Training

Federal RegisterDec 17, 1996

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SUMMARY: The Office of Personnel Management (OPM) is issuing final

regulations governing Federal employee training. The regulations

implement provisions of the Federal Workforce Restructuring Act, dated

March 30, 1994 and provisions of the Federal Reports Elimination and

Sunset Act of 1995, dated December 21, 1995; incorporate former

provisionally retained FPM Letters; and reflect OPM's response to

agency requests to restructure 5 CFR part 410. The rules provide

agencies additional flexibility by implementing the National

Performance Review recommendations to reduce restrictions on training

and make it a more responsive management tool.

EFFECTIVE DATE: This rule becomes effective on December 17, 1996.

FOR FURTHER INFORMATION CONTACT:

Judith Lombard, 202-606-2431, E-MAIL [email protected], or FAX 202-606-

2394.

SUPPLEMENTARY INFORMATION: Under section 4118 of title 5, United States

Code, as amended, OPM is responsible for prescribing regulations for

the training of Government employees. Inconsistencies between current

training law and previously published regulations caused confusion and

led Federal managers, employees, and training officials to operate

under outdated, and unnecessary regulations. OPM found that delay in

issuing updated regulations would be contrary to public interest, and

published an interim revision of its regulations in the May 13, 1996,

Federal Register (61 FR 21947-21953) for a 30-day public comment

period.

Comments were received from 14 sources, including one labor

organization and one individual. OPM reviewed the comments with members

of the Human Resource Development Council's Policy and Legislation

Subcommittee, and collaborated with them on OPM's response. The

following summarizes the comments, suggestions and actions taken in

each subpart.

Subpart A--General Provisions

Section 410.101--Definitions. The labor organization felt training

was adequately defined in section 4101 of title 5, United States Code,

and that the clarifying language in Sec. 410.101(c) of the interim

regulation was restrictive and should be stricken. Response: Since

similar information is included in Sec. 410.204, options for developing

employees, the definition has been revised to read: ``Training has the

meaning given to the term in section 4101 of title 5, United States

Code.''

Subpart B--Planning for Training

Section 410.202--Integrating employee training and development with

agency strategic plans. One agency suggested that accountability and

cost-benefit be added to Sec. 410.202(a)(1) by adding alignment of

training plans to agency performance indicators. Response: Although the

idea has merit, it places a regulatory burden on training operations

that properly belongs to other levels of the organization as well. We

believe that the existing language is sufficient and that additional

language is unnecessary.

Section 410.202(b)(1)--Agency human resource development programs.

One agency suggested that accountability and cost-benefit be included

by adding that human resource development plans should represent

targeted investments in the workforce that are cost-beneficial and make

efficient use of resources. Response: We believe the existing language

is sufficient to assure accountability and efficiency and that

additional language is unnecessary.

Subpart C--Establishing and Implementing Training Programs

Section 410.302--Responsibilities of the head of an agency.

1. One agency proposed that the word ``procedures'' in

Sec. 410.302(a) (1) and (2) is more onerous and burdensome than the

word ``policy'' and recommended that the word procedures be dropped.

Response: The wording in the interim regulation could be interpreted to

mean that the agencies had to prescribe procedures, which was not our

intent. Previously published 5 CFR part 410 regulations used the

phrase, ``shall prescribe procedures as are necessary to assure * *

*''. This wording gives agencies the flexibility to determine when

procedures are necessary. We have changed Sec. 410.302 of the interim

regulations to include the ``as are necessary to ensure'' phrase.

2. One agency felt the subsection on training Presidential

appointees represented a departure from FPM 410-34 which delegated

OPM's training approval authority to heads of agencies. The agency

asked that the requirement in Sec. 410.302(c) for agency heads to

submit requests for their own training to OPM be eliminated. Response:

The President delegated authority to OPM to approve the training of

Presidential appointees. The FPM letter delegated that authority, with

conditions, to agency heads. Because we believed that self-review

constituted a conflict of interest, the FPM letter required agency

heads to have their training requests reviewed by OPM. Subsections

401.302 (b) and (c) of the interim regulation delegate authority to

approve training of Presidential appointees under the conditions of the

FPM Letter. Because we continue to believe that self-review constitutes

a conflict of interest, heads of agencies shall continue to submit

requests for their non-Government sponsored training to OPM for review.

3. Another agency suggested that the responsibility of the head of

an agency to maintain records of the agency's training plans,

expenditures and activities be included in subsection Sec. 410.302.

Response: This is clarifying suggestion which we have adopted. The text

has been revised by adding a subsection: ``(d) The head of the agency

shall establish the form and manner of maintaining agency records

related to training plans, expenditures, and activities.''

4. An agency also suggested that the requirement from

Sec. 410.310(b) for the agency head to publish written procedures on

continued service

[[Page 66190]]

agreement be added to Sec. 410.302. Response: This is a clarifying

suggestion which we have adopted. The text has been revised by adding a

subsection: ``(e) The head of the agency shall establish written

procedures which include the minimum requirements for continued service

agreement. (See also 5 CFR 410.310.)''

Section 410.304--Funding training programs. One agency recommended

including a statement which indicates that funding for employee

training and development is an investment in the future of the

individual and the organization. Response: The statement has merit, but

it is a philosophical idea which OPM is not including in regulation.

Section 410.305--Establishing and using interagency training. One

agency asked for clarification of interagency training and agencies

eligible for interagency training. Response: OPM has no objection to

further clarifying this subsection by revising it to read: ``Executive

departments, independent establishments, Government corporations

subject to chapter 91 of title 31, the Library of Congress, and the

Government Printing Office may provide or share training programs

developed for its employees to employees of other agencies under

section 4102 of title 5, United States Code, when this would result in

better training, improved service, or savings to the Government.

Section 302(d) of Executive Order 11348 allows agencies excluded from

section 4102 of title 5, United States Code, to also receive

interagency training when this would result in better training,

improved service, or savings to the Government. Section 201(e) of

Executive Order 11348 provides for the Office of Personnel Management

coordination of interagency training conducted by and for agencies

(including agencies and portions of agencies excepted by section

4102(a) of Title 5, United States Code).''

Section 410.306(b)--Training persons on Intergovernmental Personnel

Act (IPA) mobility assignments. One agency asked that OPM clarify this

subsection by stating if the authority to assign individuals on

mobility agreements to training applies to both non-Federal persons on

IPA appointment or on detail to a Federal agency. Response: Since this

authority is not specified elsewhere, OPM agrees that it should be

clarified here. This subsection has been revised to read: ``(b) Persons

on Intergovernmental Personnel Act mobility assignments may be assigned

to training if that is in the interest of the Government.

(1) A State or local government employee given an appointment in a

Federal agency under the authority of section 3374(b) of title 5 of the

United States Code, is deemed an employee of the Federal agency. The

agency may provide training for the State or local government employee

as it does for other agency employees.

(2) A State or local government employee on detail to a Federal

agency under the authority of section 3374(c) of title 5 of the United

States Code, is not deemed an employee of the Federal agency. However,

the detailed State or local government employee may be admitted to

training programs the agency has established for Federal personnel and

may be trained in the rules, practices, procedures and/or systems

pertaining to the Federal government.''

Section 410.307--Training for promotion. 1. One agency asked for

guidance on when training agreements are necessary for accelerated

promotions. Another agency asked that reference be made in Sec. 410.307

and Sec. 410.308 to the Modified Qualification provision contained in

OPM's Qualification Standards Operating Manual. Response: OPM agrees

that it is helpful (i) to refer to agency authority to modify

qualifications and to provide intensive training so employees may

acquire qualifications at an accelerated rate, and (ii) to refer to

time in grade regulations. We are merging Sec. 410.307 and Sec. 410.308

into a single section, retitling the section, adding a new paragraph

(a) as shown below, and renumbering the subpart. The new paragraph

reads as follows:

Section 410.307--Training for promotion or placement in other

positions.

(a) General. In determining whether to provide training under this

section, agencies should take into account:

(1) Agency authority to modify qualification requirements in

certain situations as provided in the OPM Operating Manual for

Qualification Standards for General Schedule Positions;

(2) Agency authority to establish training programs that provide

intensive and directly job-related training to substitute for all or

part of the experience (but not education, licensing, certification, or

other specific credentials), required by OPM qualification standards.

Such training programs may be established to provide employees with the

opportunity to acquire the experience and knowledge, skills, and

abilities necessary to qualify for another position (including at a

higher grade) at an accelerated rate; and

(3) Time-in-grade restrictions on advancement (see 5 CFR

300.603(b)(6)).''

2. To further clarify training an employee subject to grade or pay

retention to qualify for another position, we have amended the language

in the former Sec. 410.308 and renumbered it Sec. 410.307(c)(1). It

reads, ``(1) Grade or pay retention. Under the authority of 5 U.S.C.

4103 and 5 U.S.C. 5364, an agency may train an employee to meet the

qualification requirements of another position in the agency if the new

position is at or below the retained grade or the grade of the position

the employee held before pay retention.''

3. One agency also suggested adding some guidance about employer

paid educational expenses and tax liability to Sec. 410.307. Response:

This area is subject to tax law which will change this year. OPM feels

it is a matter better explained in a handbook or in guidance. The

subsection will not be revised to address tax liability for Government

paid educational expenses.

Section 410.309(a)--Prohibition on training to obtain an academic

degree. One agency felt that the language in the interim regulation,

Sec. 410.309(a)(2), prohibited an agency from providing graduate and

post graduate level academic training for its employees who must

not at all. The agency noted that former OPM guidance existed in this

area and requested that this subsection be revised to reflect permitted

agency actions. Response: It was not OPM's intent to place new

restrictions on agencies. We have renumbered that section as

Sec. 410.308 and revised Sec. 410.308(a)(2) to read:

``(2)(i) The prohibition on academic degree in 5 U.S.C. 4107(a)(2)

is not to be construed as limiting the authority of agencies to approve

and pay for training expenses to develop knowledge, skills, and

abilities directly related to improved individual performance. If, in

the accomplishment of such training, an employee receives an academic

degree, the degree is an incidental by-product of the training.

(ii) Paying an additional rate of tuition because a student is a

degree candidate is prohibited. An agency is only authorized to pay the

tuition and fees charged for a nondegree student, even though the

employee is enrolled as a degree candidate. If it is not possible to

distinguish between costs associated with the acquisition of knowledge

and skills and the costs associated with the acquisition of an academic

degree at an institution, an agency is authorized to pay in full the

tuition of an employee

[[Page 66191]]

participating in an authorized program of training at that

institution.''

Section 410.309(b)--Degree training to relieve recruitment and

retention problems.

1. Two agencies thought that interim regulation Sec. 410.309(b) was

too long, addressed non-training issues, and should be rewritten.

Response: OPM agrees that the subsection is quite long, but it is

guidance for implementing an exception to training law that applies to

staffing as well as to training. Since the guidance only appears in 5

CFR part 410, we will retain it to assure Governmentwide uniformity in

making exceptions to the statute.

2. An individual asked that OPM include persons with disabilities,

including disabled veterans, in accordance with the requirements of

titles 5, 29, and 38 to Sec. 410.309(b) in the interim regulation.

Response: Although the suggestion has merit, the current language

reflects what is stated in training law. Since Sec. 410.302(a)

specifies that selection for training shall be made without regard to

handicapping condition, OPM feels it is unnecessary to include it in

this subsection.

3. One agency asked that interim regulation Sec. 410.309(g)(2) be

eliminated, suggesting it is inconsistent with the policy on personnel

recordkeeping which allows agencies to determine the types and kinds of

training that should be documented in an employee's individual record.

Response: OPM does not feel that the language is inconsistent with

filing rules. Sec. 410.309(g)(2) asks that agencies keep records on

individual employees assigned to training under this section. As a good

management practice, we believe agencies should keep this information

for a reasonable length of time. Where the records are maintained is a

matter of agency discretion.

Section 410.310--Agreements to continue in service.

1. The labor organization asked that the words ``reasonably and not

in a arbitrary and capricious manner'' be added to the sentence in

interim regulation Sec. 410.310(a) about establishing agency policy for

continued service agreements. Response: Since agency policies and

procedures must be established, and administered, in a uniform and non-

arbitrary manner, OPM believes the additional language is unnecessary.

However, OPM has renumbered the section as Sec. 410.309.

2. One agency pointed out that interim regulation

Sec. 410.310(b)(2) contains the statement that the ``period of service

will equal three times the length of the training.'' The agency

correctly notes that this places a condition on continued service

agreements that was not previously in regulation. Response: It was not

OPM's intent to be more restrictive in this area. OPM has renumbered

the section as Sec. 410.309(b)(2) and revised it to read: ``(2) An

employee selected for training subject to an agency continued service

agreement must sign an agreement to continue in service after training

prior to starting the training. The period of service will equal at

least three times the length of the training.''

3. Another agency asked for guidance on how to use continued

service agreements in interim regulation Sec. 410.310 for short term,

but high priced training. Response: OPM feels this is a matter for

agencies to address, if desired, in their internal policies and

procedures for continued service agreements.

Section 410.311--Computing time in training. One agency asked what

was meant by interim regulation Sec. 410.311(a) and (b). Specifically,

the agency questioned documenting leave without pay (LWOP) hours used

for training. It asked, ``Since training is official duty, how can the

person attending the training be on LWOP?'' Response: This provision is

included for agencies that need to compute time of employees in

training for continued service agreements. Continued service agreements

cover training expenses (other than salary) for which the agency may

require repayment. Agencies may grant employees LWOP for the purpose of

training and may pay all, some or none of the costs of the training. If

an agency pays for the training, it may subject the employee to a

continued service agreement. OPM agrees that clarifying language is

needed. We have renumbered this subsection as Sec. 410.310 and revised

it to read, ``For the purpose of computing time in training for

continued service agreements under section 4108 of title 5, United

States Code:''

Section 410.312--Records. Five agencies commented on 5 CFR 410.312,

keeping records of individual employees' training. Two asked for

clarification on the type of training data to keep, what its format

should be, how it should be filed, and how long it should be retained.

A third asked that the regulations specify that training of less than

eight hours need not be recorded if the agency so chooses. A fourth

said the language was unclear. The fifth suggested rewording the

subsection. Response: OPM has determined that agencies shall no longer

file training documents permanently in Official Personnel Folders.

Agency policy should address the filing and retention of training

documents to meet the agency's needs for internal review and control.

To clarify this authority, OPM has renumbered the section as 5 CFR

410.311 and revised it to read: ``Agencies shall retain, in such form

and manner as the agency head considers appropriate, a record of

training events authorized under this subpart for a reasonable period

of time.''

Subpart D--Paying for Training Expenses

Section 410.402--Paying premium pay.

1. One agency pointed out that meaning of Sec. 410.402(b)(2),

exemption to prohibition on premium pay for training at night, is not

consistent with previous OPM regulations. Response: We agree, and OPM

has revised it to read: ``an employee given training at night because

situations that he or she must learn to handle occur only at night

shall be paid by the applicable premium pay.''

2. The labor organization felt that Sec. 410.402(d)(1) and (2),

exception to prohibition premium pay for employees nonexempt from the

Fair Labor Standards Act, were inconsistent with Sec. 551.423(a)(2).

The organization suggested eliminating Sec. 410.402(d)(2) and revising

Sec. 410.402(d) to read: ``(d) Overtime pay under that Fair Labor

Standards Act (FLSA). Time spent in training for preparing for training

outside regular working hours shall be considered hours of work for the

purpose of computing FLSA overtime if an agency requires the training

(See also 5 CFR 551.423.)'' Response: OPM has determined that the

language is correct as written, but is adding a reference to Department

of Labor regulations on the subject, 29 CFR 785.27 through 785.32 that

may help clarify any questions. To clarify the regulations, we are

amending the regulation to read:

``(d) Overtime pay under the Fair Labor Standards Act (FLSA). (1)

Time spent in training or preparing for training outside regular

working hours shall be considered hours of work for the purpose of

computing FLSA overtime if an agency requires the training to bring

performance up to a fully successful, or equivalent level or to provide

knowledge or skills to perform new duties and responsibilities in the

employee's current position. (See also 5 CFR 551.423 and 29 CFR 785.27

through 785.32.)

(2) Time spent in training or preparing for training outside the

employee's regular working hours for the following purposes is not

hours of work:

[[Page 66192]]

(i) Training to improve a nonexempt employee's performance in his

or her current position above a fully successful, or equivalent level,

provided such training is undertaken with the knowledge that the

employee's performance or continued retention in his or her current

position will not be adversely affected by nonenrollment in the

training program; or

(ii) Training to provide a nonexempt employee with additional

knowledge or skills for reassignment to another position or advancement

to a higher grade in another position, even if such training is

directed by the agency. (See also 29 CFR 785.27 through 785.32).''

3. Two agencies asked that OPM address the issue of overtime pay

for travel to and from training assignments in the regulations.

Response: Compensation for travel is subject to compensation law and

regulations. OPM addresses compensation for travel in 5 CFR 550.112(g)

and 5 CFR 551.422. However, OPM has no objection to referencing travel

for training regulations in 5 CFR part 410. We have added

Sec. 410.402(e), which reads:

``(e) Compensation for time spent traveling to and from training.

(1) Compensation provisions are contained in 5 CFR 550.112(g) for time

spent traveling for employees subject to title 5 of the United States

Code.

(2) Compensation provisions are contained in 5 CFR 551.422 for time

spent traveling for employees covered by the Fair Labor Standards Act.

(See also 29 CFR 785.33 through 785.41.)''

Section 410.403--Subsistence payments for extended training

assignments. Two agencies asked for additional clarification of agency

authority to pay training expenses under training law. Since training

law provides for paying expenses of temporary duty training assignments

not found in other law, OPM agrees with the comments and has retitled

this subsection and revised it to read:

Section 410.403--Payments for temporary duty training assignments.

Section 4109(a)(2) of title 5, United States Code, provides that an

agency may pay, or reimburse an employee for, all or a part of the

necessary expenses of training, including the necessary costs of

travel; per diem expenses; or limited relocation expenses including

transportation of the immediate family, household goods and personal

effects.

(a) If an agency chooses to pay per diem, or in unusual

circumstances the actual subsistence, expenses for an employee on a

temporary duty training assignment, payment must be in accordance with

41 CFR part 301-7 or 41 CFR part 301-8 (or, for commissioned officers

of the National Oceanic and Atmospheric Administration, in accordance

with sections 404 and 405 of title 37, United States Code, and the

Joint Federal Travel Regulations for the Uniformed Services).

(b) An agency may pay a reduced per diem rate, such as a

standardized payment less than the maximum per diem rate for a

geographical area. If a reduced or standardized per diem rate was not

authorized in advance of the travel and the fees paid to a training

institution include lodging or meal costs, an appropriate deduction

shall be made from the total per diem rate payable on the travel

voucher (see 41 CFR 301-7.12).

transportation of the employee's immediate family, household goods and

personal effects, including packing, crating, temporarily storing,

draying, and unpacking the household goods in accordance with section

5724 of title 5, United States Code (or, for commissioned officers of

the National Oceanic and Atmospheric Administration, in accordance with

sections 406 and 409 of title 37, United States Code, and the Joint

Federal Travel Regulations for the Uniformed Services). Limited

relocation expenses are payable only when the estimated costs of

transportation and related services are less than the estimated

aggregate per diem or actual subsistence expense payments for the

period of training. An employee selected for temporary duty training

may receive travel and per diem (or actual subsistence expenses) for

the period of the assignment or payment of limited relocation expenses,

but not both.''

Section 410.404--Determining if a conference is a training

activity. Two agencies said the wording of the interim regulation was

too broad to be of much assistance in determining if a conference is a

training activity. Both suggested further clarification. Response: OPM

agrees that the language is too broad and has revised the subsection to

read:

``Agencies may sponsor an employee's attendance at a conference as

a developmental assignment under section 4110 of title 5, United States

Code, when--

(a) The announced purpose of the conference is educational or

instructional;

(b) More than half of the time is scheduled for a planned,

organized exchange of information between presenters and audience which

meets the definition of training in section 4101 of title 5, United

States Code;

individual and/or organizational performance, and

(d) Developmental benefits will be derived through the employee's

attendance.''

Section 410.406--Records of training expenses. One agency suggested

revising the subsection so that it would read similarly to other

subsections on recordkeeping. Response: For uniformity, the subsection

has been revised to read: ``Agencies shall retain, in such form and

manner as the agency head considers appropriate, a record of payments

made for travel, tuition, fees and other necessary training expenses

for a reasonable period of time.''

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

Government Organizations

OPM received no comments on this subpart.

Subpart F--Evaluating Training

Section 410.601--Responsibility of the head of an agency to

evaluate training. One agency suggested that cost-effectiveness be

added to this subsection. Response: Since evaluating cost-effectiveness

is an inherent component of evaluation, we believe the additional

language is unnecessary.

Section 410.602--Records. One agency suggested revising the

subsection so that it would read similarly to others on recordkeeping.

Response: For uniformity, this subsection has been revised to read:

``An agency head shall retain records of these evaluations in such form

and manner as the agency head considers appropriate.''

Subpart G--Reports

Section 410.701--Reports. One agency suggested that subpart G be

renamed ``Records and Reports'' and be rewritten to incorporate the

several sections on recordkeeping (Sec. 410.312, Sec. 410.406,

Sec. 410.503, and Sec. 410.602). Another agency recommended that the

requirement for agencies to provide information to OPM in the form that

OPM prescribes be dropped. Response: The structure of the regulation

has been left intact. However, for clarity, the subsection has been

revised to cite the recordkeeping provisions. Section 4118(a)(7) of

title 5 United States Code, requires the agencies to submit reports to

the Office of Personnel Management on the results and effects of

training programs and plans and economies resulting therefrom,

including estimates of costs of training. Although OPM will

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work with the agencies regarding the form of these reports, OPM, as

part of its oversight responsibilities, must retain its authority to

prescribe the form of the reports. Section 410.701 has been revised to

read: ``Each agency shall maintain records of its training plans,

expenditures and activities as required in Sec. 410.302(d),

Sec. 410.312, Sec. 410.406, Sec. 410.503, and Sec. 410.602 and report

its plans, expenditures and activities to the Office of Personnel

Management at such times and in such form as the Office prescribes.''

Regulatory Flexibility Act

I certify that these regulations will not have significant economic

impact on a substantial number of small entities because they affect

only Federal employees and agencies.

List of Subjects in 5 CFR Part 410

Education, Government employees.

U.S. Office of Personnel Management,

James B. King,

Director.

Accordingly, the Office of Personnel Management is revising 5 CFR

part 410 as follows:

PART 410--TRAINING

Subpart A--General Provisions

Sec.

410.101 Definitions.

Subpart B--Planning for Training

410.201 Responsibilities of the head of an agency.

410.202 Integrating employee training and development with agency

strategic plans.

410.203 Assessing organizational, occupational, and individual

needs.

410.204 Options for developing employees.

Subpart C--Establishing and Implementing Training Programs

410.301 Scope and general conduct of training programs.

410.302 Responsibilities of the head of an agency.

410.303 Employee responsibilities.

410.304 Funding training programs.

410.305 Establishing and using interagency training.

410.306 Selecting and assigning employees to training.

410.307 Training for promotion and placement in other positions.

410.308 Training to obtain an academic degree.

410.309 Agreements to continue in service.

410.310 Computing time in training.

410.311 Records.

Subpart D--Paying for Training Expenses

410.401 Determining necessary training expenses.

410.402 Paying premium pay.

410.403 Payments for temporary duty training assignments.

410.404 Determining if a conference is a training activity.

410.405 Protection of Government interest.

410.406 Records of training expenses.

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

Government Organizations

410.501 Scope.

410.502 Authority of the head of an agency.

410.503 Records.

Subpart F--Evaluating Training

410.601 Responsibility of the head of an agency.

410.602 Records.

Subpart G--Reports

410.701 Reports.

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

Comp., p. 275.

Subpart A--General Provisions

Sec. 410.101 Definitions.

In this part:

(a) Agency, employee, Government, Government facility, and non-

Government facility have the meanings given these terms in section 4101

of title 5, United States Code.

(b) Exceptions to organizations and employees covered by this

subpart include:

(1) Those named in section 4102 of title 5, United States Code, and

(2) The U.S. Postal Service and Postal Rate Commission and their

employees, as provided in Pub. L. 91-375, enacted August 12, 1970.

title 5, United States Code.

(d) Mission-related training is training that supports agency goals

by improving organizational performance at any appropriate level in the

agency, as determined by the head of the agency. This includes training

that:

(1) Supports the agency's strategic plan and performance

objectives;

(2) Improves an employee's current job performance;

(3) Allows for expansion or enhancement of an employee's current

job;

(4) Enables an employee to perform needed or potentially needed

duties outside the current job at the same level of responsibility; or

(5) Meets organizational needs in response to human resource plans

and re-engineering, downsizing, restructuring, and/or program changes.

(e) Retraining means training and development provided to address

an individual's skills obsolescence in the current position and/or

training and development to prepare an individual for a different

occupation, in the same agency, in another Government agency, or in the

private sector.

(f) Continued service agreement has the meaning given to service

agreements in section 4108 of title 5, United States Code.

(g) Interagency training means training provided by one agency for

other agencies or shared by two or more agencies.

(h) State and local government have the meanings given to these

terms by section 4762 of title 42, United States Code.

Subpart B--Planning for Training

Sec. 410.201 Responsibilities of the head of an agency.

As stated in section 4103 of title 5, United States Code, and in

Executive Order 11348, the head of each agency shall:

(a) Establish, budget for, operate, maintain, and evaluate a

program or programs, and a plan or plans thereunder, for training

agency employees by, in, and through Government and non-Government

facilities;

(b) Determine policies governing employee training, including a

statement of broad purposes for agency training, the assignment of

responsibility for seeing that these purposes are achieved, and the

delegation of training approval authority to the lowest possible level;

and

funds and staff according to these priorities.

Sec. 410.202 Integrating employee training and development with agency

strategic plans.

(a) Agencies shall include mission-related training and development

in agency strategic planning to ensure that:

(1) Agency training strategies and activities contribute to mission

accomplishment; and

(2) Organizational performance goals are met.

(b) Agency human resource development programs and plans should:

(1) Improve employee and organizational performance; and

(2) Build and support an agency workforce capable of achieving

agency mission and performance goals.

Sec. 410.203 Assessing organizational, occupational, and individual

needs.

(a) Assessment. Section 303 of Executive Order 11348 specifies the

responsibility of heads of agencies to assess agency training needs

annually.

[[Page 66194]]

(b) Method. The method an agency uses to conduct training needs

assessment shall meet the requirements of chapter 41 of title 5, United

States Code, Executive Order 11348, and this subpart.

Sec. 410.204 Options for developing employees.

Agencies may use a full range of options to meet their mission-

related organizational and employee development needs, such as

classroom training, on-the-job training, technology-based training,

satellite training, employees' self-development activities, coaching,

mentoring, career development counseling, details, rotational

assignments, cross training, and developmental activities at retreats

and conferences.

Subpart C--Establishing and Implementing Training Programs

Sec. 410.301 Scope and general conduct of training programs.

(a) Authority. The requirements for establishing training programs

and plans are found in section 4103(a) of title 5, United States Code,

and Executive Order 11348.

(b) Alignment with other human resource functions. Training

programs established by agencies under chapter 41 of title 5, United

States Code, should be integrated with other personnel management and

operating activities, under administrative agreements as appropriate,

to the maximum possible extent.

Sec. 410.302 Responsibilities of the head of an agency.

(a) Specific responsibilities. (1) The head of each agency shall

prescribe procedures as are necessary to ensure that the selection of

employees for training is made without regard to political preference,

race, color, religion, national origin, sex, marital status, age, or

handicapping condition, and with proper regard for their privacy and

constitutional rights as provided by merit system principles set forth

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

(2) The head of each agency shall prescribe procedures as are

necessary to ensure that the training facility and curriculum are

accessible to employees with disabilities.

(3) The head of each agency shall not allow training in a facility

that discriminates in the admission or treatment of students.

(b)(1) Training of Presidential appointees. The Office of Personnel

Management delegates to the head of each agency authority to authorize

training for officials appointed by the President. In exercising this

authority, the head of an agency must ensure that the training is in

compliance with chapter 41 of title 5, United States Code, and with

this part. This authority may not be delegated to a subordinate.

(2) Records. When exercising this delegation of authority, the head

of an agency must maintain records that include:

(i) The name and position title of the official;

(ii) A description of the training, its location, vendor, cost, and

duration; and

(iii) A statement justifying the training and describing how the

official will apply it during his or her term of office.

(3) Review of delegation. Exercise of this authority is subject to

U.S. Office of Personnel Management review.

(c)Training for the head of an agency. Since self-review

constitutes a conflict of interest, heads of agencies must submit their

own requests for training to the U.S. Office of Personnel Management

for approval.

(d) The head of the agency shall establish the form and manner of

maintaining agency records related to training plans, expenditures, and

activities.

(e) The head of the agency shall establish written procedures which

cover the minimum requirements for continued service agreements. (See

also 5 CFR 410.310.)

Sec. 410.303 Employee responsibilities.

Employees are responsible for self-development, for successfully

completing and applying authorized training, and for fulfilling

continued service agreements. In addition, they share with their

agencies the responsibility to identify training needed to improve

individual and organizational performance and identify methods to meet

those needs, effectively and efficiently.

Sec. 410.304 Funding training programs.

Section 4112 of title 5, United States Code, provides for agencies

paying the costs of their training programs and plans from applicable

appropriations or from other funds available. Training costs associated

with program accomplishment may be funded by appropriations applicable

to that program area. In addition, section 4109(a)(2) of title 5,

United States Code, provides authority for agencies and employees to

share the expenses of training.

Sec. 410.305 Establishing and using interagency training.

Executive departments, independent establishments, Government

corporations subject to chapter 91 of title 31, the Library of

Congress, and the Government Printing office may provide or share

training programs developed for its employees of other agencies under

section 4120 of title 5, United States Code, when this would result in

better training, improved service, or savings to the Government.

Section 302(d) of Executive Order 11348 allows agencies excluded from

section 4102 of title 5, United States Code, to also receive

interagency training when this would result in better training,

improved service, or savings to the Government. Section 201(e) of

Executive Order 11348 provides for the Office of Personnel Management

to coordinate interagency training conducted by and for agencies

(including agencies and portions of agencies excepted by section

4102(a) of Title 5, United States Code).

Sec. 410.306 Selecting and assigning employees to training.

(a) Each agency shall establish criteria for the fair and equitable

selection and assignment of employees to training consistent with merit

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

(b) Persons on Intergovernmental Personnel Act mobility assignments

may be assigned to training if that training is in the interest of the

Government.

(1) A State or local government employee given an appointment in a

Federal agency under the authority of section 3374(b) of title 5 of the

United States Code, is deemed an employee of the Federal agency. The

agency may provide training for the State or local government employee

as it does for other agency employees.

(2) A State or local government employee on detail to a Federal

agency under the authority of section 3374(c) of title 5 of the United

States Code, is not deemed an employee of the Federal agency. However,

the detailed State or local government employee may be admitted to

training programs the agency has established for Federal personnel and

may be trained in the rules, practices, procedures and/or systems

pertaining to the Federal government.

agency may pay all or part of the training expenses of students hired

under the Student Career Experience Program (see 5 CFR 213.3202(d)(10).

[[Page 66195]]

Sec. 410.307 Training for promotion or placement in other positions.

(a) General. In determining whether to provide training under this

section, agencies should take into account:

(1) Agency authority to modify qualification requirements in

certain situations as provided in the OPM Operating Manual for

Qualification Standards for General Schedule Positions;

(2) Agency authority to establish training programs that provide

intensive and directly job-related training to substitute for all or

part of the experience (but not education, licensing, certification, or

other specific credentials), required by OPM qualification standards.

Such training programs may be established to provide employees with the

opportunity to acquire the experience and knowledge, skills, and

abilities necessary to qualify for another position (including at a

higher grade) at an accelerated rate; and

(3) Time-in-grade restrictions on advancement (see 5 CFR

300.603(b)(6)).

(b) Training for promotion. Under the authority of 5 U.S.C. 4103,

and consistent with merit system principles set forth in 5 U.S.C.

2301(b)(1) and (2), an agency may provide training to non-temporary

employees that in certain instances may lead to promotion. An agency

must follow its competitive procedures under part 335 of this chapter

when selecting a non-temporary employee for training that permits

noncompetitive promotion after successful completion of the training.

agencies, or outside Government.--(1) Grade or pay retention. Under the

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

employee to meet the qualification requirements of another position in

the agency if the new position is at or below the retained grade or the

grade of the position the employee held before pay retention.

(2) Training for placement in another agency. Under the authority

of 5 U.S.C. 4103(b), and consistent with merit system principles set

forth in 5 U.S.C. 2301, an agency may train an employee to meet the

qualification requirements of a position in another agency if the head

of the agency determines that such training would be in the interest of

the Government.

(i) Before undertaking any training under this section, the head of

the agency shall determine that there exists a reasonable expectation

of placement in another agency.

(ii) When selecting an employee for training under this section,

the head of the agency shall consider:

(A) The extent to which the employee's current skills, knowledge,

and abilities may be utilized in the new position;

(B) The employee's capability to learn skills and acquire knowledge

and abilities needed in the new position; and

retaining the employee in the Federal service.

(3) Training displaced or surplus employees. Displaced or surplus

employees as defined in 5 CFR 330.604(b) and (f) may be eligible for

training or retraining for positions outside Government through

programs provided under 29 U.S.C. 1651, or similar authorities. An

agency may use its appropriated funds for training displaced or surplus

employees for positions outside Government only when specifically

authorized by legislation to do so.

(4) Career transition assistance plans. Under 5 CFR 330.602,

agencies are required to establish career transition assistance plans

(CTAP) to provide career transition services to displaced and surplus

employees.

(i) Under the authority of 5 U.S.C. 4109, an agency may:

(A) Train employees in the use of the CTAP services;

(B) Provide vocational and career assessment and counseling

services;

strategies; and

(D) Pay for training related expenses as provided in 5 U.S.C.

4109(a)(2).

(ii) Agency CTAP's will include plans for retraining displaced or

surplus employees covered by this part.

Sec. 410.308 Training to obtain an academic degree.

(a) Prohibition. (1) Under 5 U.S.C. 4107(a), an agency may not

authorize training for an employee to obtain an academic degree, except

for shortage occupations as defined in Sec. 410.308(b).

(2)(i) The prohibition on academic degree in 5 U.S.C. 4107(a)(2) is

not to be construed as limiting the authority of agencies to approve