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Title 5Administrative PersonnelParts 1 to 699Revised as of January 1, 2021Containing a codification of documentsof general applicability and future effectAs of January 1, 2021rmajette on DSKBCKNHB2PROD with CFRPublished by the Office of the Federal RegisterNational Archives and Records Administrationas a Special Edition of the Federal RegisterVerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00001Fmt 8091Sfmt 8091Y:\SGML\253008.XXX253008
U.S. GOVERNMENT OFFICIAL EDITION NOTICELegal Status and Use of Seals and LogosThe seal of the National Archives and Records Administration(NARA) authenticates the Code of Federal Regulations (CFR) asthe official codification of Federal regulations established underthe Federal Register Act. Under the provisions of 44 U.S.C. 1507, thecontents of the CFR, a special edition of the Federal Register, shallbe judicially noticed. The CFR is prima facie evidence of the original documents published in the Federal Register (44 U.S.C. 1510).It is prohibited to use NARA’s official seal and the stylized Codeof Federal Regulations logo on any republication of this materialwithout the express, written permission of the Archivist of theUnited States or the Archivist’s designee. Any person usingNARA’s official seals and logos in a manner inconsistent with theprovisions of 36 CFR part 1200 is subject to the penalties specifiedin 18 U.S.C. 506, 701, and 1017.Use of ISBN PrefixThis is the Official U.S. Government edition of this publicationand is herein identified to certify its authenticity. Use of the 0–16ISBN prefix is for U.S. Government Publishing Office Official Editions only. The Superintendent of Documents of the U.S. Government Publishing Office requests that any reprinted edition clearlybe labeled as a copy of the authentic work with a new ISBN.e:\seals\gpologo2.eps /GPH U.S. Superintendent of Documents Washington, DC 20402–0001http://bookstore.gpo.govPhone: toll-free (866) 512-1800; DC area (202) 512-1800VerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00002Fmt 8092Sfmt 8092Y:\SGML\253008.XXX253008archives.ai /GPH rmajette on DSKBCKNHB2PROD with CFRU.S. GOVERNMENT PUBLISHING OFFICE
Table of ContentsPageExplanation .vTitle 5:Chapter I—Office of Personnel Management .3rmajette on DSKBCKNHB2PROD with CFRFinding Aids:Table of CFR Titles and Chapters .917Alphabetical List of Agencies Appearing in the CFR .937List of CFR Sections Affected .947iiiVerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00003Fmt 8092Sfmt 8092Y:\SGML\253008.XXX253008
Cite this Code:CFRrmajette on DSKBCKNHB2PROD with CFRTo cite the regulations inthis volume use title,part and section number. Thus, 5 CFR 1.1 refers to title 5, part 1,section 1.ivVerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00004Fmt 8092Sfmt 8092Y:\SGML\253008.XXX253008
ExplanationThe Code of Federal Regulations is a codification of the general and permanentrules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which representbroad areas subject to Federal regulation. Each title is divided into chapterswhich usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas.Each volume of the Code is revised at least once each calendar year and issuedon a quarterly basis approximately as follows:Title 1 through Title 16.as of January 1Title 17 through Title 27 .as of April 1Title 28 through Title 41 .as of July 1Title 42 through Title 50 .as of October 1The appropriate revision date is printed on the cover of each volume.LEGAL STATUSThe contents of the Federal Register are required to be judicially noticed (44U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the textof the original documents (44 U.S.C. 1510).HOW TO USE THE CODE OF FEDERAL REGULATIONSThe Code of Federal Regulations is kept up to date by the individual issuesof the Federal Register. These two publications must be used together to determine the latest version of any given rule.To determine whether a Code volume has been amended since its revision date(in this case, January 1, 2021), consult the ‘‘List of CFR Sections Affected (LSA),’’which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ whichappears in the Reader Aids section of the daily Federal Register. These two listswill identify the Federal Register page number of the latest amendment of anygiven rule.EFFECTIVE AND EXPIRATION DATESrmajette on DSKBCKNHB2PROD with CFREach volume of the Code contains amendments published in the Federal Register since the last revision of that volume of the Code. Source citations forthe regulations are referred to by volume number and page number of the FederalRegister and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining theactual effective date. In instances where the effective date is beyond the cutoff date for the Code a note has been inserted to reflect the future effectivedate. In those instances where a regulation published in the Federal Registerstates a date certain for expiration, an appropriate note will be inserted followingthe text.OMB CONTROL NUMBERSThe Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agenciesto display an OMB control number with their information collection request.vVerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00005Fmt 8008Sfmt 8092Y:\SGML\253008.XXX253008
Many agencies have begun publishing numerous OMB control numbers as amendments to existing regulations in the CFR. These OMB numbers are placed asclose as possible to the applicable recordkeeping or reporting requirements.PAST PROVISIONS OF THE CODEProvisions of the Code that are no longer in force and effect as of the revisiondate stated on the cover of each volume are not carried. Code users may findthe text of provisions in effect on any given date in the past by using the appropriate List of CFR Sections Affected (LSA). For the convenience of the reader,a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume.For changes to the Code prior to the LSA listings at the end of the volume,consult previous annual editions of the LSA. For changes to the Code prior to2001, consult the List of CFR Sections Affected compilations, published for 19491963, 1964-1972, 1973-1985, and 1986-2000.‘‘[RESERVED]’’ TERMINOLOGYThe term ‘‘[Reserved]’’ is used as a place holder within the Code of FederalRegulations. An agency may add regulatory information at a ‘‘[Reserved]’’ location at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate thata portion of the CFR was left vacant and not dropped in error.INCORPORATION BY REFERENCEWhat is incorporation by reference? Incorporation by reference was establishedby statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published elsewhere. For an incorporation to be valid, the Director of the Federal Registermust approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C.552(a)). This material, like any other properly issued regulation, has the forceof law.What is a proper incorporation by reference? The Director of the Federal Registerwill approve an incorporation by reference only when the requirements of 1 CFRpart 51 are met. Some of the elements on which approval is based are:(a) The incorporation will substantially reduce the volume of material published in the Federal Register.(b) The matter incorporated is in fact available to the extent necessary toafford fairness and uniformity in the administrative process.(c) The incorporating document is drafted and submitted for publication inaccordance with 1 CFR part 51.What if the material incorporated by reference cannot be found? If you have anyproblem locating or obtaining a copy of material listed as an approved incorporation by reference, please contact the agency that issued the regulation containingthat incorporation. If, after contacting the agency, you find the material is notavailable, please notify the Director of the Federal Register, National Archivesand Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, orcall 202-741-6010.rmajette on DSKBCKNHB2PROD with CFRCFR INDEXES AND TABULAR GUIDESA subject index to the Code of Federal Regulations is contained in a separatevolume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS.This volume contains the Parallel Table of Authorities and Rules. A list of CFRtitles, chapters, subchapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume.An index to the text of ‘‘Title 3—The President’’ is carried within that volume.viVerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00006Fmt 8008Sfmt 8092Y:\SGML\253008.XXX253008
The Federal Register Index is issued monthly in cumulative form. This indexis based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Register.A List of CFR Sections Affected (LSA) is published monthly, keyed to therevision dates of the 50 CFR titles.REPUBLICATION OF MATERIALThere are no restrictions on the republication of material appearing in theCode of Federal Regulations.INQUIRIESFor a legal interpretation or explanation of any regulation in this volume,contact the issuing agency. The issuing agency’s name appears at the top ofodd-numbered pages.For inquiries concerning CFR reference assistance, call 202–741–6000 or writeto the Director, Office of the Federal Register, National Archives and RecordsAdministration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mailfedreg.info@nara.gov.SALESThe Government Publishing Office (GPO) processes all sales and distributionof the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area,202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2104, 24 hoursa day. For payment by check, write to: US Government Publishing Office – NewOrders, P.O. Box 979050, St. Louis, MO 63197-9000.ELECTRONIC SERVICESThe full text of the Code of Federal Regulations, the LSA (List of CFR SectionsAffected), The United States Government Manual, the Federal Register, PublicLaws, Public Papers of the Presidents of the United States, Compilation of Presidential Documents and the Privacy Act Compilation are available in electronicformat via www.govinfo.gov. For more information, contact the GPO CustomerContact Center, U.S. Government Publishing Office. Phone 202-512-1800, or 866512-1800 (toll-free). E-mail, ContactCenter@gpo.gov.The Office of the Federal Register also offers a free service on the NationalArchives and Records Administration’s (NARA) website for public law numbers,Federal Register finding aids, and related information. Connect to NARA’swebsite at www.archives.gov/federal-register.The e-CFR is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments, produced by the Office of the FederalRegister and the Government Publishing Office. It is available at www.ecfr.gov.rmajette on DSKBCKNHB2PROD with CFROLIVER A. POTTS,Director,Office of the Federal RegisterJanuary 1, 2021viiVerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00007Fmt 8008Sfmt 8092Y:\SGML\253008.XXX253008
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THIS TITLETitle 5—ADMINISTRATIVE PERSONNEL is composed of three volumes. The partsin these volumes are arranged in the following order: Parts 1–699, 700–1199 andpart 1200–end. The contents of these volumes represent all current regulationscodified under this title of the CFR as of January 1, 2021.rmajette on DSKBCKNHB2PROD with CFRFor this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of FederalRegulations publication program is under the direction of John Hyrum Martinez,assisted by Stephen J. Frattini.ixVerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00009Fmt 8092Sfmt 8092Y:\SGML\253008.XXX253008
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Title 5—AdministrativePersonnel(This book contains parts 1 to 699)NOTE: Title 5 of the United States Code was revised and enacted into positive law by Pub.L. 89–554, Sept. 6, 1966. New citations for obsolete references to sections of 5 U.S.C. appearingin this volume may be found in a redesignation table under Title 5, Government Organizationand Employees, United States Code.Partrmajette on DSKBCKNHB2PROD with CFRCHAPTER I—Officeof Personnel Management .1VerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00011Fmt 8008Sfmt 8008Y:\SGML\253008.XXX2530081
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CHAPTER I—OFFICE OF PERSONNELMANAGEMENTSUBCHAPTER A—CIVIL SERVICE RULESPart12345678910PageCoverage and definitions (Rule I) .Appointment through the competitive service; related matters (Rule II) .Noncompetitive acquisition of status (Rule III) .Prohibited practices (Rule IV) .Regulations, investigation, and enforcement (RuleV) .Exceptions from the competitive service (Rule VI)General provisions (Rule VII) .Appointments to overseas positions (Rule VIII) .Workforce information (Rule IX) .Agency accountability systems; OPM authority toreview personnel management programs (Rule X)78910111315161617SUBCHAPTER B—CIVIL SERVICE REGULATIONS110120151rmajette on DSKBCKNHB2PROD with CFR175177178179180185210211212213214230Posting notices of new OPM regulations .Administrative guidance .Political activity of State or local officers or employees .OPM mandatory review of classified documents .Administrative claims under Federal Tort ClaimsAct .Procedures for settling claims .Claims collection standards .Employees’ personal property claims .Program fraud civil remedies .Basic concepts and definitions (general) .Veteran preference .Competitive service and competitive status .Excepted service .Senior Executive Service .Organization of the Government for personnelmanagement .3VerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00013Fmt 8008Sfmt 71728082
5 CFR Ch. I (1–1–21 53rmajette on DSKBCKNHB2PROD with CFR359362370410412430PagePersonnel management in agencies .Agency relationships with organizations representing Federal employees and other organizations .Personnel records .Availability of official information .Testimony by OPM employees relating to officialinformation and production of official records inlegal proceedings .Privacy procedures for personnel records .Employment (general) .Overseas employment .Employment in the excepted service .Expert and consultant appointments .[Reserved]Veterans recruitment appointments .Volunteer service .Employment of relatives .Career and career-conditional employment .Temporary and term employment .Employment in the Senior Executive Service .Employment in senior-level and scientific and professional positions .Recruitment, selection, and placement (general) .Recruitment and selection through competitiveexamination .[Reserved]Temporary assignments under the Intergovernmental Personnel Act (IPA) .Promotion and internal placement .Examining system .Qualification requirements (general) .Medical qualification determinations .Other than full-time career employment (Parttime, seasonal, on-call, and intermittent) .Reduction in force .Reemployment rights .Restoration to duty from uniformed service orcompensable injury .Removal from the Senior Executive Service; guaranteed placement in other personnel systems .Pathways Programs .Information Technology Exchange Program .Training .Supervisory, management, and executive development .Performance management .4VerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00014Fmt 8008Sfmt 258278295304313325330339343
Office of Personnel 7550551553572575576581582rmajette on DSKBCKNHB2PROD with CFR591595610630631–699Performance based reduction in grade and removalactions .Awards .Personnel management research programs anddemonstrations projects .Classification under the General Schedule .Pay rates and systems (general) .Pay under the General Schedule .Prevailing rate systems .Pay under other systems .Critical position pay authority .Grade and pay retention .Repayment of student loans .Pay administration (general) .Pay administration under the Fair Labor Standards Act .Reemployment of civilian retirees to meet exceptional employment needs .Travel and transportation expenses; new appointees and interviews .Recruitment, relocation, and retention incentives;supervisory differentials; and extended assignment incentives .Voluntary separation incentive payments .Processing garnishment orders for child supportand/or alimony .Commercial garnishment of Federal employees’pay .Allowances and differentials .Physicians’ comparability allowances .Hours of duty .Absence and leave .[Reserved]5VerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00015Fmt 8008Sfmt 29551554570576674708711711745748806814835838843
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SUBCHAPTER A—CIVIL SERVICE RULES(c) Competitive status shall mean basiceligibility to be noncompetitively selected to fill a vacancy in a competitive position. A competitive statusshall be acquired by career-conditionalor career appointment through opencompetitive examination upon satisfactory completion of a probationaryperiod, or may be granted by statute,executive order, or the Civil ServiceRules without competitive examination. A person with competitive statusmay be promoted, transferred, reassigned, reinstated, or demoted withouttaking an open competitive examination, subject to the conditions prescribed by the Civil Service Rules andRegulations.(d) An employee shall be consideredas being in the competitive servicewhen he has a competitive status andoccupies a competitive position unlesshe is serving under a temporary appointment: Provided, that an employeewho is in the competitive service at thetime his position is first listed underSchedule A, B, or C shall be consideredas continuing in the competitive service as long as he continues to occupysuch position.(e) Tenure shall mean the period oftime an employee may reasonably expect to serve under his current appointment. Tenure shall be granted andgoverned by the type of appointmentunder which an employee is currentlyserving without regard to whether hehas a competitive status or whether hisappointment is to a competitive position or an excepted position.PART 1—COVERAGE ANDDEFINITIONS (RULE I)Sec.1.1 Positions and employees affected by therules in this subchapter.1.2 Extent of the competitive service.1.3 Definitions.1.4 Extent of the excepted service.AUTHORITY: 5 U.S.C. 3301, 3302.SOURCE: 28 FR 10022, Sept. 14, 1963, unlessotherwise noted.§ 1.1 Positions and employees affectedby the rules in this subchapter.The rules in this subchapter shallapply to all positions in the competitive service and to all incumbents ofsuch positions. Except as expressly provided in the rule concerned, the rulesin this subchapter shall not apply topositions and employees in the excepted service.§ 1.2Extent of the competitive service.The competitive service shall include: (a) All civilian positions in theexecutive branch of the Governmentunless specifically excepted therefromby or pursuant to statute or by the Office of Personnel Management (hereafter referred to in this subchapter asOPM) under § 6.1 of this subchapter;and (b) all positions in the legislativeand judicial branches of the FederalGovernment and in the Government ofthe District of Columbia which are specifically made subject to the civil service laws by statute. OPM is authorizedand directed to determine finallywhether a position is in the competitive service.rmajette on DSKBCKNHB2PROD with CFR§ 1.3§ 1.4 Extent of the excepted service.(a) The excepted service shall includeall civilian positions in the executivebranch of the Government which arespecifically excepted from the requirements of the Civil Service Act or fromthe competitive service by or pursuantto statute or by OPM under § 6.1 of thissubchapter.(b) Excepted service shall have thesame meaning as the words ‘‘unclassified service’’, or ‘‘unclassified civilservice’’, or ‘‘positions outside thecompetitive civil service’’ as used inexisting statutes and executive orders.Definitions.As used in the rules in this subchapter:(a) Competitive service shall have thesame meaning as the words ‘‘classifiedservice’’, or ‘‘classified (competitive)service’’, or ‘‘classified civil service’’ asdefined in existing statutes and executive orders.(b) Competitive position shall mean aposition in the competitive service.7VerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00017Fmt 8010Sfmt 8010Y:\SGML\253008.XXX253008
Pt. 25 CFR Ch. I (1–1–21 Edition)(c) Excepted position shall have thesame meaning as ‘‘unclassified position’’, or ‘‘position excepted by law’’,or ‘‘position excepted by executiveorder’’, or ‘‘position excepted by CivilService Rule’’, or ‘‘position outside thecompetitive service’’ as used in existing statutes and Executive orders.where OPM is statutorily precludedfrom prescribing such standards.’’(b) In addition to the names of persons who qualify in competitive examinations, the names of persons who havelost eligibility on a career or careerconditional register because of servicein the armed forces, and the names ofpersons who lost opportunity for certification or who have served under career or career-conditional appointmentwhen OPM determines that they shouldbe given certification, may also be entered at such places on appropriate registers and under such conditions asOPM may prescribe.(c) Whenever the Office of PersonnelManagement (1) is unable to certify asufficient number of names to permitthe appointing officer to consider threeeligibles for appointment to a fourthclass postmaster position in accordance with the regular procedure, or (2)finds that a particular rate of compensation for fourth-class postmasterpositions is too low to warrant regularcompetitive examinations for such positions, it may authorize appointmentto any such position or positions in accordance with such procedure as maybe prescribed by OPM. Persons appointed under this paragraph may acquire competitive status subject to satisfactory completion of a probationaryperiod prescribed by OPM.PART 2—APPOINTMENT THROUGHTHE COMPETITIVE SERVICE; RELATED MATTERS (RULE II)Sec.2.1 Competitive examinations and eligibleregisters; suitability and fitness for civilservice employment.2.2 Appointments.2.3 Apportionment.2.4 Probationary period.AUTHORITY: 5 U.S.C. 3301, 3302.SOURCE: 28 FR 10023, Sept. 14, 1963, unlessotherwise noted.rmajette on DSKBCKNHB2PROD with CFR§ 2.1 Competitive examinations and eligible registers; suitability and fitness for civil service employment.(a) OPM shall be responsible for:(i) Open competitive examinationsfor admission to the competitive service that will fairly test the relative capacity and fitness of the persons examined for the position to be filled.(ii) Standards with respect to citizenship, age, education, training and experience, physical and mental fitness,and for residence or other requirementsthat applicants must meet to be admitted to or rated in examinations.(iii) Standards of suitability based oncharacter and conduct for appointmentto a position in the competitive service, for appointment to a position inthe excepted service where the incumbent can be noncompetitively converted to the competitive service, andfor career appointment to a position inthe Senior Executive Service.(iv) Minimum standards of fitnessbased on character and conduct for appointment in any other position in theexcepted service of the executivebranch, except for (A) positions in anyelement of the intelligence communityas defined in the National Security Actof 1947, as amended, to the extent theyare not otherwise subject to OPM appointing authorities, and (B) positions[28 FR 10023, Sept. 14, 1963, as amended byE.O. 13764, 82 FR 8115, Jan. 23, 2017]§ 2.2Appointments.(a) OPM shall establish and administer a career-conditional appointmentsystem for positions subject to competitive examinations which will permit adjustment of the career service tonecessary fluctuations in Federal employment, and provide an equitable andorderly system for stabilizing the Federal work force. A competitive statusshall be acquired by a career-conditional appointee upon satisfactorycompletion of a probationary period,but the appointee shall have careerconditional tenure for a period of service to be prescribed by regulation ofOPM. When an employee has completed8VerDate Sep 11 201411:23 Jul 28, 2021Jkt 253008PO 00000Frm 00018Fmt 8010Sfmt 8010Y:\SGML\253008.XXX253008
Office of Personnel Management§ 3.1rmajette on DSKBCKNHB2PROD with CFRthe required period of service his appointment shall be converted to a career appointment without time limitation: Provided, That his career-conditional appointment shall not be converted to a career appointment if thelimitation on the number of permanentemployees in the Federal civil serviceestablished under paragraph (b) of thissection would be exceeded thereby.Persons selected from competitive civilservice registers for other than temporary appointment shall be given career-conditional appointments: Provided, That career appointments shallbe given to the following classes of eligibles:(1) Persons whose appointments arerequired by statute to be made on apermanent basis;(2) Employees serving under careerappointments at the time of selectionfrom such registers;(3) Former employees who have eligibility for career appointments upon reinstatement; and(4) To the extent permitted by
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