**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]{.underline}**

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.

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-   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]{.underline}**

**[1-B) Governmentwide Human Capital Collaboration]{.underline}**

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]{.underline}**

**[1-C) Human Resources Collaboration]{.underline}**

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.

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-   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.

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-   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]{.underline}**

[**3-A) Leadership Planning and Implementation (SES, Managers, and
Supervisors)**]{.underline}

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]{.underline}**

**[3-B) Change Management]{.underline}**

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]{.underline}**

**[3-C) Integrity and Inspiring Employee Commitment]{.underline}**

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.

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-   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]{.underline}**

**[3-D) Strategic Knowledge-Management]{.underline}**

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]{.underline}**

**[3-E) Continuous Learning and Improvement]{.underline}**

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.
>
> []{.mark}
>
> **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]{.underline}**

**[4-A) Performance Management]{.underline}**

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.

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-   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]{.underline}**

**[4-B) Diversity]{.underline}**

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]{.underline}**

**[4-C) Employee/Labor - Management Relations]{.underline}**

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]{.underline}**

**[5-A) Workforce Analysis]{.underline}**

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:]{.underline}**

**[5-B) Compete for Talent]{.underline}**

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.