[Federal Register Volume 71, Number 95 (Wednesday, May 17, 2006)]
[Rules and Regulations]
[Pages 28545-28547]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-4589]



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  Federal Register / Vol. 71, No. 95 / Wednesday, May 17, 2006 / Rules 
and Regulations  

[[Page 28545]]



OFFICE OF PERSONNEL MANAGEMENT

5 CFR Part 410

RIN 3206-AK46


Training; Reporting Requirements

AGENCY: Office of Personnel Management.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Office of Personnel Management (OPM) is issuing final 
regulations requiring agencies to report training data. The new 
regulations require all Federal agencies to collect information that 
supports agency determinations of its workforce training needs and to 
document the results of training and development programs implemented 
to address those needs by requiring input into the OPM Governmentwide 
Electronic Data Collection System.

DATES: June 16, 2006.

FOR FURTHER INFORMATION CONTACT: Loretta L. Reeves by telephone at 
(202) 606-2419, by fax at (202) 606-2329, by TDD at (202) 418-3134, or 
by e-mail at [email protected].

SUPPLEMENTARY INFORMATION: On May 27, 2005, OPM issued proposed 
regulations (70 FR 30647) to amend the rules in 5 CFR part 410, 
subparts C, D, and G, and requested comments by July 26, 2005, which 
addressed agency training records and reporting requirements.
    OPM created a Governmentwide electronic system to capture employee 
human resource information, which includes training data. This system 
is explained and agency reporting requirements are defined in the Guide 
to Personnel Recordkeeping (http://www.opm.gov/feddata/persdoc.asp) and 
the Guide to Human Resources Reporting (http://www.opm.gov/feddata/guidance.asp).
    To support this data collection, OPM is clarifying established 
policy to ensure that agencies maintain records of their training plans 
and to require that agencies report training data beginning December 
31, 2006, in the form as prescribed by the OPM Governmentwide 
Electronic Data Collection System. The Governmentwide system will allow 
agencies to maintain accurate records to facilitate reporting on a 
regular basis as prescribed by the Guide to Personnel Recordkeeping 
(http://www.opm.gov/feddata/persdoc.asp) and the Guide to Human 
Resources Reporting (http://www.opm.gov/feddata/guidance.asp). In 
addition, there is a change in the period of time required for 
retaining records in subparts C and D, and a new method for reporting 
requirements subpart G.

Comments

    OPM received comments from two agencies and three individuals who 
work in the Federal training community. One agency concurred with the 
proposal to collect training data through the OPM Governmentwide 
Electronic Data Collection System. The comments from the other agency 
and the individuals focused on the compatibility of the data elements 
to Learning Management Systems (LMS); the timeframe required to report 
data to OPM; and the two guides referenced above to guide agencies 
through the implementation process of reporting training data. In 
addition, the commenters are concerned with providing aggregated costs 
for training (e.g., travel and per diem costs) and need more clarity on 
this issue to avoid reporting the same data in different data calls.
    The agency expressed concern about the compatibility of data 
elements in a current LMS and the proposed timelines to begin providing 
training data to OPM. The agency explained that there are competing 
priorities for their resources, namely resourcing manual collection of 
the required 25 data elements vs. continuing to work towards enterprise 
Learning Management Systems integration. OPM understands this is a 
concern to many Federal agencies. The new training data requirements 
were coordinated with service providers under the e-Training 
Initiative. All service providers are currently working on 
incorporating the data requirements and developing a data feed to OPM's 
Enterprise Human Resource Integration (EHRI) data warehouse. Agencies 
with LMS that do not incorporate these data requirements should 
consider switching to an e-Training Initiative approved e-learning 
solution.
    The agency is also concerned that, if they are required to provide 
training data to OPM within the given deadline of October 1, 2005, they 
would have to ask the vendors to customize their system at considerable 
added cost. While OPM understands this concern, agencies have been 
aware of OPM's requirement to report training data since October 2003, 
when the first Interface Control Document (ICD) was published. The new 
training data requirements were coordinated with service providers 
under the e-Training Initiative. As noted above, all e-Training Service 
Providers are currently working on incorporating the data requirements 
and developing a data feed to OPM's EHRI data warehouse. Agencies with 
LMS that do not incorporate these data requirements should consider 
switching to an e-Training Initiative approved e-learning solution or 
work to become compliant.
    This agency also suggested that the deadlines for regular submittal 
be reviewed and consideration be given to allow the OPM-approved LMS 
vendors time to react to these requirements in order to better serve 
the agencies. OPM agrees and has changed the deadline to begin regular 
submittals to December 31, 2006. This new start date will give agencies 
more time to make adjustments to their current systems. OPM again notes 
that the new training data requirements were coordinated with service 
providers under the e-Training Initiative and all service providers are 
currently working on incorporating the data requirements and developing 
a data feed to OPM's EHRI data warehouse.
    In addition, this agency felt that the referenced guidance does not 
provide clear business processes for meeting the reporting 
requirements. The proposed rule refers to guidance with specific 
information about how the training data should be provided; however, 
there are still unanswered questions about the process. Procedures for 
submitting training data are contained in the Guide to Personnel 
Recordkeeping (Table 3-I) and the Guide to Human Resources Reporting 
(Chapter 4 and Appendix A). Agencies should develop their own

[[Page 28546]]

training and training documentation processes to meet the requirements 
of the guide. In addition, OPM will be providing the agencies with 
another reference guide to help HR offices understand how to report 
training data.
    This same agency stated, if OPM anticipates that each agency pull 
this data from its respective systems, OPM will have to negotiate with 
their approved vendors in order to allow this level of raw data access 
to those hosted systems. The vendors provided through OPM's GoLearn 
site do not currently provide the necessary functionality to stream the 
data to OPM. In response, all service providers under the E-training 
initiative, including those vendors under OPM's GoLearn site are 
currently working on incorporating the data requirements and developing 
a data feed to OPM's EHRI data warehouse.
    Also, this agency felt it does not have clarity on what is expected 
for cost data. Because most learning management systems are not 
financial systems, costs are usually estimates rather than actual 
costs. According to this agency, if estimates are not acceptable, its 
staff would have to create the necessary interface with their financial 
management and travel management systems. This agency contended that 
this would create a significant and undue hardship for them. The agency 
asserts that it is also unclear how this requirement will avoid 
reporting the same data in different data calls. The cost data that OPM 
requires is explained in the Guide to Human Resources Reporting 
(Chapter 4 and Appendix A). Agencies are free to determine which of 
their systems (HR, training, LMS, or financial) the data comes from to 
meet the data requirements as long as the information is reported 
accurately. At this time, OPM has no plans to request training data in 
another data call or through another mechanism so the chance for 
duplicative reporting should be minimal.
    The same agency stated rules need to be clarified as they relate to 
the reporting requirements so that the rules fully address business 
processes. Procedures for submitting training data are contained in the 
Guide to Personnel Recordkeeping and the Guide to Human Resources 
Reporting. OPM does not dictate agency business processes; however, OPM 
is creating another guide to help explain the process for HR 
professionals that explains the reporting process in a different way. 
The title of the guide is Guide for Collection and Management of 
Training Information.
    In addition, the individuals who commented stated that this 
requirement is an ``unfunded mandate.'' OPM understands that there can 
be costs associated with migrating to the EHRI standard, and will work 
with agencies to find the least costly method for meeting the training 
reporting requirement, including recommending the use of an e-Training 
Initiative Approved e-Learning Solution.
    These individuals also indicated that the Rule needs to remove 
redundant reporting (e.g., travel, tuition). Agencies are free to 
determine which of their systems (HR, training, LMS, or financial) the 
data comes from to meet the data requirements. The rules on travel and 
tuition are explained and defined in the Guide to Human Resources 
Reporting. Depending on the agency's system, these cost items may have 
different uses internally; however, OPM decided to keep the 
distribution of these items as they appear in the Guide. Agencies will 
need to determine how to extract the data for each element to report to 
OPM as long as it is non-duplicative, accurate and complete.
    An individual expressed concern about data elements themselves, the 
value of the elements and the integration of the elements with 
standards established under the e-Training Initiative for LMS. The data 
elements were established to meet both current and future requirements 
to analyze and report on the actual costs and utilization of training 
throughout the government. The new training data requirements have been 
coordinated with service providers under the e-Training Initiative and 
all service providers are currently working on incorporating the data 
requirements and developing a data feed to OPM's Enterprise Human 
Resource Integration (EHRI) data warehouse. As mentioned before, OPM 
has the responsibility and authority to establish standards for the 
collection and reporting of HR data. Agencies can meet these standards 
and requirements by using an e-Training Initiative approved e-Learning 
solution.
    This individual was also concerned that agency systems may not 
readily crosswalk to the training elements match for match. It is up to 
the agency to determine how it can respond to the specific training 
values and elements required by the Governmentwide system.
    One commenter indicated a concern that many of the data elements 
are not available as standard elements within agency training systems, 
and that, if they are available, the coding types are devised to meet 
the agency needs and may not correlate with OPM requirements. OPM 
understands this concern, and in response has changed the time when 
agencies are to begin reporting training data to December 31, 2006. 
This will give agencies more time to make the necessary adjustments to 
their systems to comply with the training data reporting requirement. 
Agencies can meet these standards and requirements by using an e-
Training Initiative approved e-Learning solution.
    The same individual stated that significant potential costs may be 
incurred in reconfiguring agency data systems to meet these standards. 
OPM understands that additional costs may be incurred and that some 
agencies may need additional time to possibly realign funding to 
reconfigure current agency systems. For those agencies that require 
additional time beyond the newly established date to begin reporting 
training data, December 31, 2006, OPM has added a provision (c) under 
section 410.701 which allows agencies to request an extension based on 
an agency's plan to meet the requirements at a later date. OPM also 
notes that service providers under the e-Training Initiative and all 
service providers are currently working on incorporating the data 
requirements and developing a data feed to OPM's Enterprise Human 
Resource Integration (EHRI) data warehouse. Agencies with LMS that do 
not incorporate these data requirements should consider switching to an 
e-Training Initiative approved e-learning solution.
    The same individual expressed that OPM through the e-Training 
Initiative has endeavored to standardize LMS across agencies to achieve 
economies of scale and eliminate redundancies. This individual observed 
that in this process, OPM has directed that a number of data fields be 
established as standards within agency LMS applications. The individual 
stated that many of the elements required under this rule are not 
required as standard data elements within an LMS under the e-Training 
Initiative. OPM coordinated internally with e-Training Initiative, EHRI 
and OPM's policy offices to ensure that there is consistency with what 
training data is required and what training data agencies need to 
report. In May of 2005, these 27 data elements were requested to become 
mandatory and e-Training Service Providers have worked with vendors in 
order for LMS vendors to meet this new mandatory requirement. However, 
it is up to the agencies to determine the best solution for capturing 
the training data. OPM encourages the agencies to work with their e-
Training Service Provider on the specific solution.
    The same individual stated that several data elements are related 
to financial costs and observed that this

[[Page 28547]]

data is normally maintained within agency financial systems. The 
commenter stated that agencies may be able to report on this data in 
the aggregate, but generally cannot do so on a course or per capita 
basis since many training and financial systems are not integrated. 
Agencies are free to determine which of their systems (HR, training, 
LMS, or financial) the data comes from to meet the data requirements. 
As long as the data is accurate, agencies can determine how to 
aggregate the responses in the report as required.
    The same commenter suggested that agencies do not capture per diem 
cost separately from overall travel costs and observed that, generally, 
all travel costs are recorded as a collective total. Although per diem 
costs are a separate item in Table 3-I, OPM is mainly interested in the 
final cost of the travel for training completed by the employee and 
paid for by the Federal Government.
    There were also concerns regarding the granularity of the data to 
be reported and the general value of that level of detail to OPM. One 
individual noted that reporting training information by training type, 
total contact hours, and total cost would appear to be more useful as 
an aggregate and would significantly lessen the administrative burden 
on agencies in collecting and managing this data. OPM is requesting the 
aggregate of the completed training events total cost only. Even though 
the required reporting process specifies the cost information needed, 
it is not an all-inclusive list nor is it at the lowest granular level 
of reporting cost. OPM's objective is to establish a level that is 
consistent for agencies Governmentwide. It is important that OPM 
require only the level of granularity that OMB, Congress and GAO have 
requested without having to go back out to the agencies to request more 
information on a regular basis.
    One commenter stated that the requirement to begin reporting data 
as of April 1, 2005, is a burden for some components due to the 
complexity required to go back in time to attach additional data to 
historical information. OPM has not required that agencies capture 
historical training data. Agencies should start reporting data as of 
December 31, 2006. The April 1, 2005 date was originally set for the 
pilot to begin where agencies would have had the opportunity to report 
data and test the system to determine what errors in their reports need 
to be corrected and to be ready to submit accurate data by the 
effective date of the final regulation.
    A commenter suggested that some components have no current LMS or 
electronic mechanism for collecting and submitting the requested data. 
Thus, the individual hoped that a reasonable amount of time will be 
allowed to collect and submit these data. OPM is aware there are 
agencies that do not have a LMS system; however, agencies can meet 
these standards and requirements by using an e-Training Initiative 
approved e-Learning solution. OPM has also changed the date when 
agencies must begin reporting training data to December 31, 2006, and 
has added a provision (c) under section 410.701, which allows agencies 
to request an extension based on their plan to meet the reporting 
requirement at a later date.

E.O. 12866, Regulatory Review

    This rule has been reviewed by the Office of Management and Budget 
as a significant regulatory action in accordance with Executive Order 
12866.

Regulatory Flexibility Act

    I certify that 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 Part 410

    Education, Government employees.

Office of Personnel Management.
Linda M. Springer,
Director.

0
Accordingly, OPM is amending part 410 of 5 CFR as follows:

PART 410--TRAINING

0
1. The authority citation for part 410 continues to read as follows:

    Authority: 5 U.S.C. 4101, et seq.; E.O. 11348, 3 CFR, 1967 
Comp., p. 275.

Subpart C--Establishing and Implementing Training Programs


Sec.  410.311  [Removed]

0
2. Remove Sec.  410.311.

Subpart D--Paying for Training Expenses


Sec.  410.406  [Removed]

0
3. Remove Sec.  410.406.

Subpart G--Reporting

0
4. In subpart G, revise the subpart title to read as set forth above:
0
5. Revise Sec.  410.701 to read as follows:


Sec.  410.701  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, 2007.
    (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).

[FR Doc. 06-4589 Filed 5-16-06; 8:45 am]
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