[Federal Register: September 2, 2008 (Volume 73, Number 170)]
[Proposed Rules]
[Page 51248-51252]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr02se08-12]
[[Page 51248]]
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OFFICE OF PERSONNEL MANAGEMENT
5 CFR Parts 410 and 412
RIN 3206-AK75
Training; Supervisory, Management, and Executive Development
AGENCY: Office of Personnel Management.
ACTION: Proposed rule.
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SUMMARY: The Office of Personnel Management proposes to amend its
regulations to implement certain training and development requirements
contained in the Federal Workforce Flexibility Act of 2004.
DATES: Comments must be received on or before November 3, 2008.
ADDRESSES: You may submit comments, identified by ``RIN 3206-AK75,'' by
any of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Agency Web Site: http://www.opm.gov. Click on the
``Regulations'' icon at the bottom right of the Web page. Follow the
instructions for submitting comments.
E-mail: employ@opm.gov. Include ``RIN 3206-AK75'' in the
subject line of the message.
Fax: (202) 606-2329.
Mail, Hand Deliver/Courier comments: Ms. Nancy Randa,
Deputy Associate Director for the Center for Leadership, Executive
Resources, and Policy Analysis, Room 6357, 1900 E Street, NW.,
Washington, DC 20415-9700.
FOR FURTHER INFORMATION CONTACT: Cheryl Dube by telephone at (202) 606-
4063, by FAX at (202) 606-1637, or by e-mail at cheryl.dube@opm.gov.
SUPPLEMENTARY INFORMATION: On October 30, 2004, the President signed
the Federal Workforce Flexibility Act of 2004 (Act), Public Law 108-
411, into law. The Act makes several significant changes in the law
governing the training and development of Federal employees,
supervisors, managers, and executives. The first change requires each
agency to evaluate, on a regular basis, its training programs and plans
with respect to the accomplishment of its specific performance plans
and strategic goals, and to modify its training plans and programs as
needed to accomplish the agency's performance plans and strategic
goals. Other changes to the regulation, not related to the Act, are
made to better align with law the requirement for continued service
agreements and the submission of training data. The second major change
requires agencies to consult with the Office of Personnel Management
(OPM) to establish comprehensive management succession programs
designed to provide training to employees to develop managers for the
agency. It also requires agencies, in consultation with OPM, to
establish programs to provide training to managers regarding actions,
options, and strategies a manager may use in relating to employees with
unacceptable performance, mentoring employees, improving employee
performance and productivity, and conducting employee performance
appraisals. The Homeland Security Act of 2002, as codified at 5 U.S.C.
1103(c), established the Human Capital Assessment and Accountability
Framework (HCAAF) and mandated OPM to design systems and set standards,
including appropriate metrics, for assessing the management of human
capital by Federal agencies. 5 U.S.C. 1103(c) also specifies OPM will
develop standards for: (1) Aligning human capital strategies of
agencies with the organization's missions, goals and objectives, (2)
ensuring continuity of leadership through succession plans, and (3)
holding managers and human resources officers accountable for efficient
and effective human resources management. The following are the
principal results sought by the proposed changes in regulations:
[cir] Agencies will have effective and cost-efficient training
programs linked to agency strategic plans;
[cir] Managers will develop strategies to mentor others and to
improve employee performance and productivity.
To provide guidance to agencies in accomplishing these results, we
are proposing changes in the following parts of title 5 of the Code of
Federal Regulations: Part 410 on ``Training'' and part 412 on
``Executive, Management, and Supervisory Development.''
OPM is amending 5 CFR part 410, subpart B, to reflect new agency
responsibilities for planning training so employee training and
development will align with agency strategic plans. The revised subpart
B also would cover agency responsibility for the evaluation of
training, currently included under subpart F. The revised subpart C
would better align language on continued service agreements with law.
The revised subpart C would also remove the option to extend the date
for agencies to report training data to OPM. The following are the
major proposed changes:
[cir] Revised Sec. 410.201(b) would make agency training program
requirements more visible by listing those requirements and emphasizing
the alignment of employee training and development with agency
strategic plans;
[cir] Revised Sec. 410.201(d) would include language more
consistent with the Human Capital Assessment and Accountability
Framework and consolidate references to Executive Order 11348, which
provides for the further training of Government employees and requires
agencies to review training programs no less often than annually;
[cir] Delete current Sec. 410.203 and incorporate the information
in that section into Sec. 410.201. Sec. 410.204 would be renumbered
as Sec. 410.203.
[cir] Delete current Sec. 410.701 (c) as extensions to report
training data to OPM are no longer accepted. Sec. 410.701 (d) would be
redesignated as Sec. 410.701 (c).
[cir] Delete current subpart F and redesignate subpart G as subpart
F, and renumber Sec. 410.701 as Sec. 410.601.
Part 412, ``Executive, Management, and Supervisory Development,''
requires some modification of its structure to incorporate the changes
in law. Therefore, the current structure of two subparts (Subpart A--
General Provisions, and Subpart B--Senior Executive Service Status and
Nonstatus Candidate Development Programs) would be modified to three
subparts (Subpart A-- General Provisions, Subpart B-- Succession
Planning, and Subpart C-- Executive Development). Specifically, current
Sec. 412.103 would be revised and placed within the new subpart B as
Sec. 412.201, current Sec. 412.104 would be revised and would be
placed within the new subpart C as Sec. 412.301, and current subpart B
would be revised and placed within the new subpart C. The following are
the additional major proposed changes in part 412:
Subpart A--General Provisions
[cir] Revised Sec. 412.102(a), (b) and (b)(1) would make more
succinct the references to the United States Code for easier reading,
explain the leadership development continuum, and delete the reference
to ``mastery level'' because the term implies development stops when in
fact development should be ongoing;
[cir] Revised Sec. 412.102(b)(3) would replace ``corporate
perspective'' with ``broad agency and Governmentwide perspective,'' to
more accurately reflect the intended goal.
[cir] Current Sec. 412.103(c)(2) and (c)(3) would be addressed in
the new subpart on Succession Planning, consistent with the Act's
requirement that succession
[[Page 51249]]
programs provide development for future managers;
[cir] Current Sec. 412.104(a)(2) would be deleted. The change
would eliminate the exemption from Governmentwide recruitment for
candidate development programs.
Subpart B--Succession Planning
[cir] New Sec. 412.201 would specify requirements for agency
management succession programs;
[cir] Revised Sec. 412.202 would clarify that agency leadership
development programs are part of the general workforce development
strategy;
Subpart C--Senior Executive Service Candidate Development Programs
[cir] New Sec. 412.301(a) would provide for an OPM-certified
agency Senior Executive Service Candidate Development Program (SESCDP),
certification of the Executive Core Qualifications (ECQs) of candidates
by a Qualifications Review Board, and selection for the SES, without
further competition;
[cir] New Sec. 412.301(b) would require agencies to submit a
policy describing their SESCDP program methodologies. It also would
require them to obtain OPM approval for candidate development programs
once every 5 years to ensure their alignment and strategic linkage with
agency succession plans and would add a reference to multi-agency
programs to address collaborative, Governmentwide executive
development;
[cir] New Sec. 412.301(c) would require agencies with CDPs
approved under previous regulations to apply to OPM for re-approval
under the new regulations in accordance with new Sec. 412.301 (b). It
also indicates all existing approvals expire within 2 years after
publication of this regulation. SESCDPs in progress on the date the
regulations become final may be completed and graduates of those
programs may be submitted for QRB certification regardless of this
expiration.
[cir] New Sec. 412.302(a) defines the Executive Resources Board
(ERB) oversight responsibilities in the SESCDP approval process;
[cir] New Sec. 412.302(a)(1) clarifies competition must be under
SES merit staffing procedures;
[cir] New Sec. 412.302(b)(3) would modify the four-month
developmental assignments to include at least one assignment of 90
continuous days outside the scope of the candidate's position of record
and require the assignments to include roles at the executive level
where the candidate is held responsible for achieving organizational or
agency results during the developmental assignment. The purpose of the
new provision is to enhance and broaden the candidate's experience,
increase his or her knowledge, and maximize his or her understanding of
the overall functioning of the agency, so the candidate is prepared for
a range of agency positions at the SES level.
[cir] New Sec. 412.302(d) would eliminate the references to
``status programs'' (current Sec. 412.202) and ``non-status programs''
(current Sec. 412.203). The new provisions will refer to two
categories of ``candidates'': 1) Individuals who hold a career or
career-type appointment within the civil service; and 2) individuals
who do not hold such an appointment, and will define conditions under
which individuals in either category may participate in an SESCDP.
Subpart D--Executive Development
[cir] New Sec. 412.401 would add continuing development of current
SES members as an ongoing requirement tied to the performance process
through an Executive Development Plan (EDP). This section also provides
for the developmental use of sabbaticals and long-term assignments
outside the Federal sector, as provided by relevant legal authorities.
Executive Order 12866, Regulatory Review
This rule has been reviewed by the Office of Management and Budget
in accordance with E.O. 12866.
Regulatory Flexibility Act
I certify these regulations would not have a significant economic
impact on a substantial number of small entities because they would
apply only to Federal agencies and employees.
List of Subjects in 5 CFR Parts 410 and 412
Education, Government employees.
Office of Personnel Management.
Michael W. Hager,
Acting Director.
Accordingly, OPM is proposing to amend 5 CFR parts 410 and 412 as
follows:
PART 410--TRAINING
1. The authority citation for part 410 is revised to read as
follows:
Authority: 5 U.S.C. 1103(c), 4101, et seq.; E.O. 11348, 3 CFR,
1967 Comp., p. 275.
2. Revise the heading of subpart B to read as follows:
Subpart B--Planning and Evaluating Training
3. Revise Sec. Sec. 410.201 and 410.202 to read as follows:
Sec. 410.201 Responsibilities of the head of an agency.
Agency employee development plans and programs should be designed
to build or support an agency workforce capable of achieving agency
mission and performance goals and facilitating continuous improvement
of employee and organizational performance. In developing strategies to
train employees, heads of agencies or their designee(s), under section
4103 of title 5, United States Code and in Executive Order 11348, are
required to:
(a) Establish, budget for, operate, maintain, and evaluate plans
and programs for training agency employees by, in, and through
Government or non-Government facilities, as appropriate;
(b) Establish policies governing employee training including a
statement of the alignment of employee training and development with
agency strategic plans, the assignment of responsibility to ensure the
training goals are achieved, and the delegation of training approval
authority to the lowest appropriate level;
(c) Establish priorities for training employees and allocate
resources according to those priorities; and
(d) Develop and maintain plans and programs that:
(1) Identify mission-critical occupations and competencies;
(2) Identify workforce competency gaps;
(3) Include strategies for closing competency gaps; and
(4) Assess periodically, but not less often than annually, as
required by section 303 of Executive Order 11348.
Sec. 410.202 Responsibilities for evaluating training.
Agencies must evaluate their training programs annually to
determine how well such plans and programs contribute to mission
accomplishment and meet organizational performance goals.
4. Remove Sec. 410.203 and redesignate Sec. 410.204 as Sec.
410.203.
5. Remove Sec. 410.701(c) and redesignate Sec. 410.701(d) as
Sec. 410.701(c).
6. Remove subpart F and redesignate subpart G as subpart F,
including redesignating Sec. 410.701 as Sec. 410.601.
7. Revise part 412 to read as follows:
[[Page 51250]]
PART 412--SUPERVISORY, MANAGEMENT, AND EXECUTIVE DEVELOPMENT
Subpart A--General Provisions
Sec.
412.101 Coverage.
412.102 Purpose.
Subpart B--Succession Planning
412.201 Management succession.
412.202 Systematic training and development of supervisors,
managers, and executives.
Subpart C--Senior Executive Service Candidate Development Programs
412.301 Obtaining approval to conduct a Senior Executive Service
candidate development program (SESCDP).
412.302 Criteria for a Senior Executive Service candidate
development program (SESCDP).
Subpart D--Executive Development
412.401 Continuing executive development.
Authority: 5 U.S.C. 1103 (c)(2)(C), 3396, 3397, 4101, et seq.
Subpart A--General Provisions
Sec. 412.101 Coverage.
This part applies to all incumbents of, and candidates for,
supervisory, managerial, and executive positions in the General
Schedule, the Senior Executive Service (SES), or equivalent pay systems
also covered by part 410 of this chapter.
Sec. 412.102 Purpose.
(a) This part implements for supervisors, managers, and executives
the provisions of 5 U.S.C. chapter 41, related to training, and 5
U.S.C. 3396, related to the criteria for programs of systematic
development of candidates for the SES and the continuing development of
SES members.
(b) This part identifies a continuum of leadership development,
starting with supervisory positions and proceeding through management
and executive positions Governmentwide. For this reason, this part
provides requirements by which agencies:
(1) Develop the competencies needed by supervisors, managers, and
executives;
(2) Provide learning through continuing development and training in
the context of succession planning; and
(3) Foster a broad agency and Governmentwide perspective to prepare
individuals for advancement, thus supplying the agency and the
Government with an adequate number of well prepared and qualified
candidates to fill leadership positions.
Subpart B--Succession Planning
Sec. 412.201 Management succession.
The head of each agency, in consultation with OPM, must develop a
comprehensive management succession program, based on the agency's
workforce succession plans, to fill agency supervisory and managerial
positions. These programs must be supported by employee training and
development programs developed under 5 CFR 410.201 to prepare
individuals for advancement, with a focus on both individual and agency
performance and strengthening organizational capability, and to ensure
an adequate number of well-prepared and qualified candidates for
leadership positions. These programs must:
(a) Implement developmental training consistent with agency
succession management plans;
(b) Provide continuing learning experiences throughout an
individual's career, such as details, mentoring, coaching, learning
groups, and projects. These experiences should provide broad knowledge
and practical experience linked to OPM's Federal leadership
competencies as well as agency-identified, mission-related
competencies, and should be consistent with the agency's succession
management plan; and
(c) Include program evaluations pursuant to 5 CFR 410.202.
Sec. 412.202 Systematic training and development of supervisors,
managers, and executives.
All agencies must provide for the development of individuals in
supervisory, managerial and executive positions, as well as individuals
whom the agency identifies as potential candidates for those positions,
based on the agencies' succession plans. Agencies also must issue
written policies to ensure they:
(a) Design and implement leadership development programs integrated
with the employee development plans, programs, and strategies required
by 5 CFR 410.201, and that foster a broad agency and Governmentwide
perspective;
(b) Provide training within one year of an employee's initial
appointment to a supervisory position and follow up periodically, but
at least once every three years, by providing each supervisor and
manager additional training on the use of appropriate actions, options,
and strategies to:
(1) Mentor employees;
(2) Improve employee performance and productivity;
(3) Conduct employee performance appraisals in accordance with
agency appraisal systems; and
(4) Identify and assist employees with unacceptable performance.
(c) Provide training when individuals make critical career
transitions to supervisor, manager, or executive consistent with the
results of assessments of the agency's needs and the individual's
potential.
Subpart C--Senior Executive Service Candidate Development Programs
Sec. 412.301 Obtaining approval to conduct a Senior Executive Service
candidate development program (SESCDP).
(a) An SESCDP is an OPM-approved training program designed to
develop the executive qualifications of employees with strong executive
potential. Successful completion of the program qualifies them for and
authorizes their initial career appointment in the SES. An agency
conducting an SESCDP may submit program graduates for Qualifications
Review Board (QRB) review of their executive qualifications under 5 CFR
317.502. A program graduate certified by a QRB may receive an initial
career appointment without further competition to any SES position for
which he or she meets the professional and technical qualifications
requirements.
(b) An agency covered by subchapter II of chapter 31 of title 5,
United States Code, may apply to OPM to conduct an SESCDP alone or on
behalf of a group of agencies. (In this subpart, the term ``agency''
refers to either a single agency or a group of agencies acting in
partnership under this subpart.) Any agency developing an SESCDP must
submit a policy document describing its program methodologies to OPM
for formal approval before implementing the SESCDP. An agency must seek
OPM approval every five years thereafter, and must also consult OPM
before implementing a change substantially altering how the SESCDP
complies with the requirements of this regulation. An agency
implementing an SESCDP without first obtaining formal approval may not
submit graduates of the program for QRB review.
(c) An agency that obtained OPM approval under previous regulations
must apply for re-approval in accordance with requirements in paragraph
(b) of this section and this subpart before initiating a new SESCDP.
All existing approvals expire within 2 years after publication of this
regulation.
(d) An agency covered by subchapter II of chapter 31 of title 5,
United States
[[Page 51251]]
Code, may authorize a major agency component employing senior
executives to apply directly to OPM for approval to conduct an SESCDP.
Such an application from a component must be accompanied by the
agency's written endorsement. To obtain approval, the component must
meet the SESCDP requirements of this subpart independent of agency
involvement.
(e) As always, agencies should be mindful of merit principles in
carrying out their functions under this subpart.
Sec. 412.302 Criteria for a Senior Executive Service candidate
development program (SESCDP).
(a) Executive Resources Board requirements. An agency's Executive
Resources Board (ERB) must oversee the SESCDP. The ERB ensures the
development program lasts between 12 and 24 months and includes
substantive developmental experiences that should equip a successful
candidate to accomplish Federal Government missions as a senior
executive. The agency ERB must oversee and be accountable for SESCDP
recruitment, merit staffing, and assessment. The agency ERB must ensure
the program follows SES merit staffing provisions in 5 CFR 317.501,
subject to the condition explained in Sec. 412.302(d)(1) of this part.
The ERB also must oversee development, evaluation, progress in the
program, and graduation of candidates, and for requesting
Qualifications Review Board (QRB) certification of graduates where
appropriate. The ERB submits for QRB review, within 90 days of
graduation from the program. The ERB also must oversee the writing and
implementation of a removal policy for program candidates who do not
make adequate progress.
(b) Recruitment. Recruitment for the program is from all groups of
qualified individuals within the civil service, or all groups of
qualified individuals whether or not within the civil service. The
number selected shall be consistent with the number of expected
vacancies.
(c) Senior Executive Service candidate development program
requirements. An SESCDP lasts between 12 and 24 months. To graduate, a
candidate must accomplish the requirements between the beginning and
ending dates of the program. Each individual participating in an SESCDP
must have:
(1) A documented Senior Executive Service Development Plan (SESDP)
based upon a competency-based needs determination and approved by the
agency ERB. The components of the development plan must:
(i) Address the executive core qualifications (ECQs);
(ii) Address Federal Government leadership challenges crucial to
the senior executive;
(iii) Provide increased knowledge and understanding of the overall
functioning of the agency, so the participant is prepared for a range
of positions and responsibilities;
(iv) Include interaction with a wide mix of senior Federal
employees outside the candidate's department or agency to foster a
Governmentwide perspective;
(v) Include interaction with senior non-Federal employees to
increase experience of the broader context in which executives operate;
and
(vi) Have Governmentwide or multi-agency applicability in the
nature and scope of the training;
(2) A formal training experience lasting at least 80 hours that
addresses the ECQs and their application to SES positions
Governmentwide, explores Federal leadership challenges crucial to the
senior executive, and has Governmentwide or multi-agency applicability;
(3) A developmental assignment of at least 4 months of full-time
service to include at least one assignment of 90 continuous days in a
position other than, and substantially different from, the candidate's
position of record. The assignment must include executive level
responsibility and differ from the candidate's current and past
assignments in ways that broaden the candidate's experience, as well as
challenge the candidate with respect to leadership competencies and the
ECQs. Assignments need not be restricted to the agency, the Executive
Branch, or the Federal Government, so long as they can be accomplished
in compliance with applicable law and federal and agency specific
ethics regulations. The candidate is held accountable for
organizational or agency results achieved during the assignment. If the
assignment is in a non-Federal organization, the ERB must provide for
adequate documentation of the individual's actions and accomplishments
and must determine that the assignment will contribute to development
of the candidate's executive qualifications; and
(4) A mentor who is a member of the SES or is otherwise determined
by the ERB to have the knowledge and capacity to advise the candidate,
consistent with goals of the SESCDP. The mentor and the candidate are
jointly responsible for a productive mentoring relationship; however,
the agency must establish methods to assess these relationships and, if
necessary, facilitate them or make appropriate changes in the interest
of the candidate.
(d) An SESCDP is a training opportunity that OPM has determined to
compete, with the condition noted in Sec. 412.302(d)(1) of this part,
under SES merit staffing procedures. Because SES merit staffing
procedures require recruitment from among either all qualified persons
or all qualified persons within the civil service, an agency must
provide procedures under which all persons within one of these two
possible areas of consideration may compete for and, if selected,
participate in its SESCDP.
(1) An individual who does not currently hold a career or career-
type civil service appointment may only participate in an SESCDP by
means of a Schedule B appointment authorized by 5 CFR 213.3202(j) to a
full-time position created for developmental purposes connected with
the SESCDP. Exercising its authority under Sec. 302.101(c)(6) of this
chapter, OPM hereby exempts these full-time positions created for
developmental purposes connected with the SESCDP from the appointment
procedures of part 302 of this chapter. Competition for these
appointments must be conducted pursuant to SES merit staffing
procedures at Sec. 317.501 of this chapter, except that agencies must
follow the principle of veterans' preference as far as administratively
feasible, in accordance with Sec. 302.101(c) of this chapter.
Candidates serving under this Schedule B appointment may not be used to
fill an agency's regular positions on a continuing basis.
(2) An individual who currently holds a career or career-type
appointment in the civil service must be selected through SES merit
staffing procedures at Sec. 317.501 of this chapter. Such an
individual may be selected for and participate in an SESCDP in any
agency while serving in his or her position of record. The individual
may continue to participate in the SESCDP upon moving to other civil
service positions under career or career-type appointment. An SESCDP
competition does not satisfy the requirements of part 335 of this
chapter and therefore does not provide an independent basis to appoint
or promote a career or career-type appointee.
(3) A career or career-type appointee may participate in an SESCDP
conducted by an agency other than his or her employing agency under
such terms as are mutually agreeable and outlined in a Memorandum of
Understanding (MOU) signed by both agencies involved. Terms of the MOU
must be consistent with applicable
[[Page 51252]]
provisions of 5 U.S.C. chapter 41 and a copy must be provided to OPM.
Either agency may decline or discontinue a candidate's participation if
such terms cannot be negotiated or are not fulfilled.
(4) Any candidate's participation in an SESCDP is at the discretion
of the employing agency and subject to provisions established under 5
CFR 412.302(a) for removing a participant who does not make adequate
progress in the program.
(5) For purposes of this paragraph, a ``career-type'' appointment
means a career or career-conditional appointment or an appointment of
equivalent tenure. An appointment of equivalent tenure is considered to
be an appointment in the excepted service that is placed in Group I or
Group II under Sec. 351.502(b) of this chapter.
Subpart D--Executive Development
Sec. 412.401 Continuing executive development.
(a) Each agency must establish a program or programs for the
continuing development of its senior executives in accordance with 5
U.S.C 3396(a). Such agency programs must include preparation,
implementation, and regular updating of an Executive Development Plan
(EDP) for each senior executive. The EDPs will:
(1) Function as a detailed guide of developmental experiences to
help SES members, through participation in short-term and longer term
experiences, meet organizational needs for leadership, managerial
improvement, and organizational results;
(2) Address enhancement of existing executive competencies and such
other competencies as will strengthen the executive's performance;
(3) Focus primarily on work-related experiences;
(4) Outline developmental opportunities and assignments to allow
the individual to develop a broader perspective in the agency as well
as Governmentwide; and
(5) Be reviewed annually and revised as appropriate by an ERB or
similar body designated by the agency to oversee executive development,
using input from the performance evaluation cycle.
(b) Consistent with 5 U.S.C. 3396(d) and other applicable statutes,
EDPs may provide for executive sabbaticals and other long-term
assignments outside the Federal sector.
[FR Doc. E8-20273 Filed 8-29-08; 8:45 am]
BILLING CODE 6325-39-P