[Federal Register Volume 61, Number 93 (Monday, May 13, 1996)]
[Rules and Regulations]
[Pages 21947-21953]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-11863]



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

[[Page 21947]]



OFFICE OF PERSONNEL MANAGEMENT

5 CFR Part 410

RIN 3206-AF99


Training

AGENCY: Office of Personnel Management.

ACTION: Interim rule with request for comments.

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

SUMMARY: The Office of Personnel Management (OPM) is issuing interim 
regulations governing Federal employee training. The regulations 
implement provisions of the Federal Workforce Restructuring Act, dated 
March 30, 1994 and provisions of the Federal Reports Elimination and 
Sunset Act of 1995, dated December 21, 1995; incorporate former 
provisionally retained FPM Letters; and reflect OPM's response to 
agency requests to restructure 5 CFR part 410. The interim rules 
provide agencies additional flexibility by implementing the National 
Performance Review recommendations to reduce restrictions on training 
and make it a more responsive management tool.

DATES: This interim rule becomes effective on May 13, 1996. Comments 
must be received on or before June 12, 1996.

ADDRESSES: Send or deliver written comments to Allan D. Heuerman, 
Associate Director, Human Resources Systems Service, Office of 
Personnel Management, Room 7412, 1900 E Street, NW., Washington, DC, 
20415-0001.

FOR FURTHER INFORMATION CONTACT:
Judith Lombard, 202-606-2431, FAX 202-606-2394.

SUPPLEMENTARY INFORMATION: These interim regulations affect the 
training of Government employees. They incorporate (1) Public Law 103-
226 amendments to chapter 41 of title 5, United States Code; (2) Public 
Law 104-66 amendments to chapter 41 of title 5, United States Code; (3) 
former provisionally retained FMP Letters; and (4) flexibilities 
requested by agencies. Decisions on what to include in the regulations 
were based on whether the requirement or authority was necessary to 
assure uniformity in training Federal employees and/or to protect 
employee rights.

Amendments to the Government Employees Training Act

    The September 1993 Report of the National Performance Review (NPR) 
recommended (1) eliminating the distinction between Government and non-
Government training to make training more market driven and (2) 
removing the restrictions on employee training to help develop a multi-
skilled workforce in the Federal Government. These recommendations were 
included in Public Law 103-226 (Federal Workforce Restructuring Act of 
1994) dated March 31, 1994, which amended 5 U.S.C. chapter 41 in the 
following ways.
    In 5 U.S.C. 4101, the definition of training expands from training 
directly related to the performance of official duties to any training 
that improves individual and organizational performance and assists an 
agency in achieving its mission and performance goals.
    5 U.S.C. 4103(a) requires the head of an agency to relate training 
programs and plans to agency mission and performance goals and to 
provide employees information about training selection and assignment 
and applicable training limitations and restrictions.
    5 U.S.C. 4103(b)(1) allows agencies to train employees for 
placement in another agency when such training is in the interest of 
the Government.
    5 U.S.C. 4105 eliminates the distinction between ``Government'' and 
``non-Government'' training, thereby allowing managers to take full 
advantage of available training sources. Previously agencies had to use 
Government training facilities where possible.
    5 U.S.C. 4106 is deleted, thereby eliminating both service 
requirements for non-Government training and restrictions on time-in-
training. Previously, an employee had to have 1 year of current, 
continuous civilian service to be eligible for non-Government training. 
Previously, an employee could spend only 1 year in training for every 
10 years of Government service.
    Section 2181(c) of Public Law 104-66 (Federal Reports Elimination 
and Sunset Act of 1995), dated December 21, 1995, repealed section 4113 
of title 5, United States Code, eliminating the requirements for 
agencies to review the training needs of employees and to report their 
training programs and plans to OPM at least once every 3 years.
    These interim regulations revise 5 CFR part 410 to reflect the 
changes in 5 U.S.C. chapter 41.

Former Provisionally Retained FPM Letters

    One of the recommendations of the September 1993 Report of the 
National Performance Review was that the Federal Personnel Manual (FPM) 
should be ``sunset.'' The Director of OPM abolished the FPM on December 
31, 1993. Two FPM Letters on training were provisionally retained 
through December 31, 1994.

1. Training of Civilian Officials Appointed by the President

    Provisionally retained FPM Letter 410-34, Training of Civilian 
Officials Appointed by the President, delegated to the heads of 
agencies the authority to designate Presidential appointees, other than 
themselves, for training. The interim regulation puts this delegation 
of authority into Sec. 410.302(b).

2. Conferences as Training Activities

    Provisionally retained FPM Letter 410-35, Conferences as Training 
Activities, implemented the February 10, 1993, Presidential memorandum 
and OMB Bulletin 93-11 on ``Government Fiscal Responsibility and 
Reducing Perquisites,'' and the Federal Travel Regulations on 
``Conference Planning'' (41 CFR part 301-16). They require that 
agencies exercise strict fiscal responsibility when selecting 
conference sites to minimize costs and to keep employee attendance to a 
minimum consistent with serving the public's interest. The interim 
regulations put language into 5 CFR 410 to assist agencies in 
determining if a conference is a training activity (Sec. 410.404). This 
will reduce Government costs by limiting Federal employee attendance to 
appropriate training conferences where participation fosters the 
achievement of agency

[[Page 21948]]

missions while enhancing employees' professional growth.

Summary of Major Proposed Changes to Training Regulations

    OPM also is revising its training regulations in other ways to 
provide additional flexibilities, eliminate burdensome requirements, 
and clarify ambiguous language. The following list summarizes the 
substantive changes, including those discussed above.

Added Flexibilities and Reduced Requirements

    1. The head of an agency has increased flexibility and authority in 
planning, implementing and evaluating training to meet mission-related 
needs. (Sec. 410.101(4), Sec. 410.201)
    2. Each agency determines what constitutes its mission-related 
training needs. (Sec. 410.101(4))
    3. Each agency has increased flexibility for training employees for 
placement in other agencies. (Sec. 410.308)
    4. Each agency determines when continued service agreements will be 
required. (Sec. 410.310)
    5. Constraints on the use of non-Government training are 
eliminated.
    6. Limitations on training employees through non-Government 
facilities are eliminated.
    7. Limitations on subsistence payments for extended training 
assignments are eliminated. (Sec. 410.403)
    8. Annual reporting requirements are eliminated and other reporting 
requirements are significantly reduced. (Sec. 410.701)

New Provisions

    1. Authority to approve training of Presidential appointees is 
delegated to heads of agencies. (Sec. 410.302(b))
    2. Integrating employee training and development with agency 
mission and performance goals is added and clarified. (Sec. 410.202)
    3. Training related career transition assistance for displaced and 
surplus employees is added and clarified. (Sec. 410.308(d))
    4. Criteria for determining if a conference is a training activity 
is added. (Sec. 410.404)

Waiver of Notice of Proposed Rulemaking

    Pursuant to 5 U.S.C. 553(b)(3)(b), I find that good cause exists 
for waiving the general notice of proposed rulemaking. The notice is 
being waived and the regulation is being made effective in less than 30 
days. Inconsistencies between the law and the currently published 
regulations have caused confusion and led Federal managers, employees, 
and training officials to operate under outdated, and unnecessary, 
regulations. We find that delay in issuing updated regulations would be 
contrary to public interest and to National Performance Review 
recommendations.

Regulatory Flexibility Act

    I certify that these regulations will not have significant economic 
impact on a substantial number of small entities because they affect 
only Federal employees and agencies.

List of Subjects in 5 CFR Part 410

    Education, Government employees.

U.S. Office of Personnel Management.
James B. King,
Director.

    Accordingly, the Office of Personnel Management is revising 5 CFR 
part 410 as follows:

PART 410--TRAINING

Subpart A--General Provisions

Sec.
410.101  Definitions.

Subpart B--Planning for Training

Sec.
410.201  Responsibilities of the head of an agency.
410.202  Integrating employee training and development with agency 
strategic plans.
410.203  Assessing organizational, occupation, and individual needs.
410.204  Options for developing employees.

Subpart C--Establishing and Implementing Training Programs

Sec.
410.301  Scope and general conduct of training programs.
410.302  Responsibilities of the head of an agency.
410.303  Employee responsibilities.
410.304  Funding training programs.
410.305  Establihsing and using interagency training.
410.306  Selecting and assigning employees to training.
410.307  Training for promotion.
410.308  Training for placement in other agency positions, in other 
agencies, or outside Government.
410.309  Training to obtain an academic degree.
410.310  Agreements to continue in service.
410.311  Computing time in training.
410.312  Records.

Subpart D--Paying for Training Expenses

Sec.
410.401  Determining necessary training expenses.
410.402  Paying premium pay.
410.403  Subsistence payments for extended training assignments.
410.404  Determining if a conference is a training activity.
410.405  Protection of Government interest.
410.406  Records of training expenses.
Subpart E--Accepting Contributions, Awards, and Payments From Non-
Government Organizations
Sec.
410.501  Scope.
410.502  Authority of the head of an agency.
410.503  Records.

Subpart F--Evaluating Training

Sec.
410.601  Responsibility of the head of an agency.
410.602  Records.

Subpart G--Reports

Sec.
410.701  Reports.

    Authority: 5 U.S.C. 4101, et seq.; E.O. 11348, 3 CFR, 1967 
Comp., p. 275.

Subpart A--General Provisions


Sec. 410.101  Definitions.

    In this part:
    (a) Agency, employee, Government facility, and non-Government 
facility have the meanings given these terms in section 4101 of title 
5, United States Code.
    (b) Exceptions to organizations and employees covered by this 
subpart include:
    (1) Those named in section 4102 of title 5, United States Code, and
    (2) The U.S. Postal Service and Postal Rate Commission and their 
employees, as provided in Public Law 91-375, enacted August 12, 1970.
    (c) Training has the meaning given to the term in section 4101 of 
title 5, United States Code, and includes planned activities which 
support and improve individual and organizational performance and 
effectiveness, such as on-the-job training, career development 
programs, professional development activities, or developmental 
assignments.
    (d) Mission-related training  is training that supports agency 
goals by improving organizational performance at any appropriate level 
in the agency, as determined by the head of the agency. This includes 
training that:
    (1) Supports the agency's strategic plan and performance 
objectives;
    (2) Improves an employee's current job performance;
    (3) Allows for expansion or enhancement of an employee's current 
job;
    (4) Enables an employee to perform needed or potentially needed 
duties outside the current job at the same level of responsibility; or
    (5) Meets organizational needs in response to human resource plans 
and re-engineering, downsizing, restructuring, and program changes.

[[Page 21949]]

    (e) Retraining means training and development provided to address 
an individual's skills obsolescence in the current position and/or 
training and development to prepare an individual for a different 
occupation, in the same agency, in another Government agency, or in the 
private sector.
    (f) Continued service agreement has the meaning given to service 
agreements in section 4108 of title 5, United States Code.
    (g) Interagency training means training provided by one agency for 
other agencies or shared by two or more agencies.
    (h) State and local government have the meanings given to these 
terms by section 4762 of title 42, United States Code.

Subpart B--Planning for Training


Sec. 410.201  Responsibilities of the head of an agency.

    As stated in section 4103 of title 5, United States Code, and in 
Executive Order 11348, the head of each agency shall:
    (a) Establish, budget for, operate, maintain, and evaluate a 
program or programs, and a plan or plans thereunder, for training 
agency employees by, in, and through Government and non-Government 
facilities;
    (b) Determine policies governing employee training, including a 
statement of broad purposes for agency training, the assignment of 
responsibility for seeing that these purposes are achieved, and the 
delegation of training approval authority to the lowest possible level; 
and
    (c) Establish priorities for training employees and provide for 
funds and staff according to these priorities.


Sec. 410.202  Integrating employee training and development with agency 
strategic plans.

    (a) Agencies shall include training and development in agency 
strategic planning to ensure that:
    (1) Agency training strategies and activities contribute to mission 
accomplishment; and
    (2) Organizational performance goals are met.
    (b) Agency human resource development programs and plans should:
    (1) Improve employee and organizational performance; and
    (2) Build and support an agency workforce capable of achieving 
agency mission and performance goals.


Sec. 410.203  Assessing organizational, occupational, and individual 
needs.

    (a) Assessment. Executive Order 11348 specifies the responsibility 
of heads of agencies to assess agency training needs.
    (b) Method. The method an agency uses to conduct training needs 
assessment shall meet the requirements of chapter 41 of title 5, United 
States Code, Executive Order 11348, and this subpart.


Sec. 410.204  Options for developing employees.

    Agencies may use a full range of options to meet their 
organizational and employee development needs, including classroom 
training, on-the-job training, technology-based training, satellite 
training, employees' self-development activities, coaching, mentoring, 
career development counseling, details, rotational assignments, cross 
training, and developmental activities at retreats and conferences.

Subpart C--Establishing and Implementing Training Programs


Sec. 410.301  Scope and general conduct of training programs.

    (a) Authority. The requirements for establishing training programs 
and plans are found in section 4103(a) of title 5, United States Code, 
and Executive Order 11348.
    (b) Alignment with other human resource functions. Training 
programs established by agencies under chapter 41 of title 5, United 
States Code, should be integrated with other personnel management and 
operating activities, to the maximum possible extent.


Sec. 410.302  Responsibilities of the head of an agency.

    (a) Specific responsibilities. (1) The head of each agency shall 
prescribe procedures to ensure that the selection of employees for 
training is made without regard to political preference, race, color, 
religion, national origin, sex, marital status, age, or handicapping 
condition, and with proper regard for their privacy and constitutional 
rights as provided by merit system principles set forth in 5 U.S.C. 
2301(b)(2).
    (2) The head of each agency shall prescribe procedures to ensure 
that the training facility and curriculum are accessible to employees 
with disabilities.
    (3) The head of each agency shall not allow training in a facility 
that discriminates in the admission or treatment of students.
    (b)(1) Training of Presidential appointees. The Office of Personnel 
Management delegates to the head of each agency authority to authorize 
training for officials appointed by the President. In exercising this 
authority, the head of an agency must ensure that the training is in 
compliance with chapter 41 of title 5, United States Code, and with 
this part. This authority may not be delegated to a subordinate.
    (2) Records. When exercising this delegation of authority, the head 
of an agency must maintain records that include:
    (i) The name and position title of the official;
    (ii) A description of the training, its location, vendor, cost, and 
duration; and
    (iii) A statement justifying the training and describing how the 
official will apply it during his or her term of office.
    (3) Review of delegation. Exercise of this authority is subject to 
U.S. Office of Personnel Management review.
    (c) Training for the head of an agency. Since self-review 
constitutes a conflict of interest, heads of agencies must submit their 
own requests for training to the U.S. Office of Personnel Management 
for approval.


Sec. 410.303  Employee responsibilities.

    Employees are responsible for self-development, for successfully 
completing and applying authorized training, and for fulfilling 
continued service agreements. In addition, they share with their 
agencies the responsibility to identify training needed to improve 
individual and organizational performance and identify methods to meet 
those needs, effectively and efficiently.


Sec. 410.304  Funding training programs.

    Section 4112 of title 5, United States Code, provides for agencies 
paying the costs of their training programs and plans from applicable 
appropriations or funds available. Training costs associated with 
program accomplishment may be funded by appropriations applicable to 
that program area. In addition, section 4109(a)(2) of title 5, United 
States Code, provides authority for agencies and employees to share the 
expenses of training.


Sec. 410.305  Establishing and using interagency training.

    An agency may extend training programs developed for its employees 
to employees of other agencies (and to employees of Federal 
organizations excepted by section 4102 of title 5, United States Code) 
when this would result in better training, improved service, or savings 
to the Government.

[[Page 21950]]

Sec. 410.306  Selecting and assigning employees to training.

    (a) Each agency shall establish criteria for the fair and equitable 
selection and assignment of employees to training consistent with merit 
system principles specified in 5 U.S.C. 2301(b) (1) and (2).
    (b) Persons on Intergovernmental Personnel Act mobility assignments 
may be assigned to training if that training is in the interest of the 
Government.
    (c) Under the provisions of Sec. 410.309(a) of this part, an agency 
may pay all or part of the training expenses of students hired under 
the Student Career Experience Program (see 5 CFR 213.3202(d)(10)).


Sec. 410.307  Training for promotion.

    Under the authority of 5 U.S.C. 4103, and consistent with merit 
system principles set forth in 5 U.S.C. 2301(b) (1) and (2), an agency 
may provide training to career or career-conditional employees that in 
certain instances may lead to promotion. An agency must follow its 
competitive procedures under part 335 of this chapter when selecting a 
career or career-conditional employee for training that permits 
noncompetitive promotion after successful completion of the training.


Sec. 410.308  Training for placement in other agency positions, in 
other agencies, or outside Government.

    (a) Under the authority of 5 U.S.C. 4103 and 5 U.S.C. 5364, an 
agency may train an employee to meet the qualification requirements of 
another position in the agency if the new position is at or below the 
grade the employee held before grade or pay retention.
    (b) Under the authority of 5 U.S.C. 4103(b), and consistent with 
merit system principles set forth in 5 U.S.C. 2301, an agency may train 
an employee to meet the qualification requirements of a position in 
another agency if the head of the agency determines that such training 
would be in the interests of the Government.
    (1) Before undertaking any training under this section, the head of 
the agency shall obtain verification that there exists a reasonable 
expectation of placement in another agency.
    (2) When selecting an employee for training under this section, the 
head of the agency shall consider:
    (i) The extent to which the employee's current skills, knowledge, 
and abilities may be utilized in the new position;
    (ii) The employee's capability to learn skills and acquire 
knowledge and abilities needed in the new position; and
    (iii) The benefits to the Government which would result from 
retaining the employee in the Federal service.
    (c) Displaced or surplus employees as defined in 5 CFR 330.604 (b) 
and (f) may be eligible for training or retraining for positions 
outside Government through programs provided under 29 U.S.C. 1651, or 
similar authorities. An agency may use its appropriated funds for 
training displaced or surplus employees for positions outside 
Government only when specifically authorized by legislation to do so.
    (d) Under 5 CFR 330.602, agencies are required to establish career 
transition assistance plans (CTAP) to provide career transition 
services to displaced and surplus employees.
    (1) Under the authority of 5 U.S.C. 4109, an agency may:
    (i) Train employees in the use of the CTAP services;
    (ii) Provide vocational and career assessment and counseling 
services;
    (iii) Train employees in job search skills, techniques, and 
strategies; and
    (iv) Pay for training related expenses as provided in 5 U.S.C. 
4109(a)(2).
    (2) Agency CTAP's will include plans for retraining displaced or 
surplus employees covered by this part.


Sec. 410.309  Training to obtain an academic degree.

    (a) Prohibition. (1) Under 5 U.S.C. 4107(a), an agency may not 
authorize training for an employee to obtain an academic degree, except 
for shortage occupations as defined in Sec. 410.309(b).
    (2) An agency may assign employees to academic training on a 
course-by-course basis. If, in the accomplishment of this training, an 
employee receives an academic degree, the degree is an incidental by-
product of the training.
    (b) Degree training to relieve recruitment and retention problems. 
(1) An agency may authorize academic degree training if the training:
    (i) Is necessary to assist in recruiting or retaining employees in 
occupations in which the agency has or anticipates a shortage of 
qualified personnel, especially in occupations which it has determined 
involve skills critical to its mission, and
    (ii) Meets the conditions of this section.
    (2) In reviewing the need to provide training under this section, 
an agency shall give appropriate consideration to any special salary 
rate, student loan repayment, retention allowance, or other monetary 
inducement authorized by law already provided or being provided which 
contributes to the alleviation of the staffing problem in the 
occupation targeted by that training.
    (3) In exercising the authority in this section, an agency shall, 
consistent with the merit system principles set forth in 5 U.S.C. 
2301(b) (1) and (2), take into consideration the need to maintain a 
balanced workforce in which women and members of racial and ethnic 
minority groups are appropriately represented in the agency.
    (4) The authority in this section shall not be exercised on behalf 
of any employee occupying, or seeking to qualify for appointment to, 
any position which is excepted from the competitive service because of 
its confidential, policy-determining, policy-making, or policy-
advocating character.
    (5) An agency's policies established under Sec. 410.201 of this 
part shall cover decisions to authorize training under this section, to 
ensure that:
    (i) The determination to pay for degree training is made at a 
sufficiently high level so as to protect the Government's interest; and
    (ii) The authority is used to address the agency's recruitment and 
retention problems expeditiously through appropriate delegations of 
authority.
    (c) Determining recruitment and retention problems. For the 
purposes of this section, a recruitment or retention problem exists if 
the criteria for a recruitment bonus under 5 CFR Sec. 575.104(c)(2) or 
for a retention allowance under 5 CFR Sec. 575.305(c)(3) applies.
    (1) Recruitment problem. Before determining that an agency has or 
anticipates a problem in the recruitment of qualified personnel for a 
particular position, an agency shall make a reasonable recruitment 
effort, including factors in 5 CFR Sec. 575.104(c)(2). In making a 
reasonable recruitment effort, an agency will consider the following:
    (i) For a position in the competitive service, the results of 
requests for referral of eligibles from the appropriate competitive 
examination. For a position in the excepted service, the agency's 
objectives and staffing procedures.
    (ii) Contacts with State Employment Service office(s) serving the 
locality concerned.
    (iii) Contacts with academic institutions, technical and 
professional organizations, and other organizations likely to produce 
qualified candidates for the position, including women's and minority-
group organizations.
    (iv) The possibility of relieving the shortage through broader 
publicity and recruitment.
    (v) The availability of qualified candidates within the agency's 
current work force.

[[Page 21951]]

    (vi) The possibility of relieving the shortage through job 
engineering or training of current employees.
    (2) Retention problem. Before determining that an agency has or 
anticipates a problem in the retention of qualified personnel in a 
particular occupation, an agency shall consider the factors in 5 CFR 
Sec. 575.305(c)(3) and:
    (i) The ease with which an agency could replace the employee with 
someone of comparable background;
    (ii) The current and projected vacancy rates in the occupation;
    (iii) The rate of turnover in the occupation; and
    (iv) Technological changes affecting the occupation and long-range 
predictions affecting staffing for the occupation.
    (d) Assessing continuing problems. A reassessment of a 
``continuing'' recruitment or retention problem shall be made 
periodically.
    (e) Authorizing training. (1) An agency may authorize full or part-
time training to address a recruitment problem if--
    (i) The training qualifies an employee for a shortage position 
identified under paragraph (c)(1) of this section; and
    (ii) The agency expects to place the employee in the shortage 
position after the training.
    (2) Training may be authorized under this section for the purpose 
of retaining an employee in a shortage occupation identified under 
paragraph(c)(2) of this section, if it involves a course of study 
selected mainly or its potential contribution to effective performance 
in that occupation.
    (3) Agencies shall select employees for academic degree training 
according to competitive procedures as specified in Sec. 410.307.
    (f) Monitoring training. An Agency shall assess the contribution of 
training assignments under this section to resolving recruitment or 
retention problems in its shortage occupations.
    (g) Documentation. (1) In exercising the authority in this section, 
an agency shall retain for a reasonable period:
    (i) A record of employees assigned to training under this section 
and
    (ii) A record of findings that the recruitment or retention problem 
is a continuing one.
    (2) As a separate record, the servicing personnel office shall keep 
the following information for each employee assigned to training under 
this section:
    (i) Nature and justification for the shortage determination;
    (ii) Kind of training (e.g., career experience program, continuing 
professional and technical education, retraining for occupational 
change); a description of the field of study; and the nature of any 
degree pursued under the training program; and
    (iii) A written continued service agreement, if required.


Sec. 410.310  Agreements to continue in service.

    (a) Authority. Continued service agreements are provided for in 
section 4108 of title 5, United States Code. Agencies have the 
authority to determine when such agreements will be required.
    (b) Requirements. (1) The Head of the agency shall establish 
written procedures which cover the minimum requirements for continued 
service agreements. These requirements shall include procedures the 
agency considers necessary to protect the Government's interest should 
the employee fail to successfully complete training.
    (2) An employee selected for training subject to an agency 
continued service agreement must sign an agreement to continue in 
service after training prior to starting the training. The period of 
service will equal three times the length of the training.
    (c) Failure to fulfill agreements. With a signed agreement, the 
agency has a right to recover training costs, except for pay or other 
compensation, if the employee voluntarily separates from Government 
service. The agency shall provide procedures to enable the employee to 
obtain a reconsideration of the recovery amount or to appeal for a 
waiver of the agency's right to recover.


Sec. 410.311  Computing time in training.

    For the purpose of chapter 41 of title 5, United States Code, and 
this subpart:
    (a) An employee on an 8-hour day work schedule assigned to training 
is counted as being in training for the same number of hours he or she 
is in pay status during the training assignment. If the employee is not 
in pay status during the training, the employee is counted as being in 
training for the number of hours he or she is granted leave without pay 
for the purpose of the training.
    (b) For any employee on an alternative work schedule, the agency is 
responsible for determining the number of hours the employees is in pay 
status during the training assignment. If the employee is not in pay 
status during the training, the employee is counted as being in 
training for the number of hours he or she is granted leave without pay 
for the purpose of the training.
    (c) An employee on a 8-hour or an alternative work schedule 
assigned to training on less than a full-time basis is counted as being 
in training for the number of hours he or she spends in class, in 
formal computer-based training, in satellite training, in formal self-
study programs, or with the training instructor, unless a different 
method is determined by the agency.


Sec. 410.312  Records.

    Agencies shall keep a record of training events authorized for each 
employee under this subpart.

Subpart D--Paying for Training Expenses


Sec. 410.401  Determining necessary training expenses.

    (a) The head of an agency determines which expenses constitute 
necessary training expenses under section 4109 of title 5, United 
States Code.
    (b) An agency may pay, or reimburse an employee, for necessary 
expenses incurred in connection with approved training as provided in 
section 4109(a)(2) of title 5, United States Code. Necessary training 
expenses do not include an employee's pay or other compensation.


Sec. 410.402  Paying premium pay.

    (a) Prohibitions. Except as provided by paragraph (b) of this 
section, an agency may not use its funds, appropriated or otherwise 
available, to pay premium pay to an employee engaged in training by, in 
or through Government or non-government facilities.
    (b) Exceptions. The following are excepted from the provision in 
paragraph (a) of this section prohibiting the payment of premium pay:
    (1) Continuation of premium pay. An employee given training during 
a period of duty for which he or she is already receiving premium pay 
for overtime, night, holiday, or Sunday work shall continue to receive 
that premium pay. This exception does not apply to an employee assigned 
to full-time training at institutions of higher learning.
    (2) Training at night. An employee given training at night because 
situations that he or she must learn to handle occur only at night 
shall be paid night pay.
    (3) Cost savings. An employee given training on overtime, on a 
holiday, or on a Sunday because the costs of the training, premium pay 
included, are less than the costs of the same training confined to 
regular work hours shall be paid the applicable premium pay.
    (4) Availability pay. An agency shall continue to pay availability 
pay during agency-sanctioned training to a criminal investigator who is 
eligible for it under

[[Page 21952]]

5 U.S.C. 5545(a) and implementing regulations. Agencies may, at their 
discretion, provide availability pay to investigators during periods of 
initial, basic training. (See 5 CFR Sec. 550.185 (b) and (c).)
    (5) Standby and administratively uncontrollable duty. An agency may 
continue to pay annual premium pay for regularly scheduled standby duty 
or administratively uncontrollable overtime work, during periods of 
temporary assignment for training as provided by 5 CFR Sec. 550.162(c).
    (6) Agency exemption. An employee given training during a period 
not otherwise covered by a provision of this paragraph may be paid 
premium pay when the employing agency has been granted an exception to 
paragraph (a) of this section by the U.S. Office of Personnel 
Management.
    (c) An employee who is excepted under paragraph (b) of this section 
is eligible to receive premium pay in accordance with the applicable 
pay authorities.
    (d) Overtime pay under the Fair Labor Standards Act (FLSA). (1) 
Time spent in training or preparing for training outside regular 
working hours shall be considered hours of work for the purpose of 
computing FLSA overtime if an agency requires the training to bring 
performance up to a fully successful, or equivalent, level or to 
provide knowledge or skills to perform new duties and responsibilities 
in the employee's current position. (Also see 5 CFR Sec. 551.423.)
    (2) The requirement of paragraph (d)(1) of this section does not 
pertain to training or preparing for training to:
    (i) Improve a nonexempt employee's performance in his or her 
current position above a fully successful, or equivalent, level, 
provided such training is undertaken with the knowledge that the 
employee's performance or continued retention in his or her current 
position will not be adversely affected by nonenrollment in the 
training program; or
    (ii) Provide a nonexempt employee with additional knowledge or 
skills for reassignment to another position or advancement to a higher 
grade. This includes any developmental training, even if such training 
is directed by the agency.


Sec. 410.403  Subsistence payments for extended training assignments.

    An agency has the authority to pay all or part (if agreed to by the 
employee) of actual subsistence expenses of an employee assigned to 
training at a temporary duty station lasting more than 30 calendar 
days. The agreed rate of payment shall be applicable from the 1st day 
of the assignment. An agency may adjust an agreed rate of payment when 
circumstances so justify, provided the employee agrees to any decrease. 
If the fees paid to the training institution include lodging or meal 
costs, an appropriate reduction shall be made from any standardized 
subsistence payments.


Sec. 410.404  Determining if a conference is a training activity.

    Agencies may sponsor an employee's attendance at a conference as a 
developmental assignment under section 4110 of title 5, United States 
Code, when--
    (a) The content of the conference is germane to improving 
individual and/or organizational performance, and
    (b) Developmental benefits will be derived through the employee's 
attendance.


Sec. 410.405  Protection of Government interest.

    The head of an agency shall establish such procedures as he or she 
considers necessary to protect the Government's interest when employees 
fail to complete, or to successfully complete, training for which the 
agency pays the expenses.


Sec. 410.406  Records of training expenses.

    An agency shall maintain records of payments made for travel, 
tuition and fees, and other necessary training expenses.

Subpart E--Accepting Contributions, Awards, and Payments From Non-
Government Organizations


Sec. 410.501  Scope.

    (a) Section 4111 of title 5, United States Code, describes 
conditions for employee acceptance of contributions, awards, and 
payments made in connection with non-Government sponsored training or 
meetings which an employee attends while on duty or when the agency 
pays the training or meeting attendance expenses, in whole or in part.
    (b) This subpart does not limit the authority of an agency head to 
establish procedures on the acceptance of contributions, awards, and 
payments in connection with any training and meetings that are outside 
the scope of this subpart in accordance with laws and regulations 
governing Government ethics and governing acceptance of travel 
reimbursements from non-Federal sources.


Sec. 410.502   Authority of the head of an agency.

    (a) In writing, the head of an agency may authorize an agency 
employee to accept a contribution or award (in cash or in kind) 
incident to training or to accept payment (in cash or in kind) of 
travel, subsistence, and other expenses incident to attendance at 
meetings if
    (1) The conditions specified in section 4111 of title 5, United 
States Code, are met; and
    (2) In the judgment of the agency head, the following two 
conditions are met:
    (i) The contribution, award, or payment is not a reward for 
services to the organization prior to the training or meeting; and
    (ii) Acceptance of the contribution, award, or payment:
    (A) Would not reflect unfavorably on the employee's ability to 
carry out official duties in a fair and objective manner;
    (B) Would not compromise the honesty and integrity of Government 
programs or of Government employees and their official actions or 
decisions;
    (C) Would be compatible with the Ethics in Government Act of 1978, 
as amended; and
    (D) Would otherwise be proper and ethical for the employee 
concerned given the circumstances of the particular case.
    (b) Delegation of authority. An agency head may delegate authority 
to authorize the acceptance of contributions, awards, and payments 
under this section. The designated official must ensure that--
    (1) The policies of the agency head are reflected in each decision; 
and
    (2) The circumstances of each case are fully evaluated under 
conditions set forth in Sec. 410.502(a).
    (c) Acceptance of contributions, awards, and payments. An employee 
may accept a contribution, award, or payment (whether made in cash or 
in kind) that falls within the scope of this section only when he or 
she has specific written authorization.
    (d) When more than one non-Government organization participates in 
making a single contribution, award, or payment, the ``organization'' 
referred to in this subsection is the one that:
    (1) selects the recipient; and
    (2) administers the funds from which the contribution, award, or 
payment is made.


Sec. 410.503   Records.

    An agency shall maintain, in such form and manner as the agency 
head considers appropriate, the following records in connection with 
each

[[Page 21953]]

contribution, award, or payment made and accepted under authority of 
this section: The recipient's name; the organization's name; the amount 
and nature of the contribution, award, or payment and the purpose for 
which it is to be used; and a copy of the written authorization 
required by Sec. 410.502(a).

Subpart F--Evaluating Training


Sec. 410.601   Responsibility of the head of an agency.

    Under provisions of chapter 41 of title 5, United States Code, and 
Executive Order 11348, the agency head shall evaluate training to 
determine how well it meets short and long-range program needs by 
occupations, organizations, or other appropriate groups. The agency 
head may conduct the evaluation in the manner and frequency he or she 
considers appropriate.


Sec. 410.602   Records.

    An agency head shall keep records of these evaluations as he or she 
considers appropriate.

Subpart G--Reports


Sec. 410.701   Reports.

    Each agency shall maintain records of its training plans, 
expenditures and activities and report its plans, expenditures and 
activities to the Office of Personnel Management and at such times and 
in such form as the Office prescribes.

[FR Doc. 96-11863 Filed 5-10-96; 8:45 am]
BILLING CODE 6325-01-M