HCMR Report Template12

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2012 Human Capital Management Report Template

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FISCALYEAR2012 ANNUALHUMAN CAPITALMANAGEMENTREPORT

Introduction

Federal agencies are required under 5 CFR part 250 to submit an annual Human CapitalManagement Report (HCMR) to the U.S. Office of Personnel Management (OPM). The HCMR helpsboth OPM and the reporting agency assess how well the agencys human capital/ human resources(HC/HR) programs and operations contribute to organizational performance and missionaccomplishment.

The HCMR is an important evaluation tool that measures progress on achieving HC/HR goals andinforms the next cycle of planning and implementation (see the Human Capital Assessment andAccountability Framework (HCAAF) diagram below.) It helps agencies implement and sustaineffective and efficient HC/HR practices, policies, and programs directly aligned to support agencymissions. It establishes and defines five human capital systems that provide a single, consistentdefinition of human capital management for the Federal Government. The HCAAF fuses human

capital management to the merit system principles a cornerstone of the American Civil Service and other civil service laws, rules, and regulations.

This year we continue to have a strong focus on planning, implementing, and evaluating as it relatesdirectly to each described program initiative. We are asking that you describe how your HC/HRinitiatives are designed to meet the needs of your agency. In order to do that, we are asking you todocument the full life-cycle of HC/HR programs you have implemented in FY 2012. This includeshow you used the results outcome data to inform future implementation planning and actions. Byrigorously analyzing performance indicators (measures), an agency can assess the results of itsHC/HR initiatives and learn which strategies are productive, which need to be adjusted, and whichare best aligned to support mission accomplishment. In this way, the HCMR informs the Chief Human Capital Officer (CHCO), other agency senior leaders, and OPM on the success of their current

HC and workforce strategies and guides their decision-making on strategies for future programs andobjectives.

HCAAF SYSTEMS:


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General Instructions:

Purpose : The 2012 HCMR serves a number of purposes, including providing agencies a mechanism for:Collecting effective, comparable human capital data.

Documenting human capital programs results and actions.Providing information that assists OPM in its understanding of the state of humancapital management in the Federal Government.Communicating HC initiatives to all management in order to improve participation andsupport.

Reporting Requirements: The HCMR is due January 31, 2013.

Agencies will follow the same procedure and use the same site on MAX Collect to complete the HCMRfor 2012. Based on agency feedback, we are making the following enhancements:

Removing the character restrictions, resulting in a different format from the appearance in this

template.

Creating a separate page for agencies to submit their MCO Resource Chart SSM that will allow adirect upload of the Excel file.

All agencies, including HRstat pilot agencies, are to submit their MCO Resource Chart in theiroriginal Excel format and will not need to enter MCO data directly into MAX Collect.

The HCMR MAX site is: https://max.omb.gov/community/x/DIKlHg .

Organization of the Report:

The report is divided into four sections:Section One contains questions on agency HC/HR successes, challenges, and future areas of focus under the Government Performance and Results Act Modernization Act of 2010 (GPRMA).Section Two contains templates designed to document your agencys key HC/HR initiatives andrelevant outcomes in the areas of strategic alignment and workforce planning, leadership andknowledge management, talent management, and performance culture.

o This is the section in which your agency may "tell its st ory and describe what ishappening in the agency regarding the management of human capital/human resourcesprograms and initiatives.

o For each agency initiative that may fall under multiple HCAAF systems, list the programunder the one system that provides the most comprehensive description and refer tothe other system or systems where the program may also be relevant.

o Topic examples are provided in each area of the HCAAF with the exception of theAccountability System. The Accountability System is a cross-cutting system and iscovered in the other systems through reporting on measure setting, evaluation methodsand outcomes.

o If you have an initiative that does not seem to align with the examples, use the Othercategory.
https://max.omb.gov/community/x/DIKlHghttps://max.omb.gov/community/x/DIKlHghttps://max.omb.gov/community/x/DIKlHghttps://max.omb.gov/community/x/DIKlHg


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o There is one blank template per section; you may add more as needed.o For additional information on the HCAAF and the standards of success to help structure

your discussion, please use this link http://www.opm.gov/hcaaf_resource_center/ . Section Three provides a checklist of HC planning documents.Section Four requires a brief narrative on the results of the agencys implementation efforts for

selected Government-wide initiatives.

Special Instructions for Completing the 2012 HCMR

CHCO Agency Requirement:Please attach the MCO Resource Chart (Excel template)

Small Agency (Non-CHCO) RequirementsPlease attach:

MCO Resource Chart

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

Please note that while there is no character limitation to the template sections, it is our intentto streamline the process and reduce the size of the overall report. Please provide succinctanswers, providing examples where appropriate. Do not attach additional documents to thisreport.
http://www.opm.gov/hcaaf_resource_center/http://www.opm.gov/hcaaf_resource_center/http://www.opm.gov/hcaaf_resource_center/http://www.opm.gov/hcaaf_resource_center/


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Human Capital Management Report FY 2012

Agency Name:

Point of Contact for this report:Name:

Address:

Phone: (include area code)

E-mail Address:

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

Date:


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Section I. HC In Your AgencyPlease answer the following questions about human capital management in your agency. For yes or noquestions, please answer yes or no AND provide an explanation for every answer.

1. What are the agencys primary performance goal objectives and how did HC/HR programs supportthe outcomes?

2. What are the three major challenges your agency faces in the next fiscal year?

2a. How will you use human capital to address these challenges?

3. What are the three major HC/HR challenges the agency faces in the next 2 to 5 years?

4. My agency's leadership understands the relationship between human capital results and agencyperformance goal achievement. Yes _____ No_____

Describe:

5. My agency uses human capital data as a tool that drives defensible decision-making.Yes _____ No_____

Describe:

5a. If Yes, please identify the human capital data currently being used at your agency.

Explain:

5b. The human capital data my agency currently uses improves outcomes and helps the agencyachieve its goals.Yes _____ No_____

Describe:

Section II. Planning, Implementation, and Evaluation of the Human Capital LifeCycle

The human capital life cycle of planning, implementing programs, and evaluating for results provides acontinuous framework for the achievement of major program outcomes and process improvement. Foreach of the following sections, please identify the key HC/HR programs you have implemented over thelast fiscal year, and use the provided templates and following definitions to answer the following:

How did your agency plan, implement, and evaluate the program?What were the results/outcomes from the program?


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How were the results used to inform strategies and/or actions?How did the results/outcomes support the agencys mission?

Each template is formatted the same. If you would like to provide more examples, simply insert a newtemplate. Use of this specific template is mandatory.

Getting Started: The following definitions will assist you in completing thesections in the template.

Planning Phase (Alignment) Describe the HC/HR strategies and plans developed to support mission, goals, and organizationalobjectives. Describe the results of these HC/HR programs. Include the following elements whendescribing the planning phase for selected HC/HR programs or initiatives:

1. Agency Strategic Initiative(s) - The priorities or objectives identified in the agencys StrategicPlan and/or Management Objectives. The agency determined through a planning process

that these specific actions will help accomplish the agency mission.2. Human Capital/ Human Resources (HC/HR) goals - The HC/HR goals that support theachievement of the agency strategic initiative. The agency has determined through aplanning process that these specific HC/HR goals are aligned with the agencys strategicgoals and will support the agency s priorities. (NOTE: The alignment between the agencyinitiative and the HC/HR goal is described in the agency HC/HR Strategic Plan or is otherwisealigned with the agency HC/HR Strategic Plan.)

3. The measure - Indicates what constitutes successful attainment of the HC/HR Goal (shortterm and long term success). The focus should be on the overall desired outcome and notactivity outputs. As an example: Short term --- 85% percent of technicians demonstrateproficiency in basic electronics after attending training course, instead of 85% of technicians attended training course . Long term --- improvements in product delivery(faster, fewer defects, better productivity, etc.)

4. The target - Indicates the desired level of success, and should be objective, quantifiable, andhave a stated end date (e.g., upon the completion of the training program, 85% of technicians will demonstrate proficiency in basic electronics).

5. The evaluation methodology - Describes how the agency will determine whether the statedprogram or initiative outcomes have been achieved. This section will address how senior-level management officials in the agency are provided HC/HR accountability information andgenerally how this information will be used to inform future initiatives.

Implementation Phase

Describe how the HC/HR programs are conducted/implemented based on organizational priorities thatsupport agencies. Some areas to cover might be:

1. Provide insight as to how the program implementation was completed. How did HR work withother parts of the organization to be successful?

2. Describe how change management was integrated into the process. How was buy -in fromexecutives, leaders, managers, and employees obtained?


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3. Discuss communication strategies, especially how the program was communicated as beingessential to agency mission accomplishment.

4. Describe any barriers or challenges that had to be overcome to complete the work.5. This section can also include description of any interim program monitoring activities with

related output measures (e.g., # the number of technicians trained by X date).

Evaluation /Results/Next stepsThe Evaluation/Results section identifies the level of success obtained after program/initiativeimplementation, and should address results achieved in terms of major outcomes, not simply completedactivities. This section should allow you to:

1. Provide an assessment of the actions taken to achieve the HC/HR goal. Did the agency achievethe targeted level of success? Did goals, targets, implementation methods, etc., yield expectedHC/HR outcomes? Did the agency use the methods identified in the planning phase to evaluatethe effectiveness of HC/HR planning?

2. Integrate findings from appropriate Systems, Standards and Metrics (SSM) Chart, and discusswhether the results of other related measures support the findings (e.g., EVS scores, managers

satisfaction with the quality of applicant scores, etc.), and what factors contributed to the result.3. Describe internal or external factors, such as changing mission needs, budget constraints, or

Congressional requirements that affected the ability of the agency to achieve its HC/HR goals.4. Describe any actions to address findings and timeframe estimates.5. Describe how these actions impact high risk areas or areas of concern for the next fiscal year,

and how they would feed into the next planning cycle.

Reporting: Use the definitions and the bullets as examples to guide yourresponses.

Strategic Alignment - Agency human capital management strategies are aligned with mission, goals, andorganizational objectives and integrated into its strategic plans, performance plans, and budgets .

HC Planning - The agency designs a coherent framework of human capital policies, programs, andpractices to achieve human capital requirements to directly support the agency's strategic plan.Describe how your agency incorporates the use of key Human Capital Programs and Policies (e.g.,training, Pathways, mentoring, Diversity and Inclusion) to strategically recruit, select, develop andretain employees to reduce and/or close their staffing and/or competency gaps. Workforce Planning - The organization identifies the human capital required to meet organizationalgoals, conducts analyses to identify competency gaps, develops strategies to address human capitalneeds and close competency gaps, and ensures the organization is appropriately structured. Metrics and Evaluation: Describe how your agency determines whether or not established human

capital programs, policies, and initiatives are successfully carried out and ensures that your agencyhas the right mix of talent.

Program/ Initiative Name:Planning:

Implementation:


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Evaluation and Outcomes:

Next Steps:

Outcome Alignment with Agency Mission:

(INSERT ADDITIONAL TEMPLATES FOR ADDITIONAL PROGRAMS/INITIATIVES)

Please answer these additional Workforce Planning questions:

Does your agency have a governing body (e.g. Executive Steering Committee) that establishesand maintains a governance structure for coordinating resources and services between theCHCO, CFO, CLO, CIO, etc.?

Does your agency have a corporate workforce planning method?

If yes, is there a governing body that coordinates decisions and resources?

How does your agency use workforce planning strategies and workforce data to close staffingand/or competency gaps?

Are you able to project the percent of the workforce expected (or eligible) to retire in the nextfiscal year? If yes, please indicate percentage expected to retire within the next fiscal year:*

________Leadership (Senior Executive Service) _________ Management (Managers, Supervisors) _________ Non-supervisory

Please indicate percentage expected to retire within the 2 to 5 years:*

________Leadership (Senior Executive Service) _________ Management (Managers, Supervisors) _________ Non-supervisory

*Please indicate how your agency planning (workforce planning, succession planning, recruitment,etc.) is helping your agency prepare for these retirements. Be as specific as possible.


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Leadership and Knowledge Management (LKM) - Focuses on identifying and addressing agencyleadership competencies so that continuity of leadership is ensured, knowledge is shared across theorganization, and an environment of continuous learning is present.

Briefly describe how you planned, implemented, evaluated and determined results to support keyorganizational objectives. Examples of potential areas to describe under leadership and knowledge management:

Succession planningContinuous learning (e.g., training needs assessment, learning management systems,coaching/mentoring)Knowledge management (e.g., knowledge transfer strategies, communities of practice, IT support) Leadership Development (e.g., bench strength analysis, competency gap analysis, developmentalprograms) Employee Development (e.g., MCO-specific strategy, strategic use of IDPs)

Other leadership and knowledge management programs/initiatives


Implementation:


Next Steps:



Talent Management The organization addresses competency gaps, particularly in mission-critical

occupations, by implementing and maintaining programs to attract, acquire, develop, promote, andretain quality talent.

Briefly describe how you planned, implemented, evaluated and determined results for your key talentmanagement programs.Examples of potential areas to describe under talent management:

Assessing competency/skill gaps (describe method for identifying critical skill gaps assessmentand/or tools to conduct competency assessments)


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Attracting and hiring high-quality employees (describe challenges the agency is facing in recruiting orhiring critical positions, indicate how the agencys strategic planning process informs recruitmentplans) Retaining top performers (describe the retention strategies the agency has in place) Applicant and Manager Surveys (describe how the agency uses the results from the surveys to effect

change)Other talent management programs/initiatives

Program/Initiative Name:Planning:

Implementation:


Next Steps:



Performance Culture - The organization promotes a diverse, high-performing workforce byimplementing and maintaining effective performance management systems and awards programs

Briefly describe how you planned, implemented, evaluated and determined results for your keyperformance culture programs.Examples of potential areas to describe under performance culture:

Building a culture of high performance (actions/strategies for development of high-performingteams; identification of continuous process improvements; ways to create and sustain innovative,productive, engaged employees; use of non-traditional work arrangements such as telework andflex schedules, etc.; employee involvement in agency culture-change initiatives) Promoting cooperation among employees, unions, and managersBuilding a diverse workforce (strategies to attract, develop, and manage a diverse talent pool) Other performance culture programs/initiatives



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Implementation:


Next Steps:



Please answer this additional Performance Culture question:

What actions has you agency taken to improve your Employee Viewpoint Survey PerformanceCulture Index (PCI)? And/or what plans has your agency made to improve on the elements thatfeed into the Overall PCI?

ANSWER THE FOLLOWING QUESTIONS ONLY IF YOUR AGENCY MEETS THE CRITERIA SET AT THEBEGINNING OF EACH QUESTION

Agencies should evaluate their non-SES appraisal programs every 3 years using OPM's PAAT. If theagency's weighted average PAAT score is less than 80 out of 100 points, the agency should make

improvements to the program(s) and then evaluate the program(s) again, until the program(s) score atleast 80 points.

If your agencys PAAT score is less than 80 , please describe what actions have been taken to evaluatethe program(s) in order to improve the score. If your agencys PAAT score is 80 or above, you do nothave to answer this question.

SES or SL/ST Performance Appraisal System(s)

The correlation coefficient of the agency's SES members and their performance pay should be at least .5

If your agency has a correlation coefficient less than .5, what actions are you taking to improve thecorrelation? If you agencys coefficient is .5 or above, you do not have to answer this question.

If your agency has an SES or SL/ST appraisal system that does not yet have full certification, what actionsare you taking to improve the system?


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Section III: Human Capital Planning DocumentsPlease indicate if you have the following:

Current Workforce Plan Yes Dated _____________ No Current Human Capital Strategic Plan Yes Dated _____________ No Current Succession Plan Yes Dated _____________No

Strategic Recruitment Plan Yes No Routinely Used New Hire Survey Yes No Routinely Used Exit Survey Yes No

Section IV: HC Government-wide Initiatives

Please answer the following questions on Government-wide initiatives:

Veteran s Employment InitiativeEmployment of Veterans: http://www.whitehouse.gov/the-press-office/executive-order-veterans-employment-initiative

In accordance with Section 3(c), (d), and (e) of Executive Order 13518 - Employment of Veteransin the Federal Government, please describe how your agency has improved employmentopportunities for veterans.

Extension of Benefits to Same-Sex Domestic Partners of Federal Employees

Implementation of the Presidents Memorandum Regarding Extension of Benefits to Same-SexDomestic Partners of Federal Employees:http://www.chcoc.gov/transmittals/TransmittalDetails.aspx?TransmittalID=2982

Reporting requirement agencies will complete and submit the tables of requested data in theHCMR MAX Collect exercise and report on 2012 Government-wide benefits, non-title 5 agencybenefits, and agency-specific benefits/work-life benefits.

Hiring Reform

Hiring Reform: http://www.whitehouse.gov/the-press-office/presidential-memorandum-improving-federal-recruitment-and-hiring-process

How has the Government-wide focus on Hiring Reform improved recruiting and hiring in youragency (include supporting data)?
http://www.whitehouse.gov/the-press-office/executive-order-veterans-employment-initiativehttp://www.whitehouse.gov/the-press-office/executive-order-veterans-employment-initiativehttp://www.whitehouse.gov/the-press-office/executive-order-veterans-employment-initiativehttp://www.chcoc.gov/transmittals/TransmittalDetails.aspx?TransmittalID=2982http://www.chcoc.gov/transmittals/TransmittalDetails.aspx?TransmittalID=2982http://www.whitehouse.gov/the-press-office/presidential-memorandum-improving-federal-recruitment-and-hiring-processhttp://www.whitehouse.gov/the-press-office/presidential-memorandum-improving-federal-recruitment-and-hiring-processhttp://www.whitehouse.gov/the-press-office/presidential-memorandum-improving-federal-recruitment-and-hiring-processhttp://www.whitehouse.gov/the-press-office/presidential-memorandum-improving-federal-recruitment-and-hiring-processhttp://www.whitehouse.gov/the-press-office/presidential-memorandum-improving-federal-recruitment-and-hiring-processhttp://www.whitehouse.gov/the-press-office/presidential-memorandum-improving-federal-recruitment-and-hiring-processhttp://www.chcoc.gov/transmittals/TransmittalDetails.aspx?TransmittalID=2982http://www.whitehouse.gov/the-press-office/executive-order-veterans-employment-initiativehttp://www.whitehouse.gov/the-press-office/executive-order-veterans-employment-initiative

HCMR Report Template12

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