Archived Information![](media/image1.png){width="4.740277777777778in"
height="4.531944444444444in"}

U.S. Department of Education

Human Capital Management Plan

September 2004

Table of Contents

# 

# Message from the Secretary............................................................................................3

# Mission.............................................................................................................................4

# Mission Challenges..........................................................................................................4

# The Department of Education Workforce........................................................................6

# Key Human Capital Management Opportunities and Initiatives....................................8

# Accountability for Results.............................................................................................12

# Appendix A: Detailed Human Capital Management 

# Implementation Plan September 2004..........................................................................13

# Appendix B: Methodology.............................................................................................17 

### Message from the Secretary 

The Department of Education is a leader in improving the quality of
education and raising expectations of what students can accomplish. We
have promised to leave no child behind in order to ensure that all
Americans can use their knowledge and skills to lead productive lives,
enhance communities, and participate fully in our economy.

To achieve these goals, we seek to ensure that leadership roles and
responsibilities are clearly defined and consistently communicated; that
future leaders are prepared to lead and manage our workforce; that we
can recruit, develop, retain and assign our employees to achieve our
most critical priorities; and that we continue to strengthen our
results-oriented culture of accountability.

Our human capital plan focuses on taking action -- enterprise-wide. It
creates a roadmap that focuses on human capital challenges,
responsibilities, improvements and actions. Much of our success depends
upon our employees and how they are held accountable and rewarded for
the results they produce.

Together there is not a doubt we will continue to be successful.

Rod Paige

### Mission 

The Department of Education's mission is to ensure equal access to
education and to promote educational excellence throughout the nation.
We promote educational excellence for all students by providing
financial support to states and local agencies in areas of national
priority, improving student achievement, ensuring schools are safe and
our nation's youth are good citizens, encouraging educational practices
based upon research, enhancing the quality of and access to
postsecondary and adult education, and creating an education culture
focused on achievement and accountability for results.

We achieve our mission by addressing critical education issues,
distributing grants to educational agencies and institutions, making
student loans and grants, and conducting research that improves
educational quality. The Department administers programs, grants, and
loans that touch nearly every American at one point in their lives. Our
efforts touch approximately 14,000 public school districts, nearly 54
million students attending 93,000 elementary and secondary schools, and
almost 22 million postsecondary students.

### Mission Challenges

Managing a \$63 billion enterprise certainly presents many challenges.
From a financial management perspective, the Department of Education
(Department) is unique among Federal government agencies. The Department
has a high number of appropriations, over 200, for which it must manage,
consolidate and account. Yet it maintains the smallest number of
employees while managing the third largest discretionary budget of
cabinet-level agencies. Management challenges are continually identified
through the review of financial systems and accountability, business
process improvement, and program performance information from our
customers, Inspector General (IG), the Government Accountability Office
(GAO) and Office of Management and Budget (OMB) program performance
evaluations.

In 2001, GAO identified challenges with student financial aid programs,
financial management and other areas facing Education. GAO also called
for improvements in information technology security and management.

The Department has significantly improved its financial management
accountability, evidenced by receiving "clean opinions" on the audits of
its fiscal year 2002 and 2003 financial statements. The Department has
also realized considerable progress in administering federal student aid
programs evidenced by creating \$1 billion of potential savings over the
next ten years by combining the functions of five separate systems into
a single system, reducing Pell Grant overpayments, reducing the student
loan default rate, and reducing the federal costs related to loan
consolidation. We have also made improvements in managing our
information technology resources.

To achieve its mission, the Department's leadership team identified six
strategic goals which are outlined in our *Strategic Plan.* These
include:

-   **Create a Culture of Achievement.** Create a culture of achievement
    throughout the nation's education system by effectively implementing
    the President's plan, No Child Left Behind, and by basing all
    federal education programs on its principles: accountability,
    flexibility, expanded parental options and doing what works.

-   **Improve Student Achievement.** Improve achievement for all groups
    of students by putting reading first, expanding high quality
    mathematics and science teaching, reforming high schools, and
    boosting teacher and principal quality, thereby closing the
    achievement gap.

-   **Develop Safe Schools and Strong Character.** Establish safe,
    disciplined, and drug-free educational environments that foster the
    development of good character and citizenship.

-   **Transform Education into an Evidence-Based Field.** Strengthen the
    quality of educational research.

-   **Enhance the Quality of and Access to Postsecondary and Adult
    Education.** Increase opportunities for students and the
    effectiveness of institutions.

-   **Establish Management Excellence.** Create a culture of
    accountability throughout the Department of Education.

Secretary Paige has undertaken a number of measures to improve the
operational and strategic management of the Department of Education. In
addition to the Strategic Plan, he has used a series of tools -- *the
President's Management Agenda (PMA), the Blueprint for Management
Excellence, and One-ED*, among others -- to offer accountability,
transparency, and excellent management to Congress and taxpayers.

The Department has realized valuable progress towards achieving its
strategic objectives. For example, the Department's financial house is
in order, every state in the union has an approved accountability plan,
and the national dialogue on education has dramatically advanced.

### The Department of Education Workforce 

To carry out its responsibilities, the Department has a total workforce
of approximately 4,600 employees, which is augmented by approximately
6,900 contract staff working in 20 Principal Offices (POs) nation-wide.
The Department has identified the following occupations as **critical**
to the accomplishment of our mission:

-   Education Program Specialist and Education Research Analyst
    (1720/1730)

-   Loan Analyst, Institutional Review Specialist, Case Management
    Specialist (1101)

-   Vocational Rehabilitation Specialist (0101)

-   Equal Opportunity Specialist (0360)

-   Management and Program Analyst (0343)

-   Financial Management Specialist, Audit Resolution Specialist,
    Accountant, Auditor (0501, 0510, 0511)

-   Criminal Investigator (1811)

-   Information Technology Specialist (2210)

-   Attorney (0905)

![](media/image3.png){width="3.3201388888888888in"
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The majority of employees and managers, 67 percent, are in the mission
critical occupations listed above.

The majority of the Department's workforce, 71 percent, is located in
headquarters and the remaining 29 percent of staff is distributed in 10
regional offices.

The American Federation of Government Employees (AFGE) union represents
approximately 57 percent of Department of Education employees. Under the
Federal Service Labor-Management Relations Statute, the Department must
bargain with AFGE on changes to conditions of employment affecting
bargaining unit employees.

Eighty-eight percent of the Department's permanent employees are
non-supervisors and 12 percent are supervisors. On average, each
office's workforce is 12 percent supervisors and 88 percent
non-supervisors.

**Diversity.** The Department's workforce diversity objective is to
build and maintain a diverse workforce reflective of our nation, and
develop, recommend, and implement strategies and initiatives to
eliminate employment barriers within the workforce. In August 2004, the
Department employed 4,618 employees. Sixty-two percent of positions were
held by female employees and 38 percent were held by male employees.
Also, 54.6 percent of positions were held by White employees, 36.2
percent by Black employees, 4.4 percent by Hispanic employees, 3.7
percent by Asian employees and 1.1 percent by American Indian employees.

#  Retirement Eligibility. At the end of calendar year 2003, 15 percent of the Department's permanent workforce was eligible for optional retirement. In 2007, looking at the current workforce, 32 percent of permanent employees will be eligible for optional retirement, and more than half of the Department's offices will have more than 30 percent of their permanent employees eligible for optional retirement. {#retirement-eligibility.-at-the-end-of-calendar-year-2003-15-percent-of-the-departments-permanent-workforce-was-eligible-for-optional-retirement.-in-2007-looking-at-the-current-workforce-32-percent-of-permanent-employees-will-be-eligible-for-optional-retirement-and-more-than-half-of-the-departments-offices-will-have-more-than-30-percent-of-their-permanent-employees-eligible-for-optional-retirement. .Para-Header}

Also, by December 2007, 46 percent of the Department's current permanent
supervisors will be eligible for optional retirement and almost half of
the Department's offices will have 50 percent or more of their permanent
supervisors eligible for optional retirement.

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#  {#section-1 .Para-Header}

# Turnover. The Department's workforce is relatively stable with only 7 percent turnover of permanent employees in calendar year 2003. Most (47 percent) of the separations in 2003 were voluntary separations of employees resigning or transferring to other agencies. In 2003, retirements were 45 percent of the separations, an increase from 2002 where 39 percent of separations were retirements. The number of permanent employee separations has remained relatively stable since 1990, with the exception of 1994, 1995 and 1996 when early retirement incentive payments were offered Department-wide. The average number of separations in a calendar year for this 14-year period is 301, with 55 percent of the separations from resignations or transfers, 39 percent from retirements, 3 percent from terminations or removals and 3 percent from deaths.  {#turnover.-the-departments-workforce-is-relatively-stable-with-only-7-percent-turnover-of-permanent-employees-in-calendar-year-2003.-most-47-percent-of-the-separations-in-2003-were-voluntary-separations-of-employees-resigning-or-transferring-to-other-agencies.-in-2003-retirements-were-45-percent-of-the-separations-an-increase-from-2002-where-39-percent-of-separations-were-retirements.-the-number-of-permanent-employee-separations-has-remained-relatively-stable-since-1990-with-the-exception-of-1994-1995-and-1996-when-early-retirement-incentive-payments-were-offered-department-wide.-the-average-number-of-separations-in-a-calendar-year-for-this-14-year-period-is-301-with-55-percent-of-the-separations-from-resignations-or-transfers-39-percent-from-retirements-3-percent-from-terminations-or-removals-and-3-percent-from-deaths. .Para-Header}

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### Key Human Capital Management Opportunities and Initiatives 

The Department's existing human capital initiatives were outlined in the
Department of Education's *"Blueprint for Management Excellence"*
(October 2001) and "*One-ED Report"* (July 2002), both of which embrace
key features of government-wide initiatives set forth in the PMA. The
PMA calls on all federal agencies to improve in five key areas:
financial management, information technology, budget and performance
integration, human capital management and competitive sourcing.

OPM, OMB and GAO have jointly outlined the essential building blocks for
effectively managing people -- the Human Capital Standards for
Success.[^1] The Human Capital Standards for Success serve as a
foundation for the Department's ongoing human capital initiatives.
Building upon OPM's standards for success and responding to the need to
better manage its human capital, the Department has developed this human
capital plan, which places special emphasis on five FY 2005 priorities.

To ensure that our ongoing, and any planned, human capital management
activities are strategically aligned to support our critical mission and
human capital challenges, we outlined a comprehensive human capital
management framework for the Department describing the key ingredients
for success, our current challenges, and the implementation initiatives
needed to address those challenges. The following is a brief discussion
of the Department's ongoing and planned human capital improvement
initiatives.

+------------------------------+------+----------------+--------------+
| **OPM's Human Capital        |      | **Department   | FY 2005      |
| Standards for Success**      |      | of Education's | Priorities   |
|                              |      | Human Capital  |              |
|                              |      | Initiatives**  |              |
+------------------------------+------+----------------+--------------+
| **Strategic Alignment**      |      | **Establish    | ###          |
|                              |      | Leadership     | ##### Clarit |
| *Agency human capital        |      | Accountability | y of Results |
| strategy is aligned with     |      | for Human      |              |
| mission, goals, and          |      | Capital        |              |
| organizational objective and |      | Management**   |              |
| integrated into its          |      |                |              |
| strategic plans, performance |      |                |              |
| plan, and budgets*           |      |                |              |
|                              |      |                |              |
| Accountability               |      |                |              |
|                              |      |                |              |
| *Agency human capital        |      |                |              |
| decisions are guided by a    |      |                |              |
| data-driven, result-oriented |      |                |              |
| planning and accountability  |      |                |              |
| system*                      |      |                |              |
+------------------------------+------+----------------+--------------+
| Leadership &                 |      | **Prepare      | **Succession |
|                              |      | Leaders to     | Planning and |
| **Knowledge Management**     |      | Lead and       | D            |
|                              |      | Manage the     | evelopment** |
| *Agency leaders and managers |      | Workforce**    |              |
| effectively manage people,   |      |                |              |
| ensure continuity of         |      |                |              |
| leadership, and sustain a    |      |                |              |
| learning environment that    |      |                |              |
| drives continuous            |      |                |              |
| improvement in performance.* |      |                |              |
+------------------------------+------+----------------+--------------+
| ######## Workf               |      | **Recruit,     | **Filling    |
| orce Planning and Deployment |      | Develop, and   | Vacancies    |
|                              |      | Assign Talent  | E            |
| *Agency is citizen-centered, |      | to the         | ffectively** |
| de-layered and               |      | Department's   |              |
| mission-focused, and         |      | Critical       |              |
| leverages e-Government and   |      | Priorities**   |              |
| competitive sourcing*        |      |                |              |
|                              |      |                |              |
| ######## Talent              |      |                |              |
|                              |      |                |              |
| *Agency has closed most      |      |                |              |
| mission-critical skills,     |      |                |              |
| knowledge, and competency    |      |                |              |
| gaps/deficiencies, and has   |      |                |              |
| made meaningful progress     |      |                |              |
| toward closing all.*         |      |                |              |
+------------------------------+------+----------------+--------------+
| Results-Oriented Performance |      | **Strengthen   | **Improving  |
| Culture                      |      | our            | Performance  |
|                              |      | Re             | E            |
| *Agency has a diverse,       |      | sults-Oriented | valuations** |
| results-oriented, high       |      | Culture**      |              |
| performance workforce, and   |      |                | **and**      |
| has a performance management |      |                |              |
| system that effectively      |      |                | **Dif        |
| differentiates between high  |      |                | ferentiating |
| and low performance, and     |      |                | Pay for      |
| links individuals/team/unit  |      |                | P            |
| performance with             |      |                | erformance** |
| organizational goals and     |      |                |              |
| desired results*             |      |                |              |
+------------------------------+------+----------------+--------------+

# Department of Education's Human Capital Initiatives

# Establish Leadership Accountability for Human Capital Management

The Department's leaders and managers will expand their partnership with
human resources to ensure the Department is effectively hiring,
developing, motivating, coaching, differentiating performance and
holding staff accountable. An enhanced partnership will guarantee the
alignment of the Department's mission, strategic goals, annual plans and
resources.

+-----------------------------------------------------------------------+
| Current Actions:                                                      |
|                                                                       |
| -   **During 2004, the Department has been focusing attention on five |
|     core human capital priorities.** This effort has been a strong    |
|     first step in putting management muscle behind key human capital  |
|     issues and provides a framework for future activities that will   |
|     continue into fiscal year 2005. They include:                     |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   Filling vacancies effectively                                     |
|                                                                       |
| -   Clarity of Results                                                |
|                                                                       |
| -   Improving performance evaluations                                 |
|                                                                       |
| -   Differentiating pay for performance                               |
|                                                                       |
| -   Succession planning/development                                   |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   **Report on key human capital performance measures in the         |
|     Department's annual Performance and Accountability Report.**      |
+-----------------------------------------------------------------------+
| Planned Actions:                                                      |
|                                                                       |
| -   **Make leaders and managers accountable for people management**   |
|     by clarifying expectations, setting performance standards and     |
|     executing contracts accordingly                                   |
|                                                                       |
| -   **Revise the SES performance management system** to include key   |
|     performance standards for human capital management and tie        |
|     financial rewards directly to success in human capital elements   |
|                                                                       |
| -   **Provide support to managers** to ensure their success by        |
|     identifying areas where they need assistance and then providing   |
|     resources and removing barriers, as needed                        |
|                                                                       |
| -   **Develop and implement a human capital leadership calendar that  |
|     is integrated with the budget and strategic plan** and ensures    |
|     top attention to critical strategies, initiatives, and processes  |
|                                                                       |
| -   **Review a dashboard of key measures** at senior leadership       |
|     meetings, building on existing human capital program measurement  |
|     efforts to ensure we are making progress on human capital         |
|     priorities                                                        |
|                                                                       |
| -   Perform assessments of human capital management programs to       |
|     determine their effectiveness                                     |
+-----------------------------------------------------------------------+
| Anticipated Results:                                                  |
|                                                                       |
| -   The Department's leaders make human capital management a          |
|     priority, integrated with performance and financial management    |
|                                                                       |
| -   Critical human capital decisions are informed by evaluations and  |
|     data                                                              |
|                                                                       |
| -   Human capital management is more effective enterprise-wide        |
+-----------------------------------------------------------------------+

#  Prepare Leaders to Lead and Manage the Department's Workforce

The Department's current and emerging leaders and managers are policy
experts and technical resources. Expanding the focus on human capital
management knowledge and skills for high potential staff will help to
ensure that the Department has the leaders and managers it needs to
achieve the Department's mission now and in the future.

+-----------------------------------------------------------------------+
| Current Actions:                                                      |
|                                                                       |
| -   **Defining core leadership competencies**                         |
|                                                                       |
| -   **Developing leadership development program** to prepare emerging |
|     leaders for management responsibilities                           |
+-----------------------------------------------------------------------+
| Planned Actions:                                                      |
|                                                                       |
| -   **Pilot a more comprehensive succession planning process for      |
|     leadership and mission critical positions** which, if successful, |
|     could be used throughout the organization                         |
|                                                                       |
| -   **Implement leadership development strategy** that includes       |
|     employee participation in the Department, OPM and other           |
|     leadership development programs                                   |
|                                                                       |
| -   **Develop a suite of development aids for existing leaders and    |
|     managers** to enhance their effectiveness                         |
+-----------------------------------------------------------------------+
| Anticipated Results:                                                  |
|                                                                       |
| -   The Department's leaders manage people in a manner that drives    |
|     both short- and long-term results                                 |
|                                                                       |
| -   Employees report feeling connected to the Department's mission    |
|     and goals                                                         |
|                                                                       |
| -   The Department's leadership and human resources team work         |
|     together seamlessly on mission critical people issues             |
+-----------------------------------------------------------------------+

# Recruit, Develop and Assign Talent to Department of Education's Critical Priorities

The Department is currently examining key organization structures and
major work processes to ensure that resource allocation and staffing and
development models continue to meet the Department's emerging business
and mission requirements. Currently, the Department's managers are
focused on recruiting or developing employees to fill some of the
critical positions required to support immediate mission requirements.

+-----------------------------------------------------------------------+
| Current Actions:                                                      |
|                                                                       |
| -   **Defining core competencies and learning tracks** for mission    |
|     critical occupations                                              |
|                                                                       |
| -   **Developing and deploying Employee Skills Inventory System       |
|     (ESIS)** and an Individual Development Plan training and          |
|     framework as voluntary tools to identify employees' existing      |
|     skills, competencies, and development needs                       |
|                                                                       |
| -   **Seeking use of Voluntary Early Retirement Authority (VERA) and  |
|     Voluntary Separation Incentive Payments (VSIP)** when they help   |
|     us obtain needed skills sets                                      |
|                                                                       |
| -   **Continuing business process improvement activities underway**   |
|     (e.g., Federal Student Aid (FSA) - ASEDS, Discretionary Grants    |
|     Improvement Team, Human Resources Services)                       |
|                                                                       |
| -   **Providing workforce and diversity profiles to POs**             |
|                                                                       |
| -   **Filling critical vacancies identified by POs**                  |
|                                                                       |
| -   **Providing information on flexibilities (i.e., recruitment       |
|     bonuses, retention allowances, student loan repayments) to        |
|     managers**                                                        |
|                                                                       |
| -   **Participating in the Extreme Hiring Makeover project** to       |
|     improve the hiring process, reduce the time to hire, and ensure   |
|     vacancies are filled with high caliber candidates                 |
+-----------------------------------------------------------------------+
| Planned Actions:                                                      |
|                                                                       |
| -   **Implement the recommendations of the Extreme Hiring Makeover    |
|     team**                                                            |
|                                                                       |
| -   **Strategically invest in training** to build and develop         |
|     employees' skills in mission critical areas                       |
|                                                                       |
| -   **Evaluate business process improvement efforts** to ensure human |
|     capital management issues are addressed, including resource       |
|     allocation, aligning organizational structures and people         |
|     management                                                        |
|                                                                       |
| -   Use ESIS to identify employee skills gaps and development         |
|     requirements                                                      |
+-----------------------------------------------------------------------+
| Anticipated Results:                                                  |
|                                                                       |
| -   The Department's employees possess the competencies required to   |
|     effectively service customer and taxpayer interests               |
|                                                                       |
| -   The Department can readily hire any new employees needed          |
+-----------------------------------------------------------------------+

# Strengthen Our Results-Oriented Culture

The Department has made substantial progress by implementing a new
five-level performance management system -- EDPAS. Further improvements
and refinements provide an opportunity to ensure employees clearly
understand the results required to support and achieve the Department's
mission.

+-----------------------------------------------------------------------+
| Current Actions:                                                      |
|                                                                       |
| -   **Implemented a five-level performance appraisal system (EDPAS)** |
|     that allows for more differentiation between employee performance |
|                                                                       |
| -   **Updated and expanded disciplinary Table of Penalties**          |
|     including specific penalties for purchase and travel card abuse   |
|                                                                       |
| -   **Revised policies on discipline and adverse actions**            |
|                                                                       |
| -   **Issued guidance on achieving clarity of results** to ensure     |
|     employees clearly understand the results they are expected to     |
|     achieve                                                           |
|                                                                       |
| -   **Issued guidance to incorporate** Performance Assessment Rating  |
|     Tool (PART) responsibilities in EDPAS performance agreements      |
+-----------------------------------------------------------------------+
| Planned Actions:                                                      |
|                                                                       |
| -   **Set enterprise-wide expectations** regarding leadership         |
|     accountability for performance management and reward leaders and  |
|     employees based on performance and results                        |
|                                                                       |
| -   **Establish an effective process for communicating organization,  |
|     unit and individual performance standards**                       |
|                                                                       |
| -   **Invest for the long-term in manager/supervisory training        |
|     related to performance management** -- including coaching as      |
|     required                                                          |
|                                                                       |
| -   **Develop and communicate a strategy for improving employee       |
|     performance** throughout the Department and provide resources and |
|     support to leaders and managers dealing with poor performers      |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   **Revise awards policy to align more clearly with performance and |
|     accomplishments**                                                 |
+-----------------------------------------------------------------------+
| Anticipated Results:                                                  |
|                                                                       |
| -   The Department is a cohesive, high-performing organization        |
|                                                                       |
| -   Employees feel challenged and take pride in contributing to the   |
|     Department's success                                              |
+-----------------------------------------------------------------------+

### Accountability for Results 

Ultimately, responsibility for achieving the goals outlined in this
human capital plan will fall on the shoulders of our capable management
team throughout the Department. The Under Secretary, Chief Human Capital
Officer, Office of Management (OM), and Human Resources Services (HRS)
will be responsible for leading and supporting many of the initiatives
we plan to pursue over the next two years. Implementation will take the
ongoing commitment of the whole management team, which will be supported
by increasing accountability of managers for human capital management.
Senior leadership will be engaged through reports on human capital
metrics and the evaluation and assessment of human capital activities.
We recognize, however, that we cannot realistically pursue all of these
improvement initiatives within one year. The Department will sequence
our human capital activities into four stages:

-   **Strengthening the Foundation of the Department's Human Capital
    Management**

As evidenced by our plan, we already have several human capital
initiatives underway. In the short-term, we will continue our focus on
these efforts, ensuring that the initiatives are aligned with our
strategic goals and refined according to our leaders' needs. We are
focusing on the five human capital priorities that include filling
vacancies effectively, clarity of results, improving performance
evaluations, differentiating pay for performance and succession planning
and development.

-   **Integrating Human Capital Management as a Centerpiece of
    Leadership and Strategic Priorities**

The Department's leaders and managers are empowered and held accountable
for effectively managing the Department's employees. Throughout 2005 and
2006, we will develop the tools and other support systems required for
managers to most effectively recruit, develop, motivate, and retain the
employees required to support our mission and strategic goals.

-   **Piloting Innovation to Address Complex Challenges**

Broad organizational changes, such as succession planning and leadership
development and business process improvement, are valuable initiatives
to successfully undertake Department-wide. We have had success within
our individual offices developing innovative approaches to issues like
recruiting (e.g., Office for Civil Rights), employee training and
development (e.g., certain regional offices), and restructuring (e.g.,
FSA). It is our intent to pilot innovations in our offices in the
short-term and then measure the success of those pilots for possible
implementation office-by-office or Department-wide.

-   **Evaluation, Assessment, and Improvement**

To ensure the Department has the right people at the right time with the
right skills to fulfill our mission, we will establish a plan to assess
our human capital management programs and strengthen the link between
the strategic and annual plans, the human capital management plan and
budget planning and execution.

A more comprehensive implementation plan detailing the specific steps
the Department will take to pursue our human capital goals, the
timeframes for completing those activities, individuals responsible for
the activities, and key metrics for assessing our success is included in
Appendix A. It is our intent that this plan be a living document,
updated annually to reflect the Department's progress and priorities in
human capital management.

Appendix A

### Detailed Human Capital Management Implementation Plan September 2004

+--------+-----------------------+-------+-----------+----------------+
| Human  |                       |       |           |                |
| C      |                       |       |           |                |
| apital |                       |       |           |                |
| St     |                       |       |           |                |
| andard |                       |       |           |                |
| for    |                       |       |           |                |
| Su     |                       |       |           |                |
| ccess: |                       |       |           |                |
| Str    |                       |       |           |                |
| ategic |                       |       |           |                |
| Alignm |                       |       |           |                |
| ent/Ac |                       |       |           |                |
| counta |                       |       |           |                |
| bility |                       |       |           |                |
+========+=======================+=======+===========+================+
| **Depa | **Action Steps to     | **    | **Project | **Success      |
| rtment | Implement Improvement | Sched | Team**    | Measures**     |
| of     | Initiatives**         | ule** |           |                |
| Edu    |                       |       |           |                |
| cation |                       |       |           |                |
| Goal** |                       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
| **A.   | 1.  Revise strategic  | Q4    | Under     | -   Executive  |
| Est    |     human capital     | 2004  | Secretary |     Management |
| ablish |     plan that aligns  |       |           |     Team (EMT) |
| Lead   |     the Department's  |       | OM        |     endorses   |
| ership |     human capital     |       | Assistant |     plan.      |
| Ac     |     strategies and    |       | Secretary |                |
| counta |     activities with   |       |           | -   OPM and IG |
| bility |     its mission,      |       | HRS       |     oversight  |
| for    |     goals and other   |       | Director  |     teams      |
| Human  |     government-wide   |       |           |     provide    |
| C      |     management        |       |           |     positive   |
| apital |     initiatives.      |       |           |     feedback.  |
| Manage |                       |       |           |                |
| ment** |                       |       |           |                |
|        |                       |       |           |                |
| **     |                       |       |           |                |
| FY2005 |                       |       |           |                |
| Prior  |                       |       |           |                |
| ity:** |                       |       |           |                |
|        |                       |       |           |                |
| **C    |                       |       |           |                |
| larity |                       |       |           |                |
| of     |                       |       |           |                |
| Res    |                       |       |           |                |
| ults** |                       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 2.  Begin work on the | Q1    | HRS       | -   Tracking   |
|        |     human capital     | 2005  | Director  |     progress   |
|        |     implementation    |       |           |     against    |
|        |     plan.             |       | PO        |     success    |
|        |                       |       | Managers  |     measures.  |
+--------+-----------------------+-------+-----------+----------------+
|        | 3.  Revise the SES    | Q3    | HRS       | -   SES        |
|        |     performance       | 2005  | Director  |                |
|        |     management system |       |           |    performance |
|        |     to include key    |       | ERB       |     management |
|        |     performance       |       |           |     system     |
|        |     standards for     |       | SES Core  |     policy     |
|        |     human capital     |       |           |     revised.   |
|        |     management and    |       |           |                |
|        |     tie financial     |       |           | -   Revised    |
|        |     rewards directly  |       |           |     policy     |
|        |     to success in     |       |           |     approved   |
|        |     human capital     |       |           |     by OPM.    |
|        |     efforts.          |       |           |                |
|        |                       |       |           | -   New SES    |
|        |                       |       |           |                |
|        |                       |       |           |    performance |
|        |                       |       |           |     management |
|        |                       |       |           |     system     |
|        |                       |       |           |                |
|        |                       |       |           |   implemented. |
+--------+-----------------------+-------+-----------+----------------+
|        | ####                  | Q4    | Deputy    | -   FY2004 --  |
|        | ## Fully execute perf | 2004  | Secretary |     SES plans  |
|        | ormance plans for eve | and   |           |     in place.  |
|        | ry senior executive.  |       | Under     |                |
|        |                       | Q4    | Secretary | -   FY2005 --  |
|        |                       | 2005  |           |     SES plans  |
|        |                       |       |           |     in place   |
|        |                       |       |           |     based on   |
|        |                       |       |           |     revised    |
|        |                       |       |           |     SES        |
|        |                       |       |           |                |
|        |                       |       |           |    performance |
|        |                       |       |           |     management |
|        |                       |       |           |     system.    |
+--------+-----------------------+-------+-----------+----------------+
|        | 4.  Develop and       | Q3    | Budget    | -   Integrated |
|        |     implement a human | 2005  | Service   |     calendar   |
|        |     capital           |       | Director  |     published. |
|        |     leadership        |       |           |                |
|        |     calendar that is  |       | SAS       |                |
|        |     aligned with the  |       | Director  |                |
|        |     budget and        |       |           |                |
|        |     strategic         |       | HRS       |                |
|        |     planning          |       | Director  |                |
|        |     calendars to      |       |           |                |
|        |     ensure top        |       |           |                |
|        |     attention to      |       |           |                |
|        |     critical human    |       |           |                |
|        |     capital           |       |           |                |
|        |     strategies,       |       |           |                |
|        |     initiatives, and  |       |           |                |
|        |     processes.        |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 5.  Develop           | Q2    | HRS       | -   Report     |
|        |     strategies for    | 2005  | Director  |     data on    |
|        |     measuring,        |       |           |     EDPAS      |
|        |     collecting, and   |       |           |     Management |
|        |     reporting         |       |           |     and        |
|        |     relevant data on  |       |           |     Leadership |
|        |     EDPAS Management  |       |           |     standards, |
|        |     and Leadership    |       |           |     annually.  |
|        |     standards.        |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 6.  Conduct an        | Q2    | OM        | -   EMT is     |
|        |     Executive         | 2005  | Assistant |     briefed    |
|        |     Management Team   |       | Secretary |     and        |
|        |     (EMT) session to  |       |           |     questions  |
|        |     introduce the new |       | EMT       |     are        |
|        |     calendar and      |       |           |     answered.  |
|        |     discuss           |       |           |                |
|        |     increasing the    |       |           |                |
|        |     focus on human    |       |           |                |
|        |     capital           |       |           |                |
|        |     management and    |       |           |                |
|        |     accountability.   |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 7.  Revise and        | Q3    | OM        | -   Human      |
|        |     enhance dashboard | --Q4  | Assistant |     capital    |
|        |     of key human      | 2005  | Secretary |     dashboard  |
|        |     capital metrics   |       |           |     measures   |
|        |     to support        |       |           |                |
|        |     effective human   |       |           |   established. |
|        |     capital           |       |           |                |
|        |     management.       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 8.  Publish updated   | FY    | OM        | -   Dashboard  |
|        |     dashboard         | 2005  | Assistant |     baselines  |
|        |     periodically when | -- FY | Secretary |     and        |
|        |     new data becomes  | 2007  |           |     targets    |
|        |     available and     |       |           |     developed. |
|        |     share with senior |       |           |                |
|        |     leaders.          |       |           | -   Dashboard  |
|        |                       |       |           |     shared     |
|        |                       |       |           |     with       |
|        |                       |       |           |     senior     |
|        |                       |       |           |     officers.  |
+--------+-----------------------+-------+-----------+----------------+
|        | 9.  Perform           | FY2   | OM        | -   Human      |
|        |     assessments of    | 005-F | Assistant |     capital    |
|        |     human capital     | Y2007 | Secretary |     management |
|        |     management        |       |           |     evaluation |
|        |     programs.         |       | PPIS      |     plan       |
|        |                       |       | Director  |     developed. |
|        |                       |       |           |                |
|        |                       |       | HRS       | -              |
|        |                       |       | Director  |    Evaluations |
|        |                       |       |           |     completed  |
|        |                       |       |           |     as         |
|        |                       |       |           |     scheduled. |
+--------+-----------------------+-------+-----------+----------------+
|        | 10. Leaders/Managers  | On    | PO        | -   Low        |
|        |     use HRS resources | going | Managers  |     performing |
|        |     to develop        |       |           |     employees  |
|        |     effective         |       |           |     are        |
|        |     strategies to     |       |           |     coached to |
|        |     deal with         |       |           |     higher     |
|        |     specific          |       |           |                |
|        |     individual        |       |           |   performance. |
|        |     performance       |       |           |                |
|        |     challenges --     |       |           |                |
|        |     Individual        |       |           |                |
|        |     Development Plans |       |           |                |
|        |     (IDPs)            |       |           |                |
|        |     constructed for   |       |           |                |
|        |     most significant  |       |           |                |
|        |     challenges        |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 11. Establish team to | Q2-Q3 | HRS       | -   Support    |
|        |     support managers  | 2005  | Director  |     team       |
|        |     with employee     |       |           |                |
|        |     performance       |       | PO        |   established. |
|        |     management using  |       | Managers  |                |
|        |     HRS and other     |       |           | -   Materials  |
|        |     resources as      |       |           |     developed  |
|        |     needed to coach   |       |           |     to inform  |
|        |     and counsel       |       |           |     managers   |
|        |     managers.         |       |           |     of         |
|        |                       |       |           |     resources. |
|        |                       |       |           |                |
|        |                       |       |           | -              |
|        |                       |       |           |    Disseminate |
|        |                       |       |           |     inf        |
|        |                       |       |           | ormation/brief |
|        |                       |       |           |     managers   |
|        |                       |       |           |     on         |
|        |                       |       |           |     services   |
|        |                       |       |           |     available. |
+--------+-----------------------+-------+-----------+----------------+
|        | 12. Align human       | 2005  | Budget    | -   FY 2007    |
|        |     capital planning  | --    | Service   |     budget     |
|        |     with budget       | 2007  | Director  |     submission |
|        |     formulation and   |       |           |     and        |
|        |     execution.        |       | Executive |     execution  |
|        |                       |       | Officers  |     includes   |
|        |                       |       |           |     human      |
|        |                       |       | PO        |     capital    |
|        |                       |       | Managers  |     planning.  |
|        |                       |       |           |                |
|        |                       |       | HRS       |                |
|        |                       |       | Director  |                |
+--------+-----------------------+-------+-----------+----------------+

+--------+-----------------------+-------+-----------+----------------+
| #      |                       |       |           |                |
| ### Hu |                       |       |           |                |
| man Ca |                       |       |           |                |
| pital  |                       |       |           |                |
| Standa |                       |       |           |                |
| rd for |                       |       |           |                |
|  Succe |                       |       |           |                |
| ss: Le |                       |       |           |                |
| adersh |                       |       |           |                |
| ip/Kno |                       |       |           |                |
| wledge |                       |       |           |                |
|  Manag |                       |       |           |                |
| ement  |                       |       |           |                |
+========+=======================+=======+===========+================+
| **Depa | **Action Steps to     | **    | **Project | **Success      |
| rtment | Implement Improvement | Sched | Team**    | Measures**     |
| of     | Initiatives**         | ule** |           |                |
| Edu    |                       |       |           |                |
| cation |                       |       |           |                |
| Goal** |                       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
| **B.   | 1.  Announce Senior   | Q1    | HRS       | -   Senior     |
| P      |     Executive Service | 2005  | Director  |     Executive  |
| repare |     (SES) Continuing  |       |           |     Service    |
| L      |     Development       |       |           |     Continuing |
| eaders |     Program.          |       |           |                |
| to     |                       |       |           |    Development |
| Lead   |                       |       |           |     Program    |
| and    |                       |       |           |     announced  |
| Manage |                       |       |           |     in SES     |
| the    |                       |       |           |     meeting.   |
| Workf  |                       |       |           |                |
| orce** |                       |       |           |                |
|        |                       |       |           |                |
| **     |                       |       |           |                |
| FY2005 |                       |       |           |                |
| Prior  |                       |       |           |                |
| ity:** |                       |       |           |                |
|        |                       |       |           |                |
| **Succ |                       |       |           |                |
| ession |                       |       |           |                |
| Pl     |                       |       |           |                |
| anning |                       |       |           |                |
| and    |                       |       |           |                |
| D      |                       |       |           |                |
| evelop |                       |       |           |                |
| ment** |                       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 2.  Announce          | Q1    | HRS       | -   Executive  |
|        |     Executive         | 2005  | Director  |     Leadership |
|        |     Leadership        |       |           |     Program    |
|        |     Program.          |       |           |     announced. |
+--------+-----------------------+-------+-----------+----------------+
|        | 3.  Conduct annual    | Q3    | HRS       | -   Succession |
|        |     update of         | 2005  | Director  |     plan       |
|        |     succession and    |       |           |     updated.   |
|        |     recruitment       |       | Assistant |                |
|        |     planning process. |       | Se        |                |
|        |                       |       | cretaries |                |
|        |                       |       |           |                |
|        |                       |       | Executive |                |
|        |                       |       | Officers  |                |
|        |                       |       |           |                |
|        |                       |       | PO        |                |
|        |                       |       | Managers  |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 4.  Implement a       | Q4    | HRS       | -   Programs   |
|        |     leadership        | 2005  | Director  |     are active |
|        |     development       |       |           |     and being  |
|        |     strategy that     |       | PO        |     completed  |
|        |     includes employee |       | Managers  |     by         |
|        |     participation in  |       |           |                |
|        |     Department of     |       | ED        |    candidates. |
|        |     Education, OPM    |       | Employees |                |
|        |     and other         |       |           |                |
|        |     leadership        |       |           |                |
|        |     development       |       |           |                |
|        |     programs.         |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 5.  Pilot and         | Q4    | COO FSA   | -   Formal     |
|        |     evaluate a        | 2004  |           |     succession |
|        |     collaborative     | --    |           |     planning   |
|        |     succession        |       |           |     exercise   |
|        |     planning process  | Q2    |           |     is         |
|        |     in FSA that       | 2005  |           |     completed, |
|        |     engages           |       |           |     mi         |
|        |     supervisors and   |       |           | ssion-critical |
|        |     focuses on        |       |           |     leadership |
|        |     changing          |       |           |     positions  |
|        |     organizational    |       |           |     and        |
|        |     requirements.     |       |           |     potential  |
|        |                       |       |           |     gaps       |
|        |                       |       |           |                |
|        |                       |       |           |    identified. |
+--------+-----------------------+-------+-----------+----------------+
|        | 6.  If FSA pilot of   | FY    | Under     | -   Evaluation |
|        |     succession        | 2005/ | Secretary |     of FSA     |
|        |     planning process  | F     |           |     succession |
|        |     is successful,    | Y2006 | FSA HR    |     planning   |
|        |     begin to involve  |       | Director  |     pilot is   |
|        |     other offices.    |       |           |     favorable  |
|        |                       |       | HRS       |     and        |
|        |                       |       | Director  |     indicates  |
|        |                       |       |           |     process    |
|        |                       |       | Assistant |     can be     |
|        |                       |       | Se        |                |
|        |                       |       | cretaries |    replicated. |
+--------+-----------------------+-------+-----------+----------------+
|        | 7.  Develop a suite   | Q4    | OM        | -   Menu of    |
|        |     of effective      | 2005  | Assistant |     leader and |
|        |     development aids  |       | Secretary |     manager    |
|        |     for existing      |       |           |     resources  |
|        |     leaders and       |       | HRS       |     provided.  |
|        |     managers to       |       | Director  |                |
|        |     enhance their     |       |           | -   Budget     |
|        |     effectiveness.    |       | Budget    |     developed  |
|        |                       |       | Services  |     to ensure  |
|        |                       |       |           |     i          |
|        |                       |       | PO        | mplementation. |
|        |                       |       | Managers  |                |
+--------+-----------------------+-------+-----------+----------------+

+--------+-----------------------+-------+-----------+----------------+
| ###    |                       |       |           |                |
| # Huma |                       |       |           |                |
| n Capi |                       |       |           |                |
| tal St |                       |       |           |                |
| andard |                       |       |           |                |
|  for S |                       |       |           |                |
| uccess |                       |       |           |                |
| : Work |                       |       |           |                |
| force  |                       |       |           |                |
| Planni |                       |       |           |                |
| ng and |                       |       |           |                |
|  Deplo |                       |       |           |                |
| yment/ |                       |       |           |                |
| Talent |                       |       |           |                |
+========+=======================+=======+===========+================+
| **Depa | **Action Steps to     | **    | **Project | **Success      |
| rtment | Implement Improvement | Sched | Team**    | Measures**     |
| of     | Initiatives**         | ule** |           |                |
| Edu    |                       |       |           |                |
| cation |                       |       |           |                |
| Goal** |                       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
| **C.   | 1.  Complete          | Q4    | HRS       | -   System     |
| Re     |     development of    | 2004  | Director  |     developed  |
| cruit, |     the Hiring        |       |           |     and being  |
| D      |     Tracking System,  |       | PPIS      |     used.      |
| evelop |     an auditable      |       | Director  |                |
| and    |     system for        |       |           |                |
| Assign |     collecting and    |       | Chief     |                |
| Talent |     analyzing data on |       | In        |                |
| to the |     the stages of the |       | formation |                |
| Depa   |     hiring process    |       | Officer   |                |
| rtment |                       |       |           |                |
| of     |                       |       |           |                |
| Educa  |                       |       |           |                |
| tion's |                       |       |           |                |
| Cr     |                       |       |           |                |
| itical |                       |       |           |                |
| Priori |                       |       |           |                |
| ties** |                       |       |           |                |
|        |                       |       |           |                |
| **     |                       |       |           |                |
| FY2005 |                       |       |           |                |
| Prior  |                       |       |           |                |
| ity:** |                       |       |           |                |
|        |                       |       |           |                |
| **F    |                       |       |           |                |
| illing |                       |       |           |                |
| Vac    |                       |       |           |                |
| ancies |                       |       |           |                |
| E      |                       |       |           |                |
| ffecti |                       |       |           |                |
| vely** |                       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 2.  Establish goals   | Q4    | HRS       | -   Goals are  |
|        |     for reduction in  | 2004  | Director  |                |
|        |     vacancies.        |       |           |   established. |
|        |                       |       | PO        |                |
|        |                       |       | Managers  |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 3.  Establish target  | Q1    | HRS       | -   Hiring     |
|        |     for hiring cycle  | 2005  | Director  |     cycle time |
|        |     time.             |       |           |     baseline   |
|        |                       |       |           |     and target |
|        |                       |       |           |                |
|        |                       |       |           |   established. |
+--------+-----------------------+-------+-----------+----------------+
|        | 4.  Evaluate hiring   | Q2    | HRS       | -   Evaluation |
|        |     cycle time and    | 2005  | Director  |     of hiring  |
|        |     vacancy           |       |           |     cycle time |
|        |     reductions.       |       |           |     and        |
|        |                       |       |           |     vacancy    |
|        |                       |       |           |     reductions |
|        |                       |       |           |     complete.  |
+--------+-----------------------+-------+-----------+----------------+
|        | 5.  Provide updated   | Q2    | Mgt Svcs  | -   Updates    |
|        |     diversity         | 2005  | Dir       |     issued to  |
|        |     profiles and      |       | ector/EEO |     offices.   |
|        |     workforce         |       |           |                |
|        |     profiles to each  |       | HRS       |                |
|        |     Principal Office  |       | Director  |                |
|        |     (PO).             |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 6.  Develop an action | Q1    | HRS       | -   Action     |
|        |     plan to improve   | 2005  | Director  |     plan to    |
|        |     hiring -- reduce  |       |           |     improve    |
|        |     time to hire;     |       | PO        |     hiring     |
|        |     fill vacancies    |       | Managers  |     process    |
|        |     with high caliber |       |           |     developed. |
|        |     candidates,       |       |           |                |
|        |     improve the       |       |           |                |
|        |     candidate         |       |           |                |
|        |     experience        |       |           |                |
|        |     significantly     |       |           |                |
|        |     (e.g., Extreme    |       |           |                |
|        |     Hiring Makeover). |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 7.  Begin to          | Q2 -- | HRS       | -              |
|        |     implement         | Q4    | Director  | Implementation |
|        |     recommendations   | 2005  |           |     plan       |
|        |     from the "Extreme |       | PO        |     developed  |
|        |     Makeover" of      |       | Managers  |     and        |
|        |     hiring process.   |       |           |     progress   |
|        |                       |       |           |     made on    |
|        |                       |       |           |     r          |
|        |                       |       |           | ecommendations |
|        |                       |       |           |     being      |
|        |                       |       |           |     tracked.   |
+--------+-----------------------+-------+-----------+----------------+
|        | 8.  Develop clearly   | Q1 -- | HRS       | -              |
|        |     defined           | Q4    | Director  |   Competencies |
|        |     competencies and  | 2005  |           |     and        |
|        |     learning tracks   |       |           |     learning   |
|        |     for mission       |       |           |     tracks     |
|        |     critical          |       |           |     developed  |
|        |     occupations,      |       |           |     for        |
|        |     including grants  |       |           |     mission    |
|        |     management.       |       |           |     critical   |
|        |                       |       |           |                |
|        |                       |       |           |   occupations. |
+--------+-----------------------+-------+-----------+----------------+
|        | 9.  Analyze data in   | Q3    | HRS       | -   ESIS data  |
|        |     the Employee      | 2005  | Director  |     analyzed,  |
|        |     Skills Inventory  |       |           |     skills     |
|        |     System (ESIS) for |       |           |     gaps       |
|        |     information on    |       |           |                |
|        |     skills gaps in    |       |           |    determined, |
|        |     training needs    |       |           |     training   |
|        |     and provide       |       |           |                |
|        |     training aligned  |       |           |  opportunities |
|        |     with PO           |       |           |     provided.  |
|        |     priorities.       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 10. Use ESIS and      | Q3    | ED        | -   ESIS and   |
|        |     Individual        | 2005  | Employees |     IDPs       |
|        |     Development Plans |       |           |     provide    |
|        |     (IDPs) to         |       | PO        |     meaningful |
|        |     identify gaps and |       | Managers  |                |
|        |     development       |       |           |    information |
|        |     requirements*.*   |       | HRS       |     on skill   |
|        |                       |       | Director  |     gaps.      |
+--------+-----------------------+-------+-----------+----------------+
|        | 11. Strategically     | Q3    | Budget    | -   2007 HRS   |
|        |     invest in         | 2005  | Service   |     and PO     |
|        |     training required |       | Director  |     budget     |
|        |     to build and      |       |           |                |
|        |     develop           |       | Assistant |    submissions |
|        |     employees' skills |       | Se        |     includes   |
|        |     in mission        |       | cretaries |     training   |
|        |     critical areas -- |       |           |     and        |
|        |     include           |       | Executive |                |
|        |     requirements in   |       | Officers  |    development |
|        |     2007 budget       |       |           |                |
|        |                       |       | PO        |    investments |
|        |                       |       | Managers  |     to build   |
|        |                       |       |           |     mission    |
|        |                       |       | HRS       |     critical   |
|        |                       |       | Director  |     skills.    |
+--------+-----------------------+-------+-----------+----------------+
|        | 12. Complete current  | Q1    | COO FSA   | -              |
|        |     business process  | 2005  |           |  Restructuring |
|        |     improvement       |       | Assistant |     activities |
|        |     activities        |       | Secretary |                |
|        |     underway (e.g.,   |       | OM        |   implemented. |
|        |     FSA/ASEDS, DiGIT, |       |           |                |
|        |     HR); evaluate and |       | DiGIT     | -              |
|        |     develop lessons   |       | Team      |  Restructuring |
|        |     learned for       |       | Leader    |     activities |
|        |     future efforts.   |       |           |     evaluated  |
|        |                       |       | Assistant |     and        |
|        |                       |       | Secretary |     lessons    |
|        |                       |       | OCFO      |     learned    |
|        |                       |       |           |                |
|        |                       |       |           |    identified. |
+--------+-----------------------+-------+-----------+----------------+

+--------+-----------------------+-------+-----------+----------------+
| #### H |                       |       |           |                |
| uman C |                       |       |           |                |
| apital |                       |       |           |                |
|  Stand |                       |       |           |                |
| ard fo |                       |       |           |                |
| r Succ |                       |       |           |                |
| ess: R |                       |       |           |                |
| esults |                       |       |           |                |
| -Orien |                       |       |           |                |
| ted Pe |                       |       |           |                |
| rforma |                       |       |           |                |
| nce Cu |                       |       |           |                |
| lture  |                       |       |           |                |
+========+=======================+=======+===========+================+
| **Depa | **Action Steps to     | **    | **Project | **Success      |
| rtment | Implement Improvement | Sched | Team**    | Measures**     |
| of     | Initiatives**         | ule** |           |                |
| Edu    |                       |       |           |                |
| cation |                       |       |           |                |
| Goal** |                       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
| **D.   | 1.  Complete revision | Q1    | HRS       | -   60% of     |
| Stre   |     of general        | 2005  | Director  |     General    |
| ngthen |     schedule employee |       |           |     schedule   |
| Our    |     performance       |       |           |     employee   |
| Resu   |     appraisal plans.  |       |           |                |
| lts-Or |                       |       |           |    performance |
| iented |                       |       |           |     plans      |
| Cul    |                       |       |           |     reviewed.  |
| ture** |                       |       |           |                |
|        |                       |       |           | -   Necessary  |
| **     |                       |       |           |     revisions  |
| FY2005 |                       |       |           |     in place   |
| P      |                       |       |           |     before     |
| riorit |                       |       |           |     appraisal  |
| ies:** |                       |       |           |     cycle.     |
|        |                       |       |           |                |
| **Imp  |                       |       |           |                |
| roving |                       |       |           |                |
| Perfo  |                       |       |           |                |
| rmance |                       |       |           |                |
| E      |                       |       |           |                |
| valuat |                       |       |           |                |
| ions** |                       |       |           |                |
|        |                       |       |           |                |
| *      |                       |       |           |                |
| *and** |                       |       |           |                |
|        |                       |       |           |                |
| **Dif  |                       |       |           |                |
| ferent |                       |       |           |                |
| iating |                       |       |           |                |
| Pay    |                       |       |           |                |
| for    |                       |       |           |                |
| Pe     |                       |       |           |                |
| rforma |                       |       |           |                |
| nce**. |                       |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 2.  Issue guidance on | Q4    | OM        | -   Guidance   |
|        |     developing        | 2004  | Assistant |     issued.    |
|        |     performance plans |       | Secretary |                |
|        |     with clarity of   |       |           |                |
|        |     results that      |       | Budget    |                |
|        |     include PART      |       | Service   |                |
|        |     responsibilities. |       | Director  |                |
|        |                       |       |           |                |
|        |                       |       | SAS       |                |
|        |                       |       | Director  |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 3.  Implement Senior  | Q3    | HRS       | -   SES pay    |
|        |     Executive Service | 2005  | Director  |     policy     |
|        |     (SES) pay for     |       |           |     developed  |
|        |     performance       |       |           |     and        |
|        |     system.           |       |           |     approved.  |
|        |                       |       |           |                |
|        |                       |       |           | -   SES pay    |
|        |                       |       |           |     for        |
|        |                       |       |           |                |
|        |                       |       |           |    performance |
|        |                       |       |           |     system     |
|        |                       |       |           |                |
|        |                       |       |           |   implemented. |
+--------+-----------------------+-------+-----------+----------------+
|        | 4.  Revise            | Q2    | OM        | -              |
|        |     performance award | 2005  | Assistant |    Performance |
|        |     policy to focus   |       | Secretary |     award      |
|        |     cash awards on    |       |           |     policy     |
|        |     the highest       |       | EMT       |     revised.   |
|        |     performing staff. |       |           |                |
|        |                       |       | Assistant |                |
|        |                       |       | Se        |                |
|        |                       |       | cretaries |                |
|        |                       |       |           |                |
|        |                       |       | AFGE      |                |
|        |                       |       |           |                |
|        |                       |       | HRS       |                |
|        |                       |       | Director  |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 5.  Set               | Q2    | EMT       | -   Develop    |
|        |     department-wide   | 2005  |           |                |
|        |     expectations for  |       | Assistant |   expectations |
|        |     leadership        |       | Se        |     and        |
|        |     accountability,   |       | cretaries |     briefing   |
|        |     employee          |       |           |     materials. |
|        |     performance       |       |           |                |
|        |     management,       |       |           | -   Brief      |
|        |     awards, and       |       |           |                |
|        |     employee          |       |           |  EMT/Assistant |
|        |     development.      |       |           |                |
|        |                       |       |           |    Secretaries |
|        |                       |       |           |                |
|        |                       |       |           | -   Assistant  |
|        |                       |       |           |                |
|        |                       |       |           |    Secretaries |
|        |                       |       |           |     brief PO   |
|        |                       |       |           |     managers.  |
+--------+-----------------------+-------+-----------+----------------+
|        | 6.  Establish a       | Q2    | SAS       | -   EDPAS      |
|        |     process to        | 2005  | Director  |                |
|        |     communicate       |       |           |    performance |
|        |     Department of     |       | HRS       |     agreements |
|        |     Education         |       | Director  |     reflect    |
|        |     strategic and     |       |           |     PART and   |
|        |     annual goals to   |       | Budget    |     Strategic  |
|        |     all employees and |       | Service   |     Plan       |
|        |     translate into    |       | Director  |     res        |
|        |     EDPAS performance |       |           | ponsibilities. |
|        |     standards.        |       | Assistant |                |
|        |                       |       | Se        |                |
|        |                       |       | cretaries |                |
|        |                       |       |           |                |
|        |                       |       | PO        |                |
|        |                       |       | Managers  |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 7.  Implement process | Q2-Q3 | Under     | -              |
|        |     to communicate    | 2005  | Secretary | Communications |
|        |     Department of     |       |           |     materials  |
|        |     Education         |       | Assistant |     and        |
|        |     strategic and     |       | Se        |     schedule   |
|        |     annual goals and  |       | cretaries |     developed. |
|        |     translate into    |       |           |                |
|        |     EDPAS performance |       | PO        | -   Employees  |
|        |     standards to all  |       | Managers  |     receiving  |
|        |     employees         |       |           |                |
|        |                       |       |           |    information |
|        |                       |       |           |     on ED      |
|        |                       |       |           |     goals and  |
|        |                       |       |           |     how they   |
|        |                       |       |           |     link to    |
|        |                       |       |           |     their      |
|        |                       |       |           |     EDPAS      |
|        |                       |       |           |                |
|        |                       |       |           |    performance |
|        |                       |       |           |     standards. |
+--------+-----------------------+-------+-----------+----------------+
|        | 8.  Evaluate process  | Q4    | PPIS      | -   Evaluation |
|        |     to communicate    | 2006  | Director  |     conducted. |
|        |     Department of     |       |           |                |
|        |     Education         |       |           |                |
|        |     strategic and     |       |           |                |
|        |     annual goals and  |       |           |                |
|        |     translate into    |       |           |                |
|        |     EDPAS performance |       |           |                |
|        |     standards to all  |       |           |                |
|        |     employees.        |       |           |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 9.  Assess EDPAS to   | Q2    | OM        | -   Decision   |
|        |     determine         | 2005  | Assistant |     made on    |
|        |     feasibility of    |       | Secretary |     aligning   |
|        |     implementation on |       |           |     EDPAS      |
|        |     a fiscal year     |       | HRS       |     cycle with |
|        |     schedule.         |       | Director  |     the fiscal |
|        |                       |       |           |     year.      |
|        |                       |       | EMT       |                |
+--------+-----------------------+-------+-----------+----------------+
|        | 10. SES performance   | Q1    | HRS       | -              |
|        |     based pay         | 2006  | Director  |    Performance |
|        |     distributions     |       |           |     Review     |
|        |     determined and    |       | PRB       |     Board      |
|        |     broad employee    |       | (Bonus)   |     (PRB)      |
|        |     bonuses awarded.  |       |           |     (Bonus)    |
|        |                       |       | Secretary |     convened.  |
|        |                       |       |           |                |
|        |                       |       |           | -   R          |
|        |                       |       |           | ecommendations |
|        |                       |       |           |     receive    |
|        |                       |       |           |                |
|        |                       |       |           |    Secretarial |
|        |                       |       |           |     approval.  |
|        |                       |       |           |                |
|        |                       |       |           | -   Bonuses    |
|        |                       |       |           |     awarded.   |
+--------+-----------------------+-------+-----------+----------------+
|        | 11. Analyze results   | Q4    | PPIS      | -   FHCS       |
|        |     of the 2004 OPM   | 2005  | Director  |     results    |
|        |     Federal Human     |       |           |     provided   |
|        |     Capital Survey    |       |           |     to the     |
|        |     (FHCS) and        |       |           |     Department |
|        |     disseminate to    |       |           |     by OPM are |
|        |     all employees and |       |           |     analyzed   |
|        |     offices           |       |           |     and        |
|        |                       |       |           |                |
|        |                       |       |           |   disseminated |
|        |                       |       |           |     to         |
|        |                       |       |           |     Department |
|        |                       |       |           |     employees  |
|        |                       |       |           |     and        |
|        |                       |       |           |     offices.   |
+--------+-----------------------+-------+-----------+----------------+
|        | 12. Use results of    | Q1 -- | Assistant | -   Survey     |
|        |     the Federal Human | Q3    | Secretary |     results    |
|        |     Capital Survey to | 2006  | OM        |     used to    |
|        |     improve human     |       |           |     identify   |
|        |     capital           |       | Assistant |     human      |
|        |     management        |       | Se        |     capital    |
|        |     programs.         |       | cretaries |     management |
|        |                       |       |           |     programs   |
|        |                       |       | PO        |     that need  |
|        |                       |       | Managers  |     more       |
|        |                       |       |           |     complete   |
|        |                       |       |           |                |
|        |                       |       |           |    evaluations |
|        |                       |       |           |     or         |
|        |                       |       |           |                |
|        |                       |       |           |  improvements. |
+--------+-----------------------+-------+-----------+----------------+

Appendix B

### Methodology

The Department developed its approach to strategic human capital
planning following the key steps and principles outlined by the Office
of Personnel Management (OPM), the Government Accountability Office
(GAO) and Partnership for Public Service's Solutions Center Strategic
Human Capital Planning case studies.[^2]

This human capital plan reflects the voice of the Department's leaders
and managers. Our planning efforts relied extensively on the input of
our leadership team and stakeholders, as well as the support and
expertise of our Human Resources Services (HRS). Based on this
collective input, we developed an approach and project plan to identify:

-   Critical mission challenges likely to affect the Department in the
    short- and long-term;

-   The types of employees needed now and in the future to achieve our
    mission and address critical challenges;

-   Workforce trends likely to affect our ability to recruit, hire,
    develop, motivate, and retain the employees needed; and

-   Ongoing and planned initiatives the Department should pursue to
    address the range of workforce challenges.

To collect this information and begin to synthesize our plan, we
completed an extensive review of our human capital policies, programs
and progress in recent years. We also used a structured interview guide
to complete interviews and focus groups with approximately 80 leaders
and supervisors within the Department, assessing their views on our most
mission critical human capital challenges and the actions needed to
overcome those challenges.

To supplement our leaders' views, HRS performed a significant amount of
data analysis to assess the workforce trends developing within the
Department; that data is summarized in the body of the Human Capital
Management Plan. Based on this data collection effort, HRS outlined our
significant challenges and strategies and convened a meeting with
Department leaders to confirm the findings and the direction of the
plan. Based on the leaders' input, we revised the outline and drafted a
final 2004 human capital management plan.

[^1]: See the Human Capital Standards for Success published on OPM's
    website at: <http://apps.opm.gov/HumanCapital/standards/index.cfm>.

[^2]: See OPM's strategic human capital/workforce planning guidance at
    <http://www.opm.gov/workforceplanning/>. Also, see GAO, *Human
    Capital: Key Principles for Effective Strategic Workforce Planning,*
    GAO-04-39 (December 11, 2003) and the Partnership for Public
    Service's Solutions Center *Strategic Human Capital Planning* case
    studies at <http://www.ourpublicservice.org/solutions/>.