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.

Rules and Regulations Federal Register

21947

Vol. 61, No. 93

Monday, May 13, 1996

OFFICE OF PERSONNEL

MANAGEMENT

5 CFR Part 410

RIN 3206–AF99

Training

AGENCY: Office of Personnel

Management.

ACTION: Interim rule with request for

comments.

SUMMARY: The Office of Personnel

Management (OPM) is issuing interim

regulations governing Federal employee

training. The regulations implement

provisions of the Federal Workforce

Restructuring Act, dated March 30, 1994

and provisions of the Federal Reports

Elimination and Sunset Act of 1995,

dated December 21, 1995; incorporate

former provisionally retained FPM

Letters; and reflect OPM’s response to

agency requests to restructure 5 CFR

part 410. The interim rules provide

agencies additional flexibility by

implementing the National Performance

Review recommendations to reduce

restrictions on training and make it a

more responsive management tool.

DATES: This interim rule becomes

effective on May 13, 1996. Comments

must be received on or before June 12,

1996.

ADDRESSES: Send or deliver written

comments to Allan D. Heuerman,

Associate Director, Human Resources

Systems Service, Office of Personnel

Management, Room 7412, 1900 E Street,

NW., Washington, DC, 20415–0001.

FOR FURTHER INFORMATION CONTACT:

Judith Lombard, 202–606–2431, FAX

202–606–2394.

SUPPLEMENTARY INFORMATION: These

interim regulations affect the training of

Government employees. They

incorporate (1) Public Law 103–226

amendments to chapter 41 of title 5,

United States Code; (2) Public Law 104–

66 amendments to chapter 41 of title 5,

United States Code; (3) former

provisionally retained FMP Letters; and

(4) flexibilities requested by agencies.

Decisions on what to include in the

regulations were based on whether the

requirement or authority was necessary

to assure uniformity in training Federal

employees and/or to protect employee

rights.

Amendments to the Government

Employees Training Act

The September 1993 Report of the

National Performance Review (NPR)

recommended (1) eliminating the

distinction between Government and

non-Government training to make

training more market driven and (2)

removing the restrictions on employee

training to help develop a multi-skilled

workforce in the Federal Government.

These recommendations were included

in Public Law 103–226 (Federal

Workforce Restructuring Act of 1994)

dated March 31, 1994, which amended

5 U.S.C. chapter 41 in the following

ways.

In 5 U.S.C. 4101, the definition of

training expands from training directly

related to the performance of official

duties to any training that improves

individual and organizational

performance and assists an agency in

achieving its mission and performance

goals.

5 U.S.C. 4103(a) requires the head of

an agency to relate training programs

and plans to agency mission and

performance goals and to provide

employees information about training

selection and assignment and applicable

training limitations and restrictions.

5 U.S.C. 4103(b)(1) allows agencies to

train employees for placement in

another agency when such training is in

the interest of the Government.

5 U.S.C. 4105 eliminates the

distinction between ‘‘Government’’ and

‘‘non-Government’’ training, thereby

allowing managers to take full

advantage of available training sources.

Previously agencies had to use

Government training facilities where

possible.

5 U.S.C. 4106 is deleted, thereby

eliminating both service requirements

for non-Government training and

restrictions on time-in-training.

Previously, an employee had to have 1

year of current, continuous civilian

service to be eligible for nonGovernment training. Previously, an

employee could spend only 1 year in

training for every 10 years of

Government service.

Section 2181(c) of Public Law 104–66

(Federal Reports Elimination and Sunset

Act of 1995), dated December 21, 1995,

repealed section 4113 of title 5, United

States Code, eliminating the

requirements for agencies to review the

training needs of employees and to

report their training programs and plans

to OPM at least once every 3 years.

These interim regulations revise 5

CFR part 410 to reflect the changes in

5 U.S.C. chapter 41.

Former Provisionally Retained FPM

Letters

One of the recommendations of the

September 1993 Report of the National

Performance Review was that the

Federal Personnel Manual (FPM) should

be ‘‘sunset.’’ The Director of OPM

abolished the FPM on December 31,

1993. Two FPM Letters on training were

provisionally retained through

December 31, 1994.

1. Training of Civilian Officials

Appointed by the President

Provisionally retained FPM Letter

410–34, Training of Civilian Officials

Appointed by the President, delegated

to the heads of agencies the authority to

designate Presidential appointees, other

than themselves, for training. The

interim regulation puts this delegation

of authority into § 410.302(b).

2. Conferences as Training Activities

Provisionally retained FPM Letter

410–35, Conferences as Training

Activities, implemented the February

10, 1993, Presidential memorandum and

OMB Bulletin 93–11 on ‘‘Government

Fiscal Responsibility and Reducing

Perquisites,’’ and the Federal Travel

Regulations on ‘‘Conference Planning’’

(41 CFR part 301–16). They require that

agencies exercise strict fiscal

responsibility when selecting

conference sites to minimize costs and

to keep employee attendance to a

minimum consistent with serving the

public’s interest. The interim

regulations put language into 5 CFR 410

to assist agencies in determining if a

conference is a training activity

(§ 410.404). This will reduce

Government costs by limiting Federal

employee attendance to appropriate

training conferences where participation

fosters the achievement of agency
21948 Federal Register / Vol. 61, No. 93 / Monday, May 13, 1996 / Rules and Regulations

missions while enhancing employees’

professional growth.

Summary of Major Proposed Changes

to Training Regulations

OPM also is revising its training

regulations in other ways to provide

additional flexibilities, eliminate

burdensome requirements, and clarify

ambiguous language. The following list

summarizes the substantive changes,

including those discussed above.

Added Flexibilities and Reduced

Requirements

1. The head of an agency has

increased flexibility and authority in

planning, implementing and evaluating

training to meet mission-related needs.

(§ 410.101(4), § 410.201)

2. Each agency determines what

constitutes its mission-related training

needs. (§ 410.101(4))

3. Each agency has increased

flexibility for training employees for

placement in other agencies. (§ 410.308)

4. Each agency determines when

continued service agreements will be

required. (§ 410.310)

5. Constraints on the use of nonGovernment training are eliminated.

6. Limitations on training employees

through non-Government facilities are

eliminated.

7. Limitations on subsistence

payments for extended training

assignments are eliminated. (§ 410.403)

8. Annual reporting requirements are

eliminated and other reporting

requirements are significantly reduced.

(§ 410.701)

New Provisions

1. Authority to approve training of

Presidential appointees is delegated to

heads of agencies. (§ 410.302(b))

2. Integrating employee training and

development with agency mission and

performance goals is added and

clarified. (§ 410.202)

3. Training related career transition

assistance for displaced and surplus

employees is added and clarified.

(§ 410.308(d))

4. Criteria for determining if a

conference is a training activity is

added. (§ 410.404)

Waiver of Notice of Proposed

Rulemaking

Pursuant to 5 U.S.C. 553(b)(3)(b), I

find that good cause exists for waiving

the general notice of proposed

rulemaking. The notice is being waived

and the regulation is being made

effective in less than 30 days.

Inconsistencies between the law and the

currently published regulations have

caused confusion and led Federal

managers, employees, and training

officials to operate under outdated, and

unnecessary, regulations. We find that

delay in issuing updated regulations

would be contrary to public interest and

to National Performance Review

recommendations.

Regulatory Flexibility Act

I certify that these regulations will not

have significant economic impact on a

substantial number of small entities

because they affect only Federal

employees and agencies.

List of Subjects in 5 CFR Part 410

Education, Government employees.

U.S. Office of Personnel Management.

James B. King,

Director.

Accordingly, the Office of Personnel

Management is revising 5 CFR part 410

as follows:

PART 410—TRAINING

Subpart A—General Provisions

Sec.

410.101 Definitions.

Subpart B—Planning for Training

Sec.

410.201 Responsibilities of the head of an

agency.

410.202 Integrating employee training and

development with agency strategic plans.

410.203 Assessing organizational,

occupation, and individual needs.

410.204 Options for developing employees.

Subpart C—Establishing and Implementing

Training Programs

Sec.

410.301 Scope and general conduct of

training programs.

410.302 Responsibilities of the head of an

agency.

410.303 Employee responsibilities.

410.304 Funding training programs.

410.305 Establihsing and using interagency

training.

410.306 Selecting and assigning employees

to training.

410.307 Training for promotion.

410.308 Training for placement in other

agency positions, in other agencies, or

outside Government.

410.309 Training to obtain an academic

degree.

410.310 Agreements to continue in service.

410.311 Computing time in training.

410.312 Records.

Subpart D—Paying for Training Expenses

Sec.

410.401 Determining necessary training

expenses.

410.402 Paying premium pay.

410.403 Subsistence payments for extended

training assignments.

410.404 Determining if a conference is a

training activity.

410.405 Protection of Government interest.

410.406 Records of training expenses.

Subpart E—Accepting Contributions,

Awards, and Payments From NonGovernment Organizations

Sec.

410.501 Scope.

410.502 Authority of the head of an agency.

410.503 Records.

Subpart F—Evaluating Training

Sec.

410.601 Responsibility of the head of an

agency.

410.602 Records.

Subpart G—Reports

Sec.

410.701 Reports.

Authority: 5 U.S.C. 4101, et seq.; E.O.

11348, 3 CFR, 1967 Comp., p. 275.

Subpart A—General Provisions

§ 410.101 Definitions.

In this part:

(a) Agency, employee, Government

facility, and non-Government facility

have the meanings given these terms in

section 4101 of title 5, United States

Code.

(b) Exceptions to organizations and

employees covered by this subpart

include:

(1) Those named in section 4102 of

title 5, United States Code, and

(2) The U.S. Postal Service and Postal

Rate Commission and their employees,

as provided in Public Law 91–375,

enacted August 12, 1970.

(c) Training has the meaning given to

the term in section 4101 of title 5,

United States Code, and includes

planned activities which support and

improve individual and organizational

performance and effectiveness, such as

on-the-job training, career development

programs, professional development

activities, or developmental

assignments.

(d) Mission-related training is training

that supports agency goals by improving

organizational performance at any

appropriate level in the agency, as

determined by the head of the agency.

This includes training that:

(1) Supports the agency’s strategic

plan and performance objectives;

(2) Improves an employee’s current

job performance;

(3) Allows for expansion or

enhancement of an employee’s current

job;

(4) Enables an employee to perform

needed or potentially needed duties

outside the current job at the same level

of responsibility; or

(5) Meets organizational needs in

response to human resource plans and

re-engineering, downsizing,

restructuring, and program changes.
Federal Register / Vol. 61, No. 93 / Monday, May 13, 1996 / Rules and Regulations 21949

(e) Retraining means training and

development provided to address an

individual’s skills obsolescence in the

current position and/or training and

development to prepare an individual

for a different occupation, in the same

agency, in another Government agency,

or in the private sector.

(f) Continued service agreement has

the meaning given to service agreements

in section 4108 of title 5, United States

Code.

(g) Interagency training means

training provided by one agency for

other agencies or shared by two or more

agencies.

(h) State and local government have

the meanings given to these terms by

section 4762 of title 42, United States

Code.

Subpart B—Planning for Training

§ 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.

§ 410.202 Integrating employee training

and development with agency strategic

plans.

(a) Agencies shall include training

and development in agency strategic

planning to ensure that:

(1) Agency training strategies and

activities contribute to mission

accomplishment; and

(2) Organizational performance goals

are met.

(b) Agency human resource

development programs and plans

should:

(1) Improve employee and

organizational performance; and

(2) Build and support an agency

workforce capable of achieving agency

mission and performance goals.

§ 410.203 Assessing organizational,

occupational, and individual needs.

(a) Assessment. Executive Order

11348 specifies the responsibility of

heads of agencies to assess agency

training needs.

(b) Method. The method an agency

uses to conduct training needs

assessment shall meet the requirements

of chapter 41 of title 5, United States

Code, Executive Order 11348, and this

subpart.

§ 410.204 Options for developing

employees.

Agencies may use a full range of

options to meet their organizational and

employee development needs, including

classroom training, on-the-job training,

technology-based training, satellite

training, employees’ self-development

activities, coaching, mentoring, career

development counseling, details,

rotational assignments, cross training,

and developmental activities at retreats

and conferences.

Subpart C—Establishing and

Implementing Training Programs

§ 410.301 Scope and general conduct of

training programs.

(a) Authority. The requirements for

establishing training programs and

plans are found in section 4103(a) of

title 5, United States Code, and

Executive Order 11348.

(b) Alignment with other human

resource functions. Training programs

established by agencies under chapter

41 of title 5, United States Code, should

be integrated with other personnel

management and operating activities, to

the maximum possible extent.

§ 410.302 Responsibilities of the head of

an agency.

(a) Specific responsibilities. (1) The

head of each agency shall prescribe

procedures to ensure that the selection

of employees for training is made

without regard to political preference,

race, color, religion, national origin, sex,

marital status, age, or handicapping

condition, and with proper regard for

their privacy and constitutional rights as

provided by merit system principles set

forth in 5 U.S.C. 2301(b)(2).

(2) The head of each agency shall

prescribe procedures to ensure that the

training facility and curriculum are

accessible to employees with

disabilities.

(3) The head of each agency shall not

allow training in a facility that

discriminates in the admission or

treatment of students.

(b)(1) Training of Presidential

appointees. The Office of Personnel

Management delegates to the head of

each agency authority to authorize

training for officials appointed by the

President. In exercising this authority,

the head of an agency must ensure that

the training is in compliance with

chapter 41 of title 5, United States Code,

and with this part. This authority may

not be delegated to a subordinate.

(2) Records. When exercising this

delegation of authority, the head of an

agency must maintain records that

include:

(i) The name and position title of the

official;

(ii) A description of the training, its

location, vendor, cost, and duration; and

(iii) A statement justifying the training

and describing how the official will

apply it during his or her term of office.

(3) Review of delegation. Exercise of

this authority is subject to U.S. Office of

Personnel Management review.

(c) Training for the head of an agency.

Since self-review constitutes a conflict

of interest, heads of agencies must

submit their own requests for training to

the U.S. Office of Personnel

Management for approval.

§ 410.303 Employee responsibilities.

Employees are responsible for selfdevelopment, 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.

§ 410.304 Funding training programs.

Section 4112 of title 5, United States

Code, provides for agencies paying the

costs of their training programs and

plans from applicable appropriations or

funds available. Training costs

associated with program

accomplishment may be funded by

appropriations applicable to that

program area. In addition, section

4109(a)(2) of title 5, United States Code,

provides authority for agencies and

employees to share the expenses of

training.

§ 410.305 Establishing and using

interagency training.

An agency may extend training

programs developed for its employees to

employees of other agencies (and to

employees of Federal organizations

excepted by section 4102 of title 5,

United States Code) when this would

result in better training, improved

service, or savings to the Government.
21950 Federal Register / Vol. 61, No. 93 / Monday, May 13, 1996 / Rules and Regulations

§ 410.306 Selecting and assigning

employees to training.

(a) Each agency shall establish criteria

for the fair and equitable selection and

assignment of employees to training

consistent with merit system principles

specified in 5 U.S.C. 2301(b) (1) and (2).

(b) Persons on Intergovernmental

Personnel Act mobility assignments

may be assigned to training if that

training is in the interest of the

Government.

(c) Under the provisions of

§ 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)).

§ 410.307 Training for promotion.

Under the authority of 5 U.S.C. 4103,

and consistent with merit system

principles set forth in 5 U.S.C. 2301(b)

(1) and (2), an agency may provide

training to career or career-conditional

employees that in certain instances may

lead to promotion. An agency must

follow its competitive procedures under

part 335 of this chapter when selecting

a career or career-conditional employee

for training that permits noncompetitive

promotion after successful completion

of the training.

§ 410.308 Training for placement in other

agency positions, in other agencies, or

outside Government.

(a) Under the authority of 5 U.S.C.

4103 and 5 U.S.C. 5364, an agency may

train an employee to meet the

qualification requirements of another

position in the agency if the new

position is at or below the grade the

employee held before grade or pay

retention.

(b) Under the authority of 5 U.S.C.

4103(b), and consistent with merit

system principles set forth in 5 U.S.C.

2301, an agency may train an employee

to meet the qualification requirements

of a position in another agency if the

head of the agency determines that such

training would be in the interests of the

Government.

(1) Before undertaking any training

under this section, the head of the

agency shall obtain verification that

there exists a reasonable expectation of

placement in another agency.

(2) When selecting an employee for

training under this section, the head of

the agency shall consider:

(i) The extent to which the employee’s

current skills, knowledge, and abilities

may be utilized in the new position;

(ii) The employee’s capability to learn

skills and acquire knowledge and

abilities needed in the new position;

and

(iii) The benefits to the Government

which would result from retaining the

employee in the Federal service.

(c) Displaced or surplus employees as

defined in 5 CFR 330.604 (b) and (f) may

be eligible for training or retraining for

positions outside Government through

programs provided under 29 U.S.C.

1651, or similar authorities. An agency

may use its appropriated funds for

training displaced or surplus employees

for positions outside Government only

when specifically authorized by

legislation to do so.

(d) Under 5 CFR 330.602, agencies are

required to establish career transition

assistance plans (CTAP) to provide

career transition services to displaced

and surplus employees.

(1) Under the authority of 5 U.S.C.

4109, an agency may:

(i) Train employees in the use of the

CTAP services;

(ii) Provide vocational and career

assessment and counseling services;

(iii) Train employees in job search

skills, techniques, and strategies; and

(iv) Pay for training related expenses

as provided in 5 U.S.C. 4109(a)(2).

(2) Agency CTAP’s will include plans

for retraining displaced or surplus

employees covered by this part.

§ 410.309 Training to obtain an academic

degree.

(a) Prohibition. (1) Under 5 U.S.C.

4107(a), an agency may not authorize

training for an employee to obtain an

academic degree, except for shortage

occupations as defined in § 410.309(b).

(2) An agency may assign employees

to academic training on a course-bycourse basis. If, in the accomplishment

of this training, an employee receives an

academic degree, the degree is an

incidental by-product of the training.

(b) Degree training to relieve

recruitment and retention problems. (1)

An agency may authorize academic

degree training if the training:

(i) Is necessary to assist in recruiting

or retaining employees in occupations

in which the agency has or anticipates

a shortage of qualified personnel,

especially in occupations which it has

determined involve skills critical to its

mission, and

(ii) Meets the conditions of this

section.

(2) In reviewing the need to provide

training under this section, an agency

shall give appropriate consideration to

any special salary rate, student loan

repayment, retention allowance, or

other monetary inducement authorized

by law already provided or being

provided which contributes to the

alleviation of the staffing problem in the

occupation targeted by that training.

(3) In exercising the authority in this

section, an agency shall, consistent with

the merit system principles set forth in

5 U.S.C. 2301(b) (1) and (2), take into

consideration the need to maintain a

balanced workforce in which women

and members of racial and ethnic

minority groups are appropriately

represented in the agency.

(4) The authority in this section shall

not be exercised on behalf of any

employee occupying, or seeking to

qualify for appointment to, any position

which is excepted from the competitive

service because of its confidential,

policy-determining, policy-making, or

policy-advocating character.

(5) An agency’s policies established

under § 410.201 of this part shall cover

decisions to authorize training under

this section, to ensure that:

(i) The determination to pay for

degree training is made at a sufficiently

high level so as to protect the

Government’s interest; and

(ii) The authority is used to address

the agency’s recruitment and retention

problems expeditiously through

appropriate delegations of authority.

(c) Determining recruitment and

retention problems. For the purposes of

this section, a recruitment or retention

problem exists if the criteria for a

recruitment bonus under 5 CFR

§ 575.104(c)(2) or for a retention

allowance under 5 CFR § 575.305(c)(3)

applies.

(1) Recruitment problem. Before

determining that an agency has or

anticipates a problem in the recruitment

of qualified personnel for a particular

position, an agency shall make a

reasonable recruitment effort, including

factors in 5 CFR § 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.
Federal Register / Vol. 61, No. 93 / Monday, May 13, 1996 / Rules and Regulations 21951

(vi) The possibility of relieving the

shortage through job engineering or

training of current employees.

(2) Retention problem. Before

determining that an agency has or

anticipates a problem in the retention of

qualified personnel in a particular

occupation, an agency shall consider the

factors in 5 CFR § 575.305(c)(3) and:

(i) The ease with which an agency

could replace the employee with

someone of comparable background;

(ii) The current and projected vacancy

rates in the occupation;

(iii) The rate of turnover in the

occupation; and

(iv) Technological changes affecting

the occupation and long-range

predictions affecting staffing for the

occupation.

(d) Assessing continuing problems. A

reassessment of a ‘‘continuing’’

recruitment or retention problem shall

be made periodically.

(e) Authorizing training. (1) An

agency may authorize full or part-time

training to address a recruitment

problem if—

(i) The training qualifies an employee

for a shortage position identified under

paragraph (c)(1) of this section; and

(ii) The agency expects to place the

employee in the shortage position after

the training.

(2) Training may be authorized under

this section for the purpose of retaining

an employee in a shortage occupation

identified under paragraph(c)(2) of this

section, if it involves a course of study

selected mainly or its potential

contribution to effective performance in

that occupation.

(3) Agencies shall select employees

for academic degree training according

to competitive procedures as specified

in § 410.307.

(f) Monitoring training. An Agency

shall assess the contribution of training

assignments under this section to

resolving recruitment or retention

problems in its shortage occupations.

(g) Documentation. (1) In exercising

the authority in this section, an agency

shall retain for a reasonable period:

(i) A record of employees assigned to

training under this section and

(ii) A record of findings that the

recruitment or retention problem is a

continuing one.

(2) As a separate record, the servicing

personnel office shall keep the

following information for each

employee assigned to training under

this section:

(i) Nature and justification for the

shortage determination;

(ii) Kind of training (e.g., career

experience program, continuing

professional and technical education,

retraining for occupational change); a

description of the field of study; and the

nature of any degree pursued under the

training program; and

(iii) A written continued service

agreement, if required.

§ 410.310 Agreements to continue in

service.

(a) Authority. Continued service

agreements are provided for in section

4108 of title 5, United States Code.

Agencies have the authority to

determine when such agreements will

be required.

(b) Requirements. (1) The Head of the

agency shall establish written

procedures which cover the minimum

requirements for continued service

agreements. These requirements shall

include procedures the agency

considers necessary to protect the

Government’s interest should the

employee fail to successfully complete

training.

(2) An employee selected for training

subject to an agency continued service

agreement must sign an agreement to

continue in service after training prior

to starting the training. The period of

service will equal three times the length

of the training.

(c) Failure to fulfill agreements. With

a signed agreement, the agency has a

right to recover training costs, except for

pay or other compensation, if the

employee voluntarily separates from

Government service. The agency shall

provide procedures to enable the

employee to obtain a reconsideration of

the recovery amount or to appeal for a

waiver of the agency’s right to recover.

§ 410.311 Computing time in training.

For the purpose of chapter 41 of title

5, United States Code, and this subpart:

(a) An employee on an 8-hour day

work schedule assigned to training is

counted as being in training for the

same number of hours he or she is in

pay status during the training

assignment. If the employee is not in

pay status during the training, the

employee is counted as being in training

for the number of hours he or she is

granted leave without pay for the

purpose of the training.

(b) For any employee on an

alternative work schedule, the agency is

responsible for determining the number

of hours the employees is in pay status

during the training assignment. If the

employee is not in pay status during the

training, the employee is counted as

being in training for the number of

hours he or she is granted leave without

pay for the purpose of the training.

(c) An employee on a 8-hour or an

alternative work schedule assigned to

training on less than a full-time basis is

counted as being in training for the

number of hours he or she spends in

class, in formal computer-based

training, in satellite training, in formal

self-study programs, or with the training

instructor, unless a different method is

determined by the agency.

§ 410.312 Records.

Agencies shall keep a record of

training events authorized for each

employee under this subpart.

Subpart D—Paying for Training

Expenses

§ 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.

§ 410.402 Paying premium pay.

(a) Prohibitions. Except as provided

by paragraph (b) of this section, an

agency may not use its funds,

appropriated or otherwise available, to

pay premium pay to an employee

engaged in training by, in or through

Government or non-government

facilities.

(b) Exceptions. The following are

excepted from the provision in

paragraph (a) of this section prohibiting

the payment of premium pay:

(1) Continuation of premium pay. An

employee given training during a period

of duty for which he or she is already

receiving premium pay for overtime,

night, holiday, or Sunday work shall

continue to receive that premium pay.

This exception does not apply to an

employee assigned to full-time training

at institutions of higher learning.

(2) Training at night. An employee

given training at night because

situations that he or she must learn to

handle occur only at night shall be paid

night pay.

(3) Cost savings. An employee given

training on overtime, on a holiday, or on

a Sunday because the costs of the

training, premium pay included, are less

than the costs of the same training

confined to regular work hours shall be

paid the applicable premium pay.

(4) Availability pay. An agency shall

continue to pay availability pay during

agency-sanctioned training to a criminal

investigator who is eligible for it under
21952 Federal Register / Vol. 61, No. 93 / Monday, May 13, 1996 / Rules and Regulations

5 U.S.C. 5545(a) and implementing

regulations. Agencies may, at their

discretion, provide availability pay to

investigators during periods of initial,

basic training. (See 5 CFR § 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. (Also see 5

CFR § 551.423.)

(2) The requirement of paragraph

(d)(1) of this section does not pertain to

training or preparing for training to:

(i) Improve a nonexempt employee’s

performance in his or her current

position above a fully successful, or

equivalent, level, provided such training

is undertaken with the knowledge that

the employee’s performance or

continued retention in his or her current

position will not be adversely affected

by nonenrollment in the training

program; or

(ii) Provide a nonexempt employee

with additional knowledge or skills for

reassignment to another position or

advancement to a higher grade. This

includes any developmental training,

even if such training is directed by the

agency.

§ 410.403 Subsistence payments for

extended training assignments.

An agency has the authority to pay all

or part (if agreed to by the employee) of

actual subsistence expenses of an

employee assigned to training at a

temporary duty station lasting more

than 30 calendar days. The agreed rate

of payment shall be applicable from the

1st day of the assignment. An agency

may adjust an agreed rate of payment

when circumstances so justify, provided

the employee agrees to any decrease. If

the fees paid to the training institution

include lodging or meal costs, an

appropriate reduction shall be made

from any standardized subsistence

payments.

§ 410.404 Determining if a conference is a

training activity.

Agencies may sponsor an employee’s

attendance at a conference as a

developmental assignment under

section 4110 of title 5, United States

Code, when—

(a) The content of the conference is

germane to improving individual and/or

organizational performance, and

(b) Developmental benefits will be

derived through the employee’s

attendance.

§ 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.

§ 410.406 Records of training expenses.

An agency shall maintain records of

payments made for travel, tuition and

fees, and other necessary training

expenses.

Subpart E—Accepting Contributions,

Awards, and Payments From NonGovernment Organizations

§ 410.501 Scope.

(a) Section 4111 of title 5, United

States Code, describes conditions for

employee acceptance of contributions,

awards, and payments made in

connection with non-Government

sponsored training or meetings which

an employee attends while on duty or

when the agency pays the training or

meeting attendance expenses, in whole

or in part.

(b) This subpart does not limit the

authority of an agency head to establish

procedures on the acceptance of

contributions, awards, and payments in

connection with any training and

meetings that are outside the scope of

this subpart in accordance with laws

and regulations governing Government

ethics and governing acceptance of

travel reimbursements from non-Federal

sources.

§ 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 § 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 nonGovernment 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.

§ 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
Federal Register / Vol. 61, No. 93 / Monday, May 13, 1996 / Rules and Regulations 21953

contribution, award, or payment made

and accepted under authority of this

section: The recipient’s name; the

organization’s name; the amount and

nature of the contribution, award, or

payment and the purpose for which it

is to be used; and a copy of the written

authorization required by § 410.502(a).

Subpart F—Evaluating Training

§ 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.

§ 410.602 Records.

An agency head shall keep records of

these evaluations as he or she considers

appropriate.

Subpart G—Reports

§ 410.701 Reports.

Each agency shall maintain records of

its training plans, expenditures and

activities and report its plans,

expenditures and activities to the Office

of Personnel Management and at such

times and in such form as the Office

prescribes.

[FR Doc. 96–11863 Filed 5–10–96; 8:45 am]

BILLING CODE 6325–01–M

5 CFR Parts 831 and 842

RIN 3206–AG16

Retirement; Alternative Forms of

Annuity

AGENCY: Office of Personnel

Management.

ACTION: Final rule.

SUMMARY: The Office of Personnel

Management (OPM) is issuing final

regulations on alternative forms of

annuity. The regulations establish a new

standard for determining what

constitutes a critical medical condition

and implement the changes made by the

Omnibus Budget Reconciliation Act of

1993. Under this law the alternative

form of annuity was repealed for

employees whose annuities commence

on or after October 1, 1994, except for

employees who have a life-threatening

affliction or other critical medical

condition. The regulations also revise

the list of critical medical conditions

that are qualifying.

EFFECTIVE DATE: June 12, 1996.

FOR FURTHER INFORMATION CONTACT:

Harold L. Siegelman, (202) 606–0299.

SUPPLEMENTARY INFORMATION: On

October 25, 1995, we published (at 60

FR 54585) interim regulations on

alternative forms of annuity to change

the standard for determining what

constitutes a critical medical condition.

Our previous regulations used a 1-yearor-less life expectancy as the standard,

but the interim regulations adopted a 2-

year-or-less standard. The interim

regulations also make effective the

previously proposed regulations

(published on November 4, 1994, at 59

FR 55211) on alternative forms of

annuity (AFA) to implement the

changes in sections 8343a and 8420a of

title 5, United States Code, made by the

Omnibus Budget Reconciliation Act of

1993, Pub. L. 103–66. The Act included

a provision terminating this benefit for

employees whose annuities commence

on or after October 1, 1994, except for

employees who have a life-threatening

affliction or other critical medical

condition. The interim regulations also

made effective a revised list of critical

medical conditions. This revised list

was included in the 1994 general notice

of proposed rulemaking. We received no

comments on the interim regulations.

We addressed the one comment that we

received on the 1994 proposed

regulations in the supplementary

information section of the interim

regulations.

Regulatory Flexibility Act

I certify that this regulation will not

have a significant economic impact on

a substantial number of small entities

because the regulation will only affect

Federal employees and agencies and

retirement payments to retired

Government employees and their

survivors.

List of Subjects in 5 CFR Parts 831 and

842

Administrative practice and

procedure, Air traffic controllers,

Claims, Disability benefits, Firefighters,

Government employees, Income taxes,

Intergovernmental relations, Law

enforcement officers, Pensions,

Reporting and recordkeeping

requirements, Retirement.

Office of Personnel Management.

James B. King,

Director.

Accordingly, under authority of 5

U.S.C. 8347 and 8467, OPM is adopting

its interim rules amending 5 CFR parts

831 and 842, published on October 25,

1995, at 60 FR 54585, as final rules

without change.

[FR Doc. 96–11864 Filed 5–10–96; 8:45 am]

BILLING CODE 6325–01–M

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Airspace Docket No. 96–ASO–7]

Amendment to Class D and E2

Airspace and Establishment of Class

E4 Airspace; Jackson, TN

AGENCY: Federal Aviation

Administration (FAA), DOT.

ACTION: Final rule.

SUMMARY: This amendment modifies

Class D and E2 Airspace and establishes

Class E4 Airspace at Jackson, TN, for the

McKellar-Sipes Regional Airport. This

amendment is necessary because the

arrival extension, which is currently

part of the Class D surface area airspace,

is greater than 2 miles and must, by

regulation, be designated as Class E4

airspace.

EFFECTIVE DATE: 0901 UTC, August 15,

1996.

FOR FURTHER INFORMATION CONTACT:

Benny L. McGlamery, System

Management Branch, Air Traffic

Division, Federal Aviation

Administration, PO Box 20636, Atlanta,

Georgia 30320; telephone (404) 305–

5570.

SUPPLEMENTARY INFORMATION:

History

On March 18, 1996, the FAA

proposed to amend part 71 of the

Federal Aviation Regulations (14 CFR

Part 71) by modifying Class D and E2

and establishing Class E4 airspace at

Jackson, TN 61 FR 10908). This action

would provide adequate Class E

airspace for IFR operations at the

McKellar-Sipes Regional Airport.

Interested parties were invited to

participate in this rulemaking

proceeding by submitting written

comments on the proposal to the FAA.

No comments objecting to the proposal

were received. Class D airspace

designations, Class E airspace

designations for airspace areas

designated as a surface area for an

airport and Class E airspace

designations for airspace areas

designated as an extension to a Class D

surface area are published in Paragraphs

5000, 6002 and 6004, respectively, of

FAA Order 7400.9C, dated August 17,

1995, and effective September 16, 1995,