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U.S. Office of
Personnel Management 
The Administration for Children and Families (ACF) has taken several important steps in aligning HR with the overall agency mission accomplishment. The agency's annual performance plan includes the general goal of becoming "a results oriented organization." This general goal is supported by the strategic goal of streamlining ACF organizational layers. ACF's current strategy is to change the way it does business by reducing bureaucratic levels; relying more on teams; maintaining and increasing emphasis on values like effectiveness, efficiency, and diversity; and reducing the number of managers. The Office of Human Resource's (OHR) main priority is customer service, which is emphasized through its HRM self-assessment efforts. In accordance with departmental requirements, OHR conducts an annual HRM self-assessment that has, to date, focused on customer service. The FY 96 assessment provided feedback that was used for developing and designing the newly established OHR. The FY 97 assessment was used for improving the quality of services and was also used as a basis for developing team performance measures. Expanding HRM program topics and evaluation methods would improve human resources programs and provide developmental activity for OHR staff. In addition to the HR self-assessment, ACF conducted an assessment of its Executive Resources Management Program, which is notable for its results oriented methodology. The report contains plans for program enhancement and follow -up plans for its related activities. The Bureau of Land Management's recently released Strategic Plan clearly and effectively states the importance of the human resources function by creating Blue Print Goal 5: "Improve Human Resources Management." Within this goal, the plan states two strategic goals: 1) to maintain a trained and motivated workforce and 2) to institutionalize diversity and improve workforce composition. Performance goals are clearly stated for each strategic goal. In FY 95, Defense Contract Audit Agency (DCAA) established an HR Quality Assessment program which changed its approach to personnel management evaluation from a process orientation to a more effective results orientation. The approach is aligned with merit system principles and focuses on the agency strategic plan, particularly the HR goal, and the use of teams. The program was piloted in the Central Region. The assessment consisted of individual and group interviews, a climate survey, a personnel satisfaction survey, a review of HR indicators, and limited records review. Findings were reported to the region, and an action plan established in consultation with the regional director. After one year, the Personnel Policy Division followed up with the region on the implementation of the action plan. At that point, DCAA planned to continue the assessment at all regional offices and HQ on a regular cycle. The program is a "results-focused" assessment of the Participatory Work Teams and the HR services provided to them, and is tied to mission accomplishment. Customer Service Unit (CSU) employees receive training on customer service issues and further developmental activities designed to broaden staff technical skills across the spectrum of HR functions. The CSUs are pursuing cross training to prepare GS-12 and above HR functional specialists for certification as personnel generalists. Organization: Defense Finance Accounting
Service (Department of Defense) The new supervisory training curricula planned for DFAS-wide implementation include material specifically addressing the Merit System Principles. A Merit System Principles course was provided to all supervisors and managers during the 1998-99 calendar year. As a result of the continuous improvement in the area of performance measurement and data indicators development, the Center for Professional Development at Maxwell Air Force Base (Gunter Annex) has developed a computer-based training for basic personnel and supervisory training. A module of the merit system principles and prohibited personnel practices has been included. This self-guided training is similar to a correspondence course in that the student completes a series of exercises on the computer before taking a traditional written exam. ORGANIZATION: Department of the Air Force Air Force senior leadership recently published the "Personnel Vision and Implementation Plan" with goals and performance measures that aligns HR goals with the agency strategic vision. These goals and measures track the progress of various targets such as, representation of minorities, women, quality people, and civilian workforce sustainment. Also, it includes goals such as: rebuilding the civilian personnel training curricula with a readiness perspective; reengineering personnel processes to meet essential task with fewer resources; defining the civilian role in the "Total Force"; finding modernized personnel systems training all HR staff in the technological enhancements; and developing a civilian workforce sustainment strategy. Air Force has implemented a civilian HR evaluation program designed to measure, assess, and improve operations. Teams are formed to review and rate four program components quarterly: timeliness, compliance, customer focus, and operating cost. Each of these components are measured by monitoring and reviewing various actions. Examples of these actions are: processing time involved in personnel action requests; and gathering data by designing, distributing and receiving questionnaires. The reports generated with these measurements are used by managers to benchmark and improve service delivery. Also, the system includes a full quarterly review program that describes strategic planning efforts, implementation plans based on evaluative conclusions, tracking devices, and measurement of results that allow managers to monitor the success of various programs. In addition, offices and officials at the Air Staff and Major Command levels evaluate the effectiveness and efficiency of the assigned programs through data and feedback from other regional offices. The current Air Force HRM accountability system, with its full quarterly review program, contains the elements of a sound accountability system. Army has delegated authority for managing its civilian human resources to managers. Because of this, it has numerous programs in place to teach, assign, and assess appropriate HRM accountability at all Army levels. These programs include recurring cycles of planning, educating, and evaluating. For example, its performance management program assigns responsibility and assesses HRM performance of all its supervisors and managers. Its Civilian Human Resources (CHR) Strategic Plan and three-tiered implementation process communicate the corporate CHR goals and annual objectives and hold the headquarters, field CHR activities, and individual members of the Army-wide CHR team accountable for achieving results. Army's CHR evaluation program consists of cyclic on-site reviews to assess compliance with laws and regulations (to include adherence to Merit Principles) and customer satisfaction with CHR products and services; its annual attitude surveys track supervisory/managerial perceptions regarding their authority and accountability for managing their people -- and employee perceptions of how well this is accomplished; its automated assessment tools track productivity and quantitative measures associated with processing CHR actions. The results of Army's CHR evaluation programs feed planning and drive corrective actions. Its supervisor/manager educational programs for HR leadership, management and accountability include both correspondence and on-site training in both the basic rules and philosophies for effective civilian human resources management and in the use of automated business process tools for decision making and efficient personnel actions processing. Army provides systematic functional and leadership development training and certification to its CHR professionals. Army's web-based CHR best practices initiative collects and communicates internal and external HR best practices -- to include assigning and assessing responsibility, authority, and accountability for effective human resources management. The Department of Energy has developed and implemented the Human Resources Management Accountability Program (HRMAP). Evaluation criteria measures were determined in collaboration between the Departmental HR policy staff and the Servicing Personnel Offices (SPOs). The program focuses on determining how the essential HR programs and services are delivered in terms of efficiency, effectiveness, and adherence to merit system principles. The HRMAP has been implemented, in part, by linking and improving the organizational goals and measures developed for the Human Resources Management component of the Business Management Oversight Project, and, in part, by consulting a work group representing DOE-wide HRM stakeholders with vital interests in the viability of the program. The first cycle of annual HRMAP self assessments has been completed with the submission of annual self-assessment reports from all participating Departmental Elements. These reports have been analyzed and compiled into a summary report by the Departmental policy staff and that report has been shared with all Departmental Element Heads, Human Resources Directors, unions and other stakeholders for comment and input. The Departmental policy staff will continue to collect, refine, and share with SPOs statistical information relevant to essential HRM programs and services. This data may be used to raise questions and issues that may need to be addressed in the SPOs' evaluation efforts. The self-assessment program seeks the following: develop mutual agreement on performance objectives, measures, and expectations between the Field Offices and Headquarters business management functions and program offices; provide reasonable assurance that appropriate internal processes and controls are in place and that compliance requirements are met; assess performance on a continuous basis against agreed-upon performance objectives, measures, and expectations; and utilize performance demonstration methods such as surveys of stakeholders, benchmark comparisons, Malcolm Baldrige criteria, balanced scorecard, and data trending. The FY-99 round of the HRMAP will continue coverage of the three basic human resources assessment factors -- I. Acquiring and Positioning Human Resources, II. Maintaining a Supportive Workplace Environment, and III. Creating a Learning Environment-- and, based on findings of the first round, will concentrate on two special focus areasWorkforce 21 and Training of Supervisors and Managers. The FY-99 round will also comprehensively deal with OPM agency review findings susceptible of solution through the HRMAP. Organization: Department of
Health and Human Services The Department of Health and Human Services (HHS) used a balanced scorecard framework to develop the HHS Human Resources (HR) Accountability Program. The objectives of the program are to ensure that human resources activities, systems and operations support mission accomplishment, adhere to merit principles, and make efficient use of resources. These objectives will be accomplished through systematic strategic planning and evaluation of results. The balanced scorecard approach provides a framework to translate the organization's strategic approach to human resources management into operational terms. It reflects that vision and strategy are at the core of HR's effort to help the organization achieve strategic objectives through a balanced approach that includes: a financial component, process measurements, learning or competency measurements and customer satisfaction. HHS envisions that successful human resources accountability program designs will reflect increased coordination between EEO and personnel functions, as well as with agency management control programs. With this in mind, each HHS operating division must establish a human resources accountability program that is integrated with the organization's strategic and performance plans. If the parent organization's strategic/performance plans do not assign specific HR objectives, the HR director should develop them. More specifically, the operating division programs should include the following elements: results-oriented accountability and a balanced scorecard evaluation design that provides for complete functional/activity coverage over a specified timeframe or cycle (e.g., five years). Each year's evaluation activities will include at least one assessment activity in each of the following areas: cost of HR administration, merit system adherence, customer satisfaction, workforce capacity, process efficiency and HR program achievements. The aggregate of each cycle's targets, measures, and corrective actions should be sufficient to give a reasonable assessment of overall HRM status. The Office of Human Resources, Office of the Assistant Secretary for management and Budget provides Department-wide communications, coordination, technical assistance, and oversight. The primary method of oversight is an annual staff review by the Office of Human Resources. Organization: Department of Health and Human
Services The Department of Health and Human Services (HHS) Employee Assistance Program (EAP) recently convened a group of stakeholders to examine the policies and services of the EAP and help create the HHS EAP of the future. Using an Appreciate Inquiry (AI) method, this group examined what works well in the program and looked for ways to infuse more of this excellence into the performance of individuals, programs, and organizations. One of the guiding principles, which emerged from the AI process, is that "EAP is a creative and innovative program that will continually look for ways to provide excellent services." The HHS EAP Annual Reporting System is one such effort to improve the quality of these services. The HHS EAP Annual Reporting System was created through the assistance of EAP Managers and Administrators who have been interested in understanding the characteristics of the population whom they serve and how EAP services can be enhanced, improved, and communicated more effectively to all HHS employees. Through the use of the reporting system and an ongoing, systematic evaluation method, the EAP has begun to accomplish these goals. The yearly Reporting System seeks to gather specific program data on the many diverse populations served by the EAP throughout HHS. Each HHS agency collects and reports utilization data, based on age, gender, grade, and client status. Statistical information is also gathered about referral sources and assessment categories as well as training, orientations, educational activities, and prevention programs. The population data from each of the agencies is utilized to make relevant comparisons between agencies and create statistical yearly reports. The HHS EAP Annual Report is a detailed document of graphs and analysis that shows overall departmental utilization averages and individual agency averages in an easily interpreted and readable form. Using this data EAP administrators and supervisors may readily distinguish areas they have excelled in meeting employee needs and where improvements, outreach, or further study needs to be done. This report also encourages an open identification and communication of "best practices" that may be duplicated in other areas of the department. Additionally, this report helps identify what types of marketing and outreach efforts need to be done to raise awareness of EAP service benefits among specific employee populations. The HHS office of Human Resources, Employee Assistance Program Manager provides coordination, oversight, and information regarding the use and implementation of the HHS EAP Reporting system. The EAP Annual Report is completed a distributed by this staff office each fiscal year. A continuous feedback system allows agency administrators to offer suggestions for improvement and enhancement to the current system. For additional information please refer to the previous HHS example, Balanced Scorecard Framework for HR Accountability Programs. Organization: Department of
Navy Navy is in the process of developing a comprehensive HRM accountability system. It recognizes self-assessment of command and activity civilian HRM and EEO as an integral and ongoing element of the management process. This comprehensive system takes into account organizational strategic plans, goals, and objectives and their link to effective and efficient management of civilian employees. Characteristics of the system include systematic and objective measurement processes, goal setting, comparisons with other organizations, and documentation of results, allowing assessment of trends over time. Assessment reports will ensure the following: taking appropriate corrective action; identifying significant program strengths and areas for improvement; sharing "best practices", identifying systemic problems, and communicating recommendations for program modifications. Navy designed this process to be cyclic, with a review cycle of up to four years for the entire command. The accountability system works at three levels. The first level is the major field activity. This focuses on the roles and responsibilities of managers and supervisors. It requires certification of program requirements in the following five areas: (1) Communications (2) Organizational Heath (3) Equal Employment Opportunity (4) Accountability - Responsibility, and (5) Human Resources Management Results. The second level is the Human Resources Office and Service Centers and focuses on the roles and responsibilities of personnel specialists. The following seven program areas constitute the minimum review requirements: (1) Compensation (2) Employee Relations (3) Equal Employment Opportunity (4) Labor Relations (5) Position Classification (6) Staffing, and (7) Training and Employee Development. These core requirements have been grounded through identification of the key merit system principles to which they relate. Taking it one step further, Navy identified advisory services, processing services, representation services, and accountability support as the key indicators of success. The third level is the small field activity (fewer than 100 civilian employees) which focuses on providing a minimally resource-intensive model for conducting self-assessment. The "Assessment Made Simple" model presents a 20-item assessment survey and summary sheet highlighting core indicators of the five program areas requiring certification by the management ranks.
Organization: Department of State, Bureau of
Human Resources, Family Liaison Office. The Family Liaison Office (FLO) of the Bureau of Human Resources, Department of State, provides support services to U.S Government employees and families assigned to, serving at, or returning to the United States from a U.S. embassy or consulate overseas. Thirteen FLO staff members provide direct client services and answer frequent inquires about issues related to family member employment, education and youth, and support services for individuals experiencing difficulties or a personal crisis. Support is also provided for the position of Community Liaison Office Coordinator, located in embassies and consulates around the world. In addition, the Family Liaison Office provides direct client assistance to foreign-born spouses of Department of State employees who are seeking expeditious naturalization.
1,426 (Based on 17,116 client interactions for one year period of 10/99 9/2000) 
Average number of hits on our Internet web
site per month: 4,000
Average number of emails received to the flo@state.gov
mailbox per month: 102
Average number of emails received by each
FLO staff member per month 400
Emails
Phone Calls
Action Cables
Staff Support and Back-Up
Organization: Department of State, Bureau of
Human Resources, Office of Civil Service Personnel, Executive Resources and
Performance Management Division. Each executive office will provide the Office of Civil Service Personnel (HR/CSP) a list of delinquent raters to include name, grade, and bureau of the responsible official and, the names of the employee(s) whose report(s) were late or not prepared, within 75 calendar days of the end of the appraisal cycle. HR/CSP will prepare delinquent rater letters for each responsible rating official, which allows up to 15-days for a response or explanation concerning the delinquent rating(s). A copy of the delinquent rater letter will be placed in the Employee Performance Folder (EPF) of the rating official who fails to respond within the 15-days and/or who cannot adequately justify his/her failure to prepare the employees annual rating of record. Such officials will not be eligible to receive an incentive award within a year of the date the delinquent performance appraisal was due. The delinquent rater letter will be removed from the Employee Performance Folder one year after the delinquent performance appraisal was due. Commendation Program Each executive office must review ratings for content and technical accuracy. Rating officers who prepare timely and well-written performance appraisals may have their names reported by their executive office to HR/CSP. A Department Notice is published annually commending these officials. Organization: Department of State, Bureau of
Human Resources, Office of Civil Service Personnel, Policy Development and
Oversight Division. The Office of Civil Service Personnel has developed a Department wide awareness program among employees, supervisors, and managers of the Merit System Principles and Prohibited Personnel Practices. One of the goals of the Bureau of Human Resources is to increase employees awareness of the nine Merit System Principles and the twelve Prohibited Personnel Practices. The Bureau of Human Resources (HR/CSP) has outlined a series of objectives, a number of which have already been completed. HR/CSP presented Merit System Principles information at a Personnel Information Exchange (PIE) session with the aid of an invited representative from the Office of Personnel Management. They advised other Department of State bureaus that if requested the information could be presented to their employees by HR/CSP. Bureau of Human Resources drafted a memorandum for the Director Generals signature stating the importance and relevance of the principles along with a brief definition of the Merit System and its principles. This memorandum was distributed to all employees electronically. HR/CSP also discussed the benefits of Merit System Principles and Prohibited Personnel Practices at the Director Generals Executive Directors meeting as well as a Senior Personnel Forum meeting. Next steps include working with the Foreign Service Institute (FSI), the training arm of the Department of State, to ensure information is included in the new employee and new supervisor orientation sessions and various supervisory training courses. By pursuing this avenue HR/CSP hopes to accomplish the goal of ensuring that all employees, Foreign and Civil Service, supervisors, and managers are aware of their role as well as the Departments role in promoting the benefits of the nine Merit System Principles and avoiding Prohibited Personnel Practices. We have also distributed visual aids (posters, wallet cards, and brochures) at Personnel Information Exchange (PIE) sessions, and bureaus throughout the Department. Organization: Department of State, Bureau of
Human Resources, Office of Civil Service Personnel, Policy Development and
Oversight Division. The Office of Civil Service Personnel has increased its efforts to improve customer service and communication between the office and its internal customers as well as to establish clear accountability. The office has established and published customer service timelines that identify the timeframes needed to complete various personnel actions. It has also established and published "Guidelines for Submitting Complete Packages" which clearly identify all of the items needed for various personnel actions to be completed in a timely manner. The Office of Civil Service Personnel believes that by creating these two documents, they have shown accountable for completing tasks and services in a timely fashion. They established accountability on the part of their customers by communicating clear and concise guidelines for submitting request for services. They have also established a notification system for the customers where the office keeps them informed of the status of their requests. Periodic reviews are conducted to verify if the timeframes for completion are being met and if complete packages are being submitted. These documents are readily accessible on the HR/CSP homepage. Organization: Department of State, Bureau of
Human Resources, Office of Civil Service Personnel, Executive Resources and
Performance Management Division The Department of State is working closely with the American Federation of Government Employees (AFGE) to ensure that security awareness and individual accountability are reflected in the job elements of all Civil Service employees beginning with the 2001 Civil Service performance cycle. Collectively there is an agreement to amend the current Civil Service Performance Management Program and implement mandatory security job elements for all Civil Service employees. These mandatory job elements reflect the importance of protecting classified and sensitive (but unclassified) materials and equipment, and emphasize individual employee responsibility. The new requirements were implemented on January 1, 2001. The Department is also working with the American Foreign Service Association (AFSA) to ensure that security awareness and individual accountability is reflected in the promotion and tenuring process for all Foreign Service employees. Collectively the Department has revised the "Core Precepts" (the Decision Criteria for Promotion), the "Instructions for Preparation" of the Foreign Service Employee Evaluation Report (EER), and the "Procedural Precepts" for the Foreign Service Selection and Tenuring Boards. The former Secretary of State communicated that security is an inherent, inextricable, and indispensable component of all our jobs. As a result every personnel review shall include an evaluation of how well security-related responsibilities are fulfilled. The changes to the Core Precepts, Instructions for EER Preparation and Procedural Precepts apply to the 2000-2001 performance cycle and are effective immediately. The Department of Transportation implemented the Balanced Scorecard method as a measurement tool for evaluating its services, including Human Resource services. The method involves: setting measures around critical aspects of an operation, e.g., customer satisfaction; gathering data on those measures through surveying employees, customers, and managers and by looking at statistical information; and analyzing the data and identifying strengths and opportunities for improvement. The Balanced Scorecard approach also includes three assessment instruments: management self-assessment, HR employee survey, and customer survey. The management self-assessment is completed by anyone who plays a leadership role in the HR office and assesses the workforce, mission goals, human resources excellence, cost effectiveness, and data collection. The HR employee survey is completed by the Human Resources staff and assesses work environment and leadership/management. The customer survey is completed by HR consumers and assesses HR office timeliness, quality and service. In addition, a beta test is conducted to validate the performance goals, measures, and survey instruments. This approach, when used over a period of time, provides a bank of long term data to truly measure and document organizational performance and improvements. DOT hopes to receive feedback in the future to continuously improve the model and explore new possibilities in the areas of training, employee recognition, automation, and periodic assessment, among others. Organization: Department of
Veterans Affairs, Office of Human Resources The Veterans Benefits Administration (VBA) provides staffing, classification, and human resources advisory services to its regional offices and field facilities through four Human Resources Centers (HRC) across the country. In a continuing effort to enhance HR service to customers, the HRCs have implemented a balanced scorecard that measures performance outcomes. The HR balanced scorecard measures HRCs performance on the dimensions of accuracy, speed, customer satisfaction, unit cost, and employee development and satisfaction. These dimensions accurately reflect the type of work performed at the HRCs and measure work considered important by customers. Through the accountability mechanism, the HR function is aligned with VBAs strategic goals and linked to the entire organization. The same five dimensions are used on the VBA-wide scorecard. The centers have developed business rules and definitions for each dimension, set numerical targets for each, and established reporting systems to capture performance. Goals and results are calculated quarterly and posted on the VBA balanced scorecard web site for review by all employees and managers. For example, in the area of speed, the HRCs measured key aspects of the staffing process. Speed is important because of a nationwide program to hire over 700 new employees in key business lines. By working with this goal in mind, the HRCs enabled business line managers to hire and train needed employees quickly. In addition, the HRCs analyzed the data, received feedback on their service and assessed opportunities to better meet their customers needs. The HRC balanced scorecard has been very successful in improving accountability for results and in meeting customer expectations. It has focused on all aspects of VBAs HR communitys business results and strategic needs. The model for a HRM scorecard aligned with business-line dimensions has been so successful that it is being refined for use by the Headquarters HRM office for its strategic policy and operational activities. Both scorecards will ensure that HR and its staff functions continue to provide managers and employees with quality service that can support VBA goals. Organization: Equal
Employment Opportunity Commission The Equal Employment Opportunity Commission (EEOC) developed the "Comprehensive Strategic Enforcement Model," which focuses on expanding outreach, education, and technical assistance to its stakeholders. The comprehensive model and annual performance plan states a general objective: enhancing the effectiveness of its employees to achieve its mission and general goals. The HRM-related subsidiary objectives reinforce the general supporting objective. The subsidiary objectives are:
The "Comprehensive Strategic Enforcement Model" (CSEM) lists measures that were developed to assess goal accomplishment. In addition, the human resource department was instrumental in coordinating change agent training, cross-functional teams, and task forces to fulfill agency and HR initiatives and goals. The Federal Bureau of Prisons (BOP) has developed a sophisticated internal accountability tool called the A Key Indicators/Strategic Support System (KI/SSS). This computer-based system provides comprehensive, historical, and current information on key aspects of the agency operations. The system is used to monitor specific program areas; identify administrative remedies; investigate problem areas such as an unexplained increase in inmate assaults; respond to requests from the public and the media; respond to litigation; evaluate the impact of BOP policies; and prepare for and conduct program reviews. KI/SSS draws upon a number of pre-existing data bases, and can also access important HRM-related data such as staffing, performance appraisal ratings, turnover, etc. Organization: Federal Bureau of Prisons
(Department of Justice) The Federal Bureau of Prisons (BOP) headquarters has an internal accountability system, which facilitates bureau-wide oversight, guidance and direction to facilities and staff on matters related to policy adherence and program performance. This system covers all BOP organizational components and installations, including divisions, regions, institutions and functional areas. Each of the BOP program areas, including Personnel, is subject to an examination by organizationally independent, trained bureau reviewers who are experts in the area under review. These reviews are comprehensive and cyclical in nature, and each program is reviewed at least once every three years. The exact review cycle is affected by the quality or level of program performance at the review site, and is based upon need. Comprehensive reports, including compliance requirements, are submitted to the activity head. There is also a quality assurance program that ensures continuous evaluation of the program review process itself. These program reviews focus upon ensuring that programs are in compliance with applicable regulations and policies, and that internal control systems are effective. Organization: Federal Bureau of Prisons The Federal Bureau of Prisons has a strategic plan that incorporated six human resources management-related goals or objectives. Measures are in place to assess whether or not national goals and objectives are being achieved. If objectives are not met, the staff will inquire about reasons, suggest alternative strategies, and/or modify the strategic goal. Each institution assesses its progress on a quarterly basis. In addition, the Human Resources Management (HRM) division has developed a human resources strategic plan that lists specific goals and objectives that are quarterly reviewed by the Assistant Director of the division. The Federal Bureau of Prisons has a review division that assesses the efficiency and effectiveness of all human resources offices. The Program Review division works with HRM division to create a comprehensive Program Review Guideline. Each institution undergoes an evaluation at least once every 3-years. Following the program review, an operation review is conducted to ensure any corrective actions required was fulfilled and assess the level of improvement. Moreover, according to the Merit Systems Principles questionnaire, the HRM division is excelling in keeping the workforce informed about important changes and providing excellent customer service. Federal Communications Commission (FCC) approaches human resources management accountability through a variety of independent actions. For example, senior staffing specialists review staffing and DEU actions to ensure they are effected within the spirit and intent of the merit system principles. In addition, the Human Resource Office conducts a series of control system vulnerability assessments. These assessments focus on human resource programs in the areas of position classification, awards, training, and payroll and personnel action processing. The reports identify potential risks, provide safeguards and countermeasures, and make an overall vulnerability determination. In addition to vulnerability assessments, FCC has established several standard operating procedures to ensure that personnel actions are appropriate and supportable. For example, in the area of position classification, if a proposed action for an incumbent involves a non-competitive promotion through Aaccretion of duties,@ the supervisor must prepare a narrative statement of the circumstances leading to the accretion of additional duties. The proposed position description is then forwarded through several levels of management within the Bureau for review and approval before it reaches the Office of the Managing Director for final approval. Managers and supervisors are held accountable for adhering to the merit system principles through the performance appraisal system. Each manager and supervisor has a performance element addressing the relevant program accomplishment that ties directly into mission accomplishment. There are also standard elements addressing personnel management, equal employment opportunity, and diversity. FCC top management ensures that all managers
are aware of the merit system principles and understand how their core
responsibilities are related to human resource management responsibilities.
FCC Managing Director stated that annual training on prohibited personnel
practices and merit system principles is provided to top level management by
the General Counsels Office. In addition, each new supervisor is briefed on
the merit system principles and prohibited personnel actions shortly after
they assume supervisory responsibilities. A module on merit system principles
will be added to the supervisory certification program beginning in FY 2000.
The Human Resource Office periodically surveys its customers on the quality of
service provided. The results of these surveys are used to make changes and
improvements in various personnel programs. Some examples of these changes
include re-engineering the New Employee Orientation program to reflect the
drastic reduction in hiring, and the development and implementation of an
interactive computer based system which is used by supervisors and the Labor
Relations staff to track the use of official time by union representatives. The Federal Highway Administration (FHWA) has a strategic planning process, and the human resource office has a role in the overall agency strategic plan. The human resource management goals in the FHWA plan include Leadership, Strategic Planning, Human Resource Development and Management, Customer and Partner Focus, Information and Analysis, Process Management, and Business Results. In 1997, the human resource office developed the "Quality Journey," an FHWA-wide initiative "to systematically integrate continuous quality improvement and measurement principles" into its management system. The Human Resource Office conducted a baseline assessment in 1997 and conducted a follow-up assessment in 1999 using the President's Quality Award criteria, i.e., the criteria used for the Malcolm Baldridge award. These assessments identified strengths and areas for improvement for each of the human resource management goals. Managers and supervisors are held accountable for human resource management decisions in support of mission accomplishment. This is mainly done by tracking the human resource performance factors included in their performance plans. Efforts are under way, both in FHWA headquarters and the field installations, to align individual performance plans with agency strategic goals. This will give managers a more direct measure of how human resources are supporting mission accomplishment. Skills' assessment and training are two areas where line managers and human resource staff work together to help achieve agency strategic goals. The Professional Development Program Leadership Group works with human resource managers to develop technical training tied to the strategic plan and, therefore, to the future direction of the agency. Managers give credit to human resource managers for making their jobs easier. The balanced scorecard approach to measuring the effectiveness of human resource programs and services on an annual basis contributes to FHWA's accountability efforts. The Balanced Scorecard assesses the extent to which human resource offices "provide a quality product or service at a good price within time frames necessitated by the customer." It links performance goals and measures from five perspectives: financial, customer service, internal business, innovation and learning, and employee empowerment. The assessment includes a customer survey, an employee survey, a self-assessment completed by human resource supervisors and managers, and statistical reports used for comparison of "best-in-class." The FHWA Office of Human Resources conducted its first organization-wide balanced scorecard assessment in 1998. Employees are encouraged to provide feedback and recommendations about human resource issues to management through the Human Resource Committee. Comprised of a cross-section of employees nation-wide, the committee gathers input from employees by conducting town hall meetings and employee surveys. The committee has made recommendations, many of which have been adopted, in the areas of career development, performance management, communication, mobility, diversity, wellness, telecommuting, flexible work schedules, and office support issues. The Human Resource Balanced Scorecard, Human Resource Committee, Presidential Quality Award Criteria, and the Quality Journey initiative collectively provide the framework for an effective human resource management accountability system. Integrating these systems into an overall accountability program using key outcome indicators/measures to track the effectiveness of human resource programs across the FHWA would provide top management valuable information for continuous improvement. Organization: Federal Emergency Management
Agency The Federal Emergency Management Agency (FEMA) developed an agency wide strategic plan that focuses on FEMAs vision of "partnership for a safer future." The strategic plan summarizes the agency responsibility to forge closer ties with state, local governments; other federal departments and agencies; business and industry; voluntary organizations; and individual citizens. The human resources management goals are embedded in the strategic goals and are further stated in the annual performance plan goals. The HRM annual performance plan goals are:
The HR Director is responsible for providing leadership and management to assist in attaining these goals. In addition, the director provides guidance to supervisory managers to fulfill a full range of HRM activities. The Food and Drug Administration (FDA) has aligned HR with mission accomplishment and the agency goals in the FY 1999 strategic framework. The development of the framework involved agency senior management participation, including the HR Director. The framework identifies four goals. A goal statement under "internal capacity" is to "cultivate a high quality motivated workforce." The strategies that support this goal are to "recruit a highly skilled and diverse workforce that aligns with FDA's current and future needs; strengthen managerial and technical capabilities through training; and offer incentives that will retain excellence and experience in the workforce." The Food and Drug Administration's Office of Human Resources and Management Services (OHRMS) has developed an OHRMS strategic plan, and its efforts are rather advanced compared with other Federal agencies. OHRMS, with participation from all HR employees, identified goals and measures that support the Offices' and Centers' interests and mission accomplishment. Each OHRMS division has established work groups to track the measures and progress toward achieving HR goals. Accomplishments are identified in the HR strategic plan and communicated to all FDA employees through the OHRMS newsletter via the intranet home page. Accomplishments on priority initiatives are reported to Office of Management and Systems. FDA provides a yearly report on selected HR programs to the Department of Health and Human Services. Each HR division identifies areas to review, develops the methodology, conducts the assessment, and determines follow up actions to be taken. The information is reported to the HR Director and forwarded to the Department. Personnel officers use the information to improve programs where possible. As a result of the self assessment, the Department named two of FDA's programs "best practices": a "Supervisor's Desk Reference Guide" designed to promote better communication and interaction between HR and management and a "Worker's Compensation Guide" that has resulted in a 50 percent reduction in lost time. Others are in the initial stages, such as the Strategic Workforce Planning Initiative to identify future workforce needs and to develop a road map to address these needs. Organization: General Services
Administration Summary: Activity Based Costing (ABC) is the starting point for performance measurement. The ABC Model is a full costing of all OHR activities as they are performed in each region and Central Office. ABC data will help plot trends in the distribution of resources and long-range planning. By matching cost information with benchmarking, quality measures, customer priorities, and other performance measures; human resource managers have a powerful decision-making tool. The ABC data will integrate customer feedback, customer need, and benchmarking data to build a balanced scorecard. GSA HR is committed to utilizing a balanced scorecard approach for assessing HR activities and is undertaking several activities to fully develop the program. The categories are 1) Financial - using the ABC information to determine costs. 2) Customer - measuring customer satisfaction in several categories relating to delivery of HR services. 3) Employees - measuring employee satisfaction and engagement using the Q12 survey and developing a competency based tool that will assess and help develop the knowledge, skills, and abilities of theHR staff and 4) Process - measuring the efficiency and effectiveness of HR services by assessing the timeliness and accuracy for delivering those services. Organization: General Services
Administration General Services Administration (GSA) recognizes the importance of improving its human resources management and focuses on three responsibilities: hiring the best talent possible; nurturing employees through regular training and development opportunities; and rewarding employees for their accomplishments. Moreover, GSA recently instituted its "World Class Workforce Initiative", a strategy for dealing with mission-related challenges, which includes being responsive, creative, and taking the necessary steps to assist its customers in accomplishing the mission. The Health Care Financing Administration (HCFA) has made bold efforts in the area of Human Resources Management (HRM) alignment with its draft Human Resources Strategic Plan. The draft HR plan was developed collaboratively by HCFA's Human Resources, Learning Resources and Equal Employment Opportunity offices. Also, these groups worked very closely with the HCFA strategic planning and evaluation office to align the plan to the agency strategic plan. Uniquely, the HR plan goes beyond the Human Resources office and addresses the agency's human resources management responsibilities by assigning accountability for specific HR goals directly to managers, employees, the union, and/or other non-HR stakeholders. Organization: Internal Revenue Service Summary: As part of the Modernization Blueprint for Strategic Human Resources, the Deputy Commissioner Operations and the Deputy Commissioner Modernization established the Merit System Assessment (MSA) Program. This program was designed to ensure fairness and equality for employees in Servicewide employment practices and decisions as well as adherence to Human Resources (HR) laws and regulations that strengthen the concept of merit. The MSA Program monitors and evaluates Servicewide trends and conditions in all HR functions. As the Strategic Human Resources (SHR) independent assessment program, the Office of Merit System Assessment is responsible for all assessment activities that OPM requires of every federal agency. The MSA Program measures Human Resources Management (HRM) performance as it relates to the Services strategic mission and objectives. The MSA Program integrates the principles contained in the OPM Human Resources Accountability Guide, GAO Human Capital: A Self-Assessment Checklist for Agency Leaders, and the Presidents Quality Award Program. This framework provides a structure and assessment logic that examine the efficiency and effectiveness of each of the nine Merit System Principles as practiced in the IRS. The assessment focuses on processes, not on individuals. In this way, it serves as a powerful vehicle for change and improvement. This approach and methodology informs IRS leaders of individual employee and agency-wide workforce gaps that need to be addressed. The newly authored Internal Revenue Manual, Chapter 6.273, sets forth the policy, responsibilities and guidance for conducting the MSA Program within the IRS. Organization: Internal Revenue Service Summary: The Merit System Assessment (MSA) Team conducted a review of the Mid & Top-Level Management Realignment Process from September through November 2000. The purpose of the assessment was to ensure that the competitive realignment process was the fairest method for selecting GS-15 Senior Managers for the new IRS organization. The assessment concentrated on the first round competitive realignment of Senior Managers in the Large and Mid-Size Business Division (LMSB), the Small Business/Self-Employed Division (SB/SE), the Taxpayer Advocate Service (TAS), Appeals and Communications & Liaison (C&L). A team of individuals from MSA, TAS and Agency-Wide Shared Services (AWSS) conducted the assessment using guidelines specified in the Presidents Quality Award Program and the GAO Human Capital: A Self-Assessment Checklist for Agency Leaders. Guided by the assessment criteria, the Project Team gathered data and conducted interviews to understand the "current reality" about how the organization operated and implemented this process. The report, which was presented to the Human Resources Policy Council on January 16, 2001, contained strengths, improvement opportunities, recommendations and general observations. The entire report was posted to the IRS Strategic Human Resources website in February 2001. Organization: Internal Revenue Service Summary: The Merit System Assessment (MSA) Team completed a trends baseline using the principles contained in the following documents that established a framework for organizing the Human Resource Management (HRM) goals and measures.
Guided by the framework, the MSA Team gathered and analyzed data on 22 key activities/processes to understand the "current reality" about how HRM practices are consistent with the Merit System Principles. The identification of the "vital few" was determined by consensus scoring based on the PQA methodology.
Total Key Activities/Processes: 22 The final report, which prioritized the top three improvement opportunities warranting further review, required the Human Resources Policy Council (HRPC) to decide on the next assessment topic. On February 22, 2001, the HRPC directed the MSA Team to assess Improvement Opportunity #3, which focuses on grievance resolution processing time and the promotion of dispute resolution at the lowest management level. The entire report was posted to the IRS Strategic Human Resources website on March 16, 2001. The Immigration and Naturalization Service has a comprehensive strategic plan with a mission statement, outcome-related goals, and objectives. This plan includes the major functions and operations of the INS and a detailed description of how the INS goals and objectives are to be achieved, while addressing human resources management issues. This plan is integrated with the Annual Performance Plan, which specifies INS human resource management goals, strategies, and measures for success. Organization: Immigration and Naturalization
Service (Department of Justice) The Immigration and Naturalization Service integrated leadership competencies into the merit promotion process for first-line supervisors in consistency with the HRM goal of aligning supervisory positions with critical competencies. In order to accomplish the goal, candidates complete four assessments to measure critical competencies in the areas of thinking, administrative, writing, and job skills. Assessments include a decision-making situation, a job simulation, a managerial writing skills exercise, and a job experience test. Moreover, after compiling the competencies, the new first line supervisor must complete a competency based supervisory program. The service uses a 360-degree feedback program to assess how effectively the skills learned in development are utilized in the workplace. The complete process is a method that measures the effective development of first-level supervisors. Organization: National
Aeronautics and Space Administration NASA stresses that each installation is accountable for systematically conducting self-assessment to ensure that its personnel practices are consistent with policy and program objectives. To assist in these assessments NASA recently revised its Personnel Function Self-Assessment Guide to include expanded coverage of delegated examining, inter-agency personnel assignments and incorporated GAO's Human Capital: A Self-Assessment Checklist for Agency Leaders (http://www.gao.gov/special.pubs/gg99179.pdf - Download free Adobe Acrobat Reader) . The Personnel Function Self-Assessment Guide provides a solid basis to ensure that the personnel program operates within the merit principles and other national goals in law and regulations. The GAO checklist focuses ongoing attention to the value propositions for human resources management, both locally and on an agency-wide basis. Additionally, this guidance has been used to cross-train internal staff that are assigned to review areas where they have no subject mater expertise. They are provided with the relevant section of the guidelines and a point of contact who is a subject matter expert. During these rotational review assignments, the entire personnel staff gains knowledge and expertise in most human resource functions. The guide is divided into six subject areas: staffing; classification and position management; compensation; employee relations; labor management relations; and management controls.. The National Institutes of Health (NIH) uses the internal evaluation program to assess how well programs and controls are achieving their objectives. Although the program is somewhat narrow in scope, it is very effective at ensuring that Human Resources programs have effective management controls in place to prevent program deficiencies, fraud, waste, and abuse. Effective controls are developed, implemented, and monitored when they are lacking to confirm that corrective actions are having the desired effect. Reviews also measure achievement of program objectives when possible. Organization: Office of
Personnel Management The Office of Personnel Management (OPM) has established a Self-Assessment System. The project's methodology was divided into three phases: survey development (which included interviews, focus groups, and questionnaire distribution and analysis); customer service strategic plan development; and measurement plan development. The first phase of the project involved interviewing the Office of Human Resources and Equal Employment Opportunity (OHREEO) staff in order to determine employees' perceptions of the quality of OHREEO services and identify where improvements could be made. Interviews also helped to identify "quick fixes" - things that could be accomplished quickly and easily. Then, OHREEO in conjunction with the Office of Merit Systems Oversight and Effectiveness (OMSOE) developed a customer services questionnaire, a focus group format, and an administrative officer interview guide. They distributed the questionnaire to different representatives of the OPM population; conducted agency/nationwide focus groups and interviews; analyzed and summarized the feedback; and issued a final report in September 1997. A summary of the results was shared with all OPM employees via an OHREEO newsletter. The second phase of the project was to develop a Customer Service Strategic Plan. As a result of the feedback analysis, the Partnership Council prioritized recommendations and developed a FY98 action plan that included an OHREEO strategic goal addressing customer service improvement. Measurable strategic objectives supporting the goals were also developed. The final phase of the project was to develop the measurement plan. A measurement sub-group agreed on the performance measurement language and developed key measures for each objective. The sub-group created a framework that included: strategic objectives, indicators to identify when objectives have been achieved, types of measures (output, outcome, etc.), and measurement tools and/or approaches to be used. The framework also addressed issues such as how often measures should be administered and who is responsible for taking the measures and conducting the analysis. The Partnership Council further refined the measurements plan by assigning the analysis of measures to the appropriate division or team. Once the analysis and refinement were completed, OHREEO was able to take the strategic goals, objectives and measures in order to create an annual OHREEO Action and Measurement Plan. The Office of Thrift Supervision has a performance plan that references the importance of staff development and diversity, and acknowledges that attracting, training, and retaining a highly skilled workforce is vital in achieving the agency mission. The effectiveness and efficiency of many of these HRM programs are measured through employee feedback mechanisms. Organization: Social Security
Administration A SSA Customer Survey postcard is issued by the Region IX HR Center to gauge service. This is done on an ad hoc basis or at the completion of a significant workload. Responses provide instant feedback to the HR center staff on specific actions taken and products issued. Organization: Social Security Administration The Office of Human Resource's Office of Workforce Analysis (OWA) has proven highly effective in supporting strategic goal accomplishment. OWA provides consulting services to SSA managers. Examples of work assigned to OWA include: (1) supporting SSA efforts to assess the public burden of automated program systems; (2) evaluating the impact of automated attendant/voice mail telephone equipment on productivity and public access in field offices; (3) evaluating a disability claim managers pilot; (4) developing a computer simulation modeling tool for the 800 number operation; (5) evaluating the impact of the Full Process Model on productivity, processing time and the workforce; (6) assisting in the evaluation of pre-pilot test of the costs and benefits of offering immediate claims-taking service to 800 number callers; (7) developing study plans for evaluating the initial and subsequent releases of the Integrated Human Resource Information System (IHRIS); and (8) evaluating the resource requirements for support of intelligent work stations. Two OWA publications, Benchmarking Procedures for the Social Security Administration and Agency-Level Comprehensive Cost Benefit Analysis Instructions are available to managers to support continuous improvement efforts and cost-consciousness. In addition, OWA develops data predicting retirement attrition for use in workforce planning and its head also participates in SSA's program evaluation planning workgroup. This assures a place at the table for the Office of Human Resources in aligning and integrating its activities with other offices to support strategic goals, assure productive relations with other offices, and avoid duplication of effort. Organization: Social Security Administration Building upon OPM's accountability program coverage guide, other OPM guides, and SSA's internal human resource management objectives, policies and guidance, SSA has implemented a human resources management accountability system. Three reviews have been successfully conducted to date, each of which proved effective in identifying areas of potential concern and in documenting best practices. Based on OPM's review of SSA regional human resource centers, it appears that future reviews may find more successful practices and increase in SSA's effectiveness in promoting intra-regional HR communications and dialogue. Also, areas of improvement were identified and actions were taken to correct regulatory violations. Organization: Social Security Administration Multiple indicators have been identified and are maintained and continuously monitored to measure achievement of SSA's strategic goals. These measures are reported annually in SSA's Accountability Report . With the imminent implementation of the Integrated Human Resource Information System (IHRIS), managers will have even greater access to human resource management measurement tools and data. Organization: Social Security Administration The Region III Regional Commissioner issued a series of memoranda to the regional leadership cadre on the nexus between the Merit System Principles and management decision making on a variety of personnel actions. Further information was shared on Prohibited Personnel Practices in the context of the "real world." These messages are invaluable as reminders and aids for supervisors and managers. Organization: Social Security Administration SSA's efforts to promote merit system principles awareness are laudable. Training has been made available agency wide to managers and supervisors through an interactive video session and videotape. Several regions have made the training mandatory for their managers and supervisors. The regions have been extraordinarily creative in supplementing the agency wide effort with local initiatives such as a "merit system principles awareness week," a merit system principles quiz and drawings, intra-office electronic communications, newsletters, and distribution of OPM's brochures and pamphlets. Organization: Social Security Administration A Regional Assessment Survey has been distributed annually to randomly selected groups of employees throughout Region III. It measures views on progress toward achieving principles outlined in the Regional Vision Statement -- Customers, Continuous Improvement, Teamwork, and People and Commitment. Current views are compared with previous years. Surveys are sent to approximately one thousand individuals each year, with an average response rate of 55%. Survey topics include perceptions on a scale of 0 to 5 in areas such as training and recognition, trust and cooperation in the unit, and accountability for continuous improvement. U.S. Customs Service has developed a five- year agency-wide strategic plan and a Human Resources Strategic Plan that ties into the organizational action plan. The Offices of Human Resources management, Training and Development, and Equal Employment Opportunity share the responsibility of developing human resources management programmatic processes. Managers and supervisors are held accountable for fulfilling the goals and for adhering to the merit system principals through the performance appraisal system and grievance process. Consequently, human resources strategic goals, objectives, and strategies have evolved and are integrated into an agency-wide organization strategic goal known as management accountability goal #6: " build a strong and effective management support structure that assures the achievement of business results." This goal includes technology, financial management, and human resources management with strategies, performance targets, and performance indicators related to each of the three areas. These strategies include: expand quality recruitment to additional core occupations; promote a diverse workforce through national recruitment strategies; develop and implement discipline programs that are fair, objective, and supportive of the mission; support the development and implementation of customer hiring plans; provide comprehensive counseling and benefits for employees and their families; and align training development and investments with agency business objectives. Some of the performance indicators are: percent of positions covered by quality recruitment, percent of positions filled as requested in hiring plans; percent of employees who separate from customs within the first two years of appointment; percent of personnel actions processed timely; number of disciplinary actions; and number of employees trained by skill, type, and category. Moreover, Customs continually checks HR process through the self-inspection program, a mechanism for managing oversight of programs and processes. The self-inspection program is an operation/programmatic management accountability system that is mainly process-oriented. The program consists of human resources management checklists divided into two categories: "universals" and "operationals." The five "universals" are: staffing, position classification, performance management/awards, labor-employee relations, and occupational safety and health. The eight "operationals" are: staffing, services, position classification, employee services, labor relations, employee relations, staffing and competency program, personnel systems, and research development. These programs are part of a continuous improvement process designed to monitor and improve human resources management positions. Organization: Veterans
Benefit New York Regional Office (Dept. of Veterans Affairs) The Veterans Benefit New York Office has adopted the balanced scorecard approach as a measurement tool to help determine how successful their office operations are and where improvements are needed. This agency streamlined its complicated workflow operations by creating self-directed work teams that are accountable for their assigned cases from beginning to end. The organizational structure was "flattened" by combining previously narrowly defined positions to more multi-skilled positions. The Human Resources office was involved in the development of the new approach from the very beginning by having representatives in the various working groups. The agency developed outcome measures linked to organizational goals as part of its balanced scorecard in order to determine the level of success of its operations and to identify areas for improvement. The teams are measured based on speed, accuracy, cost-per-claim, customer satisfaction, and employee development. The customer based measures are based on a service quality model developed at Texas A&M. The employee measures are derived from climate surveys, team development, and technical skills. The Team Development Matrix is composed of five stages ranging from "the team being directed on how to operate" to "the team being self-managed." For each element in the Balanced Scorecard, teams are awarded points based on how well they are performing (measured through hard and soft data). This matrix helps the team to develop and improve its skills as a group. The organizational outcome measures can indicate the level of success of the organization, team, or individuals; therefore promoting accountability across the board.
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