4103. Establishment of training programs

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1 TITLE 5 > PART III > Subpart C > CHAPTER 41 > 4103 Prev Next Establishment of training programs How current is this? Title 5 > Part III > subpart C > Chapter 41 > Section Establishment of training programs Title 5 of the US Code as currently published by the US Government reflects the laws passed by Congress as of Jan. 3, 2007, and it is this version that is published here. Here are the code provisions: (a) In order to assist in achieving an agency s mission and performance goals by improving employee and organizational performance, the head of each agency, in conformity with this chapter, shall establish, operate, maintain, and evaluate a program or programs, and a plan or plans thereunder, for the training of employees in or under the agency by, in, and through Government facilities and non- Government facilities. Each program, and plan thereunder, shall (1) conform to the principles, standards, and related requirements contained in the regulations prescribed under section 4118 of this title; (2) provide for adequate administrative control by appropriate authority; (3) provide that information concerning the selection and assignment of employees for training and the applicable training limitations and restrictions be made available to employees of the agency; and (4) provide for the encouragement of self-training by employees by means of appropriate recognition of resultant increases in proficiency, skill, and capacity. Two or more agencies jointly may operate under a training program. (b) (1) Notwithstanding any other provision of this chapter, an agency may train any employee of the agency to prepare the employee for placement in another agency if the head of the agency determines that such training would be in the interests of the Government. (2) In selecting an employee for training under this subsection, the head of the agency shall consider (A) the extent to which the current skills, knowledge, and abilities of the employee may be utilized in the new position; (B) the employee s capability to learn skills and acquire knowledge and abilities needed in the new position; and (C) the benefits to the Government which would result from such training. (c) The head of each agency shall, on a regular basis (1) evaluate each program or plan established, operated, or maintained under subsection (a) with respect to accomplishing specific performance plans and strategic goals in performing the agency mission; and

2 (2) modify such program or plan as needed to accomplish such plans and goals.

3 Electronic Code of Federal Regulations: Page 1 of 1 9/12/2008 Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations e-cfr Data is current as of September 10, 2008 Title 5: Administrative Personnel PART 410 TRAINING Subpart B Planning for Training Browse Next 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. Browse Next For questions or comments regarding e-cfr editorial content, features, or design, ecfr@nara.gov. For questions concerning e-cfr programming and delivery issues, webteam@gpo.gov. Section 508 / Accessibility

4 Provisions of 5 CFR and 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 Records. An agency head shall retain records of these evaluations in such form and manner as he or she considers appropriate.

5 Provisions of 5 CFR Reporting. (a) Each agency shall maintain records of training plans, expenditures, and activities in such form and manner as necessary to submit the recorded data to the Office of Personnel Management (OPM) through the OPM Governmentwide Electronic Data Collection System. (b) Beginning December 31, 2006, each agency shall report the training data for its employees' training and development at such times and in such form as required for the OPM Governmentwide Electronic Data Collection System, which is explained in the Guide to Personnel Recordkeeping and the Guide to Human Resources Reporting. (c) Agencies may request an extension for the timeframe in which they will begin reporting the data under paragraph (b) of this section. OPM may grant an extension based on an approved agency plan to meet the reporting requirements. No extension will be granted for a timeframe beyond December 31, (d) Each agency shall establish a Schedule of Records for information required to be maintained by this chapter in accordance with regulations promulgated by the National Archives and Records Administration (NARA).

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7 Electronic Code of Federal Regulations: Page 12 of 14 9/12/2008 (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 (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 Records. An agency shall maintain, in such form and manner as the agency head considers appropriate, the following records in connection with each contribution, awards, or payment made and accepted under authority of this section: The recipient's name; the organization's name; the amount and nature of the contribution, award, or payment and the purpose for which it is to be used; and a copy of the written authorization required by (a). Subpart F Evaluating Training

8 Electronic Code of Federal Regulations: Page 13 of 14 9/12/ 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 Records. An agency head shall retain records of these evaluations in such form and manner as he or she considers appropriate. Subpart G Reporting Reporting. (a) Each agency shall maintain records of training plans, expenditures, and activities in such form and manner as necessary to submit the recorded data to the Office of Personnel Management (OPM) through the OPM Governmentwide Electronic Data Collection System. (b) Beginning December 31, 2006, each agency shall report the training data for its employees' training and development at such times and in such form as required for the OPM Governmentwide Electronic Data Collection System, which is explained in the Guide to Personnel Recordkeeping and the Guide to Human Resources Reporting. (c) Agencies may request an extension for the timeframe in which they will begin reporting the data under paragraph (b) of this section. OPM may grant an extension based on an approved agency plan to meet the reporting requirements. No extension will be granted for a timeframe beyond December 31, (d) Each agency shall establish a Schedule of Records for information required to be maintained by this chapter in accordance with regulations promulgated by the National Archives and Records Administration (NARA). [71 FR 28547, May 17, 2006] Browse Previous Browse Next For questions or comments regarding e-cfr editorial content, features, or design, ecfr@nara.gov. For questions concerning e-cfr programming and delivery issues, webteam@gpo.gov. Section 508 / Accessibility

9 23030 Federal Register / Vol. 73, No. 82 / Monday, April 28, 2008 / Rules and Regulations Integrity and Inspiring Employee Commitment Continuous Learning Knowledge Management Results: Continuous Learning. When the key elements of the critical success factor Continuous Learning are effectively implemented, agencies will realize the following results: Effectiveness Results The agency has achieved a culture of continuous learning through investments in education, training, and other developmental opportunities that help employees build mission-critical competencies. Training and development initiatives and strategies support mission-critical competencies, are linked to the agency mission, and have demonstrated a positive impact on agency mission performance. The agency uses appropriate learning technology and innovative learning strategies to meet the training and development needs of the workforce. The agency has developed and implemented a process to evaluate its training and development program impact in terms of learning, performance, work environment, and contribution to mission accomplishment. The results of the evaluation reflect a positive contribution to mission accomplishment. Compliance Results As prescribed by the CHCO Act of 2002 (5 U.S.C. 1402), the agency CHCO has developed and advocates a culture of continuous learning to attract and retain employees with superior abilities and sets the workforce development strategy. The agency s training programs comply with the provisions of 5 U.S.C and 5 CFR 410 and 412. As provided in the CHCO Act of 2002 (5 U.S.C. 1304), the agency: Sustains a culture that cultivates and develops a high-performing workforce. Develops and implements a knowledge management strategy supported by appropriate investment in training and technology. The following pages provide key elements and suggested performance indicators for this critical success factor. CONTINUOUS LEARNING Key Elements Suggested Performance Indicators sroberts on PROD1PC70 with RULES The agency has a continuous learning system that: Is based on accurate information from IDPs and an annual organizational needs analysis. Focuses on mission-critical occupations. Uses a wide variety of methods including classroom training, distance learning, mentoring, and experiential learning. Encourages attendance at conferences, workshops, and seminars. Effectiveness Indicators A training needs assessment is conducted that is linked to strategic and mission-critical competencies. Based on assessment results, employees are trained in specific, job-related skills and knowledge. Training programs are designed and implemented which build competencies that are important to strategic goals and objectives and the agency s performance plan execution. Competency-based career development programs, including various development activities and learning opportunities, have been implemented and documented and are being used by employees. Competency models have been established which document standards for competency levels (e.g., entry, journey, expert). IDPs, or a similar process, are established for employees in missioncritical occupations. IDP completion is tracked and review indicates that IDPs are being completed in most cases. Performance evaluations reflect consideration of employee developmental training and developmental needs. Review indicates that action is usually taken to follow through on meeting these needs. Agency policy and practice reflect that responsibility for employee development is shared between employees and managers. Compliance Indicators In accordance with 5 CFR 410, the agency assesses training needs annually. The agency closes skill gaps in mission-critical occupations in accordance with the CHCO Act (5 U.S.C. 1304). Effectiveness Indicators The agency conducts an analysis to select and implement the best array of learning strategies (e.g., rotational assignment, shadowing, mentoring) for the targeted audience(s) to provide them with missioncritical competencies. Learning technology and other alternative learning strategies are reflected in the agency s strategic human capital planning documents and training plans. Where appropriate, the agency has implemented e-learning activities such as egov Online Learning Center. The agency has invested in the infrastructure necessary to leverage learning opportunities that include the application of reasonable accommodation, where justified by return-on-investment analysis. VerDate Aug<31> :30 Apr 26, 2008 Jkt PO Frm Fmt 4701 Sfmt 4700 E:\FR\FM\28APR2.SGM 28APR2

10 Federal Register / Vol. 73, No. 82 / Monday, April 28, 2008 / Rules and Regulations CONTINUOUS LEARNING Key Elements Is properly funded, monitored, and evaluated. Is administered fairly. Suggested Performance Indicators Leaders are responsible for leadership development and emphasize the value of learning, foster learning opportunities for employees, and demonstrate their support through personal involvement and resource allocation decisions. For example, they: Set aside a percentage of salary dollars for employee training and development. Provide tuition assistance for formal education. Establish long-term technical development programs. Fund employee certification requirements as authorized. Policies, practices, and resource allocation decisions demonstrate agency support for continuous learning. Effectiveness Indicators Employee survey results, including the Federal Human Capital Survey, indicate that employees believe they have appropriate opportunities to develop skills through training and experience. Analysis of education, training, and development opportunities shows no disparate treatment of segments of the workforce (i.e., training is appropriately aligned with workforce planning goals, priorities are based on available funding, and opportunities are provided equitably across the employee population). A training evaluation system has been implemented which measures the impact of training at the following levels: Did learning occur? Was learning applicable to job performance or other behavior that is important to the organization and to results? Did the employee apply the learning or behavior to his/her job or work environment? If the employee applied the learning, did it have the expected impact on performance or other job-related behavior? An analysis has been conducted of the evaluation results and this information is used to make decisions about investments in employee training and development. Generally, the evaluation indicates that training and development investments are making a positive impact on the organization s performance and/or work environment and meet the training goals and expectations established between supervisors and employees prior to participation in training. Compliance Indicators As prescribed by the Federal Workforce Flexibility Act, the agency has evaluated each training program or plan established, operated, or maintained with respect to accomplishing specific performance plans and strategic goals in performing the agency mission; and the agency has modified such programs or plans to accomplish goals. As established by 5 CFR , the agency evaluates training to determine how well it meets short- and long-range program needs by occupations, organizations, or other appropriate groups. SECTION III Leadership and Knowledge Management System The Leadership and Knowledge Management System Leadership Succession Management Change Management Integrity and Inspiring Employee Commitment Continuous Learning Knowledge Management sroberts on PROD1PC70 with RULES Results: Knowledge Management. When the key elements of the critical success factor Knowledge Management are effectively implemented, agencies will realize the following results: Effectiveness Results The agency has developed and implemented a knowledge management process that provides a means to share critical knowledge across the organization. Leadership also encourages and rewards knowledge sharing. Information technology tools that facilitate gathering and sharing knowledge within and outside the agency are available to employees to improve individual and organizational performance. Compliance Result VerDate Aug<31> :30 Apr 26, 2008 Jkt PO Frm Fmt 4701 Sfmt 4700 E:\FR\FM\28APR2.SGM 28APR2