Human Capital: A Guide for Assessing Strategic Training and	 
Development Efforts in the Federal Government (Exposure Draft)	 
(01-JUL-03, GAO-03-893G).					 
                                                                 
This guide introduces a framework, consisting of a set of	 
principles and key questions that federal agencies can use to	 
ensure that their training and development investments are	 
targeted strategically and are not wasted on efforts that are	 
irrelevant, duplicative, or ineffective. Effective training and  
development programs are an integral part of a learning 	 
environment that can enhance the federal government's ability to 
attract and retain employees with the skills and competencies	 
needed to achieve results for the benefit of the American people.
Training and developing new and current staff to fill new roles  
and work in different waqys will be a crucial part of a federal  
government's endeavors to meet its transformation challenges.	 
Ways that employees learn and achieve results will also continue 
to transform how agencies do business and engage employees in	 
further innovation and improvements.				 
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-03-893G					        
    ACCNO:   A07725						        
  TITLE:     Human Capital: A Guide for Assessing Strategic Training  
and Development Efforts in the Federal Government (Exposure	 
Draft)								 
     DATE:   07/01/2003 
  SUBJECT:   Education or training				 
	     Federal employees					 
	     Human resources training				 
	     Personnel management				 
	     Strategic planning 				 
	     Human resources utilization			 

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GAO-03-893G

                                       A

Exposure Draft

July 2003 HUMAN CAPITAL A Guide for Assessing Strategic Training and
Development Efforts in the Federal Government

GAO- 03- 893G

Preface One of the most important management challenges facing federal
agencies is the need to transform their cultures to help change the way
that government does business in the 21st century. Federal agencies must
continue to build their fundamental management capabilities in order to
effectively address the nation*s most pressing priorities and take
advantage of emerging opportunities. To accomplish this undertaking,
agencies will need to invest resources, including time and money, to
ensure that employees have the information, skills, and competencies they
need to work effectively in a rapidly changing and complex environment.
This includes investments in training and developing employees as part of
an agency*s overall effort to achieve cost- effective and timely results.
This guide introduces a framework, consisting of a set of principles and
key

questions that federal agencies can use to ensure that their training and
development investments are targeted strategically and are not wasted on
efforts that are irrelevant, duplicative, or ineffective. Effective
training and development programs are an integral part of a learning
environment that can enhance the federal government*s ability to attract
and retain employees with the skills and competencies needed to achieve
results for the benefit of the American people. Training and developing
new and current staff to fill new roles and work in different ways will
play a crucial part in the federal government*s endeavors to meet its
transformation challenges. Ways that employees learn and achieve results
will also continue to transform how agencies do business and engage
employees in

further innovation and improvements. Purpose and Use of

As part of our ongoing review of agencies* efforts to address their human
This Guide

capital challenges, we saw the need for a framework to serve as a flexible
and useful guide in assessing how agencies plan, design, implement, and
evaluate effective training and development programs that contribute to
improved organizational performance and enhanced employee skills and
competencies. This guide was developed in response to that need. The
framework outlined in this guide summarizes attributes of effective
training and development programs and presents related questions
concerning the components of the training and development process. Over
time, assessments of training and development programs using this

framework can further identify and highlight emerging and best practices,
provide opportunities to enhance coordination and increase efficiency, and
help develop more credible information on the level of investment and

the results achieved across the federal government.

This guide is intended to help managers assess an agency's training and
development efforts and make it easier to determine what, where, and how
improvements may be implemented. Managers and analysts can use the guide
to review an agency's overall training and development efforts as well as
training and development associated with a particular agency program or
activity. The guide focuses primarily on training and development rather
than other important methods of learning within an organization, such as
knowledge management. Consequently, users of this

guide should keep in mind that this tool is a starting point and that it
can and should be modified to fit the unique circumstances and conditions
relevant to each agency. Training and development approaches, and how they
operate in conjunction with other strategies to improve individual and
organizational performance, are continually evolving and changing.

This guide consists of three sections. The first section provides an
overview of the four components of the training and development process:
(1) planning/ front- end analysis, (2) design and development, (3)
implementation, and (4) evaluation. The second section of this guide
includes key questions to consider when assessing each of the four

components of an agency's training and development process, along with
elements to look for related to each key question. These key questions
ask, for example, how the agency identifies the appropriate level of
investment to provide for training and development efforts and prioritizes
funding so that the most important training needs are addressed first
(planning/ frontend analysis). In looking at how agencies assess the
extent to which their training and development efforts contributed to
improved performance

and results, the guide asks about the extent to which the agency
systematically plans for and evaluates the effectiveness of its training
and development efforts (evaluation). The third section of this guide
summarizes our observations on the core characteristics that make a
training and development process effective and strategically focused on

achieving results. These characteristics include, for example, ensuring
stakeholder involvement throughout the process and effectively allocating
resources to maximize training investments. A list of related GAO products
is also included at the end of this guide.

We developed this guide by consulting with government officials and
experts in the private sector, academia, and nonprofit organizations;
examining laws and regulations related to training and development in the
federal government; and exploring the sizeable body of literature on
training and development issues, including previous GAO reports on a range
of human capital topics. Major contributors to this guide were Susan

Ragland, K. Scott Derrick, Gerard Burke, and Thomas Davies, Jr. An
electronic version of this guide is available on GAO*s Web site at www.
gao. gov.

We invite comments on this guide. If you have comments or any questions
about this guide, please contact me or Susan Ragland, Assistant Director,
Strategic Issues, at (202) 512- 6806. We can also be reached at stalcupg@
gao. gov and raglands@ gao. gov.

George Stalcup Director, Strategic Issues

Contents Preface i

Purpose and Use of This Guide i Section 1

1 Overview of the

Components of the Training and Development Process 2 Training and
Development Process

Section 2 10

Key Questions for Component 1: Review of Agency Planning/ Front- end
Analysis 11

Component 2: Training and Design/ Development 29

Development Efforts

Component 3: Implementation 42

Component 4: Evaluation 56 Section 3

74 Summary Observations on the Training and Development Process

Related GAO Products 78 Figures Figure 1: Cornerstones of GAO*s Model of
Strategic Human Capital

Management 1 Figure 2: Four Components of the Training and Development

Process 4 Figure 3: Example Agency*s Training and Development Programs
Assessed Using Each Level of Evaluation 60

Figure 4: Core Characteristics of a Strategic Training and Development
Process 75

Figure 5: Linking Core Characteristics to the Components of the Training
and Development Process 76

Abbreviations

CPE continuing professional education GPRA Government Performance and
Results Act of 1993 IDP individual development plan ROI return on
investment SCORM Sharable Content Object Reference Model

This is a work of the U. S. government and is not subject to copyright
protection in the United States. It may be reproduced and distributed in
its entirety without further permission from GAO. However, because this
work may contain copyrighted images or other material, permission from the
copyright holder may be necessary if you wish to reproduce this material
separately.

Overview of the Training and Development

Sect on i 1

Process Strategic human capital management centers on viewing people as
assets whose value to an organization can be enhanced through investment.
Like many organizations, federal agencies are trying to determine how best
to manage their human capital in the face of significant and ongoing
change. GAO*s model of strategic human capital management 1 identified
four cornerstones of serious change management initiatives. These
cornerstones represent strategic human capital management challenges that,
if not addressed, can undermine agency effectiveness. One of these
challenges is for the federal government to successfully acquire, develop,

and retain talent. (See fig. 1.) Investing in and enhancing the value of
employees through training and development is a crucial part of addressing
this challenge.

Figure 1: Cornerstones of GAO*s Model of Strategic Human Capital
Management

Strategic Acquiring,

Results- Oriented Leadership

Human Capital Developing, and

Organizational Planning

Retaining Talent Cultures

Source: GAO.

Training can be defined as making available to employees planned and
coordinated educational programs of instruction in professional,
technical, or other fields that are or will be related to the employee*s
job responsibilities. Training can be accomplished through a variety of

approaches, such as classroom training, e- learning, and professional
conferences that are educational or instructional in nature. Development
is generally considered to include training, structured on- the- job
learning experiences, and education. Developmental programs can include
experiences such as coaching, mentoring, or rotational assignments. The 1
U. S. General Accounting Office, A Model of Strategic Human Capital
Management, GAO02-

373SP (Washington, D. C.: Mar. 15, 2002).

essential aim of training and development programs 2 is to assist the
agency in achieving its mission and goals by improving individual and,
ultimately, organizational performance. 3 Recent indicators of federal
agencies* progress in managing their human

capital continue to show that there is significant room for improvement,
for example, in agencies* efforts to train and develop workforces with the
appropriate skills and competencies to achieve agency goals. Our recent
work has highlighted human capital shortfalls, such as insufficient
training for employees who lacked needed skills and competencies,
duplicative and uncoordinated training efforts within and across agencies,
and incomplete information on the extent to which employees had received
required training. 4 Additionally, results of the 2002 Federal Human
Capital Survey conducted by the Office of Personnel Management showed that
only about

half of federal employees were satisfied with the training that they
receive for their current jobs. As our previous work and these survey
results demonstrate, federal agencies face continuing challenges to
enhance and

improve their training and development efforts. Thoroughly assessing their
training and development activities represents a comprehensive first step
that federal agencies can take toward identifying opportunities to
redirect and intensify their efforts to promote employee learning within

their organizations. Components of the Taken as a whole, the training and
development process can loosely be Training and

segmented into four broad, interrelated components: (1) planning/ frontend
analysis, (2) design/ development, (3) implementation, and Development
Process

(4) evaluation. Figure 2 depicts an overview of this process along with
the 2 In this guide, we use *program* to refer to a system of procedures
or activities with the purpose of enhancing employees* skills and
competencies; we use *efforts* to refer to the consolidated training and
development programs of an agency or office.

3 Training and development in the federal government is governed,
generally, by the Government Employees Training Act, as amended, 5 U. S.
C. 4101- 4120. Regulations are contained in 5 C. F. R. Part 410.

4 See, for example, the following: U. S. General Accounting Office, Export
Promotion: Government Agencies Should Combine Small Business Export
Training Programs,

GAO- 01- 1023 (Washington, D. C.: Sept. 21, 2001); Veterans* Benefits:
Training for Claims Processors Needs Evaluation, GAO- 01- 601 (Washington,
D. C.: May 31, 2001); and

Acquisition Reform: GSA and VA Efforts to Improve Training of Their
Acquisition Workforces, GAO/ GGD- 00- 66 (Washington, D. C.: Feb. 18,
2000).

general relationships between the four components that help to produce a
strategic approach to federal agencies* training and development efforts.
Although we discuss these components separately, it is important to
recognize that these components are not mutually exclusive and

encompass subcomponents that may blend with one another. Evaluation, for
example, should occur throughout the process. For instance, evaluation is
an integral part of the planning/ front- end analysis as agencies strive
to reach agreement up front on how the success of various strategies

to improve performance, including training and development efforts, will
be assessed. In addition, agencies can build on lessons learned and
performance data and feedback from previous experiences.

Figure 2: Four Components of the Training and Development Process
Planning/ Front- end Analysis

 Develop a strategic approach that establishes priorities and leverages
investments in training and development to achieve agency results.

Design/ Development

Evaluation

 Identify specific training  Demonstrate how training and development
initiatives and development efforts that, in conjunction with contribute
to improved other strategies, improve performance and results.

individual and agency performance.

Implementation

 Ensure effective and efficient delivery of training and development
opportunities in an environment that supports learning and change. Source:
GAO.

Planning/ Front- end It is essential that agencies ensure training and
development efforts are

Analysis undertaken as an integral part of, and are driven by, their
strategic and

performance planning processes. Front- end analysis can help ensure that
training and development efforts are not initiated in an ad hoc,
uncoordinated manner, but rather are strategically focused on improving

performance toward the agency*s goals and are put forward with the
agency*s organizational culture firmly in mind. To make certain that their
strategic and annual performance planning processes adequately reflect
current ideas, policies, and practices in the field, agencies should
consider the viewpoints of human capital professionals, agency managers,
employees, employee unions, and other critical stakeholders in partnership
with agency leadership in addressing training and development efforts.
Part of this process must include determining what skills and competencies
are needed in order to meet current, emerging, and future transformation
challenges and assessing any gaps in current skills and competencies. It
is important to note that not all such gaps will

be addressed through training and development strategies, or through
training and development strategies alone. Rather, strategies involving
training and development are but one of the means available to agency
leaders to help transform their cultures and operations. At times, for

example, training may complement job or process redesign, but in other
instances, agencies may identify hiring or other sourcing decisions as the
solution.

In addition, agencies should integrate the need for continuous life- long
learning and incorporate employees* development goals into their planning
processes. Planning allows agencies to establish priorities and determine

how training and development investments, along with other human capital
strategies, can best be leveraged to improve performance. In addition to
planning how training and development strategies are expected to
contribute to results, agencies should set forth how the training and
development program*s contributions to achieving results will be measured.
Each agency needs to ensure that it has the flexibility and

capability to quickly incorporate strategic and tactical changes into
training and development efforts when needed. As the pace of change
continues to accelerate, agencies face changes in their missions and
goals, as well as changes in how they do business, with whom they work,
and the roles that they play in achieving results. Planning and preparing
an integrated approach, including training and development efforts, is key
to positioning federal agencies to be able to address current problems and

meet emerging demands.

Design/ Development Well- designed training and development programs are
linked to agency goals and to the organizational, occupational, and
individual skills and

competencies needed for the agency to perform effectively. Once these
skills and competencies are identified, agencies need to determine how a
skill or competency gap can best be addressed, whether through a specific

training or development program or other interventions. If a training or
development strategy is selected, agencies need to consider how the
training and development program would work in conjunction with other
initiatives to enhance performance, such as changing work processes or

providing just- in- time support tools. Regardless of whether agencies use
centralized or decentralized approaches (or a combination of both) in
managing their training and development programs, agencies need to develop
mechanisms that effectively limit unnecessary overlap and

duplication of effort and ensure delivery of integrated and consistent
messages. As part of an agency*s sourcing decisions, it can also help to
have clear criteria for determining when to contract for training and
development services. In response to emerging demands and the increasing
availability of new technologies, agencies are faced with the challenge of
choosing the optimal mix for the specific purpose and situation from a
wide range of mechanisms, including classroom and distance learning as
well as structured on- the- job experiences, to design training that is as
effective and efficient as possible. It is important for agencies to
ensure that their training and development efforts are cost effective
given the anticipated

benefits and to incorporate measures that can be used to demonstrate
contributions that training and development programs make to improve
results. By incorporating valid measures of effectiveness into the
training and development programs they offer, agencies can better ensure
that they adequately address training objectives and thereby increase the
likelihood

that desired changes will occur in the target population*s skills,
knowledge, abilities, attitudes, or behaviors. Implementation Effectively
implementing training and development programs provides agencies with the
opportunity to empower employees and improve

performance. Throughout this process, it is important that top leaders in
the agency communicate across the organization that investments in
training and development are expected to produce clearly identified
results. Similarly, leaders must also be open to feedback from employees.
Along with these key executives, the agency*s training and performance

organization should be held accountable for the maximum performance of the
workforce. Likewise, agency managers and employees also have important
roles* their input and actions have a critical effect on the

success of training and development activities. Managers are responsible
not only for reinforcing new competencies, skills, and behaviors but also
for removing barriers to help employees implement learned behaviors on the
job. Furthermore, if managers understand and support the objectives

of training and development efforts, they can provide opportunities for
employees to successfully use new skills and competencies and can model
the behavior they expect to see in their employees. Employees also need to
understand the goals of agencies* training and development efforts and

accept responsibility for developing their competencies and careers, as
well as for improving their organizations* performance. In carrying out
their training and development efforts, agencies must select employees on
a fair and nondiscriminatory basis or provide the opportunity for
employees to self- select to participate in training and development
programs. Moreover, agencies should avail themselves of the various
options in paying for their employees* training and development, and
attempt to maximize the use of the training and development flexibilities
available to them. Furthermore, encouraging employee buy- in and creating
an environment conducive to training and development can go a long way
toward contributing to effective learning across the agency.

Agency managers should take active roles in setting expectations for
learning when they approve employees* requests for training and by
reinforcing behaviors when employees attempt to apply lessons learned in
the workplace. As with other programs or services that agencies deliver,
it is important for agencies to collect performance data during
implementation so as to assess the progress that training and development

programs are making toward achieving results and to make changes if
needed. Evaluation It is increasingly important for agencies to be able to
evaluate their training and development programs and demonstrate how these
efforts

help develop employees and improve the agencies* performance. In the past,
agencies have primarily focused on activities or processes (such as number
of training participants, courses, and hours) and did not collect
information on how training and development efforts contributed to
improved performance, reduced costs, or a greater capacity to meet new

and emerging transformation challenges. Because the evaluation of training
and development programs can aid decision makers in managing

scarce resources, agencies need to develop evaluation processes that
systematically track the cost and delivery of training and development
efforts and assess the benefits of these efforts. Providing training is
one of many actions an agency can take to improve results, so credible
performance data are necessary for considering potential trade- offs and
informed decision making. The investment in developing and using measures
of efficiency and effectiveness far outweighs the risk of inadequate
training. As part of a balanced approach, assessing training and
development efforts should consider feedback from customers and

employees, as well as organizational results. Agencies can also inform
these decisions by comparing their training investments and/ or outcomes
with those of other agencies or private sector organizations, where
appropriate. Evaluation of an organization*s training and development
efforts can be complex due to the many factors that affect performance.
Agencies* experiences in developing performance measures for other
programs, however, are applicable here as well. For example, agencies may
identify incremental or intermediate measures to demonstrate that a
training or

development program is contributing to a goal. It is important to note
that the federal government is moving more toward connecting resources
with results, and this is no less the case for training and development
efforts than for other agency programs. The conduct of evaluations of
training and development programs is often discussed in terms of levels.
One commonly accepted model consists of five levels of assessment that
measure (1) participant reaction to the training program, (2) changes in
employee skills, knowledge, or abilities, (3) changes in on- the- job
behaviors, (4) the impact of the training on program or organizational
results, and (5) a return on investment (ROI) that compares training costs
to derived benefits. Some of these methods, such as participant feedback,
can help provide better value through continuous improvement. Further,
given the large variety of ways to provide training, such as classroom,
elearning,

and on- the- job training, agencies need evaluative data to make reasoned
decisions about the optimal mix of mechanisms to employ given the
specifics of the situation and the objective. The bottom line is that
agencies need credible information on how training and development
programs affect organizational performance. Decision makers will likely
want to compare the performance of these programs with that of other
programs, and programs lacking outcome metrics will be unable to
demonstrate how they contribute to results.

In determining the mix of approaches selected for evaluations, agencies
need to bear in mind the importance of identifying reliable indicators of
progress that are aligned with agency outcomes. Training effectiveness

must be measured against organizational performance. However, not all
training and development programs require, or are suitable for, an ROI
analysis. Determining whether training and development programs merit the
cost of using such a rigorous approach depends on the programs*
significance and cost. Indeed, such evaluations can be challenging to
conduct and, because of the difficulty and costs associated with data
collection and the complexity in directly linking training and development

programs to improved individual and organizational performance, ROI
analyses should be done selectively.

Key Questions for Review of Agency Training

Sect on i 2

and Development Efforts Planning/ Front- end Design/ Development
Implementation Evaluation Analysis This section contains a discussion of
key questions to consider when assessing each of the four components of an
agency*s training and

development process: (1) planning/ front- end analysis, (2) design/
development, (3) implementation, and (4) evaluation. Included under each
key question is a narrative description along with elements to *look for*
that relate to the key question. These *look for* elements should serve as

guides for assessment and do not comprise a complete or mandatory *set* of
elements needed in response to each question; their relevance will vary
depending on each agency*s specific circumstances.

Component 1: Planning/ front- end analysis involves developing a strategic
approach that Planning/ Front- end

establishes priorities and leverages investments in training and
development to achieve agency results. Some key questions related to
Analysis planning/ front- end analysis include the following.

a) Does the agency have training goals that are consistent with its
overall mission, goals, and culture?

b) To what extent do the agency*s strategic and annual performance
planning processes incorporate human capital professionals in partnership
with agency leadership and other stakeholders in addressing agency
priorities, including training and development efforts? c) How does the
agency determine the skills and competencies its

workforce needs to achieve current, emerging, and future agency missions
and identify gaps, including those that training and development
strategies can help address? d) How does the agency identify the
appropriate level of investment to provide for training and development
efforts and prioritize funding so that

the most important training needs are addressed first? e) What measures
does the agency use in assessing the contributions that training and
development efforts make toward individual mastery of

learning and achieving agency goals? f) How does the agency incorporate
employees* developmental goals in its planning processes?

g) How does the agency integrate the need for continuous and life- long
learning into its planning processes? h) Does the agency consider
governmentwide reforms and other targeted initiatives to improve
management and performance when planning its training and development
programs? i) Does the agency have a formal process to ensure that
strategic and

tactical changes are promptly incorporated in training and development
efforts as well as other human capital strategies as needed?

1( a): Does the agency have training goals that are consistent with its
overall mission, goals, and culture?

An agency*s mission statement explains why the agency exists and what it
does. An agency*s goals represent the key outcomes that the agency expects
to achieve in carrying out that mission. An agency*s organizational
culture represents the underlying assumptions, beliefs, values, attitudes,
and expectations shared by the organization*s members.

Agencies need to align their activities, core processes, and resources to
support outcomes related to these missions, goals, and cultures. In
carrying out an agency*s mission, senior managers should ensure that
training goals and strategies are incorporated into organizational
decision making and aligned with organizational goals and culture.
Appropriate accountability mechanisms, such as an active training

oversight committee and effective performance management systems, can help
to ensure that a sufficient level of attention is paid to planning for
training and development needs and that such efforts are consistent with
agency mission, goals, and culture. Line managers and supervisors can
ensure consistency of training goals with the agency*s overall mission and

goals by developing their employees with this alignment duly in mind,
including approvals of employees* specific training requests. Human
capital professionals need to focus on developing, implementing, and
continually assessing human capital policies and practices, including
those related to training and development, that will help the agency
achieve its mission and accomplish its goals. With this level of
attention, each agency can better create a coherent and comprehensive
framework of human capital policies, programs, and practices specifically
designed to steer the

agency toward achieving results.

Look for:  The existence of a training oversight committee or learning
board composed of senior and line managers who ensure that training
investments align with the agency*s strategic goals and organizational
culture.  Evidence that the agency provides training and development for
its

employees that is aligned with the agency*s mission, goals, and culture. 
Analyses of the agency*s legislative authorities and policies that may
relate to or require training and development.

 An explicit link between the agency*s training offerings and curricula
and the skills and competencies identified by the agency for mission
accomplishment.

 Training and development efforts that target specific performance
improvements, such as improved customer service or enhanced public safety.

1( b): To what extent do the agency*s strategic and annual performance
planning processes incorporate human capital professionals in partnership
with agency leadership and other stakeholders in addressing agency
priorities, including training and development efforts?

Under the Government Performance and Results Act of 1993 (GPRA), federal
agencies are required to prepare strategic plans (updated at least every 3
years) and performance plans (annually) to provide direction for achieving
the agency*s overall mission. Stakeholder involvement in these planning
processes is especially important for federal agencies because

they operate in a complex political and legal environment. The involvement
of human capital professionals is particularly important to helping the
agency in communicating workforce- related goals, priorities, and
decisions to managers and staff throughout the agency. To help ensure that
agencies integrate their human capital approaches with their strategies
for accomplishing organizational missions, the role of human capital staff
in the agency should expand beyond providing traditional personnel
administration services. Rather than isolating them to provide after- the-
fact support, human capital leaders should be included as full members in
key agency strategic planning and decision making. 1 This

partnership will be particularly important in meeting the newly amended
GPRA requirement that human capital approaches be included in agencies*
strategic plans as well as their performance plans and reports.

The head of an agency*s training and development organization,
increasingly referred to as the chief learning officer, has an important
role in maximizing the agency*s investments in workforce development

programs. A training and development organization*s responsibilities
should include developing training based on strategic initiatives,
soliciting input from stakeholders, and prioritizing and scheduling
training based on strategic initiatives and stakeholder input. Through
early cooperation, the training organization and other stakeholders can
work together more effectively because they will better understand how
each office or function within the agency contributes to achieving
business goals. Concerted and ongoing attention from agency leaders, human
capital professionals, and

other key stakeholders can directly contribute to the training and 1 U. S.
General Accounting Office, Human Capital: Selected Agency Actions to
Integrate Human Capital Approaches to Attain Mission Results, GAO- 03- 446
(Washington, D. C.: Apr. 11, 2003).

development of employees who are capable and motivated to accomplish the
organization*s missions and goals.

Look for:  Involvement of human capital leaders, as full members of the
top management team, in key agency decision making.  Participation of
human capital and training professionals, as consultants to the management
team, in the identification of strategies and measures to be used in
assessing progress.

 Involvement of the chief learning officer and other human capital
professionals in the development and review of strategic and annual
performance planning documents.

1( c): How does the agency determine the skills and competencies its
workforce needs to achieve current, emerging, and future agency missions
and identify gaps, including those that training and development
strategies can help address?

Organizations can evaluate the extent to which human capital approaches
support the accomplishment of current, emerging, and future strategic
goals through the use of workforce planning. At its core, workforce
planning focuses on determining the skills and competencies needed in the
future workforce to meet the agency*s goals; identifying gaps in the

agency*s current and future skills and competencies; and crafting
strategies for acquiring, developing, and retaining people to address
these needs. These workforce planning efforts, linked to an agency*s
strategic goals and objectives, can enable an agency to remain aware of
and be prepared for its current, emerging, and future needs as an
organization. These needs include the size of the workforce; its
deployment across the organization; and the knowledge, skills, and
abilities needed for the agency

to pursue its current and future mission. To ensure a strategic workforce
planning approach, it is important that agencies consider how hiring,
training, staff development, performance management, and other human
capital strategies can be aligned to eliminate gaps and improve the
longterm contribution of critical skills and competencies that have been
identified as important for mission success. In some cases, agencies may
identify credentials that employees need to perform certain duties, and

require that employees meet certification requirements to ensure they
possess needed knowledge and skills. Workforce planning should entail the
collection of valid and reliable data on such indicators as distribution
of employees* skills and competencies, attrition rates, or projected
retirement rates and retirement eligibility by occupation and
organizational unit. Agencies can use an organizationwide knowledge and
skills inventory 2 and industry benchmarks 3 to help identify current
performance problems in their workforces and to plan for future 2 A
knowledge and skills inventory is a consolidated list of relevant
knowledge, skills,

abilities, behaviors, and other competencies that an organization*s
workforce is thought to possess. 3 Benchmarking is a management tool used
to study another organization*s business practices in order to improve the
performance of one*s own organization. This structured technique generally
includes identifying a work activity that needs improvement, identifying
another organization that excels in the selected activity, identifying
opportunities to improve your own practices, and then implementing these
improvements.

training and development efforts that may be needed not only to address
performance and skill gaps but to optimize overall performance as well.
For example, the movement toward a knowledge- based economy, technological
advances, and demographic shifts as the age and diversity of

the workforce changes illustrate the importance of investments in training
and development for continued growth. Such determinations should include
an effort to identify skills and competencies not traditionally associated
with specific positions. Failure to make such determinations could hinder
individual and organizational performance as the federal government
transforms and increasingly uses strategies that can integrate
capabilities and provide flexibility to meet new challenges and improve

services.

Look for:  A discussion of workforce planning in the agency*s strategic
or annual performance plans and reports, or separate workforce planning
documents linked to the agency*s strategic and program planning.  Data
from agency human resource information systems on such indicators as
distribution of employees by pay level, attrition and retirement rates,
and ratios of managers to employees.

 A knowledge and skills inventory identifying current skills and
competencies of the agency*s employees.  Information on how the agency
has identified the roles and core competencies needed to support its goals
and service delivery strategies

now and in the future.  Industry benchmarks in such areas as skills,
education levels, and

geographic and demographic trends.  Criteria and rationales that the
agency uses to determine when to target training and development
strategies to fill skill gaps and enhance

capacity.

1( d): How does the agency identify the appropriate level of investment to
provide for training and development efforts and prioritize funding so
that the most important training needs are addressed first?

Adequate planning allows agencies to establish priorities and determine
the best ways to leverage investments to improve performance. An agency
can aid in this process by developing an annual training plan that targets
developmental areas of greatest need and that outlines the most
costeffective training approaches to address those needs. When assessing
investment opportunities for its training plan, the agency ought to
consider the competing demands confronting the agency, the limited
resources available, and how those demands can best be met with available
resources. If training is identified as a solution to improve performance,

agencies will need to compare various training strategies by weighing
their estimated costs and anticipated benefits. This deliberation could
include a ranking process using weighted criteria to compare and rank
possible training programs. Such criteria could include, for example,
expected demand for the investment from internal sources, availability of
resources

to support the effort, potential for increased revenue, and risk of
unfavorable consequences if investments are not made. With this
information, an agency then needs to build a business case to support the
selected training strategy. Developing a business case for training and

development solutions sets forth the expected costs and benefits of the
performance improvement investment and provides decision makers with
essential information they need to allocate necessary resources. As with
any investment, the agency*s goal is to maximize value while managing
risk.

In addition, agencies should consider succession planning when
prioritizing their training efforts. This succession planning includes a
review of current and emerging leadership needs in light of strategic and
performance planning and identifies sources of executive talent, including
those within the agency. Current retirement eligibility trends in the
federal government suggest a loss in institutional knowledge, expertise,
and leadership continuity, and underscore the need for rigorous succession
planning and related leadership development efforts. Agencies also face
challenges in the amount of diversity of their executive and managerial

ranks, demonstrating the importance of including strategies to address the
priorities identified during succession planning as part of agencies*
training plans.

Look for:  Evidence that the agency treats expenditures for training and
development not as costs to be minimized but rather as investments that
should be managed to maximize value while minimizing risk.  Goals and
expectations for training and development investments that are transparent
and clearly defined and whose rationale is consistent

across the range of human capital programs at the agency.  A training
plan or other document that presents a business case for

proposed training and development investments, including the identified
problem or opportunity, the concept for an improved situation or
condition, linkages with the agency*s strategic objectives, anticipated
benefits and projected costs, and ways to mitigate associated risks.

 Evidence that managers provide resources (funds, people, equipment, and
time) to support training and development priorities.

 Use of established measures that provide meaningful data on training and
development policies and practices and show how specific efforts have
promoted mission accomplishment.

 Indications that the agency has identified best practices or benchmarked
elements of its training and development programs against high-
performance organizations with similar missions.  Linkages between
succession planning efforts and the agency training

plan, such as for leadership development programs that are targeted to
help address specific challenges related to diversity, leadership
capacity, and retention.

1( e): What measures does the agency use in assessing the contributions
that training and development efforts make toward individual mastery of
learning and achieving agency goals?

In planning the training and development strategies to be implemented,
agencies need to establish ways for measuring the contributions that
employees* training and development make to achieve results. This process
should involve obtaining up- front agreement with key stakeholders

on what success is and how it will be measured. In planning future
projects and programs, agencies can often learn much from an assessment of
performance data and feedback from previous years* experiences. For
example, the percentage of an agency*s operating budget spent on training,

along with other performance information, and comparable industry
benchmarks can provide constructive insight into the status of the
agency*s learning environment. With this type of information, agencies are
in a solid position to build on lessons learned and to gain greater
insight into the contributions of training and development efforts.

Look for:  Evidence that the agency considered available performance data
and contemplated options for improving future data collection and analysis
efforts.

 Assessments of the agency*s human resource information system and its
capacity to provide relevant and reliable data for fact- based decision
making.

 Targets and goals in strategic and performance plans that establish how
training and development strategies are expected to contribute to improved
organizational and programmatic results.

 Targets and goals in strategic human capital plans to enhance employees*
skills and competencies, with measures of resulting changes in these
skills and competencies.

 Measures of job satisfaction, productivity measures, and other specific
metrics in place.

1( f): How does the agency incorporate employees* developmental goals in
its planning processes?

Agencies can use a variety of methods that allow employees to identify
their developmental needs and help agencies to incorporate employees*
developmental goals in agencies* planning processes. In workforce planning
efforts, agencies can survey or interview employees to determine their
views and perceptions on training and development in general and

more specifically on competencies and skills needed for the future.
Employee views can be consolidated with other workforce planning
information to identify developmental goals and skill gaps and to assess
possible training needs.

Agencies can also identify employee developmental goals through the use of
individual development plans (IDP). 4 IDPs can serve as a useful planning
tool by providing input to decision makers as they set training priorities
and identify future skill and competency needs for the agency.

Compiling employees* IDPs using automation can identify these
developmental needs for agency managers and can assist the agency*s
training and development unit in planning and scheduling future courses

and developmental programs. IDPs can also serve as a budgetary tool by
providing the agency with the opportunity to assess the level of financial
resources that might be needed to fulfill employees* development goals. To
further assist in planning for financial resources, agencies could also
establish individual learning accounts 5 to allocate specific dollar
amounts for each employee*s training needs. The use of individual learning

accounts not only can help agencies in planning needed financial resources
for training and development but also will provide employees with an
opportunity to assume a greater responsibility for their professional

development. 4 An IDP is a written plan, cooperatively prepared by the
employee and his or her supervisor, that outlines the steps the employee
will take to develop knowledge, skills, and abilities in building on
strengths and addressing weaknesses as he or she seeks to improve job
performance and pursue career goals. These individual developmental plans
are also

known as personal development plans, personal training plans, and
individual training plans.

5 An individual learning account is a defined amount of resources, such as
money or time, that an agency sets aside for an individual employee to use
for his or her learning and development throughout the year.

Look for:  Surveys of and interviews with agency employees for their
views on the agency*s support for their developmental needs and particular
training and development programs that might be needed.  Indications that
agency leaders systematically consider and act, when

appropriate, on employees* suggestions for improving learning products,
for developing training programs, and for providing needed resources and
useful tools.  Use of IDPs to identify specific developmental needs and
areas for further enrichment for each employee.

 Use of individual learning accounts or other similar approaches to aid
the agency*s planning and budgeting efforts and to enhance accountability
for employees* involvement in their professional development.

1( g): How does the agency integrate the need for continuous and lifelong
learning into its planning processes?

It is important that agencies treat continuous learning as an investment
in success rather than as a cost to be minimized. Agencies may have
various reasons for investing in continuous learning for their employees,
such as developing the new skills needed for managing change and fostering
the skills and modes of behavior needed in flatter, more participatory,
customer- focused, results- oriented work environments. In planning
training and development efforts, agencies can address employees* career
development issues as well as skill- specific training needs. IDPs can
serve

a useful role in addressing employees* needs for continuous and life- long
learning by allowing employees to set short- and long- term developmental
goals for themselves. As part of this process, employees should be
provided candid and constructive job performance counseling to aid them in
enhancing needed competencies.

Whenever possible, the culture of the organization should encourage
employees to assume responsibility for their own learning and take an
active role in their professional development. In addition, agencies can

require employees to complete a specific level of continuing professional
education (CPE). Agencies can also highlight the availability of training
and development opportunities as an incentive to help recruit and retain
employees. Agency leaders must recognize that their organizational
cultures can be resistant to change and that they may need to provide

incentives for organizational and cultural change and to promote
innovation and prudent risk taking.

Look for:  A statement in the agency*s strategic plan or other documents
that expresses the organizational value placed on continuous learning and
improvement.

 Opportunities for employees and employee organizations to contribute
their views on the agency*s shared vision and strategies for achieving it,
including innovative ideas and process improvements, using ongoing efforts
such as input to strategic planning efforts or employee suggestion
programs, and fixed routines such as employee exit surveys.

 Feedback from employee surveys, articles in organizational newsletters,
Web site links, or other mechanisms that provide information on

employees* perceptions of the organization*s learning environment and
resulting actions taken.

 Evidence that employee initiatives to build institutional knowledge are
valued and encouraged, such as the level of employee participation in
professional organizations or the incidence of speaker programs organized
by employees to raise their knowledge of key issues.

 Efforts to identify and benchmark with best practices in continuous
learning and knowledge management among organizations with comparable
missions and service requirements.  Use of IDPs for both short- and long-
term developmental needs of

employees.  Information available to employees about career ladders and
how

training and development opportunities could help them attain career
goals.

1( h): Does the agency consider governmentwide reforms and other targeted
initiatives to improve management and performance when planning its
training and development programs?

When planning training and development efforts, agencies should look to
the actions of the administration, Congress, and internal and external
auditors by considering administration priorities, legislative reforms,
and major management challenges that might shape agency priorities and
strategies for training and development. It is not unreasonable to expect
that each new administration may propose different approaches designed to
ensure that agencies achieve management and performance improvements and
accomplish agency missions and goals. As an

administration focuses its efforts on addressing its priorities, agencies
can benefit by having mechanisms or processes for considering whether and
to what extent these initiatives could be linked to employees* skills and

competencies and the related training and development approaches that
might be needed. In similar fashion, agencies could benefit from
conducting fairly regular and systematic assessments of recent and

potential legislative reforms that may affect them. Legislative changes
that mandate additional requirements or provide additional flexibility,
for example, may affect agency operations and processes in a way that
could necessitate new or revised training and development for employees.
During planning efforts, agencies should also take into account the major
management challenges identified by GAO and applicable inspectors general.
These major management challenges* high- profile programs, mission areas,
or management functions requiring concerted attention*

potentially could be caused in part by lack of needed skills and
competencies to carry out the agency*s goals. Moreover, these challenges
could possibly be addressed in some measure through the implementation of
training and development strategies that are linked to performance
improvements.

Look for:  Evidence that the agency is using the administration*s metrics
(e. g., scorecards) as a method of assessing organizational performance. 
Indications that the agency is systematically assessing the implications

of legislative changes on the agency*s operations and programs, including
its training and development efforts.

 Agency leaders* statements, strategic and performance planning
documents, and training programs that are targeted toward addressing
management challenges.  Agency tracking and assessment of its efforts to
address the major management challenges identified by GAO and the
inspectors general.

1( i): Does the agency have a formal process to ensure that strategic and
tactical changes are promptly incorporated in training and development
efforts as well as other human capital strategies as needed?

Strategic and tactical changes will quite often influence policies,
programs, and practices that have been designed to guide the agency toward
achieving its mission. In responding to these changes, senior managers

need to continually observe and assess how such changes may affect the
agency*s human capital strategies and related training needs. A constant
watch will help ensure that the agency has a current and valid framework
of human capital policies, programs, and practices specifically designed
to steer the agency toward achieving its mission. Also, including
important

agency stakeholders in the process can contribute to an open and
continuous exchange of ideas and information. Changes such as new
initiatives, technological innovations, workforce attrition, or
reorganizations and restructuring will likely require agencies to realign
and update the mix of competencies and skills considered necessary,
resulting in the need for new or revised training and development

programs. Having a formal process for incorporating these strategic and
tactical changes will help to ensure that new and revised training and
development efforts are quickly brought on line. Capability to adapt to
ongoing change should greatly aid agencies in providing training to
employees when they need it most.

Look for:  Periodic reassessments as part of a continual effort to
evaluate and improve the agency*s human capital systems, including
training and development efforts.

 Indications that the agency has communicated and reinforced the
relevance of its shared vision among all employees and created, as
appropriate, effective strategies for managing change.

 Evidence of timely changes reflected in training and development efforts
in response to specific strategies or tactical opportunities and
imperatives.

 A variety of training techniques to help employees adjust to
organizational and operational changes.

 Plans that describe or outline the way in which the agency intends to
incorporate strategic and tactical changes into its training and
development efforts, such as contingency plans to address rapid upsurges
or declines in demand for training.

Component 2: Design and development involves identifying specific training
and Design/ Development

development initiatives that the agency will use, along with other
strategies, to improve individual and agency performance. Some key
questions related to design/ development include the following.

a) What steps does the agency take to ensure that training is connected to
improving individual and agency performance in achieving specific results?
b) How is the design of the training or development program integrated
with other strategies to improve performance and meet emerging demands,
such as changing work processes, measuring performance, and

providing performance incentives? c) Does the agency use the most
appropriate mix of centralized and

decentralized approaches for its training and development programs? d)
What criteria does the agency use in determining whether to design

training and development programs in- house or obtain these services from
a contractor or other external source? e) How does the agency compare the
merits of different delivery

mechanisms (such as classroom or computer- based training) and determine
what mix of mechanisms to use to ensure efficient and costeffective
delivery? f) Does the agency determine a targeted level of improved
performance in order to ensure that the cost of a training or development
program is

appropriate to achieve the anticipated benefit? g) How well does the
agency incorporate measures of effectiveness into courses it designs?

2( a): What steps does the agency take to ensure that training is
connected to improving individual and agency performance in achieving
specific results?

To help ensure that each training program is connected to improving
individual and agency performance, it is especially crucial that agencies
analyze their strategic and performance goals to determine where training
and development could enhance goal achievement. After identifying the
goals that could be enhanced with training solutions, the agency should
identify agencywide competencies needed to support these goals. In
addition to considering competencies at this *macro* level, the agency

should assess skills and competencies for key occupational groups within
the agency as well as performance needs and skills and competencies for
individual employees. To aid in this endeavor, the agency*s training
organization can compile employees* IDPs by using a learning management
system 6 to identify, prioritize, and schedule training agencywide. A
process that enables stakeholders to provide their input, feedback, and
ideas into the design of training programs and that incorporates diverse
perspectives helps ensure applicability, encourages ownership, and
enhances enthusiasm about the programs. Stakeholders should include senior
and line managers as well as subject matter, human capital, and technical
experts.

Look for:  A formal training and professional development strategy, or a
discussion of training and development in other strategic or human capital
planning documents.

 Statements and actions by agency leaders that demonstrate their support
and belief in the value of continuous learning.

 Specific steps the agency takes to ensure that employees selected for
various positions have the requisite knowledge, skills, and abilities. 
Organizational, occupational, and individual needs assessments, along with
causes and reasons for existing gaps as well as possible solutions to
those gaps. 6 A learning management system is a software application that
helps register, track, and administer courses to a given student
population.

 Tracking and other control mechanisms to ensure that all employees
receive appropriate training.

2( b): How is the design of the training or development program integrated
with other strategies to improve performance and meet emerging demands,
such as changing work processes, measuring performance, and providing
performance incentives?

When designing training and development programs, agencies need to
consider integrating them with other strategies to improve performance and
meet emerging demands. Agency managers should keep in mind that a wide
variety of interventions can be used to enhance performance and that
training alone may not be sufficient and may not always be part of an
appropriate solution. In some cases, for example, barriers to performance
could relate to insufficient performance incentives or obsolete technology

rather than a lack of knowledge or skills. Solutions such as clear and
timely feedback on employee performance or a reward system that is
properly aligned with employee performance may be key in providing
adequate employee feedback or enhanced rewards for improved performance.
Other solutions could involve new tools and resources, enhanced
technology, or job redesign. It should be noted that although training
alone may not be appropriate to correct problems, additional

training may be needed to augment changes involving an agency*s
performance management systems, technologies, or working environment. New
ways of accomplishing agency objectives may well require new or revised
training initiatives to familiarize employees with these new processes.
Look for:  Identification of needed performance improvements and
consideration

of a mix of solutions needed to achieve the improvements.  Design and use
of training and development initiatives intended to complement targeted
performance improvement efforts.

 Integrated packages of performance solutions that include training and
development initiatives.

 The involvement of line managers, technical experts, human capital
professionals, and others needed to develop an integrated way to address
specific performance gaps or necessary enhancements.

 Training on building team relationships and new ways of working.

 Cross- training initiatives that broaden employees* perspectives and
integrate knowledge about agency operations to improve results.

2( c): Does the agency use the most appropriate mix of centralized and
decentralized approaches for its training and development programs? While
recognizing that neither approach fits every situation, agencies need

to consciously think about the advantages and disadvantages of using
centralized and decentralized approaches, particularly for the design of
training and development programs. Centralizing design can enhance
consistency of training content and offer potential cost savings.
Departments and agencies with centralized approaches may, for example,
have established internal *universities* to provide course content to as

wide an audience as possible within the departments or agencies. Some
agencies have also considered moving toward using learning content
management systems 7 as a method of facilitating and centralizing the
development of training content using information technology. Likewise,
centralization advantages can also continue into delivery and
implementation of the programs. Centralization can help agencies realize
cost savings through standardization of record keeping and simplified and
more accurate reporting on courses, certifications, educational
attainment, costs, or standards. A central learning management system, for
example, can provide a more efficient means of ensuring quality,
administrative efficiency, economy, or adequacy to meet requirements. A
decentralized approach to training design can enable agencies to tailor

training programs to better meet local and organizational unit needs.
Agencies with decentralized approaches often embed training
representatives within their business lines and field structures to assist
in coordination of training efforts, including design and development. In
addition to enhancing local control over training content, decentralized
approaches may enable field offices and organizational units to exert more
control over resources and associated costs of training. Overall, some
agencies have found success in implementing a combination of both
centralized and decentralized approaches by centrally managing reporting

and record keeping while allowing some localized management of training
content. Whether they use a centralized or decentralized approach (or a
combination of both) to design training and development efforts, agencies
must limit unnecessary overlap and duplication of effort and ensure
delivery of an integrated message when appropriate. 7 A learning content
management system is a software application that helps create, store,

and manage e- learning content.

Look for:  Mechanisms to help ensure that economies of scale are achieved
by centralizing the design and delivery/ purchase of training that has
widespread applicability throughout the agency.  Mechanisms to help
ensure that decision- making responsibility is

appropriately decentralized for highly customized training needs. 
Unnecessary overlap and duplication of effort in course design and

development.  Inconsistent training content delivered at different field
locations.  Gaps in training provided at certain field locations or
within specific

offices.  Uncoordinated purchases of training services that result in
higher than

necessary overall training costs.  Different levels or amounts of
training provided to groups of employees with similar needs at different
locations.

2( d): What criteria does the agency use in determining whether to design
training and development programs in- house or obtain these services from
a contractor or other external source?

Once the agency has identified its training and development needs, it must
decide whether to buy or build the solution. Training can be provided by
the agency itself, another government agency, a school, a manufacturer, a
professional association, or other competent persons or groups in or out
of government. To aid in decision making at this juncture, agencies should
try to develop clear criteria for determining when to contract for
training and development services. Factors that agencies should consider
in these decisions include the capability of in- house staff to develop
and implement

the training; the prior experience, capability, and stability of possible
providers in the marketplace; and agency limitations on cost, time, and
resources. In certain circumstances, for example, agencies might rely on
input from subject matter experts and high performers within the agency to
support the design of training and development programs. These

internal resources can often provide valuable insight into training design
because of their familiarity with the agency*s policies, programs, and
corporate culture. Interagency training can be used to supplement the
training provided

within the agency. Such interagency training can help address common
developmental needs governmentwide and promote cost- efficiency by taking
advantage of existing resources rather than creating similar programs in
multiple agencies. In other cases, agencies might complement

the knowledge, skills, and abilities of their staff by seeking outside
expertise from consultants, professional associations, and other
organizations. Such outside experts could provide cost- efficient and
specialized expertise on an as- needed basis, introduce a fresh
perspective to addressing the agency*s human capital challenges, and
ensure confidentiality when obtaining employees* input on related human
capital

issues.

Look for:  Efforts to identify cost- effective and robust options on
designing training and development programs.  The explicit use of fair
and rational criteria in agency decisions about

when and whether to design training and development programs inhouse or
obtain these services from a contractor or other external source.

 Mechanisms to update decision rules and criteria on an ongoing basis,
recognizing changes in such areas as market conditions, agency
capabilities, and technological advances.

 Consideration of the consequences of sourcing decisions for the agency,
including the impact on working relationships with employee organizations
and other stakeholders.

2( e): How does the agency compare the merits of different delivery
mechanisms (such as classroom or computer- based training) and determine
what mix of mechanisms to use to ensure efficient and costeffective
delivery?

When considering the options of mechanisms for delivering training,
agencies need to consider essential issues such as the goals and
objectives for the training, the type of audience intended for the
training, the nature

of the training content, the availability of technology and resources, and
the timing for delivering the training. Agencies can use a variety of
instructional approaches to achieve learning* in the classroom, through
distance learning, or in the workplace. Agencies also need to consider
whether to provide individualized instruction or team- based training, for
example. When warranted, agencies should consider blended learning that
combines different teaching methods (e. g., Web- based and instructorled)

within the same training effort and provide trainees with the
flexibilities to choose among different training delivery methods while
leveraging resources in the most efficient way possible. When assessing

delivery options, agencies can try to achieve economies of scale and avoid
duplication of effort by taking advantage of existing course content or
training, such as sharable on- line courseware 8 or multiagency training

programs. Many organizations are taking advantage of more flexible design
and delivery methods made possible by technology to deliver training to
the user*s desktop, thereby making training more accessible and cost
effective. 9 However, agencies must also consider the technological

challenges of various approaches. For example, bandwidth could be
insufficient to support desired use of multimedia interactive courseware;
concerns about network security may impede learners* ability to access
education and training material anytime and anywhere; and technological
standards and specifications for emerging approaches might still be

evolving. In addition, using distance learning approaches can be a 8
Sharable Content Object Reference Model (SCORM) is an evolving set of
technical standards designed to ensure the interoperability,
accessibility, and reusability of on- line courseware. Developing Web-
based learning content using a standard such as SCORM could allow for
easier collaboration across organizations.

9 Executive Order 13111, *Using Technology to Improve Training
Opportunities for Federal Government Employees* (Jan. 12, 1999),
encourages agencies to consider how savings achieved through the efficient
use of training technology can be reinvested in improved training for
their employees.

challenge for some agencies with typical schoolhouse delivery approaches;
agency schoolhouses can be resistant to change given that their
infrastructure* funding, faculty, and facilities* is often closely tied to
student throughput. Look for:  A comprehensive mix of formal and on- the-
job training opportunities

offered to employees.  A suitable blend of training content that includes
both the theoretical basis of the material (such as an explanation of the
context and

principles involved) as well as practical application issues (such as
agency administrative procedures related to the material).

 Decision rules or other information identifying the factors that the
agency considers in determining the most effective mix of mechanisms to
incorporate into designs for training and development.

 Analysis of cost data on different delivery mechanisms.  Strategies to
continually update training and development

opportunities, such as making use of advances in technologies.  Evidence
that the agency is investing in updated technologies and is

open to new approaches.

2( f): Does the agency determine a targeted level of improved performance
in order to ensure that the cost of a training or development program is
appropriate to achieve the anticipated benefit?

An agency*s ultimate goal in undertaking training and development efforts
should be to optimize employee and organizational performance. In
assessing how and to what degree performance could be improved with a
specific training program, agencies should try to establish a targeted
level of improved performance as well as assess the possible consequences
if the training were not to occur. Determining such a targeted level of
improved performance can aid agencies in assessing whether the expected
costs

associated with the proposed training are worth the anticipated benefits.
When considering this targeted level of performance, agencies can benefit
from considering the implications of both short- and long- term results.
Before committing to provide training, an agency should take into account
the potential costs and anticipated benefits of the program. Expected
costs of training to consider include development costs, direct
implementation costs, indirect implementation costs (i. e., overhead),
compensation for participants, and lost productivity or costs of

*backfilling* positions during training. Anticipated benefits of training
to consider include increased productivity (output), improved quality,
reduced errors, and time and resource savings. Such an analysis can help
the agency determine whether potential benefits outweigh the expected
costs of the training effort.

Look for:  Specific performance improvement goals in agency planning
documents such as performance and strategic human capital plans, workforce
plans, and training plans.

 Training and development design and evaluation documents that focus on
identifying targeted performance improvements and report on progress in
achieving results.

 Identification and consideration of expected costs and anticipated
benefits of proposed training and development efforts.

2( g): How well does the agency incorporate measures of effectiveness into
courses it designs?

The design of a training or development program should involve the
formulation of a learning objective, 10 which should be stated in terms
that are specific and achievable. To help determine whether such a
learning objective will be achieved, agencies should incorporate measures
of effectiveness into the courses they design. Defining objectives in a
measurable way enables agencies to offer a more convincing quality of
feedback. Different types of performance indicators can be used to measure
goal attainment, such as input, output, impact, and outcome. Whenever
possible, training goals should measure the organizational

results being achieved by the training participants rather than be limited
to measuring the training inputs or outputs (e. g., number of people
trained). Also, performance measures should link directly to the offices

responsible for making the programs work. Training programs that are
designed to address the agency*s strategic goals often do not succeed
without cooperation and shared accountability with the program offices.

Look for:  Clear linkages between specific learning objectives and
organizational results.  Well- written learning objectives that are
unambiguous, achievable, and

measurable.  Efforts to ensure that learning objectives have been
effectively

communicated to all interested parties.  Procedures to incorporate
feedback from line managers, subject matter

experts, top leadership, and technical, human capital, and other
stakeholders on designing learning objectives and determining which
measures are best to determine effectiveness.

10 A learning objective is a statement of the desired changes that the
specific training and development program is intended to produce in the
target population*s skills, knowledge, abilities, or behaviors. Learning
objectives are also known by similar names, such as training objectives
and instructional objectives.

Component 3: Implementation involves ensuring effective and efficient
delivery of Implementation training and development opportunities in an
environment that supports

learning and change. Some key questions related to implementation include
the following.

a) What steps do agency leaders take to communicate the importance of
training and developing employees, and their expectations for training and
development programs to achieve results? b) Is there a training and
performance organization that is held accountable, along with the line
executives, for the maximum performance of the workforce?

c) Are agency managers responsible for reinforcing new behaviors,
providing useful tools, and identifying and removing barriers to help
employees implement learned behaviors on the job?

d) How does the agency select employees (or provide the opportunity for
employees to self- select) to participate in training and development
efforts?

e) What options has the agency considered in paying for employee training
and development and adjusting employee work schedules so that employees
can participate in these developmental activities? f) Does the agency take
actions to foster an environment conducive to effective training and
development? g) What steps does the agency take to encourage employees to
buy in to the goals of training and development efforts, so that they
participate fully and

apply new knowledge and skills when doing their work? h) Does the agency
collect data during implementation to ensure feedback on its training and
development programs?

3( a): What steps do agency leaders take to communicate the importance of
training and developing employees, and their expectations for training and
development programs to achieve results?

Senior leaders in the agency can play a critical role by clearly
communicating throughout the organization that investments in training and
development are expected to produce results and that open, candid feedback
from employees can enhance the effectiveness of these investments. To
better accomplish these efforts, agency leaders should develop a mix of
communication strategies to encourage and reward employees for
participating in training and development activities. These

strategies should focus on ways to foster understanding of the importance,
benefits, and expected impact of training and development efforts
throughout the agency. Agencies can show their commitment to strategic

human capital management by investing in professional development programs
that can assist in meeting specific performance needs. These programs can
include opportunities for a combination of formal and onthe- job training,
leadership development and rotational assignments, periodic formal
assessments, action learning 11 and other team- based

approaches, and mentoring relationships with senior managers. In helping
to develop and carry out these communication strategies, agency senior
executives have a central responsibility to foster employee
selfdevelopment and recognize self- initiated performance improvements,
provide training on a nondiscriminatory basis, and establish and make full
use of agency facilities for training employees.

Look for:  Mechanisms for employees and employee organizations to provide
feedback on their perceptions and specific experiences with training and
development.

 Comprehensive communication strategies to encourage employees to
participate in training and development activities.  Executive- level
champions (sponsors) enlisted by the agency to ensure that training
strategies are incorporated into organizational decision making and
aligned with organizational goals.

11 Under action learning, a group of employees is formed to analyze and
resolve an actual problem in the workplace.

 Information in plans regarding training and development investments,
expectations, and accomplishments.

 Transparent information available to employees though memoranda,
announcements, and intranet Web sites related to career maps and paths,
competency models, CPEs, and other professional requirements such as
licenses and certifications.

 Evidence that agency leaders provide needed tools and resources to line
managers and employees.  Consistent support and appropriate funding for
the agency*s overall

training and development efforts.

3( b): Is there a training and performance organization that is held
accountable, along with the line executives, for the maximum performance
of the workforce?

In addition to the buy- in that occurs through stakeholder involvement in
the planning, design, and development of training, agencies need to ensure
accountability by holding the training and performance organization
accountable, along with line management, for maximum performance of the
workforce. The agency*s training organization and agency line managers
should, for example, make every effort to demonstrate the linkages between
the agency*s mission and goals and its training and

development efforts. These important stakeholders should also work
together to establish control mechanisms to ensure that agency employees
successfully complete required and assigned training and development. To
advance this purpose, agencies must assign authority and delegate
responsibility to the proper personnel and establish clear accountability

for maximizing workforce performance. Likewise, if agencies expect both
their training organizations and line managers to assume greater
responsibility and be held accountable for results, agencies must ensure
that these key stakeholders have the tools and resources they need to
fulfill these expectations.

Look for:  Evidence that the agency assigns authority and delegates
responsibility to the proper personnel and establishes clear
accountability for maximizing workforce performance and for achieving the
agency*s training and development goals.

 Policies, organizational charts, or other representations depicting the
linkages between the agency*s mission and goals and its training and
development organization.

 Indications that training officials and line managers work in
partnership to achieve common goals.

 Possible stovepipes in the organization, caused by fragmented lines of
communication and accountability, that may contribute to duplicated effort
or missed opportunities.

3( c): Are agency managers responsible for reinforcing new behaviors,
providing useful tools, and identifying and removing barriers to help
employees implement learned behaviors on the job?

To help employees implement learned behaviors on the job, agency managers
can work to reinforce new behaviors, provide useful tools, and identify
and remove barriers that impede performance. To stress the importance of
this responsibility, agency managers should be held accountable for
creating an environment that encourages innovation and supports continuous
improvement to achieve strategic goals and objectives. Agencies should
create the expectation that managers will discuss developmental needs with
their employees and identify where training and development is
appropriate. Agencies also can track managerial support for training
through both enrollment and participation rates in their units. To
reinforce new behaviors, agency managers and supervisors should

ensure that their employees understand the importance of using knowledge
and skills gained in training to improve performance and are rewarded
appropriately for achieving results. Agency managers should

also provide useful tools to help their employees implement learned
behaviors on the job. Helpful tools such as job aids 12 can minimize or
eliminate the need for specific training altogether. Agency managers
should also take steps in removing barriers to training and using learned

behaviors on the job. For example, managers and supervisors could take
steps to address the workday distractions that can interrupt employees*
training efforts and actively reinforce the importance of separating *work
time* from *training time.*

Look for:  The extent to which managers are evaluated on their efforts to
develop their employees and enhance opportunities for employees to improve
performance and achieve results.

12 Job aids, also known as performance support tools, are mechanisms for
storing information that are readily accessible to the employee and that
decrease the need for memorization and thus assist the employee in
implementing learned behaviors. A job aid, for example, could be a manual
of standard operating procedures, a checklist of key practices, or a
computer help system that provides answers to employee questions.

 Responses in employee satisfaction surveys or other feedback on issues
related to the organization*s culture and working environment.

 Use of feedback from supervisors and participants on the extent to which
training and development resulted in changes in individual job
performance.  Policies and procedures to ensure that training and
development efforts

and expectations are discussed and understood by managers, supervisors,
employees, training coordinators, and others.

 Employee feedback on managers* and supervisors* performance in
reinforcing new behaviors, providing needed tools, and removing barriers
to implementing learned behaviors on the job.  Examples of tools such as
job aids to assist employees in implementing

learned behaviors on the job.  Rewards and incentives for managers and
supervisors who consider new ways of working, provide needed tools to
employees, and identify

and remove barriers to improved performance.  Rewards and incentives for
employees who use new knowledge and

skills to achieve results.

3( d): How does the agency select employees (or provide the opportunity
for employees to self- select) to participate in training and development
efforts?

Agencies sometimes select employees to participate in training and
development for a variety of reasons unrelated to the performance needs of
the organization or individual. 13 For example, employees have been
selected on a sporadic, unplanned basis or as a reward for previous
superior performance or contributions. For optimal effect, however,
participation of employees in training and development programs should

be linked to agreed- upon goals and priorities established by supervisors
and their employees. Likewise, these goals and priorities should align
with those expressed in the agency*s training, performance, or other
relevant plans. In addition, employees should be selected for
developmental programs based on the suitability and usefulness of the
training content. In some cases, employees may already know the material
or do not need to know the material to perform their duties. It is also
essential that agencies consider all employees fairly. Agency

leaders need to establish procedures to ensure that the selection of
employees for training proceeds without regard to political preference,
race, color, religion, national origin, sex, marital status, age, or
handicapping condition, and with proper regard for employee privacy and
constitutional rights as provided by merit system principles. 14 In
addition, the agency must follow merit promotion procedures in selecting
employees for training designed primarily to prepare trainees for
advancement and not directly related to improving performance in their
current positions. Because certain developmental assignments can enhance
careers and help

qualify people for promotion, they should be open to competition, and
agencies should advertise these assignments to all eligible candidates.

Look for:  The selection of employees for training and development
opportunities on the basis of agreed- upon goals and priorities. 13
Federal agencies are generally required by statute to provide certain
employees with training on computer security, ethics, and management and
supervision; in addition, each agency can require additional training for
its employees. 14 See 5 U. S. C. 2301( b)( 2) and 5 C. F. R. 410.302( a)(
1).

 Selection criteria for executive candidates that are specifically linked
to the agency*s shared vision and the competencies and broad expectations
it has for its leaders.  The suitability and timeliness of the selection
of employees for training

and development given employees* current duties and existing skills and
competencies.  Strong indications that the agency recognizes that an
inclusive

workforce is a competitive advantage for achieving results and that it
demonstrates this by working to meet the training and development needs of
employees of all backgrounds.

 Actions taken by agency leaders and managers to ensure or enhance
diversity in the content and delivery of, and participation in, the
agency*s training and development programs.  Procedures to ensure fair
selection of employees for training and

development opportunities.  Evidence of union and employee complaints,
grievances, or concerns

related to unfair or discriminatory training practices.

3( e): What options has the agency considered in paying for employee
training and development and adjusting employee work schedules so that
employees can participate in these developmental activities?

In general, agencies may pay training and development expenses from
appropriated funds or other available funds. Agencies can pay all of the
training costs for employees or can agree with the employees to pay some
or none of the costs. Agencies also have the flexibility to advance or
reimburse employees all or part of the costs of approved training.

Expenses of training can include the cost of tuition; purchase or rental
of books, materials, and supplies; laboratory and library fees; and
travel, per diem, and relocation expenses. In addition, agencies may pay
the expenses for employees to obtain professional credentials, including
expenses for

professional accreditation, state- imposed and professional licenses, and
professional certification as well as examinations to obtain such
credentials. Agencies can also provide financial incentives, such as
retention allowances, to workers who obtain job- related degrees and

certifications. Furthermore, agencies have the authority to pay for
employees to obtain academic degrees, as long as the training meets agency
needs and is not designed only to help an employee obtain a promotion.
Likewise, agencies can also pay for employees* student loan

repayments. In addition to the options in paying for employees* training
and development, agencies also have flexibilities in scheduling employees*
time related to these developmental efforts. Agencies can allow employees
to participate in training and development during normal duty hours or

during nonduty hours. Agencies may also adjust employees* work schedules
to accommodate educational endeavors, as long as it will not unduly
interfere with work accomplishment and agencies incur no additional
personnel costs.

Look for:  Evidence that the agency has taken into account the full range
of flexibilities in paying for employees* training and development. 
Indications that the agency has considered various options available for

scheduling training and development for its employees.  Oversight systems
that ensure employees take advantage of legitimate training and
development opportunities and the agency does not pay for fraudulent or
inadequate training.

3( f): Does the agency take actions to foster an environment conducive to
effective training and development?

An environment conducive to training and development can go a long way
toward contributing to effective learning across the agency. Agencies can
benefit considerably by making use of instructors, facilitators, mentors,
and coaches who are engaging, responsive, flexible, knowledgeable, and
experienced. This approach, which could itself involve training for
trainers and coaches, ensures that these trainers and coaches not only
know the subject matter and issues involved but also can effectively

transfer these skills and knowledge to others. Agencies also need space,
facilities, and equipment that are adequate to meet demand and are
favorable to successful learning. For example, employees may need
sufficient time away from normal work duties to access computers or
simulators to complete a training program. Similarly, agencies need

suitable administrative systems that can aid in project management and
scheduling of training and development events. Furthermore, proper timing
and pacing of training courses and developmental assignments can also
contribute to successful learning. This practice can be particularly
effective when recognizing the timing that best meets the needs of both
the agency and the individual.

The delivery of training and development programs should also recognize
specific job processes and procedures in the agency as well as the
agency*s general organizational culture. It is obviously a waste of
resources when training and development programs do not correspond with
how specific jobs should be done. To help in this regard, facilitators and
instructors should make sure that employees know why they are
participating in the training by clearly communicating learning objectives
and linking them to managers* expectations and organizational goals.
Likewise, because an

organization*s beliefs and values affect the behavior of its members, the
delivery of training and development programs should also take into
account the organizational culture of the agency. For example, the culture

of an agency that already has computers easily accessible to most
employees may more readily adapt to e- learning approaches than that of an
agency whose employees have limited access to, or do not rely as much on,
technology in carrying out their work. By recognizing and implementing
training and development programs that reflect these considerations,
agencies can help foster more active participation by employees in
training courses and developmental assignments.

Look for:  Ways the agency ensures that it employs engaging, responsive,
flexible, knowledgeable, and experienced instructors, facilitators,
mentors, and coaches.

 Evidence that the agency has properly trained managers to coach,
evaluate, and conduct employee career discussions.  Space, facilities,
and equipment that meet the developmental needs of participants without
creating unplanned excess capacity.  Administrative systems and databases
that enable the agency to properly manage scheduling and support of
training and development

programs.  Appropriate timing and pacing for training sessions and
developmental

assignments given the developmental needs of employees and the mission-
and program- related needs of the agency or the federal government
overall.  Efforts to foster active involvement of participants in
training and

development programs.  Evidence that the agency*s training and
development activities appropriately reflect and take into account the
organizational culture of

the agency.

3( g): What steps does the agency take to encourage employees to buy in to
the goals of training and development efforts, so that they participate
fully and apply new knowledge and skills when doing their work?

Agencies can undertake various steps to encourage employee buy- in to the
goals of training and development efforts. Ensuring employee input and
ongoing feedback is one important step to increasing buy- in and promoting
a shared understanding between managers and employees of training and
development goals and related performance measures. As employees develop a
shared or common understanding of how their individual and combined
efforts contribute to the agency*s overall results and successes, they can
better focus on their own efforts and priorities. Agencies can use

a range of communication methods to build organizational teamwork,
including two- way communication between leaders and employees about
employees* efforts and their contributions to the agency*s outcomes.
Agencies can draw on employees* frontline knowledge of work processes

and customer needs. They also can empower employees to contribute
constructive ideas for improving existing training and development
policies and practices as well as identifying additional training and
development needs for individual employees and the agency.

Agencies can also encourage buy- in by ensuring employees* ready access to
development information, allowing the employees to control their own
development and career paths. The availability of opportunities for
employees to direct their own learning pace and environment can also
enhance employee loyalty. Some organizations have developed comprehensive
guidance to help employees manage their career paths and enhance their
professional development. Also, some agencies have developed Web- based,
single- point- of- entry systems that allow employees

located worldwide to access training and career development information.
Agencies have also encouraged or required the use of self- directed tools,
such as IDPs, to give employees responsibility for assessing their
development needs. In some cases, agencies may establish training
agreements 15 and continued service agreements 16 with specific employees

15 A training agreement is a written agreement that an agency makes with
an employee that provides for promotion or reassignment upon the
employee*s successful completion of a specific individual training plan
within an agreed- upon time frame. 16 A continued service agreement is a
written agreement that an employee makes with the agency to continue to
work for the government for a pre- established length of time in exchange
for the government*s paying for some or all of the associated costs of
training.

that allow for employee development while also protecting agency
interests.

Look for:  Evidence that employees are encouraged to identify and take
advantage of training and professional development activities and that
available training is perceived as relevant and professionally rewarding.
 Indications that agency leaders seek out the views of employees at all
levels in developing approaches to training and development and that
communication flows up and down the organization.

 Opportunities for employees to work in a learning environment, including
(1) access to course catalogs and other training and development events of
potential interest (such as conferences and briefings) and (2)
availability of self- paced learning when appropriate.

 Policies and use of IDPs and other mechanisms to encourage employee
development.  Rewards and incentives for employees who actively support
their own individual development and the development of other employees at
the

agency.  Use of training agreements and continued service agreements as
career development tools and methods for fully utilizing employees to meet

organizational and staffing needs.

3( h): Does the agency collect data during implementation to ensure
feedback on its training and development programs?

As with other programs or services that agencies deliver, it is important
for agencies to use program performance information in assessing the
progress that training and development programs make toward achieving
results. Agencies should keep in mind that they need to collect data
corresponding to established training objectives throughout the

implementation process to refine and continually improve, deliver, and
enhance learning. These data include information collected through
interviews and surveys, analysis of work samples, and reviews of existing
monitoring and reporting data. In addition to information from the
training participants themselves, agencies should seek input from
trainers, supervisors, coworkers, and customers. Information systems, such
as learning management systems and financial management systems, can also
provide crucial data for demonstrating results. A rigorous data collection

effort will allow for ongoing evaluation of training and development
efforts and improve agencies* ability to make needed adjustments.

Look for:  Information and examples showing how the agency determines
when and how to adjust ongoing implementation of training and development
efforts based on the agency*s tracking of performance data.  Feedback
from key stakeholders on how well training and development

programs are working and whether adjustments may be needed.  Information
on how the agency establishes accountability for results of training and
development efforts.

 Evidence that the agency collects appropriate performance data during
implementation.

Component 4: Evaluation involves assessing the extent to which training
and Evaluation

development efforts contribute to improved performance and results. Some
key questions related to evaluation include the following.

a) To what extent does the agency systematically plan for and evaluate the
effectiveness of its training and development efforts? b) Does the agency
use the appropriate analytical approaches to assess its

training and development programs? c) What performance data (including
qualitative and quantitative measures)

does the agency use to assess the results achieved through training and
development efforts?

d) How does the agency incorporate evaluation feedback into the planning,
design, and implementation of its training and development efforts?

e) Does the agency incorporate different perspectives (including those of
line managers and staff, customers, and experts in areas such as
financial, information, and human capital management) in assessing the
impact of training on performance? f) How does the agency track the cost
and delivery of its training and

development programs? g) How does the agency assess the benefits achieved
through training and

development programs? h) Does the agency compare its training investments,
methods, or outcomes with those of other organizations to identify
innovative approaches or lessons learned?

4( a): To what extent does the agency systematically plan for and evaluate
the effectiveness of its training and development efforts?

The changing role of government requires not only new organizational
structures and innovative ways of working but also an ever- increasing
need to assess the best means of fulfilling multiple priorities with
limited resources. Agency leaders and other decision makers are
increasingly emphasizing the importance of demonstrating results achieved
through the significant investments in time and money devoted to training
and

developing employees. Training and development efforts are often quite
complex and challenging to evaluate, however. Since training and
development strategies interrelate with other strategies and factors in
attempting to change people and organizations, isolating the performance
improvements that result from a specific training activity is especially
difficult. Perhaps, as a consequence, the traditional approach of
collecting and reporting data related to training and development often
involved indicators that could be readily quantified, such as the number
of employees trained, training hours per employee, and total training
hours. While necessary, these kinds of measures do not fully provide
agencies with the kind of information they need to determine how training
and development efforts contribute to improved performance, reduced costs,
or a greater capacity to meet new and emerging transformation challenges.

To measure the real impact of training, agencies need to move beyond these
data on inputs and outputs by developing additional indicators that help
determine how training and development efforts contribute to the
accomplishment of agency goals and objectives. These efforts can be

outlined in a data collection and analysis plan, including a description
of measures to be used to demonstrate internal influences on productivity
and the external influence on customers. Such a plan highlights the
importance of having clear goals about what the training or development

program is expected to achieve and agreed- upon measures to ascertain
progress toward these goals. Developing and using such a plan can guide
the agency in a systematic approach to assessing the effectiveness and
efficiency of both specific training and development programs and more
comprehensively assessing its entire training and development effort. For

example, a major program requiring substantial investment merits more
focused attention and analysis, so an agency may decide to devote most of
its evaluation resources to that program. Planning will allow an informed
and strategic perspective for evaluation decisions, however, rather than
an ad hoc approach that might result in missing important opportunities
and either over investing or under investing in evaluations. Agencies can
use

the results of these evaluations for better decision making on whether to
modify or redesign training programs or eliminate ineffective programs.
They can also use evaluations in decisions about future training and
development programs, such as evaluations of data on delivery mechanisms
and environmental barriers to improved performance that need to be
addressed.

Look for:  Agency leadership*s commitment and belief in the value of
training and development as expressed through its receptiveness to and use
of results from employees* feedback on developmental needs.

 A data collection and analysis plan that sets priorities for evaluations
and systematically covers the methods, timing, and responsibilities for
data collection.

 Consideration of various factors, such as the working environment and
the job market, that may affect how the agency uses training to improve
results, either internally (such as by enhancing productivity) or

externally (such as by improving customer service).  Results of the
agency*s training and development efforts being widely shared across the
organization.

4( b): Does the agency use the appropriate analytical approaches to assess
its training and development programs?

When evaluating specific training and development programs, agencies
should select the analytical approach that best measures the effect of a
program while also considering what is realistic and reasonable given the
broader context of the issue and fiscal constraints. In recent years, a
growing number of organizations have adopted a balanced, multilevel
approach to evaluating their training and development efforts. Such an
approach can help provide varied data and perspectives on the effect that
training efforts have on the organization. One commonly accepted model
consists of five levels of assessment. 17 The first level measures the
training participants' reaction to, and satisfaction with, the training
program or planned actions to use new or enhanced competencies. The second
level

measures the extent to which learning has occurred because of the training
effort. The third level measures the application of this learning to the
work environment through changes in behavior that trainees exhibit on

the job because of the training or development program. The fourth level
measures the impact of the training program on the agency*s program or
organizational results. Finally, the fifth level* often referred to as
return on investment (ROI)* compares the benefits (quantified in dollars)
to the costs of the training and development program. Not all training and
development programs require, or are suitable for, higher levels of
evaluation. Indeed, higher levels of evaluation can be challenging to
conduct because of the difficulty and costs associated with data
collection and the complexity in directly linking training and

development programs to improved individual and organizational
performance. Figure 3 depicts an example gradation of the extent to which
an agency could use the various levels of evaluation to assess its

training and development programs. For example, an agency may decide to
evaluate participants* reactions for all (100 percent) of its programs,
while conducting an ROI analysis for 5 percent of its programs. Factors to
consider when deciding the appropriate level of evaluation include
estimated costs of the training effort, size of the training audience,

management interest, program visibility, and the anticipated *life span*
of the effort. Each agency will need to consider the feasibility and
cost17

Donald L. Kirkpatrick (author of Evaluating Training Programs: The Four
Levels)

conceived a commonly recognized four- level model for evaluating training
and development efforts. The fourth level is sometimes split into two
levels with the fifth level representing a comparison of costs and
benefits quantified in dollars.

effectiveness of conducting these in- depth evaluations, along with
budgetary and staffing circumstances that may limit the agency*s ability
to complete such evaluations. Figure 3: Example Agency*s Training and
Development Programs Assessed Using Each Level of Evaluation

Level 1

Reaction and 100

satisfaction

Level 2

60 Learning

Level 3

30 Application

Level 4

Organizational 10

impact

Level 5

Return on 5

investment Percentage of programs

Source: GAO.

Look for:  Demonstrated efforts to use appropriate methods to evaluate
training and development efforts that recognize the feasibility and
costeffectiveness of specific evaluation efforts.  Guidelines or criteria
for determining when and how the agency*s training programs will be
evaluated using different levels or analytical

methods.  Measures of training participants* reaction to, and
satisfaction with, the

training program or planned actions to use new or enhanced competencies. 
Measures of changes in knowledge, skills, and abilities; on- the- job

behavior and progress on planned actions; and organizational impact.

 Comparisons of benefits (including qualitative, estimated, and in some
cases monetized benefits) to the costs of the training and development
program.

4( c): What performance data (including qualitative and quantitative
measures) does the agency use to assess the results achieved through
training and development efforts? Successful organizations typically
develop and implement human capital

approaches based on a thorough assessment of the organizations* specific
needs and capabilities. Valid and reliable data are the starting point for
such assessments. To assess the results achieved through training and
development, agencies can rely upon hard (quantitative) data, such as
productivity/ output, quality, costs, and time, or soft (qualitative)
data,

such as feedback on how well a training program satisfied employees*
expectations. By taking steps to agree on measures of success up front,
agency officials can decide on the objectives for each training and
development program. For example, for an agency that has designed and
implemented a program to train its employees on new procedures for
processing specific applications, measures of productivity (output) could
involve the number of applications processed per day, quality could be the
number of errors per 1, 000 applications processed, time could be the
average number of hours to process each application, and cost could
involve the total cost to process each application. Soft data could
include employees* and managers* views, collected through questionnaires,
on the extent to which employees applied the content of the training
program to their jobs. For employees whose work is not as quantifiable, it
is even

more important that agency officials agree up front on the training
program*s objectives and how performance toward these objectives is to be
evaluated. By engaging a broad perspective, agencies can help ensure buyin
from stakeholders about how training and development programs are
assessed. These perspectives can also contribute to agencies* efforts to
ensure that the data they use are verified and reliable. Logic models, 18
the use of intermediate measures, and other approaches can help decision

makers understand linkages, especially for developmental programs, where
outcomes may not be apparent for several years. As part of a balanced
approach, assessing training and development efforts should also consider
feedback from customers, such as whether employee behaviors or agency
processes and services effectively met their needs and expectations. Using
a balanced approach that reflects feedback from

18 A logic model is an evaluation tool used to describe a program*s
components and desired results and explain the strategy* or logic* by
which the program is expected to achieve its goals. By specifying what is
expected at each step, a logic model can help define measures of the
program*s progress towards its ultimate goals.

customers and employees, as well as organizational results, is
particularly important as agencies transform their cultures and
operations. In addition, because the work of federal employees can be
complex and often cannot be reduced to a single task, a balanced approach
to both the types and sources of data helps to strengthen the linkages
between training and development programs and improved performance.

Look for:  Use of both quantitative and qualitative measures to assess
training results, in areas such as increased productivity and improved job
satisfaction.

 Use of a balanced set of measures that reflect feedback from employees
and customers and organizational results.

 Use of measurement tools, such as templates, that assist in
systematically collecting valid and reliable performance data. 
Determined efforts to improve the quality of performance data.

4( d): How does the agency incorporate evaluation feedback into the
planning, design, and implementation of its training and development
efforts?

An agency should view its training and development efforts not as a
static, after- the- fact requirement but as a continual, ongoing effort
throughout the planning, design, and implementation components of the
process. When undertaking planning and front- end analysis, the agency
should make a

concerted effort to identify and use focused and relevant data and
measures that will aid in guiding future training and development efforts.
These considerations may highlight the need for the agency to reassess
what types of data it currently collects, how such data might be improved
for future assessments, and how to build in agreed- upon measures up front
to continually measure results. For design and development of training,
agencies should rely on evaluations and benchmarking to determine what
approaches work best

given all the related elements, such as the proposed audience for the
training program, the material to be covered, and possible delivery
mechanisms that could be employed. Building in such evaluation feedback
will help to identify and remove obstacles to successful implementation.
Reviewing staff and instructor feedback regularly is also important to
improving the overall process and thus increasing the likelihood of
success. Catching potential problems at the early stages of the process
can save valuable time and resources that a major redesign of training
would likely entail. Agencies can use evaluation feedback to identify
problems and improve training and development programs as needed, either
by making incremental changes or redesigning the entire training effort to
incorporate major changes.

Look for:  Indications that the agency is making fact- based
determinations of the impact of its training and development programs by
using these assessments to refine or redesign training and development
efforts as needed.

 Systematic monitoring and feedback processes.  Informal feedback
mechanisms.

 Information showing that the agency reallocates or redirects its
resources based on data derived from evaluating its training and
development activities.

 Examples of evaluations, and possible resulting changes made, during the
planning/ front- end analysis, design/ development, and implementation
components of the training and development process.

 Indications of a program for bestowing awards, recognition, and
incentives on the basis of meeting or exceeding targets related to
improving training and development.

4( e): Does the agency incorporate different perspectives (including those
of line managers and staff, customers, and experts in areas such as
financial, information, and human capital management) in assessing the
impact of training on performance?

To the extent possible, agencies need to ensure that they incorporate a
wide variety of stakeholder perspectives in assessing the impact of
training on employee and agency performance. Stakeholders* perspectives
can be obtained through surveys and questionnaires, individual or group
interviews, or communication with more formal multidisciplinary bodies
such as advisory or education councils. The sources of such information
could include the training participants themselves; training designers,
developers, and facilitators; agency leaders, managers, supervisors,
subordinates, and coworkers; employee organizations; internal and external
customers; and functional and subject matter experts. To complete valid
and useful evaluations, it could be helpful to address the

possibility of low participation on the part of employees and managers in
surveys and focus groups that may limit that agency*s access to these
important data.

Situations in which stakeholders could offer their perspectives abound.
Training participants can provide valuable information on whether they
were satisfied with the training, learned from the effort, and used these
new skills and competencies on their jobs to improve results. Training
facilitators can provide useful perspectives by observing the extent to
which trainees are absorbing the training material and demonstrating newly
acquired skills in the training environment. Managers, supervisors,
subordinates, and coworkers can often provide practical insight on the
extent to which employees* on- the- job behavior changed in light of
training and development efforts. Internal and external customers can also
provide

worthwhile feedback to agencies about the extent to which employee
performance has improved, particularly for competencies related to
customer service. Lastly, subject matter experts and functional
specialists may use feedback from trainees and instructors as the basis
for their own valuable insights regarding the appropriate level of detail
provided in a particular training program. Such insights play an important
role in

helping agencies find a comfortable median between overly broad and unduly
detailed course content.

Look for:  Surveys and questionnaires of stakeholders, such as employees,
supervisors, managers, customers, subject matter experts, and advisory
councils.  Interviews and focus group meetings with stakeholders. 
Responsive and timely efforts to collect and analyze individuals*
perspectives and to use this feedback to improve or redesign training

programs when necessary.

4( f): How does the agency track the cost and delivery of its training and
development programs?

Agency managers and supervisors are often aware that investments* both
monetary and nonmonetary* in training and development initiatives can be
quite large. However, across the federal government, evaluation efforts
have often been hindered by the lack of accurate and reliable data to
document the total costs of training efforts. To obtain a comprehensive

determination of the costs of these initiatives, agencies need to find
ways around barriers that prevent them from fully and accurately
identifying the expenses associated with all components of their training
and development processes. These costs can include expenses for
instructional development; participant and instructor attendance;
facility, material, and equipment costs; as well as travel and per diem
expenses. To track the cost and delivery of training and development
programs, agencies need credible and reliable data from learning
management systems as well as accounting, financial, and performance
reporting systems. To the extent

possible, agencies also need to ensure data consistency across the
organization. Variation in the methods used to collect data can greatly
affect the analysis of uniform, quality data on the cost and delivery of
training and development programs.

Look for:  A comprehensive learning management system that can track the
delivery of training within the agency.  Accounting, financial, and
performance reporting systems that produce credible, reliable, and
consistent data on agency activities, including

training and development programs.  Identification and tracking of the
associated costs of specific training

and development programs.  Concerted efforts to ensure the quality of
agency data, such as improving administrative data systems as an aid to
more relevant and

reliable data and possibly conducting special data collections when
necessary.

 Barriers to providing a comprehensive picture of costs, expenses, and
other financial information related to training and development
activities.

4( g): How does the agency assess the benefits achieved through training
and development programs?

In addition to isolating and tracking the costs associated with training
and development programs, agencies should also endeavor to identify the
associated benefits of such efforts. These benefits can include, for

example, increased productivity, enhanced customer satisfaction, increased
quality, reduced errors, or decreased costs. From an agency*s perspective,
the benefits derived from a specific training and development

program are of greatest significance when employees directly apply newly
acquired learning in their individual job performance and, ultimately,
their collective performance. Employee surveys or exit interviews may
provide information on whether the agency*s training and development
programs help or hinder recruitment or retention, as access to training
and a learning environment are important factors for some individuals.

An agency can use various analytical methods in attempting to assess the
impact of a training and development program on individual and
organizational performance. Feedback from stakeholders can provide
estimates on the degree to which they believe improvement can be
attributed to training. Using specific measures, agencies can also use
performance tracking to monitor the performance of individuals and work
units after training is completed to obtain before- and- after comparisons
of performance. The use of control groups is another method agencies could

consider to help reveal differences between the job performance of trained
and untrained employees. Forward- looking approaches such as trend
analysis and forecasting can serve as ways to estimate future performance
without the training, thus allowing for a comparison with post- training
performance. When using any of these analytical methods, agencies should
keep in mind that the lack of change in employees* behavior after

training does not necessarily mean that the training program was
ineffective. Other factors such as incentives and work environment can
also influence employees* use of newly acquired skills and competencies on
their jobs. The agency may decide it should take steps to determine
whether the benefits derived from the training and development program are
worth the associated costs. One way of looking at this is calculating how
long it will take before the benefits from the training outweigh the
projected costs. This information would be useful, for example, in
establishing priorities among training and development programs, as well
as in comparing training or development programs with other potential
strategies and

determining how effectively they could work together to improve
performance.

Once benefits are identified, the agency can then decide whether to
attempt to convert these benefits into a monetary value to calculate an
ROI. Estimating the monetary value of these benefits is one of the most
challenging parts of the effort to determine the ROI for a given training
and development program. Converting some benefits into dollar amounts is
straightforward, but other associated benefits may be much more difficult
to translate into dollars. Once these costs and benefits have been
estimated, the agency can then calculate an ROI ratio for the training

program. In some cases, such as those involving initial e- learning
experiences, agencies may be able to identify immediate cost savings
through reduced time, travel, and facility costs* and there may be
sizeable investment start- up costs for e- learning as well. The key point
remains*

agencies* evaluations must be able to demonstrate that employees are
learning and retaining the information provided in training or development
programs. For example, e- learning may be more effective in some
instances, while in others the topics or the employees may not learn as
well from e- learning as through other methods. The bottom line is the
extent to which any training and development program engages participants
and helps improve employee and organizational performance.

Look for:  Use of control groups to reveal possible differences between
trained and untrained employees.  Stakeholder feedback and estimates on
improvements attributed to a

training and development program.  Use of forward- looking analytical
approaches, such as forecasting and

trend analysis, to aid in estimating and comparing future performance with
and without the training intervention.

 Conversions of identified training benefits to monetary values. 
Comparisons of the associated costs and monetized benefits of training

programs to determine an ROI.

 Use of data on associated benefits and the results of ROI analyses in
the agency*s decision making processes for refining, redesigning, or
terminating specific training and development programs.

4( h): Does the agency compare its training investments, methods, or
outcomes with those of other organizations to identify innovative
approaches or lessons learned?

To aid in the effort of using data- driven assessments to develop and
implement human capital approaches, agencies can compare their training
investments, methods, or outcomes with those of other organizations. There
are many ways to help improve performance, so it is important for agencies
to continually look to others to identify innovative approaches that may
relate to their training and development efforts. For example, strategies
such as blended learning can offer various options to provide needed
interactions, participant feedback, and access to experts. Information on
how leading organizations use e- learning can provide valuable input as
agencies enhance their capabilities. Job aids, and other

strategies to provide performance support embedded in the workflow, will
also continue to affect when and how easily employees can obtain the
information and skills they need to do their work, which shapes how the

agency can best use its training and development investments. Benchmarking
is a technique that can help agencies determine who is the very best, who
sets the standard, and what that standard is. With these data in hand, an
agency can use benchmarking to compare its investments, approaches, and
outcomes with those of public and private organizations that are
undertaking notably innovative and effective training and development
efforts. Of course, this must be done within the context of that agency*s
unique environment and situation. Organizations can successfully use
benchmarking to increase productivity and quality through an understanding
of what level of performance is possible and why a gap exists between
current and optimal performance. Using these benchmarks, agencies can
uncover weaknesses in their training and development strategies that need
improvement and identify new ideas, mechanisms, and metrics that they
could employ. As is often the case,

agencies informed by such benchmarking of effective practices are likely
to develop their own innovative approaches and lessons learned for
improving individual and organizational performance.

Look for:  Concerted efforts to identify agency work practices related to
training and development that need improvement.  Attempts to identify
innovative and effective training and development

efforts outside of the agency for possible benchmarking.

 Comparisons of the agency*s activities and processes with those of other
organizations considered *best in class* for particular training and
development efforts.  Implementation of identified benchmark solutions to
improve performance.

Summary Observations on the Training and

Sect on i 3

Development Process Our examination of major issues to consider when
assessing an agency*s training and development efforts revealed certain
core characteristics that constitute a strategic training and development
process. We identified these core characteristics by analyzing and
categorizing the various *look for* elements associated with the key
questions, as described in section 2 of this guide. Figure 4 lists and
summarizes the eight core characteristics of the training and development
process that we identified as part of preparing this guide. We believe
that a concerted effort to integrate these core characteristics can
further each agency*s efforts to continually

improve its training and development process. Conversely, identifying
where an agency*s training and development process lacks these core
characteristics can help address barriers that hinder its ability to
achieve meaningful results.

Figure 4: Core Characteristics of a Strategic Training and Development
Process

 Strategic alignment. Clear linkages exist between the agency*s mission,
goals, and culture and its training and development efforts. The agency*s
mission and goals drive a strategic training and development approach and
help ensure that the agency takes full advantage of an optimal mix of
strategies to improve performance and enhance capacity to meet new and
emerging challenges.

 Leadership commitment and communication. Agency leaders and managers
consistently demonstrate that they support and value continuous learning,
are receptive to and use feedback from employees on developmental needs
and training results, and set the expectation that fair and effective
training and development practices will improve individual and
organizational performance.

 Stakeholder involvement. Agency stakeholders are involved throughout the
training and development process to help ensure that different
perspectives are taken into account and contribute to effective training
and development programs. Stakeholders* views are incorporated in
identifying needed performance enhancements, developing and effectively
implementing well- thoughtout strategies, and helping to conceptualize and
use balanced measures that accurately reflect the extent to which training
and development efforts contribute toward achieving results. 
Accountability and recognition. Appropriate accountability mechanisms,
such as performance management systems, are in

place to hold managers and employees responsible for learning and working
in new ways. Appropriate rewards and incentives exist and are used fairly
and equitably to encourage innovation, reinforce changed behaviors, and
enhance performance.

 Effective resource allocation. The agency provides an appropriate level
of funding and other tools and resources* along with external expertise
and assistance when needed* to ensure that its training and development
programs reflect the importance of its investment in human capital to
achieving its mission and goals.

 Partnerships and learning from others. Coordination within and among
agencies achieves economies of scale and limits duplication of efforts. In
addition to benchmarking high- performing organizations, these efforts
allow an agency to keep abreast of current practices, enhance efficiency,
and increase the effectiveness of its training and development programs.

 Data quality assurance. The agency has established policies and
procedures that recognize and support the importance of quality data and
of evaluating the quality and effectiveness of training and development
efforts. It establishes valid measures and validated systems to provide
reliable and relevant information that is useful in improving the agency*s
training and development efforts.

 Continuous performance improvement. Agency practices and policies foster
a culture of continuous improvement and optimal organizational performance
regarding training and other activities. Stakeholders rely on and use
program performance information and other data to assess and refine
ongoing training and development efforts; target new initiatives to
improve performance; and design, develop, and implement new approaches to
train and develop employees.

Source: GAO.

When using this guide to assess an agency*s training and development
efforts, it is important to recognize how these eight core characteristics
can contribute to a strategic training and development approach. Each

characteristic, such as stakeholder involvement, is a crucial part of each
component and should be integrated throughout the training and development
process. (See fig. 5.)

Figure 5: Linking Core Characteristics to the Components of the Training
and Development Process

Components of the Training and Development Process

Planning/ Front- end Analysis

Core Characteristics of a Strategic Training and Development Process

Strategic alignment

Design / Leadership commitment Development

and communication Stakeholder involvement Accountability and recognition

Implementation

Effective resource allocation Partnerships and learning from others Data
quality assurance Evaluation

Continuous performance improvement Source: GAO.

For example, in planning/ front- end analysis, all of an agency*s
stakeholders, including human capital and training professionals, should

be involved in decisions about how best to achieve strategic and
performance goals through targeted training and development strategies.
When designing and developing a specific training or development

program, subject matter experts can contribute their knowledge and
perspectives about what is needed to master the job*s requirements and
help identify which performance measures would best gauge the
effectiveness of the training or development program. In implementation,
trainers and participants can provide valuable feedback on how training
efforts are going and point to refinements or additions that may be
needed. Evaluation can be informed, not only through participants*
reactions, but

also through involving stakeholders such as peers, managers, or others who
are in a position to observe behavioral or organizational changes and
provide information on how training and development efforts contributed to
these changes.

Related GAO Products

Human Capital: Selected Agency Actions to Integrate Human Capital
Approaches to Attain Mission Results. GAO- 03- 446. Washington, D. C.:
April 11, 2003.

Military Transformation: Progress and Challenges for DOD*s Advanced
Distributed Learning Programs. GAO- 03- 393. Washington, D. C.: February
28, 2003.

Defense Management: Army Needs to Address Resource and Mission
Requirements Affecting Its Training and Doctrine Command. GAO- 03214.
Washington, D. C.: February 10, 2003.

Information Technology Training: Practices of Leading Private- Sector
Companies. GAO- 03- 390. Washington, D. C.: January 31, 2003.

Human Capital: Effective Use of Flexibilities Can Assist Agencies in
Managing Their Workforces. GAO- 03- 2. Washington, D. C.: December 6,
2002.

A Model of Strategic Human Capital Management. GAO- 02- 373SP. Washington,
D. C.: March 15, 2002.

Export Promotion: Government Agencies Should Combine Small Business Export
Training Programs. GAO- 01- 1023. Washington, D. C.: September 21, 2001.

Human Capital: Practices That Empowered and Involved Employees.

GAO- 01- 1070. Washington, D. C.: September 14, 2001.

Veterans* Benefits: Training for Claims Processors Needs Evaluation.

GAO- 01- 601. Washington, D. C.: May 31, 2001.

Human Capital: A Self- Assessment Checklist for Agency Leaders. GAO/ OCG-
00- 14G. Washington, D. C.: September 1, 2000.

Human Capital: Design, Implementation, and Evaluation of Training at
Selected Agencies. GAO/ T- GGD- 00- 131. Washington, D. C.: May 18, 2000.

Acquisition Reform: GSA and VA Efforts to Improve Training of Their
Acquisition Workforces. GAO/ GGD- 00- 66. Washington, D. C.: February 18,
2000.

Human Capital: Key Principles From Nine Private Sector Organizations. GAO/
GGD- 00- 28. Washington, D. C.: January 31, 2000.

Department of Energy: Actions Necessary to Improve DOE*s Training Program.
GAO/ RCED- 99- 56. Washington, D. C.: February 12, 1999.

(450193)

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a

GAO United States General Accounting Office

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Related GAO Products Page 79 GAO- 03- 893G Guide for Strategic Training
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