[Federal Register Volume 61, Number 243 (Tuesday, December 17, 1996)]
[Rules and Regulations]
[Pages 66189-66198]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-31975]
========================================================================
Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.
========================================================================
Federal Register / Vol. 61, No. 243 / Tuesday, December 17, 1996 /
Rules and Regulations
[[Page 66189]]
OFFICE OF PERSONNEL MANAGEMENT
5 CFR PART 410
RIN: 3206-AF99
Training
AGENCY: Office of Personnel Management.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Office of Personnel Management (OPM) is issuing final
regulations governing Federal employee training. The regulations
implement provisions of the Federal Workforce Restructuring Act, dated
March 30, 1994 and provisions of the Federal Reports Elimination and
Sunset Act of 1995, dated December 21, 1995; incorporate former
provisionally retained FPM Letters; and reflect OPM's response to
agency requests to restructure 5 CFR part 410. The rules provide
agencies additional flexibility by implementing the National
Performance Review recommendations to reduce restrictions on training
and make it a more responsive management tool.
EFFECTIVE DATE: This rule becomes effective on December 17, 1996.
FOR FURTHER INFORMATION CONTACT:
Judith Lombard, 202-606-2431, E-MAIL [email protected], or FAX 202-606-
2394.
SUPPLEMENTARY INFORMATION: Under section 4118 of title 5, United States
Code, as amended, OPM is responsible for prescribing regulations for
the training of Government employees. Inconsistencies between current
training law and previously published regulations caused confusion and
led Federal managers, employees, and training officials to operate
under outdated, and unnecessary regulations. OPM found that delay in
issuing updated regulations would be contrary to public interest, and
published an interim revision of its regulations in the May 13, 1996,
Federal Register (61 FR 21947-21953) for a 30-day public comment
period.
Comments were received from 14 sources, including one labor
organization and one individual. OPM reviewed the comments with members
of the Human Resource Development Council's Policy and Legislation
Subcommittee, and collaborated with them on OPM's response. The
following summarizes the comments, suggestions and actions taken in
each subpart.
Subpart A--General Provisions
Section 410.101--Definitions. The labor organization felt training
was adequately defined in section 4101 of title 5, United States Code,
and that the clarifying language in Sec. 410.101(c) of the interim
regulation was restrictive and should be stricken. Response: Since
similar information is included in Sec. 410.204, options for developing
employees, the definition has been revised to read: ``Training has the
meaning given to the term in section 4101 of title 5, United States
Code.''
Subpart B--Planning for Training
Section 410.202--Integrating employee training and development with
agency strategic plans. One agency suggested that accountability and
cost-benefit be added to Sec. 410.202(a)(1) by adding alignment of
training plans to agency performance indicators. Response: Although the
idea has merit, it places a regulatory burden on training operations
that properly belongs to other levels of the organization as well. We
believe that the existing language is sufficient and that additional
language is unnecessary.
Section 410.202(b)(1)--Agency human resource development programs.
One agency suggested that accountability and cost-benefit be included
by adding that human resource development plans should represent
targeted investments in the workforce that are cost-beneficial and make
efficient use of resources. Response: We believe the existing language
is sufficient to assure accountability and efficiency and that
additional language is unnecessary.
Subpart C--Establishing and Implementing Training Programs
Section 410.302--Responsibilities of the head of an agency.
1. One agency proposed that the word ``procedures'' in
Sec. 410.302(a) (1) and (2) is more onerous and burdensome than the
word ``policy'' and recommended that the word procedures be dropped.
Response: The wording in the interim regulation could be interpreted to
mean that the agencies had to prescribe procedures, which was not our
intent. Previously published 5 CFR part 410 regulations used the
phrase, ``shall prescribe procedures as are necessary to assure * *
*''. This wording gives agencies the flexibility to determine when
procedures are necessary. We have changed Sec. 410.302 of the interim
regulations to include the ``as are necessary to ensure'' phrase.
2. One agency felt the subsection on training Presidential
appointees represented a departure from FPM 410-34 which delegated
OPM's training approval authority to heads of agencies. The agency
asked that the requirement in Sec. 410.302(c) for agency heads to
submit requests for their own training to OPM be eliminated. Response:
The President delegated authority to OPM to approve the training of
Presidential appointees. The FPM letter delegated that authority, with
conditions, to agency heads. Because we believed that self-review
constituted a conflict of interest, the FPM letter required agency
heads to have their training requests reviewed by OPM. Subsections
401.302 (b) and (c) of the interim regulation delegate authority to
approve training of Presidential appointees under the conditions of the
FPM Letter. Because we continue to believe that self-review constitutes
a conflict of interest, heads of agencies shall continue to submit
requests for their non-Government sponsored training to OPM for review.
3. Another agency suggested that the responsibility of the head of
an agency to maintain records of the agency's training plans,
expenditures and activities be included in subsection Sec. 410.302.
Response: This is clarifying suggestion which we have adopted. The text
has been revised by adding a subsection: ``(d) The head of the agency
shall establish the form and manner of maintaining agency records
related to training plans, expenditures, and activities.''
4. An agency also suggested that the requirement from
Sec. 410.310(b) for the agency head to publish written procedures on
continued service
[[Page 66190]]
agreement be added to Sec. 410.302. Response: This is a clarifying
suggestion which we have adopted. The text has been revised by adding a
subsection: ``(e) The head of the agency shall establish written
procedures which include the minimum requirements for continued service
agreement. (See also 5 CFR 410.310.)''
Section 410.304--Funding training programs. One agency recommended
including a statement which indicates that funding for employee
training and development is an investment in the future of the
individual and the organization. Response: The statement has merit, but
it is a philosophical idea which OPM is not including in regulation.
Section 410.305--Establishing and using interagency training. One
agency asked for clarification of interagency training and agencies
eligible for interagency training. Response: OPM has no objection to
further clarifying this subsection by revising it to read: ``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 to employees of other agencies under
section 4102 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
coordination of interagency training conducted by and for agencies
(including agencies and portions of agencies excepted by section
4102(a) of Title 5, United States Code).''
Section 410.306(b)--Training persons on Intergovernmental Personnel
Act (IPA) mobility assignments. One agency asked that OPM clarify this
subsection by stating if the authority to assign individuals on
mobility agreements to training applies to both non-Federal persons on
IPA appointment or on detail to a Federal agency. Response: Since this
authority is not specified elsewhere, OPM agrees that it should be
clarified here. This subsection has been revised to read: ``(b) Persons
on Intergovernmental Personnel Act mobility assignments may be assigned
to training if that 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.''
Section 410.307--Training for promotion. 1. One agency asked for
guidance on when training agreements are necessary for accelerated
promotions. Another agency asked that reference be made in Sec. 410.307
and Sec. 410.308 to the Modified Qualification provision contained in
OPM's Qualification Standards Operating Manual. Response: OPM agrees
that it is helpful (i) to refer to agency authority to modify
qualifications and to provide intensive training so employees may
acquire qualifications at an accelerated rate, and (ii) to refer to
time in grade regulations. We are merging Sec. 410.307 and Sec. 410.308
into a single section, retitling the section, adding a new paragraph
(a) as shown below, and renumbering the subpart. The new paragraph
reads as follows:
Section 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)).''
2. To further clarify training an employee subject to grade or pay
retention to qualify for another position, we have amended the language
in the former Sec. 410.308 and renumbered it Sec. 410.307(c)(1). It
reads, ``(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.''
3. One agency also suggested adding some guidance about employer
paid educational expenses and tax liability to Sec. 410.307. Response:
This area is subject to tax law which will change this year. OPM feels
it is a matter better explained in a handbook or in guidance. The
subsection will not be revised to address tax liability for Government
paid educational expenses.
Section 410.309(a)--Prohibition on training to obtain an academic
degree. One agency felt that the language in the interim regulation,
Sec. 410.309(a)(2), prohibited an agency from providing graduate and
post graduate level academic training for its employees who must
register for entire degree programs at certain desired institutions or
not at all. The agency noted that former OPM guidance existed in this
area and requested that this subsection be revised to reflect permitted
agency actions. Response: It was not OPM's intent to place new
restrictions on agencies. We have renumbered that section as
Sec. 410.308 and revised Sec. 410.308(a)(2) to read:
``(2)(i) The prohibition on academic degree in 5 U.S.C. 4107(a)(2)
is not to be construed as limiting the authority of agencies to approve
and pay for training expenses to develop knowledge, skills, and
abilities directly related to improved individual performance. If, in
the accomplishment of such training, an employee receives an academic
degree, the degree is an incidental by-product of the training.
(ii) Paying an additional rate of tuition because a student is a
degree candidate is prohibited. An agency is only authorized to pay the
tuition and fees charged for a nondegree student, even though the
employee is enrolled as a degree candidate. If it is not possible to
distinguish between costs associated with the acquisition of knowledge
and skills and the costs associated with the acquisition of an academic
degree at an institution, an agency is authorized to pay in full the
tuition of an employee
[[Page 66191]]
participating in an authorized program of training at that
institution.''
Section 410.309(b)--Degree training to relieve recruitment and
retention problems.
1. Two agencies thought that interim regulation Sec. 410.309(b) was
too long, addressed non-training issues, and should be rewritten.
Response: OPM agrees that the subsection is quite long, but it is
guidance for implementing an exception to training law that applies to
staffing as well as to training. Since the guidance only appears in 5
CFR part 410, we will retain it to assure Governmentwide uniformity in
making exceptions to the statute.
2. An individual asked that OPM include persons with disabilities,
including disabled veterans, in accordance with the requirements of
titles 5, 29, and 38 to Sec. 410.309(b) in the interim regulation.
Response: Although the suggestion has merit, the current language
reflects what is stated in training law. Since Sec. 410.302(a)
specifies that selection for training shall be made without regard to
handicapping condition, OPM feels it is unnecessary to include it in
this subsection.
3. One agency asked that interim regulation Sec. 410.309(g)(2) be
eliminated, suggesting it is inconsistent with the policy on personnel
recordkeeping which allows agencies to determine the types and kinds of
training that should be documented in an employee's individual record.
Response: OPM does not feel that the language is inconsistent with
filing rules. Sec. 410.309(g)(2) asks that agencies keep records on
individual employees assigned to training under this section. As a good
management practice, we believe agencies should keep this information
for a reasonable length of time. Where the records are maintained is a
matter of agency discretion.
Section 410.310--Agreements to continue in service.
1. The labor organization asked that the words ``reasonably and not
in a arbitrary and capricious manner'' be added to the sentence in
interim regulation Sec. 410.310(a) about establishing agency policy for
continued service agreements. Response: Since agency policies and
procedures must be established, and administered, in a uniform and non-
arbitrary manner, OPM believes the additional language is unnecessary.
However, OPM has renumbered the section as Sec. 410.309.
2. One agency pointed out that interim regulation
Sec. 410.310(b)(2) contains the statement that the ``period of service
will equal three times the length of the training.'' The agency
correctly notes that this places a condition on continued service
agreements that was not previously in regulation. Response: It was not
OPM's intent to be more restrictive in this area. OPM has renumbered
the section as Sec. 410.309(b)(2) and revised it to read: ``(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. Another agency asked for guidance on how to use continued
service agreements in interim regulation Sec. 410.310 for short term,
but high priced training. Response: OPM feels this is a matter for
agencies to address, if desired, in their internal policies and
procedures for continued service agreements.
Section 410.311--Computing time in training. One agency asked what
was meant by interim regulation Sec. 410.311(a) and (b). Specifically,
the agency questioned documenting leave without pay (LWOP) hours used
for training. It asked, ``Since training is official duty, how can the
person attending the training be on LWOP?'' Response: This provision is
included for agencies that need to compute time of employees in
training for continued service agreements. Continued service agreements
cover training expenses (other than salary) for which the agency may
require repayment. Agencies may grant employees LWOP for the purpose of
training and may pay all, some or none of the costs of the training. If
an agency pays for the training, it may subject the employee to a
continued service agreement. OPM agrees that clarifying language is
needed. We have renumbered this subsection as Sec. 410.310 and revised
it to read, ``For the purpose of computing time in training for
continued service agreements under section 4108 of title 5, United
States Code:''
Section 410.312--Records. Five agencies commented on 5 CFR 410.312,
keeping records of individual employees' training. Two asked for
clarification on the type of training data to keep, what its format
should be, how it should be filed, and how long it should be retained.
A third asked that the regulations specify that training of less than
eight hours need not be recorded if the agency so chooses. A fourth
said the language was unclear. The fifth suggested rewording the
subsection. Response: OPM has determined that agencies shall no longer
file training documents permanently in Official Personnel Folders.
Agency policy should address the filing and retention of training
documents to meet the agency's needs for internal review and control.
To clarify this authority, OPM has renumbered the section as 5 CFR
410.311 and revised it to read: ``Agencies shall retain, in such form
and manner as the agency head considers appropriate, a record of
training events authorized under this subpart for a reasonable period
of time.''
Subpart D--Paying for Training Expenses
Section 410.402--Paying premium pay.
1. One agency pointed out that meaning of Sec. 410.402(b)(2),
exemption to prohibition on premium pay for training at night, is not
consistent with previous OPM regulations. Response: We agree, and OPM
has revised it to read: ``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.''
2. The labor organization felt that Sec. 410.402(d)(1) and (2),
exception to prohibition premium pay for employees nonexempt from the
Fair Labor Standards Act, were inconsistent with Sec. 551.423(a)(2).
The organization suggested eliminating Sec. 410.402(d)(2) and revising
Sec. 410.402(d) to read: ``(d) Overtime pay under that Fair Labor
Standards Act (FLSA). Time spent in training for preparing for training
outside regular working hours shall be considered hours of work for the
purpose of computing FLSA overtime if an agency requires the training
(See also 5 CFR 551.423.)'' Response: OPM has determined that the
language is correct as written, but is adding a reference to Department
of Labor regulations on the subject, 29 CFR 785.27 through 785.32 that
may help clarify any questions. To clarify the regulations, we are
amending the regulation to read:
``(d) Overtime pay under the Fair Labor Standards Act (FLSA). (1)
Time spent in training or preparing for training outside regular
working hours shall be considered hours of work for the purpose of
computing FLSA overtime if an agency requires the training to bring
performance up to a fully successful, or equivalent level or to provide
knowledge or skills to perform new duties and responsibilities in the
employee's current position. (See also 5 CFR 551.423 and 29 CFR 785.27
through 785.32.)
(2) Time spent in training or preparing for training outside the
employee's regular working hours for the following purposes is not
hours of work:
[[Page 66192]]
(i) Training to improve a nonexempt employee's performance in his
or her current position above a fully successful, or equivalent level,
provided such training is undertaken with the knowledge that the
employee's performance or continued retention in his or her current
position will not be adversely affected by nonenrollment in the
training program; or
(ii) Training to provide a nonexempt employee with additional
knowledge or skills for reassignment to another position or advancement
to a higher grade in another position, even if such training is
directed by the agency. (See also 29 CFR 785.27 through 785.32).''
3. Two agencies asked that OPM address the issue of overtime pay
for travel to and from training assignments in the regulations.
Response: Compensation for travel is subject to compensation law and
regulations. OPM addresses compensation for travel in 5 CFR 550.112(g)
and 5 CFR 551.422. However, OPM has no objection to referencing travel
for training regulations in 5 CFR part 410. We have added
Sec. 410.402(e), which reads:
``(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 785.41.)''
Section 410.403--Subsistence payments for extended training
assignments. Two agencies asked for additional clarification of agency
authority to pay training expenses under training law. Since training
law provides for paying expenses of temporary duty training assignments
not found in other law, OPM agrees with the comments and has retitled
this subsection and revised it to read:
Section 410.403--Payments for temporary duty training assignments.
Section 4109(a)(2) of title 5, United States Code, provides that an
agency may pay, or reimburse an employee for, all or a part of the
necessary expenses of training, including the necessary costs of
travel; per diem expenses; or limited relocation expenses including
transportation of the immediate family, household goods and personal
effects.
(a) If an agency chooses to pay per diem, or in unusual
circumstances the actual subsistence, expenses for an employee on a
temporary duty training assignment, payment must be in accordance with
41 CFR part 301-7 or 41 CFR part 301-8 (or, for commissioned officers
of the National Oceanic and Atmospheric Administration, in accordance
with sections 404 and 405 of title 37, United States Code, and the
Joint Federal Travel Regulations for the Uniformed Services).
(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.''
Section 410.404--Determining if a conference is a training
activity. Two agencies said the wording of the interim regulation was
too broad to be of much assistance in determining if a conference is a
training activity. Both suggested further clarification. Response: OPM
agrees that the language is too broad and has revised the subsection to
read:
``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) Developmental benefits will be derived through the employee's
attendance.''
Section 410.406--Records of training expenses. One agency suggested
revising the subsection so that it would read similarly to other
subsections on recordkeeping. Response: For uniformity, the subsection
has been revised to read: ``Agencies shall retain, in such form and
manner as the agency head considers appropriate, a record of payments
made for travel, tuition, fees and other necessary training expenses
for a reasonable period of time.''
Subpart E--Accepting Contributions, Awards, and Payments From Non-
Government Organizations
OPM received no comments on this subpart.
Subpart F--Evaluating Training
Section 410.601--Responsibility of the head of an agency to
evaluate training. One agency suggested that cost-effectiveness be
added to this subsection. Response: Since evaluating cost-effectiveness
is an inherent component of evaluation, we believe the additional
language is unnecessary.
Section 410.602--Records. One agency suggested revising the
subsection so that it would read similarly to others on recordkeeping.
Response: For uniformity, this subsection has been revised to read:
``An agency head shall retain records of these evaluations in such form
and manner as the agency head considers appropriate.''
Subpart G--Reports
Section 410.701--Reports. One agency suggested that subpart G be
renamed ``Records and Reports'' and be rewritten to incorporate the
several sections on recordkeeping (Sec. 410.312, Sec. 410.406,
Sec. 410.503, and Sec. 410.602). Another agency recommended that the
requirement for agencies to provide information to OPM in the form that
OPM prescribes be dropped. Response: The structure of the regulation
has been left intact. However, for clarity, the subsection has been
revised to cite the recordkeeping provisions. Section 4118(a)(7) of
title 5 United States Code, requires the agencies to submit reports to
the Office of Personnel Management on the results and effects of
training programs and plans and economies resulting therefrom,
including estimates of costs of training. Although OPM will
[[Page 66193]]
work with the agencies regarding the form of these reports, OPM, as
part of its oversight responsibilities, must retain its authority to
prescribe the form of the reports. Section 410.701 has been revised to
read: ``Each agency shall maintain records of its training plans,
expenditures and activities as required in Sec. 410.302(d),
Sec. 410.312, Sec. 410.406, Sec. 410.503, and Sec. 410.602 and report
its plans, expenditures and activities to the Office of Personnel
Management at such times and in such form as the Office prescribes.''
Regulatory Flexibility Act
I certify that these regulations will not have significant economic
impact on a substantial number of small entities because they affect
only Federal employees and agencies.
List of Subjects in 5 CFR Part 410
Education, Government employees.
U.S. Office of Personnel Management,
James B. King,
Director.
Accordingly, the Office of Personnel Management is revising 5 CFR
part 410 as follows:
PART 410--TRAINING
Subpart A--General Provisions
Sec.
410.101 Definitions.
Subpart B--Planning for Training
410.201 Responsibilities of the head of an agency.
410.202 Integrating employee training and development with agency
strategic plans.
410.203 Assessing organizational, occupational, and individual
needs.
410.204 Options for developing employees.
Subpart C--Establishing and Implementing Training Programs
410.301 Scope and general conduct of training programs.
410.302 Responsibilities of the head of an agency.
410.303 Employee responsibilities.
410.304 Funding training programs.
410.305 Establishing and using interagency training.
410.306 Selecting and assigning employees to training.
410.307 Training for promotion and placement in other positions.
410.308 Training to obtain an academic degree.
410.309 Agreements to continue in service.
410.310 Computing time in training.
410.311 Records.
Subpart D--Paying for Training Expenses
410.401 Determining necessary training expenses.
410.402 Paying premium pay.
410.403 Payments for temporary duty training assignments.
410.404 Determining if a conference is a training activity.
410.405 Protection of Government interest.
410.406 Records of training expenses.
Subpart E--Accepting Contributions, Awards, and Payments From Non-
Government Organizations
410.501 Scope.
410.502 Authority of the head of an agency.
410.503 Records.
Subpart F--Evaluating Training
410.601 Responsibility of the head of an agency.
410.602 Records.
Subpart G--Reports
410.701 Reports.
Authority: 5 U.S.C. 4101, et seq.; E.O. 11348, 3 CFR, 1967
Comp., p. 275.
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-engineering, downsizing, restructuring, and/or program changes.
(e) Retraining means training and development provided to address
an individual's skills obsolescence in the current position and/or
training and development to prepare an individual for a different
occupation, in the same agency, in another Government agency, or in the
private sector.
(f) Continued service agreement has the meaning given to service
agreements in section 4108 of title 5, United States Code.
(g) Interagency training means training provided by one agency for
other agencies or shared by two or more agencies.
(h) State and local government have the meanings given to these
terms by section 4762 of title 42, United States Code.
Subpart B--Planning for Training
Sec. 410.201 Responsibilities of the head of an agency.
As stated in section 4103 of title 5, United States Code, and in
Executive Order 11348, the head of each agency shall:
(a) Establish, budget for, operate, maintain, and evaluate a
program or programs, and a plan or plans thereunder, for training
agency employees by, in, and through Government and non-Government
facilities;
(b) Determine policies governing employee training, including a
statement of broad purposes for agency training, the assignment of
responsibility for seeing that these purposes are achieved, and the
delegation of training approval authority to the lowest possible level;
and
(c) Establish priorities for training employees and provide for
funds and staff according to these priorities.
Sec. 410.202 Integrating employee training and development with agency
strategic plans.
(a) Agencies shall include mission-related training and development
in agency strategic planning to ensure that:
(1) Agency training strategies and activities contribute to mission
accomplishment; and
(2) Organizational performance goals are met.
(b) Agency human resource development programs and plans should:
(1) Improve employee and organizational performance; and
(2) Build and support an agency workforce capable of achieving
agency mission and performance goals.
Sec. 410.203 Assessing organizational, occupational, and individual
needs.
(a) Assessment. Section 303 of Executive Order 11348 specifies the
responsibility of heads of agencies to assess agency training needs
annually.
[[Page 66194]]
(b) Method. The method an agency uses to conduct training needs
assessment shall meet the requirements of chapter 41 of title 5, United
States Code, Executive Order 11348, and this subpart.
Sec. 410.204 Options for developing employees.
Agencies may use a full range of options to meet their mission-
related organizational and employee development needs, such as
classroom training, on-the-job training, technology-based training,
satellite training, employees' self-development activities, coaching,
mentoring, career development counseling, details, rotational
assignments, cross training, and developmental activities at retreats
and conferences.
Subpart C--Establishing and Implementing Training Programs
Sec. 410.301 Scope and general conduct of training programs.
(a) Authority. The requirements for establishing training programs
and plans are found in section 4103(a) of title 5, United States Code,
and Executive Order 11348.
(b) Alignment with other human resource functions. Training
programs established by agencies under chapter 41 of title 5, United
States Code, should be integrated with other personnel management and
operating activities, under administrative agreements as appropriate,
to the maximum possible extent.
Sec. 410.302 Responsibilities of the head of an agency.
(a) Specific responsibilities. (1) The head of each agency shall
prescribe procedures as are necessary to ensure that the selection of
employees for training is made without regard to political preference,
race, color, religion, national origin, sex, marital status, age, or
handicapping condition, and with proper regard for their privacy and
constitutional rights as provided by merit system principles set forth
in 5 U.S.C. 2301 (b)(2).
(2) The head of each agency shall prescribe procedures as are
necessary to ensure that the training facility and curriculum are
accessible to employees with disabilities.
(3) The head of each agency shall not allow training in a facility
that discriminates in the admission or treatment of students.
(b)(1) Training of Presidential appointees. The Office of Personnel
Management delegates to the head of each agency authority to authorize
training for officials appointed by the President. In exercising this
authority, the head of an agency must ensure that the training is in
compliance with chapter 41 of title 5, United States Code, and with
this part. This authority may not be delegated to a subordinate.
(2) Records. When exercising this delegation of authority, the head
of an agency must maintain records that include:
(i) The name and position title of the official;
(ii) A description of the training, its location, vendor, cost, and
duration; and
(iii) A statement justifying the training and describing how the
official will apply it during his or her term of office.
(3) Review of delegation. Exercise of this authority is subject to
U.S. Office of Personnel Management review.
(c)Training for the head of an agency. Since self-review
constitutes a conflict of interest, heads of agencies must submit their
own requests for training to the U.S. Office of Personnel Management
for approval.
(d) The head of the agency shall establish the form and manner of
maintaining agency records related to training plans, expenditures, and
activities.
(e) The head of the agency shall establish written procedures which
cover the minimum requirements for continued service agreements. (See
also 5 CFR 410.310.)
Sec. 410.303 Employee responsibilities.
Employees are responsible for self-development, for successfully
completing and applying authorized training, and for fulfilling
continued service agreements. In addition, they share with their
agencies the responsibility to identify training needed to improve
individual and organizational performance and identify methods to meet
those needs, effectively and efficiently.
Sec. 410.304 Funding training programs.
Section 4112 of title 5, United States Code, provides for agencies
paying the costs of their training programs and plans from applicable
appropriations or from other funds available. Training 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. 410.309(a) of this part, an
agency may pay all or part of the training expenses of students hired
under the Student Career Experience Program (see 5 CFR 213.3202(d)(10).
[[Page 66195]]
Sec. 410.307 Training for promotion or placement in other positions.
(a) General. In determining whether to provide training under this
section, agencies should take into account:
(1) Agency authority to modify qualification requirements in
certain situations as provided in the OPM Operating Manual for
Qualification Standards for General Schedule Positions;
(2) Agency authority to establish training programs that provide
intensive and directly job-related training to substitute for all or
part of the experience (but not education, licensing, certification, or
other specific credentials), required by OPM qualification standards.
Such training programs may be established to provide employees with the
opportunity to acquire the experience and knowledge, skills, and
abilities necessary to qualify for another position (including at a
higher grade) at an accelerated rate; and
(3) Time-in-grade restrictions on advancement (see 5 CFR
300.603(b)(6)).
(b) Training for promotion. Under the authority of 5 U.S.C. 4103,
and consistent with merit system principles set forth in 5 U.S.C.
2301(b)(1) and (2), an agency may provide training to non-temporary
employees that in certain instances may lead to promotion. An agency
must follow its competitive procedures under part 335 of this chapter
when selecting a non-temporary employee for training that permits
noncompetitive promotion after successful completion of the training.
(c) Training for placement in other agency positions, in other
agencies, or outside Government.--(1) Grade or pay retention. Under the
authority of 5 U.S.C. 4103 and 5 U.S.C. 5364, an agency may train an
employee to meet the qualification requirements of another position in
the agency if the new position is at or below the retained grade or the
grade of the position the employee held before pay retention.
(2) Training for placement in another agency. Under the authority
of 5 U.S.C. 4103(b), and consistent with merit system principles set
forth in 5 U.S.C. 2301, an agency may train an employee to meet the
qualification requirements of a position in another agency if the head
of the agency determines that such training would be in the interest of
the Government.
(i) Before undertaking any training under this section, the head of
the agency shall determine that there exists a reasonable expectation
of placement in another agency.
(ii) When selecting an employee for training under this section,
the head of the agency shall consider:
(A) The extent to which the employee's current skills, knowledge,
and abilities may be utilized in the new position;
(B) The employee's capability to learn skills and acquire knowledge
and abilities needed in the new position; and
(C) The benefits to the Government which would result from
retaining the employee in the Federal service.
(3) Training displaced or surplus employees. Displaced or surplus
employees as defined in 5 CFR 330.604(b) and (f) may be eligible for
training or retraining for positions outside Government through
programs provided under 29 U.S.C. 1651, or similar authorities. An
agency may use its appropriated funds for training displaced or surplus
employees for positions outside Government only when specifically
authorized by legislation to do so.
(4) Career transition assistance plans. Under 5 CFR 330.602,
agencies are required to establish career transition assistance plans
(CTAP) to provide career transition services to displaced and surplus
employees.
(i) Under the authority of 5 U.S.C. 4109, an agency may:
(A) Train employees in the use of the CTAP services;
(B) Provide vocational and career assessment and counseling
services;
(C) Train employees in job search skills, techniques, and
strategies; and
(D) Pay for training related expenses as provided in 5 U.S.C.
4109(a)(2).
(ii) Agency CTAP's will include plans for retraining displaced or
surplus employees covered by this part.
Sec. 410.308 Training to obtain an academic degree.
(a) Prohibition. (1) Under 5 U.S.C. 4107(a), an agency may not
authorize training for an employee to obtain an academic degree, except
for shortage occupations as defined in Sec. 410.308(b).
(2)(i) The prohibition on academic degree in 5 U.S.C. 4107(a)(2) is
not to be construed as limiting the authority of agencies to approve
and pay for training expenses to develop knowledge, skills, and
abilities directly related to improved individual performance. If, in
the accomplishment of such training, an employee receives an academic
degree, the degree is an incidental by-product of the training.
(ii) Paying an additional rate of tuition because a student is a
degree candidate is prohibited. An agency is only authorized to pay the
tuition and fees charged for a nondegree student, even though the
employee is enrolled as a degree candidate. If it is not possible to
distinguish between costs associated with the acquisition of knowledge
and skills and the costs associated with the acquisition of an academic
degree at an institution, an agency is authorized to pay in full the
tuition of an employee participating in an authorized program of
training at that institution.
(b) Academic degree training to relieve recruitment and retention
problems. (1) 5 U.S.C. 4107(b) allows an agency to authorize academic
degree training if the training:
(i) Is necessary to assist in recruiting or retaining employees in
occupations in which the agency has or anticipates a shortage of
qualified personnel, especially in occupations which it has determined
involve skills critical to its mission, and
(ii) Meets the conditions of this section.
(2) In reviewing the need to provide training under this section,
an agency shall give appropriate consideration to any special salary
rate, student loan repayment, retention allowance, or other monetary
inducement authorized by law already provided or being provided which
contributes to the alleviation of the staffing problem in the
occupation targeted by that training.
(3) In exercising the authority in this section, an agency shall,
consistent with the merit system principles set forth in 5 U.S.C.
2301(b)(1) and (2), take into consideration the need to maintain a
balanced workforce in which women and members of racial and ethnic
minority groups are appropriately represented in the agency.
(4) The authority in this section shall not be exercised on behalf
of any employee occupying, or seeking to qualify for appointment to,
any position which is excepted from the competitive service because of
its confidential, policy-determining, policy-making, or policy-
advocating character.
(5) An agency's policies established under Sec. 410.201 of this
part shall cover decisions to authorize training under this section, to
ensure that:
(i) The determination to pay for degree training is made at a
sufficiently high level so as to protect the Government's interest; and
(ii) The authority is used to address the agency's recruitment and
retention problems expeditiously though appropriate delegations of
authority.
(c) Determining recruitment and retention problems. For the
purposes of this section, a recruitment or retention problem exists if
the criteria for a recruitment bonus under 5 CFR 575.104(c)(2) or for a
retention allowance under 5 CFR 575.305(c)(3) applies.
[[Page 66196]]
(1) Recruitment problem. Before determining that an agency has or
anticipates a problem in the recruitment of qualified personnel for a
particular position, an agency shall make a reasonable recruitment
effort, including factors in 5 CFR 575.104(c)(2). In making a
reasonable recruitment effort, an agency will consider the following:
(i) For a position in the competitive service, the results of
requests for referral of eligibles from the appropriate competitive
examination. For a position in the excepted service, the agency's
objectives and staffing procedures.
(ii) Contacts with State Employment Service office(s) serving the
locality concerned.
(iii) Contacts with academic institutions, technical and
professional organizations, and other organizations likely to produce
qualified candidates for the position, including women's and minority-
group organizations.
(iv) The possibility of relieving the shortage through broader
publicity and recruitment.
(v) The availability of qualified candidates within the agency's
current work force.
(vi) The possibility of relieving the shortage through job
engineering or training of current employees.
(2) Retention problem. Before determining that an agency has or
anticipates a problem in the retention of qualified personnel in a
particular occupation, an agency shall consider the factors in 5 CFR
575.305(c)(3) and:
(i) The ease with which an agency could replace the employee with
someone of comparable background;
(ii) The current and projected vacancy rates in the occupation;
(iii) The rate of turnover in the occupation; and
(iv) Technological changes affecting the occupation and long-range
predictions affecting staffing for the occupation.
(d) Assessing continuing problems. A reassessment of a
``continuing'' recruitment or retention problem shall be made
periodically.
(e) Authorizing training. (1) An agency may authorize full or part-
time training to address a recruitment problem if--
(i) The training qualifies an employee for a shortage position
identified under paragraph (c)(1) of this section; and
(ii) The agency expects to place the employee in the shortage
position after the training.
(2) Training may be authorized under this section for the purpose
of retaining an employee in a shortage occupation identified under
paragraph (c)(2) of this section, if it involves a course of study
selected mainly for its potential contribution to effective performance
in that occupation.
(3) Agencies shall select employees for academic degree training
according to competitive procedures as specified in Sec. 410.306.
(f) Monitoring training. An agency shall assess the contribution of
training assignments under this section to resolving recruitment or
retention problems in its shortage occupations.
(g) Documentation. (1) In exercising the authority in this section,
an agency shall retain for a reasonable period:
(i) A record of employees assigned to training under this section;
and
(ii) A record of findings that the recruitment or retention problem
is a continuing one.
(2) As a separate record, the servicing personnel office shall keep
the following information for each employee assigned to training under
this section:
(i) Nature and justification for the shortage determination;
(ii) Kind of training (e.g., career experience program, continuing
professional and technical education, retraining for occupational
change); a description of the field of study; and the nature of any
degree pursued under the training program; and
(iii) A written continued service agreement, if required.
Sec. 410.309 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 prior to starting the training. The period of service
will equal at least three times the length of the training.
(c) Failure to fulfill agreements. With a signed agreement, the
agency has a right to recover training costs, except pay or other
compensation, if the employee voluntarily separates from Government
service. The agency shall provide procedures to enable the employee to
obtain a reconsideration of the recovery amount or to appeal for a
waiver of the agency's right to recover.
Sec. 410.310 Computing time in training.
For the purpose of computing time in training for continued service
agreements under section 4108 of title 5, United States Code:
(a) An employee on an 8-hour day work schedule assigned to training
is counted as being in training for the same number of hours he or she
is in pay status during the training assignment. If the employee is not
in pay status during the training, the employee is counted as being in
training for the number of hours he or she is granted leave without pay
for the purpose of the training.
(b) For an employee on an alternative work schedule, the agency is
responsible for determining the number of hours the employee is in pay
status during the training assignment. If the employee is not in pay
status during the training, the employee is counted as being in
training for the number of hours he or she is granted leave without pay
for the purpose of the training.
(c) An employee on an 8-hour or an alternative work schedule
assigned to training on less than a full-time basis is counted as being
in training for the number of hours he or she spends in class, in
formal computer-based training, in satellite training, in formal self-
study programs, or with the training instructor, unless a different
method is determined by the agency.
Sec. 410.311 Records.
Agencies shall retain, in such form and manner as the agency head
considers appropriate, a record of training events authorized under
this subpart for a reasonable period of time.
Subpart D--Paying for Training Expenses
Sec. 410.401 Determining necessary training expenses.
(a) The head of an agency determines which expenses constitute
necessary training expenses under section 4109 of title 5, United
States Code.
(b) An agency may pay, or reimburse an employee, for necessary
expenses incurred in connection with approved training as provided in
section 4109(a)(2) of title 5, United States Code. Necessary training
expenses do not include an employee's pay or other compensation.
Sec. 410.402 Paying premium pay.
(a) Prohibitions. Except as provided by paragraph (b) of this
section, an agency may not use its funds,
[[Page 66197]]
appropriated or otherwise available, to pay premium pay to an employee
engaged in training by, in, or through Government or non-government
facilities.
(b) Exceptions. The following are excepted form the provision in
paragraph (a) of this section prohibiting the payment of premium pay:
(1) Continuation of premium pay. An employee given training during
a period of duty for which he or she is already receiving premium pay
for overtime, night, holiday, or Sunday work shall continue to receive
that premium 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) Agency exemption. An employee given training during a period
not otherwise covered by a provision of this paragraph may be paid
premium pay when the employing agency has been granted an exception to
paragraph (a) of this section by the U.S. Office of Personnel
Management.
(c) An employee who is excepted under paragraph (b) of this section
is eligible to receive premium pay in accordance with the applicable
pay authorities.
(d) Overtime pay under the Fair Labor Standards Act (FLSA). (1)
Time spent in training or preparing for training outside regular
working hours shall be considered hours of work for the purpose of
computing FLSA overtime if an agency requires the training to bring
performance up to a fully successful, or equivalent level or to provide
knowledge or skills to perform new duties and responsibilities in the
employee's current position. (See also 5 CFR 551.423 and 29 CFR 785.27
through 785.32.)
(2) Time spent in training or preparing for training outside the
employee's regular working hours for the following purposes is not
hours of work:
(i) Training to improve a nonexempt employee's performance in his
or her current position above a fully successful, or equivalent level,
provided such training is undertaken with the knowledge that the
employee's performance or continued retention in his or her current
position will not be adversely affected by nonenrollment in the
training program; or
(ii) Training to provide a nonexempt employee with additional
knowledge or skills for reassignment to another position or advancement
to a higher grade in another position, even if such training is
directed by the agency. (See also 29 CFR 785.27 through 785.32).
(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.)
Sec. 410.403 Payments for temporary duty training assignments.
Section 4109(a)(2) of title 5, United States Code, provides that an
agency may pay, or reimburse an employee for, all or a part of the
necessary expenses of training, including the necessary costs of
travel; per diem expenses; or limited relocation expenses including
transportation of the immediate family, household goods and personal
effects:
(a) If an agency chooses to pay per diem, or in unusual
circumstances the actual subsistence, expenses for an employee on a
temporary duty training assignment, payment must be in accordance with
41 CFR part 301-7 or 41 CFR part 301-8 (or, for commissioned officers
of the National Oceanic and Atmospheric Administration, in accordance
with sections 404 and 405 of title 37, United States Code, and the
Joint Federal travel Regulations for the Uniformed Services).
(b) An agency may pay a reduces 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.
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.
[[Page 66198]]
Sec. 410.406 Records of training expenses.
Agencies shall retain, in such form and manner as the agency head
considers appropriate, a record of payments made for travel, tuition,
fees and other necessary training expenses for a reasonable period of
time.
Subpart E--Accepting Contributions, Awards, and Payments From Non-
Government Organizations
Sec. 410.501 Scope.
(a) Section 4111 of title 5, United States Code, describes
conditions for employee acceptance of contributions, awards, and
payments made in connection with non-Government sponsored training or
meetings which an employee attends while on duty when the agency pays
the training or meeting attendance expenses, in whole or in part.
(b) This subpart does not limit the authority of an agency head to
establish procedures on the acceptance of contributions, awards, and
payments in connection with any training and meetings that are outside
the scope of this subpart in accordance with laws and regulations
governing Government ethics and governing acceptance of travel
reimbursements from non-Federal sources.
Sec. 410.502 Authority of the head of an agency.
(a) In writing, the head of an agency may authorize an agency
employee to accept a contribution or award (in cash or in kind)
incident to training or to accept payment (in cash or in kind) of
travel, subsistence, and other expenses incident to attendance at
meetings if
(1) The conditions specified in section 4111 of title 5, United
States Code, are met; and
(2) In the judgment of the agency head, the following two
conditions are met:
(i) The contribution, award, or payment is not a reward for
services to the organization prior to the training or meeting; and
(ii) Acceptance of the contribution, award, or payment:
(A) Would not reflect unfavorably on the employee's ability to
carry out official duties in a fair and objective manner;
(B) Would not compromise the honesty and integrity of Government
programs or of Government employees and their official actions or
decisions;
(C) Would be compatible with the Ethics in Government Act of 1978,
as amended; and
(D) Would otherwise be proper and ethical for the employee
concerned given the circumstances of the particular case.
(b) Delegation of authority. An agency head may delegate authority
to authorize the acceptance of contributions, awards, and payments
under this section. The designated official must ensure that--
(1) The policies of the agency head are reflected in each decision;
and
(2) The circumstances of each case are fully evaluated under
conditions set forth in Sec. 410.502(a).
(c) Acceptance of contributions, awards, and payments. An employee
may accept a contribution, award, or payment (whether made in cash or
in kind) that falls within the scope of this section only when he or
she has specific written authorization.
(d) When more than one non-Government organization participates in
making a single contribution, award, or payment, the ``organization''
referred to in this subsection is the one that:
(1) Selects the recipient; and
(2) Administers the funds from which the contribution, award, or
payment is made.
Sec. 410.503 Records.
An agency shall maintain, in such form and manner as the agency
head considers appropriate, the following records in connection with
each contribution, awards, or payment made and accepted under authority
of this section: The recipient's name; the organization's name; the
amount and nature of the contribution, award, or payment and the
purpose for which it is to be used; and a copy of the written
authorization required by Sec. 410.502(a).
Subpart F--Evaluating Training
Sec. 410.601 Responsibility of the head of an agency.
Under provisions of chapter 41 of title 5, United States Code, and
Executive Order 11348, the agency head shall evaluate training to
determine how well it meets short and long-range program needs by
occupations, organizations, or other appropriate groups. The agency
head may conduct the evaluation in the manner and frequency he or she
considers appropriate.
Sec. 410.602 Records.
An agency head shall retain records of these evaluations in such
form and manner as he or she considers appropriate.
Subpart G--Reports
Sec. 410.701 Reports.
Each agency shall maintain records of its training plans,
expenditures and activities as required in Sec. 410.302(d),
Sec. 410.312, Sec. 410.406, Sec. 410.503, and Sec. 410.602 and report
its plans, expenditures and activities to the Office of Personnel
Management at such times and in such form as the Office prescribes.
[FR Doc. 96-31975 Filed 12-16-96; 8:45 am]
BILLING CODE 6325-01-M