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HR Order-doj 1200.1: Part 11 Ethics

Chapter 5-1, Training and Development 
(March 11, 2008)

A.   References.

Statute

5 U.S.C. 41

Code of Federal Regulations

5 CFR Part 410

28 CFR 0.153

28 CFR 0.76(p)

Executive Orders

Executive Order 11348

E.O. 13111

E.O. 11895

AG Order No. 836-79

Guidance

Office of Personnel Management Training Policy Handbook

NARA General Records Schedule 1, Civilian Personnel; Item 29 Training Records

Key terms

Training

Mission-related training

B.   Policy.

  1. Policy Statement.  The Department is committed to maintaining and enhancing the competencies of its workforce so as to ensure it achieves its mission.
  2. Delegated Training Authority.  The Attorney General has delegated his training approval authority under 5 U.S.C. 4109 for the selection and assignment of employees for training at Government facilities and the reimbursement of expenses therefore to the Bureaus listed at 28 CFR 0.153 and has delegated his authority for other Components to the AAG/A. The AAG/A's authority is hereby redelegated to Component Heads as is the authority at 28 CFR 0.76(p) to select and assign employees (except for Presidential appointees) for training at non-Government facilities. These authorities may be redelegated. Component Heads or designees exercising this authority must adhere to the requirements contained in 5 U.S.C. Chapter 41, 5 CFR Part 410, and this order.
  3. Presidential Appointee Training.  The Attorney General is required to authorize all training for officials appointed by the President, except for U.S. Marshals and U.S. Attorneys.

    The Director, U.S. Marshal Service and the Director, Executive Office of U.S. Attorneys have authority to authorize training for U.S. Marshals and U.S. Attorneys, respectively, in amounts not in excess of $1,500, including travel. Training of U.S. Marshals and U.S. Attorneys that exceeds $1,500 in cost per individual requires the prior approval of the AAG/A. The authority to approve training for Presidential appointees (described above) is not redelegable.
    To request the Attorney General's approval, Components must submit to the JMD Human Resources Staffthe following:

    1. A completed SF-182 (Request, Authorization, Agreement and Certification of Training), or OPM/OMB approved equivalent form, at least 15 working days prior to the start date of the training;
    2. A statement of why or how the designated training is or will be directly related to improved individual and organizational performance and assist in achieving the agency’s mission and performance goals;
    3. An explanation of how the Appointee will have the opportunity to fully apply the training during the term of office; and,

    4. An explanation of how the cost-effectiveness of the training facility was determined and the alternatives considered (if travel and per diem are involved).

  4. Contributions or Awards from Non-Government Organizations. Component Heads may authorize employees 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 from non-governmental organizations only to the extent provided by 5 CFR 410.502 and based on the guidance of the DOJ Departmental Ethics Office.

  5. Continued Service Agreements (CSA).  Components will develop policies on CSAs required by 5 CFR 410.309 and will require an employee to sign a CSA to protect the government's interest. Component policies will establish minimum time and cost levels for requiring CSAs. However, the minimum time and cost Components can establish for requiring a CSA for non-Governmental training can be no lower than 40 hours of course time and $1,000 in total tuition. Certain conditions apply:

    1. Employees must agree to continue in Government service after the completion of training for a period of time equal to at least three times the length of the training. .

    2. If the employee voluntarily separates from Government service during the life of the CSA, the Component will recover training costs (except for pay and other compensation) unless a waiver is granted. (See paragraph B.6).

    3. Amounts due the agency as a result of an employee's failure to complete the CSA may be withheld from any monies owed by the Government, or may be recovered by such other methods as approved by law.

    4. Costs recovered from employees will be limited to the prorated amount not satisfied by the CSA.

  6. Repayment of Training Costs. To conform with the requirements of 5 CFR 410.405, employees who fail to successfully complete training will be required to pay all training costs (except for pay and other compensation).

    1. Each Component Head shall establish conditions and procedures by which waivers may be granted, and shall ensure that they are communicated to all employees. Employees may obtain reconsideration of the recovery amount or appeal for a waiver by submitting a written request to the Component Head or his/her designee.

    2. If the employee contests the Component Head’s determination, the employee may appeal this determination to JMD. The appeal must be submitted to the JMD Human Resources Staffwho will coordinate the appeal process for the Assistant Attorney General for Administration. The decision of the Assistant Attorney General for Administration will be the final agency decision.

  7. Training Outside U.S.   As required by 5 CFR 410.302(f), Component Heads will obtain U.S. Department of State advice before assigning an employee who is stationed within the continental limits of the United States to training outside the continental United States that is provided by a foreign government, international organization, or instrumentality of either. Assistance in locating the State contact will be provided by the JMD Human Resources Staff.

  8. Payment for Meals.   Components may pay, or reimburse an employee for meals, as necessary expenses incident to an authorized training program (under the Government Employees Training Act (GETA) at 5 U.S.C. 4109(a) (2) (F)). This can be done, in limited circumstances, if a determination has been made that essential training will be conducted during the meal. To ensure that care is exercised in making this judgment, Component Heads must approve in writing, before the event, the authorization for payment of meals. A record of this authorization will be maintained by Components and be readily available for review in accordance with paragraph C. of this chapter.
C.   Documentation for Reports and Records
  1. Request for Training Reports.   Periodic requests for training data and reports for OPM under 5 CFR 410.701, or for other organizations, will be coordinated by, and submitted through the JMD Human Resources Staff. Component Heads must ensure that training data and reports including information covered by paragraphs C. 2. through C. 6. below, are readily available upon request from JMD Human Resources Staff.

  2. Needs Assessment and Evaluation of Training.  Component Heads will assess training needs annually in accordance with the requirements of 5 U.S.C. Chapter 41, 5 CFR Part 410, and E.O. 11348, and will evaluate training periodically, as required by 5 CFR 410.601 and 410.602.

  3. Record Guidelines.  Components will maintain training records in accordance with 5 CFR 410.701, NARA’s “General Records Schedule 1, Civilian Personnel, Part 29, Training Records,” OPM’s “Guide to Personnel Record Keeping,” and OPM’s “Guide to Human Resources Reporting.”  Training documents are not maintained as permanent records in an employee’s Official Personnel Folder.  All employee’s training that is mandatory, incurs a cost, or is equal to or exceeds one hour in duration shall be captured and reported in accordance with paragraph C. 4. below.

  4. Records of Individual Training.   It is Department policy that Components record and report records of individual training in accordance with OPM’s “Guide to Human Resources Reporting.” JMD Human Resources Staff will issue and maintain specific reporting guidelines.

  5. Continued Service Agreement Copies.. Copies of continued service agreements will be maintained in a form and manner determined by the Component Head until the agreed upon service time has been completed. Related waivers will also be maintained.

  6. Exceptions.   Components that request an exception to the General Records Schedule must maintain a copy of NARA’s SF-115 submitted to and approved by NARA.
 

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Updated: September 2012
General Information Human Resources
 
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Terence L. Cook
Director
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