Training a Global Workforce


The SuccessFactors LMS has extensive support for government and industry regulations across the globe. Companies operating in multiple countries should consider regulations when choosing an LMS and ensure that system supports the applicable regulations.


You wouldn’t want to find yourself in the middle of legal issues and fees now would you?!

Ways the LMS supports government and industry regulations.

  • FDA 21 CFR Part 11 (Life Sciences)
    • E-Signatures
    • Audit Tables
  • French Government and French Work Councils
    • 2483 Reporting
    • DIF Tracking
    • Training Planner
  • German Privacy
    • Deletion of User Data
  • US Federal Government Agencies
    • EHRI
    • SF-182 External Requests
  • Worker Qualifications (Manufacturing)
    • Curricula


US FDA 21 CFR Part 11

Intended to protect the public against manufacturing defects and anomalies in production of medical goods and pharmaceutical products 21 CFR Part 11 includes regulations that governs the use of electronic signatures in the Life Sciences industry.


The SuccessFactors LMS implemented two major features to support the regulated medical industry:

Electronic Signatures

               

21 CFR Part 11 requires an additional password when recording learning events. When E-Signatures are activated in the SuccessFactors LMS, users                 must enter an additional password. This password is used only when recording learning. This comes into play in two situations:


    • Learning is recorded manually – Admins and Supervisors record learning for others and are prompted for the secondary password before learning is recorded.
    • Users complete online training. Typically online learning is recorded automatically. When E-Signatures are active Users must enter the secondary password before learning is recorded.

Audit Trails

Life Sciences companies are audited regularly to ensure compliance, and must produce reports demonstrating that e-signatures are properly recorded. The LMS maintains audit tables on important data including changes to learning history, user, items (courses) and curricula. If an Admin has modified a learning history record, a report will show this change. The following reports are available on audit tables:

  • Curriculum Summary Data Audit Report
  • Item Summary Data Audit Report
  • User Custom Field Data Audit Report
  • User Summary Data Audit Report
  • User Learning Plan Audit Report

Audit Trail

(Sample Report)

Audit Trails.png


French Work Council

The French government as well as work councils in France impose certain training requirements on employers operating in France. Employees must be given the opportunity to complete a certain amount of training each year and the time spent in training must be accounted for. When training takes place outside of normal work hours employers may be required to compensate employees for that time. The French government requires 2483 Reporting, which details the dollars spent on training and the amount of training delivered to employees. A percentage of revenues is collected and applied towards training some of which helps train people who are out of work. 

The LMS supports the following regulations applied to companies in France by the French national government and by work councils:

  • DIF Tracking
  • 2483 Reporting
  • Training Planner to forecast training budgets



2483 Report

(Sample)

2483 Report.png

German Privacy Regulations

The German government requires employee data be deleted from all systems 5 years after the employee has left the company. A process called the “Purge Deleted User Audit History” automatic process deletes user data after X days. The number of days can be set to any numeric value. It is not required to be set to1826 days (5 years), so companies can be stricter than the German government requires. Companies outside of Germany can be less stringent as they are not required to comply with German regulations.

Purge Feature

(Screenshot)

German Privacy.png

US Federal Government

Support for US government agencies is extensive, as the SuccessFactors LMS is the system of choice for most US federal agencies. Two features in particular were implemented to support the US Federal Government regulations. The requirements were specified originally by the Office of Personnel Management (OPM) and generalized for companies to use if they wish.

  • External Requests – Originally called SF-182 forms, External Requests provide an alternate way to request and record training by filling out a form that specifies the costs and duration of training  – and requires approval from supervisors and other parties before training begins. A verification process is included, which applies an approval process to the verification of training after it has been completed. Typically users in the federal government use this feature to obtain approval for the estimated cost of training and to document the actual costs of training.
  • EHRI – There is an entire set of functionality most people never see called EHRI. EHRI is a specific set of regulations requiring federal agencies report all training data to OPM. The original idea was to provide a single training record for all government employees so that when employees change agencies (very common), the training record remains intact. Two issues were discovered in the implementation:
    • Agencies utilize many different types of systems including major LMS vendors, Access databases, and Excel spreadsheets – integrating this data into one feed with common fields is quite the task and has taken several years (with continuation)
    • Training is not standardized across agencies; while similar training may be offered in multiple agencies and could be considered the same course for qualification purposes, they often have different names and IDs. In addition, it is not clear from basic data how similar these courses may be. The task of determining what training an employee needs based on his/her past records can be difficult until these courses are standardized.

  Given all that, EHRI is supported. The LMS supports loading private data including Social Security Number and Date of Birth through a feed from the HRIS directly into the LMS. PII fields are never displayed to admins and users. It is imported through a system interface, stored in encrypted tables, and exported to a standard reported transmitted through SFTP to OPM.

SF-182 Form

(Screenshot)

SF-182.png

Worker Qualification (Manufacturing)


Worker Qualifications may be strict regulations imposed by a third party or they may be internal training requirements that determine employee eligibility to work. Employees not up to date on training may be prevented from doing their job until required training is complete.

The primary feature that supports employee qualifications is Curricula. Curricula were at one time (very early versions) called Qualifications, and some database fields and code still refer to qualifications. Don’t be surprised to find the phrase QUAL when you dig deep into the underlying properties files of the system.

Worker qualifications follow a general pattern:

  • Read a document and sign off as “read and understood”
    • At one time this was accomplished with a handwritten signature. Today it is accomplished by pushing a button in the LMS next to the statement “read and understood”. The LMS comes with the “AICC Document Wrapper” to easily wrap this Read and Sign capability around any document sitting on a web server.
  • Complete training
    • This training may be Instructor-Led, Online, or both
  • Demonstrate performance on the job
    • On the Job is a combination of training and demonstration. In some cases it is a hands-on mentoring process. In others it is similar to an evaluation. The application even supports checking off completion of tasks on the job through the “Tasks” feature. Fun side note – this feature works on iPads so you can walk around the shop floor checking off tasks as they are completed
  • Supervisor Approval
    • An admin or supervisor may manually record authorization and rescind that authorization at a later date if the employee demonstrates poor performance.



Final Thoughts…

As you can see the SuccessFactors LMS has extensive support for a wide range of both government and industry regulations across the globe. Companies operating in multiple countries should consider regulations when choosing an LMS, and ensure that whatever the choice the system does in fact support the applicable regulations. You wouldn’t want to find yourself in the middle of legal issues and fees now would you?!

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8 Comments

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  1. Thierry JOSSELIN

    Interesting blog. Thanks

    Note that French law has change this year:

    – 2483 report is not anymore a legal obligation

    – DIF is replaced by CPF (Compte Personnel de Formation)

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    1. Jonathan Malkin Post author

      Thanks for the update on French law Thierry! I like to stay current on 21 CFR Part 11, French and German law, and other regulated industries/countries.

      What are the current Work Council requirements? The 2483 was also used as a tool for reporting to Work Councils.

      (0) 
      1. Thierry JOSSELIN

        2483 is the name of the legal file (CERFA) and will disappear but as you said the information will remain important for reporting to Work Councils. We have a good example through SF EC “Bilan Social” report but no default reports in Learning.

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  2. Lane Davis-Coury

    Great summary of the wide range of ways that the SF LMS supports legal compliance. Customers often ask the question and it is not easy to remember all of the relevant features. This blog will be a very helpful reference.

    (0) 
  3. Chris Stiles

    Great article!  For those with a particular interest in the auditing capabilities of SF LMS, recent releases have added an additional eleven audit reports to the existing five.  

    1. Assignment Profile Attribute Data Audit Report
    2. Assignment Profile Domain Data Audit Report
    3. Assignment Profile Related Data Audit Report
    4. Curriculum Custom Field Data Audit Report
    5. Curriculum Summary Data Audit Report
    6. Email Summary Audit Report
    7. Instructor Authorization Audit Report
    8. Instructor Data Audit Report
    9. Item Custom Field Data Audit Report
    10. Item Summary Data Audit Report
    11. Scheduled Offering Data Audit Report
    12. Scheduled Offering Enrollment Audit Report
    13. User Custom Field Data Audit Report
    14. User Item History Audit Report
    15. User Learning Plan Audit Report
    16. User Summary Data Audit Report
    (0) 

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