Archived Information

# Human Capital Management & Accountability Model

The Human Capital Management and Accountability Model is designed to
integrate human capital management throughout the Department. The model
also establishes a Chief Executive Officer (CEO) for human capital
management. The CEO for human capital management will be the Assistant
Secretary for the Office of Management. Integrating human capital
management with the rest of the Department and establishing a CEO for
human capital management will ensure that human capital management
measurement systems and measures are developed and implemented. In
addition, it ensures that human capital management service problems will
be resolved in a timely and effective manner. The human capital
management service providers will have high standards but will not serve
as gatekeepers -- management will be held accountable by the senior most
leadership for service and performance.

The following lists the human capital stakeholders and human capital
service providers and outlines the roles and responsibilities associated
with each and a gap analysis of the actions each stakeholder must take
to meet the roles and responsibilities.

## Human Capital Stakeholders

-   Chief Executive Officer for Human Capital

-   Career Deputy Chief Executive Officer for Human Capital

-   Senior Officers

-   Managers

-   Employees

-   Executive Officers

-   Human Resources Group

-   Training and Development Group

-   Labor Management Group

-   EEO Group

-   Work Life Group

-   Quality Workplace Group

### Chief Executive Officer & Career Deputy for Human Capital

#### Human Capital Responsibilities

-   Align HC management and services with the Strategic Plan

-   Monitors HC Performance

-   Advises the Secretary and DS on HC issues

-   Consults with and advises senior officers

-   Performs human capital data analyses

> **Human Capital Accountability Issues**

-   No global management of human capital issues.

-   No focus on global problem solving.

-   No champion to address problems with management practices

#### 

#### Gap Analysis and Proposed Actions

-   Global management of human capital is necessary to align management
    and services with the Strategic Plan

-   Global management is necessary to resolve issues and problems at all
    levels.

-   Designate a CEO for Human Capital Management (Secretary/DS)

# 

**Human Resources Services**

##### Human Capital Responsibilities

[General]{.underline}

-   Carry out SES HC management (slot justification, recruitment,

-   Classify positions (title, series, grade)

-   Recruit for vacant positions

-   Manage benefits program

-   Manage performance appraisal system

-   Assist management on performance and conduct based actions.

-   Advise management on grievances.

-   Process personnel actions

-   Manage payroll

-   Develop and implement HC policies and programs

-   Partner with other offices to provide human capital customer service

######### Training & Development Team

-   Develop and implement training that is aligned to the Strategic Plan
    and addresses long-term needs

```{=html}
<!-- -->
```
-   Evaluate ED competencies and ensure training is offered that
    improves these competencies

######### Labor Relations Team

-   Negotiate Collective Bargaining Agreement

-   Negotiate individual human capital policies

-   Assist management in resolving human capital issues raised by the
    Union

-   Represent the ED with FLRA

######### Work/Life Programs Team

-   Provide informational seminars to enhance employees\' work and
    personal lives

-   Manage the child-care program, voluntary leave transfer program, and
    telecommuting programs

-   Coordinate the volunteers program

-   Provide advice and assistance on reasonable accommodation issues

-   Develop work-life initiatives; e.g., administrative leave for
    parent-teacher conferences

#####  

##### Human Capital Accountability Issues

######### General

-   Speed of Recruitment Process

-   Information on status of action

-   Delegation of authority to lowest level

-   Level of staff competencies

-   Utilization of technology

-   Provide advice and assistance on workforce analyses

-   Improve customer service

######### Training & Development Team

-   Alignment of training with Strategic Plan and long-term training
    needs

```{=html}
<!-- -->
```
-   Design of training curriculum to meet competency requirements

######### Labor Relations Team

-   All aspects of LMR program support management goals

######### Work/Life Programs Team

-   Use and impact of worklife program

##### 

##### Gap Analysis and Proposed Actions

> [General]{.underline}

-   EDHIRES should be extended to all recruitment actions (HRG/CIO)

-   A system to provide the status on all phases of recruitment actions
    **must** be implemented (HRG/CIO/EOs)

-   All PMIs should be reviewed to determine whether delegations can be
    further streamlined while maintaining optimum internal controls.
    (HRG)

-   All HRG staff should be trained in their functional areas and in
    customer service (HRG/TDG)

-   CIO should review HRG functions for further application of
    technology. (HRG/CIO.

-   An automated feedback survey should be developed to measure
    satisfaction from the perspective of ER customers on the service
    they received and ER specialists on the action supervisors took to
    resolve performance and conduct problems (CIO/HRG/EOs)

> [Training & Development Team]{.underline}

-   Implement method to ensure that training is aligned with the
    Strategic Plan and long-term training needs are identified
    (TDG/MSIG)

-   Identify competencies for top eight occupational series in ED

```{=html}
<!-- -->
```
-   Ensure that training is implemented to meet competency requirements

######### Labor Relations Team

-   Develop comprehensive strategy for bargaining contract that identify
    benefits and practices management wants adjusted. (LRG)

-   An automated survey should be developed to measure whether
    management clients believe that their interests are being met and
    whether LMR service providers believe their clients are acting
    responsibly based on their advice. (LRG/CIO/EOs)

######### Work/Life Programs Team

-   Develop a system to track the use and impact of major worklife
    programs

## Equal Employment Opportunity Group

##### 

##### Human Capital Responsibilities

-   Investigate and resolve EEO complaints

-   Track diversity and provide reports to management

##### 

##### Human Capital Accountability Issues

-   Complaints are resolved in a timely manner

-   PO have detailed diversity profiles

```{=html}
<!-- -->
```
-   Managers are held accountable for identifying strategies for
    improvement

##### 

##### Gap Analysis and Proposed Actions

-   Adequate resources should be provided to ensure complaints are
    resolved in a timely manner. (AS/OM)

-   Quarterly in-depth diversity profiles should be provided to each
    Senior Officer

-   Quarterly reports and annual reports should be provided to Senior
    Officers on EEO complaint activity

-   An assessment of management culpability should be provided to the
    Senior Officer for each settlement agreement. (EEOG/OGC)

######## Performance & Process Improvement Services

> **Human Capital Responsibilities**

-   Develop workforce profiles

-   Provide summary of employee survey results

-   Investigates and benchmarks best practices in human capital
    management

> **Human Capital Accountability Issues**

-   Coordinate with Career Deputy for human capital

-   Meets periodically with Ex Officers

> **Gap Analysis and Proposed Actions**

-   Improved data analysis tools

-   Increased staffing capacity

######## Facilities Services

> **Human Capital Responsibilities**

-   Coordinates employee space requirements

> **Human Capital Accountability Issues**

-   Adequate space is provided to meet needs

-   Space is provided in a timely manner

# Senior Officers

**Human Capital Responsibilities**

-   Manage human capital within respective Principal Offices (POs)

##### 

##### Human Capital Accountability Issues

-   Ensure human capital management within their POs is aligned with the
    Strategic Plan (SO/CEO)

-   Ensure that human capital management is an important part of each
    manager\'s responsibilities (SO/CEO)

##### 

##### Gap Analysis and Proposed Actions

-   Include human capital planning responsibilities in the agreements
    Senior Officers have with the Secretary (Secretary/DS)

-   Train their managers and Executive Officers in workforce planning
    (TDG)

-   Senior Officers should focus the performance appraisals of managers
    on the effective performance of their human capital responsibilities
    (SOs, DS, Secretary).

-   Senior Officers should focus their rewards for managers on the
    effective performance of their human capital responsibilities (SOs,
    DS, Secretary).

-   To facilitate accountability management and workforce planning, a
    system should be developed to provide reports to Senior Officers on
    performance ratings, disciplinary and adverse actions, EEO
    complaints, diversity profiles, staff competencies, etc. (CIO, TDG,
    HRG, EEOG)

## Managers

##### 

##### Human Capital Responsibilities

-   Plan work

-   Assign work

-   Evaluate work

-   Recruit and select new staff

-   Develop employee\'s

-   Take disciplinary and adverse action

-   Reward performance

##### 

##### Human Capital Accountability Issues

-   Dealing with poor performers

-   Devoting sufficient time and attention to human capital
    responsibilities

-   Maximizing effective use of personnel flexibilities

###### 

###### Gap Analysis and Proposed Actions

-   All managers must be certified in their HR management functions
    (TDG/HRG)

-   A system should be developed to provide managers with turnover data
    and demographics for their staffs (EEOG/CIO)

-   Managers should focus their rewards for employees on the effective
    accomplishment of their duties and special projects. (SOs, DS,
    Secretary)

**Executive Officers**

##### 

##### Human Capital responsibilities 

-   Process and track personnel actions

-   Assist managers in preparing recruitment packages

-   Provide HR information to managers

-   Track other HR functions; e.g., performance appraisal, leave
    restoration

##### Human Capital Accountability Issues

-   Performing workforce planning - developing plans and strategies to
    meet critical short-term and long-term staffing needs of the
    Principal Office

-   Providing reliable and transparent information on status of actions
    for stakeholders

-   Filtering information from Human Capital specialists in other groups
    within ED

##### Gap Analysis and Proposed Actions

-   A system **must** be developed to provide stakeholders with the
    status of recruitment actions from initiation to final selection and
    entry on duty (CIO, HRG, EOs)

-   A full range of demographic information should be provided to EOs on
    a quarterly basis (EEOG)

-   All EOs should be trained in workforce planning techniques
    (TDG/MSIG).

-   Each year EO will prepare annual workforce plans for SO approval.
    (EOs)

-   Workforce plans should be shared with HRG specialists (EOs).

-   EOs should facilitate and promote direct contacts between employees,
    managers and OM personnel specialists and be held accountable for
    enhancing the lines of communication (SOs/EOs)

## 

## Employees

##### 

##### Human Capital Responsibilities

-   Provide input for performance measurements

-   Participate in identifying self development options

-   Communicate with customers

-   Maintain technical capacity and competence

##### 

##### Human Capital Accountability Issues

-   Identifying results and expected outcomes

-   Tying rewards and recognition to results

-   Identify employee interests for human capital planning purposes

##### 

##### Gap Analysis and Proposed Action

-   Develop training to meet competency gaps (TDG)

-   Promote collaboration to identify results and outcomes for
    performance purposes (SOs/Supervisors/Employees)

-   Tie awards to tangible results

-   Adequate funds for training

-   Adequate funds for awards