2012 Human Capital Management Report Template

FISCAL YEAR 2012 ANNUAL HUMAN CAPITAL MANAGEMENT REPORT Introduction

Federal agencies are required under 5 CFR part 250 to submit an annual Human Capital Management Report (HCMR) to the U.S. Office of Personnel Management (OPM). The HCMR helps both OPM and the reporting agency assess how well the agencys human capital/human resources (HC/HR) programs and operations contribute to organizational performance and mission accomplishment. The HCMR is an important evaluation tool that measures progress on achieving HC/HR goals and informs the next cycle of planning and implementation (see the Human Capital Assessment and Accountability Framework (HCAAF) diagram below.) It helps agencies implement and sustain effective and efficient HC/HR practices, policies, and programs directly aligned to support agency missions. It establishes and defines five human capital systems that provide a single, consistent definition of human capital management for the Federal Government. The HCAAF fuses human capital management to the merit system principlesa cornerstone of the American Civil Service and other civil service laws, rules, and regulations. This year we continue to have a strong focus on planning, implementing, and evaluating as it relates directly to each described program initiative. We are asking that you describe how your HC/HR initiatives are designed to meet the needs of your agency. In order to do that, we are asking you to document the full life-cycle of HC/HR programs you have implemented in FY 2012. This includes how you used the results outcome data to inform future implementation planning and actions. By rigorously analyzing performance indicators (measures), an agency can assess the results of its HC/HR initiatives and learn which strategies are productive, which need to be adjusted, and which are best aligned to support mission accomplishment. In this way, the HCMR informs the Chief Human Capital Officer (CHCO), other agency senior leaders, and OPM on the success of their current HC and workforce strategies and guides their decision-making on strategies for future programs and objectives. HCAAF SYSTEMS:

2012 Human Capital Management Report Template

General Instructions:
Purpose: The 2012 HCMR serves a number of purposes, including providing agencies a mechanism for: Collecting effective, comparable human capital data. Documenting human capital programs results and actions. Providing information that assists OPM in its understanding of the state of human capital management in the Federal Government. Communicating HC initiatives to all management in order to improve participation and support. Reporting Requirements: The HCMR is due January 31, 2013. Agencies will follow the same procedure and use the same site on MAX Collect to complete the HCMR for 2012. Based on agency feedback, we are making the following enhancements: Removing the character restrictions, resulting in a different format from the appearance in this template. Creating a separate page for agencies to submit their MCO Resource Chart SSM that will allow a direct upload of the Excel file. All agencies, including HRstat pilot agencies, are to submit their MCO Resource Chart in their original Excel format and will not need to enter MCO data directly into MAX Collect. The HCMR MAX site is: https://max.omb.gov/community/x/DIKlHg.

Organization of the Report:

The report is divided into four sections: Section One contains questions on agency HC/HR successes, challenges, and future areas of focus under the Government Performance and Results Act Modernization Act of 2010 (GPRMA). Section Two contains templates designed to document your agencys key HC/HR initiatives and relevant outcomes in the areas of strategic alignment and workforce planning, leadership and knowledge management, talent management, and performance culture. o This is the section in which your agency may "tell its story and describe what is happening in the agency regarding the management of human capital/human resources programs and initiatives. o For each agency initiative that may fall under multiple HCAAF systems, list the program under the one system that provides the most comprehensive description and refer to the other system or systems where the program may also be relevant. o Topic examples are provided in each area of the HCAAF with the exception of the Accountability System. The Accountability System is a cross-cutting system and is covered in the other systems through reporting on measure setting, evaluation methods and outcomes. o If you have an initiative that does not seem to align with the examples, use the Other category.

2012 Human Capital Management Report Template

There is one blank template per section; you may add more as needed. For additional information on the HCAAF and the standards of success to help structure your discussion, please use this link http://www.opm.gov/hcaaf_resource_center/. Section Three provides a checklist of HC planning documents. Section Four requires a brief narrative on the results of the agencys implementation efforts for selected Government-wide initiatives. o o

Special Instructions for Completing the 2012 HCMR CHCO Agency Requirement:
Please attach the MCO Resource Chart (Excel template)

Small Agency (Non-CHCO) Requirements Please attach:

MCO Resource Chart Annual Time-To-Hire metric (no other E2E or Hiring Reform metrics are required)

Please note that while there is no character limitation to the template sections, it is our intent to streamline the process and reduce the size of the overall report. Please provide succinct answers, providing examples where appropriate. Do not attach additional documents to this report.

2012 Human Capital Management Report Template

Human Capital Management Report FY 2012

Agency Name:

Point of Contact for this report: Name: Address: Phone: (include area code) E-mail Address:

Chief Human Capital Officer or Senior Official who reviewed and approved this report: Name: Date:

2012 Human Capital Management Report Template

Section I. HC In Your Agency

Please answer the following questions about human capital management in your agency. For yes or no questions, please answer yes or no AND provide an explanation for every answer. 1. What are the agencys primary performance goal objectives and how did HC/HR programs support the outcomes? 2. What are the three major challenges your agency faces in the next fiscal year? 2a. How will you use human capital to address these challenges? 3. What are the three major HC/HR challenges the agency faces in the next 2 to 5 years? 4. My agency's leadership understands the relationship between human capital results and agency performance goal achievement. Yes _____ No_____ Describe: 5. My agency uses human capital data as a tool that drives defensible decision-making. Yes _____ No_____ Describe: 5a. If Yes, please identify the human capital data currently being used at your agency. Explain: 5b. The human capital data my agency currently uses improves outcomes and helps the agency achieve its goals. Yes _____ No_____

Describe:

Section II. Planning, Implementation, and Evaluation of the Human Capital Life Cycle
The human capital life cycle of planning, implementing programs, and evaluating for results provides a continuous framework for the achievement of major program outcomes and process improvement. For each of the following sections, please identify the key HC/HR programs you have implemented over the last fiscal year, and use the provided templates and following definitions to answer the following: How did your agency plan, implement, and evaluate the program? What were the results/outcomes from the program?

2012 Human Capital Management Report Template

How were the results used to inform strategies and/or actions? How did the results/outcomes support the agencys mission? Each template is formatted the same. If you would like to provide more examples, simply insert a new template. Use of this specific template is mandatory.

Getting Started: The following definitions will assist you in completing the sections in the template.
Planning Phase (Alignment) Describe the HC/HR strategies and plans developed to support mission, goals, and organizational objectives. Describe the results of these HC/HR programs. Include the following elements when describing the planning phase for selected HC/HR programs or initiatives: 1. Agency Strategic Initiative(s) - The priorities or objectives identified in the agencys Strategic Plan and/or Management Objectives. The agency determined through a planning process that these specific actions will help accomplish the agency mission. Human Capital/ Human Resources (HC/HR) goals - The HC/HR goals that support the achievement of the agency strategic initiative. The agency has determined through a planning process that these specific HC/HR goals are aligned with the agencys strategic goals and will support the agencys priorities. (NOTE: The alignment between the agency initiative and the HC/HR goal is described in the agency HC/HR Strategic Plan or is otherwise aligned with the agency HC/HR Strategic Plan.) The measure - Indicates what constitutes successful attainment of the HC/HR Goal (short term and long term success). The focus should be on the overall desired outcome and not activity outputs. As an example: Short term ---85% percent of technicians demonstrate proficiency in basic electronics after attending training course, instead of 85% of technicians attended training course. Long term --- improvements in product delivery (faster, fewer defects, better productivity, etc.) The target - Indicates the desired level of success, and should be objective, quantifiable, and have a stated end date (e.g., upon the completion of the training program, 85% of technicians will demonstrate proficiency in basic electronics). The evaluation methodology - Describes how the agency will determine whether the stated program or initiative outcomes have been achieved. This section will address how seniorlevel management officials in the agency are provided HC/HR accountability information and generally how this information will be used to inform future initiatives.

2.

3.

4.

5.

Implementation Phase Describe how the HC/HR programs are conducted/implemented based on organizational priorities that support agencies. Some areas to cover might be: 1. Provide insight as to how the program implementation was completed. How did HR work with other parts of the organization to be successful? 2. Describe how change management was integrated into the process. How was buy-in from executives, leaders, managers, and employees obtained?

2012 Human Capital Management Report Template

3. Discuss communication strategies, especially how the program was communicated as being essential to agency mission accomplishment. 4. Describe any barriers or challenges that had to be overcome to complete the work. 5. This section can also include description of any interim program monitoring activities with related output measures (e.g., # the number of technicians trained by X date). Evaluation /Results/Next steps The Evaluation/Results section identifies the level of success obtained after program/initiative implementation, and should address results achieved in terms of major outcomes, not simply completed activities. This section should allow you to: 1. Provide an assessment of the actions taken to achieve the HC/HR goal. Did the agency achieve the targeted level of success? Did goals, targets, implementation methods, etc., yield expected HC/HR outcomes? Did the agency use the methods identified in the planning phase to evaluate the effectiveness of HC/HR planning? 2. Integrate findings from appropriate Systems, Standards and Metrics (SSM) Chart, and discuss whether the results of other related measures support the findings (e.g., EVS scores, managers satisfaction with the quality of applicant scores, etc.), and what factors contributed to the result. 3. Describe internal or external factors, such as changing mission needs, budget constraints, or Congressional requirements that affected the ability of the agency to achieve its HC/HR goals. 4. Describe any actions to address findings and timeframe estimates. 5. Describe how these actions impact high risk areas or areas of concern for the next fiscal year, and how they would feed into the next planning cycle.

Reporting: Use the definitions and the bullets as examples to guide your responses.
Strategic Alignment - Agency human capital management strategies are aligned with mission, goals, and organizational objectives and integrated into its strategic plans, performance plans, and budgets. HC Planning - The agency designs a coherent framework of human capital policies, programs, and practices to achieve human capital requirements to directly support the agency's strategic plan. Describe how your agency incorporates the use of key Human Capital Programs and Policies (e.g., training, Pathways, mentoring, Diversity and Inclusion) to strategically recruit, select, develop and retain employees to reduce and/or close their staffing and/or competency gaps. Workforce Planning - The organization identifies the human capital required to meet organizational goals, conducts analyses to identify competency gaps, develops strategies to address human capital needs and close competency gaps, and ensures the organization is appropriately structured. Metrics and Evaluation: Describe how your agency determines whether or not established human capital programs, policies, and initiatives are successfully carried out and ensures that your agency has the right mix of talent. Program/ Initiative Name: Planning:

Implementation:

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Evaluation and Outcomes:

Next Steps:

Outcome Alignment with Agency Mission:

(INSERT ADDITIONAL TEMPLATES FOR ADDITIONAL PROGRAMS/INITIATIVES) Please answer these additional Workforce Planning questions: Does your agency have a governing body (e.g. Executive Steering Committee) that establishes and maintains a governance structure for coordinating resources and services between the CHCO, CFO, CLO, CIO, etc.? Does your agency have a corporate workforce planning method? If yes, is there a governing body that coordinates decisions and resources? How does your agency use workforce planning strategies and workforce data to close staffing and/or competency gaps? Are you able to project the percent of the workforce expected (or eligible) to retire in the next fiscal year? If yes, please indicate percentage expected to retire within the next fiscal year:*

________ Leadership (Senior Executive Service) _________ Management (Managers, Supervisors) _________ Non-supervisory
Please indicate percentage expected to retire within the 2 to 5 years:*

________ Leadership (Senior Executive Service) _________ Management (Managers, Supervisors) _________ Non-supervisory
*Please indicate how your agency planning (workforce planning, succession planning, recruitment, etc.) is helping your agency prepare for these retirements. Be as specific as possible.

2012 Human Capital Management Report Template

Leadership and Knowledge Management (LKM) - Focuses on identifying and addressing agency leadership competencies so that continuity of leadership is ensured, knowledge is shared across the organization, and an environment of continuous learning is present. Briefly describe how you planned, implemented, evaluated and determined results to support key organizational objectives. Examples of potential areas to describe under leadership and knowledge management: Succession planning Continuous learning (e.g., training needs assessment, learning management systems, coaching/mentoring) Knowledge management (e.g., knowledge transfer strategies, communities of practice, IT support) Leadership Development (e.g., bench strength analysis, competency gap analysis, developmental programs) Employee Development (e.g., MCO-specific strategy, strategic use of IDPs) Other leadership and knowledge management programs/initiatives Program/ Initiative Name: Planning:

Implementation:

Evaluation and Outcomes:

Next Steps:

Outcome Alignment with Agency Mission:

(INSERT ADDITIONAL TEMPLATES FOR ADDITIONAL PROGRAMS/INITIATIVES) Talent Management The organization addresses competency gaps, particularly in mission-critical occupations, by implementing and maintaining programs to attract, acquire, develop, promote, and retain quality talent. Briefly describe how you planned, implemented, evaluated and determined results for your key talent management programs. Examples of potential areas to describe under talent management: Assessing competency/skill gaps (describe method for identifying critical skill gaps assessment and/or tools to conduct competency assessments)

2012 Human Capital Management Report Template

Attracting and hiring high-quality employees (describe challenges the agency is facing in recruiting or hiring critical positions, indicate how the agencys strategic planning process informs recruitment plans) Retaining top performers (describe the retention strategies the agency has in place) Applicant and Manager Surveys (describe how the agency uses the results from the surveys to effect change) Other talent management programs/initiatives

Program/Initiative Name: Planning:

Implementation:

Evaluation and Outcomes:

Next Steps:

Outcome Alignment with Agency Mission:

(INSERT ADDITIONAL TEMPLATES FOR ADDITIONAL PROGRAMS/INITIATIVES) Performance Culture - The organization promotes a diverse, high-performing workforce by implementing and maintaining effective performance management systems and awards programs Briefly describe how you planned, implemented, evaluated and determined results for your key performance culture programs. Examples of potential areas to describe under performance culture: Building a culture of high performance (actions/strategies for development of high-performing teams; identification of continuous process improvements; ways to create and sustain innovative, productive, engaged employees; use of non-traditional work arrangements such as telework and flex schedules, etc.; employee involvement in agency culture-change initiatives) Promoting cooperation among employees, unions, and managers Building a diverse workforce (strategies to attract, develop, and manage a diverse talent pool) Other performance culture programs/initiatives Program/ Initiative Name: Planning:

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2012 Human Capital Management Report Template

Implementation:

Evaluation and Outcomes:

Next Steps:

Outcome Alignment with Agency Mission:

(INSERT ADDITIONAL TEMPLATES FOR ADDITIONAL PROGRAMS/INITIATIVES)

Please answer this additional Performance Culture question: What actions has you agency taken to improve your Employee Viewpoint Survey Performance Culture Index (PCI)? And/or what plans has your agency made to improve on the elements that feed into the Overall PCI? ANSWER THE FOLLOWING QUESTIONS ONLY IF YOUR AGENCY MEETS THE CRITERIA SET AT THE BEGINNING OF EACH QUESTION
Agencies should evaluate their non-SES appraisal programs every 3 years using OPM's PAAT. If the agency's weighted average PAAT score is less than 80 out of 100 points, the agency should make improvements to the program(s) and then evaluate the program(s) again, until the program(s) score at least 80 points. If your agencys PAAT score is less than 80, please describe what actions have been taken to evaluate the program(s) in order to improve the score. If your agencys PAAT score is 80 or above, you do not have to answer this question. SES or SL/ST Performance Appraisal System(s) The correlation coefficient of the agency's SES members and their performance pay should be at least .5 If your agency has a correlation coefficient less than .5, what actions are you taking to improve the correlation? If you agencys coefficient is .5 or above, you do not have to answer this question. If your agency has an SES or SL/ST appraisal system that does not yet have full certification, what actions are you taking to improve the system?

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2012 Human Capital Management Report Template

Section III: Human Capital Planning Documents

Please indicate if you have the following: Current Workforce Plan Current Human Capital Strategic Plan Current Succession Plan Strategic Recruitment Plan Routinely Used New Hire Survey Routinely Used Exit Survey Yes Yes Yes Yes Yes Yes Dated _____________No Dated _____________No Dated _____________No No No No

Section IV: HC Government-wide Initiatives

Please answer the following questions on Government-wide initiatives: Veterans Employment Initiative Employment of Veterans: http://www.whitehouse.gov/the-press-office/executive-orderveterans-employment-initiative In accordance with Section 3(c), (d), and (e) of Executive Order 13518 - Employment of Veterans in the Federal Government, please describe how your agency has improved employment opportunities for veterans. Extension of Benefits to Same-Sex Domestic Partners of Federal Employees Implementation of the Presidents Memorandum Regarding Extension of Benefits to Same-Sex Domestic Partners of Federal Employees: http://www.chcoc.gov/transmittals/TransmittalDetails.aspx?TransmittalID=2982 Reporting requirement agencies will complete and submit the tables of requested data in the HCMR MAX Collect exercise and report on 2012 Government-wide benefits, non-title 5 agency benefits, and agency-specific benefits/work-life benefits. Hiring Reform Hiring Reform: http://www.whitehouse.gov/the-press-office/presidential-memorandumimproving-federal-recruitment-and-hiring-process How has the Government-wide focus on Hiring Reform improved recruiting and hiring in your agency (include supporting data)?

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