BOP-002.07, NNSA Federal Employee Training

NNSA POLICY LETTER AVAILABLE ONLINE AT: INITIATED BY: http://www.nnsa.doe.gov Office of Learning and Career Development DOE M 360.1-1B BOP 002.07 Approved: 02-15-2008 NNSA FEDERAL EMPLOYEE TRAINING NATIONAL NUCLEAR SECURITY ADMINISTRATION Office of Learning and Career Development BOP 002.07 1 02-15-2008 NNSA FEDERAL EMPLOYEE TRAINING 1. PURPOSE. To establish and implement a uniform, corporate National Nuclear Security Administration (NNSA) process for Federal employee training. This Business and Operating Procedure (BOP) provides detailed requirements to supplement DOE Manual 360.1-1B, Federal Employee Training Manual, dated 10-11-01. The information in this BOP is provided to improve NNSA Federal workforce performance through Federal employee training. This includes training, academic and other education programs, developmental assignments, workforce development programs that may use a range of personnel and training authorities, and other learning-related activities. 2. CANCELLATIONS. None 3. APPLICABILITY. This policy applies to all Federal employees in NNSA organizations, excluding NA-30. 4. REQUIREMENTS. a. Individual Development Plans (IDPs) (1) During the annual performance plan development process, each supervisor should discuss what training is needed to meet job requirements, including professional and/or Technical Qualification Program requirements, with each employee for which they are supervisor. Supervisors must have this discussion with their Incumbent employees annually and with new and reassigned employees within 60 days of the employee joining NNSA or being reassigned. Military and other Federal agency employees on detail to NNSA organizations are encouraged, but not required, to complete an IDP. (2) Each employee must prepare an IDP based on this discussion. This IDP must be reviewed and revised, as appropriate, at least annually. Each employee is required to prepare an IDP unless his or her supervisor determines that developing an IDP will result in little or no benefit to NNSA. (3) The IDP should describe reasonable and appropriate employee training objectives and activities. An IDP does not approve and/or validate any training; all training must be approved and validated in accordance with this BOP. 2 BOP-002.07 02-15-2008 b. Training Requests, Approval and Authorization. The training participant is responsible for submitting and obtaining supervisory approval for all requests for training. A flowchart of the training process is included as Attachment 1. (1) Training Requests. In order to request training, the employee should submit the “Request, Authorization Agreement, and Certification of Training” (SF 182) form electronically at least 14 days prior to the starting date of the training instance via the corporate electronic registration system. If a continued service agreement is required it must be signed by all parties and submitted with the training request. Requests submitted less than 14 days prior to the starting date of the training instance will be processed if possible. (2) Training Approval and Validation. Training must be first approved, and then validated, utilizing the electronic form SF 182.

(a) The appropriate first-line supervisor must approve the training, i.e., certify that the training is an appropriate expense related to improving mission-related performance. However, this responsibility may be delegated to a non-supervisory official such as a team leader or senior professional employee, as long as the approver is knowledgeable of NNSA and DOE training policies. No employee can approve his or her own training request, and no subordinate can approve training for a higher-graded employee. A second-line supervisor may also be required to approve the training, depending on the employee’s element requirements. (b) The designated Enterprise Training Services Training Consultant validates training. The training consultant certifies that the training meets legal and administrative requirements, and that requesting organization has appropriate funds available. In an attempt to provide the most cost-effective training, the requesting employee/supervisor may be given an opportunity to select alternative methods of receiving training, for example, technology- based training, such as through the DOE Online Learning Center, the Emergency Operations Training Academy, etc. (c) Once training is approved, validated, and the registration activities completed, the requesting employee will receive an electronic confirmation from the electronic registration system. (d) It is the responsibility of each employee and his or her supervisor to ensure training attendance, training completion requirements, and, if applicable, meet grade requirements (see section 4.e). BOP 002.07 3 02-15-2008 c. Alternative Methods of Training. (1) Employees are encouraged to consider various, alternative methods for obtaining the training, such as on-the-job training, online learning, computer-based training, satellite training, self-study, and video. Employees should consider these options to the fullest extent possible. (2) Technology supported learning has made it possible for an employee to receive training at his or her desktop. Contact the appropriate Enterprise Training Service (ETS) Online Learning Center (OLC) Administrator to request a subscription to the OLC. Immediate supervisors must verbally approve employees completing OLC training during duty hours. d. Announcement, Cancellation, and Substitution of Training. (1) The ETS will publicly announce all NNSA-sponsored training, and training participants and their supervisors will be notified of any cancellation of training as far in advance as practical. (2) Training participants must adhere to the vendor’s cancellation policy. When a training participant cancels attendance or cannot identify an adequate substitute prior to the start date of an approved training activity, he or she must inform his or her supervisor and the ETS prior to the cancellation date established by the vendor, or the organization must pay for the cost of the training instance, unless cancellation requirements are waived. (3) To cancel NNSA-sponsored training, requests for cancellation must be submitted to the ETS 14 calendar days before the start of the training instance, unless specified otherwise in the training announcement/schedule or an emergency occurs. The employee’s supervisor should receive a copy of the cancellation request. The same timeline will apply for canceling in-house training, unless the training provider imposes a different timeline; this is determined during negotiations with the training provider. Exceptions will be made on a case-by-case basis for circumstances that are out of the control of the training participant such as unexpected meetings, illness, or death in the family.

(a) If no costs will be incurred, the ETS will notify the employee and his or her supervisor that the training instance has been cancelled. (b) If costs will be incurred, the training consultant will discuss the impact with the supervisor or the element’s training liaison. Once 4 BOP-002.07 02-15-2008 a decision has been made on how to proceed, the training consultant will ensure the employee, his or her supervisor, and the training liaison are aware of the outcome. (4) Employees and supervisors should make every attempt to provide a substitute or replacement student prior to submitting a cancellation. The substitute must be qualified to attend the training and must follow the same process stated above, in section 4.b., to register for the training. e. Training Completion and Evaluation. Training participants must complete the training in accordance with the training assignment requirements, provide an evaluation of the training instance as predetermined by either management, the program, and/or vendor, submit an assessment of the training and its application to the ETS and the appropriate supervisory official, and meet applicable continued service obligation. (1) When NNSA pays for training, either all or part of it, the training is considered to be the employee’s work assignment and is subject to NNSA and NNSA organization workplace policies and procedures, including time and attendance and leave approval. To accommodate special training schedules during duty hours, supervisors must approve special work schedules in advance. For full-time training, the duty hours or work schedule for training is defined as an 8-hour day(s) and a 40-hour week(s) unless other, specific arrangements are made in advance of the beginning date of the training. For part-time training, the hours are defined as only the actual training activity, training class, or instructor contact hours and are considered non-duty hours. Work schedule modifications of less than an hour do not require prior supervisory approval. (2) Employees must attend at least 80 percent of the scheduled time of a training instance or class session and satisfactorily complete class activities, including an examination if applicable, in order to receive credit for the training or class. If the training is a developmental program, the employee is required to participate in 80 percent of entire length of the program. (3) Training participants will be required to provide an evaluation form to the ETS after attending predetermined training instances. The ETS will email a blank evaluation form to the student as soon as they are confirmed for the course. The student will be required to complete and return the evaluation form after the training instance or provide other evidence of satisfactory completion of the training instance. (4) Employees must ensure that the ETS receives a copy of their grade notification after an academic degree course has concluded. BOP 002.07 5 02-15-2008 (5) Employees who fail to start, withdraw from, or do not complete training assignment requirements must reimburse the Government for any tuition and/or other training costs incurred, unless completion requirements are waived. The following examples are considered failure to complete training assignment requirements: (a) failure to complete class activities, (b) failure to attend 80 percent of the scheduled time, (c) failure to receive at least a “C” grade for junior college and

undergraduate courses, (d) failure to receive at least “B” for graduate courses, (e) failure to receive a “pass” where pass/fail is used, and. (f) failure to receive “credit” where credit/no credit is used. (6) Supervisors, approving officials, or training validation officials may waive training completion requirements. The following reasons are considered acceptable for waiving training completion including: a new work assignment that prevents an employee’s satisfactory completion, an employee’s personal circumstances, a conflict with NNSA’s interest or legal requirements, the amount or nature of the costs to be recovered, the benefit to NNSA such as under reduction-in-force circumstances, the medical or psychological circumstances, or an undue hardship or inequity. Waivers must be in writing, and a copy must be provided to the employee and to the designated training consultant. f. Funding. The Learning and Career Development Department (L&CDD) and the ETS are responsible for maintaining controls and the prudent expenditure of administratively allocated NNSA training funds in accordance with DOE Order 360.1B, Federal Employee Training, and DOE Manual 360.1-1B, Federal Employee Training Manual, and the Corporate Approach to Training. Training funds retained by NNSA organizations must also be controlled and allocated in a similar manner. (1) To accomplish this, the L&CDD/ETS will continue to corporately plan for development and delivery of training for the elements it services to meet individual and organizational training and developmental needs. Training funds are targeted for specific training instances at the beginning of each fiscal year based on needs assessment data and the allocated training budgets. To ensure the availability of funds to support training needs, all training requests, both individual and organizational, must be validated by the appropriate training consultant and processed through the ETS. 6 BOP-002.07 02-15-2008 (2) The ETS will perform a comprehensive training needs analysis for the elements it services and will identify those training events that would best be delivered enterprise-wide and will also determine the most appropriate location to deliver the training. The ETS will routinely look for the most cost-effective method of delivering training and will make recommendations accordingly. Training considered to be site-specific will be identified by the organization during the annual needs assessment. The ETS will provide these recommendations to the L&CDD and each NNSA element’s training liaison. (3) Organizational training needs should be brought to the attention of the ETS during the annual training needs assessment process. Any discussions with potential training vendors, regardless of how preliminary, should be coordinated with the appropriate training consultant. (4) Management and Operating (M&O) contractors cannot be reimbursed for in-house developed and delivered training [Conference Report on H.R. 1905, Energy and Water Development Appropriations Act 1996 (House of Representatives-October 26, 1995)]. When M&O contractors provide training, the ETS must determine if the training is developed and delivered in-house or is vendor-provided. The ETS will reimburse M&O contractors for all vendor-provided training. (5) College Tuition Payment. (a) It is the employees' responsibility to submit a SF 182 for any

desired undergraduate or graduate-level education course via the electronic registration system. The employee must include a clarification indicating: (1) how the course pertains to his or her current position, (2) how it will benefit NNSA, and (3) how the knowledge will be applied at the work site. The employee’s supervisor must approve the SF 182, ensuring that course is relevant to the NNSA mission, that it is being taken for credit, that it is not solely for the purpose of assisting the employee in obtaining a degree, and that the employee understands that there are no guarantees or promises of promotion or new assignments as a result of the taking the course. The clarification as well as relevant course brochures should accompany the employee’s request. Information may be sent via the electronic registration system, or by email, fax, or interoffice mail delivery. The ETS may also ask for further clarification, if necessary. Once the training consultant validates the educational course, the ETS will register the employee with the appropriate college or university. The ETS may contact the student for additional information, such as the student’s school identification number, if it is necessary for BOP 002.07 7 02-15-2008 registration purposes. The ETS will pay the tuition in advance to the educational institution for the employee to attend the desired course. After registration is complete, the servicing training organization will contact the student to find out what textbooks are required for the course, will order and pay for the required books, and will arrange for the books to be shipped directly to the student. Upon completion of a course, it is the student's responsibility to provide a copy of his or her grade notification to the ETS within 30 days of the course completion date. A grade of "C" or higher is required for undergraduate classes and a grade of "B" or higher is required for graduate coursework. Failure to achieve these minimum grade requirements will require the student to reimburse the Government for any tuition and/or other training costs incurred. (b) The ETS will also register students and pay college tuition in advance for developmental programs. (6) Costs NNSA Pays. (a) NNSA will pay for tuition, fees, books, materials, and equipment. However, the employee must pay all related taxes (see http://www.irs.gov/pub/irs-pdf/p970.pdf or NNSA Purchase Cardholder Guidebook, Section 8 & 9). (b) Per the September 22, 2005 memo titled “Professional Credentials Reimbursement Guidance,” NNSA may reimburse eligible employees for expenses incurred to pay for professional credentials and examinations to obtain such credentials, subject to the availability of funds. Credentials covered include professional accreditation, state-imposed and professional licenses and certifications that are either directly related to the employee’s position or considered to further NNSA’s interest. In order to be reimbursed, employees should submit an SF 1164, “Claim for Reimbursement for Expenditures on Official Business” available on the GSA Web Site http://www.gsa.gov, to their first and second-level supervisors for approval. Service Center and Site Office employees should send the approved form to the Budget Resources Management Division (BRMD), while HQ employees should send it to NA-622, the Office of Planning, Programming, Budgeting, and Evaluation; Execution and Analysis Division for payment, with proof of payment, documentation of dates of certification, and a signed continued service agreement for the period of time covered by the credentials. Presidential appointees,

8 BOP-002.07 02-15-2008 non-career members of the Senior Executive Service, and excepted service employees appointed under Schedule C are not eligible for reimbursement. Costs for an examination preparatory class may also be paid if the class qualifies as training. (7) Costs NNSA Does Not Pay (a) NNSA will not pay for costs imposed by an educational institution for granting a degree or credit toward a degree, unless it relieves recruitment and retention problems. However, if a course is directly related to the individual’s job responsibilities, and he or she coincidentally receives college credit, NNSA will pay the cost. However, NNSA may not: 1 use degrees or credentials obtained from non-accredited institutions to qualify employees for Federal positions; 2 send employees to non-accredited institutions for degree training or for any other form of education; 3 reimburse employees for tuition; or, 4 authorize the repayment of student loans for degrees from a non-accredited institution. (b) NNSA will not pay for the cost of food, meals, and/or lodging costs at an employee’s official duty station unless the training program requires extended training hours or participation in specific group events, the safety or health of the employee may be jeopardized, or these costs are included in a single fee and cannot be separated from other costs. (c) NNSA will not pay costs incurred by retroactive approval or ratification of training that requires a continued service obligation. (8) Attendance at Meetings or Conferences. Attendance at meetings or conferences falls under the purview of Federal travel regulations. If there is a registration cost incurred for the meeting or conference, it should be handled by normal travel procedures. If the meeting or conference is considered training, registration costs will be paid with training funds. In order to be considered training, the meeting or conference must meet one of the following criteria: (a) It provides the employee with continuing education units or continuing legal education units. BOP 002.07 9 02-15-2008 (b) It is required by law or regulation. (c) It is otherwise determined to meet specific training or organizational objectives, such as improving employee performance as described in a performance improvement plan. (d) Over 50 percent of the time is scheduled for a planned, organized exchange of information between the presenter and the audience. (9) Personal Liability Policy for Self-Registration for Training. Employees should not self-register for training. By self-registering for training or directing the development of organizational training without benefit of appropriate advance coordination with ETS, employees risk being personally liable for payment. If an employee registers for training or directs the development of organizational training, he or she will be considered to be acting in his or her own behalf and will be held financially responsible for the costs incurred. These costs may even include leave status and travel expenses involved with the training. If this occurs, the employee and the employee’s management must establish a case with the L&CDD manager that the situation meets contract ratification provisions in order for the government to pay. (a) If a student has taken a class without prior approval from his or her

supervisor, and validation and enrollment by the ETS, and has received an invoice that he or she wants NNSA to pay, then a ratification action is required. Ratification is the approval/disapproval given by the Head of Contracting Activity (HCA), who has the authority to do so, of an unauthorized commitment. Ratification is not required if the student has registered for a course but has not yet taken it. In this case, the ETS will register the student correctly prior to the course start date, and no further action will be required. (b) Note: A training request that has been approved by the student’s supervisor does not confirm course registration. The request must first be validated and enrollment performed by the ETS. This will ensure that training funds are available and that the requested 10 BOP-002.07 02-15-2008 training meets legal and administrative requirements prior to procurement. g. Types of Training NNSA May Provide. (1) Training for promotion or placement in other positions. NNSA may provide training to non-temporary employees that may lead to promotion in certain instances. NNSA must use competitive procedures when selecting a non-temporary employee for training that permits noncompetitive promotion after successful completion of the training. (2) Training for placement in other agency positions, in other agencies, or outside government - Grade or pay retention. NNSA 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) Training for placement in another agency. NNSA may train an employee to meet the qualification requirements of a position in another agency if the Administrator determines that such training would be in the interest of the Government. Before undertaking any training under these provisions, the Administrator must determine that a reasonable expectation of placement in another agency exists. The Administrator should consider: (a) the extent to which the employee’s current skills, knowledge, and abilities may be used in the new position; (b) the employees capability to learn skills and acquire knowledge and abilities needed in the new position; and (c) the benefits to the government that would result from retaining the employee in the Federal service. (4) Training displaced or surplus employees. NNSA may use its appropriated funds for training displaced or surplus employees for positions outside government only when specifically authorized by legislation to do so. h. Training Records. The ETS manager maintains employees’ official training records. (1) To ensure an employee’s record include all training, the employee should process all training requests through the ETS, even if the training is obtained from an M&O contractor, another DOE field office, etc. BOP 002.07 11 02-15-2008 (2) If the training was not processed through the ETS, employees must provide proof of the training, such as a certification of completion, an official roster, etc., in order to receive credit. 5. RESPONSIBILITIES. a. Associate Administrator for Management and Administration, NNSA HQ (1) Approves NNSA-wide training policy, procedures, and resource management planning requirements. (2) Approves Human Capital Management (HCM) initiatives for implementation, coordination, and execution in accordance with the President’s Management Agenda and the Human Capital Management Strategic Plan.

(3) Assures the NNSA-wide evaluation and assessment of training activities. (4) Provides training goals, strategies, and general direction consistent with NNSA management and administrative objectives. (5) Approves research designed to improve NNSA’s training programs. (6) Provides for continuing development of supervisors, managers, and executives to meet NNSA’s succession planning needs. b. NNSA Chief Learning Officer (1) Recommends NNSA-wide training policy, procedure, and resource management planning requirements. (2) Ensures appropriate HCM initiatives are developed, implemented, coordinated, and executed in accordance with the President’s Management Agenda and the Human Capital Management Strategic Plan. (3) Develops the NNSA-wide evaluation and assessment of training process and makes recommendations for improvement of training at all levels within the NNSA. (4) Serves as the interagency liaison and completes interagency agreements with respect to NNSA training. 12 BOP-002.07 02-15-2008 (5) Defines and negotiate mandatory training requirements for employees, including manager and supervisor training. (6) Approves participation in training agreements governing multi-site programs. (7) Waives continued service obligations for Federal employees prior to separation from NNSA, as appropriate. (8) Approves acceptance of training-related awards, honorariums, and/or other contributions toward costs of training from Internal Revenue Service recognized 501(c) (3) organizations, with advice from the Office of General Counsel, as required. c. Manager, L&CDD, NNSA Service Center. Performs all inherently governmental NNSA training functions including the following functions: (1) Provides training procurement support activities. (2) Develops NNSA training policy and leadership in the coordination, implementation, and evaluation of NNSA training. This includes training planning, resource management, needs analyses, needs assessment, design, development, and delivery, and assessment responsibilities issues (3) Supports HCM by developing, implementing, coordinating, and executing training and development initiatives in accordance with the President’s Management Agenda and Human Capital Standards. (4) Gives due consideration to strategic objectives, training required by law, regulation, directive, or a technical qualification or work performance competency standard; and individual training needs as determined through needs analyses and functional, occupational, and individual needs assessments and individual development plans. (5) Administers NNSA employee development and career leadership programs, including associated certification programs. (6) Reviews all training needs and plans for training to meet critical mission drivers and employee competency needs. (7) Provides training policy guidance and professional advice and consulting assistance to NNSA elements, training liaison personnel, and NNSA employees. BOP 002.07 13 02-15-2008 (8) Chairs and/or supports councils, committees, boards, and other entities responsible for NNSA-wide training. (9) Assigns responsibilities for training requirements and functions, including designation of a responsible LCDD training official(s) for specific corporate training program activities. (10) Provides administration and coordination of the NNSA Technical Qualification Program in regard to defense-related nuclear facilities.

(11) At the request of the Department’s Office of Human Capital Innovations and Solutions provide information on the performance of the Albuquerque Operations Center of the ETS. d. NNSA Element Manager. Oversees the administration of all activities associated with the planning, coordination, and scheduling of training efforts for its element including the following functional areas: (1) Identifies its critical training needs through organizational, occupational, and individual assessment with the assistance of the ETS and review the element’s portion of the training plan that the ETS provides. (2) Review the element’s portion of the annual training summary report and annual training cost report and submits it to DOE/HQ. (3) Evaluates training to ensure the effectiveness and efficiency of delivered training products to include technology-supported learning. (4) Monitors and develops critical skills as defined within the context of the Federal Technical Capability Panel. (5) Administers the Technical Qualification and Senior Technical Safety Manager Programs for the element with support of the L&CDD and ETS. (6) Assists with NNSA corporate training initiatives. (7) Assists with HCM initiatives associated with the President’s Management Agenda and the Human Capital Management Strategic Plan. (8) Prioritizes critical training needs, identification of adequate resources to plan, assess, and report on training consistent with NNSA strategic planning, budget, succession planning, and training administration processes. 14 BOP-002.07 02-15-2008 (9) Manages efficient and effective training programs for the element’s workforce. (10) Assigns responsibilities for training requirements and functions, including designation of a responsible NNSA training official(s) for specific training program activities within the element. e. Manager, ETS. The ETS Manager responsibilities are not NNSA requirements placed upon another DOE element but a repeat of work assigned to the ETS by the Statement of Work and RFP accompanying the Department’s competitive sourcing decision on training administration activities in DOE. (1) Provides policy recommendations on development, coordination, implementation, and evaluation of NNSA training when requested. The recommendations include training planning, resource management, needs assessment, development, and delivery, accreditation of training, assessment responsibilities and issues and corrective and process improvement actions. (2) Assists each element in the identifying its critical training needs through organizational, occupational, and individual assessment. Coordinates and evaluates multi-element training needs assessments designed to meet NNSA-wide training program objective. (3) Provides support to each element in the preparation of an annual training plan and provides the plan to the L&CDD and each element’s training liaison. (4) Assists L&CDD in obtaining market surveys, drafting work statements, evaluation criteria, and solicitation documentation as well as evaluating proposals for training courses, seminars, general training, and support services. (5) Ensures information is current and distributes communications announcing upcoming classes, seminars, workshops, and other training. (6) Registers employee in classes, seminars, workshops, and other training via the electronic registration system, notifies students of completed registration, confirms authorization for training, and close out completed training.

(7) Provides support to web-based training systems. (8) Collects employee and supervisor feedback on training adequacy and analyze the information collected. BOP 002.07 15 02-15-2008 (9) Provides customer service to supervisors, management officials, and NNSA employees regarding classes, seminars, workshops, and special programs offered, class schedules, class cancellations and rescheduling, enrollment procedures, course prerequisites, course waivers, classroom assignments and course locations. (10) Maintains requisite training records, associated documentation, and prepares required essential training reports and statistics. (11) Ensures efficient and effective management of training programs for the element(s)’ workforce. (12) Provides subject matter expertise on training products, processes, and training related systems and issues. (13) Manages, administers, and maintains existing Department-wide career development programs. (14) Provides support in managing and administering the Technical Qualification Program. f. Supervisors and Managers (1) Plan for and identify both organizational and employee training needs necessary to meet mission drivers and position driven competency requirements through individual development plans and needs assessments. (2) Collaborate and strategically partner with HR, the ETS, and the L&CDD to ensure a corporate and systematic approach to training in order to ensure critical training needs are being met. (3) Ensure proper and well-defined training needs are clearly identified to meet critical gap requirements that are brought about by NNSA re- engineering and restructuring efforts that result in changes in mission drivers. (4) Clearly communicate to employees further training needs to include skills training and retraining. 16 (5) Approve IDPs. (6) Ensure timely approval of training, if required. (7) Waive training completion on a case-by-case basis. g. Employees (1) Maintain a current IDP. BOP-002.07 02-15-2008 (2) Ensure timely requests for training aud caucellation, if required. (3) Complete training assignments, evaluation aud completion requirements, aud continued service obligations. 6. REFERENCES. a. DOE Order 360.1B, Federal Employee Training b. DOE Mauual360.1-1B, Federal Employee Training Mauual c. 5 CFR 410, Training d. Executive Order 11348, Providing for the Further Training of Government Employees by Public Law 106-398 aud Public Law 108-123 e. DOE Federal Training Function A-76 Study. Performauce Work Statement, 8/31/2005 7. CONTACT. Learning aud Career Development Department at 505-845-6914. Associate Administrator for Mauagement & Administration