System and the Federal Employees Retirement System: Court Ordered 
Benefits Branch, ATTN: Garnishments, Office of Personnel Management, 
P.O. Box 17, Washington, DC 20044-0017, (202) 606-0222.

                 Overseas Private Investment Corporation

    Director, Human Resources Management, Overseas Private Investment 
Corporation, 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

    Associate General Counsel, 445 12th Street SW, Washington, DC 20024, 
(202) 229-4400.

                             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

    General Counsel, 844 North Rush Street, Chicago, IL 60611, (312) 
751-4948.

                   Securities and Exchange Commission

    Branch Chief, Employee Services, Office of Human Resources, 
Securities and Exchange Commission, 100 F Street NE, Washington, DC 
20549, (202) 551-7500.

                        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 Blvd., 
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.

[[Page 779]]

    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 & Farnam Streets, 
Omaha, NE 68102, (404) 221-4691.
    District Director, Las Vegas District Office, 301 East Stewart 
Avenue, Las Vegas, NV 89101, (702) 385-6611.
    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,

[[Page 780]]

Administrative Services Center, Department of the Interior, P.O. Box 
272030, Denver, CO 80227-9030, (303) 969-7739.

                 United States Soldiers' & Airmen's Home

    Defense Finance and Accounting Service, Office of General Counsel, 
Attn: Garnishment Law Directorate, P.O. Box 998002, Cleveland, OH 44199-
8002, Fax: 216-367-3675; Toll-Free Fax: 877-622-5930, Phone: 888-332-
7411.

   III. United States Postal Service and Postal Regulatory Commission

      United States Postal Service and Postal Regulatory Commission

    Manager, Payroll Operations, 2825 Lone Oak Parkway, Eagan, MN 55121-
0650, (651) 406-3600.

   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 Street 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, P.O. Box DA, Agana, Guam 96910, 472-6841 (Country 
Code 671).

                           The Virgin Islands

    Attorney General, P.O. 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: Controller, 
Office of Finance and Accounting, Smithsonian Institution, P.O. Box 
37012 MRC 1203, Washington, DC 20013-7012, (202) 633-7250
    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: Defense Finance and Accounting Service, 
Office of General Counsel, Attn: Garnishment Law Directorate, P.O. Box 
998002, Cleveland, OH 44199-8002, Fax: 216-367-3675; Toll-Free Fax: 877-
622-5930, Phone: 888-332-7411.

[88 FR 32083, May 19, 2023]



Sec. 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.


[[Page 781]]


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

                         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

[[Page 782]]

        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

                      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

[[Page 783]]

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
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

[[Page 784]]

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 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

[[Page 785]]

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
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

[[Page 786]]

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

                                  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

[[Page 787]]

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 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

[[Page 788]]

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 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

[[Page 789]]

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

                                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

[[Page 790]]

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 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

[[Page 791]]

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
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

[[Page 792]]

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 
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

[[Page 793]]

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
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

[[Page 794]]

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

                                  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

[[Page 795]]

                              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 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

[[Page 796]]

                           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

                  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.

[[Page 797]]

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; Sec. 582.102 
also issued under 5 U.S.C. 8336a and 8412a.

    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 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 a reemployed 
annuitant, an individual engaged in phased employment as defined in part 
831, subpart Q, and part 848 of this chapter, and a retired member of 
the uniformed services who is employed by an agency. Employee does not 
include a retired employee, a member of the uniformed services, a 
retired member of the uniformed services, or an individual whose service 
is based on a contract, including an individual who provides 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

[[Page 798]]

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-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; 79 
FR 46618, Aug. 8, 2014]



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

[[Page 799]]

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 
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 Sec. Sec.  
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

[[Page 800]]

    (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.



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.

[[Page 801]]

    (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, 
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

[[Page 802]]

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]



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

[[Page 803]]

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.
    (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]



 Sec. 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 provides listings 
only for those executive agencies where the designations differ from 
those found in appendix A to part 581.

                             I. Departments

    Department of Defense. Defense Finance and Accounting Service, 
Office of General Counsel, Attn: Garnishment Law Directorate, P.O. Box 
998002, Cleveland, OH 44199-8002, Fax: 216-367-3675; Toll-Free Fax: 877-
622-5930, Phone: 888-332-7411.
    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:
    Civilian employees of the Army Corps of Engineers. Defense Finance 
and Accounting Service, Office of General Counsel, Attn: Garnishment Law 
Directorate, P.O. Box 998002, Cleveland, OH 44199-8002, Fax: 216-367-
3675; Toll-Free Fax: 877-622-5930, Phone: 888-332-7411.
    Army Non-Appropriated Fund Employees in Europe. Defense Finance and 
Accounting Service, Office of General Counsel, Attn: Garnishment Law 
Directorate, P.O. Box 998002, Cleveland, OH 44199-8002, Fax: 216-367-
3675; Toll-Free Fax: 877-622-5930, Phone: 888-332-7411.
    National Security Agency. General Counsel, National Security Agency/
Central Security

[[Page 804]]

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 Non-Appropriated 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.
    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 Non-Appropriated Fund Employees. The agents 
are the same as those designated to receive garnishment orders of Navy 
and Marine Corps non-appropriated fund personnel for the collection of 
child support and alimony, published at 5 CFR part 581, appendix A, 
except as follows:
    For non-civil service civilian personnel of Marine Corps non-
appropriated 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.

[88 FR 32090, May 19, 2023]



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?

[[Page 805]]

                           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?
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 of Part 591--Places and Rates at Which 
          Allowances Are Paid
Appendix B to Subpart B of 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 of Part 591--Daily Transportation Allowance 
          Schedule, Commuting Over Land by Private Motor Vehicle to 
          Remote Duty Posts
Appendix B to Subpart C of 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

[[Page 806]]

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--
    (a) Pay an allowance for a uniform not to exceed $800 a year; or
    (b) Furnish a uniform at a cost not to exceed $800 a year.
    (c) Any agency which provides a uniform allowance under paragraph 
(a) of this section must establish policies to administer the uniform 
allowance program, including uniform standards acceptable to the agency.

[59 FR 43705, Aug. 25, 1994, as amended at 72 FR 20702, Apr. 26, 2007]



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

[[Page 807]]

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.

    Editorial Note: Nomenclature changes to subpart B of part 591 appear 
at 70 FR 31313, May 31, 2005.



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.
    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 worksite means the official location of an employee's 
position of record as determined under 5 CFR 531.605.
    Position of record means an employee's official position (defined by 
grade, occupational series, employing agency, law enforcement officer 
status, and any other condition that determines coverage under a pay 
schedule (other than official worksite)), as documented on the 
employee's most recent Notification of Personnel Action (Standard Form 
50 or equivalent) and the current position description, excluding any 
position to which the employee is temporarily detailed. For an employee 
whose change in official position is followed within 3 workdays by a 
reduction in force resulting in the employee's separation before he or 
she is required to report for duty in the new position, the position of 
record in effect immediately before the position change is deemed to 
remain the position of record through the date of separation.
    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, including any supplement included as 
part of basic pay under this subpart by law or regulation (e.g., a 
special rate supplement under 5 CFR part 530, subpart C), before

[[Page 808]]

any deductions and exclusive of additional pay of any other 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, straight-time pay for regular overtime hours is basic pay, as 
provided in Sec.  550.1305(b) of this chapter.
    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; and in the context of certain survey items, includes 
additional geographic locations beyond these jurisdictions.

[67 FR 22340, May 3, 2002, as amended at 69 FR 59762, Oct. 6, 2004; 70 
FR 31314, May 31, 2005]

            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 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 worksite 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 worksite 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;

[[Page 809]]

    (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.



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 
shortest route using paved roads when available, as measured from the 
Federal courthouse to the official duty station;
    (b) City of Fairbanks, AK, and 80-kilometer (50-mile) radius by 
shortest route using paved roads when available, as measured from the 
Federal courthouse to the official duty station;
    (c) City of Juneau, AK, and 80-kilometer (50-mile) radius by 
shortest route using paved roads when available, as measured from the 
Federal courthouse to the official duty station;
    (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.

[67 FR 22340, May 3, 2002, as amended at 73 FR 65245, Nov. 3, 2008]



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.


[[Page 810]]


    (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.
    (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''

[[Page 811]]

in progress at the time the price was collected.
    (b) Exceptions: (1) OPM does not collect coupon prices, clearance 
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.

[67 FR 22340, May 3, 2002, as amended at 69 FR 59762, Oct. 6, 2004]



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 Hilo area and the Kailua Kona/Waimea 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, 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, and 
for selected items such as golf, snow skiing, and air travel, OPM 
collects non-housing data in additional geographic locations. OPM may 
collect housing data throughout the survey area or in specific housing 
data collection areas. The following table shows the survey areas:

                              Survey Areas
------------------------------------------------------------------------
                                           Survey areas and geographic
        COLA and reference areas                     coverage
------------------------------------------------------------------------
Anchorage..............................  City of Anchorage. \1\
Fairbanks..............................  Fairbanks/North Pole area. \1\
Juneau.................................  Juneau/Mendenhall/Douglas area.
                                          \1\
Rest of Alaska.........................  See paragraph (c) of this
                                          section.
Honolulu...............................  City and County of Honolulu.
Hawaii County..........................  Hilo area. \1\
                                         Kailua Kona/Waimea area.
Kauai..................................  Kauai Island.
Maui...................................  Maui Island.
Guam & CNMI............................  Guam.
Puerto Rico............................  San Juan/Caguas area. \2\
U.S. Virgin Islands....................  St. Croix.
                                         St. Thomas/St. John area. \3\
Washington, DC-DC......................  District of Columbia. \1\
Washington, DC-MD......................  Montgomery County and Prince
                                          Georges County. \1\
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. \1\
------------------------------------------------------------------------
\1\ For selected items, such as golf, snow skiing, and air travel, these
  survey areas may include additional geographic locations beyond these
  jurisdictions.
\2\ OPM may collect housing data in other areas in Puerto Rico that have
  a significant concentration of Federal employees stationed in those
  areas.
\3\ OPM collects housing data in St. John. OPM also may collect non-
  housing data from selected outlets in St. John.

    (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

[[Page 812]]

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.

[67 FR 22340, May 3, 2002, as amended at 69 FR 59762, Oct. 6, 2004]



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 item, PEG, MEG, and/or overall level by using the 
corresponding indexes and Federal employment weights from each survey 
area within the COLA area.

[67 FR 22340, May 3, 2002, as amended at 69 FR 59763, Oct. 6, 2004]



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.



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 survey 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.

[67 FR 22340, May 3, 2002, as amended at 69 FR 59763, Oct. 6, 2004]



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).

[[Page 813]]

    (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 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.

[[Page 814]]

    (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 COLA area.

[67 FR 22340, May 3, 2002, as amended at 69 FR 59763, Oct. 6, 2004]



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) Paragraph (a) of this section applies beginning with the 
effective date of the results of the 2005 survey conducted in Puerto 
Rico and the U.S. Virgin Islands.
    (c) Based on additional housing data that may be collected before 
the 2005 survey conducted in Puerto Rico and the U.S. Virgin Islands, 
OPM will adjust as warranted the price indexes and COLA rates for Puerto 
Rico, the U.S. Virgin Islands, and the COLA areas in the State of 
Alaska. OPM will implement any such adjustments on a one-time basis on 
the effective date of the results of the 2004 surveys conducted in 
Hawaii and Guam/CNMI, and subject to Sec.  591.228. OPM will publish 
such adjustments as provided in Sec.  591.229.

[67 FR 22340, May 3, 2002, as amended at 69 FR 59763, Oct. 6, 2004]



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);
    (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.

[[Page 815]]

    (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--
    (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

[[Page 816]]

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 worksite 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 worksite to 
an official worksite within the COLA or post 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 
worksite 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

[[Page 817]]

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 
official worksite, 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--
    (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

[[Page 818]]

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.



  Sec. Appendix A to Subpart B of 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 area. The 
allowance 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 rate
                   Geographic coverage                       (percent)
------------------------------------------------------------------------
State of Alaska:
    City of Anchorage and 80-kilometer (50-mile) radius               23
     by road............................................
    City of Fairbanks and 80-kilometer (50-mile) radius               23
     by road............................................
    City of Juneau and 80-kilometer (50-mile) radius by               23
     road...............................................
    Rest of the State...................................              25
State of Hawaii:
    City and County of Honolulu.........................              25
    Hawaii County, Hawaii...............................              18
    County of Kauai.....................................              25
    County of Maui and County of Kalawao................              25
Territory of Guam and Commonwealth of the Northern                    25
 Mariana Islands........................................
Commonwealth of Puerto Rico.............................              14
U.S. Virgin Islands.....................................              25
------------------------------------------------------------------------


[74 FR 7777, Feb. 20, 2009]



  Sec. Appendix B to Subpart B of 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.

[[Page 819]]


    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 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

[[Page 820]]

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 at 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).
    (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

[[Page 821]]

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 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

[[Page 822]]

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.



Sec. Appendix A to Subpart C of 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.


            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

[[Page 823]]

 
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]



    Sec. Appendix B to Subpart C of 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
------------------------------------------------------------------------

                      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 unusual 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

[[Page 824]]

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.
    Domestic partner means a person in a domestic partnership with an 
employee or annuitant of the same sex.
    Domestic partnership means a committed relationship between two 
adults of the same sex in which the partners--
    (1) Are each other's sole domestic partner and intend to remain so 
indefinitely;
    (2) Maintain a common residence, and intend to continue to do so (or 
would maintain a common residence but for an assignment abroad or other 
employment-related, financial, or similar obstacle);
    (3) Are at least 18 years of age and mentally competent to consent 
to contract;
    (4) Share responsibility for a significant measure of each other's 
financial obligations;
    (5) Are not married or joined in a civil union to anyone else;
    (6) Are not the domestic partner of anyone else;
    (7) Are not related in a way that, if they were of opposite sex, 
would prohibit legal marriage in the U.S. jurisdiction in which the 
domestic partnership was formed;
    (8) Are willing to certify, if required by the agency, that they 
understand that willful falsification of any documentation required to 
establish that an individual is in a domestic partnership may lead to 
disciplinary action and the recovery of the cost of benefits received 
related to such falsification, as well as constitute a criminal 
violation under 18 U.S.C. 1001, and that the method for securing such 
certification, if required, will be determined by the agency; and
    (9) Are willing promptly to disclose, if required by the agency, any 
dissolution or material change in the status of the domestic 
partnership.
    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 who, 
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 of the employee's spouse or domestic 
partner, 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 employee's spouse or domestic partner, 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 employee's spouse or domestic 
partner, when such sisters and brothers are at least 51 percent 
dependent on the employee for support, unmarried and under 21 years

[[Page 825]]

of age, or regardless of age, are incapable of self-support;
    (4) Spouse, excluding a spouse independently entitled to and 
receiving a similar allowance; or
    (5) Domestic partner, excluding a domestic partner 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 maintaining family members at a location other 
than Johnston Island.

[61 FR 27244, May 31, 1996, as amended at 77 FR 42905, July 20, 2012]



Sec.  591.403  Amount of payment.

    (a) The annual rate of the separate maintenance allowance paid to an 
employee is determined by the number of individuals, including a spouse, 
a domestic partner, and/or one or more other family members, who 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, as amended at 77 FR 42905, July 20, 2012]



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 Purpose.
595.102 Who is covered by this program?
595.103 What requirements must agencies establish for determining which 
          physician positions are covered?
595.104 What criteria are used to identify a recruitment and retention 
          problem?

[[Page 826]]

595.105 What criteria must be used to determine the amount of a 
          physicians' comparability allowance?
595.106 What termination and refund provisions are required?
595.107 What are the requirements for implementing a physicians' 
          comparability allowance program?

    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  Purpose.

    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 
to 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 OPM, 
acting in consultation with the Office of Management and Budget. This 
part contains the regulations, criteria and conditions which the 
Director of OPM, 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 5 U.S.C. 5948 and should be read together with that section 
of law.

[69 FR 27817, May 17, 2004]



Sec.  595.102  Who is covered by this program?

    (a) This program covers individuals employed as physicians under the 
Federal pay systems listed in 5 U.S.C. 5948(g)(1), except as provided in 
5 U.S.C. 5948(b). 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) Section 5948(b) of title 5, United States Code, prohibits the 
payment of physicians' comparability allowances to certain physicians, 
including physicians who are reemployed annuitants. For the purpose of 
applying this prohibition, 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.
    (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; 69 FR 27817, May 17, 2004]



Sec.  595.103  What requirements must agencies establish for
determining which physician positions are covered?

    (a) The head of each agency must 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-

[[Page 827]]

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.

[44 FR 40876, July 13, 1979, as amended at 69 FR 27817, May 17, 2004]



Sec.  595.104  What criteria are used to identify a recruitment
and retention problem?

    The head of each agency may determine that a significant recruitment 
and retention problem exists for each category of physician position 
established under Sec.  595.103 only if the 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.

[44 FR 40876, July 13, 1979, as amended at 69 FR 27817, May 17, 2004]



Sec.  595.105  What criteria must be used to determine the amount
of a physicians' comparability allowance?

    (a) The amount of the comparability allowance payable for each 
category of physician positions established under Sec.  595.103 must be 
the minimum amount necessary to deal with the recruitment and retention 
problem identified under Sec.  595.104 for that category of positions. 
In determining this amount, the agency head must 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) Agencies may not pay a physicians' comparability allowance in 
excess of $14,000 annually to a physician with 24 months or less of 
service as a Government physician. Agencies may not pay a physicians' 
comparability allowance in excess of $30,000 annually to a physician 
with more than 24 months of service as a Government physician.
    (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) A physician who is employed on a regularly scheduled part-time 
basis of half-time or more is eligible to receive a physicians' 
comparability allowance, but any such allowance must be prorated 
according to the proportion of the physicians' work schedule to full-
time employment. A physician who is employed on less than a half-time or 
intermittent basis is excluded from the physicians' comparability 
allowance program.

[[Page 828]]

    (e) A physician who is serving with the Government under a loan 
repayment program must have the amount of any loan being repaid deducted 
from any physicians' comparability allowance for which he or she is 
eligible and may receive only that portion of such allowance which 
exceeds the amount of the loan being repaid during the period of 
employment required by the service agreement under the student loan 
repayment program.

[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; 69 FR 27817, 
May 17, 2004]



Sec.  595.106  What termination and refund provisions are required?

    Each service agreement entered into by an agency and a physician 
under the comparability allowance program must 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 1 year, the service agreement must include a 
provision that, if the physician completes more than 1 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, the physician must 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).

[69 FR 27818, May 17, 2004]



Sec.  595.107  What are the requirements for implementing a physicians'
comparability allowance program?

    (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 must 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 the 
agency has established under Sec.  595.103, 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; 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.
    (c) The Office of Management and Budget (OMB) will review each 
agency's plan for implementing the physicians' comparability allowance 
program and determine whether the plan is consistent with 5 U.S.C. 5948 
and the requirements of this part. The Office of Management and Budget 
will advise the agency within 45 calendar days after receipt of the plan 
as to whether the plan is consistent with 5 U.S.C. 5948 and this part or 
what changes need to be made.

[44 FR 40876, July 13, 1979, as amended at 53 FR 8142, Mar. 14, 1988, 
and 53 FR 24011, June 27, 1988; 69 FR 27818, May 17, 2004]



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.

[[Page 829]]

  Subpart C_Administrative Dismissals of Daily, Hourly, and Piecework 
                                Employees

610.301 Purpose.
610.302 Policy statement.
610.303 Definitions.
610.304 Coverage.
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,

[[Page 830]]

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 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

[[Page 831]]

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 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

[[Page 832]]

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;
    (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]

[[Page 833]]



            Subpart D_Flexible and Compressed Work Schedules

    Authority: 5 U.S.C. 6133(a).

    Source: 48 FR 44060, Sept. 27, 1983, unless otherwise noted.



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]

[[Page 834]]



PART 630_ABSENCE AND LEAVE--Table of Contents



                      Subpart A_General Provisions

Sec.
630.101 Responsibility for administration.

 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 Credit for prior work experience and experience in a uniformed 
          service for determining annual leave accrual rate.
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 accrual and accumulation--Senior Executive Service, 
          Senior-Level, and Scientific and Professional Employees.
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 whose work is essential 
          to respond to certain national emergencies.

                          Subpart D_Sick Leave

630.401 Granting sick leave.
630.402 Advanced sick leave.
630.403 Substitution of sick leave for unpaid family and medical leave 
          to care for a covered servicemember.
630.404 Requesting sick leave.
630.405 Supporting evidence for the use of sick leave.
630.406 Use of sick leave during annual leave.
630.407 Sick leave used in the computation of an annuity.
630.408 Records on the use of sick leave.

                       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.

[[Page 835]]

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.
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 Donations from a leave bank to an emergency leave transfer 
          program.
630.1105 Application to become an emergency leave recipient.
630.1106 Agency review of an application to become an emergency leave 
          recipient.
630.1107 Notification of approval or disapproval of an application to 
          become an emergency leave recipient.
630.1108 Use of available paid leave.
630.1109 Donating annual leave.
630.1110 Limitation on the amount of annual leave donated by an 
          emergency leave donor.
630.1111 Limitation on the amount of donated annual leave received by an 
          emergency leave recipient.
630.1112 Transferring donated annual leave between agencies.
630.1113 Using donated annual leave.
630.1114 Accrual of leave while using donated annual leave.
630.1115 Limitations on the use of donated annual leave.
630.1116 Termination of a disaster or emergency.
630.1117 Procedures for returning unused donated annual leave to 
          emergency leave donors and leave banks.
630.1118 Protection against coercion.

                   Subpart L_Family and Medical Leave

630.1201 Purpose, applicability, and agency responsibilities.
630.1202 Definitions.
630.1203 Leave entitlement.
630.1204 Qualifying exigency leave.
630.1205 Intermittent leave or reduced leave schedule.
630.1206 Substitution of paid leave.
630.1207 Notice of leave.
630.1208 Medical certification.
630.1209 Certification for leave taken because of a qualifying exigency.
630.1210 Protection of employment and benefits.
630.1211 Health benefits.
630.1212 Greater leave entitlements.
630.1213 Records and reports.

                    Subpart M_Disabled Veteran Leave

630.1301 Purpose and authority.
630.1302 Applicability.
630.1303 Definitions.
630.1304 Eligibility.
630.1305 Crediting disabled veteran leave.
630.1306 Requesting and using disabled veteran leave.
630.1307 Medical certification.
630.1308 Disabled veteran leave forfeiture, transfer, reinstatement.

Subparts N and O [Reserved]

                   Subpart P_Weather and Safety Leave

630.1601 Purpose and applicability.
630.1602 Definitions.
630.1603 Authorization.
630.1604 OPM and agency responsibilities.
630.1605 Telework and emergency employees.
630.1606 Administration of weather and safety leave.
630.1607 Records and reporting.

                      Subpart Q_Paid Parental Leave

630.1701 Purpose, applicability, and agency responsibilities.
630.1702 Definitions.
630.1703 Leave entitlement.
630.1704 Pay during leave.
630.1705 Work obligation.
630.1706 Cases of employee incapacitation.
630.1707 Cases of multiple children born or placed in the same time 
          period.
630.1708 Records and reports.

    Authority: 5 U.S.C. chapter 63 as follows: Subparts A through E 
issued under 5 U.S.C. 6133(a) (read with 5 U.S.C. 6129), 6303(e) and 
(f), 6304(d)(2), 6306(b), 6308(a), and 6311; subpart F issued under 5 
U.S.C. 6305(a) and 6311 and E.O. 11228, 30 FR 7739, 3 CFR, 1974 Comp., 
p. 163; subpart G issued under 5 U.S.C. 6305(c) and 6311; subpart H 
issued under 5 U.S.C. 6133(a) (read with 5 U.S.C. 6129) and 6326(b); 
subpart I issued under 5 U.S.C. 6332, 6334(c), 6336(a)(1) and (d), and 
6340; subpart J issued under 5 U.S.C. 6340, 6363, 6365(d), 6367(e), and 
6373(a); subpart K issued under 5 U.S.C. 6391(g); subpart L issued under 
5 U.S.C. 6383(f) and 6387; subpart M issued under sec. 2(d), Pub. L. 
114-75, 129 Stat. 641 (5 U.S.C. 6329 note); subpart P issued under 5 
U.S.C. 6329c(d); and subpart Q issued under 5 U.S.C. 6387.

[[Page 836]]


    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.
    Agency means an Executive agency, as defined in 5 U.S.C. 105, and 
any other entity of the Federal Government that employs officers and 
employees to whom subchapter I of chapter 63 of title 5, United States 
Code, applies.
    Committed relationship means one in which the employee, and the 
domestic partner of the employee, are each other's sole domestic partner 
(and are not married to or domestic partners with anyone else); and 
share responsibility for a significant measure of each other's common 
welfare and financial obligations. This includes, but is not limited to, 
any relationship between two individuals of the same or opposite sex 
that is granted legal recognition by a State or by the District of 
Columbia as a marriage or analogous relationship (including, but not 
limited to, a civil union).
    Domestic partner means an adult in a committed relationship with 
another adult, including both same-sex and opposite-sex relationships.
    Employee means an employee to whom subchapter I of chapter 63 of 
title 5, United States Code, applies.
    Family member means an individual with any of the following 
relationships to the employee:
    (1) Spouse, and parents thereof;
    (2) Sons and daughters, and spouses thereof;
    (3) Parents, and spouses thereof;
    (4) Brothers and sisters, and spouses thereof;
    (5) Grandparents and grandchildren, and spouses thereof;
    (6) Domestic partner and parents thereof, including domestic 
partners of any individual in paragraphs (2) through (5) of this 
definition; and
    (7) 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.
    Parent means--
    (1) A biological, adoptive, step, or foster parent of the employee, 
or a person who was a foster parent of the employee when the employee 
was a minor;
    (2) A person who is the legal guardian of the employee or was the 
legal guardian of the employee when the employee was a minor or required 
a legal guardian;
    (3) A person who stands in loco parentis to the employee or stood in 
loco parentis to the employee when the

[[Page 837]]

employee was a minor or required someone to stand in loco parentis; or
    (4) A parent, as described in paragraphs (1) through (3) of this 
definition, of an employee's spouse or domestic partner.
    Serious health condition has the meaning given that term in Sec.  
630.1202.
    Son or daughter means--
    (1) A biological, adopted, step, or foster son or daughter of the 
employee;
    (2) A person who is a legal ward or was a legal ward of the employee 
when that individual was a minor or required a legal guardian;
    (3) A person for whom the employee stands in loco parentis or stood 
in loco parentis when that individual was a minor or required someone to 
stand in loco parentis; or
    (4) A son or daughter, as described in paragraphs (1) through (3) of 
this definition, of an employee's spouse or domestic partner.
    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; 71 FR 54570, Sept. 18, 2006; 75 FR 33495, June 
14, 2010]



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  Credit for prior work experience and experience in
a uniformed service for determining annual leave accrual rate.

    (a) The head of an agency or his or her designee may, at his or her 
sole discretion, provide credit for service that otherwise would not be 
creditable under 5 U.S.C. 6303(a) for the purpose of determining the 
annual leave accrual rate of an individual receiving his or her first 
appointment (regardless of tenure) as a civilian employee of the Federal 
Government or an employee who is reappointed following a break in 
service of at least 90 calendar days after his or her last period of 
civilian Federal employment. The head of the agency or his or her 
designee must determine that the skills and experience the employee 
possesses are--
    (1) Essential to the new position and were acquired through 
performance in a prior position having duties that directly relate to 
the duties of the position to which he or she is being appointed; and
    (2) Necessary to achieve an important agency mission or performance 
goal.
    (b) Notwithstanding 5 U.S.C. 6303(a), the head of an agency or his 
or her designee may, at his or her sole discretion, provide credit for 
active duty uniformed service that otherwise would not be creditable 
under 5 U.S.C. 6303(a) for the purpose of determining the annual leave 
accrual rate of an employee who is a retired member of a uniformed 
service as defined by 38 U.S.C. 4303. The

[[Page 838]]

head of the agency or his or her designee must determine that the skills 
and experience the employee possesses are--
    (1) Essential to the new position and were acquired through 
performance in a position in the uniformed services having duties that 
directly relate to the duties of the position to which he or she is 
being appointed; and
    (2) Necessary to achieve an important agency mission or performance 
goal.
    (c) When the head of an agency or his or her designee makes a 
determination to provide service credit for prior work experience or 
active duty in the uniformed services under paragraph (a) or (b) of this 
section, he or she must determine the amount of service that will be 
credited. The amount of service credited may not exceed the actual 
amount of service during which the employee performed duties directly 
related to the position to which the employee is being appointed.
    (d) An employee must provide written documentation, acceptable to 
the agency, of his or her prior work experience. An employee must 
provide written documentation from the military, acceptable to the 
agency, of his or her uniformed service. The head of an agency or his or 
her designee must make the determination to approve an employee's 
qualifying prior work experience before the employee enters on duty.
    (e) The agency must establish documentation and recordkeeping 
procedures sufficient to allow reconstruction of each action.
    (f)(1) Credit for prior work experience or experience in a uniformed 
service under paragraphs (a) and (b) of this section is granted to the 
employee upon the effective date of his or her initial appointment to 
the agency or reappointment after a 90-day break in service and remains 
creditable for annual leave accrual purposes thereafter unless the 
employee fails to complete 1 full year of continuous service with the 
appointing agency.
    (2) If an employee is placed in a leave without pay status during 
the 1-year period of continuous service required by paragraph (f)(1) of 
this section, the 1-year period of continuous service must be extended 
by the amount of time in a leave without pay unless--
    (i) The employee separates or is placed in a leave without pay 
status to perform service in the uniformed services (as defined in 38 
U.S.C. 4303 and 5 CFR 353.102) and later returns to civilian service 
through the exercise of a reemployment right provided by law, Executive 
order, or regulation; or
    (ii) The employee separates or is placed in a leave without pay 
status because of an on-the-job injury with entitlement to injury 
compensation under 5 U.S.C. chapter 81 and later recovers sufficiently 
to return to work.
    (g) If an employee separates from Federal service or transfers to 
another agency before completing 1 full year of continuous service with 
the appointing agency--
    (1) Any credit under paragraph (a) or (b) of this section must be 
subtracted from the employee's total creditable service before the 
employee transfers or separates, and the agency must establish a new 
service computation date for leave accrual purposes under 5 U.S.C. 
6303(a);
    (2) Any annual leave accrued or accumulated by an employee as a 
result of receiving credit for service under paragraph (a) or (b) of 
this section remains to the credit of the employee; and
    (3) The agency must--
    (i) Transfer the annual leave balance to the new employing agency 
under 5 CFR 630.501 if the employee is transferring to a position to 
which annual leave may be transferred; or
    (ii) Make a lump-sum payment under 5 CFR 550.1205 for any unused 
annual leave if the employee is separating from Federal service or 
moving to a position to which annual leave cannot be transferred.

[70 FR 22246, Apr. 29, 2005, as amended at 71 FR 54570, Sept. 18, 2006]



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

[[Page 839]]

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 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 accrues) 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.

[[Page 840]]

    (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.
    (d) In applying Sec.  550.805(g) of this chapter, and Sec. Sec.  
630.306(b), and 630.310(d), the referenced number of hours for full-time 
employees (416 hours and 208 hours) shall be proportionally adjusted 
based on the percentage amount by which the number of hours in the 
uncommon tour of duty exceeds the number of hours in a regular full-time 
tour of duty. For example, if the uncommon tour of duty consists of 120 
hours in a biweekly pay period instead of the 80 hours for a regular 
full-time employee, the percentage adjustment would be 50 percent [(120/
80) - 1]; accordingly, 416 hours would be converted to 624 hours and 208 
hours would be converted to 312 hours.

[59 FR 66635, Dec. 28, 1994, as amended at 63 FR 64595, Nov. 23, 1998; 
67 FR 15467, Apr. 2, 2002; 85 FR 48101, Aug. 10, 2020]



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 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.

[[Page 841]]

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]



                         Subpart C_Annual Leave



Sec.  630.301  Annual leave accrual and accumulation--Senior 
Executive Service, Senior-Level, and Scientific and 
Professional Employees.

    (a) Annual leave accrues at the rate of 1 day (8 hours) for each 
full biweekly pay period for an employee who is covered by 5 U.S.C. 
6301, who is employed for the full pay period, and who--
    (1) Holds a position in the Senior Executive Service (SES) which is 
subject to 5 U.S.C. 5383; or
    (2) Holds a senior-level (SL) or scientific or professional (ST) 
position which is subject to 5 U.S.C. 5376.
    (b) The head of an agency may request that OPM authorize an annual 
leave accrual rate of 1 full day (8 hours) for each biweekly pay period 
for additional categories of employees who are covered by 5 U.S.C. 6301 
and who hold positions that are determined by OPM to be equivalent to 
positions subject to the pay systems under 5 U.S.C. 5383 or 5376. Such a 
request must include documentation that the affected pay system is 
equivalent to the SES or SL/ST pay system because it meets all three of 
the following conditions:
    (1) Pay rates are established under an administratively determined 
(AD) pay system that was created under a separate statutory authority. 
If an AD position has a single rate of pay established under an 
authority outside of 5 U.S.C. chapters 51 and 53, that single rate 
(excluding locality pay) must be higher than the rate for GS-15, step 10 
(excluding locality pay). If an AD position is paid within a rate range 
established under an authority outside of 5 U.S.C. chapters 51 and 53, 
the minimum rate of the rate range (excluding locality pay) must be at 
least equal to the minimum rate for the SES and SL/ST pay systems (120 
percent of the rate for GS-15, step 1, excluding locality pay), and the 
maximum rate of the rate range (excluding locality pay) must be at least 
equal to the rate for level IV of the Executive Schedule;
    (2) Covered positions are equivalent to a ``Senior Executive Service 
position'' as defined in 5 U.S.C. 3132(a)(2), a senior-level position 
(i.e., a non-executive position that is classified above GS-15, such as 
a high-level special assistant or a senior attorney in a highly-
specialized field who is not a manager, supervisor, or policy advisor), 
or a scientific or professional position as described in 5 U.S.C. 3104; 
and
    (3) Covered positions are subject to a performance appraisal system 
established under 5 U.S.C. chapter 43 and 5 CFR part 430, subparts B and 
C, or other applicable legal authority, for planning, monitoring, 
developing, evaluating, and rewarding employee performance.

[[Page 842]]

    (c) If OPM approves an agency's request to cover additional 
categories of employees, the higher annual leave accrual rate will 
become effective for the pay period during which OPM approves the 
agency's request. Agencies must credit annual leave at the 8-hour 
accrual rate for affected employees who are employed for the full pay 
period.
    (d) An employee who moves to a position not covered by this section 
will no longer be entitled to the higher annual leave accrual rate 
established under paragraph (a) or (b) of this section, except as 
provided in 5 U.S.C. 6303(a). Upon movement to a noncovered position, an 
employee's annual leave accrual rate must be determined based on his or 
her years of creditable service, as provided in 5 U.S.C. 6303(a).
    (e) Unused annual leave accrued by an employee while serving in a 
position subject to one of the pay systems under 5 U.S.C. 5383 (Senior 
Executive Service) or 5 U.S.C. 5376 (Senior-Level and Scientific or 
Professional) or 10 U.S.C. 1607(a) (Intelligence Senior Level), 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.
    (f) When an employee in a position outside of those listed in 
paragraph (e) of this section moves to a position covered by paragraph 
(e) of this section, any annual leave accumulated prior to movement 
shall remain to the employee's credit.
    (1) Annual leave accumulated prior to movement to a position covered 
by paragraph (e) of this section 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 in a position 
listed in paragraph (e) of this section, only that portion of accrued 
annual leave that is attributable to service in such a position shall be 
subject to the 90-day (720-hour) limitation on accumulation of annual 
leave. 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.
    (g) When an employee covered by paragraph (e) of this section moves 
to a position not covered by paragraph (e) of this section, any annual 
leave accumulated while serving in the former position that is in excess 
of the amount allowed for the position by 5 U.S.C. 6304(a), (b), or (c) 
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).
    (h) 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.
    (i) Agencies shall notify affected employees and maintain records on 
the accumulated annual leave credited to each employee under paragraph 
(h) of this section and on any reductions in the credited annual leave 
made under 5 U.S.C. 6304(c). If the employee transfers

[[Page 843]]

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; 
70 FR 13344, 13345, Mar. 21, 2005; 71 FR 61634, Oct. 19, 2006; 73 FR 
18943, Apr. 8, 2008]



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

[[Page 844]]

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 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, Sec.  630.310(d), 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, as amended at85 FR 48101, Aug. 10, 2020 ]



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 Sec.  
630.310, 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

[[Page 845]]

(a) of this section if coverage under 6304(d)(3) terminated during the 
leave year and the employee was unable to 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; 85 FR 48101, Aug. 
10, 2020]



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 whose work 
is essential to respond to certain national emergencies.

    (a)(1) The Director of OPM may deem a specific national emergency 
declared by the President under the National Emergencies Act (50 U.S.C. 
1601, et seq.) to be an exigency of the public business for the purpose 
of restoring forfeited annual leave under 5 U.S.C. 6304(d)(1)(B) and 
will notify agencies in writing when this decision is made.
    (2) The head of each agency is responsible for the proper 
administration of this authority. All heads of agencies are required to 
establish and periodically update (as necessary) procedures to 
administer this authority so that these policies are in place and 
immediately available for use any time the Director of OPM notifies 
agencies of a determination under paragraph (a)(1) of this section.
    (b)(1) Once the Director of OPM has issued a notification to 
agencies under paragraph (a)(1), the head of each agency (or designee) 
must, in his or her sole and exclusive discretion, do the following:
    (i) Make determinations identifying the specific employees or groups 
of employees who are performing services that are essential in 
responding to the national emergency designated as an exigency of the 
public business and who are thus qualified for coverage under this 
section; and
    (ii) Inform covered employees in writing of any such determination 
and its application to them.
    (2) A determination under paragraph (b)(1)(i) of this section may 
not be made by any official whose leave would be affected by the 
determination.
    (c) For any employee determined under paragraph (b) of this section 
to be covered under this section who forfeits annual leave under 5 
U.S.C. 6304(d)(1)(B) at the beginning of a leave year, 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.
    (d) With respect to annual leave forfeited under paragraph (c) of 
this section, the annual leave must be restored under 5 U.S.C. 
6304(d)(1)(B) subject to the following time limits:
    (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 fixed by the agency head (or designee) under paragraph 
(f)(2) of this section as the termination date of the exigency of the 
public business. The agency must extend this period by 1 leave year for 
each additional 208 hours of excess annual leave or any portion thereof.

    Note 1 to paragraph (d)(1): For an employee on an uncommon tour of 
duty, the conversion rules in Sec.  630.210(d) regarding the referenced 
number of hours for full-time employees (416 hours and 208 hours) must 
be applied.

    (2) A part-time employee must schedule and use excess annual leave 
in an amount equal to or less than 20 percent

[[Page 846]]

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 fixed by 
the agency head (or designee) under paragraph (f)(2) of this section as 
the termination date of the exigency of the public business. 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.
    (e) The time limits established under paragraphs (d)(1) and (d)(2) 
of this section for using restored annual leave accounts shall not apply 
for the entire period during which an employee's services are determined 
by the agency to be essential for the response to the national 
emergency. When coverage under paragraphs (b) and (c) of this section 
ends due to the termination date of the exigency of the public business 
fixed by the agency under paragraph (f)(2), a new time limit will be 
established under paragraph (d) of this section for all annual leave 
restored to an employee under 5 U.S.C. 6304(d).
    (f)(1) The agency head (or designee) must continually monitor the 
agency response to the national emergency and determine whether the 
services of individual employees or groups of employees continue to be 
essential for the response to the emergency such that annual leave may 
not be scheduled according to the normal procedures described in Sec.  
630.308(a).
    (2) The agency head (or designee) must fix a date as the termination 
date of the exigency of the public business for each employee or group 
of employees as provided in this paragraph. The exigency of the public 
business as it affects an individual employee or group of employees must 
be terminated on the date one of the following events occurs, whichever 
is earliest:
    (i) When the President declares an end to the national emergency;
    (ii) When the Director of OPM deems the national emergency to no 
longer be an exigency of the public business for purposes of this 
authority;
    (iii) When the agency head (or designee), in his or her sole and 
exclusive discretion, determines that the services of an employee or 
group of employees are no longer essential to the response to the 
national emergency or that such employees are able to follow the normal 
leave scheduling procedures in Sec.  630.308(a);
    (iv) On the day that is 12 months after the national emergency has 
been declared, an agency head (or designee), in his or her sole and 
exclusive discretion, may extend this deadline annually by an additional 
12 months; under no circumstances may an agency grant more than two 12-
month extensions under this paragraph in connection with any national 
emergency (however, Sec.  630.309 may apply in the case of an extended 
exigency); or
    (v) When an employee whose services were determined to be essential 
during the national emergency moves to a position not involving services 
determined by the agency to be essential to the response to the national 
emergency.
    (3) The agency head (or designee) must inform both the affected 
employees and the agency payroll provider in writing of the termination 
date as determined in paragraph (f)(2) of this section.
    (g) When the agency head (or designee) fixes a termination date of 
the exigency of the public business under paragraph (f)(2) of this 
section, each affected employee must make a reasonable effort to comply 
with the scheduling requirement in Sec.  630.308(a). The head of the 
agency (or designee), in his or her sole and exclusive discretion, may 
exempt such an employee or group of employees from the advanced 
scheduling requirement in Sec.  630.308(a) for the remainder of the 
leave year if coverage under paragraphs (a) and (b) of this section 
terminates during that leave year and if the agency head (or designee) 
determines such exemption is warranted. The agency head (or designee) 
must notify any employee exempted from the scheduling requirement in 
writing.
    (h)(1) Upon termination of an exigency established under paragraphs 
(a) and (b) of this section based on the ending of the exigency under 
paragraphs (f)(2)(i), (ii), or (iv) of this section, an agency head (or 
designee) may determine that certain agency employees continue to be 
subject to an ongoing

[[Page 847]]

exigency of the public business. An ongoing exigency of the public 
business is an exigency that commences immediately after the termination 
of a national emergency exigency and is directly related to the matter 
that was previously determined to be a national emergency exigency. In 
order for an employee to be covered under an ongoing exigency, the 
employee must first be covered by a national emergency exigency and then 
be covered by the ongoing exigency without a break in time.
    (2) For the entire period during which an employee is covered by 
such an ongoing exigency, the employee will not be subject to time 
limits on usage of any restored leave to the employee's credit under 5 
U.S.C. 6304(d), including a time limit established under paragraph (d) 
of this section that is determined based on the termination of the 
national emergency exigency. When the ongoing exigency ends, all 
restored annual leave under 5 U.S.C. 6304(d) to the employee's credit 
must be consolidated at that time and made subject to a single time 
limit that is determined under the rules in paragraph (d) of this 
section, using the termination date of the ongoing exigency in place of 
the termination date of the national emergency exigency.
    (3) For the entire period during which an employee is covered by 
such an ongoing exigency, the employee will not be subject to the 
advance scheduling requirements in Sec.  630.308(a). An agency head (or 
designee), in his or her sole and exclusive discretion, may exempt an 
employee or group of employees from the advanced scheduling requirement 
in Sec.  630.308(a) for the remainder of the leave year if coverage 
under the ongoing exigency terminates during that leave year and if the 
agency head (or designee) determines such exemption is warranted. The 
agency head (or designee) must notify any employee exempted from the 
scheduling requirement in writing.
    (4) Employee coverage under such an ongoing exigency may not be 
continued for more than 12 months unless the agency head (or designee) 
requests, and the Director of OPM approves, one or more time-limited 
waivers based on a critical agency need for the services of the employee 
or group of employees.
    (5) Notwithstanding paragraph (h)(2) of this section, if an ongoing 
exigency (which excludes time covered by the preceding national 
emergency exigency) also qualifies as an extended exigency under Sec.  
630.309, the time limit for use of the restored leave under paragraph 
(a) of that section must be applied to the consolidated restored leave.
    (i) Notwithstanding paragraph (f)(2)(iv), an agency extension 
granted through March 13, 2023, under that paragraph for an exigency 
established under this section based on the COVID-19 national emergency 
declared on March 13, 2020, must be deemed to continue through the date 
that the President ends that national emergency.

[85 FR 48101, Aug. 10, 2020, as amended at 88 FR 15599, Mar. 14, 2023]



                          Subpart D_Sick Leave

    Source: 71 FR 47695, Aug. 17, 2006, unless otherwise noted.



Sec.  630.401  Granting sick leave.

    (a) Subject to paragraphs (b) through (e) of this section, an agency 
must grant sick leave to an employee when he or she--
    (1) Receives medical, dental, or optical examination or treatment;
    (2) Is incapacitated for the performance of his or her duties by 
physical or mental illness, injury, pregnancy, or childbirth;
    (3) Provides care for a family member--
    (i) Who is incapacitated by a medical or mental condition or attends 
to a family member receiving medical, dental, or optical examination or 
treatment;
    (ii) With a serious health condition; or
    (iii) Who would, as determined by the health authorities having 
jurisdiction or by a health care provider, jeopardize the health of 
others by that family member's presence in the community because of 
exposure to a communicable disease;

[[Page 848]]

    (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 his or her 
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), (a)(3)(iii), 
and (a)(4) of this section may not exceed a total of 104 hours (or, for 
a part-time employee or an employee with an uncommon tour of duty, the 
number of hours of sick leave he or she normally accrues during a leave 
year).
    (c) The amount of sick leave granted to an employee during any leave 
year for the purposes described in paragraph (a)(3)(ii) of this section 
may not exceed a total of 480 hours (or, for 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), subject to the limitation found in paragraph (d) of 
this section.
    (d) If, at the time an employee uses sick leave to care for a family 
member with a serious health condition under paragraph (c) 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) of this section to determine the total amount of 
sick leave the employee may use during the remainder of the leave year 
to care for a family member with a serious health condition. If an 
employee has previously used the maximum amount of sick leave permitted 
under paragraph (c) of this section in a leave year, he or she is not 
entitled to use additional sick leave under paragraph (b) of this 
section.
    (e) If the number of hours in the employee's tour of duty is changed 
during the leave year, his or her entitlement to use sick leave for the 
purposes described in paragraphs (a)(3) and (4) of this section must be 
recalculated based on the new tour of duty.

[71 FR 47695, Aug. 17, 2006, as amended at 75 FR 75372, Dec. 3, 2010]



Sec.  630.402  Advanced sick leave.

    (a) At the beginning of a leave year or at any time thereafter when 
required by the exigencies of the situation, an agency may grant 
advanced sick leave in the amount of:
    (1) Up to 240 hours to a full-time employee--
    (i) Who is incapacitated for the performance of his or her duties by 
physical or mental illness, injury, pregnancy, or childbirth;
    (ii) For a serious health condition of the employee or a family 
member;
    (iii) When the employee 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;
    (iv) For purposes relating to the adoption of a child; or
    (v) For the care of a covered servicemember with a serious injury or 
illness, provided the employee is exercising his or her entitlement 
under 5 U.S.C. 6382(a)(3).
    (2) Up to 104 hours to a full-time employee--
    (i) When he or she receives medical, dental or optical examination 
or treatment;
    (ii) To provide care for a family member who is incapacitated by a 
medical or mental condition or to attend to a family member receiving 
medical, dental, or optical examination or treatment;
    (iii) To provide care for a family member who would, as determined 
by the health authorities having jurisdiction or by a health care 
provider, jeopardize the health of others by that family member's 
presence in the community because of exposure to a communicable disease; 
or

[[Page 849]]

    (iv) To make arrangements necessitated by the death of a family 
member or to attend the funeral of a family member.
    (b) Two hundred forty hours is the maximum amount of advanced sick 
leave an employee may have to his or her credit at any one time. For a 
part-time employee (or an employee on an uncommon tour of duty), the 
maximum amount of sick leave an agency may advance must be prorated 
according to the number of hours in the employee's regularly scheduled 
administrative workweek.

[75 FR 75373, Dec. 3, 2010]



Sec.  630.403  Substitution of sick leave for unpaid family 
and medical leave to care for a covered servicemember.

    The amount of accumulated and accrued sick leave an employee may 
substitute for unpaid family and medical leave under 5 U.S.C. 6382(a)(3) 
for leave to care for a covered servicemember may not exceed a total of 
26 administrative workweeks in a single 12-month period (or, for a part-
time employee or an employee with an uncommon tour of duty, an amount of 
sick leave equal to 26 times the average number of hours in his or her 
scheduled tour of duty each week).

[75 FR 75373, Dec. 3, 2010]



Sec.  630.404  Requesting sick leave.

    An employee must file an application--written, oral, or electronic, 
as required by the agency--for sick leave within such time limits as the 
agency may require. The employee must request advance approval for sick 
leave for the purpose 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).

[71 FR 47695, Aug. 17, 2006. Redesignated at 75 FR 75373, Dec. 3, 2010]



Sec.  630.405  Supporting evidence for the use of sick leave.

    (a) An agency may grant sick leave only when the need for sick leave 
is supported by administratively acceptable evidence. An agency may 
consider an employee's self-certification as to the reason for his or 
her absence as administratively acceptable evidence, regardless of the 
duration of the absence. An 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) for an absence in excess of 3 workdays, or for a lesser 
period when the agency determines it is necessary.
    (b) An employee must provide administratively acceptable evidence or 
medical certification for a request for sick leave 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 evidence or medical certification 
within 15 calendar days after the date requested by the agency despite 
the employee's diligent, good faith efforts, the employee must provide 
the evidence or 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 documentation. 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.

[71 FR 47695, Aug. 17, 2006. Redesignated at 75 FR 75373, Dec. 3, 2010]



Sec.  630.406  Use of sick leave during annual leave.

    Subject to Sec.  630.401(b) through (e), an agency may grant sick 
leave to an employee during a period of annual leave

[[Page 850]]

for any of the purposes described in Sec.  630.401(a).

[71 FR 47695, Aug. 17, 2006. Redesignated at 75 FR 75373, Dec. 3, 2010]



Sec.  630.407  Sick leave used in the computation of an annuity.

    Sick leave used in the computation of an annuity is charged against 
an employee's sick leave account and may not thereafter be used, 
transferred, or recredited. All sick leave to the credit of an employee 
as of the date of his or her retirement (or death) and reported to OPM 
for credit towards the calculation of an annuity is considered used.

[71 FR 47695, Aug. 17, 2006. Redesignated at 75 FR 75373, Dec. 3, 2010]



Sec.  630.408  Records on the use of sick leave.

    An agency must maintain records of the amount of sick leave used by 
an employee for family care purposes and to make arrangements for or 
attend the funeral of a family member under Sec.  630.401(a)(3) and (4). 
The records must be sufficient to ensure that an employee does not 
exceed the limitations in Sec.  630.401(b) and (c).

[71 FR 47695, Aug. 17, 2006. Redesignated at 75 FR 75373, Dec. 3, 2010]



                       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, and 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

[[Page 851]]

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.
    (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, as amended at 74 FR 10165, Mar. 10, 2009; 75 
FR 75373, Dec. 3, 2010]



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]

[[Page 852]]



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.



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.

[[Page 853]]



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 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.

[[Page 854]]

    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 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)

[[Page 855]]

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.



                         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.
    Committed relationship means one in which the employee, and the 
domestic partner of the employee, are each other's sole domestic partner 
(and are not married to or domestic partners with anyone else); and 
share responsibility for a significant measure of each other's common 
welfare and financial obligations. This includes, but is not limited to, 
any relationship between two individuals of the same or opposite sex 
that is granted legal recognition by a State or by the District of 
Columbia as a marriage or analogous relationship (including, but not 
limited to, a civil union).
    Domestic partner means an adult in a committed relationship with 
another adult, including both same-sex and opposite-sex relationships.
    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 an individual with any of the following 
relationships to the employee:
    (1) Spouse, and parents thereof;
    (2) Sons and daughters, and spouses thereof;
    (3) Parents, and spouses thereof;
    (4) Brothers and sisters, and spouses thereof;
    (5) Grandparents and grandchildren, and spouses thereof;
    (6) Domestic partner and parents thereof, including domestic 
partners of any individual in paragraphs (2) through (5) of this 
definition; and
    (7) Any individual related by blood or affinity whose close 
association with the employee is the equivalent of a family 
relationship.
    Parent means--
    (1) A biological, adoptive, step, or foster parent of the employee, 
or a person who was a foster parent of the employee when the employee 
was a minor;
    (2) A person who is the legal guardian of the employee or was the 
legal guardian of the employee when the employee was a minor or required 
a legal guardian; or
    (3) A person who stands in loco parentis to the employee or stood in 
loco parentis to the employee when the employee was a minor or required 
someone to stand in loco parentis.
    (4) A parent, as described in paragraphs (1) through (3) of this 
definition, of an employee's spouse or domestic partner.
    Son or daughter means--
    (1) A biological, adopted, step, or foster son or daughter of the 
employee;
    (2) A person who is a legal ward or was a legal ward of the employee 
when that individual was a minor or required a legal guardian;

[[Page 856]]

    (3) A person for whom the employee stands in loco parentis or stood 
in loco parentis when that individual was a minor or required someone to 
stand in loco parentis; or
    (4) A son or daughter, as described in paragraphs (1) through (3) of 
this definition, of an employee's spouse or domestic partner.

[34 FR 13655, Aug. 26, 1969, as amended at 60 FR 67287, Dec. 29, 1995; 
75 FR 33496, June 14, 2010]



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
    (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).
    Committed relationship means one in which the employee, and the 
domestic partner of the employee, are each other's sole domestic partner 
(and are not married to or domestic partners with anyone else); and 
share responsibility for a significant measure of each other's common 
welfare and financial obligations. This includes, but is not limited to, 
any relationship between two individuals of the same or opposite sex 
that is granted legal recognition by a State or by the District of 
Columbia as a marriage or analogous relationship (including, but not 
limited to, a civil union).
    Domestic partner means an adult in a committed relationship with 
another

[[Page 857]]

adult, including both same-sex and opposite-sex relationships.
    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 an individual with any of the following 
relationships to the employee:
    (1) Spouse, and parents thereof;
    (2) Sons and daughters, and spouses thereof;
    (3) Parents, and spouses thereof;
    (4) Brothers and sisters, and spouses thereof;
    (5) Grandparents and grandchildren, and spouses thereof;
    (6) Domestic partner and parents thereof, including domestic 
partners of any individual in paragraphs (2) through (5) of this 
definition; and
    (7) 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.
    Parent means--
    (1) A biological, adoptive, step, or foster parent of the employee, 
or a person who was a foster parent of the employee when the employee 
was a minor;
    (2) A person who is the legal guardian of the employee or was the 
legal guardian of the employee when the employee was a minor or required 
a legal guardian; or
    (3) A person who stands in loco parentis to the employee or stood in 
loco parentis to the employee when the employee was a minor or required 
someone to stand in loco parentis.
    (4) A parent, as described in paragraphs (1) through (3) of this 
definition, of an employee's spouse or domestic partner.
    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.
    Son or daughter means--
    (1) A biological, adopted, step, or foster son or daughter of the 
employee;
    (2) A person who is a legal ward or was a legal ward of the employee 
when that individual was a minor or required a legal guardian;
    (3) A person for whom the employee stands in loco parentis or stood 
in loco parentis when that individual was a minor or required someone to 
stand in loco parentis; or
    (4) A son or daughter, as described in paragraphs (1) through (3) of 
this definition, of an employee's spouse or domestic partner.

[59 FR 67125, Dec. 29, 1994, as amended at 75 FR 33496, June 14, 2010]



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;

[[Page 858]]

    (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.
    (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

[[Page 859]]

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 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

[[Page 860]]

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.  630.910(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

[[Page 861]]

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
    (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

[[Page 862]]

restore the unused transferred annual leave.
    (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;
    (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.

[[Page 863]]



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 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.
    Committed relationship has the meaning given that term in subpart I 
of this part.
    Domestic partner 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.
    Parent 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.
    Son or daughter has the meaning given that term in subpart I of this 
part.

[59 FR 67129, Dec. 29, 1994, as amended at 75 FR 33496, June 14, 2010]



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 
Sec. Sec.  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

[[Page 864]]

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 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

[[Page 865]]

    (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.
    (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

[[Page 866]]

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).
    (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).

[[Page 867]]

    (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.



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.

[[Page 868]]

    (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.



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 and 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

[[Page 869]]

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 
or part, until the beginning of the following leave year.



               Subpart K_Emergency Leave Transfer Program

    Source: 73 FR 65500, Nov. 4, 2008, 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 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--
    (1) An Executive agency; or
    (2) The Judicial branch.
    (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--
    (1) An ``Executive agency,'' as defined in 5 U.S.C. 105; or
    (2) A Judicial branch entity.
    Committed relationship has the meaning given that term in subpart I 
of this part.
    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).
    Domestic partner has the meaning given that term in subpart I of 
this part.
    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 recipient means a current employee for whom the 
employing agency has approved an application to receive annual leave 
under an emergency leave transfer program.
    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.
    Employee means--
    (1) An employee as defined in 5 U.S.C. 6331(1); or
    (2) An employee of a Judicial branch entity.
    Family member has the meaning given that term in Sec.  630.902.
    Leave year has the meaning given that term in Sec.  630.201.
    Parent has the meaning given that term in subpart I of this part.
    Son or daughter has the meaning given that term in subpart I of this 
part.

[[Page 870]]

    Transferred annual leave means donated annual leave credited to an 
approved emergency leave recipient's annual leave account.

[73 FR 65500, Nov. 4, 2008, as amended at 75 FR 33497, June 14, 2010]



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 agencies who are 
adversely affected by a disaster or emergency as defined in Sec.  
630.1102. In certain situations, OPM may delegate to an agency the 
authority to establish an emergency leave transfer program.
    (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 emergency leave donors and/or emergency leave recipients 
within the agency, as appropriate;
    (3) Facilitate the distribution of donated annual leave from 
approved emergency leave donors to approved emergency leave recipients 
within the agency; and
    (4) Determine the period of time for which donated annual leave may 
be accepted for distribution to approved emergency leave recipients.



Sec.  630.1104  Donations from a leave bank to an emergency 
leave transfer program.

    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 the leave bank board established under Sec.  630.1003, 
donate annual leave to an emergency leave transfer program administered 
by its own agency, or, during a Governmentwide transfer of emergency 
leave coordinated by OPM, to an emergency leave transfer program 
administered by another agency. Donated annual leave not used by an 
emergency leave recipient must be returned to the leave bank as provided 
in Sec.  630.1117.

[74 FR 10166, Mar. 10, 2009]



Sec.  630.1105  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 may make written 
application on behalf of the employee.
    (b) An employee who has a family member who has been adversely 
affected by a disaster or emergency also may 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 is considered to be 
adversely affected by a major disaster or emergency if the disaster or 
emergency has caused the employee, or a family member of the employee, 
severe hardship to such a degree that his or her absence from work is 
required.
    (d) The employee's application must be accompanied by the following 
information:
    (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; and
    (3) Any additional information that may be required by the potential 
leave recipient's employing agency.
    (e) An agency may determine a time period by which an employee must 
apply to become an emergency leave recipient after the occurrence of a 
disaster or emergency, as defined in Sec.  630.1102.

[[Page 871]]



Sec.  630.1106  Agency review of an application to become
an emergency leave recipient.

    An agency must review an application to become an emergency leave 
recipient under procedures the agency has established for the purpose of 
determining that a potential leave recipient is or has been affected by 
a disaster or emergency, as defined in Sec.  630.1102.



Sec.  630.1107  Notification of approval or disapproval of an 
application to become an emergency leave recipient.

    Once the employee's application to become an emergency leave 
recipient is either approved or disapproved, the agency must notify the 
employee (or his or her personal representative who made application on 
the employee's behalf) within 10 calendar days (excluding Saturdays, 
Sundays, and legal public holidays) after the date the application was 
received (or the date established by the agency, if that date is later). 
If disapproved, the agency must give the reason for its disapproval.



Sec.  630.1108  Use of available paid leave.

    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 and the recipient is eligible 
to be placed in a paid leave status using transferred annual leave.



Sec.  630.1109  Donating annual leave.

    An employee may voluntarily submit a written request to his or her 
agency that a specified number of hours of his or her accrued annual 
leave, consistent with the limitations in Sec.  630.1110, be transferred 
from his or her annual leave account to an emergency leave transfer 
program established under Sec.  630.1103. An emergency leave donor may 
not donate annual leave for transfer to a specific emergency leave 
recipient under this subpart. Donated annual leave not used by an 
emergency leave recipient must be returned to the emergency leave 
donor(s) and/or leave banks as provided in Sec.  630.1117.



Sec.  630.1110  Limitation on the amount of annual leave
donated by an emergency leave donor.

    (a) An emergency leave donor may not contribute less than 1 hour or 
more than 104 hours of annual leave in a leave year to an emergency 
leave transfer program. Each agency may establish written criteria for 
waiving the 104-hour limitation on donating annual leave in a leave 
year.
    (b) Annual leave donated to an emergency leave transfer program 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.



Sec.  630.1111  Limitation on the amount of donated annual 
leave received by an emergency leave recipient.

    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. After taking into consideration 
the amount of donated annual leave available to all approved emergency 
leave recipients and the needs of individual emergency leave recipients, 
an employing agency may allow an employee to receive additional 
disbursements of donated annual leave based on the employee's continuing 
need. Each disbursement of transferred annual leave may not exceed 240 
hours.



Sec.  630.1112  Transferring donated annual leave between agencies.

    (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 to obtain assistance in 
receiving donated annual leave from other agencies. The agency must 
notify OPM of the total amount of donated annual leave needed for 
transfer to the agency's 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

[[Page 872]]

accepted for transfer to affected agencies.
    (b) Each Federal agency OPM contacts for the purpose of providing 
donated annual leave to an agency in need must--
    (1) Approve emergency leave donors under the conditions specified in 
Sec. Sec.  630.1109 and 630.1110 and determine how much donated annual 
leave is available for transfer to an affected agency;
    (2) Maintain records on the amount of annual leave donated by each 
emergency leave donor to the emergency leave transfer program (for the 
purpose of restoring unused transferred annual leave under Sec.  
630.1117(b)).
    (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.
    (c) OPM will notify each affected agency of the aggregate amount of 
donated annual leave that will be credited to it for transfer 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 (c) of this section.



Sec.  630.1113  Using donated annual leave.

    (a) Any donated annual leave an emergency leave recipient receives 
from an emergency leave transfer program may be used only for purposes 
related to the disaster or emergency for which the emergency leave 
recipient was approved. Each agency is responsible for ensuring that 
annual leave donated under the emergency leave transfer program is used 
appropriately.
    (b) 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 advanced annual or sick leave used because of the 
adverse effects of the disaster or emergency. The agency may advance 
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.



Sec.  630.1114  Accrual of leave while using donated annual leave.

    While an emergency leave recipient is using donated annual leave 
from an emergency leave transfer program, annual and sick leave continue 
to accrue to the credit of the employee at the same rate as if he or she 
were in a paid leave status under 5 U.S.C. chapter 63, subchapter I, 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.



Sec.  630.1115  Limitations on the use of donated annual leave.

    Donated annual leave transferred to a leave recipient under this 
subpart may not be--
    (a) Included in a lump-sum payment under 5 U.S.C. 5551 or 5552;
    (b) Recredited to a former employee who is reemployed by a Federal 
agency; or
    (c) Used to establish initial eligibility for immediate retirement 
or acquire eligibility to continue health benefits into retirement under 
5 U.S.C. 6302(g).



Sec.  630.1116  Termination of a disaster or emergency.

    The disaster or emergency affecting the employee as an emergency 
leave recipient terminates at the earliest occurrence of the following 
conditions.
    (a) When the employing agency determines that the disaster or 
emergency has terminated;
    (b) When the employee's Federal service terminates;

[[Page 873]]

    (c) At the end of the biweekly pay period in which the employee, or 
his or her personal representative, notifies the emergency leave 
recipient's agency that he or she is no longer affected by such disaster 
or emergency;
    (d) At the end of the biweekly pay period in which the employee's 
agency determines, after giving the employee or his or her personal 
representative written notice and an opportunity to answer orally or in 
writing, that the employee is no longer affected by such disaster or 
emergency; or
    (e) At the end of the biweekly pay period in which the employee's 
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.



Sec.  630.1117  Procedures for returning unused donated annual
leave to emergency leave donors and leave banks.

    (a) When a disaster or emergency is terminated, any unused annual 
leave donated to the emergency leave transfer program must be returned 
by the employing agency to the emergency leave donors, and if annual 
leave was donated by any leave bank(s) it must be returned to the leave 
bank(s).
    (b) Each agency must determine the amount of annual leave to be 
restored to any leave bank and/or to each of the emergency leave donors 
who, on the date leave restoration is made, is employed in the Federal 
service. The amount of unused annual leave to be returned to each 
emergency leave donor and/or leave bank must be proportional to the 
amount of annual leave donated by the employee or the leave bank to the 
emergency leave transfer program for such disaster or emergency, and 
must be returned according to the procedures outlined in Sec.  
630.911(b). Any unused annual leave remaining after the distribution 
will be subject to forfeiture.
    (c) 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.
    (d) At the election of the emergency leave donor, the employee may 
choose to have the agency restore unused donated annual leave by 
crediting the restored annual leave to the emergency leave donor's 
annual leave account in either the current leave year or the first pay 
period of the following leave year.



Sec.  630.1118  Protection against coercion.

    (a) An employee may not directly or indirectly intimidate, threaten, 
or coerce, or attempt to intimidate, threaten, or coerce, any emergency 
leave donor or emergency leave recipient 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 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 agency responsibilities.

    (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. This subpart also provides 
the basis for determining the periods of unpaid leave for which paid 
parental leave may be substituted under subpart Q of this part, which 
must be read with this subpart to establish eligibility.

[[Page 874]]

    (b) Applicability. (1) Except as otherwise provided in paragraph 
(b)(2) of this section, this subpart applies to any employee who--
    (i)(A) Is defined as an ``employee'' under 5 U.S.C. 6301(2); or
    (B) Is an employee carrying out screening functions who is appointed 
under section 111(d) of Public Law 107-71 (49 U.S.C. 44935 note); and
    (ii) Has completed at least 12 months of service (excluding any 
service as an employee identified in paragraph (b)(2) of this section) 
at any time as--
    (A) An employee, as defined under 5 U.S.C. 6301(2);
    (B) An employee of the Veterans Health Administration appointed 
under title 38, United States Code, in occupations listed in 38 U.S.C. 
7421;
    (C) A ``teacher'' or an individual holding a ``teaching position,'' 
as defined in section 901 of title 20, United States Code;
    (D) An employee identified in section 2105(c) of title 5, United 
States Code, who is paid from nonappropriated funds;
    (E) An employee carrying out screening functions who is appointed 
under section 111(d) of Public Law 107-71 (49 U.S.C. 44935 note); or
    (F) An employee performing covered active duty (as defined in 5 
U.S.C. 6381(7)(B)) that interrupts civilian service due to a qualifying 
call or order for deployment to a foreign country as a member of the 
National Guard or Reserves, to the extent that such active duty is not 
already creditable service under paragraphs (A) through (E) of this 
paragraph (b)(1)(ii).
    (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 Homeland Security, as appropriate.
    (4) The regulations prescribed by the Secretary of Veterans Affairs, 
Secretary of Defense, or Secretary of Homeland Security 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) Agency responsibilities. The head of an agency having employees 
subject to this subpart is responsible for the proper administration of 
this subpart, including the responsibility of informing employees of 
their entitlements and obligations.

[58 FR 39602, July 23, 1993, as amended at 61 FR 64451, Dec. 5, 1996; 65 
FR 26486, May 8, 2000; 85 FR 48089, Aug. 10, 2020]



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 means the scheduled tour of duty within the 
workweek established by the agency for an employee under the definition 
of ``administrative workweek'' in 5 CFR 610.102.

[[Page 875]]

    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.
    Birth means the delivery of a living child. When the term ``birth'' 
is used in connection with the use of leave under this subpart before 
birth, it refers to an anticipated birth.
    Covered active duty or call to covered active duty status means--
    (1) In the case of a member of a regular component of the Armed 
Forces, duty during the deployment of the member with the Armed Forces 
to a foreign country under a call or order to active duty (or 
notification of an impending call or order to active duty); and
    (2) In the case of a member of a reserve component of the Armed 
Forces, duty during the deployment of the member with the Armed Forces 
to a foreign country under a call or order to active duty (or 
notification of an impending call or order to active duty) in support of 
a contingency operation pursuant to any of the following sections of 
title 10, United States Code, or any other provision of law during a war 
or during a national emergency declared by the President or Congress:
    (i) Section 688, which authorizes ordering to active duty retired 
members of the Regular Armed Forces and members of the Retired Reserve 
retired after 20 years for length of service, and members of the Fleet 
Reserve or Fleet Marine Corps Reserve;
    (ii) Section 12301(a), which authorizes ordering all reserve 
component members to active duty in the case of war or national 
emergency declared by Congress, or when otherwise authorized by law;
    (iii) Section 12302, which authorizes ordering any unit or 
unassigned member of the Ready Reserve to active duty in time of 
national emergency declared by the President after January 1, 1953, or 
when otherwise authorized by law;
    (iv) Section 12304, which authorizes ordering any unit or unassigned 
member of the Selected Reserve and certain members of the Individual 
Ready Reserve to active duty;
    (v) Section 12305, which authorizes the suspension of promotion, 
retirement, or separation rules for certain Reserve components;
    (vi) Section 12406, which authorizes calling the National Guard into 
Federal service in certain circumstances; or
    (vii) Chapter 15, which authorizes calling the National Guard and 
State militia into Federal service in the case of insurrections and 
national emergencies.
    Covered military member means the employee's spouse, son, daughter, 
or parent on covered active duty or call to covered active duty status.
    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 (or 26 administrative workweeks in the case of 
leave under Sec.  630.1203(j)) 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;

[[Page 876]]

    (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 approved absence from duty in a nonpay 
status during an employee's scheduled tour of duty.
    Parent means a biological, adoptive, step, or foster father or 
mother, or any individual who stands or stood in loco parentis to an 
employee meeting the definition of son or daughter below. This term does 
not include parents ``in law.''
    Placement means a new placement of a son or daughter with an 
employee for adoption or foster care. For example, this excludes the 
adoption of a stepchild or a foster child who has already been a member 
of the employee's household and has an existing parent-child 
relationship with an adopting parent. When the term ``placement'' is 
used in connection with the use of leave under this subpart before 
placement has occurred, it refers to a planned or anticipated placement.
    Reduced leave schedule means a daily or weekly work schedule under 
which the usual number of hours actually worked during the employee's 
scheduled tour of duty are reduced as a result of the increased use of 
leave.
    Scheduled tour of duty means the regular work hours in an 
established full-time or part-time work schedule during which an 
employee is charged leave or time off when absent. A seasonal employee 
is not considered to have such a tour during off-season periods when the 
employee is scheduled to be released from work and placed in full-time 
nonpay status.
    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--

[[Page 877]]

    (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 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,

[[Page 878]]

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).
    Son or daughter on covered active duty or call to covered active 
duty status means the employee's biological, adopted, or foster child, 
stepchild, legal ward, or a child for whom the employee stood in loco 
parentis, who is on covered active duty or call to covered active duty 
status, and who is of any age.
    Spouse, as defined in the statute, means a husband or wife. For 
purposes of this definition, husband or wife refers to the other person 
with whom an individual entered into marriage as defined or recognized 
under State law for purposes of marriage in the State where the marriage 
was entered into or, in the case of a marriage entered into outside of 
any State, if the marriage is valid in the place where entered into and 
could have been entered into in at least one State. This definition 
includes an individual in a same-sex or common law marriage that either:
    (1) Was entered into in a State that recognizes such marriages, or
    (2) If entered into outside of any State, is valid in the place 
where entered into and could have been entered into in at least one 
State.
    State means any State of the United States or the District of 
Columbia or any Territory or possession of the United States.
    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, Dec. 29, 1995; 
61 FR 64451, Dec. 5, 1996; 65 FR 37240, June 13, 2000; 76 FR 60704, 
Sept. 30, 2011; 81 FR 20524, Apr. 8, 2016; 85 FR 48089, Aug. 10, 2020]



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 and the care of such son or daughter.
    (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.
    (5) Any qualifying exigency arising out of the fact that the 
employee's spouse, son, daughter, or parent is a covered military member 
on covered active duty (or has been notified of an impending call or 
order to covered active duty) in the Armed Forces.
    (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 Sec. Sec.  
630.1207 and 630.1208. 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 5 
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 amount of family and medical leave that is 
necessary to manage the circumstances that prompted the need for

[[Page 879]]

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)(1) 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.
    (2)(i) Leave taken under paragraphs (a)(1) and (2) of this section, 
may begin prior to the actual date of birth or placement for adoption or 
foster care.
    (ii) Use of leave under paragraph (a)(1) of this section before the 
date of birth is limited to situations in which an employee is using the 
leave--
    (A) Because of the employee's serious health condition related to 
the anticipated event of the employee giving birth to a son or daughter; 
or
    (B) In order to care for the birth mother of the employee's expected 
son or daughter in connection with the birth mother's serious health 
condition related to pregnancy.
    (iii) Use of leave under paragraph (a)(2) before the date of 
placement is limited to situations in which the employee must be absent 
to engage in activities necessary to allow an anticipated adoption or a 
foster care arrangement to proceed.
    (e)(1) Family and medical leave under this subpart is available to 
full-time and part-time employees. The entitlement to a total of 12 
administrative workweeks of leave in connection with leave granted under 
paragraph (a) of this section must be converted to hours or days, as 
provided in paragraphs (e)(2) and (e)(3) of this section. Leave under 
paragraph (a) allows an employee to be absent during the employee's 
scheduled tour of duty established for leave charging purposes. Such 
leave is not applied to days designated as holidays and other 
nonworkdays when the employee would be excused from duty.
    (2) For employees who are charged leave on an hourly basis 
(including fractions of an hour), the 12 administrative workweeks 
referenced in paragraph (a) of this section must be converted to hours 
based on the number of hours in the employee's scheduled tour of duty 
(at the time the 12-month period of leave eligibility commences) subject 
to the following rules:
    (i) For a regular full-time employee with 80 hours in the scheduled 
tour of duty over a biweekly pay period, the hours equivalent of 12 
administrative workweeks is 480 hours.
    (ii) For a full-time employee with an uncommon tour of duty (as 
defined in Sec.  630.201 and described in Sec.  630.210), the hours 
equivalent of 12 administrative workweeks is derived by multiplying 6 
times the number of hours in the employee's biweekly scheduled tour of 
duty (or 6 times the average hours if the biweekly tour hours vary over 
an established cycle). For example, if an employee has an uncommon tour 
consisting of six 24-hour shifts (144 hours) per biweekly pay period, 
the amount would be 864 hours.
    (iii) For a part-time employee, the hours equivalent of 12 
administrative workweeks is derived by multiplying 6 times the number of 
hours in the employee's scheduled tour of duty over a biweekly pay 
period. For example, if an employee has a part-time scheduled tour of 
duty that consists of 40 hours in a biweekly pay period, the amount 
would be 240 hours.
    (3) For employees who are charged leave on a daily basis, the days 
equivalent of 12 administrative workweeks must be derived based on the 
average number of workdays in the employee's established tour of duty 
over a biweekly pay period. For example, if an employee had 8 workdays 
each biweekly pay period, the days equivalent of 12 administrative 
workweeks would be 48 days.
    (f) If there is a change in an employee's scheduled tour of duty 
during any 12-month period that commenced due to use of family and 
medical leave, and

[[Page 880]]

the employee has not used the full allotment of family and medical leave 
during such 12-month period, the remaining balance of family and medical 
leave must be recalculated based on the change in the number of average 
hours in the employee's scheduled tour of duty. For example, if a 
regular full-time employee has a balance of 120 hours of unused family 
and medical leave for a 12-month period that is in progress and then 
converts to a part-time schedule of 20 hours per week, the balance would 
be recalculated to be 60 hours. (Since the old schedule was 80 hours 
biweekly or an average of 40 hours weekly, the new part-time tour is 
half of the former full-time tour. 40/80 times 120 equals 60.)
    (g) Leave taken because of the birth of a son or daughter of the 
employee, as described in paragraph (a)(1) of this section, includes 
leave necessary for an employee who is the birth mother to recover from 
giving birth, or for an employee who is the other parent to care for the 
birth mother during her recovery period, even if the employee is not 
involved in caring for the son or daughter during portions of that 
recovery period.
    (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.  630.1207 may 
suffice as the employee's confirmation.
    (i) Leave taken in order to care for a newly born or placed son or 
daughter, as described in paragraphs (a)(1) and (a)(2) of this section, 
generally refers to leave covering periods when the parent-employee is 
in the home with the child or is otherwise involved in spending time 
with the child (bonding). It may include short periods away from the 
child's physical presence to purchase supplies needed to care for the 
child (e.g., buying baby food, diapers, or other supplies). Leave based 
on the ``care'' language in paragraph (a)(1) of this section would not 
be appropriate if an employee is not engaged in activities directly 
connected to care of the child--for example, if the employee is 
physically located outside the local geographic area where the child is 
located.
    (j)(1) For family and medical leave granted in connection with care 
of a covered servicemember under 5 U.S.C. 6382(a)(3) and (4), the leave 
entitlement is 26 administrative workweeks in a single 12-month period. 
This leave applies to an employee who is the spouse, son, daughter, 
parent, or next of kin of a covered servicemember and who provides care 
for the covered servicemember. In applying this leave, the definitions 
in 5 U.S.C. 6381(8) through (12) must be applied.
    (2) The entitlement of 26 administrative workweeks of leave 
described in paragraph (j)(1) of this section must be converted to hours 
or days, consistent with the methodologies set forth in paragraph (e) of 
this section. Any recalculation of the unused leave entitlement due to a 
change in the employee's scheduled tour of duty must be made in a manner 
consistent with the methodology described in paragraph (f) of this 
section.
    (3) If an employee receives leave under this paragraph (j) and leave 
under paragraph (a) of this section during the single 12-month period, 
the combined amount of leave in that period may not exceed 26 
administrative workweeks. With respect to the single 12-month period, an 
employee who uses more than 14 weeks of leave under this paragraph (j) 
will not be able to use the full allotment of 12 administrative 
workweeks in connection with leave granted under paragraph (a) of this 
section. The leave granted under this paragraph (j) will not count 
against the employee's 12-week FMLA entitlement in any other 12-month 
period, as established under paragraph (a) of this section. For example, 
consider an employee who invokes family and medical leave to care for a 
covered servicemember and uses 16 weeks of such leave starting on August 
15, 2022. If the same employee gave birth to a child on October 7, 2022, 
the employee would be able to use only 10 weeks of family and medical 
leave under Sec.  630.1203(a)(1) during the single 12-month period from 
August 15, 2022, to August 14, 2023, since there

[[Page 881]]

is a 26-week limit for that single 12-month period. That would also 
limit the employee to no more than 10 weeks of paid parental leave 
during that single 12-month period. However, the employee would be able 
to use family and medical leave under Sec.  630.1203(a)(1) after August 
14, 2023, and before the expiration of the 12-month period following the 
birth on October 6, 2023, and could substitute (to the extent possible) 
any remaining amount of the employee's 12 weeks of paid parental leave, 
or substitute annual leave or sick leave, if applicable.
    (4) In addressing requests to use intermittent leave, or leave on a 
reduced leave schedule, in connection with leave under this paragraph 
(j), an agency is subject to the same rules that govern such requests 
for leave under paragraphs (a)(3) and (a)(4) of this section. (See 5 
U.S.C. 6382(b) and Sec.  630.1205.)
    (5) Employees who seek to use leave under this paragraph (j) are 
subject to the same notification and scheduling requirements that apply 
to employees receiving leave under paragraph (a)(1) through (4) of this 
section in parallel circumstances. (See 5 U.S.C. 6382(e)(1) and (2) and 
Sec.  630.1207.)
    (6) An agency may require that a request for leave under this 
paragraph (j) be supported by a medical certification, as provided by 5 
U.S.C. 6383(f).

[58 FR 39602, July 23, 1993, as amended at 61 FR 64452, Dec. 5, 1996; 65 
FR 26486, May 8, 2000; 76 FR 60704, Sept. 30, 2011; 85 FR 48090, Aug. 
10, 2020]



Sec.  630.1204  Qualifying exigency leave.

    (a) An employee may take FMLA leave while the employee's spouse, 
son, daughter, or parent (the ``covered military member'') is on covered 
active duty or call to covered active duty status for one or more of the 
following qualifying exigencies:
    (1) Short-notice deployment. To address any issue that arises from 
the fact that a covered military member is notified of an impending call 
or order to covered active duty 7 or fewer calendar days prior to the 
date of deployment. Leave taken for this purpose can be used for a 
period of up to 7 calendar days beginning on the date a covered military 
member is notified of an impending call or order to covered active duty.
    (2) Military events and related activities. (i) To attend any 
official ceremony, program, or event sponsored by the military that is 
related to the covered active duty or call to covered active duty status 
of a covered military member; and
    (ii) To attend family support or assistance programs and 
informational briefings sponsored or promoted by the military, military 
service organizations, or the American Red Cross that are related to the 
covered active duty or call to covered active duty status of a covered 
military member.
    (3) Childcare and school activities. (i) To arrange for alternative 
childcare when the covered active duty or call to covered active duty 
status of a covered military member necessitates a change in the 
existing childcare arrangement for a child;
    (ii) To provide childcare on an urgent, immediate need basis (but 
not on a routine, regular, or everyday basis) when the need to provide 
such care arises from the covered active duty or call to covered active 
duty status of a covered military member for a child;
    (iii) To enroll in or transfer to a new school or day care facility 
a child, when enrollment or transfer is necessitated by the covered 
active duty or call to covered active duty status of a covered military 
member; and
    (iv) To attend meetings with staff at a school or a daycare 
facility, such as meetings with school officials regarding disciplinary 
measures, parent-teacher conferences, or meetings with school 
counselors, for a child when such meetings are necessary due to 
circumstances arising from the covered active duty or call to covered 
active duty status of a covered military member.
    (v) For purposes of paragraphs (a)(3)(i) through (a)(3)(iv) of this 
section, ``child'' means a biological, adopted, or foster child, a 
stepchild, or a legal ward of a covered military member, or a child for 
whom a covered military member stands in loco parentis, who is either 
under age 18, or age 18 or older and incapable of self-care because of a 
mental or physical

[[Page 882]]

disability at the time the FMLA leave is to commence.
    (4) Financial and legal arrangements. (i) To make or update 
financial or legal arrangements to address the covered military member's 
absence while on covered active duty or call to covered active duty 
status, such as preparing and executing financial and health care powers 
of attorney, transferring bank account signature authority, enrolling in 
the Defense Enrollment Eligibility Reporting System (DEERS), obtaining 
military identification cards, or preparing or updating a will or living 
trust; and
    (ii) To act as the covered military member's representative before a 
Federal, State, or local agency for purposes of obtaining, arranging, or 
appealing military service benefits while the covered military member is 
on covered active duty or call to covered active duty status, and for a 
period of 90 days following the termination of the covered military 
member's covered active duty status.
    (5) Counseling. To attend counseling provided by someone other than 
a health care provider for oneself, for the covered military member, or 
for a child as defined in paragraph (a)(3)(v) of this section, provided 
that the need for counseling arises from the covered active duty or call 
to covered active duty status of a covered military member.
    (6) Rest and recuperation. To spend time with a covered military 
member who is on short-term, temporary, rest and recuperation leave 
during the period of deployment. Eligible employees may take up to 5 
days of leave for each instance of rest and recuperation.
    (7) Post-deployment activities. (i) To attend arrival ceremonies, 
reintegration briefings and events, and any other official ceremony or 
program sponsored by the military for a period of 90 days following the 
termination of the covered military member's covered active duty status; 
and
    (ii) To address issues that arise from the death of a covered 
military member while on covered active duty status, such as meeting and 
recovering the body of the covered military member and making funeral 
arrangements.
    (8) Additional activities. To address other events that arise out of 
the covered military member's covered active duty or call to covered 
active duty status, provided that the agency and employee agree that 
such leave qualifies as an exigency, and that they agree to both the 
timing and duration of such leave.
    (b) An employee is eligible to take FMLA leave because of a 
qualifying exigency when the covered military member is on covered 
active duty or call to covered active duty status as a member of a 
regular component of the Armed Forces, or when the covered military 
member is on covered active duty or call to covered active duty status 
in support of a contingency operation pursuant to one of the provisions 
of law identified in the definition of covered active duty or call to 
covered active duty status as either a member of the reserve components 
(Army National Guard of the United States, Army Reserve, Navy Reserve, 
Marine Corps Reserve, Air National Guard of the United States, Air Force 
Reserve, and Coast Guard Reserve), or a retired member of the Regular 
Armed Forces or Reserve.
    (c) For those called to covered active duty status in support of a 
contingency operation--
    (1) A call to active duty for purposes of leave taken because of a 
qualifying exigency refers to a Federal call to active duty. State calls 
to active duty are not covered unless under order of the President of 
the United States pursuant to one of the provisions of law identified in 
paragraph (b) of this section in support of a contingency operation.
    (2) For such members, the active duty orders of a covered military 
member will generally specify whether the servicemember is serving in 
support of a contingency operation by citation to the relevant section 
of title 10 of the United States Code or by reference to the specific 
name of the contingency operation, or both. A military operation 
qualifies as a contingency operation if it:
    (i) Is designated by the Secretary of Defense as an operation in 
which members of the Armed Forces are or may become involved in military 
actions, operations, or hostilities against an

[[Page 883]]

enemy of the United States or against an opposing military force; or
    (ii) Results in the call or order to, or retention on, active duty 
of members of the uniformed services under section 688, 12301(a), 12302, 
12304, 12305, or 12406, or chapter 15 of title 10 of the United States 
Code, or any other provision of law during a war or during a national 
emergency declared by the President or Congress. (See 10 U.S.C. 
101(a)(13).)

[76 FR 60704, Sept. 30, 2011]



Sec.  630.1205  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) may be taken 
intermittently or on a reduced leave schedule when medically necessary, 
subject to Sec. Sec.  630.1207 and 630.1208 (b)(6). Leave under Sec.  
630.1203(a)(5) may be taken on an intermittent or reduced leave schedule 
basis, subject to Sec. Sec.  630.1207 and 630.1209.
    (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 is entitled to be returned to his or 
her permanent position or an equivalent position, as provided in Sec.  
630.1210(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 payment under 5 CFR part 531, subpart F; special rate 
supplement under 5 CFR part 530, subpart C; or similar payment or 
supplement under other legal authority;
    (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; 70 FR 31314, May 31, 2005. Redesignated and 
amended at 76 FR 60704, 60705, Sept. 30, 2011]



Sec.  630.1206  Substitution of paid leave.

    (a) Leave without pay. Except as otherwise provided in this section, 
family and medical leave taken under Sec.  630.1203(a) must be leave 
without pay.
    (b) Leave connected to birth or placement. (1) For family and 
medical leave taken under Sec.  630.1203(a)(1) or (2) (corresponding to 
subparagraphs (A) and (B) of 5 U.S.C. 6382(a)(1), respectively), an 
employee may elect to substitute--
    (i) Up to 12 administrative workweeks of paid parental leave in 
connection with the occurrence of a birth or placement, as provided in 
subpart Q of this part; and
    (ii) Any annual or sick leave to the employee's credit for such 
family and medical leave not covered by paid parental leave.
    (2) The annual or sick leave to the employee's credit under 
paragraph (b)(1)(ii) of this section consists of the following:
    (i) Accrued or accumulated annual or sick leave under subchapter I 
of chapter 63 of title 5, United States Code (or equivalent annual or 
sick leave under another authority), without regard to the normal 
limitations on the use of sick leave;
    (ii) 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, except that the normal limitations on the use of 
sick leave are not applicable; and

[[Page 884]]

    (iii) Annual leave donated to an employee under the Voluntary Leave 
Transfer Program or the Voluntary Leave Bank Program, consistent with 
subparts I and J of this part, or equivalent donated annual leave under 
another authority.
    (c) Leave connected to serious health condition or exigency. For 
family and medical leave taken under Sec.  630.1203(a)(3), (4), or (5) 
(corresponding to subparagraphs (C), (D) and (E) of 5 U.S.C. 6382(a)(1), 
respectively), an employee may elect to substitute the following paid 
leave for any or all of the leave without pay:
    (1) Accrued or accumulated annual or sick leave under subchapter I 
of chapter 63 of title 5, United States Code (or equivalent annual or 
sick leave under another authority), consistent with the law and 
regulations governing the granting and use of annual or sick leave 
(including the limitations on the purposes for which sick leave may be 
used under Sec.  630.401(a) and the hours limitations in Sec.  
630.401(b) through (e));
    (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) Annual leave donated to an employee under the Voluntary Leave 
Transfer Program or the Voluntary Leave Bank Program, consistent with 
subparts I and J of this part, or equivalent donated annual leave under 
another authority.
    (d) Leave to care for a covered servicemember. For family and 
medical leave taken under Sec.  630.1203(j) (corresponding to 5 U.S.C. 
6382(a)(3) and (4)), an employee may elect to substitute the annual and 
sick leave identified in paragraph (c) of this section, except that any 
sick leave credited to the employee may be substituted without regard to 
any of the normally applicable limitations on the use of sick leave.
    (e) Employee entitlement to substitute. (1) An employee is entitled 
to elect whether or not to substitute paid leave for leave without pay 
under this subpart, as permitted in this section.
    (2) An agency may not deny an employee's election to make a 
substitution permitted under this section.
    (3) An agency may not require an employee to substitute paid leave 
for leave without pay.
    (4) An employee may request to use annual leave or sick leave 
without invoking family and medical leave, and, in that case, the agency 
exercises its normal authority with respect to approving or disapproving 
the timing of when the leave may be used.
    (f) Notification by employee and retroactive substitution. (1) An 
employee must notify the agency of the employee's election to substitute 
paid leave for leave without pay under this section prior to the date 
such paid leave commences (i.e., no retroactive substitution), except as 
provided in paragraphs (f)(2) through (f)(4) of this section.
    (2) An employee may retroactively substitute annual leave or sick 
leave for leave without pay granted under this subpart covering a past 
period of time, if the substitution is made in conjunction with the 
retroactive granting of leave without pay under Sec.  630.1203(b).
    (3) An employee may retroactively substitute transferred (donated) 
annual leave for leave without pay granted under this subpart in the 
circumstances covered by Sec. Sec.  630.909(d) or 630.1009(d).
    (4) An employee may retroactively substitute paid parental leave for 
applicable leave without pay granted under this subpart, as provided in 
Sec.  630.1706(a) and subject to the requirements governing paid 
parental leave in subpart Q of this part. If the employee's leave 
without pay was not granted on a prospective basis under this subpart, 
the retroactive substitution of paid parental leave may not be made 
unless the leave without pay period has been retroactively designated as 
leave under this subpart, as allowed under Sec.  630.1203(b).

[85 FR 48091, Aug. 10, 2020]



Sec.  630.1207  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

[[Page 885]]

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, 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 taken under Sec.  630.1203(a)(5) is 
foreseeable, the employee must provide notice as soon as practicable, 
regardless of how far in advance the leave is being requested.
    (d) 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.
    (e) 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.
    (f) 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.
    (g) 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. Redesignated and 
amended at 76 FR 60704, 60705, Sept. 30, 2011]



Sec.  630.1208  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--

[[Page 886]]

    (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
    (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

[[Page 887]]

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
    (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 Sec.  630.1208 or 630.1210(h) of this part, 
the medical certification is subject to the provisions for safeguarding 
information about individuals under subpart A of 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. Redesignated and 
amended at 76 FR 60704, 60705, Sept. 30, 2011]



Sec.  630.1209  Certification for leave taken because of a qualifying exigency.

    (a) Active duty orders. The first time an employee requests leave 
because of a qualifying exigency arising out of the covered active duty 
or call to covered active duty status of a covered military member, an 
agency may require the employee to provide a copy of the covered 
military member's active duty orders or other documentation issued by 
the military that indicates the covered military member is on covered 
active duty or call to covered active duty status, and the dates of the 
covered military member's active duty service. This information need 
only be provided to the agency once. A copy of new active duty orders or 
other documentation issued by the military must be provided to the 
agency if the need for leave because of a qualifying exigency arises out 
of a different covered active duty or call to covered active duty status 
of the same or a different covered military member.
    (b) Required information. An agency may require that leave for any 
qualifying exigency specified in Sec.  630.1204 be supported by a 
certification from the employee that sets forth the following 
information:
    (1) A statement or description, signed by the employee, of 
appropriate facts regarding the qualifying exigency for which FMLA leave 
is requested. The facts must be sufficient to support the need for 
leave. Such facts include the type of qualifying exigency for which 
leave is requested and any available written documentation that supports

[[Page 888]]

the request for leave, such as a copy of a meeting announcement for 
informational briefings sponsored by the military, a document confirming 
an appointment with a counselor or school official, or a copy of a bill 
for services for the handling of legal or financial affairs;
    (2) The approximate date on which the qualifying exigency commenced 
or will commence;
    (3) If an employee requests leave because of a qualifying exigency 
for a single, continuous period of time, the beginning and end dates for 
such absence;
    (4) If an employee requests leave because of a qualifying exigency 
on an intermittent or reduced leave schedule basis, an estimate of the 
frequency and duration of the qualifying exigency; and
    (5) If the qualifying exigency involves meeting with a third party, 
appropriate contact information for the individual or entity with whom 
the employee is meeting (such as the name, title, organization, address, 
telephone number, fax number, and e-mail address) and a brief 
description of the purpose of the meeting.
    (c) Verification. If an employee submits a complete and sufficient 
certification to support his or her request for leave because of a 
qualifying exigency, the agency may not request additional information 
from the employee. However, the agency may verify the information 
described in paragraphs (c)(1) and (c)(2) of this section and does not 
need the employee's permission to do so.
    (1) If the qualifying exigency involves meeting with a third party, 
the agency may contact the individual or entity with whom the employee 
is meeting for purposes of verifying a meeting or appointment schedule 
and verifying the information provided in the employee's statement under 
paragraph (b)(1) of this section regarding the meeting between the 
employee and the specified individual or entity. No additional 
information may be requested by the agency.
    (2) An agency may contact an appropriate unit of the Department of 
Defense to request verification that a covered military member is on 
covered active duty or call to covered active duty status. No additional 
information may be requested by the agency.

[76 FR 60705, Sept. 30, 2011]



Sec.  630.1210  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 payment under 5 CFR part 531, subpart F; special rate 
supplement under 5 CFR part 530, subpart C; or similar payment or 
supplement under other legal authority;
    (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

[[Page 889]]

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--
    (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.  630.1208(c) 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.  630.1205.
    (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.  630.1207 and does not provide medical 
certification signed by the health care provider that includes all of 
the information required in Sec.  630.1208(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; 70 FR 31314, May 31, 
2005. Redesignated at 76 FR 60704, Sept. 30, 2011 and further 
redesignated and amended at 76 FR 60705, 60706, Sept. 30, 2011]



Sec.  630.1211  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

[[Page 890]]

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.

[58 FR 39602, July 23, 1993. Redesignated at 76 FR 60704, Sept. 30, 
2011, and further redesignated at 76 FR 60705, Sept. 30, 2011]



Sec.  630.1212  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. 
Redesignated at 76 FR 60704, Sept. 30, 2011, and further redesignated at 
76 FR 60705, Sept. 30, 2011]



Sec.  630.1213  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 or days of leave taken under this subpart, 
including any paid leave substituted for leave without pay under Sec.  
630.1206; 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. Redesignated at 76 FR 60704, Sept. 30, 2011, 
and further redesignated and amended at 76 FR 60705, 60706, Sept. 30, 
2011; 85 FR 48092, Aug. 10, 2020]



                    Subpart M_Disabled Veteran Leave

    Source: 81 FR 51779, Aug. 5, 2016, unless otherwise noted.

[[Page 891]]



Sec.  630.1301  Purpose and authority.

    This subpart implements 5 U.S.C. 6329, which establishes a leave 
category, to be known as ``disabled veteran leave,'' for an eligible 
employee who is a veteran with a service-connected disability rated at 
30 percent or more. Such an employee is entitled to this leave for 
purposes of undergoing medical treatment for such disability. Disabled 
veteran leave must be used during the 12-month period beginning on the 
first day of employment. OPM's authority to regulate section 6329 is 
found in section 2(d) of Public Law 114-75.



Sec.  630.1302  Applicability.

    This subpart applies to an employee who is a veteran with a service-
connected disability rated at 30 percent or more, subject to the 
conditions specified in this subpart. This subpart does not apply to 
employees of the United States Postal Service or the Postal Regulatory 
Commission who are subject to regulations issued by the Postmaster 
General under section 2(d)(2) of Public Law 114-75. This subpart applies 
only to an employee who is hired on or after November 5, 2016.



Sec.  630.1303  Definitions.

    In this subpart:
    12-month eligibility period means the continuous 12-month period 
that begins on the first day of employment. For an employee who was 
eligible (or later determined to have been eligible) for disabled 
veteran leave as an employee of the United States Postal Service or the 
Postal Regulatory Commission and who subsequently commences employment 
covered by this subpart, the 12-month eligibility period is the period 
that began on the first day of employment with the United States Postal 
Service or the Postal Regulatory Commission (as determined under 
regulations issued by the Postmaster General to implement 5 U.S.C. 
6329).
    Agency means an agency of the Federal Government. In the case of an 
agency in the Executive branch, it means an Executive agency as defined 
in 5 U.S.C. 105. When the term ``agency'' is used in the context of an 
agency making determinations or taking actions, it means management 
officials of the agency who are authorized by the agency head to make 
the given determination or take the given action.
    Employee has the meaning given that term in 5 U.S.C. 2105.
    Employment means service as an employee during which the employee is 
covered by a leave system under which leave is charged for periods of 
absence. This excludes service in a position in which the employee is 
not covered by 5 U.S.C. 6329 due to application of another statutory 
authority.
    First day of employment means the first day of service that 
qualifies as employment that occurs on the later of--
    (1) The earliest date an employee is hired after the effective date 
of the employee's qualifying service-connected disability, as determined 
by the Veterans Benefits Administration; or
    (2) The effective date of the employee's qualifying service-
connected disability, as determined by the Veterans Benefits 
Administration.
    Health care provider has the meaning given that term in Sec.  
630.1202.
    Hired means the action of--
    (1) Receiving an initial appointment to a civilian position in the 
Federal Government in which the service qualifies as employment under 
this subpart;
    (2) Receiving a qualifying reappointment to a civilian position in 
the Federal Government in which the service qualifies as employment 
under this subpart; or
    (3) Returning to duty status in a civilian position in the Federal 
Government in which the service qualifies as employment under this 
subpart, when such return immediately followed a break in civilian duty 
(with the employee in continuous civilian leave status) to perform 
military service.
    Medical certificate means a written statement signed by a health 
care provider certifying to the treatment of a veteran's qualifying 
service-connected disability.
    Medical treatment means any activity carried out or prescribed by a 
health care provider to treat a veteran's qualifying service-connected 
disability.
    Military service means ``active military, naval, or air service'' as 
that term is defined in 38 U.S.C. 101(24).

[[Page 892]]

    Qualifying reappointment means an appointment of a former employee 
of the Federal Government following a break in employment of at least 90 
calendar days.
    Qualifying service-connected disability means a veteran's service-
connected disability rated at 30 percent or more by the Veteran Benefits 
Administration, including a combined degree of disability of 30 percent 
or more that reflects the combined effect of multiple individual 
disabilities, which resulted in the award of disability compensation 
under title 38, United States Code. A temporary disability rating under 
38 U.S.C. 1156 is considered a valid rating in applying this definition 
for as long as it is in effect.
    Service-connected has the meaning given such term in 38 U.S.C. 
101(16).
    Veteran has the meaning given such term in 38 U.S.C. 101(2).
    Veterans Benefits Administration means the Veterans Benefits 
Administration of the Department of Veterans Affairs.



Sec.  630.1304  Eligibility.

    (a) An employee who is a veteran with a qualifying service-connected 
disability is entitled to disabled veteran leave under this subpart, 
which will be available for use during the 12-month eligibility period 
beginning on the first day of employment. For each employee, there is a 
single first day of employment.
    (b) In order to be eligible for disabled veteran leave, an employee 
must provide to the agency documentation from the Veterans Benefits 
Administration certifying that the employee has a qualifying service-
connected disability. The documentation should be provided to the 
agency--
    (1) Upon the first day of employment, if the employee has already 
received such certifying documentation; or
    (2) For an employee who has not yet received such certifying 
documentation from the Veterans Benefit Administration, as soon as 
practicable after the employee receives the certifying documentation.
    (c) Notwithstanding paragraph (b) of this section, an employee may 
submit certifying documentation at a later time, including after a 
period of absence for medical treatment, as described in Sec.  
630.1306(c). The 12-month eligibility period is fixed based on the first 
day of employment and is not affected by the timing of when certifying 
documentation is provided.
    (d) If an employee's service-connected disability rating is 
decreased or discontinued during the 12-month eligibility period such 
that the employee no longer has a qualifying service-connected 
disability--
    (1) The employee must notify the agency of the effective date of the 
change in the disability rating; and
    (2) The employee is no longer eligible for disabled veteran leave as 
of the effective date of the rating change.



Sec.  630.1305  Crediting disabled veteran leave.

    (a) Upon receipt of the certifying documentation under Sec.  
630.1304, an agency must credit 104 hours of disabled veteran leave to a 
full-time, nonseasonal employee or a proportionally equivalent amount 
for employees with part-time, seasonal, or uncommon tours of duty, 
except as otherwise provided in this section.
    (b) The proportional equivalent of 104 hours for a full-time 
employee is determined for employees with other schedules as follows:
    (1) For an employee with a part-time work schedule, the 104 hours is 
prorated based on the number of hours in the part-time schedule (as 
established for leave charging purposes) relative to a full-time 
schedule (e.g., 52 hours for a half-time schedule);
    (2) For an employee with a seasonal work schedule, the 104 hours is 
prorated based on the total projected hours to be worked in an annual 
period of 52 weeks (based on the seasonal employee's seasonal work 
periods and full-time or part-time schedule during those periods) 
relative to a full-time work year of 2,080 hours (e.g., 52 hours for a 
seasonal employee who works full-time for half a year); and
    (3) For an employee with an uncommon tour of duty (as defined in 
Sec.  630.201 and described in Sec.  630.210), 104 hours is 
proportionally increased based on the number of hours in the uncommon 
tour relative to the hours in a regular full-

[[Page 893]]

time tour (e.g., 187 hours for an employee with a 72-hour weekly 
uncommon tour of duty.)
    (c) When an employee is converted to a different tour of duty for 
leave purposes, the employee's balance of unused disabled veteran leave 
must 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. 
For seasonal employees, hours must be annualized in determining the 
proportion.
    (d) The amount of disabled veteran leave initially credited to an 
employee under paragraphs (a) and (b) of this section must be offset by 
the number of hours of sick leave an employee has credited to his or her 
account as of the first day of employment. For example, if an employee 
is being reappointed and having sick leave recredited upon such 
reappointment, the amount of disabled veteran leave must be reduced by 
the amount of such recredited sick leave. Similarly, if an employee is 
returning to civilian duty status after a period of leave for military 
service, that employee may have a balance of sick leave, which must be 
used to offset the disabled veteran leave.
    (e)(1) An employee who was previously employed by an agency whose 
employees were not subject to 5 U.S.C. 6329 must certify, at the time 
the employee is hired in a position subject to 5 U.S.C. 6329, whether or 
not that former agency provided entitlement to an equivalent disabled 
veteran leave benefit to be used in connection with the medical 
treatment of a service-connected disability rated at 30 percent or more. 
The employee must certify the date he or she commenced the period of 
eligibility to use disabled veteran leave in the former agency.
    (2) If 12 months have elapsed since the commencing date referenced 
in paragraph (e)(1) of this section, the employee will be considered to 
have received the full amount of an equivalent benefit and no benefit 
may be provided under this subpart.
    (3) If the employee is still within the 12-month period that began 
on the commencing date referenced in paragraph (e)(1) of this section, 
the employee must certify the number of hours of disabled veteran leave 
used at the former agency. The gaining agency must offset the number of 
hours of disabled veteran leave to be credited to the employee by the 
number of such hours used by the employee at such agency, while making 
no offset under paragraph (d) of this section. If the employee had a 
different type of work schedule at the former agency, the hours used at 
the former agency must be converted before applying the offset, 
consistent with Sec.  630.1305(c).



Sec.  630.1306  Requesting and using disabled veteran leave.

    (a) An employee may use disabled veteran leave only for the medical 
treatment of a qualifying service-connected disability. The medical 
treatment may include a period of rest, but only if such period of rest 
is specifically ordered by the health care provider as part of a 
prescribed course of treatment for the qualifying service-connected 
disability.
    (b)(1) An employee must file an application--written, oral, or 
electronic, as required by the agency--to use disabled veteran leave. 
The application must include a personal self-certification by the 
employee that the requested leave will be (or was) used for purposes of 
being furnished medical treatment for a qualifying service-connected 
disability. The application must also include the specific days and 
hours of absence required for the treatment. The application must be 
submitted within such time limits as the agency may require.
    (2) An employee must request approval to use disabled veteran leave 
in advance unless the need for leave is critical and not foreseeable--
e.g., due to a medical emergency or the unexpected availability of an 
appointment for surgery or other critical treatment. The employee must 
provide notice within a reasonable period of time appropriate to the 
circumstances involved. If the agency determines that the need for leave 
is critical and not foreseeable and that the employee is unable to 
provide advance notice of his or her need for leave, the leave may not 
be delayed or denied.
    (c)(1) When an employee did not provide the agency with 
certification of a qualifying service-connected disability

[[Page 894]]

before having a period of absence for treatment of such disability, the 
employee is entitled to substitute approved disabled veteran leave 
retroactively for such period of absence (excluding periods of 
suspension or absence without leave (AWOL), but including leave without 
pay, sick leave, annual leave, compensatory time off, or other paid time 
off) in the 12-month eligibility period. Such retroactive substitution 
cancels the use of the original leave or paid time off and requires 
appropriate adjustments. In the case of retroactive substitution for a 
period when an employee used advanced annual leave or advanced sick 
leave, the adjustment is a liquidation of the leave indebtedness covered 
by the substitution.
    (2) An agency may require an employee to submit the medical 
certification described in Sec.  630.1307(a) before approving such 
retroactive substitution.



Sec.  630.1307  Medical certification.

    (a) In addition to the employee's self-certification required under 
Sec.  630.1306(b)(1), an agency may additionally require that the use of 
disabled veteran leave be supported by a signed written medical 
certification issued by a health care provider.
    (b) When an agency requires a signed written medical certification 
by a health care provider, the agency may specify that the certification 
include--
    (1) A statement by the health care provider that the medical 
treatment is for one or more service-connected disabilities of the 
employee that resulted in 30 percent or more disability rating;
    (2) The date or dates of treatment or, if the treatment extends over 
several days, the beginning and ending dates of the treatment;
    (3) If the leave was not requested in advance, a statement that the 
treatment required was of an urgent nature or there were other 
circumstances that made advanced scheduling not possible; and
    (4) Any additional information that is essential to verify the 
employee's eligibility.
    (c)(1) An employee must provide any required written medical 
certification no later than 15 calendar days after the date the agency 
requests such medical certification, except as otherwise allowed under 
paragraph (c)(2) of this section.
    (2) If the agency determines it is not practicable under the 
particular circumstances for the employee to provide the requested 
medical certification within 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 documentation.
    (3) An employee who does not provide the required evidence or 
medical certification within the specified time period is not entitled 
to use disabled veteran leave, and the agency may, as appropriate and 
consistent with applicable laws and regulations--
    (i) Charge the employee as absent without leave (AWOL); or
    (ii) Allow the employee to request that the absence be charged to 
leave without pay, sick leave, annual leave, or other forms of paid time 
off.



Sec.  630.1308  Disabled veteran leave forfeiture, transfer, reinstatement.

    (a) Disabled veteran leave not used during the 12-month eligibility 
period may not be carried over to subsequent years and must be 
forfeited.
    (b) If a change in the employee's disability rating during the 12-
month eligibility period causes the employee to no longer have a 
qualifying service-connected disability (as described in Sec.  
630.1304(d)), any unused disabled veteran leave to the employee's credit 
as of the effective date of the rating change must be forfeited.
    (c) When an employee with a positive disabled veteran leave balance 
transfers between positions in different agencies, or transfers from the 
United States Postal Service or Postal Regulatory Commission to a 
position in another agency, during the 12-month eligibility period, the 
agency from which the employee transfers must certify the number of 
unused disabled veteran leave hours available for credit by the gaining 
agency. The losing agency must also certify the expiration date of

[[Page 895]]

the employee's 12-month eligibility period to the gaining agency. Any 
unused disabled veteran leave will be forfeited at the end of that 
eligibility period. For the purpose of this paragraph, the term 
``transfers'' means movement from a position in one agency (or the 
United States Postal Service or Postal Regulatory Commission) to a 
position in another agency without a break in employment of 1 workday or 
more in circumstances where service in both positions qualifies as 
employment under this subpart.
    (d)(1) An employee covered by this subpart, or an employee of the 
United States Postal Service or Postal Regulatory Commission, with a 
balance of unused disabled veteran leave who has a break in employment 
of at least 1 workday during the employee's 12-month eligibility period, 
and later recommences employment covered by 5 U.S.C. 6329 within that 
same eligibility period, is entitled to a recredit of the unused 
balance.
    (2) When an employee has a break in employment as described in 
paragraph (d)(1) of this section, the losing agency must certify the 
number of unused disabled veteran leave hours available for recredit by 
the gaining agency. The losing agency must also certify the expiration 
date of the employee's 12-month eligibility period. Any unused disabled 
veteran leave must be forfeited at the end of that eligibility period.
    (3) In the absence of the certification described in paragraph 
(d)(2) of this section, the recredit of disabled veteran leave may also 
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.
    (e) An employee may not receive a lump-sum payment for any unused 
disabled veteran leave under any circumstance.

Subparts N and O [Reserved]



                   Subpart P_Weather and Safety Leave

    Source: 83 FR 15297, Apr. 10, 2018, unless otherwise noted.



Sec.  630.1601  Purpose and applicability.

    (a) This subpart implements 5 U.S.C. 6329c, which allows an agency 
to provide a separate type of paid leave when weather or other safety-
related conditions prevent employees from safely traveling to or safely 
performing work at an approved location due to an act of God, terrorist 
attack, or other applicable condition. Section 6329c(d) directs OPM to 
prescribe regulations to carry out the statutory provisions on weather 
and safety leave, including regulations on the appropriate uses and the 
proper recording of this leave.
    (b) This subpart applies to an employee as defined in 5 U.S.C. 2105 
who is employed in an agency, but does not apply to an intermittent 
employee who, by definition, does not have an established regular tour 
of duty during the administrative workweek.
    (c) As provided in 5 U.S.C. 6329c(e), this subpart applies to 
employees described in subsection (b) of 38 U.S.C. 7421, notwithstanding 
subsection (a) of that section.



Sec.  630.1602  Definitions.

    In this subpart:
    Act of God means an act of nature, including hurricanes, tornadoes, 
floods, wildfires, earthquakes, landslides, snowstorms, and avalanches.
    Agency means an Executive agency as defined in 5 U.S.C. 105, 
excluding the Government Accountability Office. When the term ``agency'' 
is used in the context of an agency making determinations or taking 
actions, it means the agency heads or management officials who are 
authorized (including by delegation) to make the given determination or 
take the given action.
    Employee means an individual who is covered by this subpart, as 
described in Sec.  630.1601(b) and (c).
    OPM means the Office of Personnel Management.
    Participating in a telework program means an employee is eligible to 
telework and has an established arrangement with his or her agency

[[Page 896]]

under which the employee is approved to participate in the agency 
telework program, including on a routine or situational basis. Such an 
employee who teleworks on a situational basis is considered to be 
continuously participating in a telework program even if there are 
extended periods during which the employee does not perform telework.
    Telework site means a location where an employee is authorized to 
perform telework, as described in 5 U.S.C. chapter 65, such as an 
employee's home.
    Weather and safety leave means paid leave provided under the 
authority of 5 U.S.C. 6329c.



Sec.  630.1603  Authorization.

    Subject to other provisions of this subpart, an agency may grant 
weather and safety leave to employees only if they are prevented from 
safely traveling to or safely performing work at a location approved by 
the agency due to--
    (a) An act of God;
    (b) A terrorist attack; or
    (c) Another condition that prevents an employee or group of 
employees from safely traveling to or safely performing work at an 
approved location.



Sec.  630.1604  OPM and agency responsibilities.

    (a) OPM is responsible for prescribing regulations and guidance 
related to the appropriate use of leave under this subpart and the 
proper recording of such leave, including OPM guidance on Governmentwide 
dismissal and closure policies and procedures that provides for use of 
consistent terminology in describing various operating status scenarios. 
In issuing any operating status announcements for the Washington, DC, 
area, OPM must make the specific policies and procedures related to 
those announcements consistent with the regulations in this subpart and 
with OPM's Governmentwide guidance.
    (b) Employing agencies are responsible for--
    (1) Establishing and applying policies and procedures related to use 
of leave under this subpart that are consistent with OPM regulations and 
guidance described in paragraph (a) of this section; and
    (2) Using terminology required by OPM-issued Governmentwide guidance 
in any agency-specific operating status announcements they issue (for a 
specific geographic location or area).



Sec.  630.1605  Telework and emergency employees.

    (a) Telework employees. (1) Except as provided under paragraph 
(a)(2) of this section, employees who are participating in a telework 
program and are able to safely travel to and work at an approved 
telework site may not be granted leave under Sec.  630.1603. Employees 
who are eligible to telework and participating in a telework program 
under applicable agency policies are typically able to safely perform 
work at their approved telework site (e.g., home), since they are not 
required to work at their regular worksite.
    (2)(i) If, in the agency's judgment, the conditions in Sec.  
630.1603 could not reasonably be anticipated, an agency may provide 
leave under this subpart to the extent an employee was not able to 
prepare for telework as described in paragraph (a)(3) of this section 
and is otherwise unable to perform productive work at the telework site.
    (ii) If an employee is prevented from safely working at the approved 
telework site due to circumstances, arising from one or more of the 
conditions in Sec.  630.1603, applicable to the telework site, an agency 
may, at its discretion, provide leave under this subpart to the 
employee.
    (iii) Notwithstanding paragraphs (a)(2)(i) and (ii) of this section, 
an agency may decide not to provide leave under this subpart when the 
conditions in Sec.  630.1603 do not prevent the employee from safely 
traveling to or safely performing work at a regular worksite, even if 
the affected day is a scheduled telework day.
    (3) In making a determination under paragraph (a)(2) of this 
section, an agency must evaluate whether any of the conditions in Sec.  
630.1603 could be reasonably anticipated and whether the employee took 
reasonable steps (within the employee's control) to prepare to perform 
telework at the approved telework site. For example, if a significant 
snowstorm is predicted, the employee may need to prepare by taking

[[Page 897]]

home any equipment (e.g., laptop computer) and work needed for 
teleworking. To the extent that an employee is unable to perform work at 
a telework site because of failure to make necessary preparations for 
reasonably anticipated conditions, an agency may not provide weather and 
safety leave, and the employee would need to use other appropriate paid 
leave, paid time off, or leave without pay.
    (b) Emergency employees. An agency may designate emergency employees 
who are critical to agency operations and for whom weather and safety 
leave may not be applicable. To the extent practicable, an agency should 
inform employees of their designation as emergency employees well in 
advance in anticipation of the possible occurrence of the conditions set 
forth in Sec.  630.1603. If the agency wishes to provide for the 
possibility that an emergency employee could work from an approved 
telework site in lieu of traveling to the regular worksite in 
appropriate circumstances, an agency should encourage the employee to 
enter into a telework agreement providing for that contingency. An 
agency may designate different emergency employees for the different 
circumstances expected to arise from these conditions. Emergency 
employees must report to work at their regular worksite or another 
approved location as directed by the agency, unless--
    (1) The agency determines that travel to or performing work at the 
worksite is unsafe for emergency employees, in which case the agency may 
require the employees to work at another location, including a telework 
site as provided in paragraph (a) of this section, as appropriate; or
    (2) The agency determines that circumstances justify granting leave 
under this subpart to emergency employees.



Sec.  630.1606  Administration of weather and safety leave.

    (a) An agency must use the same minimum charge increments for 
weather and safety leave as it does for annual and sick leave under 
Sec.  630.206.
    (b) Employees may be granted weather and safety leave only for hours 
within the tour of duty established for purposes of charging annual and 
sick leave when absent. For full-time employees, that tour is the 40-
hour basic workweek as defined in 5 CFR 610.102, the basic work 
requirement established for employees on a flexible or compressed work 
schedule as defined in 5 U.S.C. 6121(3), or an uncommon tour of duty 
under Sec.  630.210.
    (c) Employees may not receive weather and safety leave for hours 
during which they are on other preapproved leave (paid or unpaid) or 
paid time off. Agencies should not provide weather and safety leave to 
an employee who, in the agency's judgment, is cancelling preapproved 
leave or paid time off, or changing a regular day off in a flexible or 
compressed work schedule, for the primary purpose of obtaining weather 
and safety leave.



Sec.  630.1607  Records and reporting.

    (a) Record of placement on leave. An agency must maintain an 
accurate record of the placement of an employee on weather and safety 
leave.
    (b) Reporting. In agency data systems (including timekeeping 
systems) and in data reports submitted to OPM, an agency must record 
weather and safety leave under section 6329c and this subpart as a 
category of leave separate from other types of leave.



                      Subpart Q_Paid Parental Leave



Sec.  630.1701  Purpose, applicability, and agency responsibilities.

    (a) Purpose. This subpart provides regulations to govern the 
granting of paid parental leave to covered employees. Since paid 
parental leave may only be substituted for unpaid leave granted 
following a birth or placement under specific provisions of the Family 
and Medical Leave Act in title 5, United States Code--specifically, 
section 6382(a)(1)(A) and (B) in 5 U.S.C. chapter 63, subchapter V--this 
subpart links to subpart L (Family and Medical Leave) of this part.
    (b) Applicability. (1) Except as otherwise provided in this 
paragraph (b), this subpart applies to employees to whom subpart L of 
this part applies, as provided in Sec.  630.1201(b).

[[Page 898]]

    (2) An agency head authorized to issue regulations on family and 
medical leave under 5 U.S.C. chapter 63, subchapter V, as provided in 
Sec.  630.1201(b)(3), is authorized to issue any necessary supplemental 
regulations on paid parental leave, providing those supplemental 
regulations are consistent with the regulations in this subpart.
    (3) This subpart applies to a birth or placement occurring on or 
after October 1, 2020. Paid parental leave may not be provided under 
this subpart for any period of time before October 1, 2020.
    (c) Agency responsibilities. The head of an agency having employees 
covered by this subpart is responsible for the proper administration of 
this subpart, including the responsibility of informing employees of 
their entitlements and obligations.



Sec.  630.1702  Definitions.

    (a) Applicability of subpart L definitions. The definitions of terms 
in Sec.  630.1202 are applicable in this subpart to the extent the terms 
are used, except that, to the extent any definitions of terms have been 
further revised in Sec.  630.1702(b), the provisions of that section 
shall apply for purposes of this subpart.
    (b) Other definitions. In this subpart--
    Agency means an Executive agency as defined in 5 U.S.C. 105, 
excluding the Government Accountability Office. When the term ``agency'' 
is used in the context of an agency making determinations or taking 
actions, it means the agency head or management officials who are 
authorized (including by delegation) to make the given determination or 
take the given action.
    Birth or placement means the birth of a son or daughter of a covered 
employee, or a new placement of a son or daughter with a covered 
employee for adoption or foster care, that is the basis for unpaid leave 
granted under Sec.  630.1203(a)(1) or (2) (which correspond to 5 U.S.C. 
6382(a)(1)(A) or (B), respectively). For the purpose of interpreting 
this definition, the terms birth and placement have the meanings given 
those terms in Sec.  630.1202, except that paid parental leave may not 
be granted based on an anticipated birth or placement.
    Child means a son or daughter as defined in Sec.  630.1202 whose 
birth or placement is the basis for entitlement to paid parental leave.
    FMLA unpaid leave means leave without pay granted under the Family 
and Medical Leave Act (FMLA) regulations in subpart L of this part.
    Paid parental leave means paid time off from an employee's scheduled 
tour of duty that is authorized under 5 U.S.C. 6382(d)(2)(B)(i) and this 
subpart and that is granted to cover periods of time within the 12-month 
period commencing on the date of birth or placement to an employee who 
has a current parental role in connection with the child whose birth or 
placement was the basis for granting FMLA unpaid leave under Sec.  
630.1203(a)(1) or (2). This leave is not available to an employee who 
does not have a current parental role.



Sec.  630.1703  Leave entitlement.

    (a) Election. An employee may elect to substitute available paid 
parental leave for any FMLA unpaid leave granted under Sec.  
630.1203(a)(1) or (2) (which correspond to 5 U.S.C. 6382(a)(1)(A) or 
(B), respectively) in connection with the occurrence of a birth or 
placement. (See Sec.  630.1206(b).)
    (b) Available paid parental leave. (1) The paid parental leave that 
is available for purposes of paragraph (a) of this section is 12 
administrative workweeks in connection with the birth or placement 
involved. The entitlement to paid parental leave is triggered by the 
occurrence of a birth or placement. The paid parental leave is 
considered to be available only if the employee has a continuing 
parental role with respect to the child whose birth or placement 
triggered the leave entitlement. The 12 administrative workweeks of paid 
parental leave may be used only during the 12-month period beginning on 
the date of the birth or placement involved.
    (2) Since an employee may use only 12 weeks of FMLA unpaid leave in 
any 12-month period under Sec.  630.1203(a), use of FMLA unpaid leave 
not associated with paid parental leave may affect an employee's ability 
to use the full 12 weeks of paid parental leave. Notwithstanding 
paragraph (b)(1) of this section, an employee will be able to use

[[Page 899]]

the full amount of paid parental leave only to the extent that there are 
12 weeks of available FMLA unpaid leave granted under the birth or 
placement provisions in Sec.  630.1203(a)(1) or (2) during the 12-month 
period commencing on the date of birth or placement. The availability of 
paid parental leave will depend on when the employee uses various types 
of FMLA unpaid leave relative to any 12-month period established under 
Sec.  630.1203(c).
    (c) Conversion of weeks to hours. For employees who are charged 
leave on an hourly basis (including fractions of an hour), the 12 
administrative workweeks referenced in paragraph (b) of this section 
must be converted to hours based on the number of hours in the 
employee's scheduled tour of duty (as in effect on the date the employee 
begins a period of using paid parental leave) as follows:
    (1) For a regular full-time employee with 80 hours in the scheduled 
tour of duty over a biweekly pay period, the hours equivalent of 12 
administrative workweeks is 480 hours.
    (2) For a full-time employee with an uncommon tour of duty (as 
defined in Sec.  630.201 and described in Sec.  630.210), the hours 
equivalent of 12 administrative workweeks is derived by multiplying 6 
times the number of hours in the employee's biweekly scheduled tour of 
duty (or 6 times the average hours if the biweekly tour hours vary over 
an established cycle). For example, if an employee has an uncommon tour 
consisting of six 24-hours shifts (144 hours) per biweekly pay period, 
the amount would be 864 hours.
    (3) For a part-time employee, the hours equivalent of 12 
administrative workweeks is derived by multiplying 6 times the number of 
hours in the employee's scheduled tour of duty over a biweekly pay 
period. For example, if an employee has a part-time scheduled tour of 
duty that consists of 40 hours in a biweekly pay period, the amount 
would be 240 hours.
    (d) Conversion of weeks to days. For employees who are charged leave 
on a daily basis, the days equivalent of 12 administrative workweeks 
must be derived based on the average number of workdays in the 
employee's established tour of duty over a biweekly pay period. For 
example, if an employee had 8 workdays each biweekly pay period, the 
days equivalent of 12 administrative workweeks would be 48 days.
    (e) Change in tour. If there is a change in an employee's scheduled 
tour of duty during the 12-month period commencing on the date of a 
given birth or placement, and the employee has not used the full 
allotment of paid parental leave during such 12-month period, the 
remaining balance of paid parental leave must be recalculated based on 
the change in the number of average hours in the employee's scheduled 
tour of duty. For example, if a regular full-time employee has a balance 
of 120 hours of unused paid parental leave for a 12-month period that is 
in progress and then converts to a part-time schedule of 20 hours per 
week, the balance would be recalculated to be 60 hours. (Since the old 
schedule was 80 hours biweekly or an average of 40 hours weekly, the new 
part-time tour is half of the former full-time tour. 40/80 times 120 
equals 60.)
    (f) Leave usage. (1) An agency may not require an employee to use 
annual leave or sick leave to the employee's credit as a condition to be 
met before the employee uses paid parental leave. An employee may 
request to use annual leave or sick leave without invoking FMLA unpaid 
leave under subpart L of this part, and, in that case, the agency 
exercises its normal authority with respect to approving or disapproving 
the timing of when the leave may be used.
    (2) Paid parental leave may be used in connection with the 
occurrence of a birth or placement only during the 12-month period 
following birth or placement. (See Sec.  630.1703(b).) Paid parental 
leave may not be used prior to the birth or placement involved even if 
the employee was granted FMLA unpaid leave under Sec.  630.1203(a)(1) or 
(2) for periods prior to the birth or placement event, as allowed under 
Sec.  630.1203(d).
    (3) An employee with a seasonal work schedule may not use paid 
parental leave during the off-season period designated by the agency--
the period during which the employee is scheduled to be released from 
work and placed in nonpay status.

[[Page 900]]

    (g) Treatment of unused leave. If an employee has any unused balance 
of paid parental leave that remains at the end of the 12-month period 
following the birth or placement involved, the entitlement to the unused 
leave elapses at that time. No payment may be made for unused paid 
parental leave that has expired. Paid parental leave may not be 
considered annual leave for purposes of making a lump-sum payment for 
annual leave or for any other purpose.
    (h) Documentation of entitlement and employee certification. (1) At 
the request of the employee's agency, an employee must provide the 
agency with appropriate documentation that shows that the employee's use 
of paid parental leave is directly connected to a birth or placement 
that has occurred. Appropriate documentation may include, but is not 
limited to, a birth certificate or a document from an adoption or foster 
care agency regarding the placement. An agency is responsible for 
determining what documentation is sufficient proof of entitlement.
    (2) An agency may require that an employee sign a certification 
attesting that the paid parental leave is being taken in connection with 
a birth or placement. This employee certification may contain a 
statement in which the employee acknowledges an understanding of the 
consequences of providing a false certification (e.g., the possibility 
that the employing agency could pursue appropriate disciplinary action, 
up to and including removal from Federal Service, or make a referral to 
a Federal entity that investigates whether conduct constitutes a 
criminal violation).
    (3) An employee must provide any documentation or certification 
required by the agency no later than 15 calendar days after the date the 
agency requests such documentation or certification. If it is not 
practicable under the particular circumstances for an employee to 
respond within the 15-day time frame, despite the employee's diligent, 
good faith efforts, the employee must provide the documentation or 
certification within a reasonable period of time under the circumstances 
involved, but no later than 30 calendar days after the date of the 
agency's original request.
    (4) An agency may grant paid parental leave prior to receiving any 
requested documentation or certification under this paragraph (h) based 
on an employee's communications with a supervisor or management. Under 
these circumstances, the granting of paid parental leave is considered 
to be provisional, pending receipt of the requested documentation or 
certification.
    (5) If the employee fails to provide the agency with the required 
documentation or certification within the specified time period, the 
agency may determine that the employee is not entitled to paid parental 
leave and may--
    (i) Allow the employee to request that the absence be charged to 
leave without pay, sick leave, annual leave, or other forms of paid time 
off, as appropriate; or
    (ii) If the employee acted fraudulently, charge the employee as 
absent without leave (AWOL) and pursue any other appropriate action.



Sec.  630.1704  Pay during leave.

    (a) The pay an employee receives when using paid parental leave 
shall be the same pay the employee would receive if the employee were 
using annual leave.
    (b) Paid parental leave is a type of leave that is counted in 
applying the 8-hour rule in 5 CFR 550.122(b) that determines whether 
night pay is payable during periods of leave.
    (c) The pay received during paid parental leave may not include 
Sunday premium pay. (See section 624 of the Treasury and General 
Government Appropriations Act, 1999, Pub. L. 105-277, div. A, Sec.  
101(h), 112 Stat. 2681-518 (Oct. 21, 1998).)



Sec.  630.1705  Work obligation.

    (a) Advance agreement. An employee may not use paid parental leave 
in connection with a birth or placement unless the employee agrees (in 
writing), before the commencement of such leave, to work for the 
applicable employing agency for not less than 12 weeks beginning on the 
employee's first scheduled workday after such leave concludes. (See 
special rules governing cases of incapacitation in Sec.  630.1706.)

[[Page 901]]

    (b) Interpretation. For the purpose of applying paragraph (a) of 
this section--
    (1) The term ``in writing'' means an agreement with the employee's 
handwritten signature or an acceptable electronic signature, consistent 
with the requirements in 5 CFR 850.106, and also is deemed to include an 
agreement documented in an email or text message from the employee, as 
long as the employee, within 24 hours, supplies the required signature;
    (2) The term ``work'' means a period during which the employee is in 
duty status, excluding any periods (paid or unpaid) of leave, time off 
(including holiday time off), or other nonduty status (including 
furlough or AWOL status). Such excluded periods will not count toward 
completion of the 12-week work obligation.
    (3) The term ``applicable employing agency'' means the agency 
employing the employee at the time use of paid parental leave concludes; 
and
    (4) The date paid parental leave concludes is--
    (i) The workday on which an employee finishes using 12 
administrative workweeks of paid parental leave during the 12-month 
period that began on the date of birth or placement; or
    (ii) If the employee does not use 12 administrative workweeks of 
paid parental leave during the 12-month period that began on the date of 
birth or placement, the day that is the last workday on which an 
employee used paid parental leave.
    (c) Conversion of weeks to hours. For employees who are charged 
leave on an hourly basis (including fractions of an hour), the 12-week 
work obligation must be converted to hours based on the number of hours 
in the employee's scheduled tour of duty, consistent with the rules in 
Sec.  630.1703(c). If an employee's scheduled tour of duty changes 
before the employee completes the 12-week obligation, the agency must 
recalculate the balance of work hours owed, consistent with the rules in 
Sec.  630.1703(e). An acceptable alternative approach is to express each 
period of work as a fraction or percentage of the average weekly 
scheduled tour of duty hours in the affected biweekly pay period and to 
sum those fractions or percentages until the 12-week obligation is 
completed.
    (d) Conversion of weeks to days. For employees who are charged leave 
on a daily basis, the days equivalent of 12 weeks must be derived based 
on the average number of workdays in the employee's established tour of 
duty over a biweekly pay period, consistent with the rules in Sec.  
630.1703(d).
    (e) Agreement to make reimbursement when applicable. In the written 
agreement described in paragraph (a) of this section, the employee must 
attest that, in the event the employee does not complete the 12-week 
work obligation, he or she agrees, pursuant to paragraph (f), to make 
reimbursement unless the affected employing agency (or agencies) 
determines (determine) that the reimbursement provision will not be 
applied.
    (f) Application of reimbursement requirement. (1) If an employee 
fails to return for the required 12 weeks of work with the applicable 
employing agency after paid parental leave concludes (as described in 
paragraphs (a) and (b) of this section), an agency may require that the 
employee make a reimbursement equal to the total amount of any 
Government contributions paid by the agency on behalf of the employee to 
maintain the employee's health insurance coverage under the Federal 
Employees Health Benefits Program established under 5 U.S.C. chapter 89 
during the period(s) when paid parental leave was used. An employee who 
separates from the applicable employing agency before completing the 
required 12 weeks of work is considered to have failed to return to duty 
under this paragraph. For the purpose of the preceding sentence, an 
intra-agency reassignment without a break in service will not be 
considered a separation.
    (2) The determination to impose the reimbursement requirement is at 
the agency's sole and exclusive discretion, except that an agency may 
not impose the requirement if, in the agency's judgment, the employee is 
unable to return to work for the required 12 weeks because of--
    (i) The continuation, recurrence, or onset of a serious health 
condition (including mental health) of the employee or the child whose 
birth or placement

[[Page 902]]

was the basis for the paid parental leave, but, in the case of the 
employee's serious health condition, only if the condition is related to 
the applicable birth or placement; or
    (ii) Any other circumstance beyond the employee's control, subject 
to paragraph (h) of this section.
    (g) Medical certification. An agency's determination not to apply 
the reimbursement requirement may be conditioned upon the employee's 
supplying of a health care provider certification supporting the 
employee's claim that a serious health condition described in paragraph 
(f)(2)(i) is causing the employee to be unable return to work for the 
required 12 weeks. In cases where an agency's determination regarding 
whether to apply the reimbursement requirement relies on a health 
condition that is not related to the applicable birth or placement or 
that applies to a person not covered by paragraph (f)(2)(i) of this 
section, the agency may also require a medical certification. An agency 
may require additional examinations and certification from other health 
care providers if it deems it necessary, but any such additional 
examinations must be at the agency's expense.
    (h) Circumstances beyond employee's control. The circumstances 
beyond the employee's control referenced in paragraph (f)(2)(ii) of this 
section must be ones that truly preclude an employee from returning to 
work with the employing agency. Examples of situations beyond the 
employee's control include such situations as where a parent chooses to 
stay home because a child has a serious health condition or an employee 
moves because the employee's spouse is unexpectedly transferred to a job 
location more than 75 miles from the employee's worksite. Matters of 
employee preference or convenience will not suffice. For example, a 
situation where an employee chooses not to return to work to stay home 
with a well, newborn child would not constitute a circumstance beyond 
the employee's control for purposes of this exception.
    (i) Multiple agencies involved. If an employee does not complete the 
12-week work obligation and if more than one agency provided Government 
contributions on behalf of an employee for that employee's health 
insurance coverage during a period of paid parental leave, each agency 
is responsible for making a determination regarding whether to apply the 
reimbursement requirement described in paragraph (f) of this section 
with respect to periods of paid parental leave during employment with 
the agency. The employing agency that employed the employee at the time 
use of paid parental leave concluded is responsible for informing any 
other affected agency of the employee's failure to complete the required 
12 weeks of work and of its determination regarding application of the 
reimbursement requirement. Any other affected agency will make its own 
determination regarding application of the reimbursement requirement 
associated with agency employment.
    (j) Agency policies on applying the reimbursement requirement. Each 
agency is responsible for adopting its own set of policies governing 
when it will or will not apply the reimbursement requirement described 
in paragraph (f) of this section. A single agency-wide set of policies 
should be in place so that employees within an agency are treated 
consistently.
    (k) Collection of reimbursement. The reimbursement requirement 
described in paragraph (f) of this section, if imposed, is subject to 
collection as a debt owed to the affected agency. (See the Federal 
Claims Collection Standards in 31 CFR parts 900 through 904.)



Sec.  630.1706  Cases of employee incapacitation.

    (a) If an agency determines that an otherwise eligible employee who 
could have made an election during a past period to substitute paid 
parental leave (as provided in Sec.  630.1703) and enter a work 
obligation agreement (as described in Sec.  630.1705) was physically or 
mentally incapable of doing so during that past period, the employee 
may, within 5 workdays of the employee's return to duty status, make an 
election to substitute paid parental leave for applicable FMLA unpaid 
leave under Sec.  630.1703(a) on a retroactive basis. Such a retroactive 
election shall be effective on the date that such an election would have 
been effective if

[[Page 903]]

the employee had not been incapacitated at the time. Consistent with 
Sec.  630.1206(f)(4), this retroactive election must be made in 
conjunction with a retroactive election under Sec.  630.1203(b), if the 
FMLA unpaid leave was not already approved. As part of such election, 
the employee must agree (in writing, as described in Sec.  
630.1705(b)(1)) to meet the work obligation or pay the required 
reimbursement (if applicable) unless--
    (1) Applying the work obligation and the associated reimbursement 
requirement is barred under Sec.  630.1705(f)(2); or
    (2) The agency later concludes under its policies established under 
Sec.  630.1705(f)(1) that the circumstances support a determination to 
not apply the reimbursement requirement.
    (b)(1) If an agency determines that an otherwise eligible employee 
is physically or mentally incapable of making an election to substitute 
paid parental leave (as provided in Sec.  630.1703) and entering into a 
work obligation agreement (as described in Sec.  630.1705), the agency 
must, upon the request of a personal representative of the employee whom 
the agency finds acceptable, provide conditional approval of 
substitution of paid parental leave for applicable FMLA unpaid leave 
under Sec.  630.1703(a) on a prospective basis. The conditional approval 
is based on the presumption that the employee would have elected to 
substitute paid parental leave for the applicable FMLA unpaid leave and 
would have entered into the work obligation agreement if the employee 
had not been incapacitated. Within 5 workdays after returning to work, 
the employee must enter into a written agreement to meet the work 
obligation described in Sec.  630.1705 or pay the required reimbursement 
(if applicable) unless--
    (i) Applying the work obligation and the associated reimbursement 
requirement is barred under Sec.  630.1705(f)(2); or
    (ii) The agency later concludes under its policies established under 
Sec.  630.1705(f)(1) that the circumstances support a determination to 
not apply the reimbursement requirement.
    (2) If an employee covered by paragraph (b)(1) of this section 
declines to enter into the written agreement after being determined by 
the agency to no longer be incapacitated, the agency must cancel any 
portion of the 12 weeks of paid parental leave that has not been 
exhausted, and designate as invalid any paid parental leave that was 
used based on the conditional approval. The time covered by the 
invalidated paid parental leave must be converted to leave without pay 
unless the employee requests that other paid leave or paid time off to 
the employee's credit be applied (as appropriate) in place of the 
invalidated paid parental leave. To the extent the employee has 
invalidated paid parental leave hours not replaced by other paid leave 
or paid time off, pay received for those hours is a debt to the 
employing agency and is subject to collection under the Federal Claims 
Collection Standards in 31 CFR parts 900 through 904.



Sec.  630.1707  Cases of multiple children born or placed
in the same time period.

    (a) If an employee has multiple children born or placed on the same 
day, the multiple-child birth/placement event is considered to be a 
single event that triggers a single entitlement of up to 12 weeks of 
paid parental leave under Sec.  630.1703(b).
    (b) If an employee has one or more children born or placed during 
the 12-month period following the date of an earlier birth or placement 
of a child of the employee, the provisions of this subpart shall be 
independently administered for each birth or placement event. Any paid 
parental leave substituted for FMLA unpaid leave during the 12-month 
period beginning on the date of a child's birth or placement shall count 
towards the 12-week limit on paid parental leave described in Sec.  
630.1703(b) applicable in connection with the birth or placement 
involved. The substitution of paid parental leave may count toward 
multiple 12-week limits to the extent that there are multiple ongoing 
12-month periods beginning on the date of an applicable birth or 
placement, each of which encompasses the day on which the leave is used. 
Therefore, whenever paid parental leave is substituted during periods of 
time when separate 12-month periods (each beginning on a date of birth 
or placement) overlap, the paid parental

[[Page 904]]

leave will count toward each affected period's 12-week limit. For 
example, if an employee has a child born on June 1 and another child 
placed for adoption on October 1 of the same year, each event would 
generate entitlement to substitute up to 12 weeks of paid parental leave 
during the separate 12-month periods beginning on the date of the birth 
and on the date of the placement, respectively. Those two 12-month 
periods would be June 1-May 31 and October 1-September 30. The overlap 
period for these two 12-month periods would be October 1-May 31. If the 
employee substitutes paid parental leave during that overlap period, 
that amount of paid parental leave would count towards both the 12-week 
limit associated with the birth event and the 12-week limit associated 
with the placement event.



Sec.  630.1708  Records and reports.

    (a) Record of usage of paid parental leave. An agency must maintain 
an accurate record of an employee's usage of paid parental leave.
    (b) Reporting. In agency data systems (including timekeeping 
systems) and in data reports submitted to OPM, an agency must record 
usage of paid parental leave in the manner prescribed by the Office of 
Personnel Management.

                        PARTS 631	699 [RESERVED]

[[Page 905]]



                              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 907]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2024)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Department of Housing and Urban Development (Parts 
                2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 908]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)
        LX  Federal Communications Commission (Parts 6000--6099)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   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)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         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 (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)

[[Page 909]]

      XXVI  Department of Defense (Parts 3600--3699)
    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  U.S. International Development Finance Corporation 
                (Parts 4300--4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)

[[Page 910]]

    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)
        CI  National Mediation Board (Parts 10100--10199)
       CII  U.S. Office of Special Counsel (Parts 10200--10299)
       CII  U.S. Office of Special Counsel (Parts 10300--10399)
       CIV  Office of the Intellectual Property Enforcement 
                Coordinator (Part 10400--10499)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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)

[[Page 911]]

      VIII  Agricultural Marketing Service (Federal Grain 
                Inspection Service, Fair Trade Practices Program), 
                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  [Reserved]
      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  [Reserved]
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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 Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      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  National Institute of Food and 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]

[[Page 912]]

      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)
         L  Rural Business-Cooperative Service, and Rural 
                Utilities Service, Department of Agriculture 
                (Parts 5000--5099)

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (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  Agricultural Marketing Service (Fair Trade Practices 
                Program), 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)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      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  [Reserved]
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  (Parts 900--999)[Reserved]

[[Page 913]]

         X  Consumer Financial Protection Bureau (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research, Department of the 
                Treasury (Parts 1600--1699)
      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 (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (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--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 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)

[[Page 914]]

      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  National Technical Information Service, Department of 
                Commerce (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
        XV  Office of the Under-Secretary for Economic Affairs, 
                Department of Commerce (Parts 1500--1599)
            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) [Reserved]

                    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)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  U.S. 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  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599) [Reserved]

[[Page 915]]

                     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  Office of Workers' Compensation Programs, 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 Service, 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  United States Agency for Global Media (Parts 500--599)
       VII  U.S. International Development Finance Corporation 
                (Parts 700--799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         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)
      XIII  Millennium Challenge Corporation (Parts 1300--1399)
       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)

[[Page 916]]

                          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)
      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) 
                [Reserved]
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]

[[Page 917]]

        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       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--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900--999)
        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 (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           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--799)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       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)

[[Page 918]]

        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  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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

[[Page 919]]

         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 Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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  Department of Defense, Defense Logistics Agency (Parts 
                1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     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, Department 
                of Defense (Parts 200--399)
        IV  Great Lakes St. Lawrence Seaway Development 
                Corporation, Department of Transportation (Parts 
                400--499)

[[Page 920]]

                          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 Career, Technical, and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             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)
        VI  [Reserved]
       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 (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)

[[Page 921]]

       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory 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)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)
        IX  Federal Permitting Improvement Steering Council (Part 
                1900)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            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)
 Chapters 
   62--100  [Reserved]
            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)
 Chapters 
  103--104  (Parts 103-001--104-099) [Reserved]

[[Page 922]]

       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)
       128  Department of Justice (Parts 128-1--128-99)
 Chapters 
  129--200  [Reserved]
            Subtitle D--Federal Acquisition Supply Chain Security
       201  Federal Acquisition Security Council (Parts 201-1--
                201-99).
            Subtitle E [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 303-1--303-99)
       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)
 Chapters 
   II--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   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 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)

[[Page 923]]

        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
        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)
        IX  Denali Commission (Parts 900--999)
         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  Administration for Children and Families, 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 of Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Parts 2300--2399)
      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)

[[Page 924]]

       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)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, 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  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)

[[Page 925]]

        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)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199) [Reserved]
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399) 
                [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        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  Pipeline and Hazardous Materials Safety 
                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 (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

[[Page 926]]

                   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)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 927]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2024)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, VIII, IX, X, XI; 9, 
                                                  II
Agricultural Research Service                     7, V
Agriculture, Department of                        2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, VIII, IX, X, XI; 9, 
                                                  II
  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
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 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
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  National Institute of Food and Agriculture      7, XXXIV
  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 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 of                          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
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 928]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI; 38, II
Army, Department of                               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
  Federal Acquisition Regulation                  48, 19
Career, Technical, and Adult Education, Office    34, IV
     of
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazard Investigation Board    40, VI
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 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 of                           2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Affairs, Office of the Under-          15, XV
       Secretary for
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  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; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense, Department of                            2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I

[[Page 929]]

  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy, Department of                             32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 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
Denali Commission                                 45, IX
Disability, National Council on                   5, C; 34, XII
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Office of the Under-Secretary   15, XV
     for
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical, and Adult Education, Office  34, IV
       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
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
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 Policy, National Commission for        1, IV
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 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                   2, XV; 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
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, II
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
     States
[[Page 930]]

Export-Import Bank of the United States           2, XXXV; 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 Acquisition Security Council              41, 201
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 2, LX; 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                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
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 Agency                    5, LXXX; 12, XII
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        5, CIII; 29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Permitting Improvement Steering Council   40, IX
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
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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 Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5

[[Page 931]]

  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 Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes St. Lawrence Seaway Development       33, IV
     Corporation
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 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, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II

[[Page 932]]

Indian Health Service                             25, V
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
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Intellectual Property Enforcement Coordinator,    5, CIV
     Office of
Inter-American Foundation                         5, LXIII; 22, X
Interior, Department of                           2, XIV
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Environmental Enforcement, Bureau    30, II
       of
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 Development Finance Corporation,    5, XXXIII; 22, VII
     U.S.
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
Investment Security, Office of                    31, VIII
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 of                            2, XXVIII; 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
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor, Department of                              2, XXIX; 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
  Federal Acquisition Regulation                  48, 29

[[Page 933]]

  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
  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, VI
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Libraries and Information Science, National       45, XVII
     Commission on
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
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, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
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
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 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   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV, VI
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          5, CI; 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                       2, XXV; 5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI; 47, II

[[Page 934]]

National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resource Revenue, Office of               30, XII
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy, Department of                               32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, IV, 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
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory 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
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Contracts, Department of Labor             41, 50
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII, L
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV, L
Rural Utilities Service                           7, XVII, XVIII, XLII, L
Safety and Environmental Enforcement, Bureau of   30, II
Science and Technology Policy, Office of          32, XXIV; 47, II
Secret Service                                    31, IV
Securities and Exchange Commission                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 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 of                              2, VI; 22, I; 28, XI

[[Page 935]]

  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  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
  Great Lakes St. Lawrence Seaway Development     33, IV
       Corporation
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  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 of the                       2, X; 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                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
Truman, Harry S. Scholarship Foundation           45, XVIII
United States Agency for Global Media             22, V
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
U.S. Copyright Office                             37, II
U.S. Office of Special Counsel                    5, CII
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs, Department of                   2, VIII; 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
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 937]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2019 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.govinfo.gov. For changes to this volume of the 
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. 
The ``List of CFR Sections Affected 1986-2000'' is available at 
www.govinfo.gov.

                                  2019

5 CFR
                                                                   84 FR
                                                                    Page
Chapter I
185.103 (a) introductory text and (f)(2) amended...................51938
337 Authority citation revised.....................................12875
337.204 (d) added..................................................12875
337.205 (c) added..................................................12875
532.213 (a) table amended..........................................36813
532.221 (a) table amended..........................................36813
532.259 (a) revised................................................22693
532.267 (c)(1) table amended.......................................36814
532.285 (c)(1) table amended.......................................36814
532.201--532.289 (Subpart B) Appendix amended......................49942
532.313 (a) table amended..........................................36814
550.103 Amended....................................................17939
550.1001--550.1010 (Subpart J) Revised.............................17939
550.1302 (2)(iii) of definition of ``firefighter'' revised.........17941

                                  2020

5 CFR
                                                                   85 FR
                                                                    Page
Chapter I
5.1000 Correction: instruction amended.............................81781
14.7 Correction: instruction amended...............................81781
120 Added..........................................................65651
185.103 (a) and (f)(2) amended.....................................42300
302.101 (c)(6) revised; (c)(11) added..............................63191
302.201 (b) revised................................................63191
302.303 (d) revised................................................63191
302.304 (b)(5) revised.............................................63191
302.401 (b) revised................................................63191
315 Authority citation revised.....................................65982
315.803 (a) revised................................................65982
432 Authority citation revised.....................................65982
432.103 (g) revised................................................65982
432.104 Revised....................................................65982
432.105 (a)(1), (4)(i)(B)(3), (4), and (C) revised.................65982
432.106 (b)(1) revised.............................................65983
432.107 (b) revised................................................65983
432.108 Added......................................................65983
531.603 (b) revised................................................65188
532.201--532.289 (Subpart B) Appendix C amended...............419, 38273
532.201--532.289 (Subpart B) Appendix D amended...............637, 19377
630 Authority citation revised.....................................48089
630.210 (d) added; interim.........................................48101
630.306 (a) revised; interim.......................................48101
630.308 (a) revised; interim.......................................48101
630.310 Added; interim.............................................48101
630.311 Removed; interim...........................................48102
630.1201 Heading, (b)(1), and (c) revised; (a), (b)(3)(iii), and 
        (4) amended; interim.......................................48089
630.1202 Amended; interim..........................................48089

[[Page 938]]

630.1203 (a)(2) and (d) through (g) revised; (b) amended; (i) and 
        (j) added; interim.........................................48090
630.1206 Revised; interim..........................................48091
630.1213 (b)(3) revised; interim...................................48092
630.1701--630.1708 (Subpart Q) Added; interim......................48092

                                  2021

5 CFR
                                                                   86 FR
                                                                    Page
Chapter I
315 Authority citation revised..............................52395, 61046
315.201 Amended; interim...........................................46106
315.612 (a) through (e) revised; (h) added.........................52396
315.614 Added; interim.............................................61046
315.714 Added; interim.............................................46106
316 Authority citation revised.....................................46107
316.901--316.915 (Subpart I) Added; interim........................46107
330 Authority citation revised..............................46109, 61047
330.609 (e)(2), (3), (cc), (dd), and (ee) amended; (e)(4) added; 
        interim....................................................46109
330.609 (ff) added; interim........................................61047
330.707 (h)(2), (3), (u), and (v) amended; (h)(4) added; interim 
                                                                   46109
330.707 (x) added; interim.........................................61047
335 Authority citation revised.....................................30379
335.103 (c)(1)(vi) revised; (c)(3)(viii) added.....................30379
532.201 Amended; interim...........................................11858
532.201 Regulation at 86 FR 11858 confirmed........................57355
532.207 (a) through (c) revised; interim...........................11859
532.235 (a) and (b) introductory text revised; interim.............11859
532.247 (a) through (c) revised; interim...........................11859
532.275 Removed....................................................12799

                                  2022

5 CFR
                                                                   87 FR
                                                                    Page
Chapter I
185.103 (a) introductory text and (f)(2) amended...................16094
315 Authority citation revised.....................................67782
315.803 (a) revised................................................67782
316 Authority citation revised.....................................73632
316.301 (c) added; eff. 1-3-23.....................................73632
316.302 (b)(7) revised; eff. 1-3-23................................73632
432.102 (b)(14) and (15) revised; (b)(16) added; (f)(12) removed; 
        (f)(13) and (14) redesignated as new (f)(12) and (13)......67782
432.104 Revised....................................................67782
432.105 (a)(1) and (4)(i)(B)(6) revised............................67782
432.108 Removed....................................................67782
531.603 (b) revised; effective date pending........................74290
531.603 Regulation at 87 FR 74290 effective date corrected to 1-4-
        23.........................................................76105

                                  2023

5 CFR
                                                                   88 FR
                                                                    Page
Chapter I
185.103 (a) introductory text and (f)(2) amended....................5246
302 Authority citation revised.....................................60329
302.107 Added......................................................60329
315 Authority citation revised..............................66678, 84689
315.612 (c) through (e) amended; (h) revised; interim..............66678
315.613 Added; eff. 1-5-24.........................................84689
317 Authority citation revised.....................................60329
317.202 Added......................................................60329
319 Authority citation revised.....................................60329
319.106 Added......................................................60329
330 Authority citation revised.....................................60329
330.1300--330.1301 (Subpart M) Revised.............................60329
335 Authority citation revised.....................................84690
335.107 Added; eff. 1-5-24.........................................84690
531.602 Amended....................................................78634
531.603 (b) revised................................................78634
531.603 Correction: Amended........................................85467
532.201--532.289 (Subpart B) Appendix D amended..............1133, 78224
532.201--532.289 (Subpart B) Appendix C amended.............17365, 78225
581 Appendix A revised.............................................32083
582 Appendix A revised.............................................32090
630.310 (g) revised; (h) and (i) added; interim....................15599

[[Page 939]]

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