Human Capital Management in the Public Sector (2020)

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Richard Swartzbaugh
End-to-End
Talent Management

Human Capital Framework (HCF)
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Overview
The Human Capital Framework (HCF) provides a sample comprehensive guidance on strategic human capital
management for virtually any employer.
The framework provides direction on human capital planning, implementation, and evaluation. The HCF's flexible
structure supports organizational agility and adaptability, which Agency’s need in order to function successfully in our ever
changing business environment
The HCF guides agencies to effectively manage an organization's talent by promoting the use of sound talent
management practices. The Framework provides talent management strategies that support and shape an organization's
current workforce, while preparing for the future. It provides guidance on evaluation techniques that measure progress and
outcomes for Return on Investment (ROI), program and policy effectiveness, and prepares organizations for change by
providing a foundation for organizational agility.
Human Capital Frameworks are not “one size fits all.” HCF’s must be highly customized, align and enable the
organization’s Mission, Vision, Values, culture, operating norms, industry, places it does business, with the goal of exceeding
needs of shareholders, customers, and the workforce.
Key Components:
I. The Structure of the Human Capital Framework (HCF)
II. Strategic Planning & Alignment
III. Talent Management, Talent Acquisition
IV. High Performance Culture
V. Evaluation
https://www.opm.gov/policy-data-oversight/human-capital-management/#url=Overview

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Organizational agility has become and will continue to be a requirement for organizations as external environmental
factors (e.g., budget fluctuations, changes in shareholder, customer, and employee expectations, unforeseen crises) become
more complex and unpredictable. This continuous change requires that modern organizations acquire a flexible and
responsive approach to managing talent in order to achieve their missions.
Reflective of this new understanding of complexity and rapid change, organizational scholars have begun applying
complexity science to better understand how best to manage human resources toward organizational outcomes. Complexity
science views organizations as non-linear, open systems where a network of actors cluster toward shared objectives. These
clusters are temporary and contingent, aligning and realigning as actors respond to changes in the external and internal
environment. The nodes in this network are key drivers of organizational outcomes and reflect informal as well as formal
focal points of resources, insights, influence, and activities.
The lens of complexity science provides a new conceptualization of organizations as self-organizing systems. This
new understanding of organizations implies an equivalent new role for Human Resources Management. In complex
adaptive systems, HR's job is to influence the emergent behaviors of leaders, managers, and employees as they respond to
their environment. HR must encourage the behaviors that will achieve organizational goals, while also enabling constant
reinvention of the organization as needed to address internal and external environmental changes. HR itself must constantly
flex policies and processes to align with emerging organizational needs.
Organization’s must build capacity to manage change, while pursuing optimal performance and mission
accomplishment. To accomplish this, organizations must be agile and responsive with how they manage their organization
and human resources. Managing with agility incorporates the notion of being flexible and open to adopting new business
processes, while adapting an organization's mindset and culture to constant change. Organizations must enable leaders,
managers, and employees to align toward outcomes, while constantly scanning for projected changes and preparing to adapt
to new requirements and expectations.
https://www.opm.gov/policy-data-oversight/human-capital-management/#url=Complex-Adaptive-Systems

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https://www.opm.gov/policy-data-oversight/human-capital-management/#url=Human-Capital-Framework-Structure

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The Human Capital Framework (HCF) incorporates insights from strategic human capital management,
organizational development and complexity science to provide senior leaders, supervisors, HR practitioners, and employees
with practical guidance and insights on how to align with their organization's mission, goals, and program objectives —
even in the midst of constant change. HCF is organized across four open systems:
Within each of these systems, a series of focus areas has been defined. These focus areas are not requirements or
milestones, nor are they an exhaustive list. They provide the key elements to consider when designing and implementing
each of the systems.

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The Framework has broad applicability across multiple organizational perspectives, but the functional implications
vary based on the role each employee plays in an organization's management of its human capital. The Human Capital
Framework presents each system from three perspectives, each representing a different level of responsibility within an
organization.
A. Strategic View: Senior Leadership, Advisors, Managers
B. Operational View: HR Practitioners, Program Supervisors
C. Employee View: Team Leaders, Line Employees
A defining characteristic of the HCF is that no component exists in isolation. From senior leadership to line employees
— every person, every office, every organization is one part of an interconnected whole. While it is certainly true that not all
employees of the Federal Government interact directly with each other, and it is also true that the actions of one person or
organization can potentially have a significant and lasting impact across the entire workforce. This is because the
government, just like any other group comprised of individuals, is a complex adaptive system, which is to say it is affected
constantly and continuously by both internal and external environmental factors.
The Human Capital Framework has an open system recognizes that agencies must be flexible and adapt continuously
based on feedback loops in the ever-changing environment. This Framework presents each system from three perspectives,
each representing a different level of responsibility within an organization - Strategic View: Senior Leadership (Advisers,
Managers) Operational View (HR Practitioners, Program Supervisors) and Employee View (Team Leaders, Line Employees).
The four systems that structure the Human Capital Framework - Strategic Planning and Alignment (plan), Talent
Management (implement), Performance Culture (implement), and Evaluation (evaluate)- drive the organization’s actions
and decisions from overall mission to individual programs. The systems follow the Human Capital Lifecycle of plan,
implement, evaluate. The alignment between mission and workforce drives the specific milestones and measures that
organizations use to track their performance in Human Capital Management.

Human Capital Management (HCF)
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Overview - Strategic Alignment is a process that senior leaders should implement and monitor throughout the
planning lifecycle to link key operational systems and processes to the organization's mission and mission objectives. By
providing top-level direction and guidance for the organization, senior leaders can communicate the organization's goals
and strategic direction to operational leaders (e.g., supervisors and managers) and employees who then can identify and
close gaps during the strategic workforce planning process.
Definition - A system that ensures organization human capital programs are aligned with organization mission,
goals, and objectives through analysis, planning, investment, and measurement.
Standards -
The standards for the Strategic Planning and Alignment System require an organization to ensure an organization’s
human capital management strategies, plans, and practices—
1. Integrate strategic plans, annual performance plans and goals, and other relevant budget, finance, and acquisition
plans;
2. Contain measurable and observable performance targets; and
3. Communicate in an open and transparent manner to facilitate cross-organization collaboration to achieve mission
objectives.
https://www.opm.gov/policy-data-oversight/human-capital-management/strategic-planning-alignment/

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Outcomes
Mission Focused Operations - The goals, objectives, and expected outcomes for executives, managers, and
employees are all aligned with the mission of the organization, creating a common understanding of expectations
throughout the organization. These direct linkages also create a cascading process that fosters enhanced communication,
increased employee engagement, and more efficient and effective operations.
Clear Opportunities for Best Practices - Organization leaders establish and foster cross organization collaboration to
achieve common goals and objectives. Senior executives ensure that their staff partner across functional areas to leverage
program experiences and expertise to resolve challenging issues. The lessons learned and outcomes of these collaborative
efforts are captured, collected, and shared across the organization as a way to showcase and strengthen the collaborative
process.
Informed and Engaged Stakeholders – Organization leaders partner with stakeholders to capture input and
suggestions on strategic goals, measures, and impact.
Focused Measures and Evaluation - Strategic, operational, and employee measures are aligned with the mission and
goals of the organization, specific programs, and individual organizations. Evaluation occurs at multiple levels of the
organization and provides the foundation for communicating mission related outcomes.
https://www.opm.gov/policy-data-oversight/human-capital-management/strategic-planning-alignment/

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Focus Areas
https://www.opm.gov/policy-data-oversight/human-capital-management/strategic-planning-
alignment/strategic-planning-and-alignment-focus-areas.pdf

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Measuring Results

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Measuring Results

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A. Strategic View – Senior leaders should take a strategic view (Strategic Alignment) throughout the lifecycle of their planning
to link and monitor key operational systems and processes to the organization's mission and critical mission objectives.
What Is The Human Capital Connection For An Organization's Top Leadership?
Human capital management is a complex set of interrelated strategies and practices that are aligned with an organization's
mission and guide the processes for selecting, developing, training, and managing a high-quality productive workforce. Organization
leadership establishes an organization's vision and goals that become the center of strategic human capital management. Senior Leaders
to connect with include:
Chief Operating Officer (COO) - Monitors daily operations, responsible for improving organizational management and
performance, provides overall management to improve performance and achieve the mission and goals of the organization through the
use of strategic and performance planning, measurement, analysis, regular assessment of progress, and use of performance information
to improve the results achieved.
Chief Human Capital Officer (CHRO) - Leads Performance Scorecard quarterly data driven reviews (in collaboration with the
Performance Improvement Officer). Anticipates and addresses future workforce challenges affecting the organization's ability to meet
mission objectives. Drives assessment of the organization’s current and future staffing and competency requirements. Provides
information to the Chief Financial Officer to support requests for programs, positions and training. Leads including strategic planning
and M&A integration with COO, CFO.
Performance Improvement Officer (PIO) - Supervises Organization performance management activities. Advises
organizational leaders on methods for measuring program performance and effectiveness of performance targets.
Collaborates with CHRO in developing and implementing Performance Scorecard.
Chief Financial Officer (CFO) - Collaborates with the CHRO to develop strategies for maximizing the allocation of personnel
and program resources.
Chief Information Officer (CIO) - Provides technical guidance and support to the CHRO on IT infrastructure for human
capital systems.
alignment/#url=Strategic-View

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What Does This Mean To You As A Senior Leader? In order to effectively implement a strategic planning process,
agencies must have comprehensive and active leadership participation, as well as a firm grasp of the strategic objectives to
be accomplished. Leaders across all areas of expertise within an organization must:
1.Determine future departmental priorities;
2.Determine potential obstacles to established objectives;
3.Identify priority processes that will ensure mission accomplishment; and
4.Provide resources necessary to accomplish, assess, and evaluate strategic objectives.
Leaders within the area of human capital management must identify what programs, policies, and initiatives should
be developed or revised to support organization goals, while establishing metrics to determine how effective those programs
are (or need to be) in achieving strategic goals. You work together to:
Create a vision for achievement of the mission of the organization and short and long-term goals aligned with the
President's vision/agenda.
Allocate sufficient resources in support of organizational goals and objectives.
Communicate the vision, goals, and linked to the vision and goals.
Monitor and adapt organizational progress and performance in an efficient and effective manner in the achievement
of the goals.
You create an environment to:
Recruit and hire a new workforce;
Motivate an existing workforce;
Train the workforce to be able to meet the goals and achieve the mission; and
Inspire people to join in achieving the goals.

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Actions / Decisions For Senior Leaders
Plan
Host a planning meeting with key leaders to develop an Organization Strategic Plan (external link) (PDF file) [233
KB] .
Collectively identify Organization Strategic Goals to determine what future initiatives, policies, or programs will
have a significant impact on human capital within your organization. Consider using the Strategic Assessment Questions
(PDF file) [69.32 KB] as a guide to determine what factors may potentially impact your organization's future and re-define
your strategic direction.
Implement
Identify strategies and resources required to achieve the organization's mission.
Engage key stakeholders (e.g., CHRO, CFO, CIO, etc.) to establish the necessary governance structure for
implementation.
Draft processes and procedures to drive corporate philosophy and methodology for conducting human capital
management.
Cross-walk organization strategic objectives to organization goals to verify alignment of outcomes.
Identify skills and requirements needed to accomplish these goals.
Evaluate
Hold senior management accountable for organizational AND individual progress and performance.
Utilize all appropriate data and results of this process to make organizational decisions, and monitor and/or adjust
strategy and goals based on Organization's organizational performance.
alignment/strategic-assessment-questions.pdf

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What Is Available To Help Facilitate Leadership In The Completion of These Activities And Decisions?
Organization Strategic Plan
Must include a description of the operational processes, skills and technology, and the human capital, information,
and other resources required to achieve the goals and objectives contained in the plan.
Organization Annual Performance Plans
Must contain performance goals to define the level of achievement during the year that the plan is submitted and the
next fiscal year (at minimum). Goals are to be SMART, and relate to the organization strategic plan.
Includes a description, provided by the organization's Chief Human Capital Officer, explaining how the Human
Capital goals will support the organization's strategic plan, to include clearly defined milestones and who is responsible for
achievement of the goals.
Performance indicators are established to assess or measure the progress towards the goals. There is a basis for
comparing actual results to goals.
A description of how the organization ensures the data used to measure progress is reliable and accurate.
Risk factors that could significantly affect the accomplishment of goals and objectives are identified.
Organization Annual Performance Reports
Must include a review of the performance goals and evaluation of the performance plan relative to the
organization's human capital management.
alignment/strategic-assessment-questions.pdf

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C. Operational View – Within Strategic Planning and Alignment, HR Practitioners, Program Supervisors, and Process
Owners play a vital role for ensuring implementation and success.
What Is The Human Capital Connection For Organization's HR Practitioners, Program Supervisors And Process
Owners?
Human capital management is a complex set of interrelated strategies and practices that align with an organization's
mission and guide the processes for selecting, developing, training, and managing a high-quality productive workforce.
HR Practitioners, Program Supervisors, and Process Owners all play a role in human capital management. HR
Practitioners are responsible for ensuring that day to day operations progress effectively, produce results, and work toward
meeting strategic objectives. Program Supervisors and Process Owners contribute critical programmatic knowledge to
human capital management initiatives.
Operational-level Personnel to connect with include:
Bureau Component Heads
Program Managers
Senior Management and Program Analyst
Supervisory Staff Officer
Administrative Officer
HR Consultant
alignment/#url=Operational-View

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What Does This Mean To You As A Program/Process Owner Or HR Professional? You are counted on to provide:
The means for accomplishing your organization's mission and create short and long-term goals that cascade from the Strategic
Plan of your organization.
Effective communication to your employees of the goals and performance expectations that you have developed.
Evaluation and assessment of office progress and performance toward the goals you have set.
You create an environment to:
Recruit, hire and on-board new employees.
Motivate employees.
Train employees to enable them to achieve the goals you have set.
Actions / Decisions For Program Owner And HR Professionals
Plan
Design a Branch/Division/Office mission statement.
Develop Program Performance Goals.
Develop Employee performance plans, ensuring that goals cascade from the organization's strategic goals.
Implement
Ensure there is a 'Champion' who is responsible for achieving program goals.
Be transparent about the monitoring and assessment process.
Continuously monitor progress while taking corrective action as needed.
Determine the necessary performance milestones and measures to track progress toward the completion of office goals.
Evaluate
Hold supervisors accountable for individual progress and performance.
Capture data and results of performance cycle and use it to drive future planning and decisions.

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What Is Available To Help In The Completion Of These Activities And Decisions?
Organization Strategic Plans
Must include a description of the operational processes, skills and technology, and the human capital, information, and other
resources required to achieve the goals and objectives contained in the plan.
Performance indicators are established to assess or measure the progress towards the goals. There is a basis for comparing
actual results to goals.
A description of how the branch/division/office ensures the data used to measure progress is reliable and accurate is
provided.
Risk factors that could significantly affect the accomplishment of goals and objectives are identified.
Must describe how human capital can help the branch/division/office achieve its mission.

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Overview - Talent Management exists to ensure that organizations get the right people with the right skills into the right
position at the right time so an organization can accomplish its mission. Locating, recruiting, hiring, and developing the best talent is
crucial, not just to support organization strategic planning, but to contribute to a thriving, sustained Performance Culture in the Federal
workforce.
Definition - A system that promotes a high-performing workforce, identifies and closes skills gaps, and implements and
maintains programs to attract, acquire, develop, promote, and retain quality and diverse talent.
Standards - The standards for the Talent Management System require the organization to:
Plan for and manage current and future workforce needs;
Design, develop, and implement proven strategies and techniques and practices to attract, hire, develop, and retain talent; and
Make progress toward closing any knowledge, skill, and competency gaps throughout the organization.
Outcomes:
Ready workforce - The workforce is positioned to address and accomplish evolving priorities and objectives based on
anticipated and un-anticipated events.
Employee investment - The organization invests in its employees through formal and informal learning and development
related activities to close competency gaps and enhance mission related outcomes.
Efficient operation - The workforce is aligned, positioned, and trained to provide efficient and effective services to the
organization's internal and external stakeholders.
Increased retention - Retention strategies create an environment where employees understand and are committed to the
mission of the organization and empowered to make a difference.
Increased Employee Experience- Learning and development activities demonstrate enhancements in program management
and service delivery yielding increases in customer satisfaction.
Trusted labor/management relationship - Labor and Management partner to ensure the workforce receives the tools,
resources, and training to accomplish the mission of the organization.
https://www.opm.gov/policy-data-oversight/human-capital-management/talent-management/

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A. Strategic View – Senior Leadership
Talent Management should be woven into and throughout all strategic and business plans. It is supported by Human Resources,
not owned by Human Resources. The presence of an integrated strategy and strategic partnerships throughout the Organization is the
key to talent management.
What Does This Mean to Your As a Senior Leader?
The organization's talent management strategy is an integral part of the organization's business strategy, which supports the
strategic plans and priority goals.
You must think beyond attracting talent. Your talent management strategy must include succession planning, assessments,
development, retention, and knowledge sharing. These functional processes must be planned and executed as part of an integrated
talent management strategy. Another important issue is how will you create a more flexible and agile organization that responds and
adapts to change.

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Actions for Senior Leaders
Is my workforce performing optimally? Are we achieving goals and objectives? If not, why? Can we attribute organizational
performance to attrition and/or retirements? Does my organization have an overarching workforce strategy?
How can I utilize the talent I have to gain efficiencies of operation?
How can I support talent mobility, the ability to move employees within an organization across functions and roles, across
lines of business?
How is employee morale overall at the organization and within my organization? Can we sustain and enhance it through the
demands of the next 24 months? How can I mitigate any negative impact?
Are we continuously monitoring employee development and progress to ensure that our workforce is able to address future
changes?
Are we continuously keeping abreast of current workforce talent management strategies that we can integrate into our
business processes in light of fiscal restraints (e.g., crowdsourcing, hiring recent graduates using Student Pathways, or individuals with
disabilities using the Schedule A hiring authority, and Veterans)?
What do the retirement and turnover trends reveal? How can we leverage this information to build a comprehensive process
to transfer knowledge from experts to entry and mid-career professionals?
What are the results from my organization's Employee View Point Survey (EVS)? Are we addressing challenges/issues
identified by employees? Are we communicating actions taken to employees?

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Plan
Plan for the unexpected. Does your Organization anticipate a new strategic goal that will require an influx of resources and
capabilities? Are there environmental factors that will impact your workforce that may require you to downsize or train existing
employees?
Identify Organization-level vacant and/or potential shortfall positions. What skill sets are critical to accomplishing your
mission? Which positions and competencies are essential to accomplishing the mission with significantly limited resources?
Make a plan to address competency and skills gaps, and whether your organization could train and develop current
employees, hire employees with specific desired strengths, or a combination of these approaches. Processes can include leveraging
employees' knowledge to train their colleagues and/or using skills from across the government and within your organization (e.g.,
rotations and organization skills banks).
Evaluate organization recruiting goals. This is more than a total number of FTEs. Are you looking to bolster a particular
functional area, or do you need to increase staff resources across the board? Take the time to align your recruitment, development, and
retention priorities to the specific skill sets and expertise that will ultimately fulfill your strategic goals and priorities.
Instill agility into the broader workforce. By promoting talent mobility, which refers to the ability to move employees within
an organization across functions and roles, and across lines of business or business units. Talent mobility allows greater organizational
agility by quickly filling near-term talent needs as well as developing talent to fill critical job roles longer-term.
Plan for managers' time spent on talent management. Senior leaders have an important role not only in driving strategic
priorities, but also in supporting managers' ability to devote time to talent management functions.
Design a strategy and methodology for collecting, transferring, and managing knowledge. Too often, organizations are not
aware of gaps in knowledge management processes until the need for knowledge transfer is urgent (e.g., a critical staff member's
impending retirement). As a best practice, think about knowledge management throughout the life cycle of a project or initiative—not
just at the end.

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Implement
Oversee recruiting initiatives by determining specific targets and milestones to ensure successful completion of recruiting
goals.
Support a robust on-boarding and orientation program for new employees. The on-boarding model should include ongoing
feedback, development, and acculturation.
Include talent management as a standing agenda item for your staff meetings. Talent management initiatives should not take
place in a vacuum; rather, they are integrated into other programmatic initiatives. Incorporating talent management into each staff
meeting helps to maintain this connection.
Empower managers by providing them with information regarding the various recruitment, assessment, employee
development, and retention strategies.
Demonstrate the value of learning and development by providing time, support, and resources for employees and managers
to participate in these activities. Actively engage in building a strong pipeline and a diverse pipeline of future leaders.
Communicate your organization's commitment to its employees. This can be in the form of videos, emails, or handwritten
notes.

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Evaluate
Determine metrics with meaningful targets and track progress in meeting goals. Align metrics with government-wide
performance measures such as GPRAMA and HRstat metrics. Track quarterly reporting requirements through OMB and
performance.gov (i.e., manager and applicant satisfaction measures, time to hire, hiring reform progress).
Review accountability for metrics. Senior leaders are responsible for holding supervisors and managers accountable for
achieving talent management metrics. They help colleagues maintain a clear understanding of the strategic alignment between
Administrative goals, Organization strategic objectives, and performance goals.
Ensure competency and skills gap analyses are performed. Assess skill and competency gaps on a regular basis. This insight
into your employee's abilities will enable you to provide developmental interventions that will enable you to develop a workforce with
up-to-date skills and abilities.
Ensure the right skills are available when the organization needs them, along with the ability to retain them. Are the right skills
available when and where the organization needs them? Did new hire placement result in measurable progress toward strategic
objectives? Are resources appropriately allotted for recruitment, onboarding, and development?
 New Hire Survey
 CHRO Managers' Satisfaction Surveys and Applicant Satisfaction Surveys
 Employee Viewpoint Survey
 One- and two-year retention data
 Exit surveys where applicable/available
Evaluate the accuracy of your position descriptions in relation to the effectiveness of your assessment tools. Ensure position
descriptions accurately reflect what employees are doing.

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What is Available to Help Facilitate Execution?
Organization Strategic Plan - The Strategic Plan presents the long-term objectives an organization hopes to accomplish, set at
the beginning of each new term of an Administration. It describes general and longer-term goals the organization aims to achieve, what
actions the organization will take to realize those goals and how the organization will deal with the challenges likely to be barriers to
achieving the desired result. An organization's Strategic Plan should provide the context for decisions about performance goals,
priorities, and budget planning, and should provide the framework for the detail provided in organization annual plans and reports.
Organization Annual Performance Plans (APP) - Under the Government Performance and Results Act Modernization Act
(GPRAMA), an organization's APP defines the level of performance to be achieved during the year in which the plan is submitted and
the next fiscal year.
Organization Annual Performance Reports (APR) - The APR provides information on the organization's progress in
achieving the goals and objectives described in the organization's Strategic Plan and Annual Performance Plan, including progress on
the Organization Priority Goals. The term APR refers to the same content as in the performance section of the Performance and
Accountability Report (PAR) published by agencies in November, or the Annual Performance Report that is published by agencies in
February.
Succession Management Plans - The document used to communicate initiatives, programs, and activities associated with the
succession management strategy. The Plan is intended to obtain buy-in and support, articulate expectations, and ensure policies and
practices are modified, when necessary, to support succession management efforts. The succession management plan must include the
strategies to meet succession targets, an implementation plan, and an evaluation accountability plan.
Past Hiring Trends - Reviewing past hiring trends can reveal a host of critical decision making actions and activities. Past
hiring data can uncover useful information about successful recruitment strategies and emerging hiring needs.

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What is Available to Help Facilitate Execution?
Competency and Skills Gap Analysis - Critical workforce-planning exercise used to identify difference between competencies
and skills needed and competencies and skills possessed by employees in mission-critical and non-mission critical occupations.
Managers' Satisfaction Survey Results - A useful way to capture, measure, and understand the hiring manager's satisfaction
levels with the hiring process. The organization's CHRO can use the survey data to design strategies that improve and strengthen the
relationship between the human resource office and the hiring managers.
Applicant Satisfaction Survey Results - A useful way to capture, measure, and understand the applicant's satisfaction levels
with the application and hiring process. The organization's CHRO can use the survey data to design strategies that improve the
application and hiring process.
Exit Survey Results - Exit surveys are a great way to identify and understand trends associated with the reasons that
employees leave a particular organization. Information from the exit surveys can be used to improve an organization's recruitment,
hiring, and retention strategies. The surveys should become a regular and recurring part of the process as employees transition out of
the organization or retire from Federal service.
New Hire Survey Results - New hire surveys should be given to employees during their first 90 days of employment. This
survey provides valuable data on the employee's acculturation and engagement in their new role. This satisfaction directly contributes
to an organization's retention rates.

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B. Operational View — HR Practitioners And Program Supervisors - The parties involved in operations will not only be the
facilitators of the required actions, they will be the face of the Organization and organization to the sources of candidates, the
candidates, employees, and other Federal agencies. The interactions they have will not only impact the immediate tasks at hand, but
will influence the successful interactions between the Organization and top talent in the future. Therefore, your interactions could not
only impact your own organization, but also other Federal agencies' ability to hire, develop, or retain top talent.
What Does This Mean To You As A Program/Process Owner Or HR Professional? - All parties who will have a part in the
operation must be involved in all stages of the planning and implementation. To be successful, this requires a strong partnership
between Program/Process Owners and Human Resources staff. This marathon, not a sprint, will require that both parties establish a
cooperative partnership that involves regular communication about an organization's functions and goals. This partnership will
influence the guidance Human Resources staff provide and will influence managers' staffing decisions.
Actions/Decisions For Program Owner And HR Professionals
Is my organization keeping abreast of future trends and environmental factors? What will have a significant impact on my
organization and workforce?
Are we developing and implementing talent management strategies that will enable the organization to address foreseeable
and unforeseeable workforce challenges?
Do I have the talent and capacity to accomplish specific program and policy related goals and objectives?
What other resources are available to me to achieve program and policy-related goals and objectives? This includes
information about hiring authorities, workforce programs and resources, such as Employee Assistance Program (EAP) and the
Department of Labor Workforce Recruitment Program (WRP).
Am I aware of, and do I have access to, appropriate data and information about my workforce and occupational specialty?
This includes data about workforce trends and employee perspectives.
Do I have appropriate tools and technology required for capturing, measuring, and reporting program and policy goals and
objectives?
Do we have current procedures and practices required for achieving program and policy-related goals and objectives?
Does my organization have an up-to-date strategic workforce and recruitment plan? Are they comprehensive in that they
include strategies for recruiting hard-to-fill and mission-critical occupations, in additional to veterans, students, people with
disabilities, and those from underrepresented groups?

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Plan
Invest in analysis of trend information available to build into the recruitment plan. Did recruitment initiatives result in a high
yield of viable candidates? Are we diversifying our recruitment strategies, such as using social media, to reach a diverse and talented
applicant pool? Did the candidates that were ultimately hired meet the strategic expectations of the vacancy announcements and
recruiting initiatives?
Create a viable assessment strategy and implementation plan. Where could the recruitment process have been streamlined?
What specific areas for improvement were identified from the analysis of your recruiting, development, and retention initiatives?
Create a marketing/outreach plan. Work with subject matter experts to identify sources for recruiting applicants with
particular skill sets. Consider educational programs, professional organizations, networking groups, or other relevant populations that
could enhance your mission-critical objectives along with the overall workforce priorities.
Create an action plan. Develop actionable goals that support priority areas for improvement. Include short-term milestones to
ensure progress toward complex, long-term objectives.
Review Individual Development Plans (IDPs). Guide employees in setting individual goals and ensure their development
activities align with organization goals.

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Implement
Identify accountable parties for talent management initiatives. Connect operational staff with leadership champions whenever
possible.
Consider having co-leadership with a program leader and an HR professional to monitor the entire project. This encourages
collaboration and enables strategic integration of talent management goals and operational program priorities.
Follow organizational guidelines for on-boarding and acculturating employees into their new positions by working with your
operational support team to ensure that their work space is ready for the employee (prior to their start date), have meaningful work
assignments ready, fully welcome your new team member (e.g., create a welcome sign, assign a mentor), and follow up to make certain
that orientation and on-boarding deliverables are met (e.g., establish their performance plan within their first 30 days on the job). In
addition, ensure that employees are given information about organizational procedures (e.g., how to submit timecards, access printers,
have knowledge about key meetings such as staff meetings).
Include milestones from talent management action plans in performance management plans in order to show employees their
specific connections to organization objectives. Hold open, timely feedback discussions with employees.
Document all plans, decisions, and desired outcomes along the way. If an initiative works well, this documentation will
streamline the process for next time. If it is less successful, detailed documentation of plans and decisions will make it easier to target
specific areas for improvement.
Supervisors are accountable for the development of their employees/direct reports, but employees also should be accountable
for their own development as well. Act as a role model for encouraging, monitoring, reinforcing, and rewarding the application of new
learning.
Support positive knowledge management practices. Make time available for collecting and recording work processes,
decisions, outcomes, and events as part of the normal work day.

30
Evaluate
Compare actual results to desired targets to determine if gaps exist. Where there are gaps, look to implementation
documentation to identify areas of improvement.
Based on results, determine how you want to make improvements. Manager involvement is paramount in talent management
processes, but also in evaluations. Managers need to consistently participate in the CHRO Managers' Satisfaction Survey in order to
provide feedback on how to improve current processes. Operational staff should also focus on Time to Hire, manager satisfaction
survey results, applicant satisfaction survey scores and new hire survey data.
Create and document lessons learned. Discuss successes, challenges, and modifications for next time. Include multiple
perspectives in your Lessons Learned (senior, management, program manager, HR professional, candidates, sources of candidates,
employees, unions). Determine where business re-engineering needs to occur for process improvement, and leverage best practices
throughout the organization.

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What is Available to Help with Execution?
Past Hiring Trends - Reviewing past hiring trends can reveal a host of critical decision making actions and activities. For
example, past hiring data on Veterans employment can uncover useful information about successful recruitment strategies and events
to target for upcoming and emerging hiring needs. The hiring data may also be used to track retention and longevity within an
organization.
Managers' Satisfaction Survey Results - A useful way to capture, measure, and understand the hiring manager's satisfaction
levels with the hiring process. The organization's CHRO can use the survey data to design strategies that improve and strengthen the
relationship between the human resource office and the hiring managers.
Applicant Satisfaction Survey Results - A useful way to capture, measure, and understand the applicant's satisfaction levels
with the application and hiring process. The organization's CHRO can use the survey data to design strategies that improve the
application and hiring process.
Exit Survey Results - Exit surveys are a great way to identify and understand trends associated with the reasons that
employees leave a particular organization. Information from the exit surveys can be used to improve an organization's recruitment,
hiring, and retention strategies. The surveys should become a regular and recurring part of the process as employees transition out of
the organization or retire from Federal service.
New Hire Survey Results - New hire surveys should be given to employees during their first 90 days of employment. This
survey provides valuable data on the employee's acculturation and engagement in their new role. This satisfaction directly contributes
to an organization's retention rates.
Workforce Planning - The process organization leadership uses to identify the human capital required to meet organizational
goals, conducts analyses to identify competency gaps, develops strategies to address human capital needs and close competency and
skills gaps, and ensures the organization is structured effectively.
Lessons Learned - Review lessons learned from previous experiences.
Tools - In addition to these documents, policies, and guidelines, OPM provides several useful tools to for HR professionals
and managers under the Talent Management System.

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References
End to End Hiring Initiative: https://
www.opm.gov/policy-data-oversight/human-capital-management/talent-management/end-to-end-hiring-initiative.pdf
Onboarding Checklist: https://
www.opm.gov/wiki/uploads/docs/Wiki/OPM/training/VA's%20Executive%20Onboarding%20Checklist.pdf
Executive Onboarding -
https://www.opm.gov/WIKI/uploads/docs/Wiki/OPM/training/Hit_the_Ground_Running_Establishing_a_Model_Executive_Onboa
rding_Framework_2011.pdf
HR Handbook - https://www.opm.gov/policy-data-oversight/pay-leave/reference-
materials/handbooks/humanresourcesflexibilitiesauthorities.pdf
SES Candidate Development Programs - https://www.opm.gov/policy-data-oversight/human-capital-management/talent-
management/#url=Reference-Materials
OPM Management Development - https://leadership.opm.gov/
Leadership Succession Model - https://www.opm.gov/policy-data-oversight/human-capital-management/talent-
management/strategic-leadership-succession-management-model.pdf
Workforce Planning - https://www.opm.gov/services-for-agencies/hr-line-of-business/migration-planning-
guidance/workforce-planning-best-practices.pdf

33
Overview - In addition to seeking out and attracting motivated and skilled employees to fulfill current requirements, you must
also consider how you will help your organization live up to future ones. Effective strategic planning and talent management are
essential, but those systems cannot stand on their own. The next step is determining how to cultivate a work environment that supports
and sustains a culture of superior performance that drives success both now and in the future. Building a performance culture goes far
beyond an organization's performance management system. The performance management system provides a framework for setting
objectives, documenting performance standards, and assessing employee results. A performance culture refers to the organization's
holistic approach to performance (i.e., ongoing, timely feedback; emphasis on continuous learning; strong employee engagement;
inclusion and appreciation of a diverse workforce; and accountability for results). Timely feedback and continuous learning provide a
mechanism for ongoing improvement. A diverse workforce represents the public that the Federal Government serves and enhances
innovation. Work-Life programs support the employee thereby enhancing productivity, engagement with the organization, and sense
of well-being.
Performance Culture Definition - A system that engages, develops, and inspires a diverse, high-performing workforce by
creating, implementing, and maintaining effective performance management strategies, practices, and activities that support mission
objectives.
Standards - The standards for the Performance Culture System require an organization to have—
•Strategies and processes to foster a culture of engagement and collaboration;
•A diverse, results-oriented, high-performing workforce; and
•A performance management system that differentiates levels of performance of staff, provides regular feedback, and links
individual performance to organizational goals.
https://www.opm.gov/policy-data-oversight/human-capital-management/performance-culture/

34
A. Strategic View – Senior Leadership. The Results-Oriented Performance Culture system focuses on having a diverse, results-
oriented, high-performing workforce, as well as a performance management system that effectively plans, monitors, develops, rates,
and rewards employee performance.
What Does This Mean To You As A Senior Leader? It is up to you to ensure that your staff understands what success looks
like. To do so, you have to understand where you are now, where you need to be in the next year, and where you will be in the future.
Your imperative is to have a clear vision and communicate the organizational goals and criteria for success. You will need to link your
organization's goals with the organization goals, and cascade them throughout your organization. Senior leaders can help build an
organization's performance culture from the top down. Frequent communication and transparency around executive objectives and
progress toward organization goals can serve as a foundation for a culture of open feedback. Leaders are also in a position to be role
models for embracing continuous learning, work-life flexibility, and diversity initiatives.
Plan
 Start with a holistic view of the organization's performance culture. Each focus area contributes to the overall culture,
and improvements or challenges in one focus area can impact the others. Senior leaders should have a high level
perspective of where the workforce stands on engagement, performance management, work-life issues, diversity and
inclusion, and labor management relationships.
 Plan for employee rewards. If available, ensure there is a budget for monetary performance awards and plan for how the
awards will be allocated. However, rewarding outstanding performance should be a priority even in face of budgetary
constraints. At a minimum, leadership needs to set aside time to identify and recognize top performers for their
contributions.
 Use data-driven methods to identify specific priorities for improving the organization's performance culture. When the
top priorities have been identified, leadership and operational employees should collaborate to design an action plan.
The plan should identify specific goals and methods for completion, as well as identifying responsible parties for each
item/initiative.

35
Labor/Management Partnerships. In 2009, President Obama issued Executive Order 13522 (external link) (PDF file), "Creating
Labor Management Forums to Improve Delivery of Government Services". This EO is an excellent source of information for
establishing labor management forums within agencies, which can in turn drive the improvement of the delivery of products and
services to the public, as well as cut costs and advance employee interests.
Work-Life. Recent legislative actions direct the Federal Government as an employer to promote various aspects of a Work-life
portfolio. For example, the Telework Enhancement Act of 2010 (external link) (PDF file) and the Patient Protection and Affordable Care
Act (PPACA), (external link) (PDF file) commonly called the Affordable Care Act, are key legislative actions that include provisions for
employer support of flexibility, well-being, health promotion and disease prevention. OPM's Government-wide and Performance
Culture group maintains a number of resources to help senior leadership plan for a more robust Work-Life presence within agencies.
Samples include:
Telework.gov provides guidance and information for leadership, managers and employees.
Work-Life.gov provides a wealth of information to help develop and improve your organization's Work-Life programs.
Information on the OPM website detailing policies for various Work-Life programs, including provisions of the PPACA
requiring employers to support nursing mothers return to work. OPM is a strong advocate for multiple Work-Life initiatives and
maintains a Government-wide leadership position in supporting and maintaining Work-Life programs.
Diversity and Inclusion. Executive Order 13583 (external link) established a coordinated Diversity and Inclusion program in
2011. It also incorporates and supports existing policies, including the Equal Pay effort, and the Executive Orders on Asian American
and Pacific Islanders, Hispanic Employment and Hiring People with Disabilities.

36
Implement
Include performance management as a standing agenda item for your staff meetings. Addressing performance management
regularly and stressing its importance as an ongoing and continuous activity will help ensure supervisors and managers are offering
regular feedback and identifying developmental needs to drive improvement in employee performance.
Continually communicate. The organization has a system and a process in place to facilitate the sharing of information and
ideas with all employees. This includes soliciting employee feedback and encouraging direct involvement so all members of the
organization are playing a role in successfully executing the mission.
Motivate all levels of staff. Motivation is a valuable facet of implementation. Leadership should always seek to encourage
employees, exposing them to new challenges while also engendering trust and confidence and providing opportunities to learn,
succeed, and develop.
Celebrate successes. The organization takes steps to recognize individual and team achievements, which contributes either to
the achievement of specific organizational goals, or to the overall improvement of the efficiency and effectiveness of the Federal
workforce.
Delegate down to the lowest level. Delegation of responsibility will allow employees at all levels to be more interested and
engaged in their positions, which in turn makes them more likely to grow and become better and more productive members of the
organization.
Reward employees. Providing employees and teams a tangible incentive is a crucial aspect of building a Performance Culture.
It is equally important to communicate the impact that employee actions can have on the broader, organizational scale. Senior leaders
have a responsibility to draw a clear connection between performance expectations and the organization mission.
Stay focused on the link between performance expectations and outcomes. Ensuring that this connection is communicated and
understood across the organization will enable all employees to focus their efforts on those activities that are most important to mission
accomplishment.
Stay informed about Work-Life issues. Fully engage in assessments of how Work-Life is used and how it is serving the
organization. Benchmark your own practices against those of other agencies and stay informed about new Work-Life and any related
policies. Engage in strategic assessment of how Work-Life programs can be incorporated into organization plans to support mission
and strategy. Given their strategic importance, senior leaders should participate in the development of Work-Life offerings and
programs to ensure that they support strategic goals in the manner anticipated.

37
Facilitating Execution - There are a variety of items available to help facilitate leadership in the completion of decisions and
activities relating to Performance Culture
Organization Mission - The organization mission statement serves as the conduit for all activities within a given organization.
All strategic plans, annual performance plans, human capital plans, and individual performance plans, to name a few, should all link
directly back to the mission of the organization. Organization mission and vision statements are available on their respective websites.
Organization Strategic Plan - An organization's Strategic Plan should provide the context for decisions about performance
goals, priorities, and budget planning, and should provide the framework for the detail provided in organization annual plans and
reports. An organization's strategic plan is available on its website.
Performance Management Plan, System and Policies - Performance management is the systematic process by which an
organization involves its employees, as individuals and members of a group, in improving organizational effectiveness in the
accomplishment of organization mission and goals. Employee performance management includes:
 Planning work and setting expectations
 Continually monitoring performance
 Developing the capacity to perform
 Periodically rating performance in a summary fashion
 Rewarding good performance.
 Awards Policies and Plans - Agencies have the authority to provide awards to employees in a variety of forms,
including monetary awards, special act awards, performance awards, and granting time-off subject to the availability of
funding.
Individual Development Plans (IDPs) - The IDP helps identify employee's career development goals and the means for
achieving them. Typically, the employee will complete an IDP on an annual basis and can include training (free or fee based), online
learning (through an online learning management system), development opportunities and assignments, mentoring, reading and
attending conferences and college courses.
https://www.opm.gov/policy-data-oversight/human-capital-management/performance-culture/#url=Strategic-
View

38
B. Operational View
In order to build and sustain high performance at the operational level, you must understand the overarching strategy. Engage
with senior leaders to discuss the relationship between the organization's mission and its employee engagement, performance
management, and continuous learning. One vital aspect of a high performance culture is open, continuous feedback. Work toward
embedding frequent and timely feedback into organization operations. You can start by increasing "lessons learned" discussions about
projects and processes; holding informal performance-related discussions with your subordinates; and soliciting feedback from your
peers and subordinates.
Execution Questions:
Do I have the resources and capacity to accomplish specific program and policy related goals and objectives?
Do I have appropriate tools and technology required for capturing, measuring, and reporting program and policy goals and
objectives?
Do we have current procedures and practices required for achieving program and policy-related goals and objectives?
Plan
Create a communication matrix for your organization. This should show communication paths flowing up, down and across
your organization and throughout the organization. This document will be useful when exploring communication options outside of
the traditional all-hands email. For example, communications about milestones in an organization performance cycle may be best suited
to the all-hands email list, but more targeted emails about roles, responsibilities, and sub-organization-specific issues may be more
effectively delivered by branch chiefs, team leads, individual supervisors, etc.
Plan to go beyond the performance management policy. It is important to have a strong program/policy, but the policy likely
represents the minimum required to document performance expectations and ratings. One mid-year review may be required by policy,
but more frequent formal or informal feedback sessions would be essential in order to maintain an ongoing dialogue about
performance and development.
Identify specific, actionable short-term goals that will contribute to long-term progress. "Building a culture of high
performance" is a lofty, though important, goal. Use available data to determine which specific aspects of performance culture are most
important to target for improvement this year.
View

39
Operational View
As an operational leader, here are some additional resources and approaches at your disposal:
Labor/Management Partnership - Each organization should have an implementation plan that addresses how it will work with
the representatives of its employees to develop organization or bargaining unit-specific metrics to monitor improvements in areas such
as labor-management satisfaction, productivity gains and cost savings.
Work-Life - Coordinate with senior leadership to develop a flexible telework program that provides opportunities for all
employees to participate.
Diversity and Inclusion - Each organization should implement its own Diversity and Inclusion strategic plan. These plans are
driven by the Government-wide plan with (3) overarching goals:
Workforce diversity
Workforce inclusion
Sustainability
Implement
Continually communicate. Supervisory communication with employees is essential to clear performance expectations and
results. Proactive two-way communication with union representatives facilitates productive labor-management relationships. Effective
communication about Work-Life initiatives increases awareness, preparation, and participation.
Take ownership of performance and development. Human Resources staff should be available to provide guidance and
advisory services on performance management policy and processes, but they should not be the sole owners. Each program office and
supervisor should take ownership of his or her employees' performance. The same is true for employee development. HR staff may be
the experts on assessing needs, filling competency gaps, and resources for learning, but program managers, supervisors, and employees
should be driving development as well.
View

40
Operational View
Implement
Require accountability for performance management. Ideally in an organization with a high performance culture, the
performance management policy and processes would be highly valued with minimal administrative burden, and managers and
employees would actively engage in these processes. It is important to hold supervisors and employees responsible for completing
these processes.
Integrate Work-Life flexibilities. Consider tying Work-Life support to leader/manager performance plans. This shows that the
organization truly values effective use of work-life programs. Work with leaders and other managers to build management skills that
enable them to support these flexibilities successfully.
Monitor the organization's current status and progress on diversity and inclusion initiatives.
Evaluate
Measure the impact of performance appraisal and rewards. Were performance ratings meaningfully correlated with appraisal
outcomes (e.g., awards, merit increases)? Did supervisors successfully differentiate among performance levels? What about investment
in development from the previous year? Did participation in training or other developmental opportunities lead to an increase in
mission critical skills or other organization performance outcomes?
Was organization leadership able to effectively link strategic goals and performance objectives? The Federal Employee
Viewpoint Survey contains several items that relate to strategic alignment with performance management, but operational leaders can
supply valuable contextual information from their day-to-day interactions with staff.
Engage with employees to gather information on their opportunities to improve their own performance and the performance
of the organization. Are employees satisfied with these opportunities? It is important to solicit employee feedback and to follow up on
the responses you receive. If feedback themes show a particular area of concern, acknowledge the findings and incorporate strategies
for improvement into future plans/objectives.
Is the organization meeting diversity and inclusion targets? If so, which factors contributed to success in recruiting, retention,
and development? Aside from meeting the target, what other performance outcomes were associated with this success?
View

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Operational View
Execution
 Organization Strategic Plan - An organization's Strategic Plan should provide the context for decisions about performance
goals, priorities, and budget planning, and should provide the framework for the detail provided in organization annual
plans and reports. An organization's strategic plan is available on their respective website.
 Action Plans - From a human capital perspective, agencies utilize the results from the Federal Employee View Point Survey
to generate actionable strategies and measures as a way to enhance and improve employee engagement.
 Performance Management Plan, System and Policies - Performance management is the systematic process by which an
organization involves its employees, as individuals and members of a group, in improving organizational effectiveness in
the accomplishment of organization mission and goals. Employee performance management includes:
 Planning work and setting expectations
 Continually monitoring performance
 Developing the capacity to perform
 Periodically rating performance in a summary fashion
 Rewarding good performance
 Individual Development Plans (IDPs) - The IDP helps identify employee's career development goals and the means for
achieving them. Typically, the employee will complete an IDP on an annual basis and can include training (free or fee
based), online learning (through an online learning management system), development opportunities and assignments,
mentoring, reading and attending conferences and college courses.
 Employment Policies - In the Federal Government, employment policies are established through title 5 of the United States
Code. The Office of Personnel Management provides employment policy guidance through title 5 of the Code of Federal
Regulations. Each organization will develop specific policies that align with both the statute and code.
View

42
Operational View
Execution
 Awards Policies and Plans - Agencies have the authority to provide awards to employees in a variety of forms, including
monetary awards, special act awards, performance awards, and granting time-off subject to the availability of funding.
 Delegations of Authority - Because the management of human resources is becoming a strategic function, line managers are
increasingly held accountable for directly delivering some human resource services. As line managers assume more hands
on responsibility for managing all aspects of the workforce, human capital practitioners' roles will also shift to increasingly
complex roles such as business strategic partner, employee champion, and change agent.
View

43
C. Employee View
What Does This Mean To You As An Employee Of Your Organization?
 Your commitment to meeting your own performance expectations, your ability to accomplish assigned tasks, and your level
of interest and engagement all have a very real impact on the mission. Strategic and operational leadership are responsible
for enabling you to be successful and for providing the support and resources you need to fulfill your job requirements. It is
also up to you to hold yourself accountable and to seek out new challenges for yourself.
Actions/Decisions For Employees
 Are you working closely with your supervisor to understand the goals of the organization and where your job fits into their
accomplishment? Have you discussed the specific link between your role/function and the broader organization mission?
 What skills do you have that are especially beneficial to your organization? What skills would you like to develop that
would further enable you to contribute to positive organizational outcomes? Are you currently in a role that maximizes your
potential and allows room for further development? If not, what would you need to do to get there?
 If there are barriers to your engagement at work, have you thought about how best to reduce those barriers and increase
engagement for you and your colleagues?
https://www.opm.gov/policy-data-oversight/human-capital-management/performance-
culture/#url=Employee-View

44
C. Employee View
Planning
Labor/Management Partnerships - Your organization should have its own internal policies or memorandums of
understanding to serve as a reference for employees.
Work-Life - Some good first steps to consider in taking advantage of your organization's Work/Life-related programs,
including telework, Employee Assistance Program (EAP), worksite wellness, and childcare subsidy:
 Become informed about Work/Life programs that may be available to you in your organization or workgroup.
 Determine if you meet the established eligibility requirements, including any permissions or training that might be
needed prior to participation.
 Verify the eligibility of your specific job classification.
 Discuss suitability with your supervisor.
Diversity and Inclusion - Your organization should have its own implementation plan for executing the Diversity and
Inclusion Strategic Plan developed by OPM.
Implement - Review your performance standards and goals at least once a month to ensure that you are on track. Discuss
your progress with your manager frequently to make sure your expectations are aligned. Talk to your manager about the
accuracy of your position description. Has your role changed significantly from when you were hired, and if so, was your
position description updated accordingly? Are the expectations and standards in your performance plan aligned with your
position description (PD) and with the work you are actually performing? Discuss any issues with your manager as soon as they
come up. If there is a barrier to your successful performance, the best approach is to address it right away and work with your
manager to identify a solution.
Labor/Management Partnerships - Forums are established within your organization for the purpose of labor and
management collaboration on workplace matters and shared responsibility for mission accomplishment.

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C. Employee View
Planning
Work-Life - Take the time to explore your Work-Life program options by consulting with your organization's
Work-Life coordinators and related policies. Are there onsite wellness opportunities available to you? Are there
flexibilities available to you in terms of where and when you do your job that would allow you to be more productive
and satisfied with your work environment and to help you balance your other life responsibilities with work? Are
there on-site childcare centers or childcare subsidies that will help you manage your work and dependent care needs?
If you are a nursing mother, is there a worksite lactation room available that can provide you with a private and
comfortable space to express breast milk? In order to take advantage of these opportunities, demonstrate an ability to
achieve work goals in a timely and independent manner. Participation in some Work-Life programs such as
workplace flexibilities may require you to gain specific skills (e.g., an ability to use organization-supported
technology and communicate effectively with supervisor and co-workers) and you should be sure to demonstrate
these.
Diversity and Inclusion - Participate in available diversity and inclusion training.
Mentoring - If your organization has a mentoring program, consider participating as a mentor, mentee, or both.
Evaluate - Assess your own performance as it relates to Organization mission and goals. How can you use your strengths to
add more value to the organization and the mission? What developmental areas are most important to focus on in the future?
Participate actively in evaluation efforts. Take the time to fill out the Federal Employee Viewpoint Survey. Federal leaders use
these data extensively for action planning, so it is important that the results are truly representative of the organization's
workforce.

46
C. Employee View
Execution
Organization Strategic Plan - An organization's Strategic Plan should provide the context for decisions about performance
goals, priorities, and budget planning, and should provide the framework for the detail provided in organization annual plans and
reports. An organization's strategic plan is available on its website.
Performance Management Plan, System and Policies- Performance management is the systematic process by which an
organization involves its employees, as individuals and members of a group, in improving organizational effectiveness in the
accomplishment of organization mission and goals. Employee performance management includes: Planning work and setting
expectations, Continually monitoring performance, Developing the capacity to perform, Periodically rating performance in a summary
fashion, Rewarding good performance.
Awards Policies and Plans - Agencies have the authority to provide awards to employees in a variety of forms, including
monetary awards, special act awards, performance awards, and granting time-off subject to the availability of funding.
Individual Development Plans (IDPs) - The IDP helps identify employee's career development goals and the means for
achieving them. Typically, the employee will complete an IDP on an annual basis and can include training (free or fee based), online
learning (through an online learning management system), development opportunities and assignments, mentoring, reading and
attending conferences and college courses.
Position Description (PD) - Describe the roles and responsibilities outlined in a job opening. Human resource officials and
hiring managers should continually review their position descriptions for currency and relevance to ever-changing mission
requirements. In addition, managers can proactively plan for vacancies and potential shifts in the composition of their workforce
during this process.
Performance Elements and Standards - Performance elements and standards should be measurable, understandable,
verifiable, equitable, and achievable. Through critical elements, employees are held accountable as individuals for work assignments or
responsibilities.
Labor/Management Agreements - Provide the framework and articles outlining a constructive and cooperative working
relationship between an organization and the labor organizations representing the employees.

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C. Employee View
Execution
Focus Areas
https://www.opm.gov/policy-data-oversight/human-capital-management/performance-culture/performance-
culture-focus-areas.pdf

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V. Evaluation
Overview - Evaluation is critical to the Human Capital Framework as agencies need to measure the success of their
strategic plans and human capital management. Evaluation is a process and a system that operates at all levels to help the organization
reach its goals.
Evaluation Definition - A system that contributes to organization performance by monitoring and evaluating outcomes
of its human capital management strategies, policies, programs, and activities.
Standard - The standards for the evaluation system require an organization to:
1. Ensure compliance with merit system principles; and
2. Identify, implement, and monitor process improvements
Outcomes:
Continuous and Innovative Improvement - Executives, managers, and employees discover innovative ways to enhance
program performance and mission outcomes.
Holistically Informed Decisions - Executives, managers, and employees utilize information from different sources to make
program, policy, and mission-related decisions to improve outcomes.
Integrity - Organization leadership makes mission-related decisions on reliable data, serving the interests of the American
public.
Excellence - The organization leadership and employees establish high success standards through strategic and operational
planning activities and collaborate to achieve program performance expectations and mission outcomes.
https://www.opm.gov/policy-data-oversight/human-capital-management/evaluation/

49
V. Evaluation
A. Strategic View
Agencies prepare for their quarterly, data-driven performance reviews by collecting and analyzing program-related outcomes
that reflect the impact of key mission related goals and objectives as required per the GPRAMA. The Chief Human Capital Officer
(CHRO), Chief Information Officer (CIO), Chief Financial Officer (CFO), Chief Administrative Officer (CAO), and Performance
Improvement Officer (PIO) collaborate with the organization's Chief Operating Officer (COO) to review performance trends, identify
reasons for variances, and assess if program activities, regulations, policies, and other activities are contributing to the organization
priority goals.
CHROs play an integral role by analyzing the efficiency, effectiveness, and compliance of their organization's human capital
program to demonstrate the human capital program's impact on the organization's mission, strategic and priority goals and policies. In
order to do this, CHROs lead HRstat quarterly data driven reviews.
The Evaluation System is a framework for monitoring, analyzing, reporting, and enhancing organization performance across
human capital management policies, programs and activities. By establishing this framework, agencies will ensure that their human
capital programs support mission accomplishment while complying with established Merit System Principles.
What Does This Mean to You as a Senior Leader?
https://www.opm.gov/policy-data-oversight/human-capital-management/evaluation/#url=Strategic-View

50
V. Evaluation
Plan
Clearly define the organizational mission. Clearly link the work of the organizational unit to the overall
organization, and cascade performance objectives and expectations down to the lowest level via a strategic plan and
discussions with your CHRO and PIO. Leave room for conversations between managers and employees and for adjustments
throughout the year.
The strategic plan should include the objectives, results/outcomes, and measures that senior leaders use to make
fact-based decisions to support the mission.
Coordinate with HR:
 To recruit and maintain a ready workforce (right people in right jobs with the right
skills/competencies at the right time) to support the mission and strategic plan, and ensure
compliance with Human Resources regulations and policies.
 Ensure the organization has succession plans, training and development plans, and a workforce
plan.
 Ensure the Organization HR Policies and Labor Management Agreements are current and
accurate.

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Implement
Senior leaders should communicate the mission of the overall organization; the missions of the organizational units;
performance objectives and expectations; results/outcomes; and measures to management and employees.
Monitor compliance with HR regulations and policies in your performance management plans.
Hold meetings focused on objectives, measures, results/outcomes.
Maintain a focus on the linkage between results/outcomes and the organization's mission and
strategy. Use results to make decisions.
Meet with the PIO so that you are aware of organizational performance.
Meet with the CHRO to help maintain a ready workforce and monitor compliance with HR
regulations and policies.
Make fact-based decisions using results/outcomes data, succession plans, training and
development plans, and workforce plans.

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V. Evaluation
Evaluate
Were the expected outcomes achieved?
Did the organization measure the right things?
Were there missed opportunities?
Were human capital strategic objectives considered and addressed?
What were the impacts of compliance/non-compliance with HR regulations/policies (e.g., amount of management
time spent resolving HR non-compliance issues such as grievances, pre-selection, inaccurate position descriptions)?
Did leaders and managers comply with required/recommended actions?
Did the organization have a ready workforce?

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V. Evaluation
Diagnostic Tool
The Human Capital Framework (HCF) Diagnostic Tool is an assessment designed to help you determine your relative strengths
and weaknesses in strategic human capital management. The tool is organized around HCF focus areas. Focus areas are key elements to
consider when designing and implementing the four HCF systems (Strategic Planning and Alignment, Performance Culture, Talent
Management, and Evaluation). Each focus area has a set of questions that represent key aspects of effective human capital management
for the particular focus area.
There are a total of 146 items over 16 focus areas that were developed and reviewed by subject matter experts. You can
complete questions for one or a few focus areas, or you may choose to complete the questions for all focus areas.
You may complete this based on your own knowledge of your organization’s human capital management, or you may wish to
do this with a group of individuals who are familiar with the various human capital systems in your organization.
Each question asks for a “yes” or “no” response regarding whether the organization is "effective" at doing what the item
represents.
Items represent an ideal. Do not be surprised if your organization does not respond “yes” to all items within each focus
area(s). If you provide “yes” responses for fewer than 70 percent of items for any individual focus area, you will receive a message that
provides you with links and information about additional resources and reference materials related to that focus area.
By using the same percentage for each focus area, focus areas with more items do not have greater weight than areas with
fewer items. You may choose to compare the percentages for the focus areas you have completed to get a general idea about your
organization’s relative strengths and weaknesses. However, strengths and weaknesses should be viewed in light of the organization’s
need to emphasize particular areas of strategic human capital management to support the organization’s strategic plan and mission.
Given the subjective nature of responding to this tool, please consider the results from this tool in conjunction with data from
other sources for your organization, such as survey responses, workforce plans, and human capital analytic results.
This tool provides information and ideas about key aspects of effective strategic human capital management in each focus
area. It also provides information about resources and references targeted to specific focus areas. If you compare responses from
different respondents from the same organization, it may generate a useful group discussion or determine whether there is consensus
about the organization’s human capital management strengths and weaknesses.
https://www.opm.gov/policy-data-oversight/human-capital-management/human-capital-framework-
assessment/shared/Diagnostic_Tool.html

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Diagnostic Tool

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Strategic Planning Diagnostic Tool

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Talent Management Diagnostic Tool

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Performance Culture Diagnostic Tool

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Evaluation Diagnostic Tool

Human Capital Management in the Public Sector (2020)

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