Following are questions and answers describing new OPM development guidance aimed at advancement to the supervisory, managerial or executive ranks, as well as refresher training for those already in such positions.
Q. Is there a requirement on the specific number of hours for new supervisory and managerial training or the refresher training?
A. No, OPM does not require a specific number of hours for supervisory and managerial development. OPM recommends assessing the needs of your agency’s supervisors and managers, and providing them with the appropriate training and other developmental solutions to meet the training requirements and their staff’s needs as new and continuing supervisors and managers. Review the Federal Supervisory and Managerial Training Frameworks for recommended topics to include in an agency’s needs assessment.
Q. What topics can be included in both new and refresher training?
A. The regulations (5 CFR 412.202) mention specific topics related to performance management, including mentoring employees, improving employee performance and productivity, conducting employee performance appraisals, and dealing with unacceptable performance, but OPM recommends agencies go beyond the requirements outlined in 5 CFR part 412 when developing supervisory and managerial programs. Review the Federal Supervisory and Managerial Training Frameworks for additional recommended topics.
Q. Are the requirements specified within 5 CFR part 412 the only ones that need to be followed when developing supervisor and manager training?
A. No, agencies may include additional requirements for supervisor and manager training and should do so if a need is identified. OPM recommends agencies go beyond the topics listed in the regulations. Agencies should assess their supervisory and managerial training needs and include these needs in their programs.
Q. Can agencies provide the same training to new supervisors and managers, and to experienced supervisors and managers for refresher training?
A. Yes, agencies may provide the same training to new supervisors and managers and to experienced supervisors and managers for refresher training. It is up to the agency to decide which refresher training is required for current supervisors and managers, provided the requirements in 5 CFR part 412 are met.
Q. Are new supervisors and managers required to complete individual development plans?
A. It is up to the agency whether new supervisors and managers must complete individual development plans (IDPs). IDPs are only required for executives (5 CFR 412.401(a)-Executive Development Plan), but many agencies also implement them for their employees. Agencies develop their own IDP policies. However, it is recommended that new supervisors and managers develop IDPs to help facilitate their development during their first year. Supervisors and their managers should work together to outline developmental goals and select appropriate training to meet the requirements and their needs. For more information on IDPs, see OPM’s IDP wiki page on OPM’s Federal Training and Development Wiki.
Q. Are new supervisors and managers required to have a mentor?
A. No, new supervisors and managers are not required to have a mentor, but it is strongly encouraged for new supervisors and managers to obtain a mentor, especially one with extensive supervisory or managerial experience. Agencies may develop a mentoring component in their supervisory and managerial training programs.
Q. Can agencies require a continued service agreement for supervisory and managerial training programs?
A. It is up to the agency whether to require a continued service agreement (CSA) for supervisory and managerial training, except agencies may not require a CSA for the Federally-mandated portions of the program. For more information on CSAs, see the OPM Fact Sheet on Continuing Service Agreements on OPM’s Training and Development Policy Webpage.
Q. Can new supervisors and managers opt out of all or some of the training?
A. If a new supervisor or manager previously completed part of an agency required supervisory training course within 12 months of his or her initial appointment, the new supervisor or manager may opt out of the part of the course that was already covered. For example, if a new supervisor or manager completed a recruitment and hiring course 8 months before initial appointment into a supervisory position, the new supervisor or manager may opt out of the part of the supervisory course covering recruitment and hiring.
However, it is up to the agency whether to allow supervisors or managers to opt out of any part of the training. The agency may decide to make all components of its supervisory training program mandatory for new supervisors and managers.
Q. What if an individual is new to the Federal Government and was a supervisor or manager in another organization? Can new supervisors and managers opt out of all or some of the new supervisor training?
A. Those individuals new to the Federal Government who were previously supervisors or managers in another organization must receive the supervisory training within their first year of appointment. Agencies may decide if these individuals should complete the entire new supervisory training program or only the parts of the program required by 5 CFR part 412.
Q. Do political appointees with supervisory responsibilities need to receive training?
A. Political appointees with supervisory responsibilities must receive training within their first year of appointment. They must also receive refresher training. Agencies should incorporate training of political appointees into their supervisory training policies.
Q. What type of training delivery format may agencies use for the training(s)?
A. Agencies may decide which delivery method best meets their and their supervisors’ needs. Here are some possible delivery methods:
• Instructor-led (e.g., degree programs, courses, seminars, workshops, case presentations and discussions, distance learning, passive computer-based instruction
• Experiential activities (e.g., on-the-job training, action learning, service learning, team projects, simulations and games, scenario planning)
• Developmental relationships (e.g., coaching, mentoring, networking, supervisor support, peer-to-peer learning partners, shadowing)
• Assessments and feedback (e.g., self-assessments, assessment tools, developmental assessment centers; multisource and 360-degree feedback)
• Self-development (e.g. individual development plans, self-guided learning activities)
Agencies should decide which delivery option is best to achieve the goals of the training. Some methods are more effective for certain courses. For example, a performance management course usually includes role-play scenarios, which are usually better for in-person, classroom training. Please see the Merit Systems Protection Board’s 2010 study Making the Right Connections: Targeting the Best Competencies for Training for more information on training delivery methods as they relate to specific competencies.
Q. How often should an agency update its supervisory and managerial training programs?
A. Agencies should update their supervisory and managerial training program(s) as needed. One way to identify areas for improvement/updating is to annually assess whether the programs are meeting the agency’s needs.
Q. Are there reporting requirements for this training?
A. 5 CFR 410.601(b) requires agencies to electronically submit reports of all training activities to OPM’s data warehouse—Enterprise Human Resources Integration (EHRI)—on a monthly basis.
Q. Can an agency include new supervisor training as a requirement for the probationary period?
A. Employees are required by 5 CFR 315.904(a) to serve a probationary period prescribed by the agency upon an initial appointment to a supervisory and/or managerial position. 5 CFR 315.905 gives agencies the authority to determine the length of the probationary period, provided that the period is of reasonable fixed duration, appropriate to the position, and uniformly applied. However, agencies have the option to establish different probationary periods for different occupations or a single one for all agency employees.
Agencies may establish requirements on what constitutes satisfactory completion of a probationary period. Agencies may include completion of new supervisory training as part of these requirements. For example, an agency requires a new supervisor to complete a probationary period of one year from the date of his or her initial appointment. For the new supervisor to complete the probationary period successfully, the agency lists a number of requirements, including completing the agency’s new supervisory training program within the probationary period. If the new supervisor does not complete the training program, the new supervisor would not meet the requirements to complete the probationary period satisfactorily even if the new supervisor meets the remaining requirements.
Q. What happens if a new supervisor does not complete the training within his or her first year of initial appointment?
A. It is up to the agency. Agencies should develop a policy regarding the consequences for not completing required new supervisor training within in the designated time period. For example, some agencies include the training as a requirement of the probationary period.
Q. What happens if a supervisor or manager does not complete refresher training within three years?
A. It is up to the agency. Agencies should develop a policy regarding those who do not complete refresher training within the designated time period.
Q. Can agencies grant extensions for new supervisors to complete their training?
A. Yes, agencies may grant extensions for new supervisors. Once a new supervisor comes on board, agencies should take the initiative to schedule training in accordance with their respective agency policies. However, there are circumstances that could prevent new supervisors and managers from completing the training within the one-year period. These circumstances include, but are not limited to:
• Injury or illness
• Maternity or parental leave
• Uniformed service
• Loss of a family member
Agencies should establish policies that outline the procedures for granting extensions, including the circumstances in which extensions may be granted, for those who cannot receive the necessary training within the one-year period.
Q. How should agencies evaluate new and refresher training?
A. OPM’s Training Evaluation Field Guide provides helpful information regarding evaluating training courses and training programs. Agencies should consider the type of evaluation tool utilized (e.g., interviews, surveys, and focus groups) and go beyond assessing the participants’ reactions to measuring the intermediate and long-term outcomes. For further assistance review the OPM’s Training Evaluation Field Guide Supplement and Logic Model Template for Federal Supervisory and Managerial Training.
Q. How does this training requirement relate to the Guidelines for Managerial Development?
A. OPM established guidelines in September 12, 2006, to ensure the ongoing leadership capacity of the Federal workforce and to assist agencies in meeting several managerial development objectives. Consistent with 5 CFR part 412, these guidelines cover programs at all levels from developing future leaders to development of supervisors, managers and executives.
Q. How should agencies fund supervisory and managerial training program(s)?
A. Agencies should use their training budget(s) to fund their supervisory and managerial training program(s). OPM collected a set of cost-free solutions, shared by other agencies, which align with some of the requirements listed in the frameworks. These solutions are available on the Manager’s Corner.
