Human Capital Standard for Success

1) Agency human capital strategy is aligned with mission, goals, and organizational
objectives and integrated into its strategic plans, performance plans, and budgets.

Strategic Alignment

Critical Success Factor

1-A) Human Capital Focus
The agency designs a coherent framework of human capital policies, programs, and practices to achieve a shared vision integrated with the agency’s strategic plan.

1-A-1) Does the agency’s strategic plan establish an agency-wide vision that guides human capital planning and investment activities?

Elements of YES
The agency’s strategic plan provides a clear vision that guides the planning, investment, and management of human capital to achieve performance improvements consistent with the strategic goals and objectives across information technology, finance, and mission-specific program areas. The agency has a human capital plan or other human capital planning documents that establish human capital goals, objectives, and investments that link to the agency strategic plan and reflect how human capital supports mission accomplishment.
  
Suggested Performance Indicators
> The agency has designed human capital performance improvement goals that support mission accomplishment.
> The strategic plan sets human capital progress milestones and identifies those responsible for meeting them.
> Published and approved human capital planning documents describe human capital goals, objectives, investments, and strategies that are linked to the agency strategic plan. 
> Agency annual performance plan and budget request include human capital activities and investments. 
> Annual performance review tracks human capital activities and investments.

1-A-2) Does the agency have a system in place to continually assess and improve human capital planning and investment and its impact on mission accomplishment? 

Elements of YES
The successful achievement of the mission has been defined in terms of quantified long- and short-term performance goals.  There is a formal agency-wide system that promotes analysis, planning, investment, management, and alignment of human capital to achieve strategic goals and objectives. The system is led by a human capital review team or similar collaborative comprised of senior leaders and managers from human resources, information technology, finance, and mission-specific program areas.  This team/body collaborates with agency President’s Management Agenda leads.   

Suggested Performance Indicators
> The agency has documented processes that show how members of the human capital review group are included in the development of the agency strategic plan.
> The agency has a documented change management/implementation process that identifies necessary human capital practices that facilitate the change. 

1-A-3) Are managers held accountable for effective implementation of human capital plans and overall human capital management?
Elements of YES
There are established mechanisms to communicate human capital plans to all levels of management.  Managers understand their role in implementing these plans.  Agency policy places responsibility for effective implementation and overall human capital management on supervisors, managers, and leaders.  Where appropriate, individual performance plans and evaluations address the accountability for successful implementation of human capital strategies.

Suggested Performance Indicators
> Agency policy, programs, and planning documents communicate accountability and responsibility for human capital strategies and human capital management.  
> Human capital partnering is considered in senior leaders’ and managers’ annual performance reviews. 
> Management performance evaluations contain measurable objectives and evidence of success in the management of human capital. 

Critical Success Factor

1-B) Governmentwide Human Capital Collaboration
To leverage its efforts, the agency works with others to share best practices and learn about new developments.

1-B-1) Does the agency look beyond its own experience and resources when developing human capital strategies?

    Elements of YES 
Agency representatives participate in Governmentwide collaborative efforts and/or
managerial/professional/employee organizations to share best practices and leverage lessons learned.  The agency utilizes OPM, OMB, and GAO resources (e.g., websites, research findings, special studies, program guidance).

    Suggested Performance Indicators 
> The agency uses Governmentwide benchmarks (e.g., staffing timeliness, Central Personnel Data File/FedScope, Governmentwide Survey [GWS] responses) in setting human capital strategic goals.
> The agency participates in human capital managerial/professional/employee groups (e.g., the Human Resources Management Council, the Small Agency Human Resources Council, Federal Executive Boards, and National Academy of Public Administration Human Resource Management Consortium).

Critical Success Factor

1-C) Human Resources Collaboration 
Senior leaders, managers, human resources (HR) professionals, and key stakeholders contribute to the human capital vision and the agency’s broader strategic planning process.  HR professionals act as consultants with managers to develop, implement, and assess human capital policies and practices to achieve the organization’s shared vision.

1-C-1) Are human resources professionals and key stakeholders involved in the agency strategic and workforce planning efforts?

Elements of YES
HR staff and key stakeholders participate in the development and revision of the agency’s strategic plan and facilitate workforce planning and analysis efforts. This planning links the human capital perspective to the mission, function, and strategic management of the agency, as well as to other management initiatives such as e-Government and competitive sourcing.


Suggested Performance Indicators
> HR staff conducts workforce studies and analyzes results in collaboration with managers and the data is used for decision-making.
> Documents substantiate involvement of key human capital leaders and key stakeholders in the planning process (e.g., membership of the Board of Directors, team charters of review boards, working groups, or executive off-sites).

1-C-2) Is the HR function adequately staffed and prepared, in competencies and resources, to proactively partner and consult with line managers? 

Elements of YES
The HR staff can anticipate and meet the needs of agency managers.  The agency has a process to close competency gaps in HR staff that could hinder their efforts to provide managers the advice and tools they need to operate.  The agency’s human resource information system has the capacity to provide relevant and reliable data necessary to make fact-based HR decisions.

Suggested Performance Indicators
> Agency conducts HR staff development needs-assessment studies to identify competency gaps and recruits and/or trains staff to fill those gaps.
> HR staff conducts program reviews, customer surveys, and regular assessments of information systems and other support functions to identify areas for continuing improvement. 
> Agency utilizes an HR information system that promotes employee self-service and manager access to a broad range of HC information and indicators. 
> Analysis of staffing levels includes considerations such as HR servicing ratio, HR staff distribution by series/grade, HR staff average grade, age, length of service, training completed, retirement eligibility, HR supervisory ratio, and ratio of personnel actions to personnel staff.

1-C-3 Does the HR staff reach out to other organizational functions and components through facilitation, coordination, and counseling to provide integrated mission support?

Elements of YES
The HR staffs consult with managers and supervisors across the agency on various management issues.  They provide advice and guidance to managers on human capital strategies tailored to meet organizational needs.  The HR staff anticipates needs of customers, ensures quality of services, and communicates program requirements.  Managers, supervisors, and key stakeholders across the agency believe human resources strategies are targeted to achieve agency mission and objectives. Customer feedback mechanisms are utilized to improve service delivery.  
  
Suggested Performance Indicators
> The HR staff has assessed customer needs and developed functions and services to support and fulfill those needs.
> The HR staff involves line functions in program review and/or development and likewise is invited by line functions in organizational meetings and retreats to discuss human resource issues.
> GWS and/or other surveys or interviews indicate that HR staff members are viewed as internal consultants and that human capital strategies support the broader agency mission.
> A formal program review, policy approval, and management oversight group exists.
> Policies describe the process and procedures for communicating customer issues, resolving customer dissatisfaction and handling customer comments.
> The HR staff measures and communicates the value of products and services it provides.



Human Capital Standard for Success
2) Agency is citizen-centered, delayered and mission-focused, 
and leverages e-Government and competitive sourcing.
Workforce Planning and Deployment

Critical Success Factor

2-A) Workforce Planning
The agency has an explicit workforce planning strategy, linked to the agency’s strategic and program planning efforts, to identify its current and future human capital needs, including the size of the workforce, its deployment across the organization, and the competencies needed for the agency to fulfill its mission. The efforts are geared to creating a citizen-centered, results-oriented, market-based organization.

2-A-1) Does the agency approach workforce planning strategically, basing decisions on mission needs and customer expectations, workload, and workforce?  

    Elements of YES 
Agency management questions fundamental assumptions about how work is done and who should do it.  The agency has a systematic process for identifying the human capital required to meet organizational goals and to develop strategies to meet these requirements. The agency has a strategic workforce planning model for managers to assess and analyze their workforce.  The model describes agency-specific processes for setting strategic direction, restructuring the workforce through work-flow analysis to meet future needs, developing and implementing action plans, and evaluating and revising them as necessary.    The agency has established plans, policies, and activities that outline a strategic approach to structure work processes, determine necessary layers, and streamline the organization.  The agency conducts risk assessments for minimizing adverse impacts on the workforce due to restructuring.

Suggested Performance Indicators
> Position management is reviewed at the strategic level to ensure organizational efficiency and effectiveness.
> Workflow redesigns are based on strategic assessment of achieving the mission.
> Organizational units are structured around work-flow rather than functions.
> Key supporting functions for all business areas are documented and assessed.
> Management has updated modeling for all business areas based on projected mission changes, technology advances, or other change drivers.
> Decisions for redeployment and reorganization are documented and substantiated with empirical evidence.
> Agency has documented strategies for workforce planning that outline roles, responsibilities, and other program requirements to include frequency of reviews.
> Established performance measures are tracked and regularly updated and trends are analyzed.
> Agency uses workforce planning reports and studies to assess the organization’s deployment strategies.
> Agency uses management studies such as workflow redesign to eliminate work and interfaces that add no value.
> Agency uses best practice benchmarks in assessing process models to determine workloads and resources.
> Customer requirements for workforce planning support and services are evaluated regularly and functions reevaluated based on those findings.
> Turnover indicators (e.g., transfers, retirements, and separations in each of the last several years, overall, and by professional and administrative occupations) are monitored regularly.

2-A-2) Are workforce strategies based on identified current and future human capital needs, including size and deployment of the workforce and the competencies needed to carry out the mission? 

    Elements of YES  
The agency has a comprehensive strategic workforce plan that addresses both current and future workforce competency requirements.  Human capital strategies are derived from workforce demographic studies, agency staffing information, competitive sourcing studies, and analyses of the effectiveness and efficiency of the agency’s organizational structure.  Workforce strategies include descriptions for recruiting, hiring, deployment, retention, and other staffing and development initiatives.  Human capital staffing and training strategies anticipate changes due to e-Government and competitive sourcing.  Agency tracks demographic information on the workforce.

    Suggested Performance Indicators
> Published strategic workforce plan includes mission-critical positions, current needs, projected business growth, future needs by competency and number, a process to assess competency gaps and basic plan to close the gaps identified.
> Staffing data showing trends in appointments, promotions, conversions, separations, and retirements are analyzed regularly, and decisions are based on documented data.
> Review of demographic data and management decisions based on HR staff recommendations are documented.
> Agency uses multi-faceted techniques to close competency gaps within the organization (e.g., strategic recruitment, mid-career hiring, training).
> Agency has a strategic recruitment plan tied to organizational objectives and desired outcomes.
> Analysis of workforce demographics includes indicators such as size, distribution of workforce (including SES) by grade, series, geographic locations, types of positions occupied, pay plan, veteran representation, gender, race and national origin representation, average age, average grade, etc.
> Agency conducts regular assessment of its need for, and deployment of, executive resources.

2-A-3) Does the agency effectively deal with barriers (statutory, administrative, physical, or cultural) to restructuring efforts?

Elements of YES
Agency identifies barriers to restructuring and produces mitigation strategies to overcome the barriers.  

Suggested Performance Indicators
> Documentation exists of impediments, if there are any, recourse, and outcomes.
> Solutions within the current environment (Title 5 and/or other appropriate systems) are identified.
> Through consultation with OPM, agency makes a sound business case for any waivers, exemptions, or regulatory or legislative relief it may request. 
> Agency has a documented change management strategy to facilitate restructuring/culture change efforts.

Critical Success Factor

2-B) Workforce Deployment
The workforce is ideally positioned, both geographically and organizationally, to serve citizens and accommodate the unique nature of the agency in meeting its mission and goals.  

2-B-1) Do human capital strategies ensure the organization is appropriately structured to avoid excess organizational layers (horizontal) and redundant operations (vertical)?

Elements of YES
Functional analyses are conducted with an emphasis on ensuring the organization (headquarters and field) is appropriately structured and has the right workforce mix to best support the agency mission.  The benefits of proposed changes are quantified and incorporated into the budget submissions.  Duplications in areas such as communications, legislative affairs, budget, and personnel are reduced and programs are streamlined and consolidated wherever possible.

Suggested Performance Indicators
> Agency human capital plan includes specific areas targeted for workforce redeployment.
> Documentation of initiatives shows review, planning, design, and, if applicable, implementation and outcome of efforts to realign the workforce.
> Analysis of data includes statistics such as ratio of administrative jobs (e.g., administrative officer, budget analyst, budget clerk, management analyst, personnel clerk, personnel professional, support services) to workforce, distribution of administrative jobs by organizational component and by geographical location, trends in numbers and proportions of administrative jobs.
 
2-B-2) Do human capital strategies ensure that the organization has the right balance of supervisory and non-supervisory positions to better meet customer needs?

Elements of YES
Agency has analyzed the nature of customer needs, distribution of work, and the costs and benefits of supervision to determine the best supervisory ratio to support agency mission. 

Suggested Performance Indicators
> Agency has a staffing plan that indicates the necessary number of supervisors by functional area.
> Supervisory needs are clearly tied to workflow process and organizational initiatives.
> Agency has documented the need to redirect supervisory positions, of program design to support the redeployment, and of implementation plan and assessment of the outcome.
> Analysis of data includes statistics related to the number of supervisors, their geographical and organizational location, their series and grades, the ratio of supervisors to employees, percent of supervisors in grades GS-12-15 or equivalent, etc.



Human Capital Standard for Success

3) Agency leaders and managers effectively manage people,
ensure continuity of leadership, and sustain a learning environment
that drives continuous improvement in performance.

Leadership and Knowledge Management

Critical Success Factor

3-A) Leadership Planning and Implementation (SES, Managers, and Supervisors)  
The organization identifies leadership competencies and establishes objectives and strategies to address them.

3-A-1) Does the agency ensure continuity of leadership through succession planning and executive development?

Elements of YES
The agency conducts ongoing workforce analysis to identify its current and future leadership needs.  This analysis includes the size of the workforce, its deployment across the organization, and the competencies needed for the agency to succeed. A formal succession planning management program is in place that includes a review of current and emerging leadership needs in light of strategic and program planning, identifies sources of key position talent and provides for assessing, developing, and managing the identified talent. The agency conducts regular assessments of its leadership policies. The agency has identified key positions and high-potential employees and has a formal SES candidate development program or other merit-based method of developing the next generation of leaders.

Suggested Performance Indicators
> Workforce analysis related to supervision/leadership is conducted.
> Formal succession planning or talent management program is in place and its impact is measured.
> Written leadership development strategy is tied to workforce analysis and strategic plan.
> Documented leadership competencies are tied to the Executive Core Qualifications. 
> Documented and communicated leadership skill training program includes all levels of supervisors, managers, and potential leaders.
> A merit-based system assesses leadership competencies (e.g., identification of high-potential candidates for candidate development programs or identification of development needs to be incorporated into individual development plans).
> Individual development plans for leaders and managers include formal and informal training.
> Agency conducts analysis of leadership development program usage and impact. 
> Policy and methodology for managing high-potential employees are documented.
> Measures of success are documented and tracked.
> Percentage of women, minorities and people with disabilities in career ladders (GS 5-7-9 or similar) is tracked and assessed.
> Analysis of workforce demographics, including SES, helps form succession plans.  Analysis includes data such as average grade/age/length of service, distribution of the workforce (by series, grade, gender, race/national origin, supervisory status), turnover rates, and retirement eligibility.

Critical Success Factor

3-B) Change Management
The agency has in place leaders who understand what it takes to effectively bring about changes that achieve significant and sustained improvements in performance.

3-B-1) Do leaders establish a clear vision for change and make necessary commitments to achieve results?

Elements of YES
Leaders understand there is a need for a change process; provide adequate resources to support change; take visible actions to support new ways of working; facilitate the change management process by monitoring and addressing problems in the transition process; hold people accountable for achieving results and meeting their commitments to the change process; and focus on performance and progress against change milestones.  

Suggested Performance Indicators
> Annual performance plans, budgets, and performance reports document plans for and progress toward change goals.
> Performance ratings of leaders and managers consider their implementation of change initiatives.
> Newsletters, intranet, and other agency media reflect a vision for change.
> GWS and/or other climate surveys are conducted and analyzed and relevant results are factored into change in strategy. 

Critical Success Factor

3-C) Integrity and Inspiring Employee Commitment
Leaders maintain high standards of honesty and ethics that serve as a model for the whole workforce. Leaders promote teamwork and communicate the organization’s shared vision to all levels of the organization and seek feedback from employees.  Employees respond by maintaining high standards of honesty and ethics.

3-C-1) Do senior leaders generate high levels of motivation and commitment in the workforce and promote ethical behavior through modeling, communication, training, accountability systems, and disclosure mechanisms?

Elements of YES
Leaders foster an environment of open communication (top-down and bottom-up communication) throughout the agency.  Employees view the agency as a desirable place to work.   Teamwork is valued and rewarded.  Agency policies reinforce the merit system principles and the Office of Government Ethics Standards of Ethical Conduct for Executive Branch Employees (while maintaining policies that avoid the commission of prohibited personnel practices) and, at a minimum, meet all applicable requirements for training in ethics, non-discrimination in employment, whistleblower protection, and other personnel protections.  Ethical behavior and standards are identified for all employees.   Programs for identifying violations exist and there are few, if any substantiated cases. 

Suggested Performance Indicators
> GWS and/or other employee climate surveys reflect a positive, committed work environment.
> Human resources staff, in partnership with management, seeks and considers continuous feedback from employees (e.g. focus groups) regarding workplace environment.
> Agency has been cited in applicant feedback and media stories as an employer of choice.
> Agency awards policy promotes teamwork through the use of group awards and communication of group successes.
> Agency analyzes trends across management indicators such as per capita overtime, workers’ compensation charges, sick leave usage, forfeiture of annual leave, turnover, removal of probationers, disciplinary actions, adverse actions (Part 752), and exit interviews.
> Senior leaders sign statements of conduct or agency-wide declarations.
> GWS and/or other employee surveys report that an ethical climate exists, that employees are aware of their whistleblower rights and other personnel protections, and they are likely to report wrongdoing.
> Communication strategies include a variety of media to convey senior leadership’s message to the workforce.
> Agency has a positive record in program reviews and congressional reviews.
> Agency has a whistleblower support and Inspector General hotline program; activities are recorded and analyzed.
> Agency is certified in compliance by the Office of Special Counsel with 5 U.S.C 2302(c) requirement that the workforce be informed of whistleblower rights and other personnel protections.

Critical Success Factor

3-D) Strategic Knowledge-Management
The organization systematically provides resources, programs, and tools for knowledge-sharing across the organization in support of its mission accomplishment.

3-D-1) Is there a strategic knowledge-management effort in place within the agency?

Elements of YES
Institutional knowledge is readily retrieved and disseminated across the organization.  Employees and managers have access to programs and tools that share institutional knowledge.  Leaders embrace, model, and promote use of programs and tools that share institutional knowledge.  Innovative collaborative means are encouraged and promoted throughout all facets of operations. 

Suggested Performance Indicators
> Agency has a documented process and/or program in place that encourages sharing of knowledge and information (e.g., mentoring and career broadening).
> Reward system reflects value agency places on knowledge-management.

3-D-2) Are employees making the best use of information technology to perform their work and to gather and share knowledge?

Elements of YES
The agency has enterprise-wide information resource systems available to all or most elements of the organization.  Requirements and specifications for tools support work performed by employees.

Suggested Performance Indicators
> Agency-wide strategy exists for linking knowledge across the organization. 
> Agency has begun codifying knowledge through the use of the intranet, shared networks, and communities of practice and/or best practices.

Critical Success Factor

3-E) Continuous Learning and Improvement
Leaders foster a learning culture that provides opportunities for continuous development and encourages employees to participate.  Leaders invest in education, training, and other developmental opportunities to help themselves and their employees build mission-critical competencies.

3-E-1) Is there a culture of continuous learning and employee development within the agency?

Elements of YES
Leaders emphasize the value of learning.  They foster continuous learning opportunities for employees and encourage them to adopt and share innovative ideas that promote self development.  They encourage and support collaborative events, knowledge-sharing forums, and communities of interest to institutionalize new ideas and practices.


Suggested Performance Indicators
> Agency has a documented policy and objectives addressing continuous learning and development.
> The agency’s comprehensive strategic rewards approach includes investing in learning and development as part of its overall plan.
> Specific budget line items exist that demonstrate the investment in employee development programs.
> Employee development activities are tied to identified competencies.
> GWS and/or other climate surveys and/or focus groups indicate an environment of support for new behaviors and skills.

3-E-2) Do training and development strategies and initiatives support development of individual, team, and organizational competencies linked to the agency mission?

Elements of YES
Training programs are built around competencies that tie to organizational objectives and strategies. Competencies are assessed and employees are trained in specific, job-related skills based on strategic needs of the agency.   Senior leadership acknowledges the importance of these programs and ensures resources are allocated as needed.  

Suggested Performance Indicators
> Agency has established training programs that support its strategic plan and the training and development needs of its core occupational groups.
> Agency annually conducts a multi-level assessment (organizational, occupational, and individual) to determine training needs and uses the results to develop, enhance, and/or redirect its training programs.
> Agency has documented competency-based career development programs that include various development activities and learning opportunities.
> Internal standards for levels of competencies are documented.
> Agency utilizes individual development plans (or other documented method for capturing employee development) as a means of managing and planning employee development activities.
> Annual appraisals reflect consideration of individual development needs and goals for future development.
> Agency has a policy of shared accountability by employees and managers for development.

3-E-3) Does the agency utilize learning technology and innovative learning strategies in addressing the training and development needs of the workforce?

Elements of YES
Learning technology and other alternative learning strategies are integrated within the agency human capital planning documents and training plans.  

Suggested Performance Indicators
> Agency assesses competency gaps, target populations, current training and development initiatives, and delivery methods to determine where blended learning opportunities can be implemented to close or eliminate those gaps.
> Agency assesses existing e-learning initiatives available to Government (e.g., Gov Online Learning Center), and integrates them where appropriate.
> Agency has implemented a strategy that ensures the technology infrastructure is in place to support the greater utilization of e-learning.

3-E-4) Can the agency evaluate the impact of investment in continuous learning and development on individual performance and mission accomplishment?




Elements of YES
Training programs help to improve performance and employees exhibit a clear change in behaviors or results in the workplace.  Supervisors and managers determine if training programs have helped achieve their organizational goals.  Supervisors and managers support training that results in desired changes in performance.

Suggested Performance Indicators
> Agency conducts cost benefit analysis to determine the benefits derived in individual or organizational performance.
> Agency measures impact in terms of workplace performance, process improvements, and achievement of organizational goals and/or employees meeting or exceeding performance expectations.

Human Capital Standard for Success

4) Agency has a diverse, results-oriented, high performing workforce,
and has a performance management system that effectively
 differentiates between high and low performance
and links individual/team/unit performance
 to organizational goals and desired results.

Results-Oriented Performance Culture

Critical Success Factor

4-A) Performance Management
Performance management establishes managerial and individual performance expectations, evaluates results, holds people accountable, and gives performance recognition, all of which is linked to key organizational goals, desired results, and mission.  

4-A-1) Is the agency strategic plan shared with and accessible to employees?

Elements of YES
Agency has a well established communication system in place to share the vision with employees. The strategic plan has been communicated to all employees and a copy of the plan has been provided or is readily available to all employees.  Employees are aware of a strategic plan and understand how it relates to the agency's mission.

Suggested Performance Indicators

> Ongoing, tailored communications to support change effort have been implemented.
> GWS and/or other employee surveys indicate that employees are knowledgeable of strategic plan and their specific role in supporting agency mission. 

4-A-2) Is there a direct line of sight between employee performance expectations and recognition systems and the agency mission, and are these links communicated and understood?

Elements of YES
Employees understand their agency’s vision and goals, how their work fits into the organization, and how they contribute to mission accomplishment.  Employee performance elements and standards are clearly aligned with the agency mission and goals.  Performance expectations for senior executives, managers, supervisors, and employees are:

* based on job analysis;
* clear, specific, and understandable;
* reasonable and attainable;
* measurable, observable or verifiable, and results-oriented;
* communicated in a timely fashion; 
* and foster continual improvement in productivity.

Each member of the workforce is held accountable through individual performance evaluations for achieving results that support the agency strategic goals and objectives. The agency develops supervisory competencies in performance management, and senior executives, managers, and supervisors are evaluated on how fairly and effectively they manage employees’ performances.  The agency’s recognition system is clearly defined, transparent, and has results-oriented criteria in place to reward employees, as individuals or members of groups, at all levels.    

Suggested Performance Indicators
> All employee (non-supervisory, supervisors, managers, SES) performance plans are aligned with agency strategic planning initiatives.
> Work units have documented performance goals and standards.
> Agency tracks performance through regular reporting of results.
> GWS and/or other climate survey results reflect that employees understand what their performance expectations are and how their efforts contribute to mission accomplishment.
> Manager and leader training courses address performance management and coaching techniques.
> Review of a sample of performance appraisals shows performance management is a part of supervisors’ and managers’ appraisal criteria.
> GWS and/or other employee surveys reflect confidence that awards are based on contribution to mission accomplishment.

.4-A-3) Has the agency created a “reward environment” that applies factors beyond compensation and benefits to attract, retain, and motivate employees?

Elements of YES
The agency has developed and incorporated in the human capital planning documents an application of strategic rewards framework that includes a commitment to employee development and recognition.

Suggested Performance Indicators
> Agency award policy promotes the use of non-monetary forms of recognition (e.g., certificates, stories in employee bulletins, honorary awards, informal recognition items).
> Performance management policy encourages recognition of employee efforts and accomplishments through investments in employee development.
> GWS and/or other climate survey results and interviews reflect that employees feel valued.

4-A-4) Does the agency’s performance management program provide for differentiation between high and low performance?

Elements of YES
The agency provides for more than two summary performance levels on appraisals or, if the agency uses pass/fail appraisals, it uses its awards programs or other methods to make more precise distinctions between performance levels. High and low performance levels are defined, shared, and applied in assessing employee performance.  Awards and recognition are provided based on clear criteria. (Please note: SES performance management system must provide for three specific summary performance ratings.)  

Suggested Performance Indicators
> Agency has a documented awards and recognition program tied to performance measures and core values.
> Performance measures include definitions/examples to guide managers in assessing employees.
> SES, GS, and equivalent performance ratings indicate differentiation between high and low performance.
> Statistical data related to the use and distribution of awards indicate appropriate application of these incentives.
> Statistical data related to separations for performance, number of removals and downgrades (Part 432), and number of denials of within grade increases indicate appropriate application of these remedies.

4-A-5) Do supervisors and managers use performance results to identify developmental needs and address poor performance? 



Elements of YES
Supervisors and managers analyze performance results to surface individual and organizational areas that require attention and development.  Learning and knowledge-management needs are part of performance management discussions.  Agency leaders support and encourage managers and supervisors giving frank and constructive feedback on performance and taking performance actions where appropriate.  The agency has procedures and clear lines of accountability for addressing poor performance.

Suggested Performance Indicators
> Data indicate use of performance improvement plans and separations for performance when necessary.
> GWS and/or other surveys report availability of training to improve performance and managers’ effectiveness in dealing with poor performers.
> Performance appraisals reflect analysis of performance results, indicating areas that require development and or improvement.
> Performance feedback includes discussion of appropriate training and development and learning and knowledge-management solutions to improve performance.
> Agency procedures detail steps for addressing poor performance.
> Agency policy factors performance management into supervisory and management performance plans, including management of poor performance.
> Agency policy requires corrective action when supervisors or managers fail to address poor performance, and agency managers or leaders enforce agency policy.
> Probationary period is monitored and effectively utilized to remove poor performers.
> Agency tracks data such as number of employees hired and removed over time and performance rating distributions for SES, GS, and equivalent.

Critical Success Factor

4-B) Diversity 
The agency maintains an environment characterized by inclusiveness of individual differences and is responsive to the needs of diverse groups of employees.  

4-B-1) Does the agency have a workforce diversity management program? 

Elements of YES
The agency tracks and analyzes workforce diversity trends, identifies and monitors any under-represented groups, and develops and implements diversity outreach plans to improve representation.  

Suggested Performance Indicators
> Federal Equal Opportunity Recruitment Program and Disabled Veterans Affirmative Action Program plans identify under-representation and describe specific outreach efforts to overcome barriers to recruitment.  
> Agency tracks outreach efforts to diverse groups. 
> Workforce demographics show statistics on diversity.  
> GWS and/or other surveys and interviews report satisfaction with agency efforts to support diversity.

4-B-2) Is the agency responsive to the needs of diverse groups? 

Elements of YES
The agency works to meet the needs of employees of all backgrounds.  It maintains "zero tolerance" of discrimination and sexual harassment, ensuring a work environment that is free from fear and abuse and where all employees are valued and treated with respect.  The agency recognizes and demonstrates that an inclusive workforce is critical to achieve results.  
    
    
    Suggested Performance Indicators
> Agency has an active diversity program open to all interest groups.
> Forums and activities for special interest groups provide ways to communicate with workforce.
> Training includes regular review of diversity-related expectations.
> Resources are provided to diverse special interest groups to meet and conduct educational activities.
> Complaint procedures are well publicized and accessible to the workforce.
> Data on complaints is gathered, monitored, and analyzed for potential trouble spots or interventions and actions are taken as a result.
> Analysis of data includes representation of people with disabilities, various minority groups and women in the workforce by grade level and supervisory status and disciplinary actions, including probationary terminations, by grade level and supervisory status.
> GWS and/or other climate surveys and interviews indicate an inclusive atmosphere.

Critical Success Factor

4-C) Employee/Labor - Management Relations 
Cooperation between employees, unions, and managers enhances effectiveness and efficiency, cuts down the number of employment-related disputes, and improves working conditions, all of which contribute to improved performance and results.

4-C-1) Do managers, unions, and employees work together to accomplish the agency’s mission?

Elements of YES
Managers, teams, and employees at all levels are given the authority and resources they need to accomplish programmatic goals.  Management and unions work together to seek out and analyze workplace problems and develop innovative solutions and better methods of achieving mission objectives.  Communication flows up and down the organization, involving employees in the decision-making process and fostering their support for organizational decisions. The agency strives to reduce the causes of workplace conflicts, address problems early, and utilize alternative dispute resolution.  It ensures that conflicts are addressed fairly and efficiently.  

Suggested Performance Indicators
> Agency and unions have agreements addressing workplace issues that affect agency mission accomplishment.
> GWS and/or other climate surveys and/or interviews indicate that employees are satisfied with their level of participation in the organizational decision-making process and feel empowered to share ideas and/or concerns with supervisors and other management officials.  
> There is documentation of innovation and problem solving between employees and management.
> Agency has an active alternative dispute resolution program for employee/labor relations issues. 
> Data on formal complaints is gathered, monitored, and analyzed for potential trouble spots, needed training, or interventions and appropriate action is taken.




Human Capital Standard for Success

5) Agency has closed most mission-critical skills, knowledge, 
and competency gaps/deficiencies, and has made 
meaningful progress toward closing all. 

Talent

Critical Success Factor

5-A) Workforce Analysis
The agency identifies, through a systematic process, mission-critical occupations and competencies needed in the current and future workforce, and develops strategies to close the gaps.

5-A-1) Does the agency identify mission-critical occupations and competencies?

Elements of YES
The agency has studied its mission to determine which occupations and competencies are essential to achieving its strategic goals and has analyzed its current strengths and weaknesses regarding those occupations and competencies.

Suggested Performance Indicators
> Mission-critical occupation and competency references are included in strategic plan and/or performance plans.
> Agency workload studies are conducted and analyzed for trends.
> A methodology exists for determining mission-critical occupations and competencies in accordance with legal and professional standards.
> Analysis of data includes workforce demographics in mission-critical occupations, including size and distribution of workforce by grade, series, geographical location, type of positions occupied, pay plan, average age, retirement (eligible and expected), separations, turnover, etc.
> Job analyses identifying competencies for successful performance are current and updated when positions/occupations change.

5-A-2) Does the agency conduct business forecasting to determine what changes are expected in the work of the agency and how these changes will affect the agency’s workforce?

Elements of YES
The agency considers and prepares for possible changes in areas such as mission/goals, technology, new/terminated programs or functions, and outsourcing.  It routinely conducts workforce planning activities to identify competency gaps, including current and future competency needs and losses due to voluntary attrition (including retirements).   

Suggested Performance Indicators
> There are human capital forecasting references in strategic plan and/or performance plans.
> Agency workforce demographic and workload studies are conducted and analyzed for trends.
> Workforce information is included in budget documents.
> Analysis of data includes workforce demographics in mission-critical occupations, including size and distribution of workforce by grade/series/geographical location, types of position occupied, pay plan, average age, average grade, retirements (eligible and expected), separations, turnover, etc.

5-A-3) Does the agency develop and use recruitment and retention strategies to close anticipated workforce competency gaps? 

Elements of YES
The agency has identified the challenges to recruiting and retaining a quality workforce.  A formal recruiting, hiring, and retention plan exists or staffing goals and approaches are outlined in other strategic or human capital planning documents.  Action plans address current and future competency gaps, include delegation of tasks and requests for required funding, and make use of appropriate flexibilities and tools.
    
    Suggested Performance Indicators
> Formal recruitment and retention plans are in effect, including guidelines for recruitment and retention bonuses.
> Competency gap reduction goals are established. 
> A competency management system tracks mission-critical competencies and occupations.
> There are regular reports of progress towards reducing competency gaps.
> Staffing, training, and performance data indicate success in closing competency gaps.

Critical Success Factor: 

5-B) Compete for Talent
The agency develops short- and long-term strategies and targeted investments in people to create a quality workplace designed to attract, acquire, and retain quality talent.

5-B-1) Are senior leaders and managers involved in strategic recruitment and retention initiatives?

Elements of YES
Competing for talent is not limited to filling vacancies, but is an ongoing, agency-wide effort to draw quality candidates into public service.  Agency leaders manage resources, participate in planning, and assist HR staff in implementing strategic recruitment and retention initiatives.  Managers are familiar with HR flexibilities and tools and use them appropriately to plan and implement a comprehensive strategic rewards approach to attract talent and promote employee commitment and retention.

Suggested Performance Indicators
> Budget data and other documentation of planned and completed recruitment and retention activities show that funding is included in budget requests and adequate staff is allocated to support recruitment goals.
> The agency’s human capital budget includes all appropriate forms of strategic rewards.
> Training classes, intranet, and other forms of guidance provide information to managers on available staffing options.
> Evaluation process incorporates assessment of return on investment of recruitment activities, including both quality and quantity of applicants.

5-B-2) Are recruitment strategies appropriately aggressive and multi-faceted? 

Elements of YES
The agency establishes an on-going presence with professional organizations, colleges/universities, veterans’ organizations, and minority and community groups.  The agency develops and maintains effective marketing materials.  The agency takes advantage of various appointing authorities. 

Suggested Performance Indicators
> On-going relationships exist with professional organizations, colleges/universities, outplacement organizations, and other groups.
> Recruitment brochures and other marketing materials are attractive and informative.  
> Recruitment strategies are assessed for their success in hiring employees with mission-critical competencies.
> HR information system data is analyzed regarding use of options such as superior qualification appointments, Presidential Management Interns, Career Interns, and other internships, Veterans Readjustment Act, and appointments for persons with disabilities and other targeted candidates. 
> Requests for additional staffing flexibilities are justified by a human capital business case and necessary funding is included in agency budget requests.
> Analysis of recruitment success includes statistics related to staffing options (e.g., types of appointments or promotions), demographics, and trends on candidates and the workforce, including SES (e.g., size, distribution by grade/series/geographic location, type of position occupied, pay plan, veteran representation, gender, race/national origin, average age, average grade) and evaluation of proportion of qualified applicants to total number of applicants.

5-B-3) Does the agency use flexible compensation strategies to attract and retain quality employees who possess mission-critical competencies? 

Elements of YES
The agency uses appropriate compensation flexibilities such as recruitment bonuses, referral bonuses, retention allowances, relocation bonuses, critical position pay, tuition assistance, student loan repayments, superior qualifications appointment, special salary rates, pay banding or skill-based pay (where permitted), etc.  The agency periodically evaluates the effectiveness of flexibilities being utilized.

Suggested Performance Indicators
> Agency and/or human capital strategic plans and policies promote appropriate use of compensation flexibilities and make a successful business case to support funding.
> Written policies and procedures describe guidelines for use of flexibilities.
> Analysis of statistics indicates that flexibilities are used effectively.
> Entrance and exit interview data is tracked and analyzed to assess the impact of flexibilities.

5-B-4) Does the agency provide work/life flexibilities, facilities, services, and programs to make the agency an attractive place to work? 

Elements of YES
The agency promotes flexible working arrangements, including consideration of temporary, term, and seasonal appointments, flexible or part-time work schedules, and telework, where appropriate.  The agency includes among its strategic rewards a variety of programs and services to sustain a productive, supportive work environment, such as childcare/eldercare assistance, fitness centers, health assessments, safety seminars, employee assistance programs, parking facilities, and transit subsidies.    The facilities are routinely evaluated to ensure they are safe, secure, and healthful. The agency tracks and evaluates employee use of, and satisfaction with, work/life flexibilities, programs, and services.

Suggested Performance Indicators
> Policies and procedures describe guidelines for flexible tours of duty, telework, and work/life programs and services.  
> Appropriate communications and media are used to inform the agency workforce of available options. 
> The agency tracks and analyzes work/life flexibilities and their impact on recruitment and retention.
> Entrance and exit interview data are analyzed to assess impact of these flexibilities and programs.
> GWS and/or other surveys and interviews indicate a positive work environment.
> Clients of employee assistance programs report satisfaction.
> Agency tracks and analyzes indicators such as Workers Compensation claim rates and safety and air quality inspection data.

5-B-5) Are human capital approaches assessed with respect to the agency’s ability to attract, acquire, promote, and retain quality talent?


Elements of YES
The agency has mechanisms in place to track and evaluate recruitment, hiring, merit promotion, and retention activities. The agency periodically evaluates strategies in order to improve effectiveness.  A comprehensive strategic rewards approach is planned and implemented to create a rewards environment that attracts candidates and promotes employee commitment.

Suggested Performance Indicators
> Policies and procedures indicate how recruitment, hiring, promotion, and retention activities are evaluated.
> Agency conducts “lessons learned” or other evaluation activities and uses the findings to make improvements. 
> New hire performance data, including supervisor surveys, is collected and analyzed.
> Demographics of candidates (age, race/national origin, gender) are compared to demographics of the agency workforce and geographical recruitment area.
> Retention trends are tracked and analyzed.
> The agency tracks and analyzes data on mission-critical competencies and occupations.  Various recruitment metrics are collected and analyzed, such as average time to hire and cost per hire.  Industry benchmarking is conducted.
> Validity studies are conducted on assessment methods to ensure that the best candidates are selected.
> Cost benefit analyses of strategic rewards and other initiatives are used to refine plans and target future funding requests.  
> Customer service and GWS and/or other climate surveys are conducted and analyzed and relevant results are factored into change in strategy. 
> Statistical data are analyzed related to the relative success of various types of appointments and recruitment/retention flexibilities.
> Attitudes toward hiring process are collected from applicants.

5-B-6) Are agency leaders and HR professionals reviewing recruitment, hiring, and merit promotion programs to ensure fair hiring and placement actions?

Elements of YES
The agency regularly assesses staffing activities to identify and analyze issues of equity and compliance (e.g., veterans’ preference, public notice) and acts to address any problems.  Applicant assessment tools and processes are based on current and relevant job analysis and examining criteria in line with strategic competency needs.  All examining and merit promotion activities conform to requirements of Federal laws, rules, regulations, and applicable procedures.

Suggested Performance Indicators
> Qualified staff not involved in examining activities assess internal placement and delegated examining operations for compliance with merit system principles and avoidance of prohibited personnel practices.
> Agency monitors use of competitive and non-competitive appointments and promotions, temporary appointments, conversions, etc., including a breakdown by race/national origin and gender for compliance with merit system principles and avoidance of prohibited personnel practices.
> Reports show all types of staffing actions are monitored for compliance with merit system principles, and personnel actions show corrective action is taken on reported violations.

5-B-7) Does the agency application process enable rather than deter job seekers?

Elements of YES
The agency has a user-friendly application process that is not unduly burdensome or time consuming.  Job announcements and instructions for applying are clear and understandable.  The agency provides timely and informed responses to questions about the requirements and the process.  Applications received are promptly acknowledged.  The agency provides applicants regular updates on the status of their applications as significant decisions are reached.  The decision-making process is timely.    

Suggested Performance Indicators:
> Vacancy announcements, recruitment brochures, and other marketing products are clearly written in plain language.
> Correspondence records indicate communication with applicants throughout the selection process.
> Applicant surveys and entrance interviews reflect a positive experience for applicants.
> Length of time to hire is tracked to determine efficiency.


Human Capital Standard for Success

6) Agency human capital decisions are guided by a data-driven,
results-oriented planning and accountability system

Accountability


Critical Success Factor

6-A) Agency-wide System for Ensuring Accountability in Human Capital.
The processes and activities outlined under this Standard are used throughout the critical success factors described in this framework.  This ensures that over time people are managed efficiently and effectively and in accordance with the merit system principles, veterans’ preference, and related public policies to support the agency shared vision.   
.    
6-A-1) Has the agency documented all of its human capital management processes, measures, and results? 

Elements of YES
The objectives, methods, measures, and processes of human capital management are well documented and managers/supervisors and the human capital staff understand their roles within it.  Human capital processes and results related to the Human Capital Standards for Success and any other strategic human capital goals are documented and disseminated to allow for informed review and action by appropriate officials.  Recommendations and actions taken are also documented and disseminated. 

Suggested Performance Indicators
> Human capital program management guidebook or similar documentation exists to capture key processes, responsibilities, restrictions, and standards of performance for human capital management programs.
> Performance reports, human capital plans, memoranda, or other documents describe human capital results.
> Human capital leaders’ reports to management provide program and process costs and value-added calculations.

6-A-2) Does the agency periodically analyze human capital data to assess results, identify risks, and ensure that controls are in place to address problems and modify strategies and activities as necessary?

Elements of YES
With the help of human capital information system applications, data is collected and made available in a way that supports necessary analysis and decision-making. The organization has established a comprehensive set of measures to gauge organizational progress toward achieving human capital goals under the Human Capital Standards for Success and other agency-specific goals.  The measures identified in this framework should be drawn from a variety of sources, and must address all aspects of human capital, including 1) success in supporting agency mission accomplishment, 2) effectiveness of HR programs; 3) efficiency of HR processes, and 4) compliance with legal requirements.  The agency conducts a risk analysis and is successful in identifying problems that pose especially high risk to organizational integrity.  These include serious financial or legal threats, systemic violations of employee protections or veterans’ preference, or potential loss of integrity in the public eye.  Checks and balances are in place to ensure problems are addressed and resolved and responsibility for problem identification and/or avoidance has been delegated to appropriate individuals.  Data system quality control checks (including Central Personnel Data File) and case examinations are conducted to ensure system integrity and reliability.   
  
Suggested Performance Indicators
> Human capital leaders track and report activity based on cost of HR programs and their elements.
> Agency has documented programs and elements of programs most important to the organization; meaningful measures of success are established, kept up-to-date and regularly reviewed by HR and management.
> Agency has dedicated HR staff assigned to review human capital data integrity.
> There are written reports on risks, recommendations for mitigation strategies, and actions taken by decision makers.
> Implementation plans, program guides, and delegations of authority outline critical risks and monitoring responsibilities.
> Program and initiative implementation efforts have published plans that clearly outline roles, responsibilities, reviews, and desired outcomes.
> Agency tracks human capital initiatives and program reviews, reporting results to a central advisory or management board.
> Agency has submitted reports to OPM and other agencies on key programs or elements of programs and continues to monitor those areas.
> Quality assurance processes for transactions are in place.
> Annual reviews of delegated examining operations are conducted.

6-A-3) Are human capital strategies and the processes for ensuring accountability periodically reassessed? 

Elements of YES
There is a periodic (e.g., annual) assessment, conducted internally or by an external agent, that looks at the success of the agency in carrying out its human capital strategies relative to the Human Capital Standards for Success and the underlying accountability process.  Based on this assessment, action is taken to improve the strategies and processes in order to effect better human capital results.
   
Suggested Performance Indicators
> Agency has a formal program management evaluation process documented, monitored, and resourced.
> Periodic assessment outcomes are documented and actions are identified to correct assigned responsibilities.
> Results are accessible to stakeholders.










1
Human Capital Assessment and Accountability Framework