Optimizing Talent in the Federal Workforce [1 ed.] 9781523096749, 9781567264340

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OPTIMIZING TALENT IN THE FEDERAL WORKFORCE

Edited by WILLIAM J. ROTHWELL, PH.D., SPHR, CPLP FELLOW AILEEN G. ZABALLERO, M.S., CPLP JONG GYU PARK, MBA

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Copyright © 2014 by Management Concepts, Inc. All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or

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Printed in the United States of America Library of Congress Control Number: 2013947028 ISBN 978-1-56726-434-0

About the Editors

W

illiam J. Rothwell, Ph.D., SPHR, CPLP Fellow, is a professor in Workforce Education and Development, Department of Learning and Performance Systems, at The Pennsylvania State University, University Park. He has authored, co-authored, edited, or co-edited more than 200 book chapters and articles and more than 80 books. He is also president of the consulting rm Rothwell & Associates, Inc. Before arriving at Penn State in 1993, Rothwell spent 20 years as a training director and HR professional in both government and business. He has worked as a consultant for more than 40 multinational corporations, organizations, and agencies. Since 1996, he has conducted training, keynoted conferences, led seminars, taught MBA courses, and served as a change consultant in the United States and in Asia. In 2012, he earned the American Society for Training & Development’s (ASTD’s) prestigious Distinguished Contribution to Workplace Learning and Performance Award. In 2013, he received the prestigious title of Certi ed Professional in Learning and Performance (CPLP) Fellow from ASTD. Rothwell’s most recent books are Performance Consulting: Applying Performance Improvement in Human Resource Development (Wiley, 2013), ASTD Competency Study: The Training and Development Profession Revisited (ASTD Press, 2013), and Becoming an E ective Mentoring Leader: Proven Strategies for Building Excellence in Your Organization (McGraw-Hill, 2013). Aileen G. Zaballero, M.S., CPLP, is a dual Ph.D. candidate in Workforce Education and Development—Comparative and International Education at Penn State. She has held her CPLP through ASTD since 2009. Her research focuses on how sociocultural diversity in uences interpersonal and leadership competencies, speci cally in collaborative decision-making processes. Zaballero has recently published chapters on workforce diversity in a global society and was a co-editor and co-author for the second volume of The Encyclopedia of Human Resource Management. She is currently developing a model for succession planning intelligence. Jong Gyu Park, MBA, is a Ph.D. candidate in Workforce Education and Development at Penn State. He earned both his B.A. in business administration and his MBA at the Sungkyunkwan University in Seoul, South Korea. He also is a Ph.D. candidate in business administration at Sungkyunkwan University School of Business. Before studying at Penn State, Park was a management consultant at Deloitte Korea Ltd. and at the Talent and Rewards Group of Towers Watson’s Seoul office.

About the Authors

J

ames Alexander has more than 25 years of experience in the eld of organization development and human capital management in both the private and public sectors. He currently serves as a consultant with the Department of Agriculture in the Food Safety Inspection Service. Alexander earned his master’s degree in planning and administration from Antioch University and is also a graduate of Georgetown University’s Organization Development program. Christos Anagiotos is a dual Ph.D. candidate in Adult Education—Comparative and International Education at Penn State, where he studies with the support of the Onassis Foundation. Before studying at the University of Connecticut as a Fulbright scholar, he worked for the Ministry of Education of his home country, Cyprus. Anagiotos’ research interests include transfer of learning, workplace learning, online education, and the construction of national identity. Thomas Agrondizza, M.S., is a Ph.D. candidate in Learning, Design, and Technology at Penn State with an M.S. in Instructional Design, Development, and Evaluation from Syracuse University. He was an instructional designer, creating training courses for organizations such as the U.S. House of Representatives, the Nuclear Regulatory Commission, and the Federal Aviation Administration and has taught instructional systems development online. Catherine Haynes, M.S., U.S. Army Ret., is a dual Ph.D. candidate in Workforce Education and Development—Comparative and International Education at Penn State. A Fulbright scholar whose research interests include Caribbean cultural knowledge in the tourism industry, Haynes was a diversity framework coordinator for human resources at Penn State. She has developed and delivered training programs for both military and civilian personnel. Maria Spencer, MBA, is a Ph.D. candidate in Workforce Education and Development at Penn State. Her research focuses on the challenges of implementing change in historically successful organizations. She has led more than 200 companies and entrepreneurs in a variety of industries in workforce development, business, capital development, and energy e ciency initiatives. Spencer is also a consultant with Penn State’s Small Business Development Center. Jennifer Myers, M.S., BSOE, is a Ph.D. candidate in Workforce Education and Development at Penn State. She was a federal agent with the Air Force O ce of Special Investigations and is a graduate of the Federal Law Enforcement Training Center. Her research involves employee engagement, training, and career planning initiatives in the

healthcare and academic advising fields. Sarah Stager is a dual Ph.D. candidate in Learning, Design, and Technology— Comparative and International Education at Penn State, with a B.S. in sociology from Saint Vincent College, an M.A. in social science from Edinboro University, and an Ed.M. from Penn State. She has taught classes on technology integration in higher education, and her research interests include social interactions using mobile devices, cultural influences in decision-making, and ethical paradigms of best practice.

Dedication

W

illiam J. Rothwell dedicates this book to his wife Marcelina, his daughter Candice, his son Froilan, and his grandsons Aden and Gabriel.

Aileen G. Zaballero dedicates her contribution to this book to her parents Fred and Aleli, her aunt Dr. Lourdes Guerrero-Tiro, her brothers and sisters (Rowena, Rameses, Rhane, Rommel, and Rosemary), and her nieces Nyah and Amanda. Jong Gyu Park dedicates his contribution to this book to his wife Bora and his parents, Jaehyung Park and Teresa Jun.

Contents Preface Acknowledgments Chapter 1: Introduction By Christos Anagiotos and Aileen G. Zaballero Chapter 2: Recruiting and Selecting the Best People By Maria Spencer and Thomas Argondizza Chapter 3: Developing and Training the Best People By Aileen G. Zaballero and Thomas Argondizza Chapter 4: Deploying and Placing the Best People By Aileen G. Zaballero, Catherine Haynes, and Sarah Stager Chapter 5: Engaging the Best People By Aileen G. Zaballero and Jennifer Myers Chapter 6: Retaining the Best People By Jong Gyu Park and Maria Spencer Chapter 7: Knowledge Transfer By Christos Anagiotos, Catherine Haynes, and James Alexander Resources References Index

Preface

T

he quality of workers in the U.S. federal government is critical to the government’s efficiency and effectiveness. Members of the public naturally want their tax money spent well. And, since human resources are the biggest cost of doing government work, it makes sense to ask, “What does it take to recruit, develop, deploy, and retain the very best, most talented and productive people in government?” That is the key question this book explores, and answering it is the purpose of this book. Sometimes, it seems that government workers are the favorite whipping boys of the mass media and many political leaders. Taking as an example any of the agency scandals that have broken during the past several years, if something goes wrong in government service, it is government workers who get the blame. And if money must be saved through sequesters, who su ers the furloughs and cutbacks rst? Government workers. Yet, should things go right and a government program get astounding results, who gets the credit? Political leaders. But the reality is that rst-rate public service hinges on government workers, not on political leaders. Government workers are the unsung heroes who make sure that the government checks get out on time, that enemies are defeated on the battle eld, that passports are issued, and that necessary paperwork is processed. Often this work is not glamorous or as high-pro le as the politics that take place on the national stage. But without the daily e orts of government workers, government would not be e cient or effective. And that would be costly to every member of the U.S. public. This book is primarily, though not exclusively, written for anyone who cares about getting, developing, and keeping quality people in government service. While that should be everyone who pays taxes and therefore has a stake in good government service, it is most likely that the typical reader of this book is a manager or an HR professional who is already in government service. —William J. Rothwell [email protected]

Acknowledgments

T

he editors would like to thank all those who helped on this project, and that must include some appreciation expressed among ourselves, since this writing team was a big group that required great coordination and e ort. Most of all, the associate authors (in alphabetical order) deserve recognition for their dedication over a long period to bring this work together: James Alexander Christos Anagiotos Thomas Argondizza Catherine Haynes Maria Spencer Jennifer Myers Sarah Stager William J. Rothwell would like to express special thanks to Aileen G. Zaballero for putting the project plan together and coordinating with the authors. He would also like to thank Jong Gyu Park for pursuing those tough-to-obtain copyright permissions. Finally, the entire team would like to thank our editor, David Stockho , for his patience, hard work, and commitment to a quality product. We could not have completed this book without him.

CHAPTER 1 Introduction Christos Anagiotos and Aileen G. Zaballero

A

ccording to the U.S. O ce of Personnel Management (OPM; 2012a), the federal government has a civilian workforce of 2.76 million employees. However, budgetary constraints coupled with an increased demand to attract and retain talent have imposed complex challenges. A surge in the number of senior federal employees becoming eligible for retirement is causing national leaders to take heed of these challenges; meanwhile, the “technical skills required in today’s workplace continue to necessitate advanced employee training e orts” (Condrey et al., 2012:1). Government human capital leaders are seeking solutions to improve the federal human resource (HR) systems that will optimize talent. However, several issues pertaining to the existing system must be addressed: • Recruiting and selecting • Developing and training • Deploying and placing • Retaining • Transferring knowledge. The aforementioned HR functions have changed as today’s global markets compete in the “war for talent” (KPMG International, 2012:2). HR departments in both the private and public sectors have shifted from playing predominantly administrative roles to achieving strategic missions and objectives where resources are often scarce. Federal agencies in particular are attempting to adopt new HR practices to succeed during this complex period. The alignment of talent management to business objectives will require systematic and strategic initiatives. HISTORICAL EVOLUTION In the early 1920s, personnel management was strictly focused on the administrative function of employee recordkeeping. During this period, the government’s in uence on employee relations was nonexistent. Employee abuses, including unsafe working

conditions and child labor, were very common. However, during World War II the need to motivate employees to be more productive became important. Furthermore, classi cations of workers and occupational categories that altered the recruitment and selection process were developed (Kavanagh et al., 2012). The civil rights movement in the 1960s was the impetus for many new federal labor regulations. During this period, the government became responsible for policing discriminatory employment practices. Personnel departments were encumbered with legislative regulations that demanded data collection to substantiate that there were no unfair or discriminatory practices. The combination of optimizing employee productivity and the desire to avoid punitive damages for noncompliance resulted in the expansion of personnel management into today’s HR departments (Kavanagh et al., 2012). As the European and Asian economies grew and increased global competition, the 1980s became the era of cost-e ectiveness. The realization that the cost of labor had a signi cant impact on budgets drove the need for employee programs and services. This approach to the workforce de nes people as assets, also referred to as human capital, whose value can be measured and whose future value can increase through investment. According to the U.S. Government Accountability O ce (GAO), the government’s human capital is its greatest asset: To attain the highest level of performance and accountability, federal agencies depend on three enablers: people, process, and technology. The most important of these is people. (GAO, 2000:1)

However, the likelihood of future sta ng problems due to a high percentage of eligible retirees became apparent in 2000, when the phrase “human capital crisis” began to surface. Federal reports and congressional testimonies by experts on the topic of managing in government indicated that • The reputation of government as an employer has diminished • People who work for the government often leave for better working conditions and higher salaries. • A large number of people who have made careers in government will soon retire. (Friel, 2003) These reports further suggested that the federal government was inept in attracting and retaining the “best and brightest” talent, thereby impacting the government’s ability to perform its duties. For example, in 2003, when corporate malfeasances and accounting scandals were at a record high, increasing the workload of the Securities and Exchange Commission (SEC), SEC was unable to immediately ll new positions despite receiving the largest budgetary increase in the history of the agency. This sta ng challenge impaired SEC’s ability to ful ll its mission. According to a GAO report, SEC

recognized the need to develop new strategies that include sta allocation and human capital planning processes. The strategic plan would be “vital to SEC’s ability to develop performance-oriented, outcome-based performance measures” (2003c). The federal government’s strained ability to serve the public and meet its expectations now required drastic improvement in the management of its human capital. Responsible for safeguarding merit principles and employee rights, the U.S. Merit Systems Protection Board (MSPB) was created to assist agencies in managing their workforce (MSPB, 2002). According to GAO, the federal government must position itself to address challenges and transform its internal strategic workforce planning. Strategic workforce planning addresses two critical needs: (1) aligning an organization’s human capital program

with its current and emerging mission and programmatic goals and (2) developing long-term strategies for acquiring, developing, and retaining staff to achieve programmatic goals. (GAO, 2003b:2)

Aligning the management of each agency’s workforce (recruitment, training, deploying, engaging, and retaining employees) with its strategic goal has become critical. Furthermore, government agencies have increased their emphasis on performance and results-driven outcomes, thereby impacting talent management strategies. Agencies are focusing more on the talent management process by identifying the most critical projects and matching the skills needed to meet desired goals. As competition for the “best and brightest” talent continues to be a challenge in all sectors, including the private and nonpro t sector, managing talent becomes more critical. Therefore, recruitment and selection, training and development, compensation and reward, work design, performance appraisal, and labor management must continuously reform and adapt to the changing nature of public service (Gould-Williams, 2004; Hays and Sowa, 2006; Liou and Korosec, 2009; Snavely and Desai, 2010). As a result, the federal government focused on reinvention, introducing several important concepts to the management of employees. Several strategies focused on increasing e ciency, reducing costs, and managing performance. Moreover, the demand for greater accountability from public o cials drove several initiatives. In response to higher expectations, the Federal Workforce Flexibility Act of 2004 was signed, providing “even greater emphasis on employee development and training to promote strategic alignment with agencies’ missions” (OPM, 2005a:1). OPM and each federal agency will coordinate their e orts to align HR initiatives with agency strategic goals and performance objectives, as well as to develop comprehensive management succession programs. HUMAN CAPITAL MANAGEMENT Human capital management addresses business needs “through the system integration of

recruiting, learning, performance, and succession planning” (Ward, 2009:212). It emphasizes the analysis of data to inform the operational decisions to manage people and increase their value. Human capital managers ensure that the workforce remains productive and motivated; this requires collaborative e orts between operational strategies and the agency’s goals and missions (Erskine, 2012). According to GAO, “strategic human capital management should be the centerpiece of any serious change management initiative and e orts to transform the cultures of government agencies” (2003:3). More speci cally, government must focus on creating a exible and adaptable work environment that is able to move quickly and minimize bureaucratic barriers. Furthermore, the imperative that each agency’s talent management must align with its individual organizational objectives encourages government organizations to explore theories, models, and practices that focus on talent and employee performance. This book describes and discusses the best practices of both fundamental and emerging talent management initiatives and the activities of the federal government’s HR department, OPM. As a guide for students, academicians, researchers, practitioners, and consultants in both the public and private sectors, it aims to inform the reader about how the public sector is attempting to optimize a globally competitive workforce. CHALLENGES FOR FEDERAL GOVERNMENT Today’s leaders are challenged to devise methods to gain the greatest productivity from the fewest people. This is particularly true in the public sector, where a higher-thanaverage percentage of workers are retirement-eligible (compared with employees in the private and nonpro t sectors) and where dramatic downsizings and layo s have recently occurred. In 2011, it was reported that Layo s among state and local government workers are the most obvious source of new unemployment. Large cuts

have started in regions as diverse as Je erson County, Ala., Detroit, and Pennsylvania. These downsizings have

a ected police, teachers, and administrative personnel. In Detroit, the number of public employee layo s could

rise into the hundreds. And government job cuts may have only just started. Budgets in large states including California and New York are still not balanced, and state de cits are running in the billions of dollars. Austerity

plans being proposed in Washington will probably cost jobs among federal government employees as well. (McIntyre, 2011)

Most government executives agree that the government’s workforce is an important pillar of national strength. These executives also agree that talent is the most important element of a modern workforce and, just as leading private-sector organizations do, the federal government should nd ways to develop talent in its workforce. Yet, based on the predictions of many analysts, government budgets will be cut for years to come at the same time that public demand for federal government services will increase dramatically (Zeman et al., 2011).

BEST PRACTICES IN FEDERAL GOVERNMENT Attracting the best people to work for the federal government is just the beginning of ensuring that the federal workforce is the best it can be. Government o cials must select productive people who can achieve results. In addition to choosing the right people from a pool of applicants, the federal government must develop and train the best people for their unique roles in its HR structure. The U.S. government employs hundreds of thousands of people, so recruiting and selecting the right people for the right jobs is an important key to ensuring that its workforce will attain optimum performance. Furthermore, developing and training strategies that support strategic human capital management are critical. And putting the right people in the right positions—both in the United States (placement) and abroad (deployment)—is equally important, given the number of people employed by the federal government and the high cost of repositioning them. This requires various steps that identify the right people for each job and provide opportunities for engagement that connect them to their respective agencies. Doing so may increase job satisfaction and ensure that they are in the right environment to reach their individual potential. Employee engagement increases employee retention. Building appropriate motivation among individuals and establishing a positive work environment further encourages productivity and minimizes employee turnover. Even so, retaining the best employees is not always possible (e.g., when they are retiring). In these cases, transferring knowledge from more-experienced to less-experienced employees is vital. It can readily be seen against this backdrop that government employers will be especially challenged to attract, recruit, and select the best people; develop and train them; deploy them; engage and retain them; and encourage experienced people to transfer what they know to less-experienced employees. Conversely, several agencies have been recognized for major improvements or successes in optimizing talent. In writing this book, we set out to examine various agencies that had integrated new talent management processes, practices, and systems. We de ne talent management as a systematic e ort to recruit, develop, retain, deploy, engage, and transfer the knowledge of the “best” workers (Rothwell, 2011). In this context, best means those who can be objectively measured as most productive or promotable—not necessarily those workers whom managers like the best. These processes, practices, and systems are referred to as best practices and may provide a model for other agencies with similar functions or missions. It is important to consider that each agency has its own unique and diverse complexities. Hence, each leading agency’s best practice may not be e ective for another agency or organization. Consequently, it is essential to understand the similarities and di erences between organizations. In addition, it is also important to

consider potential causal links between the successes of the leading organizations and the best-practice techniques of managing talent.

CHAPTER OVERVIEWS OPM, the federal government’s chief HR agency and personnel policy manager of the federal workforce, has been charged to “recruit, retain, and honor a world-class workforce to serve the American people by directing HR and employee management, administering retirement, healthcare and insurance programs, overseeing merit-based and inclusive hiring into the civil service, and providing a secure employment process” (OPM, 2013b:1). To achieve the above, OPM established ve key strategic goals for 2014 and strategies to attain them (OPM, 2013b:8). We examined all ve goals and their corresponding strategies for this book. Table 1.1 lists the goals and their designated strategies; the third column of the table identi es the chapter in which each strategy is discussed. We o er a short synopsis of each chapter to give readers a sense of what they should expect to read in this book. Strategic

Strategy

Chapter

Goal Hire the

Implement improvements to the federal hiring process

Chapter 2

Promote diversity and inclusion in the federal workforce

Chapter 5

Reduce skills gaps in targeted mission-critical occupations and

Chapter 3

Best

competency areas across the government Encourage increased manager involvement in the federal hiring Chapter 2 process

Respect

Assist veterans to find a place in the federal workforce

Chapter 4

Improve training opportunities for federal employees

Chapter 3

Ensure that available benefits align with best practices and

Chapter 4

the Workforce employee needs Improve federal employee engagement and satisfaction with health, wellness, and work-life flexibilities

Chapter 5

Improve federal labor-management relations across government Chapter 5 Create the 21st-century flexible workplace to enhance employee Chapter 5 engagement and improve satisfaction Expect the Help agencies become high-performing organizations with use Best

Chapter 3

of HR tools Recognize, select, and sustain individuals who provide strong

Chapter 6

leadership and direction for agencies Provide leadership and direction to governmentwide HR programs

Chapter 3 and Chapter 6

Hold agencies to account for improvements in strategic HR

Chapter 1

management OPM will lead by example to implement HR reforms and to

Chapter 3

reinvigorate our approach to individual and organizational

and

performance management

Chapter 5

Honor

Develop a 21st-century customer-focused retirement processing

Chapter 5

Service

system that adjudicates claims in timely and accurate manner Improve OPM service to federal agency benefit officers

Chapter 4

TABLE 1.1. FY 2014 Discretionary Budget Goals, Strategies, and Chapters of Discussion Adapted from OPM, 2013b:8, 2014 Discretionary Budget by Goal and Strategy.

Chapter 2: Recruiting and Selecting the Best People Across all agencies and regardless of the nature of the work, the federal government has been able to attract a workforce that has valued stability, tenure, and loyalty. When it comes to promotions, many agencies still reward time served over talent, merit, or productivity, making the system of promotions very predictable and—in the case of some agencies—detracting from employees’ motivation to work harder to get a promotion. Where this is the case, the most talented sta may be lost to opportunities found outside the federal system, where performance is more directly considered in

making advancement decisions. Realizing this vulnerability, the U.S. Merit Systems Protection Board and Congress directed OPM to change the hiring process and infuse merit-based principles into the recruitment and selection process. Additionally, federal hiring freezes and the growing federal dependency on contractors have made succession planning a major challenge for o cials, who realize that a large percentage of their workforce will soon retire and that a large share of the talent the federal government relies on is employed by private contractors and nongovernmental organizations. With this realization, OPM began the process of changing the recruitment and selection process of the federal government, updating its toolbox to include social networking tools such as Facebook and Twitter—a move which has helped agencies more easily communicate with a large number of job seekers. In addition, social media allow agencies to have continuing conversations with potential federal employees, who can share news, ideas, and opinions. Chapter 2 also details the Wounded Warrior Project introduced by the U.S. House of Representatives and the online recruiting resources increasingly used by agencies to seek speci c groups of recruits (such as veterans), e orts integral to the reinvention of federal recruiting. Chapter 3: Developing and Training the Best People Federal agencies have internal needs for training and developing their employees that must be met to maintain a level of service acceptable to U.S. citizens. For two decades, the federal government has been reforming its training programs to enable its employees to meet the challenges of their jobs—and, at the same time, preparing them to assume leading positions in the government when current leaders retire. Di erent agencies use di erent methods to implement training and development, including mentoring, coaching, executive development planning, and succession planning. Additionally, as electronic learning has grown to overtake many traditional blackboard or pen-and-pencil methods, the government has remained current with implementation of electronic learning management systems, hosting courses for numerous organizations and ensuring that federal employees have the necessary and up-to-date skills to perform their duties. Chapter 3 examines many of the training and development practices and policies the federal government uses and provides concrete examples of each. The chapter also investigates the ways instructional design, including needs assessments and levels of evaluation, is being implemented in the federal government.

Chapter 4: Deploying and Placing the Best People In many federal agencies, too often the right people do not get the right job, and as a result the agencies are less able to achieve their missions. In those cases, placement and deployment procedures can help overcome this barrier to high performance. Both the terms deployment and placement refer to movement of sta to new positions. OPM is the primary agency for deployment and placement of personnel. Placement refers to placing employees in those positions in the federal government that are most appropriate for each employee based on his or her abilities. The two main methods of placement used by OPM are internal transfer and new employment. The goal is to get the right person in the right job regardless of whether an employee is new to federal employment. Deployment refers to the lling of overseas positions for both uniformed and civilian personnel of the federal government. A government agency can deploy the right person for an open, new, or existing position in di erent ways: civilian deployment, reemployment of military personnel (e.g., the Wounded Warrior Project) or veteran registration. OPM and agencies’ chief human capital o cers have the main responsibilities in deployment. As agencies continue to restructure and downsize as a response to federal budget cuts, some employees must transition to new jobs. OPM provides career transition assistance to employees through career transition assistance plans for surplus and displaced employees. Federal government employees may request reassignment from one agency to another or geographically relocate, in which case these internal placement programs may also be of assistance. Whether the situation involves a career transition, employment reassignment, or a new hire, both potential and current employees are thoroughly assessed to ensure the best job placement. Chapter 5: Engaging the Best People Employee engagement is a heightened connection between employees and their work that can extend to a connection to the organization and people in the organization. Research indicates that employee engagement is closely related to employee satisfaction and, as a result, to employee retention. Additionally, engaged employees are more likely to perform better in their jobs. Agencies that recognize the necessity of an engaged workforce, without which turnover skyrockets, productivity plummets, and grievances mount, have introduced and continually develop practices that create and sustain an engaging work environment. To engage employees, agencies have developed robust systems to plan work, set expectations, monitor employee performance, determine what training and

development employees require, assess employee performance, and reward outstanding performance. For example, OPM’s knowledge management strategy is based on engaging people, process, and technology. Chapter 5 also describes a number of challenges federal agencies face in the process of implementing engagement programs, such as the multigenerational federal workforce and budget cuts, particularly those following the 2008 recession. Chapter 6: Retaining the Best Talent Employee retention is an employer’s e ort to keep desirable employees, which leads to a continuing employment relationship. Retention itself has not been di cult for the federal government; job security, bene ts, and a promotion system that favors seniority have all contributed to the graying workforce and the entrenchment of sta in middle management roles. Retention of top talent, however, has not necessarily been well executed by the federal system, which is still struggling to integrate merit- and competency-based standards across its talent management system. In the early 1980s, there was public outcry over the fact that 72 percent of federal workers had management titles—a rate nearly three times that of private industry (Light, 2000). The public attention given to this “bloat” contributed to hiring freezes in the 1990s that only reinforced the aging of the federal workforce. The unnatural stability that has characterized the federal workforce since then has consequences now, as the pendulum prepares to swing toward a massive wave of retirements at the same time that renewed calls are made to get more out of government with fewer resources. OPM has adopted best practices suggested by researchers, as well as practices used in industry, with the intent of modernizing its retention practices to attract and retain top performers. OPM’s new focus manifests itself in various e orts to implement meritbased reward and promotion policies and succession-planning initiatives. Although federal agencies have historically operated independently, OPM is now implementing workforce planning and development policies that include centralized guidelines and standards. This change is intended to help manage both the upcoming exodus of retirement-eligible federal workers and the opportunity to champion better alignment between federal workforce strategy and agency performance goals. Chapter 6 also covers a number of OPM’s best practices that di erent agencies have adopted in an attempt to improve federal employee retention, such as alignment of workforce planning and agency strategic goals. The chapter also discusses the implementation of merit-based professional development and reward programs that improve supervisory selection and training and alleviate interpersonal and compensation issues. Additionally, successful programs are presented, such as work-life balance programs designed to modernize the federal government’s HR management

policies. Chapter 7: Transferring Knowledge from More-Experienced to Less-Experienced Workers As the Baby Boomer generation transitions into retirement, organizations must plan for the retention of the experience possessed by this large and knowledgeable cohort of workers. Knowledge transfer primarily is a management process meant to safeguard organizational knowledge by transferring experience and lessons learned from moreexperienced to less-experienced employees. Despite challenges to and complexities inherent in establishing and maintaining this process in federal organizations, the federal government is moving to ensure that this transfer is completed through various mechanisms before older workers retire, thereby safeguarding this valuable knowledge. Chapter 7 presents a number of innovative programs intended to facilitate and enhance knowledge transfer, as well as examples of agencies using such programs. For example, mentoring programs are a popular and, in most cases, successful strategy used in federal agencies to ensure transfer. Additionally, implementation of “communities of practice” programs is particularly successful in the business world, but is still in its infancy in the federal government. A number of other programs not currently implemented by federal agencies could be adopted to ensure successful transfer.

CHAPTER 2 Recruiting and Selecting the Best People Maria Spencer and Thomas Argondizza

C

ivil service careers have long been perceived as the gold standard of job security and employment bene ts. Regardless of the nature of the work, the federal government has been able to attract a workforce valued for its stability, tenure, and loyalty. Like a well-oiled machine, the government has hired sta at entry-level positions, trained them en masse, and consistently promoted them within a preestablished grade system that emphasizes time served over merit. These nearly-automatic, tenure-based promotions have produced a glut of middle management that has come to be known as “The Bulge.” Public scrutiny of the federal workforce system has prompted mild and sporadic policy reforms during the last three decades, though Gardner et al. (2001) noted that these “reforms” did not necessarily x the tenure-based promotion system but merely recharacterized tens of thousands of managers as “management specialists” or “team leads.” More aggressive e orts to reduce overall bloat included curtailed recruitment e orts in the form of hiring freezes, particularly under the rst George W. Bush administration. Most recently, the Federal Workforce Reduction and Reform Act of 2011 was introduced in the Senate but died in committee; the bill would have extended the freeze through 2014 and limited the size of the federal workforce in 2022 to its then-current size in September 2011.1 However, these changes only contributed to a gradual graying of the federal workforce: More than one-quarter of all federal sta are at or above retirement age (65 years), and more than one-third of the entire workforce is between the ages of 50 and 59, according to the U.S. Merit Systems Protection Board (MSPB; 2004). In recent years, realization of the magnitude of the upcoming wave of retirements has prompted renewed attention to recruitment and hiring practices throughout the federal workforce. In 2001, the Government Accountability O ce (GAO) cited human resource (HR) management as a governmentwide high-risk area, which has directed strategic priority toward developing leadership; planning for hiring, development, and retention; and cultivating a results-oriented culture (GAO, 2001:8). The U.S. O ce of Personnel Management (OPM), the central HR management and policy o ce for the federal government, has increasingly moved to implement talent management best practices throughout the federal government to promote workforce planning based on agency strategy and to help reinvent federal government’s employment brand to attract people

who value both performance and career development. From recruitment through selection and hiring, OPM has decided to infuse merit-based principles into every stage of employment with the civil service. EFFORTS TO DEVELOP BEST PRACTICES IN FEDERAL RECRUITING AND HIRING MSPB addressed the topic of improving federal recruiting and hiring in a 2008 report to Congress that compiled core ndings and recommendations to inform potential reform e orts. The study reported that the federal recruiting and onboarding process was lengthy, under-resourced, and overly complex, all of which detracted from the federal government’s ability to compete for the best applicants (presumed to have comparable opportunities with nongovernmental organizations, or NGOs). As part of the same study, MSPB surveyed 1,863 randomly selected entry-level federal employees hired in 2005 and asked them to identify the top three obstacles they faced in their e orts to pursue federal job opportunities. The survey sample identi ed the following burdens experienced throughout the onboarding process: 1. Length of the application process 2. Complexity of the process 3. Difficulty identifying available job opportunities. (MSPB, 2008) The report specified four key areas for improvement (Table 2.1). Area for Improvement Better Recruitment

Reason for Improvement Complex and lengthy hiring process detracts from the federal government’s ability to attract quality candidates.

Better Assessment

The government is using assessment tools that are not good predictors of performance.

Better Process

Increasing mission demands and lower resource levels make

Management

it difficult to manage the hiring process. Fragmented reform has given some agencies more resources than others.

Better Merit-Based

Alternative assessment practices impede fair and open

Decisions

competition. This can result in poor hiring decisions and can lower the quality of the hiring process.

TABLE 2.1. Areas for Hiring Improvement MSPB, 2008.

The report had very speci c reform recommendations for departments and agencies (Table 2.2). As the federal government’s manager of personnel, OPM received its own recommendations (Table 2.3). MSPB also made recommendations to federal agencies concerning needed improvements to entry-level hiring (Table 2.4). Recommendation

Reasoning

Manage hiring as a critical

Hiring needs, methods, and outcomes should be

business process.

reflected in business planning.

Evaluate internal hiring

Adding a continuous quality check will identify

processes, procedures, and

weaknesses and help create improvements. Many

policies.

barriers may be self-imposed.

Employ rigorous assessment

Assessing relevant skills can help predict future

strategies that emphasize

performance, thus reducing turnover and bad hiring

quality.

decisions.

Improve efforts to manage the

A simpler hiring process will lead to greater pool of

applicant pool while making

applicants, which gives staff a better chance to choose

the process easier for

the best people.

applicants. Properly prepare HR staff and

A trained HR staff can conduct hiring practices more

selecting officials for their

efficiently, with greater knowledge of the process,

hiring responsibilities.

and can help applicants with the process if necessary.

Implement hiring-support tools It is a tool’s ability to predict future performance that after careful planning.

matters, not new technology.

Evaluate the success of the

Evaluating the hiring process as part of regular

hiring process.

practice will ensure it meets the organization’s needs.

TABLE 2.2. Recommendations to Agencies to Reform and Improve Hiring

MSPB, 2008.

Recommendation

Reasoning

Develop a governmentwide

OPM can reach out to other agencies and

framework for federal hiring

collaborate on hiring reform efforts.

reform. Streamline and consolidate

Transparency and understanding can be achieved

appointing authorities.

with fewer authorities that have more flexibility.

Assist agencies to develop and

Can provide better hiring tools or access to those

implement valid and practical

tools for agencies to improve their hiring process.

assessment tools. Develop competency-based

Competency is measurable using the proper tools.

qualification standards.

Job performance predictions help determine which applicants are a good fit for a particular position.

Use more-predictive applicant

Agencies tend to use tools that aren’t good

assessment tools.

predictors of future job performance.

Promote fair and open

Agencies have mostly relied on networking to fill

competition through a balanced

their ranks. They should implement new

set of recruitment strategies.

recruitment sources to reach all segments of the United States.

Market what is important.

Most applicants seek good benefits, job security, and the ability to make a difference in the workplace. Agencies should use the government’s strength in these areas to market their job openings.

TABLE 2.4. Recommendations to Agencies for Improving Entry-Level Hiring MSPB, 2008.

FEDERAL RECRUITING POLICY Federal hiring freezes helped pave the way for private contractors and NGOs to take up some of the resulting workload in the form of contracts and grant-funded public programs (Light, 2000). Although greater e ciency can result from aligning with smaller organizations to deliver the multitude of services required of the federal government, OPM has had to adopt competitive talent management and compensation practices to compete with those contractors and NGOs for talented people and overcome persistent stereotypes that federal workforce policies are bureaucratic and tenure-based. The dependency on contractors has created a workforce planning and development challenge for the federal government. Contractors now make up a signi cant portion of the government’s capacity, but the contracted workforce is not subject to federal government workforce policies, making development of that talent pool more difficult. Additionally, this disconnect between contract workers and the federal government’s workforce planning and development e orts complicates OPM’s e orts to move younger workers up through the government to replace federal workers as they retire. This dependency on contractors may also lead to failures and gaps in knowledge transfer e orts, because the federal government lacks control over and access to a great deal of workforce training, reporting, and transition. The federal government has additional recruiting challenges because its ranks are divided among career civil servant positions, political appointments, and contractors. OPM must work constantly to strike a balance between the rst two, because career civil servants provide the long-term service stability the government needs, but political appointees are viewed as most loyal to the agenda of the current administration. However, it is di cult to attract the most talented and highly-quali ed civil servants if the federal government’s senior leadership positions are all reserved for political appointees. Recognizing these vulnerabilities in the federal government’s recruitment and development systems, OPM appointed a centralized chief human capital o cer (CHCO) to lead “human capital strategy” across all federal agencies. The central coordination at the senior strategic level was designed to help OPM monitor the alignment of workforce planning activities across agencies and to give OPM access to agency workforce planning data so that it can continually aid agencies in their planning (Rubin, 2012). Notably, the statutory language outlining the CHCO’s quali cations is not as speci c as the language that outlines the roles of the chief nancial o cer and chief information o cer, which occupy a similar seniority level in federal service. Where those position descriptions are very speci c, the CHCO description lacks speci c detail about characteristics and competencies and the CHCO’s role is articulated loosely as requiring “both technical and knowledge and leadership qualities” (MSPB, 2004).

However, this role must be lled by a person who is also competent in budget management and possesses public policy expertise, because this role contributes to organizationwide strategy rather than day-to-day operations (MSPB, 2004). According to GAO, progress has been made in the areas of leadership, human capital planning, results-oriented culture, and talent management, but workforce planning remains a “risky area” due to the graying federal workforce and aforementioned training and development gaps. In response to the need to replace retiring workers and to be better able to compete with private industry for the best talent, OPM has implemented programs to recruit quali ed individuals from special populations within the workforce and has developed several prestigious professional development programs designed to attract and retain top civil servants. These programs provide top performers with a path to coveted leadership positions within the federal service and incorporate many recognitions designed to appeal to the most promising potential leaders, who also may be courted by contractors or other private organizations with clear career paths to executive positions. RECRUITING PROGRAMS OPM has developed multiple recruiting and professional development programs to attract and retain top talent. Some of these have focused on recruiting particular populations such as veterans and individuals with disabilities, while concurrent e orts have resulted in leadership development programs designed to attract and invest in talented individuals after they have joined the federal employment ranks. As will be detailed in later chapters, to compete for the most talented workers an employer must be able to o er a “value proposition” to potential employees. In other words, to attract talented workers, the federal government has had to develop recruiting practices that attract new employees based on the potential for career advancement and the value of merit over tenure. Wounded Warrior Project The U.S. House of Representatives began its Wounded Warrior Project in 2008 to focus on providing congressional job opportunities to wounded veterans from the Iraq and Afghanistan campaigns. The initial two-year fellowships are o ered to veterans to provide them with experience with and exposure to the civilian workforce in an e ort to capitalize on military training and experience and match personnel with civil service opportunities that make the most of their abilities. After completing the two-year Wounded Warrior fellowship program, participants are given the option of transition into full-time employment. The program is designed to recruit speci cally recently wounded veterans; applicants

must have served since September 11, 2001, have a 30 percent or greater disability rating, and have served for fewer than 20 years (U.S. House of Representatives Chief Administrative O ce, 2013). Many of the positions involve veterans a airs work with members of Congress. Military Service Member Recruiting One program aimed at capitalizing on the training investment made in military personnel is FedsHireVets.gov, a website dedicated to federal veteran employment opportunities (FedsHireVets, 2012). It provides information for veterans seeking work and for federal employers seeking to hire veterans. Educational materials are a unique feature of this website; the homepage provides information such as an events calendar of skill-building opportunities rather than just a page with a search eld. A mock interview event, which involves a 30-minute videotaped interview with a professional playing the interviewer, is one example. The features on this site are designed to help applicants build skills taken for granted in civilian life but not in military life. Workforce Recruitment Program The Workforce Recruitment Program (WRP) is a recruitment and referral program that connects federal and private-sector employers across the nation to recent college graduates with disabilities. Managed jointly by the U.S. Department of Labor and the U.S. Department of Defense, this program has successfully obtained the participation of many other federal agencies and sub-agencies. In response to increasing federal employment of individuals with disabilities, OPM highlighted the WRP as a model strategy for recruitment and hiring. WRP recruiters from federal agencies are trained to conduct personal interviews with potential candidates at various university campuses. The information from these candidate interviews is compiled in a searchable database and serves as a pipeline into federal employment. It is the largest database of Schedule A candidates (“excepted service” appointment for persons with disabilities) available to federal HR specialists, equal employment opportunity specialists, and other hiring officials.2 Leadership Development Programs In an e ort to improve the federal government’s ability to compete for the best talent, OPM has developed programs that recognize merit over tenure in leadership training and promotion opportunities. These programs competitively award leadership development opportunities to successful civil service candidates according to criteria codeveloped by each agency and OPM (MSPB, 2004). Program quali cations were

designed speci cally to overcome the historical bias toward loyalty and tenure over performance and merit (OPM, 2001) and to provide a balance of power between agency and OPM (Clardy, 2008). Merit criteria and candidate recommendations are produced at the agency level, while OPM, which contributes a degree of merit-based objectivity as well as ensuring that hires t the needs of the government as a whole, holds nal hiring authority (OPM, 2010). One of the most notable programs is the Senior Executive Service (SES), which was designed to provide merit-based training and development opportunities to highpotential civil service employees from multiple agencies across the federal government. It accepts candidates by nomination according to demonstrated accomplishments in ve qualification areas: • Ability to lead change • Ability to lead people • Results-driven performance • Business acumen • Ability to build coalitions. (OPM, 2010) Following approval by an OPM-administered quali cations review board, candidates who complete the prescribed development program are eligible for noncompetitive appointments to any open SES opportunity. The development program, which includes a combination of formal and informational training, an individual training plan, and a pairing with an SES mentor, is administered over 18 to 24 months (OPM, 2010). The federal government also supports a presidential management fellows program that competitively selects recent college graduates from a variety of academic disciplines to (1) serve either one federal agency or two agencies with a rotation option and (2) participate in a professional development program during a two-year appointment. Applicants from any discipline may apply, the process is competitive at every stage, and every candidate who successfully completes the program is o ered a permanent position (OPM, 2010). The merit-based qualifications for these two programs are outlined in Table 2.5. Merit-Based Professional

Candidate Qualifications

Development Programs Senior Executive Service

Ability to lead change

Ability to lead people Results-driven performance Business acumen Ability to build coalitions. Presidential Management Fellows

Recent college graduate from a variety of disciplines Competitive selection from a pool of candidates Willingness to commit to two years with either one or two federal agencies.

TABLE 2.5. Merit-Based Professional Development Programs

These programs have been implemented to address shortcomings in the federal government’s leadership development policies and practices, which were designed around tenure and technical skill rather than leadership capability and performance. It will take time to e ectively replace these legacy values through leadership development programs. The federal government still hires entry-level workers en masse, training entire cohorts at a time in the interest of scale and e ciency in its training e orts (MSPB, 2004). As many as 70 percent of SES opportunities require at least ve years of federal service from eligible candidates, meaning that incoming employees are not necessarily recognized for talent or cultivated according to their potential until they have satis ed tenure-based quali cations. However, under some circumstances (typically, cases of plant closure or “mission critical” roles), agencies are able to make quick hiring decisions and o er recruitment, relocation, and retention pay incentives (OPM, 2010). RECRUITING RESOURCES MSPB has likewise been working to develop and expand quali ed recruiting resources to aid in merit-based hires. The aforementioned 2008 report to Congress revealed the ndings from a new-hire survey regarding how new-hires learned of their opportunity. When asked how they rst learned about their federal job, about 31 percent of respondents revealed that a friend or relative had recruited them. This gure is representative of the role that networking has played in federal recruiting. More formal recruiting methods, like USAJOBS, the o cial online source of information related to federal career opportunities, came in second with 20 percent of responses (MSPB, 2008). This understanding of the social nature of federal recruiting has been very important to

OPM’s efforts to develop best practices that result in the best possible hires. Social Media Networks and Federal Hiring The federal government now uses social media to expand its recruiting reach in hopes of deepening its pool of applicants for job opportunities. Social media provide a variety of ways for users to be involved with di erent organizations (Waters et al., 2009), which helps bridge connection gaps if job seekers have no friends or family in government positions. This innovative approach brings to recruiting the tools people use in their daily lives, such as Facebook and Twitter. Before social media, potential candidates had to log into a federal job posting website and actively search job postings. If, and only if, the candidate managed to locate a posting, he or she could then apply online. A social media presence helps to leverage the existing referral network while making it easier for those without close ties within the government to become aware of opportunities as they become available. Facebook is one of the world’s most popular social networking tools, with more than 82 million users. What was once a tool for friends to keep in touch with one another has evolved into a platform on which organizations can communicate with stakeholders, customers, and potential talent. Facebook fan pages allow conversations with current and potential clients about services, products, and upcoming events. The federal government also uses fan pages to recruit potential employees. Two examples are FedsHireVets and USAJOBS. Fan pages o er recruiters the ability to reach candidates quickly and on a mass scale. Rather than depending solely on a website, which may require some initiative from a potential candidate to visit and search, fan pages promote active communication and allow the federal government to notify a large pool of potential candidates of opportunities quickly and easily. FedsHireVets’ fan page3 has more than 10,000 “likes,” representing people who are following the discussions and postings, and gives veterans a place to network and to share experiences with other veterans seeking federal employment. When potential applicants “like” a fan page, they receive updates to their “walls” or daily feeds, letting the information come to them rather than requiring a continual search for information. USAJOBS’ fan page,4 with over 35,000 “likes,” is dedicated to sharing information on finding employment with the federal government. Social media tools also help the federal government share media such as webinars and webcasts on topics such as nding and applying for federal jobs. Webcasts and related resources o er jobseekers opportunities to sharpen their search skills; fan pages help jobseekers learn about these opportunities. Federal recruiters also use Twitter. USAJOBS has a Twitter account with more than 8,500 followers. This account follows 15 di erent agencies, including programs focused

on recruiting such as Combined Federal Campaign, Hiring Reform, IRS Recruitment, and FedsHireVets. This gives the account’s followers the ability to get information on jobs from these agencies, similar to Facebook fan pages, when an agency sends a tweet about a position or job-seeking skill. Thus, Twitter gives followers of USAJOBS the ability to receive information from other agencies, not just from USAJOBS. The federal government has taken steps to alleviate the bulge in middle management mentioned in this chapter. Many workers who have held their positions for a lengthy time are set to retire, prompting new e orts in hiring thinking and practices. The many reports on improving hiring practices published in the past decade show the federal government is serious about evaluating its hiring practices. Facebook fan pages and Twitter accounts are new hiring-support tools that allow agencies to reach out to potential recruits, giving those without contacts in government employment much greater exposure to information about new positions, skills improvement, networking, and even local events. Networking and access to a broad array of information are very advantageous to those seeking employment with the federal government and help the government reach more individuals, thus increasing the chances of recruiting the best people. Social media also help manage applicants, since each fan page provides a link to its respective website. Such resources give applicants easy access to job postings, to information about federal agencies, to job quali cation information, and to a community of others interested in civil service, as well as to a platform for asking important questions, sharing their interests, and learning from other applicants’ experiences. 1

The bill is available at https://www.govtrack.us/congress/bills/112/s1476#summary/libraryofcongress.

2

The WRP is available at https://wrp.gov.

3

The FedsHireVets fan page is available at www.facebook.com/pages/Feds-Hire-Vets/262183904582.

4

The USAJOBS fan page is available at www.facebook.com/USAJOBS.

CHAPTER 3 Developing and Training the Best People Aileen G. Zaballero and Thomas Argondizza

T

he federal government is confronted by serious challenges: the imminent surge of senior federal employee retirements, budget cuts that diminish federal programs, and the declining morale of federal workers. According to the U.S. O ce of Personnel Management’s (OPM’s) 2012 Federal Employee Viewpoint Survey, the largest rating decreases from the previous year were in • Preparation of employees for potential security threats • Meaningful recognition of high employee performance • Satisfaction with pay. (OPM, 2012) In addition, retirements are expected to rise through 2016. According to the Government Accountability O ce (GAO; 2012), approximately 30 percent of the federal workforce will be eligible to retire by 2016. In some agencies, the proportion is even larger: The Department of Housing and Development will see 42 percent of its workforce become eligible for retirement in 2016 (Rein, 2013). Given this impending wave of retirement, the critical concern is the loss of competencies and skills that cannot be easily replaced. Therefore, it is urgent that federal agencies take steps now to ensure that the next generation of employees will be ready to lead as the retirement wave continues. FEDERAL REFORMS Modern e orts to reform federal workforce practices began more than half a century ago. The Government Employees Training Act (GETA), passed in 1958, authorized federal agencies to plan, develop, establish, implement, evaluate, and fund employee training programs. GETA established a exible framework for training and development by authorizing the use of nongovernmental training resources to meet training needs that could not be met with existing governmental programs and facilities. It allows agencies to fund employee training needed to achieve agency missions and performance goals by improving employee and organizational performance. However, persistent problems with GETA included the lack of e ective evaluation of agency training programs and the absence of agreement among agencies regarding how much to charge

for training. Furthermore, according to GAO (1977), the Civil Service Commission failed to assess measurable improvements in federal training management or determine why its products and services were not used more. In 1994, GETA was amended by the Federal Workforce Restructuring Act, which permits agencies to take advantage of the existing training marketplace, government or nongovernment. This allows agencies to choose the best and most cost-e ective training solutions and places new emphasis on retraining federal employees to move into new career areas where they will be most productive (Clinton, 1994). Since 1993, the federal government has actively taken steps to reform training programs. These steps began with the Government Performance and Results Act of 1993 (GPRA; OMB, 1993) and continues with the President’s Management Agenda (PMA) of 2002 and, most recently, the Open Government Directive (Orszag, 2009). Government Performance and Results Act of 1993 GPRA requires federal agencies to establish measurement standards and metrics for performance. Implemented during the Clinton administration, the law requires federal agencies to develop a ve-year strategic plan that describes annual performance targets, quanti able measures for progress, annual performance reports that explain success, and their overall goals and objectives. These strategic plans are submitted to Congress to help guide the budgetary decision-making process. In addition, this act requires an orientation on the development and use of strategic planning and program performance measurement for all managers (section 9 of GPRA). Finally, the annual reports are used to judge the performance reviews of individual federal employees and can be used directly for hiring, firing, and promoting employees. President’s Management Agenda of 2002 The President’s Management Agenda (PMA), implemented during the Bush administration, focused on prioritization to improve the management and performance of the federal government. The PMA contains five governmentwide goals: 1. Strategic management of human capital 2. Competitive sourcing 3. Improved financial performance 4. Expanded electronic government 5. Budget and performance integration. (OMB, 2002)

In addition, the PMA includes nine agency-specific goals: 1. Faith-based and community initiatives 2. Privatization of military housing 3. Better research and development investment criteria 4. Elimination of fraud and error in student aid programs and deficiencies in financial management 5. Housing and urban development management and performance 6. Broadened health insurance coverage through state initiatives 7. A “right-sized” overseas presence 8. Reform of food aid programs 9. Coordination of veterans affairs and defense programs and systems. (OMB, 2002) Since the PMA was launched in 2001, e-Government (information and communication technologies used to improve the activities of public sector) has implemented several initiatives such as e-Payroll, e-Recruitment, e-Clearance, and e-Training. The e-Training initiative consolidated numerous online federal training capabilities into a premier eTraining portal (www.GoLearn.gov, discussed later in this chapter) providing enhanced access to high-quality training and competency development for federal employees (EGovernment Strategy, 2003). Open Government Directive Many Americans believe the federal government hides information from them and maintains an overall culture of secrecy. From the exposure of President Nixon’s clandestine abuse of power to speculation about Area 51 and CIA mind control experiments, this persistent notion creates distrust among citizens regarding their government. The Open Government Directive is intended to bridge this gap between the federal government and the people it serves. This directive aims to eliminate the perception of a culture of secrecy in Washington, DC, by incorporating three key principles into government: transparency, participation, and collaboration: • Transparency: Promotes accountability by informing the public about what the government is doing. • Participation: Encourages the public to contribute ideas and expertise so that the

government can set policy based on widely dispersed information. • Collaboration: Improves the effectiveness of government by encouraging partnership and cooperation within all levels of the federal government and across private institutions. To encourage collaboration with the public and greater transparency, new tools and techniques that required training and professional development directly linked to the objectives of the Open Government Directive were introduced. FEDERAL AGENCIES IMPACTING TRAINING AND DEVELOPMENT Four key federal agencies that impact the administration of training programs are OPM, the O ce of Management and Budget (OMB), the General Services Administration (GSA), and GAO. Office of Personnel Management OPM’s mission is to ensure that the federal government has an e ective workforce. Originally known as the Civil Service Commission, it was later reorganized into three new organizations: OPM, the Merit Systems Protection Board, and the Federal Labor Relations Authority. OPM’s main purpose is to implement initiatives, programs, and materials to recruit and hire the best talent. In addition, OPM aspires to constantly promote an inclusive and diverse workforce. Finally, OPM aims to train and motivate employees to achieve their greatest potential. Office of Management and Budget OMB is the largest component of the Executive O ce. Because its core mission is to serve the president of the United States in implementing a vision across the executive branch, it reports directly to the president. OMB impacts federal human resource (HR) development and training through funding and nancial control structures. OMB reviews budgets and identi es the shortfalls or excesses that must be addressed when allocating funds for training. OMB also issues directives on sta ng, nances, travel, and outside contracting that a ect agency management decisions regarding HR development. General Services Administration GSA’s mission is “to deliver the best value in real estate, acquisition, and technology services to government and the American people.” GSA oversees the business of the

federal government, provides workplaces for federal employees, and oversees the preservation of historic federal properties. GSA directs and controls the management of items necessary to accomplish employee training and development, including travel, property and management practices, and technological resources (such as computers and related services). General Accounting Office GAO is an independent, nonpartisan agency that works for Congress. Often called the “congressional watchdog,” GAO investigates how the federal government spends taxpayer dollars. GAO’s mission is to “support the Congress in meeting its constitutional responsibilities and to help improve the performance and ensure the accountability of the federal government for the bene t of the American people.” GAO provides Congress with objective reviews of agency programs and recommendations for strategic interventions. These reviews lead to policy and procedural changes to make HR development more e ective. GAO also assists government agencies and determines what constitutes a lawful training expenditure. PRIMARY TRAINING STATUTES AND REGULATIONS Policies that govern training and development of federal employees are established by statutes and regulations, public laws, executive orders, and OMB budget and procurement guidance. These regulations are intended to increase the agency’s accountability for employee-sponsored training and demand for more accountability from each organization. Reporting requirements have been initiated for all training and development programs. In May 2006, OPM issued nal regulations that required agencies to report training data to support workforce training needs. The rules stated: To properly execute a Human Capital Strategic Plan, agencies must manage and collect training information in support of their mission objectives and strategic goals. In addition, all training must be properly evaluated to determine whether or not it provides meaningful contributions to agency results. (OPM, 2008a:1)

Each agency is responsible for regularly submitting its data to OPM, and OPM loads it into a federal workforce metadata repository or information warehouse called the Enterprise Human Resources Integration. The system currently collects, integrates, and publishes data for federal employees on a biweekly basis, supporting agency and governmentwide review. As part of the federal government’s ongoing review of agencies’ e orts to address their human capital challenges, a conceptual framework was developed by GAO (2004) as a set of principles to guide how agencies plan, design, implement, and evaluate

e ective training and development programs. The published guide focused on training and development as a systematic process of human performance improvement, improving organizational performance and enhancing employee skills and competencies by addressing performance gaps. It established mechanisms for collecting information about training and development programs, increasing e ciency, providing opportunities to enhance coordination, identifying emerging best practices, and developing more credible data. STRATEGIC HUMAN CAPITAL PLANNING Aligning human capital strategies with agency missions, goals, and objectives is critical to the management of human capital programs. According to OPM’s regulations, agencies are required to design a strategic human capital plan—a framework of policies, programs, and practices that will reinforce the agency’s progress toward building a performance-based organization and highly e ective workforce. As a guide for continuous improvement, each agency’s plan becomes the means of transforming the culture and operations of that agency. At a minimum, a strategic human capital plan should include the following (OPM, 2005d): • A clearly understood strategic direction • Customer and stakeholder human capital management outcomes and goals • Strategies or interim objectives for accomplishing the goals • An implementation plan • A communication or change management plan, if needed • An accountability system. Strategically Planning Training Before 1993, few federal agencies incorporated strategic planning as a management practice. However, the Federal Workforce Flexibility Act of 2004 amended 5 U.S.C. §4103, Establishment of Training Programs, to require all agencies to regularly evaluate and modify their training programs to ensure they meet and support speci c agency strategic objectives. Figure 3.1 illustrates the process recommended to strategically plan training.

FIGURE 3.1. Strategically Planning Training OPM, 2000a.

Analyze Established Goals The rst step is to analyze the agency’s strategic and performance goals and determine where training could enhance the achievement of those goals. A gap analysis will identify competency discrepancies that hamper achievement of the future desired state. Some key questions to ask are: • To reach each goal, what competencies must the current or future workforce members possess? • What benchmarks can be used to create innovative approaches to reaching this goal? • Are there competency gaps that must be addressed to meet this goal? • Could training help reduce other HR problems, such as high staff turnover? (OPM, 2000) Develop Training Strategies to Achieve Goals

The next step is to develop alternative strategies to close the identi ed gaps using both training and nontraining solutions. If the conclusion of the analysis is that training solutions are necessary, then a cost-bene t analysis will be required for justi cation of a training program. Key questions to ask are as follows: • Could training address the competency gaps? • Are non-training strategies needed to support the training intervention? • What types of training should be provided (e.g., classroom, distance learning, electronic performance support, on-the-job training)? • Do the anticipated benefits from training outweigh the projected costs? (OPM, 2000a) Integrate Training into Strategic Plans This step incorporates the training activities into the organization’s strategic plan to obtain the required support and resources. The strategic plan is the foundation for performance objectives and should include speci c metrics. Some questions to ask are as follows: • What is the goal of the proposed training? • Can you relate this training goal to an existing goal in your agency’s strategic plan? • How will you measure training goal accomplishments? • What tasks and resources are required to implement the training? (OPM, 2000a) Evaluate Training Goal Accomplishments The nal recommended step is to evaluate the training results and assess whether the training program had a positive e ect on the needs, problems, or opportunities it was intended to address. Measuring the outcomes or results and considering the cost-bene t ratio will help determine whether the training was worth its expense. Some questions to ask are as follows: • Did you achieve the training goal? • How much did it cost to achieve this goal? • Did accomplishing this training goal help support the agency’s achievement of the

related strategic goal? • Did the benefits outweigh the costs? • What modifications should we make to the strategic plan based on the evaluation findings? (OPM, 2000a) Best Practices in Strategic Human Capital Planning U.S. Patent and Trademark Office The U.S. Patent and Trademark O ce (USPTO) 2010–2015 strategic plan was intended to “strengthen the capacity of the USPTO to achieve its goals, improve the quality of patents and trademarks issues, and shorten the time it takes to get a patent” (USPTO, 2010:1). The plan established 11 performance outcome measures and targets designed to achieve USPTO’s strategic goals. According to GAO, the USPTO met its targets for all 11 performance measures in 2011 (USPTO, 2012), and the Association of Government Accountants awarded USPTO its Certi cate of Excellence in Accountability Reporting. USPTO recognizes that training is a critical component in achieving consistently high-quality products and services. In 2012, its patent examiners and trademark examining attorneys received extensive legal, technical, and automation training. Comprehensive training also is provided to new examiners and attorneys. USPTO training sta work with Patent and Trademark o ces and organizations to address speci c training concerns and help to design internal programs to t the speci c education needs of each business unit. Training is reviewed and evaluated on an ongoing basis to ensure it is up to date and that coursework reflects developments and changes taking place in the industry. Federal Emergency Management Agency The Federal Emergency Management Agency (FEMA) continues to face workforce planning and training challenges. However, GAO reported in 2012 (2012a) that FEMA is in the early stages of integrating its workforce planning and training e orts, which could help it ensure that its workforce has the proper size and skills to ful ll its mission. However, GAO noted FEMA’s workforce planning and training e orts could bene t from quanti able performance measures to gauge the agency’s progress toward building a comprehensive leadership development program and integrating it

with agency succession planning (discussed later in this chapter). FEMA’s strategic human capital plan for 2012–2016 now has speci c milestones and metrics for addressing key workforce planning. In 2013, Deputy Administrator Richard Serino introduced a vision of transforming the full FEMA workforce into a more professional and deployable organization. Under the theme Every Employee Is an Emergency Manager, the organization aims to harness the dedication and expertise of every employee. FEMA established a systematic process for determining whether current FEMA employee quali cations are in compliance with the National Incident Management System, which identi es concepts and principles to manage emergencies, from preparedness to recovery (FEMA, 2013). FEMA also established a rating system with two tiers, trainee and qualified. Trainees are personnel who are working through the required steps to fully qualify for their positions. Fully quali ed personnel have met the standards for quali cation as determined through a formal process based on their experience, training, and performance. TRAINING AND DEVELOPMENT PROCESS E ective training and development can attract and retain a more knowledgeable and skilled workforce. Continuous investment in training and development is essential for improving federal workforce performance and, thus, the services provided by the federal government. Encouraging employees, managers, and agencies to be accountable for continuous learning is important. Therefore, OPM provides guidance and tools to assist agencies in achieving strategic goals and creating a highly trained workforce. OPM (2011e) has provided a framework to support agencies in the development of training strategies. Figure 3.2 illustrates the phases of the framework: 1. Develop a training strategy: Training strategies require an evaluation to determine the training audience as well as a needs assessment to determine the gaps that training can resolve. This phase focuses on defining the delivery of training, developing a strategy document, designing training curricula and standards, and developing a training plan. 2. Plan the training: The training plan specifies course modules and objectives, as well as a schedule of training. 3. Schedule the training facilities: Scheduling involves setup logistics and facilities scheduling. 4. Prepare the training materials: Developing the course/module materials may

include a facilitator’s guide, participant guides, and evaluation tools. 5. Conduct the training: The implementation phase involves refining the training materials, delivering the training, and evaluating the training.

FIGURE 3.2. Training Phases OPM, 2011e.

STRATEGIC PARTNERSHIP It is imperative that training programs build strategic partners. HR professionals act as consultants with agency managers to develop, implement, and assess human capital policies and practices to achieve the agency’s shared vision. Financial management, HR management, strategic planning, and information technology sta should work collaboratively to ensure interoperability. For example, the Human Resources Line of Business is a governmentwide, cost-e ective, standardized, and interoperable HR solution that establishes oversight over development of common solutions and enables agencies to choose from a public or private shared service center for their HR functions. This allows agencies to use data from other federal, state, and local agencies, as well as nonpro t organizations and private rms, to establish benchmarks for training (OPM, 2011c).

A successful human capital initiative requires a collaborative e ort. A 2012 GAO review of 225 professional development activities led to the conclusion that no single federal agency has the ability to address all federal employee needs. Therefore, agencies must work together in a whole-of-government approach. GAO found that interagency training and other professional development activities build foundational knowledge, skills, and networks intended to improve collaboration across agencies (GAO, 2012). Some agencies use interagency rotations as a type of professional development activity that can help improve collaboration across agencies. For example, the U.S. Army’s Interagency Fellowship Program is a 10-to 12-month rotation that places army o cers in intermediate-level positions at other federal agencies and allows them to learn the culture of the host agency, hone collaborative skills such as communication and teamwork, and establish networks with their civilian counterparts (GAO, 2012b). Interagency Rotations In a 2012 report, GAO identi ed key policies and practices that promote interagency personnel rotation programs: creating shared goals, establishing incentives, and undertaking careful preparation. Although interagency rotation programs can bring positive results for all involved parties, there are potential costs to participants’ career progression due to time away from the home agency. Rotation programs, if not managed e ectively, can also temporarily diminish the home organization’s workforce capacities. However, in the face of diminishing resources, managers may become even more reluctant to let their high performers go on interagency rotations (GAO, 2012b). Agencies should undertake strategic workforce planning to identify the competencies, size, and deployment of the workforce they need to accomplish their current and future missions. Such planning should also address any current or future gaps. Training and development activities such as interagency rotations should be designed to ll these gaps so that the agency can more e ectively achieve its strategic goals. Therefore, interagency rotation programs should be designed to achieve the agency’s collaborationdependent goals and, ideally, cross-organizational goals. In linking a program to overarching or shared strategic goals, agencies should make the case that the bene ts of interagency rotations outweigh the costs to the organization as a whole. Figure 3.3 illustrates how both home and host agency can bene t from the knowledge, leadership and collaborative skills, and professional networks that participants develop during their rotations. Some factors that agencies should consider in rotation planning are organizational di erences in structures, planning processes, and funding sources. These differences may hinder collaboration. Best Practices in Interagency Collaboration

Veterans’ Employment and Training The U.S. Department of Labor (DOL) and the Veterans Administration (VA) coordinate their employment and training programs. In 2005, DOL and VA signed an interagency memorandum of agreement outlining how these agencies planned to coordinate their Vocational Rehabilitation and Disabled Veterans’ Outreach and Employment Representative programs, respectively, to serve disabled veterans. The agencies have created an interagency handbook that delineates roles and responsibilities and establishes a referral process between these programs. The interagency handbook provides standard language and guidance for agreements between local DOL and VA offices. DOL and VA have provided sta with training on the handbook and formed a joint working group to monitor coordination. The agencies have conducted a national training webinar based on the interagency handbook for both agencies’ sta , have made virtual training available since 2009, and have provided technical assistance to staff. (GAO, 2012c).

FIGURE 3-3. Effective Interagency Rotations Achieve Collaboration-Related Results for Individuals and Organizations

GAO, 2012.

TRAINING NEEDS ASSESSMENT To identify performance requirements and the knowledge, skills, and abilities needed by an agency’s workforce, it is important to conduct a needs assessment. An e ective assessment addresses the essential resources that the agency needs to achieve its organizational mission, improve productivity, and provide quality products and services. It directs resources to areas of greatest demand by identifying gaps between required and current performance. When a di erence is found, the assessment explores the reasons, as well as methods for closing or eliminating the gap. It also considers the consequences of ignoring gaps. Training needs assessments also identify bene ts to an agency from engaging in the assessment process itself. Information gathered during this step helps decisionmakers and stakeholders understand the concept of a needs assessment. Levels of Assessment Organizational assessment considers various external factors such as political trends, technological advancements, a globally shifting economy, and changing demographics. An assessment of this type examines the skills, knowledge, abilities, and occupational discrepancies or gaps that can be caused by a new direction taken by an agency. It also explores new ways to do work that can minimize these gaps or discrepancies. Individual assessment looks at how well an individual employee is doing at a particular job and determines whether that person’s capacity is appropriate for new or di erent work. This type of assessment provides information on which employees need training and the kind of training they need. Training Needs Assessment Process Agencies must conduct a needs assessment before establishing any training and development program, as required by the United States Code, Executive Order 11348, the Code of Federal Regulations, and the Treasury Financial Manual. To determine the most useful measurement tools and training evaluation strategies, an agency should work with key managers to understand their requirements: • What do they see as the most significant needs? • Where would they like to see the emphasis?

• What are their expectations in one year, three years, and beyond? A needs assessment helps an agency eliminate redundant training e orts, reduce unnecessary training expenditures, and identify performance requirements that can best be satis ed by training and other developmental strategies. To actually achieve the desired outcomes, the agency also needs to consider sustainability. The following section outlines OPM’s training needs assessment process (OPM, 2013g). 1. Determine agency benefits of needs assessment. Needs assessments are based on the alignment of competencies and skills with the agency mission and determine the performance requirements for agencies to succeed. This phase includes the following steps: a. Identify key stakeholders. b. Solicit support. c. Describe desired outcomes that will contribute to mission objectives. d. Clarify critical behaviors needed to achieve desired outcomes. e. Define required drivers essential to sustaining the critical behaviors. 2. Planning the needs assessment. Planning steps include the following: a. Set goals/objectives for the needs assessment. b. Evaluate organizational (agency) readiness and identify key roles. c. Evaluate prior/other needs assessments. d. Prepare project plan. e. Inventory the capacity of staff and technology to conduct a meaningful training skills assessment and analysis. f. Clarify success measures and program milestones. 3. Conduct needs assessment. Steps include the following: a. Obtain needs assessment data (e.g., strategic plans, HR metrics, job descriptions, survey results, performance appraisals). b. Analyze data. c. Define performance problems: occupational group/individuals.

d. Describe the critical behaviors needed to resolve problems. e. Determine and clarify why the critical behaviors do not currently exist. f. Research integrated performance solutions. g. If training is the best solution, determine the best training and development approach(es). h. Assess costs and benefits of training and development approach(es); build a business case. i. Include organizational drivers needed to reinforce the critical behaviors that will affect problems. j. Describe how critical behaviors will be monitored and assessed after implementation of the improvement plan. The results of the needs assessment allow the training manager to set training objectives and identify who needs training by answering two basic questions: • What needs to be done? • Why is it not being done now? It is important to consider that training is not always the best solution. Some performance gaps can be minimized through other management solutions: • Streamlining information-sharing process • Improving the work environment • Identifying the best fit for the work and the worker. These interventions also are needed if training is to result in sustained new behaviors needed to achieve new performance levels for an individual, an occupation, or an entire organization. MENTORING AND COACHING Mentoring and coaching are both “helping” or supporting activities, employed either as distinct interventions or together as part of a package of personal development, that enable individuals to achieve their full potential. Mentoring is a process that focuses speci cally on providing guidance, direction, and career advice. The primary emphasis

of coaching is on maximizing people’s potential by working on their perceptions, selfcon dence, and creative drive. Mentoring and coaching programs can be either standalone or part of a training and development program within an organization. Not all mentoring and coaching relationships are formed through formal programs. Informal programs can also be e ective in helping to facilitate these relationships. Two examples of informal mentoring are ash mentoring and speed mentoring. Both facilitate short-term mentoring relationships. Flash and speed mentoring involve shortterm meetings between a mentor and protégé to share knowledge and experiences. Flash mentoring is usually a one-time meeting between a mentor and protégé, in person or virtually. Modeled after speed dating, speed mentoring is a method in which one or more mentors provide information to individuals in a time-controlled environment. Informal coaching may occur in everyday workplace conversations. This form does not have an overall beginning or end, but is an ongoing process in which the coaching conversation is open-ended. Supervisors may adapt informal coaching as a management style when providing feedback to employees. Some reasons why agencies choose to establish mentoring programs follow (OPM, 2008:3): • Mentoring helps new recruits, trainees, and recent graduates settle into the organization. • Mentoring enables experienced, highly competent staff to pass their expertise on to others who need to acquire specified skills. • Mentors play a key role in defining professional behavior for new employees. This is most important when employees first enter the federal workforce. • Mentoring helps employees plan, develop, and manage their careers. It also helps them become more resilient in times of change, more self-reliant in their careers, and more responsible as self-directed learners. • Mentoring encourages the development of leadership competencies, which are often more easily gained through example, guided practice, or experience than by education and training. • Mentoring helps bridge the gap between theory and practice. Formal education and training is complemented by the knowledge and hands-on experience of a competent practitioner. • Mentoring can help communicate the values, vision, and mission of the organization; a one-on-one relationship can help employees understand the

organizational culture and make any necessary changes. • Mentoring helps model desired behaviors, encouraging the development of competencies in support of customer service and, above all, cultivating the right attitudes. • Mentoring provides an encouraging environment through ongoing interactions, coaching, teaching, and role modeling that facilitates progression within the organization. Mentoring helps establish an attractive organizational culture and is a tangible way to show employees that they are valued and the company’s future includes them. • Mentoring can enhance recruitment goals by offering additional incentives to prospective employees. • Mentoring can foster knowledge exchange between members of different organizations. Best Practices in Mentoring U.S. Department of State and USAID The U.S. Department of State (State) and U.S. Agency for International Development (USAID) run a joint formal mentoring program for their civil service employees. The program’s primary goal is to foster development and professional growth. The program also helps participants understand the cultures of State and USAID and supports succession planning. The program lasts nine months. Civil service employees in both State and USAID can participate as mentors or protégés. Foreign Service employees may participate as mentors. Mentors and protégés complete an application online. Once their applications are completed, mentors and protégés may indicate their preferred partners after viewing potential partners’ biographies and other relevant information online. The pairs are matched by a mentoring committee. Participants are required to attend a one-day mentorprotégé skills training session. During the nine months, mentors and protégés meet for two to four hours a month. The pairs complete a mentoring agreement outlining roles, expectations, and meeting logistics. Each protégé completes a mentoring action plan. The plan identi es three developmental needs of the protégé to be addressed during the program. Pairs have the option to attend mentoring forums and workshops during the program. These forums and workshops focus on skill and career development.

State and USAID also run a situational mentoring program. Situational mentors may help employees solve a particular problem, nd an expert to answer a question, teach new skills, or help an employee complete a project. Situational mentors can lend assistance for as little as a one-time meeting to discuss a problem or as long as it takes to complete a long-term project. Situational mentors may also provide guidance and support that can last throughout one’s career. EXECUTIVE DEVELOPMENT PLAN Development should not end once an individual becomes an executive. Lifelong learning ensures that the executive’s skills remain relevant in today’s fast-paced environment. Facing constant challenges and changing technologies, executives must pursue ongoing professional executive development to succeed and grow. It is crucial that executives continue to strengthen their executive core quali cations, broaden their perspectives, and sharpen their performance. Federal agencies are required by law (5, U.S.C §3396) to establish programs for the continuing development of senior executives (USDOT, 2012). Senior Executive Service (SES) members are required to prepare, implement, and regularly update an executive development plan (EDP). The EDP is a key tool in assisting an executive in his or her continued development. It should outline the senior executive’s short-term and long-term developmental activities. These activities should meet organizational needs for leadership, managerial improvement, and results. EDPs should be reviewed annually and revised as appropriate by an executive resources board or similar body designated by the agency to oversee executive development (USDOT, 2012). OPM has developed a sample EDP template that may be used by an individual or agency. The U.S. Department of Commerce has also developed an EDP template for its executives, and the U.S. Department of Labor has created an EDP template and a guide to writing EDPs that includes a sample EDP (Figure 3.4). All of these document and tools are available through OPM (2014b).

FIGURE 3.4. U.S. Department of Labor Example Executive Core Qualifications Template OPM, 2014b.

Barriers or perceived barriers to executive development might arise. OPM’s 2008 survey of senior executives (Carey, 2011) found that many executives felt their training and developmental needs were not being met by their agencies. More than one-third of the executives surveyed indicated that they had never taken advantage of the activities commonly used for developing executives (e.g., 360 degree assessments, details, mentoring, coaching, residential programs). Executive Onboarding HR professionals refer to two processes: onboarding and orientation. Although these terms are sometimes used interchangeably, they are notably di erent. Nevertheless, both are critical processes in the successful assimilation of new hires. The sooner a new employee experiences the bene ts of a comprehensive and well-implemented orientation or onboarding program, the sooner the employee will become a contributing member of an organization. Table 3.1 shows some important distinctions between orientation and onboarding. Executive onboarding is acquiring, accommodating, assimilating, and accelerating new leaders into the organizational culture. The best onboarding strategies provide a fast track to meaningful, productive work and strong employee relationships; they are tailored to the needs of the individual. Executive onboarding should be strategic, so that it not only prevents executives’ from going “o -track” but also expedites the executives’ contribution to strategic achievement. Successfully onboarding employees during their rst year of service increases their engagement, raises their retention by as much as 25 percent, improves their performance, and reduces the time to full productivity, according to research done by the Partnership for Public Service (PPS; 2008). Onboarding of key executives is even more critical than for other employees, owing to higher performance expectations and their greater impact on the overall performance of the organization. Some federal agencies, such as the Naval Sea Systems Command and National Science Foundation and Treasury’s O ce of the Comptroller of the Currency, have established comprehensive onboarding programs for their employees and executives. Onboarding Strategic with an impact on bottom-line results

Orientation Operational

Evolving and progressive

Traditional

An ongoing process

An event

Used for transferred and promoted

Is most often limited to new employees

employees, as well as new hires Delivers information that is unique and

Delivers information that is common to

customized to the individual employee

all new hires usually within a classroom

and is generally handed out on an as-

setting

needed basis Has a long-term focus and can last up to

Is a short-term program, typically lasting

a year or more

from one day to two weeks

TABLE 3.1. Onboarding vs. Orientation OPM, 2012c.

Best Practices in Executive Onboarding Department of Veterans Affairs According to an OPM study, the Department of Veterans A airs (VA) was recognized as an agency of best practices in executive development. The VA established a structured 18-month onboarding program to welcome and orient new executives to the department. All new SES members pair with an executive coach and receive leadership assessments. They also participate in ve courses designed to enhance their development: • OPM’s SES Briefing for New Executives • VA’s Senior Executive Strategic Leadership • VA’s Executive Forum • OPM’s Leadership for a Democratic Society • Executive Elective Development (based on individual and organizational need).

LEADERSHIP DEVELOPMENT Leadership development should begin well before an individual transitions into a supervisory or managerial position. To ensure these individuals are well prepared to ll these positions, agencies may provide training for employees interested in becoming supervisors or managers. Critical to the supervisory development process is the individual development plan crafted by the employee and his or her supervisor. Through this document, the employee should be able to clarify professional aspirations, and the supervisor can provide insights on career tracks essential to both the employee and the organization. Pre-Supervisory Leadership Development Program The head of each agency is responsible for establishing a succession management program that includes training to develop employees to become managers (5 U.S.C. §4121 and 5 CFR 412.201). As a result of e ective succession planning, an agency’s employee development program can ensure an adequate number of educated and quali ed individuals to ll supervisory and managerial positions for critical functions within the organization. Agencies should consider the competencies listed in the OPM Supervisory Guide (OPM, 2013a), as well as the executive core quali cations, in developing pre-supervisory developmental programs (OPM, 2008c). Many agencies have established pre-supervisory training programs. A catalogue of federal leadership development programs can be found on OPM’s website under “FedLDP.” This catalogue, which is searchable, contains information on leadership development programs throughout the federal government. Programs are listed in this catalogue by agency. The U.S. Department of Agriculture (USDA) and GSA are excellent examples of best practices in leadership development. Best Practices in Leadership Development U.S. Department of Agriculture Building on the OPM-established leadership competencies, USDA has created a leadership roadmap and toolkit speci cally for APHIS (Animal and Plant Health Inspection Service) employees. Figure 3.5 provides valuable information regarding leadership competency development; supervisory, managerial, and executive development; knowledge transfer; and mentoring and coaching.

FIGURE 3.5. APHIS Leadership Development Competency Framework USDA, 2013:1-4.

General Services Administration GSA has developed a leadership development toolkit for executives, a website featuring a menu of developmental opportunities tied directly to executive competencies. Through this portal, executives have access to GSA’s internal training courses and the ability to register for a variety of external leadership development programs from organizations such as OPM’s Federal Executive Institute and Harvard

Business School. Executives can also access coaching or consulting services through this portal, and these services are available based on need. In addition, following OPM’s requirement that all executives must complete and update an EDP, GSA has conducted research and compiled a benchmarking summary on how to implement executive development plans. SUCCESSION PLANNING As previously discussed, Baby Boomer eligibility for retirement is at a record high, which will result in a loss of a key federal workforce leadership. How will government keep the talent pool lled with innovative, creative, forward-thinking, and dynamic individuals given these circumstances? OPM has proposed succession planning as one possible solution. OPM’s succession management plan is a fundamental component of its overall human capital planning. It supports workforce planning by providing direction for managing leadership development resources and helps ensure the best use of those resources to achieve organizational goals and objectives. It also provides a mechanism for ensuring continuity of leadership by creating a systematic process to identify leadership needs and develop plans to meet those needs. Furthermore, a succession plan supports the identi cation of potential leaders—individuals exhibiting exceptional talent and performance. Employees are often made aware at the time of their hiring that they will undergo continuous training to meet the needs of their jobs, and succession management helps justify the cost of training devoted to leadership development (OPM, 2008). A succession plan begins with a thorough assessment of the structure of functions the organization needs to reach strategic goals (including agency mission). Based on strategic alignment and data from workforce analysis, competency modeling and gap analysis, and leadership potential assessment, OPM works with each agency to develop a workforce and succession planning process. OPM compiles and presents speci c strategies to address any leadership pipeline or workforce gaps identi ed in the analyses. Along with best practices from other organizations and agency succession planning goals, the plan will recommend strategies to lessen the impact of institutional knowledge loss as employees retire or leave and to maximize current talent utilization by closing leadership sta ng and competency gaps and de ciencies. Positions that ll the organizational design can then be determined. Strategic succession planning is not about talents the organization needs now, but about foreseeing the talent, knowledge, skills, and competencies needed for the future of an agency or organization.

Senior Executive Service Candidate Development Program According to government data, retirement among senior executives has been on the rise since 2009. By the end of the 2012 scal year, 33.9 percent of senior executives governmentwide were eligible to retire; 62.8 percent will be eligible by 2017 (PPS and McKinsey, 2013). To prepare for and manage this leadership exodus, agencies must focus on developing and implementing e ective succession strategies and providing high-quality leadership development opportunities for their workforces. SES candidate development programs can play a vital role in providing agencies the necessary bench strength to manage their leadership turnover. An SES candidate development program, as an OPM-approved training program designed to develop executive core quali cations, helps federal agencies to identify, develop, and prepare future senior leaders. The program provides SES candidates at the GS-14, GS-15, or equivalent levels with training and development opportunities to enhance their executive competencies. Furthermore, to broaden a governmentwide executive pipeline, the candidate development program aims to broaden the knowledge of each candidate with an understanding of the wide range of federal government programs and issues beyond their current agencies and professions. For the federal government to expand its senior executive talent pool, all agencies must take a strategic approach to developing the capabilities of potential leaders (PPS and McKinsey & Company, 2013). Agencies must obtain OPM approval before they conduct a program or make substantial changes to an existing one. Agencies must seek re-approval every ve years thereafter (OPM, 2011). An SES candidate development program must last a minimum of 12 months. SES candidate development programs can recruit from all groups of quali ed individuals within the civil service, or all groups of quali ed individuals whether in the civil service or not (OPM, 2011). Candidates from outside the federal government or employees serving on other than career or career-type appointments (e.g., term, temporary) may not be used to fill a permanent position (OPM, 2012). Graduates of an OPM-approved SES candidate development program who are selected through civil service–wide competition and are certi ed by OPM’s quali cations review board may receive a career SES appointment without further competition; however, board certification does not guarantee placement in the SES (OPM, 2007). NEW TECHNOLOGIES FOR DEVELOPMENT PROGRAMS

Rapid advances in technology have transformed the workplace in recent years. Technology has changed the way we learn, communicate, and collaborate. Advancements in technology have introduced new tools that allow learners to share knowledge and best practices, form networks, and create and modify content on the Internet instead of just reading websites. Some agencies have begun to implement these technologies into their learning and development programs, using these tools to cut training costs, reduce carbon footprints, and foster continual learning outside the classroom. Common examples of Web-based tools follow (OPM, 2013): • Web conferencing allows individuals to conduct live meetings, trainings, and presentations via the Internet. • Social networks/communities of practice connect groups of people to further develop friendships, find professional connections, share interests, and gather knowledge and information. Learning and development programs can utilize these networks to link course participants before and after a training event to share knowledge and ideas regarding the course. • Podcasts allow learners to access trainings at different times, depending on workload and availability. Instructors create course podcasts for learners to download and listen to on a computer, MP3 player, mobile phone, or laptop. • Blogs allow an author to share opinions and reflections and discuss topics in the form of online journals. Learning and development programs can incorporate blogs to provide supplemental course information and updates on course materials. • Microblogs facilitate the sharing of knowledge and resources with other individuals. Instructors can incorporate microblogs to create a community around a course or an activity. Instructors also can post tips, assignments, and other information pertaining to the course. • Integrated collaboration environments or collaborative workspaces are virtual environments where teams can work on projects and share information. Project teams can access a shared workspace where they upload files and share them with one another. • “Wikis” allow users to create and edit content on any number of interlinked Web pages via a Web browser. This method is used in learning and development programs to promote collaborative learning and information sharing. Instructors and participants use wikis to create reading lists. • Social bookmarks are a system allowing users to collect and store bookmarks online, tag them with key words, and share those bookmarks and tags with others. This type of tool allows course instructors to develop course reading lists.

• Media sharing uses an online environment to allow users to search for photos, videos, or other media for use in presentations, learning materials, coursework, and so on. Instructors can record workshops and upload them to an online social network. • Virtual worlds are a simulated environments in which users can interact with one another and create objects through an onscreen avatar. This type of environment allows course participants to attend live workshops and conferences in a virtual classroom or conference space. Participants are able to interact with each other as they would while attending a real workshop or conference. Course project teams can meet and collaborate in a virtual space. • Authoring tools or instructional tools are software packages that instructional designers use to create and deliver content to end users. Authoring tools are commonly used to create e-learning modules. • Mobile learning (or m-learning) focuses on learning across contexts and locations by the means of mobile devices (e.g., laptops, cell phones, personal digital assistants, MP3 players, smartphones, game devices, tablet PCs, and e-books). M-learning devices are used to access online courses and resources and can also foster collaboration among individuals, help conduct assessments and evaluations, provide access to performance support, and capture evidence of a learning activity. Best Practices in New Technologies Office of Personnel Management In 2011, OPM created the Training and Development Policy wiki for federal government training and development practitioners. The shared goal of wiki users is to learn, share relevant information, and collaborate across the government on all matters related to federal training and development. The OPM wiki is open to everyone to view and search for content. However, only federal government employees may register and post content tools, resources, and best practices directly onto the wiki. The wiki “improves e ciency and best practices for agencies by providing a forum to share ideas and training tools. This will help agencies address their learning and development needs to best support the mission and career success of federal employees” (OPM, 2013). COMPREHENSIVE LEARNING PORTALS

GoLearn is a comprehensive HR development system whose mission is “e ectively and e ciently implementing solutions that align workforce development with organizational goals, resulting in improved mission attainment.” GoLearn is a Webbased learning management system (LMS) or learning content management system allowing management of all forms of content and human capital performance tools. GoLearn also delivers training content and services including live “e-structors,” or subject matter experts, and live telephone mentoring. Another component is a collaborative tool capable of online meetings and virtual classrooms using real-time video and audio, collaborative whiteboards, communities of practice, chat capabilities, and breakout sessions. GoLearn also provides the following services: • Planning and strategy development services. GoLearn assists client agencies in developing detailed learning requirements, constructing implementation strategies, milestones, and related planning documents. GoLearn coordinates the development and communication of agencies’ e-learning business cases, estimates of costs, and impacts on the strategic management of human capital, as well as change management consulting services. • Acquisition support services. GoLearn provides the following services: developing statements of work and task orders, conducting task order award competitions, and coordinating activities between GoLearn vendors and client agencies, as well as making task order awards. GoLearn can manage the postaward work with a certified project management professional. • Project management professional services. GoLearn provides a project manager to manage and provide oversight for all LMS implementations and human capital– related IT system implementations. Since 2007, GoLearn project managers have implemented some of the largest e-Training systems in the federal government. Best Practices in Online Learning OPM Knowledge Portal Program Office The OPM Knowledge Portal Program O ce o ers an online, role-based IT security course that received two 2012 BrandonHall Group Excellence Awards (the training industry’s counterpart to the movie industry’s Academy Awards) for its innovative use of 3D animation, virtual worlds, realistic simulations, and on-the-job exercises to teach, practice, and reinforce instructional content. A summary of the unique features of the course and approach is available in a short video trailer at https://knowledgerepository.golearnportal.org/NIST/Trailer.html.

Department of Transportation The Department of Transportation (USDOT) currently hosts the Federal Aviation Administration’s (FAA’s) eLMS network. This is FAA’s training and learning management system, which allows users to register for and take online courses, in addition to viewing their course history (USDOT, 2012). The FAA Academy, based in Oklahoma City, Oklahoma, provides technical and managerial training and development for the FAA workforce (USDOT, 2014). The academy provides services for developing and conducting training courses; plans, maintains, and manages FAA’s LMS and FAA’s overall training; and provides training program management. Courses are carefully cataloged by course number, objectives, description, and key competencies. In addition, FAA de nes appropriate class size, length, location, prerequisites, and enrollment (USDOT, 2012). This vast amount of information helps FAA training to be used e ectively. Therefore, it’s unlikely that people will end up with the wrong training due to misinterpretation of the course description, objectives, or core competencies. These courses cover topics such as technical training and management/executive leadership training. The FAA eLMS network o ers courses and reference materials on three distinct platforms (USDOT, 2012): • The Knowledge Centers are a collection of interactive and multimedia materials related to management, leadership, Six Sigma, and IT certification. Currently, 12 different knowledge centers offer skill development and professional development support in those areas. Gaining certification in any of them would increase an employee’s chances of promotion not only within the FAA, but in other federal agencies as well. • Books 24/7 is a service allowing access to an online collection of thousands of books, book summaries, and research reports in more than 15 topical categories. This allows FAA personnel to use reference materials to close knowledge gaps with no need for training. The service offers tools for social, auditory, visual, and independent learning. FAA employees can participate in live online events, recommend titles to fellow FAA staff, and post their own reviews. • Online courses using animated demonstrations, live-action simulations, and scenario-based challenges can be found in FAA’s Courseware. Most courses can be completed within one hour. These courses focus on certification but are also ideal

for independent learners; they can be accessed from a laptop, desktop, or tablet.

United States Department of Agriculture The USDA’s Graduate School, Graduate School USA, o ers training for government employees through its Center for Government Training and Professional Development. Serving 200,000 participants annually through more than 300 courses (Graduate School USA, 2014), the school’s areas of expertise include • Government financial management and auditing • Human capital management and acquisition • Foreign languages • Economics • Leadership and management • Software. Employees can sharpen their skills with courses such as Proofreading Basics, Federal Human Resources Management, Elements of Statistics, and Federal Sta ng. There are also online courses such as the Project Management Professional Exam Preparation. Other agencies also take advantage of certi cate programs for elds ranging from accounting to landscaping design. Courses such as Instructor Training and Managing for Results give agencies the ability to increase their own training capacities. This allows agencies to conduct training internally, instead of hiring outside experts such as training consultants, and helps reduce costs. Selecting necessary courses through the Graduate School allows customized curricula to meet an agency’s speci c needs, whether Section 508 compliance, instructional design, or on-site training requirements. The Graduate School deploys cutting-edge training formats through a distance education program (Graduate School USA, 2013). The program contains two tracks for o ering courses and connecting with students, GS Classic and GS Connect. GS Classic uses a mix of printed materials, CD-ROMs, and online o erings. GS Classic is primarily targeted at agencies seeking to reduce both travel and classroom instruction. It offers content that allows students to learn at their own pace, when and

where they choose. Printed formats include workbooks and texts. Courses include Dynamic Meteorology, Business Law, and Assertive Supervision. CD-ROM–based courses consist of reading materials o ered in electronic format, eliminating the need to carry books. The online courses are also text-based but are delivered online. These courses do not include streaming audio and video. The GS Connect platform provides online learning that engages participants with simulations, application sharing, and video streaming. Live courses allow participants to interact with the instructor and fellow students. In addition, they can share les, participate in polling exercises, and access stored sessions. O erings are categorized into three levels: • GS Connect Live offers live instructor-led courses using broadband phone service. In addition to allowing student interaction, one key feature of this platform is learning by doing. Software training is conducted by instructors using walkthrough simulations. This provides students with timely feedback and enhances learning. • GS Connect Independent courses consist of multimedia presentations combined with student-instructor interaction through email and the ability to participate in discussion forums. Students are able to study on their own time; courses are divided into lessons using high-quality content delivery software such as Adobe Captivate. Course topics include auditing, HR management, and IT. • GS Connect Premium allows agencies to harness the Graduate School’s expertise in learning theories, instructional design, and educational technology to create customized courses meeting their specific learning needs. Agencies can receive one-on-one mentoring from instructional designers to assess training needs and design training programs accordingly. The ability to combine GS Connect Live and face-to-face classroom teaching is also available.

Individual Learning Accounts Individual learning accounts (ILAs) provide a exible and innovative approach to developing federal employees. An ILA is an account managed by employees as a vehicle for funding continuous learning. This allows employees to take control of their own learning and career development. By o ering ILAs, an agency can shift its focus from one-time learning events to continuous learning, from required training to strategic workforce development; it can incorporate resources for training while balancing work and learning time. In addition, employees can choose what they want to learn and how

they want to learn, and can gain the skills they need. The overall intent of this program is to encourage individuals to invest their own money in building up their skills and to manage their own careers (OPM, 2010). PERFORMANCE MANAGEMENT Performance management is an important area that has a signi cant impact on human capital management but is too extensive a subject for this book. Two critical points can be made about it here: Performance management is both strategic and cyclical. Performance management is tied to strategic planning and agency mission and goals; it is a systematic process by which an agency involves its employees—as individuals and as a group—in improving organizational e ectiveness. Public agencies have a huge challenge to de ne and measure their results and are required to comply with complex regulations governing their performance management programs. Performance management uses performance measurement information to • Help set performance goals • Allocate and prioritize resources • Instruct managers to adjust policies or programs to meet performance goals • Report on success in meeting performance goals. (National Performance Review, 1997) Because performance management is cyclical, it is critical to training. The singular function of training within performance management is to assist with change, in the sense of transforming the current state to the desired state. Training facilitates individual capability-building, which can in turn lead to an agency’s desired changes, thus improving productivity at the individual level and subsequently at the organizational level. It is important to understand that training cannot by itself improve performance. Training is integral to accomplishing individual and organizational goals by focusing not only on individual employees but also on teams, programs, processes, and the organization as a whole. Employee Performance Management Employee performance management includes • Planning work and setting expectations. Planning, in this case, means setting performance expectations and goals for groups and individuals to channel their

efforts toward achieving organizational objectives. Getting employees involved in the planning process helps them understand the goals of the organization: what needs to be done, why it needs to be done, and how well it should be done. • Continually monitoring performance. Ongoing monitoring provides the opportunity to check how well employees are meeting predetermined standards and to make changes to unrealistic or otherwise problematic standards. By monitoring continually, unacceptable performance can be identified and assistance provided at any time during the appraisal period to address such performance, rather than waiting until the end of a rating period. • Developing the capacity to perform. Developing, in this instance, means providing training, giving assignments that require new skills or increased responsibility, improving work processes, or other approaches. Providing employees with training and developmental opportunities encourages good performance, strengthens jobrelated skills and competencies, and helps employees keep up with changes such as the introduction of new technology. • Periodically rating performance in a summary fashion. Rating means evaluating employee or group performance against the elements and standards in an employee’s performance plan and assigning a summary rating of record. The rating is assigned according to procedures set forth in the organization’s appraisal program and is based on work performed during an entire appraisal period. • Rewarding good performance. Rewarding means recognizing employees, individually and as members of groups, for their performance and acknowledging their contributions to the agency’s mission. A basic principle of effective management is that all behavior is controlled by its consequences. Those consequences can and should be both formal and informal and both positive and negative. Appraisal Program Development Performance appraisal programs and systems can be based on a variety of designs, from behavioral to results-oriented. OPM can help agencies identify an optimal performance appraisal strategy to ensure accountability, fairness, and alignment with agency function and strategy. Performance appraisal programs should include the following: • Performance appraisal system requirements, procedures, forms, and cycles that comply with the law and OPM regulations • Performance-based job elements linked to the agency’s strategic plan and metrics in annual reports to Congress

• A valid, weighted derivation formula to create summary ratings of performance • Broad program or office goals for performance plans • A competency rating tool that facilitates standardization in rating generic core competencies. TRAINING EVALUATION Training evaluation is a continual and systematic process of assessing the value or potential value of a training course, activity, or event. Evaluation results are used to guide decision-making around various components of the training (e.g., instructional design, delivery, results) and its overall continuation, modi cation, or elimination. To assist agencies in evaluating their training programs, OPM published a training evaluation field guide (OPM, 2011d). Program evaluation means assessing how well a program is working. It examines achievement of program objectives either in the context of other aspects of program performance or in its individual context. Program evaluations are often conducted by experts external to the program, whether inside or outside the agency. GAO regularly conducts program evaluations and reports its findings to Congress. A program evaluation can be used to ask questions about every aspect of a training program or other initiative, from the resources used to create the program (inputs) to the results (outcomes). Although its principles can also apply to an overall program, training evaluation is used to assess the training and development activities within a program (e.g., training courses and events). Because programs may have other activities in addition to training (e.g., services, meetings), training evaluation data can be used in the overall program evaluation, helping to make decisions such as modi cations to courses or adopting a communication tool for remote team members. Why Evaluate? According to OPM, evaluations are conducted to • Examine the assumptions upon which an existing or proposed training course or program are based • Inquire up front about expected results • Create, then study, goals and objectives • Collect information about inputs and outcomes

• Compare the program to preset standards • Report findings in a manner that facilitates their use. (2011d:8) Agencies are required to evaluate their training programs annually to determine how well they contribute to mission accomplishment and meet organizational performance goals (5 CFR 410.202). Demands for demonstration of training program e ciency, program e ectiveness, and public accountability are increasing. Evaluation data are used to meet these demands in various ways: • To assess needs • To set priorities • To direct allocation of resources • To guide policy • To analyze course/program effectiveness or quality • To determine achievement of objectives • To identify strengths and weaknesses of a program/course • To determine the cost-effectiveness of a program/course • To assess causes of success or failure • To direct decision-making • To improve effectiveness • To identify and facilitate needed change • To continue, expand, or terminate a program or course • To maintain accountability. Kirkpatrick and Kirkpatrick’s Four Levels of Evaluation One tool useful to evaluation activities is the four evaluation levels developed by Kirkpatrick and Kirkpatrick (2006): reaction, learning, behavior, and results. Table 3.2 describes each level and its evaluative target.

Level 1. Reaction

Target How do those participating in the training react to it? What are their opinions on the training?

2. Learning

Did participants’ knowledge change attitudes and increase skills as a result of the training program?

3. Behavior

Did participation in the training program change behavior and affect work practices?

4. Results

What results occurred in the organization due to participants’ attending the training program?

TABLE 3.2. Kirkpatrick’s Four Levels of Evaluation

Kirkpatrick and Kirkpatrick, 2006; OPM, 2011e:6. An excellent example of the application of these evaluation levels is the Large Business and International (LB&I) Division of the Internal Revenue Service, which uses them in the training of newly hired eld agents. The following example summarizes the evaluation of training after a redesign to follow a blended learning model. LB&I’s operational goal is to balance customer service, employee engagement, and business results (OPM, 2011). These high-level goals should be found in some form in all training, speci cally in Level 4. This particular case follows LB&I’s new-hire training and the use of Levels 1–3 (Table 3.3). Level Level 1: Reaction

Implementation A standard reaction sheet was used to obtain data. A total of four level 1 evaluations were administered during the program.

Level 2: Behavior

A checklist of observed performance replaced a pencil-andpaper test. These checklists broke down the specifics of desired performance, which were classified into “present” or “absent” and checked by the rater.

Level 3: Behavior

Trainees attended a capstone event 26 weeks after initial

training and participated in live focus groups following a Level 3 checklist to help determine whether learning transferred to behavior. Level 4: Operational

LB&I operational goal to balance customer satisfaction,

goals

employee engagement, and business results was included in the course design and worked into the course objectives to ensure the program’s alignment with LB&I’s strategic focus.

TABLE 3.3. Evaluation Levels Used in LB&I Training Redesign OPM, 2011e.

Not only is the implementation of these evaluation levels itself a best practice, but feedback from it was used to improve training. As a result of feedback obtained from the Level 1 and 2 evaluations, specific changes were made: • An 11-week course was changed into a 22-week course because the former was found to be too ambitious and limited the ability to track progress on live casework. • A capstone event was rescheduled for week 26 for hires, rather than the original week 52. (OPM, 2011e) Best Practices in Training Evaluation U.S. Department of Commerce The Kirkpatrick approach to program evaluation is the gold standard at the U.S. Department of Commerce. In addition, the Department uses a six-point Likert scale in its surveys with three variations on “like” and three variations on “dislike.” This prevents the survey taker from taking a neutral position and not providing a substantive opinion of the value of the program. All Department of Commerce courses conduct a Level 1 evaluation (also known as a smile sheet), typically administered immediately after the training event to measure the participant’s initial reaction to and level of satisfaction with the training. Although some recent studies have con rmed that a Level 1 evaluation is more substantive than many give it credit for, the Department of Commerce continues the evaluation of its leadership development programs with surveys to the participants and their supervisors within three to six

months after program completion. This enables the Department to reach a Level 3 evaluation. Furthermore, the Department of Commerce was able to triangulate three di erent data collection methods. It employed both quantitative and qualitative data collection, so that one data type validated the other data type. It conducted random interviews, randomly selected focus groups, and surveys distributed to program participants, their supervisors, and their second-level supervisors. This triangulated data collection approach enabled the Department to determine the organizational impact of the program on the operational side of the agency.

Training and developing the proper people helps government agencies operate e ectively and meet constituents’ expectations. Certain agencies, such as OPM, OMB, GSA, and GAO, especially impact the administration of training programs. These agencies work within their own organizations as well as establishing requirements for other federal agencies, making them an important part of all federal training and development. Strategic planning and evaluation of training ensure development programs help meet the overall mission. Strategic partnerships also are being utilized to help meet federal training needs. Interagency rotations and collaboration helps to create synergy and can further extend available and limited resources. Formal and informal mentoring programs are used to help employees learn new skills, adapt to an agency’s culture, and form professional teams. The federal government encourages leadership development and succession planning as well as training for speci c skills, with the goal of developing models for best practices in training future leadership. To attract and retain the next generation of workers, it is critical to promote a working environment that encourages creativity and innovation. Federal agencies are using e-learning to reach employees in new ways. Mobile devices allowing access to online training programs help employees engage in learning where, when, and how they see t. Learning management systems are being used to store information, control access, and track online training used by employees. Traditional best practices in the eld of training and development are important to consider: the training needs assessments that identify performance requirements and the knowledge, skills, and abilities required to achieve the desired outcomes; the instructional design practices that ensure training is appropriately designed, developed, and implemented; and the evaluation process that determines how

e ective training e orts have been. Instructional design practices follow from needs assessment to implementation of Kirkpatrick’s four levels of evaluation. These practices have a long history of success, and their use helps ensure that adult learners acquire the necessary skills for practice in the workplace.

CHAPTER 4 Deploying and Placing the Best People Aileen G. Zaballero, Catherine Haynes, and Sarah Stager

D

eploying and placing the right person in the right job at the right time is more important now than ever before, given the challenges, outlined in previous chapters, that face the federal government over the coming decade. Because of the Budget Control Act (BCA) of 2011, automatic spending cuts “projected to total $1.2 trillion” began in 2013 and are scheduled to continue through 2021. Under the BCA and the American Taxpayer Relief Act of 2012, this mandatory reduction in federal budgetary resources has come to be known as sequestration. Agencies have been forced to furlough thousands of employees to absorb the budget cuts (Terkel, 2013). An example of the sequestration impact was cited by Defense Secretary Chuck Hagel. According to Hagel, if the sequester continues, air force ying hours will be curtailed, the army will reduce training for all units except for those deploying to Afghanistan, hiring freezes and layo s of temporary and term employees will continue, and civilian employees will be furloughed (Garamone, 2013). A warning to Congress from the four military branches stated that if the budget sequester is prolonged, the U.S. military will not be ready or prepared. Furthermore, according to the U.S. Bureau of Labor Statistics (BLS), the total civilian labor force was down by 720,000 in October 2013 from the previous month. More speci cally, federal government employment decreased by 92,000 from October 2012 to October 2013. Although it is important to note an increase in the number of federal workers classi ed as “unemployed on temporary layo ” during the partial government shutdown in October 2013, it cannot be ignored that federal government employment continues to trend downward (BLS, 2013). Moreover, the impending surge in retirement could lead to additional shortages of leadership and institutional knowledge. Nearly 30 percent of the federal workforce on board at the end of scal year 2011 will be eligible to retire by 2016 (Figure 4.1). At some agencies, including the Department of Housing and Urban Development and the Small Business Administration, the percentage of employees eligible to retire soon is even higher. Other occupations, such as air tra c controllers, also face a potentially large proportion of losses to retirement, with approximately 46 percent becoming eligible to retire by 2016, according to the Government Accountability O ce (GAO; 2012).

Budget cuts, long-term scal pressures, a decline in federal employment, and a looming surge in employee retirement all threaten the government’s capacity to operate e ectively. The O ce of Personnel Management (OPM) and individual agencies have examined ways to better position the government to close critical-skill gaps that weaken agencies’ ability to meet their vital missions. As the federal government continues to plan for its strategic mission, OPM and federal agencies need to take a strategic and efficient approach to acquiring, developing, and retaining the best people.

FIGURE 4.1. Federal Agency Employees Eligible for Retirement in 2016

GAO, 2012.

However, as resources continue to diminish, it becomes more critical that the federal government deploy the right people and optimize placement of uniformed and civilian personnel. Strategic workforce planning is now vital to addressing current and potential gaps within the federal labor force. Strategies to attract, retain, and place the right person in the right job require a new approach and new attitudes toward civil service. In addition, a sound and fair merit system that mandates human resource (HR) practices for federal employment and job placement initiatives implemented by various agencies are vital to overcoming barriers to improved deployment and placement. Conducting a comprehensive job analysis provides critical information necessary for agencies to determine which employees are the best t for speci c jobs. Placement programs not only support transient federal employees and new potential employees but also expand the talent pool beyond each agency’s existing “pipeline.” DEPLOYMENT AND PLACEMENT Deployment According to the Federal Jobs Network, 89,204 federal employees are stationed overseas in more than 140 countries. The Department of Defense (DoD) is the largest overseas employer, with 47,229 workers stationed abroad, and the State Department (State) is second, with 22,291 employees (Federal Jobs Network, 2014c). In this chapter, deployment refers to overseas positions for both uniformed and civilian personnel. Civilian Deployment To support reconstruction and stabilization operations in countries and regions at risk of instability, the O ce of the Under Secretary of Defense for Personnel and Readiness asks civilian employees to volunteer for overseas assignments. State has primary responsibility for establishing and managing this workforce, which may involve manpower from other agencies, such as DoD and the Department of Energy (DOE). Some agencies o er bene ts, incentives, and medical care to encourage employees to volunteer (House Armed Services Committee, 2008). Several federal agencies aim to provide public services both nationally and internationally. One of the most well-known of these agencies is the Peace Corps. As the leading American international service organization, the Peace Corps sends volunteers oversees to confront some of the most urgent needs of people around the world. Other programs such as the Civilian Deployment Experience allow civilians to use their knowledge, skills, and competencies to help DoD accomplish its mission abroad. The

success of its overseas operations relies heavily on volunteers. There are di erences in certain bene ts based on several factors, speci cally salary. As mandated by law, bene ts such as danger pay, workers’ compensation, housing, and meals are consistently applied. But there are di erences in work schedules and hardship pay. For State employees, the work schedule is determined by each post; DoD o ers a work schedule that is determined by management; for the DOE, the schedule is ve eight-hour days. Table 4.1 o ers several examples of bene ts across departments to show the variation in the available incentives for placement overseas.

TABLE 4.1. Benefits Provided to Federal Civilian Employees in Iraq and Afghanistan OPM, 2013.

Civilian Expeditionary Workforce DoD established a civilian expeditionary workforce program in 2009 that ensures American civilians deployed overseas are trained and equipped to do so. The program’s mission is to enable the armed services to “e ciently organize, train, and equip quali ed civilian employees to meet global and domestic national security mission requirements” (DoD, 2013). Combat commands needing civilian expertise are connected with quali ed civilian volunteers, who work alongside U.S. military members, typically for 12 months. Transitioning Military Personnel The Department of Veterans A airs (VA) has developed special programs to serve the nation’s newest veterans, including men and women who served in Iraq and Afghanistan. These programs assist them in their transition from active duty to civilian life. Additionally, VA’s goal is to ensure that every seriously injured or ill combat veteran receives easy access to bene ts and services including rehabilitation, reintegration, education, and retraining into federal occupations. Veterans Preference Veterans are any former military personnel who have either retired or separated from any branch of the military. But by law, veterans who are disabled or who were on active duty during or in the Iraq and Afghanistan campaigns are entitled to preference over others in hiring from competitive lists of eligible individuals. They also receive preference retention during a reduction in force. In addition, these veterans can receive preference in competitive appointment, and they may be considered for special noncompetitive appointments for which only veterans are eligible. Military OneSource Military OneSource is a free service provided by DoD to service members and their families to help with a wide range of concerns, including spousal employment, education, parenting, and childcare needs. This service is accessible 24 hours a day by telephone and online. Military OneSource sta members are experienced military veterans, Guardsmen, military spouses, and reservists who receive continuous training on military matters and the military lifestyle to successfully navigate interaction with

their customers. The Military Spouse Preference Program A military spouse is likely to move several times, and nding a job with each move can be very challenging. Several programs help military spouses nd employment. Along with the Military Spouse Preference Program (MSP), each service branch has its own support programs to help service members and their families. The MSP itself was established under the Military Family Act of 1985 and o ers employment placement preference in DoD civilian positions to military spouses who meet certain criteria. The program applies to DoD vacancies only. Placement J o b placement refers to a process that considers the applicant’s type and quality of experience, as well as his or her unique strengths, capabilities, and interests, to determine the best position available. The main goal of placement is to match the right employee to the best- t position, whether the employee is new to federal employment or not. Agencies restructure and downsize as a response to several factors, including federal budget cuts, increased use of technology, and the exodus of baby boomers. For some agencies, nding the right person for the right job can mean a simple internal move; for others, it can be a challenge. OPM provides career transition assistance to employees through the Career Transition Assistance Plans for surplus and displaced employees. Additionally, federal government employees may request reassignment from one agency to another or geographically relocate, in which case these internal placement programs may also be of assistance. Whether the situation involves a career transition, employment reassignment, or a new hire, both potential and current employees are thoroughly assessed to ensure the best job placement. BARRIERS TO DEPLOYING AND PLACING THE BEST PEOPLE According to GAO, the federal hiring process often does not meet agencies’ needs in achieving their missions, getting the right candidates to managers for vacant positions, or processing applicants in a timely, transparent, or e cient manner. Studies conducted by the National Academy of Public Administration, the National Commission on the Public Service, and others have identi ed a range of problems and challenges with managing the workforce in the federal government:

• Insufficient or poor workforce planning (though agencies must hire purposefully based on their strategic plans) • Passive recruitment strategies (e.g., infrequent or no visits to college campuses) • Unclear job vacancy announcements (which can cause confusion and delays) • Imprecise candidate assessment tools (which can inadequately predict future job performance or result in hiring a person lacking skills needed for the job) • Paperwork-intensive manual processes (which create a backlog of qualified candidates who might seek opportunities elsewhere) • Ineffective use of existing hiring flexibilities (which are meant to streamline hiring and give managers more latitude in selecting candidates). (GAO, 2008:6–8) OPM has taken steps to address these human capital challenges. National legislation and strategic workforce planning also are intended to overcome these challenges. Spoils/Patronage System Until 1883, federal government employment practice was based on the patronage or “spoils” system. Employees were not placed in government positions based on their quali cations or competency but rather by loyalty, political a liation, or bribery. The system presumed that a newly elected o cial has the right to appoint any person to a federal position, regardless of skills set and or experience. Government jobs were often given to voters to reward them for their votes and as an incentive for others to keep working for the government. This practice led to extensive turnover with each election period, which resulted in widespread ine ciency and political corruption (Ackerman, 2004). Before the election of James Gar eld in 1881, more than 100,000 federal employees expected to be replaced when the new administration took over, engendering fear and entitlement. Gar eld believed that the spoils system was damaging and advocated some type of civil service reform. However, he was in o ce fewer than four months when he was assassinated by Charles J. Guiteau, who had played a small role in Gar eld’s campaign. Guiteau had expected a full patronage post in the Gar eld administration as a reward for this work; because he did not receive a post, he shot the president (Ackerman, 2004). Pendleton Civil Service Act of 1883 After the assassination of President Gar eld, a call for civil service reform grew,

resulting in the Pendleton Civil Service Act of 1883. This law applied to federal government jobs only and stipulated that government jobs should be awarded on the basis of merit and not on political a liations, favoritism, or nepotism. The act also made it unlawful to re or to demote any federal employees for political reasons. The law further forbade requiring employees to give political service or contributions (Hoogenboom, 1961). To enforce the merit system, this law also renewed the Civil Service Commission, a government agency that administered civil service exams to potential applicants to obtain or retain certain jobs. The main purpose of the commission was to regulate the “admission of persons into the civil service” (United States Government Manual, 1945). The Civil Service Reform Act of 1978 During the Carter administration, the Civil Service Reform Act (CSRA) of 1978 was enacted as the most comprehensive civil service reform since the Pendleton Civil Service Act. The CSRA focused on protecting the merit system, labor relations, equal employment opportunity, ethics, and internal personnel management. The main objective was “improve the federal personnel system in general and the performance of public employees in particular” (Cayer, 2004:29). The act redistributed the Civil Service Commission into three separate offices: 1. The Merit Systems Protection Board (MSPB) conducts studies of the federal civil service. The board also hears the appeals of terminated employees. 2. The Office of Personnel Management (OPM) provides management guidance to the executive branch and regulates federal human resources. 3. The Federal Labor Relations Authority (FLRA) oversees the rights of employees to form unions and engage in collective bargaining with agencies. (MSPB, 1992) Additional Civil Service Reforms Since the CSRA, almost every presidential administration has implemented a new reform intended to improve the federal personnel system (Lee et al., 2006): • Reagan Administration. The Performance Management and Recognition System and the Federal Employees Retirement System were created as reforms focused on eliminating waste and fraud and improving government performance. • Bush (George H. W.) Administration. Reforms focused on building a strong public service by focusing on leadership, talent, and performance. The principles of overall organizational improvement through total quality management were

adopted, and the Federal Employees Pay Comparability Act (FEPCA) of 1990 was enacted. FEPCA provided guidelines to achieve pay comparability between federal and nonfederal jobs. • Clinton Administration. Civil service reforms emphasized putting customers first by empowering employees to get results. The Government Performance and Results Act (GPRA) was enacted in 1993. GPRA requires agencies to engage in project management tasks such as setting goals, measuring results, and reporting their progress. To comply with GPRA, agencies produce strategic plans and performance plans and conduct gap analyses on projects. • Bush (George W.) Administration. The National Security Personnel System (NSPS)1 was established in 2004 as an attempt to create a more flexible personnel system that aligns more clearly with DoD’s goals. NSPS was a pay-for-performance system intended to replace the General Schedule, a classification system for federal employees that establishes equitable salaries among various occupations and between genders. However, the NSPS made job performance a prime factor in determining employee pay. Employees are appraised and assigned pay shares, based on performance, representing percentage increases in pay (Congressional Research Service, 2008). • Obama Administration. To eliminate the opaque, “closed” culture of the federal government, the Open Government Directive ordered executive departments and agencies to take specific actions to implement the principles of transparency, participation, and collaboration. The Obama administration also repealed the NSPS in 2009 and required DoD to create a new performance management system and to develop additional workforce initiatives to ensure flexible staffing practices. GPRA Modernization Act of 2010 The Government Performance and Results Modernization Act (GPRMA) of 2010 is the rst signi cant update of GPRA. This act requires each agency to assign a chief operating o cer, a performance improvement o cer, and a governmentwide performance improvement council and to develop a governmentwide performance website. The main objective is to pursue cost savings through improved analysis programs. The law also creates a more de ned performance framework by creating a governance structure and by better connecting plans, programs, and performance information. In addition, agencies must consult with their relevant appropriations, authorization, and oversight committees when developing or making adjustments to their strategic plans and agency priority goals. STRATEGIC WORKFORCE PLANNING

To optimize the government’s most important resource—its employees—federal managers are using workforce planning: a systematic process for identifying and addressing the gaps between the workforce of today and the human capital needs for tomorrow. Strategic workforce planning is a major component of strategic human capital management. According to the U.S. Department of Transportation (USDOT), workforce planning is “the process of ensuring that the right people are in the right place, and at the right time to accomplish the mission of the agency” (2008:1). According to GAO, strategic workforce planning addresses two critical needs: 1. Aligning an organization’s human capital program with its mission and programmatic goals 2. Developing long-term strategies for acquiring, developing, and retaining federal employees in order to achieve programmatic goals. Although each agency approaches workforce planning di erently, GAO identi ed key principles underlying strategic workforce planning (Figure 4.2). These principles include (1) involving key stakeholders, (2) determining critical gaps to achieve strategic goals, (3) developing strategies to address the gaps, (4) building competencies, and (5) monitoring and evaluating the goals of each agency.

FIGURE 4.2. Strategic Workforce Planning Process GAO, 2003b.

Involve Key Stakeholders It is critical to involve key stakeholders, especially top management and employees, in developing, communicating, and implementing a strategic workforce plan. Top leadership can help provide necessary resources and produce champions to actively support the plan and should guide alignment of the strategic plan with the agency’s mission and vision. Top leaders can ensure that planning strategies are thoroughly implemented and sustained over time as well as encourage all employees to get involved. Including managers, supervisors, and unions will ensure that the needs of and bene ts to all stakeholders are considered in developing the plan; employees can help develop innovative and collaborative processes to improve plan implementation. The nal critical component to involving key stakeholders is communication. Clear and transparent policies are critical in implementing any human capital strategy. A communication strategy is crucial in the public sector (GAO, 2003a). Just as in the private sector, e orts to address organizational challenges are more likely to succeed if employees and other stakeholders are involved. This requires a communication strategy that allows a sharing of ideas, expectations, and concerns. An additional factor to consider in the public sector is the community’s needs and concerns, which add a layer of complexity. Best Practices in Involving Key Stakeholders U.S. Pension Benefit Guaranty Corporation The Pension Bene t Guaranty Corporation (PBGC) protects the retirement incomes of workers in private-sector de ned-bene t pension plans (i.e., those providing a speci ed monthly payment). PBGC was created by the Employee Retirement Income Security Act of 1974 to encourage the continuation and maintenance of these plans in the private sector, ensure timely and uninterrupted payment of bene ts, and keep insurance premiums at a minimum. (GAO, 2003a). Beginning in 1999, PBGC focused on developing a succession management program to prepare future managers, leading to the creation in 2001 of the Leaders Growing Leaders succession program. Program volunteers were responsible for developing and evaluating workforce planning information; they analyzed planning issues and formulated corresponding recommendations to address employee challenges. Based on

these recommendations, the agency explored strategies such as partnering with colleges and universities, using rotational assignments, mentoring, and establishing one-on-one instructional programs to ensure its staff are properly trained. Since then, PBGC has expanded its training o erings to all of its employees, including those with mentoring and rotational assignments to di erent parts of the agency. According to PBGC, its strategic plans have addressed critical skills gaps in IT as well as project and contract management; it has used the workforce plan to make sure that the right skills were developed and the right number of people were employed to meet strategic goals (GAO, 2003a). PBGC continues to optimize its policies on communication. According to its strategic plan for 2011–2016, the organization’s goal is to improve awareness and understanding of its stakeholders—to “e ectively communicate the outcome of our work to Congress, agency management o cials, the press, and members of the public” (PBGC, 2011:4). Determine Critical Skills Gaps Identifying the skills and competencies needed by a future workforce varies depending on the goals of each agency. Some agencies de ne all the skills and competencies needed to achieve their long-term strategic goals, while others will focus on the skills most critical to achieving their imminent goals. Identifying and determining how to minimize skill and competency gaps is essential to achieving each agency’s mission and long-term goals and identifying the right people for the right jobs. For example, the Department of Homeland Security (DHS) in 2003 developed new programs for increasing security at international ports and mandated the recruiting, training, and placing of employees with diplomatic, language, and risk assessment skills. DHS developed a human capital plan that clearly described the security programs and the long-term demands for skilled employees (GAO, 2003). Best Practices in Determining Critical Skills Gaps National Human Genome Research Institute The National Human Genome Research Institute (NHGRI) is a division of the National Institutes of Health (NIH). NHGRI identi ed the critical capabilities needed to achieve its goals as part of the Human Genome Project, completed in 2003. As its research priorities changed, o cials conducted a series of workshops and solicited

advice from national and international experts to (1) review the U.S. program’s past scienti c successes, (2) de ne new strategic research goals and areas of emphasis, and (3) identify the scientific and research capability needed to achieve these goals. (GAO, 2003:13)

Participants in the planning workshops discussed critical skills and related topics, as well as how goals might change in the future. It was determined that the NHGRI should acquire and develop these skills within universities and NHGRI research programs. NHGRI also concluded that it will need additional managers with scienti c and medical skills to oversee research activities. NHGRI’s 2003 strategic plan called for an increase of scientists with computational and clinical medical skills as well as management skills (GAO, 2003). Develop Strategies to Address Skills Gaps Strategic human capital models stress the importance of tailoring strategies to address their unique needs. An agency can assess these needs by using OPM’s Human Capital Assessment and Accountability Framework (HCAAF). The HCAAF integrates human capital management into the merit system and outlines an ongoing process of human capital management in every federal agency. The HCAAF enables agencies to optimize every employee’s contribution to the agency’s mission. The framework involves ve key components (OPM, 2005): 1. Set strategic direction: Align the current and future human capital needs to the agency’s strategic and annual business plans. 2. Conduct a workforce analysis: Develop a comprehensive picture that identifies the gaps in the number of employees, the required skills/competencies, and the level of proficiency the workforce currently possesses against future competency requirements. 3. Develop an action plan: Identify and implement gap reduction strategies. 4. Implement action plan: Make decisions about how best to structure the organization and deploy the workforce. 5. Monitor, evaluate, and revise: Identify and overcome internal and external barriers to accomplishing strategic workforce goals. Best Practices in Developing Strategies to Address Skills Gaps

Department of Labor The Department of Labor (DOL) aims to foster, promote, and develop the welfare of the U.S. workforce; improve U.S. work conditions; ensure work-related bene ts and rights; and enforce employee-related federal laws. DOL, like most agencies, is challenged with acquiring the necessary skills and competencies to meet organizational goals. With the goal to transform into a business-like organization, the DOL became one of the rst federal agencies to target candidates holding MBAs and to implement an MBA fellows program, in 2003. Each year, the program hires 15 graduates of accredited MBA programs, who are appointed to two-year positions at DOL headquarters in Washington, DC. The program is designed to attract outstanding individuals with business skills who can implement a business approach to managing DOL. Participants receive extensive training, challenging rotational assignments, and shadowing experiences during their tenure in the program. Other agencies, including the Securities and Exchange Commission, U.S. Postal Service, O ce of the Comptroller of the Currency, and NASA, have also implemented similar programs (Vogt, 2014). Build Capabilities to Support Workforce Strategies Building the capability to meet administrative, educational, and other requirements is vital to supporting workforce strategies. Managers and supervisors can be more e ective if they are properly trained to identify what strategies to use and how to ensure consistency, equity, and transparency. It is important that agencies adopt administrative processes that build transparency and accountability. Clear and transparent guidelines that provide well-de ned and documented decision-making criteria are essential to minimize concerns about unfair or arbitrary treatment of employees. Agencies are encouraged to use a results-oriented performance management system. Results-Oriented Performance Culture System Agencies are working to create a culture where employees want to be—and can be—as effective as possible in serving the public. A results-oriented performance culture system, as de ned by OPM, is a system that “promotes a diverse, high-performing workforce by implementing and maintaining e ective performance management systems and awards programs.” OPM identi ed six critical success factors for creating such a system (OPM, 2005): 1. Communication. Each agency should have a process for sharing information with

all employees that allows employee feedback to involve employees in planning and executing the mission. 2. Performance appraisal. Each agency should have a process under which performance is reviewed and evaluated. 3. Awards. Each agency should recognize and reward individual or team accomplishment that contributes to meeting organizational goals or improves the efficiency, effectiveness, and economy of the government. 4. Pay for performance. Each agency should use pay-for-performance systems that link salary levels to an individual’s overall performance and contribution to the agency’s mission. 5. Diversity management. Each agency should maintain an environment characterized by inclusiveness of individual difference and responsiveness to the needs of diverse groups of employees. 6. Labor/management relations. Each agency should promote cooperation among employees, unions, and managers that enhances effectiveness and efficiency and improves working conditions. Goals-Engagement-Accountability-Results Goals-Engagement-Accountability-Results (GEAR) strategies are a set of interrelated processes intended to improve employee and organizational performance, based on the three-fold assumption that every successful organization must have clear, aligned goals, engaged employees and supervisors, and accountability for every employee at every level for the best results. OPM is piloting the GEAR model at ve federal agencies. The program is discussed further in Chapter 5. Monitor and Evaluate the Goals of Each Agency High-performing agencies recognize the fundamental importance of measuring both the outcomes of human capital strategies and how these outcomes have helped the organizations accomplish their missions and organizational goals. As previously discussed, the GPRAMA of 2010 creates a new governmentwide planning and reporting framework that improves agency planning and reporting requirements. Furthermore, agencies must update their agency strategic plans to synchronize and align with the president’s scal-year budgets and incorporate cross-cutting federal priority goals along with agency-level priority goals.

Best Practices in Monitoring and Evaluating Agency Goals The Federal Aviation Administration Personnel and equipment in the aviation industry are exposed to many hazards. In 2007, the Federal Aviation Administration (FAA) initiated agencywide implementation, including ongoing pilot trials, of a safety management approach using data-driven assessment. The Aviation Safety Information Analysis and Sharing system “collects and analyzes data from multiple databases to proactively identify and address risks that may lead to accidents” (USDOT, 2013:1). This formal, top-down method of systemically managing safety risk includes organizational structures, accountabilities, policies, and procedures. The system employs complex algorithms to analyze the causes of incidents, problems, and accidents arising from industry or agency processes. To keep risks to a minimum, FAA continuously examines airlines’ operations. Its management team responds to incidents, conducts audits, communicates and documents ndings, and continuously trains all FAA employees on safety policies. In addition, it regularly audits airport employees to determine appropriate sta ng levels. As a result of this approach, the number of aviation accidents has fallen sharply. STRATEGIES FOR CHANGE Attracting, retaining, and placing the best people in the appropriate jobs continues to be a challenge for federal agencies. Identifying ways to improve the federal employee experience at all levels should drive the emergence of a stronger civil service. But the same questions continue to arise: Is government recruiting the right people? Is the right person in the right job? To better recruit highly quali ed people, OPM joined with the Partnership for Public Service (PPS), a nonpartisan, nonpro t organization dedicated to recruitment and retention excellence in the federal civil service. To revitalize the federal government and encourage public service, PPS conducts outreach programs at college campuses; it raises awareness and advocates civil service reform by asking important questions of government o cials; and it conducts and publishes research into federal government’s problems and solutions. OPM created a list of strategies to improve federal hiring (Table 4.2) that can be used by any agency. Strategy

Explanation

Eliminate Self-Wrapping Red Tape

Agency processes still contain excess approval layers, redundant reviews, and unnecessary paperwork.

Use Plain Language in Job Announcements Dense, dull job announcements confuse candidates. Recruit Veterans

Those who have completed their service in uniform are the best source of talent for the federal government.

Adopt an Accelerated Hiring Model

Federal hiring is often slow, and management must make a commitment to acceleration.

Compete on Campus

Agencies have the authority to employ interns and recent college graduates with little competition.

Offer Incentives for Talent

Recruiting incentives already exist: signing bonuses, relocation expenses, student loan repayment, and superior qualifications appointments.

Use On-the-Spot Hiring Authority

Agencies can hire on the spot to meet critical mission needs.

Leverage Other New Hiring Flexibilities

Applicants can be placed in broad categories based on qualifications, then (subject to veterans’ preference requirements) chosen from the top group.

Fully Engage Your HR Staff

Agency HR staff should be able to provide sufficient, well-trained support.

TABLE 4.2. Strategies to Improve Federal Hiring

OPM, no date.

PPS developed government:

ve strategic goals aimed at attracting the best people to the federal

1. Inspire and hire mission-critical talent: Raise awareness of public service opportunities, identify cost-effective recruitment methods, inspire a new generation to serve, and promote federal opportunities. 2. Develop strong leaders: Equip federal leaders to deliver results by inspiring employees, building teams, and working across boundaries. 3. Engage employees: Better understand employees’ level of engagement, the barriers to raising it, and ways to overcome those obstacles. 4. Modernize management systems: Modernize the compensation system and develop organizational performance metrics that are transparent, easily understood, and used to drive decisions. 5. Build networks of support: Bring together policymakers and the philanthropic, business, and academic sectors to ensure that government is sufficiently equipped and supported to not only function well but also drive improvement in areas such as security, health care, and education. Aligned with these goals, several programs were introduced by PPS to educate a new generation about the importance of a strong civil service and inspire it to serve (Table 4.3). Program

Overview

Best Places to Work in the Federal

Rankings are based on responses from

Government

nearly 700,000 civil servants to produce a detailed view of employee satisfaction and commitment across 362 federal agencies and subcomponents.

Call to Serve

Inspires and educates a new generation about federal service to improve agencies’ ability to recruit and hire the talent they need.

Center for Government Leadership

Prepares federal leaders to solve national challenges by driving innovation, inspiring employees, and delivering results.

Federal Human Capital Collaborative

Problem-solving community of agency HR leaders dedicated to transforming the way government works through innovation and strengthening of policy.

Government Affairs

Seeks to be an agent of change through working on behalf of civil service reform legislation.

Private Sector Council (part of PPS since

Group of firms committed to confronting

2005)

government’s key management challenges on an operational level. Engages privatesector expertise to improve government by helping it to become more dynamic and innovative. Members have helped complete more than 400 projects, ranging from digitizing the food stamp program to developing a pay structure for the Iraqi civil service.

Public Service Recognition Week

Mayors, governors, agency leaders, communities, and public service organizations issue proclamations, host award ceremonies and special tribute events, and emphasize the value of public service.

Ready to Govern

Makes recommendations for effective management and provides direct assistance to improve the efficiency and

effectiveness of presidential transitions. Samuel J. Heyman Service to America

Pays tribute to America’s dedicated federal

Medals (Sammies)

workforce, highlighting those who have made significant contributions to the country. Honorees are chosen based on their commitment and innovation, as well as the impact of their work on addressing the needs of the nation.

Strategic Advisors to Government

Connects senior-level executives in

Executives (SAGE) Program

government (Chief Acquisition Officers, Chief Financial Officers, Chief Human Capital Officers, and Chief Information Officers) with their predecessors in the private sector, allowing their public-sector experience to help transform government and improve its performance.

TABLE 4.3. Partnership for Public Service Programs PPS, 2014.

MERIT SYSTEM Managers and supervisors have been given more authority to make personnel decisions. For example, it remains critical that the candidate selection process be fair and equitable. Human capital decisions are guided by the merit system principles mandated to MSPB, an independent, quasi-judicial executive branch agency that serves as the guardian of federal merit systems, by the CSRA to ensure that employment practices are fair and free of political in uence or other nonmerit factors. The mission of MSPB is to “protect the merit system principles and promote an e ective federal workforce free of prohibited personnel practices.” There are nine principles: 1. Recruitment, selection, and placement should be fair and based solely on knowledge, skills, and ability. 2. All employees and applicants must be fairly and equitably treated.

3. Equal pay should be provided for work of equal value, and appropriate recognition should be provided for excellence in performance. 4. All employees should maintain high standards. 5. The federal workforce should be used efficiently and effectively. 6. Employees should be retained based on the adequacy of their performance. 7. Employees should be provided effective education and training. 8. Employees should be protected from improper political influence. 9. Employees should be protected against reprisal for the lawful disclosure of information that violates any law, rule, or regulation. (MSPB, 2012a) MSPB surveyed federal employees in 2010 and reported their perceptions of how well agencies manage resources and sta with regard to the merit system principles. The report found that agencies’ ability to attract and retain the “best employees” generally was perceived as weak. As a result of the survey, it made the following recommendations: • Managers at all levels should be appropriately trained on how to apply the merit principles to their human capital management decisions. • Agencies should involve and inform their workforce to identify potential methods to improve efficiencies and determine which programs may need to be cut or scaled back based on available resources. • Employee retention and engagement trends should be monitored. Federal agencies should improve ways to retain high performers and develop or remove poor performers. • Additional investments should be made in employee training and career development to prepare the federal workforce for a knowledge-work environment. In addition, agencies should determine competency requirements and developmental needs. (MSPB, 2013) FEDERAL JOB ANALYSIS Job analysis is the systematic attempt to fully understand the nature of a job. It is the foundation for all assessment and selection decisions. Job analysis examines the following: tasks needed to perform a job, necessary competencies required to perform those tasks, and the relationship between tasks and competencies. According to OPM,

the following steps are taken as part of a job analysis: • Collect information about the job. • List the tasks. • Identify the critical competencies. • Link the task and competencies. • Determine which competencies to use as a candidate selection factor. (OPM, 2007) Selection procedures based on a job analysis should be able to identify the most quali ed candidates for a position by capturing the elements of the job that best distinguish top performers from marginal ones. Competitive Examinations A competitive examination process is the most-used method to ensure that federal employees are quali ed, and it is typically conducted either by OPM or by the agency. The process originally was centralized in OPM. In the mid-1990s, individual agencies were authorized to examine candidates for all positions (excluding administrative law judges), but OPM also conducts examinations for agencies under contract and maintains standing registers of candidates from which agencies may hire (Federal Employees Almanac, 2012). OPM delegates the authority to conduct competitive examinations to agencies under agreement according to the following process: 1. The agency contacts OPM’s strategic HR policy division and requests delegated examining authority. 2. OPM drafts an examining agreement. 3. OPM and the agency HR director sign the agreement. 4. OPM trains the agency personnel who will manage the examining office(s). Analyzing the job and determining the assessment tools to use are critical to the examining process. The selecting o cial and the HR specialist collaborate to develop the questions and responses that best indicate competence in performing the job’s duties. Task examples include applicants’ experience, education, and other job-related criteria that, if met, demonstrate adequate knowledge, skills, abilities, and competencies for the critical tasks of the job. Quali ed applicants are assigned to a category (Federal

Employees Almanac, 2012). Assessment Strategy After the job analysis, OPM recommends a particular assessment strategy. A broad range of assessment methods can be used in competitive examining; several considerations are validity, subgroup di erences, and costs. Table 4.4 lists the di erent types of assessments and the di erent considerations in developing an assessment strategy.

TABLE 4.4. Assessment Considerations OPM, 2013b.

Occupational Questionnaire The occupational questionnaire has become a popular assessment tool to facilitate selecting the best candidates. An occupational questionnaire is a fairly quick and inexpensive way to screen for minimum quali cations and typically consists of multiplechoice questions covering a variety of competencies related to the position. Structured Interview Another assessment method designed to measure job-related competencies of candidates is a structured interview. Structured interviews can help to ensure that candidates have equal opportunity to provide information and are assessed accurately and consistently. Inquiring about an applicant’s behavior in past experiences or an anticipated behavior in hypothetical situations can evaluate competencies that are di cult to measure, such as interpersonal skills. Job Simulation A job simulation is an assessment that presents applicants with realistic, job-related situations and documents their responses. Job simulations include, but are not limited to, work samples, situational judgment tests, assessment centers, and job tryout procedures. Multipurpose Occupational Systems Analysis Inventory Multipurpose occupational systems analysis inventory–closed-ended (MOSAIC) is an occupational analysis model for developing benchmarks or “levels of mastery” that de ne ve competency levels and provide behavioral examples for each (Rodriguez, et al., 2002). In 1992, OPM surveyed a sample of executives and managers of federal agencies to learn their views of the leadership competencies required to lead agencies successfully. As a result, OPM developed a leadership e ectiveness framework comprising 22 competencies including leading change, leading people, being resultsdriven, using business acumen, building coalitions, and carrying out performance management. Each job analysis inventory used to collect data for OPM’s system includes two primary types of descriptors, tasks and competencies. Tasks are rated on importance; competencies are rated on several scales, including importance and requirement for entry. To identify the competencies and requirements for each occupation in the federal government, OPM developed the MOSAIC database (OPM, 2007). However, during the more than two decades of its development, some competencies acquired multiple

de nitions, causing confusion. Several OPM personnel psychologists reviewed all MOSAIC competencies and, by consensus, arrived at singular de nitions for each of 325 competencies, which can be found on OPM’s website (OPM, 2013a). OPM’s Federal Investigative Services Hiring Agency Federal Investigative Services conducts more than 90 percent of background investigations for the federal government. Determining the suitability of an applicant for certain positions may require thorough screening and a background investigation. Every position is designated a low, moderate, or high risk level, as determined by the position’s potential impact on the agency. As authority and responsibility become greater, more scrutiny is required. In addition, each position must be designated as noncritical-sensitive, critical-sensitive, or special-sensitive, depending on the nature of the position and the incumbent’s foreseeable need for access to classi ed information. The nature of the position also includes the level of clearance required, such as confidential, secret, or top secret. PLACEMENT PROGRAMS An agency may ll a vacancy in the competitive service by any method authorized by OPM. OPM mandates how federal agencies make vacancy announcements, establish reemployment priority list requirements, identify restricted positions, and create restrictions on moving an employee. These policies aim for consistency and e ectiveness. Each agency must exercise its discretion in each personnel action solely on the basis of merit and tness, without regard to political or religious a liation, marital status, or race, and on veterans’ preference entitlements. Government internship programs, interchange agreements, mobility programs, and career transition assistance plans are all effective. U.S. Government Internships Historically, the federal government has faced challenges in recruiting, selecting, and placing well-quali ed candidates who either are in school or have recently received a degree. However, the federal government o ers a few di erent types of student employment opportunities: • Pathways programs: Designed to streamline processes and provide students and recent graduates with clear paths to internships and full-time employment, as well as meaningful training, mentoring, and career-development opportunities. • Presidential Management Fellows Program: Designed to attract outstanding

graduate students from a wide variety of academic disciplines who have a clear interest in, and commitment to, the analysis and management of public policies and programs. The two-year fellowship provides a fast-paced opportunity to gain experience and develop individual talents. Participants are assigned to a single agency with the option to rotate to another agency. • Workforce Recruitment Program: Connects and refers college students with disabilities to federal and private-sector employers nationwide that provide summer work and, in some cases, full-time employment. • Student Volunteer Program: Offers unpaid training opportunities to students in high school and college, providing them with federal work experience related to their academic programs. The students are exposed to the federal work environment and learn about the missions and responsibilities of various federal agencies and departments. Best Practices in Government Internships Governmentwide Acquisition Management Intern Program The Department of the Interior has an intern program to provide a planned, systematic, competency-based approach to developing future leaders at all levels. The Governmentwide Acquisition Management Intern Program is a two-year internship. Interns complete four 6-month rotational assignments with sponsoring agencies. The rotations are designed to give interns valuable and practical experience working in the federal government. They receive technical and business skills training including contract administration, price and cost analysis, customer service, project management, and presentation skills. Upon completion of the program, the intern will have an opportunity for a permanent position within the Department or other sponsoring agencies that require a one-year apprenticeship. Interchange Agreements OPM and any agency may enter into an agreement prescribing conditions under which employees may be moved from the agency’s merit system to another agency’s, known as a n interchange agreement. Persons appointed to competitive positions under the interchange agreements receive career or career-conditional appointments, depending on whether they meet the three-year service requirement for career tenure or are exempt. Interchange agreements allow two-way movement. This means that career and career-conditional employees are eligible for employment in the other merit systems

with which OPM has agreements under similar conditions. Intergovernmental Personnel Act Mobility Program Intended to facilitate cooperation between the federal government and nonfederal entities, the Intergovernmental Personnel Act (IPA) Mobility Program temporarily assigns skilled personnel where they are needed. These assignments allow civilian employees of federal agencies to serve with eligible nonfederal organizations for a limited period without loss of employee rights and bene ts. Each assignment should be made for purposes that are of mutual concern and bene t to both the federal agency and the nonfederal organization. Each proposed assignment is carefully examined to ensure that it is for sound public purposes and furthers the goals and objectives of the participating organizations. IPA assignments may not be used to circumvent personnel ceilings or federal hiring practices. Nor may they be used to meet the personal interests of employees or to avoid unpleasant personnel decisions. Best Practice in Intergovernmental Personnel Act Mobility Programs U.S. Department of Education The U.S. Department of Education (ED) promotes equal access to education and educational excellence. The Teaching Ambassador Fellowship, initiated in 2008, hires educators for one year under the IPA mobility program. Washington fellows work fulltime at ED’s headquarters as temporary employees, collaborate with other fellows in the eld to provide outreach on behalf of the Department, contribute their insight about schools and classrooms to the Department, and increase their knowledge and understanding of federal education policies and programs. Classroom fellows work for ED part-time in addition to their primary work as teachers around the country. They are paid on an hourly basis to assist the Department, gain valuable professional development, and acquire information to share with their colleagues and school communities. Teaching Ambassador Fellows are classroom teachers who continue to be employed as teachers at their schools or districts but who work with ED to help drive policy discussions with their individual classroom expertise for one year. They also facilitate discussion with other educators across the country and Department policy makers. Fellows are thus able to develop greater knowledge of educational policy and leadership and contribute to nding solutions in their own school districts as well as at the national level. Career Transition Assistance Plans

In 1995, federal organizations were required to develop and implement Career Transition Assistance Plans (CTAPs) to provide career transition services for their surplus and displaced employees and to o er them special selection priority for vacancies. Agency CTAPs must contain three parts (OPM Center for Talent and Capacity Policy, 2003:3–4): 1. Agency career transition services. Each agency offers career transition services to surplus employees and provides training. Services may include skills assessment, resume preparation, counseling, and job-search assistance. 2. Agency special selection priority. Agencies must give selection priority to their own well-qualified surplus employees who apply for vacancies in agency components in the local commuting area. 3. Agency reemployment priority lists. Each agency must maintain a reemployment priority list for each local commuting area. Employees on this list are employees separated by a reduction in force. Employees can register to tell their former agency that they want to return if the agency has vacancies. Best Practice in Career Transition Assistance Plans U.S. Department of the Treasury The Department of the Treasury provides selection priority under the CTAP for Treasury surplus or displaced employees and under the Interagency CTAP for other displaced federal employees. To receive selection priority, applicants must apply for a position in the local commuting area that is at or below the grade level from which they are being separated and that does not have greater promotion potential than the position from which they are being separated.

During the past ten years, there has been steady and considerable progress in government initiatives to improve the civil service and enhance the work environment for public servants. However, federal employee viewpoint surveys for 2011 through 2013 have dropped on every index. Although many will conjecture that this drop is due to the current environment of salary freezes, government shutdowns, and continued tight budgets, the federal government still seeks solutions to improve work conditions. The following chapter focuses on engagement among federal employees and further expands on the federal employee viewpoint survey results.

1

Information about the NSPS is available at http://cpol.army.mil/library/general/nsps.

CHAPTER 5 Engaging the Best People By: Aileen G. Zaballero and Jennifer Myers

I

t has become both more di cult and more imperative for federal leaders to nd ways to reward and recognize high-performing employees. Despite the complex challenges confronting the federal workforce—pay freezes, furloughs, budget cutbacks, and an impending surge of retirees—demand continues to increase for these services and for them to be delivered with the highest possible quality. Yet, employees who are engaged with their work and committed to their jobs are critical to achieving the government’s core purpose of supporting the general welfare of the American public. The federal government’s approximately 2 million employees execute a wide range of fundamental services and functions: overseeing nancial institutions, supervising the aviation system, ensuring the safety of food and drugs, providing national security, caring for veterans, and promoting diplomacy around the globe, just to name a few. The role of agency leaders in motivating employees and keeping them focused on each agency’s core mission and values is thus particularly important today. According to the U.S. Merit Systems Protection Board (MSPB), there is a strong relationship between employee engagement (“a heightened connection between employees and their work, their organization, or the people they work for or with”) and agency outcomes. “Engaged employees nd personal meaning in their work, take pride in what they do and where they do it, and believe that their organization values them,” leading to improved efficiency and effectiveness (MSPB, 2008b). Developing an engaged workforce is vital to the continued success of each agency, and federal department leaders are taking steps to improve worker satisfaction and commitment. To achieve this goal, they must overcome barriers to engaging the federal workforce, including lack of commitment. Based on data gathered from the Merit Principles Surveys and Federal Employee Viewpoint (FedView) surveys, which collect feedback from federal employees to help identify these barriers, various recommendations have been made and initiatives begun that may increase engagement in the workplace. Workplace reputation or branding is another area of ongoing effort. BARRIERS TO ENGAGING THE FEDERAL WORKFORCE Employee engagement has three primary elements: (1) emotional and rational commitment to the job and the organization; (2) discretionary e ort that produces

sustained goal-directed performance; and (3) satisfaction in the job and its context (MSPB, 2008b). Employees who are engaged have a heightened emotional connection to their work, their organization, and the people they work for that causes them to produce better results for the organization. According to Towers Watson, a global professional services and human resources (HR) consulting rm that has conducted several engagement studies, “[e]ngagement means employees know what their business is trying to achieve, understand their role in that e ort, and feel motivated to play a part in the company’s success” (Lawrence, 2011:7). According to the 2013 FedView Survey results, “Federal employees remain committed to the missions of their agencies despite a number of challenges, including continued pay freezes, agency furloughs, and a climate of uncertainty” (OPM, 2013:3). However, engagement is not a singular activity that can be isolated. It is complex and requires commitment from everyone in the agency, particularly the leadership. To develop an engaged workforce, it is imperative to understand the barriers to engagement, such as di culties integrating new employees, poor job design or job characteristics, the diverse needs of a multigenerational workforce, outdated communication and information-sharing structures, and lack of leadership commitment. Onboarding New Employees Recruiting top talent is only one component of a broader approach. The process of integrating new employees into their agency work environments, known as onboarding, has been widely overlooked. In recent years, the need to revitalize the federal workforce has brought increased attention to this process. The Partnership for Public Service (PPS), a nonpro t and nonpartisan organization whose goal is to help government work better by identifying problems and nding their solutions, has published white papers and reports providing strategies to help federal agencies with several fundamental HR challenges: attracting and hiring the most promising individuals, improving performance to reach organizational goals, and being accountable for progress. A 2008 report (PPS and Booz Allen Hamilton [Booz Allen], 2008) examined how the federal government onboards and orients new employees. Although most agencies work hard to make a favorable rst impression during the recruitment process, this favorable impression is not necessarily reinforced during new employees’ rst year on the job. According to the report, the federal government has fallen short in the opportunity to leverage onboarding as a way to engage new employees and accelerate productivity. The study was based on a literature review, focus groups with 16 federal employees, and interviews with 29 o cials from 11 agencies. The results were as follows: • There is no consistent approach to onboarding in the federal government.

• Onboarding-related activities often lack a focus on the mission, vision, and culture of the organization. • The onboarding process typically fails to integrate the activities of stakeholders or hold them accountable for success or failure. • Onboarding is inconsistently executed across employee groups and locations. • Agencies are interested in using technology to support onboarding, but few have invested in developing these capabilities. • Most agencies gather immediate feedback on orientation but do not measure the long-term impact of onboarding activities. • Agencies with more sophisticated onboarding activities often integrate them as part of larger retention strategies. (PPS and Booz Allen, 2008:iv) Many agencies are preparing for the surge of pending retirees by planning recruitment strategies to ll the imminent vacancies. However, most agencies are not recognizing and capitalizing on the critical impact of an e ective onboarding process. The looming retirement wave will require comprehensive onboarding programs to quickly and effectively engage a large cohort of new employees. Job Design Good job design supports organizational e ciency and e ectiveness. Federal agencies have considerable leeway in designing jobs or adjusting working conditions to increase motivational qualities, but MSPB reports that job characteristics remain “an area where potential improvements in motivation can be made” (MSPB, 2012:i–iii). The job characteristics model (derived by Hackman and Oldham, 1980), describes the worker’s response to a task, such as variable levels of satisfaction or motivation. The theory identi es ve variables or components (Faturochman, 1997) as interpreted by MSPB: • Skill variety is the diversity of knowledge, skills, and abilities required for a task. Increasing skill variety may improve employees’ perceptions of the meaningfulness and value of their jobs and fuel their motivation. • Task identity is the degree of completion associated with a task as experienced by individual employees. Generally, a job that allows employees to complete entire tasks will be judged as more meaningful, and employees will exert more effort to accomplish these tasks.

• Task significance is the importance that employees attach to job tasks and activities, especially in terms of the perceived impact on stakeholders (internal and external). Jobs with tasks of greater perceived significance, and a clearer connection between employees’ actions and organizational goals, generate more effort. The more removed a job is from the mission, the less significant that job may seem. • Autonomy is the degree of independence employees have in making decisions about how to accomplish their work. Normally, the more freedom employees have to make decisions and to direct the activities of their work, the greater their motivation to perform that work. • Feedback is the mechanism by which employees receive information about the effectiveness of their job performance. The more that jobs provide ways by which employees can understand how they are performing, the more employees will be able to monitor and correct their behavior to achieve better results. (MSPB 2012:8– 9) MSPB conducts a survey that explores how well the federal government is managing its workforce. The survey focuses on employees’ perceptions of a variety of management practices. Table 5.1 summarizes MSPB 2010 engagement survey responses about job characteristics and illustrates how federal employees perceived the motivating quality of their jobs.

TABLE 5.1. Responses to Questions About Job Characteristics and Survey Questions by Job Component MSPB, 2012.

Multigenerational Workforce Although gender inequalities and cultural discrimination still exist in the workforce, laws such as Title VII of the Civil Rights Act of 1964 or the Civil Rights Act of 1991 prohibit employment discrimination based on race, color, religion, sex, or national origin. However, multigenerational issues are becoming more prevalent, particularly in terms of communication and engagement. Each age group has a very different work and communication style and has impacted the workplace accordingly. Many social and demographic trends have changed the workforce, such as Baby Boomers retiring and Millennials entering the labor market. Therefore, recruiting, hiring, and knowledge retention strategies must change in response to create an inclusive and diverse work environment, and agency leaders and human capital specialists must consider the unique attributes of each group. Communication preferences vary considerably among multigenerational groups. According to the generational cohort model devised by Strauss and Howe (1991), each cohort tends to have key traits, and di erent cohorts have di erent attitudes toward work (Table 5.2). Communication between groups can be challenging as a result, and work engagement initiatives must consider these variations. It is not uncommon for managers to adapt their management style to their own generation, rather than fully considering how to manage a multigenerational workforce (Deloitte, 2012). However, overgeneralization of each cohort can create other barriers. It is always important to consider employees as individuals and be cognizant of stereotyping, whether positive or negative. Generational Cohort

Veterans (1922–1943)

Key Trait

Workplace

Respect for

Comfortable with directives

authority/law

Prefer controlled management

Value rule-based

style

decisions

Have strong faith in institutions

Value hard work

and top-down leadership

Conservative Have fixed views

Baby Boomers (1944– 1960)

Ambitious

Job status is important

Loyal

Believe employment is for life

Well-educated by

May be workaholics; live to work

traditional methods

Generation X (1961– 1980)

Generation Y/Millennials (1981– 2000)

Well-educated

Not interested in long-term or

Resourceful

corporate careers

Individualistic

Focus on relationships

Skeptical of authority

Will leave their jobs if unhappy

Optimistic

Tech savvy

Confident

Comfortable with diverse groups

Sociable

Flexible and open to change

Strong moral values

Prefer flexible workspace

TABLE 5.2. Differences Among Generational Cohorts Adapted with permission from Strauss and Howe, 1991.

Most agency leaders believe that “generational di erences have a moderate or signi cant impact on their human capital management,” describing these di erences both as “a source of con ict” and as “a catalyst for progress.” (PricewaterhouseCoopers LLP, 2013:8). In light of these mixed perspectives, consulting rm Deloitte made three recommendations for managing a multigenerational workforce: 1. Clearly define success in achieving a multigenerational workforce. Defining specific metrics allows agencies to work toward tangible and measurable goals. 2. Focus on cultivating a multigenerational workforce, not just recruiting Millennials. Establishing a solid talent pipeline for Millennial employees is important for the future but very challenging. Engaging all segments of the workforce and balancing their preferences is the critical success factor. 3. Effectively manage numerous, sometimes competing, generational interests. Encouraging the strengths and preferences of all segments, including generational differences, helps to achieve mission goals and increase efficiency. (Deloitte, 2012:2)

OPM agrees that “a commitment to equal opportunity, diversity, and inclusion is critical to accomplishing the Federal government’s missions…. Seeking to attain a diverse, quali ed workforce is a cornerstone of the merit-based civil service.” (OPM, 2011a:3). Agencies and human capital specialists must consider the unique attributes of various subgroups, including generational cohorts, to promote employee engagement and to cultivate high performance. Communications and Information Sharing One of the key challenges for the Department of Energy (DOE) that is typical of the federal government as a whole is that it employs more than 15,000 geographically dispersed full-time workers. The size and decentralized structure of DOE make it di cult for employees to share information, collaborate, or take advantage of in-house expertise. The absence of a strong central intranet system further complicates employees’ communication and coordination. Clearly, DOE’s branches and facilities require a quicker way to access critical and real-time information while maintaining a reliable, secure communications infrastructure (PPS and McKinsey, 2013). The expanded use of information and communications technology (ICT) creates risks as well as opportunities. Budget constraints continue to impact key implementation decisions, even at the risk of contracting with questionable vendors and suppliers. In addition, the need to continuously upgrade hardware and software may result in obsolete systems. Finally, hackers and malicious coding can compromise sensitive data and put the security of government data in jeopardy (Bartol and Moss, 2012). However, ICT initiatives across the federal government have demonstrated signi cant bene ts, such as potential energy savings through smart technology and enhanced collaboration among federal employees (Seidel and Ye, 2012). Nevertheless, the federal government has not always kept up with the ICT revolution that has taken place in the private sector. According to the O ce of Management and Budget (OMB), the federal government has fallen behind in using ICT because of poor management of technology investments, with IT projects too often costing hundreds of millions of dollars

more than they should, taking years longer than necessary to deploy, and delivering technologies that are obsolete by the time they are completed. (OMB, 2014)

To address these challenges, OMB’s O ce of E-Government and Information Technology was formed to assist agencies in the use of ICT “and make it easier for citizens and businesses to interact with the Federal Government, save taxpayer dollars, and streamline citizen participation.” The Obama administration has declared its commitment to achieving e cient, e ective, transparent, and open government through the use of ICT. Underscoring this

commitment, the White House released a Digital Government Strategy in 2012. The initiative emphasized that the federal government needs to evolve with an increasingly mobile public and established three objectives: 1. Enable the American people and an increasingly mobile workforce to access highquality digital government information and services anywhere, anytime, on any device. 2. Ensure that as the government adjusts to this new digital world, we seize the opportunity to procure and manage devices, applications, and data in smart, secure, and affordable ways. 3. Unlock the power of government data to spur innovation across our nation and improve the quality of services for the American people. (White House Office, 2012:2) The question for the federal government is thus: “How can these technologies be used more e ectively to improve, perhaps dramatically, how agencies carry out their work, ful ll their missions and engage with stakeholders in a collaborative environment?” (PPS and Booz Allen, 2013:3). Leadership Commitment Engaging employees requires a clear and concise communication e ort from the leaders of each agency, who are responsible for de ning and communicating agency goals. Employees will be less engaged if they are having a di cult time connecting to the agency’s vision, do not see their role in accomplishing it, or do not agree with the direction of the agency. Making the case for employee engagement can be a challenge for federal agencies, given current budgetary constraints. In addition, the majority of supporting research has come from the private sector, where the business case for engagement is supported by causal relationships extracted from nancial statements and performance reports. That approach is di cult to carry out in the public sector, particularly with research-based and regulatory agencies. Performance measurement is the basis for accountability reporting and program decision-making, speci cally the allocation of funds. However, the size and scope of the U.S. federal government, as well as the structural diversity of federal programs, has made it di cult to establish a standard performance measure (Radin, 2011). As a result, full buy-in is hard to get from key federal leaders who are busy attending to more pressing issues, such as budget constraints. Leadership commitment from all levels determines the practices and priorities that set the tone for an organization’s climate and creates a culture of engagement. Leaders’

acknowledgement of employees’ performance outcomes, through both formal and informal feedback, has a tremendous impact on overall job satisfaction and work performance. For example, encouraging employees to be innovative and to look for alternative ways to perform their jobs is a solution to the problem of limited resources. However, many federal employees say that they lack their leaders’ support to do so, and few say that creativity and innovation are rewarded in the workplace. According to the 2013 FedView Survey, only 38 percent believe that creativity and innovation are rewarded (OPM, 2013). Inspiring a culture of innovation also requires leadership commitment at all levels, from top executives to front-line supervisors. Front-line supervisors play a critical role in the daily lives of employees. They assess performance directly and have an immediate impact on each employee’s day-to-day work experience. Therefore, getting front-line supervisors’ commitment to employee engagement is critical. Finally, leaders must support employees’ professional growth and provide clear career paths for highpotential and high-achieving individuals. Leadership is directly related to job satisfaction, engagement, and commitment: [I]f you are unhappy with your supervisor, you are miserable coming to the job every day, you are probably not

giving it your best e ort and conversely, when you have faith in your supervisor, when there is good communication, when your own training and development as an employee is supported by your supervisor, your commitment goes up, your engagement in the work of the organization goes up. (Palguta, 2010:34)

It is also imperative that leaders recognize and value their employees. Doing so contributes to a positive workplace culture and appreciation for those employees whose high performance sets them apart. Just the perception that an employee’s supervisor has good management skills can result in a higher level of engagement. In a report analyzing the results of its 2005 Merit Principles Survey (one of a series conducted periodically to assess the health of federal merit systems), MSPB reported that “of those employees who are engaged, 87 percent agreed or strongly agreed that their supervisors had good management skills. Conversely, of the employees who were not engaged, only 13.7 percent agreed or strongly agreed that their supervisors had good management skills” (MSPB, 2008b:37). The level of employee engagement in the federal workforce varies according to the following factors: • Level of organizational responsibility: Members of the Senior Executive Service (SES) are more engaged than supervisors, who in turn are more engaged than nonsupervisors. • Salary: Differences in employee engagement by salary are not as pronounced as those based on organizational responsibility level.

• Level of education: The more education employees have, the higher their engagement level. • Race/ethnicity: The engagement level of different racial/ethnic groups ranged from 43.2 percent of respondents of Asian origin engaged to 26.7 percent of Native Americans engaged. Differences between the groups remained after the analysis accounted for education levels and average salaries. • Specific agency: There are marked differences in engagement by agency. At the high end of the spectrum, about half of all agency employees are engaged; only about one-quarter of employees at other agencies are engaged. (MSPB, 2008b:iii) In addition to leadership commitment, communication and information sharing, onboarding, and balancing the needs of a multigenerational workforce, other barriers to engagement include poor reward and recognition programs, minimal training and career development opportunities, and minimal resources. ASSESSING THE CURRENT ENVIRONMENT When employees feel included and perceive that they have opportunities to contribute to the direction of an initiative, engagement is the outcome. Therefore, it is important for agencies to assess their workforces and examine not only employee satisfaction but also employee engagement. OPM encourages agencies to review and analyze existing programs, policies, and procedures to ensure that they are inclusive, transparent, and fair to all employees, and that employees perceive them as such. Data about engagement factors can also be gathered from exit interviews, new employee follow-up, and meetings with focus, affinity, or employee resource groups. OPM oversees, conducts, and supports various governmentwide and agency surveys. Results of these surveys inform and impact HR policy and agency-speci c initiatives. These surveys are an important management tool allowing leaders and managers to receive feedback from their employees and enabling them to take steps to increase employee satisfaction and engagement, improving the services provided to the American public. The 2005 and 2010 Merit Principles Surveys (MSPB) and the 2012 and 2013 FedViewSurveys (OPM) focused on employee engagement. 2005 Merit Principles Survey To help agencies better meet the challenges of engaging employees, MSPB conducted a study of employee engagement in 2005, distributing a survey to full-time, permanent, nonseasonal federal employees. The response rate was just over 50 percent, with 24 agencies participating and 36,926 employees completing the survey (MSPB, 2008b). The

purposes of the study were to • Measure the level of employee engagement in the federal government to determine whether different organizations or groups exhibited different levels of engagement • Determine whether increased levels of employee engagement are related to better results and outcomes for federal agencies • Identify how federal agencies can improve the engagement level of their employees. (MSPB, 2008b:5) MSPB found that several factors were important for engaging federal employees (MSPB, 2008b:ii): • Pride in one’s work or workplace. Do employees find their work meaningful? Would they recommend the agency as a place to work? • Satisfaction with leadership. Do the organization’s leaders—from first-level supervisors to career executives to agency heads—provide clear vision and sound direction? Are they good stewards of the public interest and public employees? • The opportunity to perform well at work. Do employees know what is expected of them and have the resources and support they need to succeed? • Satisfaction with the recognition received. Does the organization reward excellence? Are rewards truly based on performance? • Prospects for future personal and professional growth. Does the organization give employees an opportunity to maintain and improve their skills? • A positive work environment with some focus on teamwork. Are employees treated with respect? Do their opinions count? Is the workplace collaborative, or competitive? 2010 Merit Principles Survey In 2012, MSPB reported on the results of its 2010 Merit Principles Survey. The report discussed the motivational aspects of jobs and rewards as an area where organizations can take action to in uence engagement. The survey was distributed to 71,970 full-time, permanent, nonseasonal federal employees to solicit their perceptions about what motivates them and how important these motivators are. The response rate was 58 percent, with 42,020 responses. Although the study found that most federal employees viewed themselves as

motivated, most employees did not see a strong connection between their e ort and outcomes such as performance ratings and rewards: only 60 percent of federal employees agreed that e ort results in a high performance appraisal rating. Only 63 percent agreed that greater e ort translates into greater achievement of goals and objectives; even worse, only 33 percent agreed that better performance leads to greater opportunity for advancement. Finally, the survey expanded on the question of how likely an employee is to be motivated by his or her job characteristics. Seventy-nine percent of employees did not have a highly favorable view of their job characteristics. This nding suggests that job characteristics, including skill variety, task identity, task signi cance, autonomy, and feedback, are areas where potential improvements in motivation can be made (see Table 5.1; MSPB, 2012). 2012 Federal Employee Viewpoint Survey In 2012, OPM surveyed federal employees to learn their perspectives on the business of government and the experience of working for the federal government. The survey did not directly measure employee engagement but did assess conditions likely to lead to employee engagement such as e ective leadership, work that provides meaning to employees, and opportunities for employees to learn and grow. More than 687,000 federal employees responded to the survey, for a response rate of 46 percent; 67 of 82 agencies participated in the survey. Employee engagement scores were relatively consistent with 2010 levels. Figure 5.1 compares the level of employee engagement from the years 2010, 2011, and 2012. Like the 2010 Merit Principles Survey, this study found that most federal employees view themselves as motivated: At the broadest level, employees continue to believe their work is important and are willing to contribute extra e ort to get the job done. At the government-wide level, telework opportunities show a clear positive impact,

with clearly higher engagement and satisfaction scores among teleworkers at all pay levels. Telework-eligible employees also grew as a population, from one out of four to one out of three Federal employees.

However, stresses on public servants—including continued tight budgets and pay freezes—are re ected in our

Global Satisfaction indicator, even while more than two-thirds of employees recommend their organization as a good place to work. (OPM, 2012)

FIGURE 5.1. Federal Employee Engagement, 2010–2012 OPM, 2012:13.

But with the federal government experiencing increasing pressure to control spending and increase e ciency, a higher commitment by federal employees to their jobs and their organizations is required. Meeting these challenges will require agency leaders to implement formal structures for improving hiring, retention, performance management, succession management, and knowledge transfer and, ultimately, creating a culture of engagement. 2013 Federal Employee Viewpoint Survey The 2013 survey was administered during a less-than-ideal time for federal employees: A pay freeze was extended, employee reductions and furloughs were implemented, medical insurance premiums increased, and the payroll tax escalated, while public opinion regarding the federal government declined. For this survey, 376,577 employees provided their input, for a response rate of 48.2 percent. Survey respondents included federal employees from more than 80 agencies and included both full-and part-time, permanent, nonseasonal employees. The results showed that: • Over 90 percent of federal employees continued to be willing to put in extra effort and were constantly looking for ways to do their jobs better. The majority of respondents felt their work was important, and their levels of engagement were steady despite a significant drop in employee satisfaction. • The decline in employee satisfaction continued as fewer employees recommended their organizations as good places to work. This causes concern about long-term consequences and the risk of losing the future talent pipeline. • Finally, satisfaction with pay continued to decrease, but the biggest drop from 2012

was in employees having sufficient resources needed to get their jobs done. (OPM, 2013) The 2013 FedView survey indicated a slight decrease in all three subfactors of employee engagement: employee’s perceptions of the integrity of leadership (from 54 percent to 53 percent), interpersonal relationships between workers and supervisors (from 71 percent to 70 percent), and employees’ feelings of motivation and competency relating to their role in the workplace (71 percent to 69 percent). Overall, scores dropped governmentwide since the previous survey, another cause for concern. ENGAGEMENT INITIATIVES Developing a culture of engagement will be essential for the federal workforce as it continues to face human capital challenges. Improving the Work and the Workplace MSPB has recommended (2012:iv) that agencies modify jobs based on their motivating characteristics. It proposed the following approaches to implementing these modifications: • Job enlargement expands employees’ responsibilities within their current jobs to increase their knowledge and skill sets. For example, the job of a recruiter may be enlarged to include responsibility for onboarding selected candidates. Responsibility for integrating new hires into their jobs and environment would develop new skills and enable the recruiter to see the direct impact of his or her work, in addition to allowing completion of a whole piece of work. Thus, job enlargement could increase skill variety, task significance, and task identity. • Job rotation assigns tasks typically performed by other employees to broaden an individual’s knowledge and skills. Typically, this involves cross-training in the duties of other peoples’ jobs. For example, a recruiter could be cross-trained in the fundamentals of employee benefits and compensation, allowing the recruiter to develop new skills and perform new functions. In addition to benefiting individual employees and managers, job rotation can give organizations increased flexibility in assigning work and help disseminate and preserve staff expertise and institutional knowledge. • Job enrichment provides employees with increased independence, responsibility, and accountability in performing assigned tasks. For example, jobs that may previously have required standard templates for writing reports and many levels of review may be enriched by allowing employees to decide how to write, organize, and

present information, with minimal review. Having more control and ownership of work products can be motivating for employees who are capable of selfmanagement. Further, shifting some task-management functions to capable employees can free up supervisory resources. (MSPB, 2012:13–14) Best Practices in Job Redesign U.S. Department of Health and Human Services The National Institute for Occupational Safety and Health (NIOSH) conducts occupation-related health research and makes recommendations to prevent worker injury and illness. NIOSH has been directed by Congress to study the psychological aspects of occupational safety and health, including stress at work (NIOSH, 1999). Job stress poses a threat to the health of workers, and consequently to the health of organizations. Because working conditions can be a key source of job stress, NIOSH recommends an assessment of job conditions, such as design of tasks, management style, interpersonal relationships, work roles, career concerns, and environmental conditions, as a primary prevention strategy. There is no standard approach: Serious problems (e.g., a hostile work environment) may be entrenched in an organization and may need agencywide intervention, while other problems (e.g., workload issues) may exist only in some departments, requiring more narrow solutions such as job redesign. However, the key steps to follow are problem identi cation, intervention, and evaluation. NIOSH provides guidelines on the process of stress prevention in the workplace. Stress prevention programs should include the following (NIOSH, 1999:16): • Building general awareness about job stress (causes, costs, and control) • Securing top management commitment and support for a prevention program • Incorporating employee input and involvement in all phases of the program • Establishing the technical capacity to conduct the program (e.g., specialized training for in-house staff or use of job stress consultants). NIOSH also recommends involving workers and key leaders in identifying problems as well as in implementing solutions. A committee or problem-solving team may be useful for developing a stress prevention program.

Improving Leadership Employees’ respect for their organization’s leaders is important, but they must also feel respected by their leaders. Organization leadership and management at all levels are responsible for maximizing employee engagement, to increase not only their organization’s chances for success but also those of their employees, who are at their most creative and engaged when they are given the responsibility and exibility to take initiative, make decisions, and develop their own skills and leadership abilities. This explains why the leaders who are most successful in engaging their employees rarely rely on their own technical expertise or positional power to generate innovative results, but instead create an environment where employees are empowered and engaged (PPS, 2011:2). Managers themselves are key to establishing a culture of engagement: “While the corner o ces provide inspiration and strategies, managers bring ideas to life with the help of the rank and le. Managers’ daily contact with employees a ects employee performance and morale” (Tucker, 2012:75). Leadership at all levels can manage engagement in a positive way by • Providing resources and making engagement a priority • Offering clear communication and vision for the organization • Developing clear policies and implementing practices that support employee engagement • Building and improving engagement directly within departments. (Tucker, 2012; Bakker and Xanthopoulou, 2013; Tuckey et al., 2012) Developing Federal Employees and Supervisors Agency leaders recognize the connections between agency policies, employee engagement, and productivity. Supervisors should strive to engender their employees’ emotional commitment to their work and to the people they work with by emphasizing the importance of the work. They should take an active interest in developing their employees and breaking down organizational barriers that may be keeping them from being more successful. Supervisors should not merely tell their employees what to do, but encourage them to take ownership of their work by entrusting appropriate decisionmaking authority to them and holding them accountable for the results, both good and bad. Best Practices in Developing Federal Employees and Supervisors

U.S. Department of Agriculture The U.S. Department of Agriculture (USDA) carried out successful initiatives to increase leadership support for improvements in work-life balance. This vision and executive leadership support enabled the USDA to revamp its telework program in 2011, leading to a 13-percentage-point increase from 2012 in the number of employees who reported they had been noti ed they were eligible to telework (OPM, 2013). The program is central to the Department’s efforts to transform its culture. Telework (also known as exiplace, telecommuting, or work-from-home) is a valuable tool for managing workload constraints and improving employee e ciency; its purpose is to create a work structure that allows duties and responsibilities to be ful lled from an alternative worksite other than the location where an employee normally works. USDA promotes telework as a recruitment strategy to attract top talent by increasing workplace exibility. The strategy also supports retention of current employees, increases employee job satisfaction and productivity, and reduces the cost of o ce space. It enables employees to better manage work and personal/family responsibilities while reducing tra c congestion, fuel consumption, and vehicular emissions (USDA, 2011). Under USDA’s telework policy, the employee’s supervisor is responsible for deciding whether a position is appropriate for o -site work, examining the content of the work, and assessing the employee’s performance. If a manager believes the exiplace arrangement is not working in a particular case, supervisors are able to end the telework option. But exiplace supervisors are encouraged to support the concept and to be willing to attempt to work through problems and obstacles. (USDA, 2011). Increase Opportunities to Perform Another challenge for senior managers in the public sector is to provide incentives and support for employee innovation: the process of improving, adapting, or developing an alternative product, system, or service. Given the government’s limited resources, federal agencies must embrace innovation and nd ways to inspire employees to seek continuous improvement. Yet, federal agencies generally fail to support employees’ desire to innovate. PPS examined the views of federal employees toward innovation in the workplace by analyzing data from the 2011 FedView Survey. It reported that [t]he vast majority of employees (91.5 percent) said they are looking for ways to perform their jobs better, but

far fewer (59.2 percent) reported that they are encouraged to come up with new and better ways of doing things.

In addition, only 38.8 percent said that creativity and innovation are rewarded in the workplace. (PPS, 2012:2)

These responses, when averaged, produce a “governmentwide innovation score” of 63.2 percent, a slight drop from 2010. Clearly, federal workers’ desire to innovate was not matched by the level of support they received from their agencies. PPS identi ed six workplace conditions that best predicted this score: 1. Opportunity to improve skills 2. Opportunity to demonstrate leadership skills 3. Level of respect for senior leaders 4. Satisfaction with involvement in decisions that affect work 5. Reward for providing high-quality products and services 6. Feeling of personal empowerment regarding work processes. Improving workplace conditions by addressing the items in the above list can signi cantly increase employee engagement. Empowering workers to be creative and to nd ways to improve agency performance can resolve many of the challenges that federal leaders face today. Promoting a culture of innovation and rewarding creativity can increase the level of engagement of their employees, who will become more invested in the success of their respective agencies. Best Practices in Innovation National Aeronautics and Space Administration For three years in a row, NASA has ranked rst place among agencies on innovation. In 2102, the NASA innovation score (76.5) was 15 points higher than the governmentwide average (61.5). In fact, as the governmentwide innovation score dropped by 1.7 points from 2011, NASA’s innovation score continued to increase (OPM, 2012). NASA’s IT division launched an “innovation ecosystem” program to promote agencywide technology innovation through information sharing and collaboration. Its components were designed to integrate into the agency to create a supportive environment for innovation through the entire lifecycle of the technology development process (Szajnfarber and Weigel, 2013). The program focuses on

• Encouraging and capturing innovative problems, ideas, and relationships • Openly sharing knowledge independent of organization or geography • Building, optimizing, and strengthening NASA’s technology capabilities • Actively managing near- and long-term mission technology portfolios. (Thompson et al., 2012) The most tangible components of the program are the physical showcase, named (In)novations, which provides demonstrations of new technologies and innovations, and the virtual showcase and collaboration platform available at innovate.nasa.gov. (In)novations promotes innovation through in-person interaction and social collaboration with scientists, engineers, and innovators. Several supporting components—including strategic partnerships and a governance program—enable the program to encourage cross-cutting technology innovation. The program’s stakeholders come from four major groups: the private sector/industry, the public sector/other government agencies, interest groups such as the National Academies of Science, international partners, and university research programs. Improve Recognition and Performance Review System Performance management is the process of aligning employees’ work with mission requirements, inspiring high performance and engagement, and holding employees accountable for achieving results. In practice, most performance management approaches fall short of this goal. Employees and managers alike tend to complain that performance management processes in their agencies are cumbersome and do little to actually improve performance. Managers should use their agencies’ processes to establish clear goals that align with agencies’ missions and objectives—that is, to clearly show employees how they personally contribute to the larger agency mission. Doing so should encourage cooperation and teamwork and allow engagement to flourish. PPS examined federal employees’ satisfaction with performance-based rewards and advancement in their agencies by analyzing the data from the 2012 FedView Survey, speci cally responses to questions assessing agreement with the following six statements/questions: 1. Performance appraisal is a fair reflection of performance. 2. Promotions are based on merit. 3. Employees are recognized for providing high-quality products and services.

4. Creativity and innovation are awarded. 5. Satisfaction with recognition received for doing a good job. 6. Satisfaction with opportunity to get a better job in current organization. Four out of ten employees believed that they will be rewarded or promoted for doing good work. Only three out of ten employees were satis ed with their opportunities to advance and their feeling that promotions are based on merit. The dissatisfaction may be due to limited opportunities for promotion as well as that some promotions are based primarily on length of service as employees. Only four out of ten employees said they were rewarded for providing high-quality products and were satis ed with the recognition they received for doing a good job. Only 36 percent believed that creativity and innovation are rewarded in their agencies (PPS, 2013b). The Government Accountability Office (GAO) identified nine best practices to promote successful data-driven performance reviews: 1. Agency leaders use data-driven reviews to drive performance improvement. 2. Key players attend reviews to facilitate problem solving. 3. Reviews are designed to ensure alignment between agency goals, program activities, and resources. 4. Agency leaders hold managers accountable for diagnosing performance problems and identifying strategies for improvement. 5. Agency develops the capacity to collect accurate, useful, and timely performance data. 6. Agency staff have the skills to analyze and clearly communicate complex data for decision-making. 7. Rigorous preparations enable meaningful performance discussions. 8. Reviews are conducted on a frequent and regular basis. 9. Participants engage in rigorous and sustained follow-up on issues identified during reviews. (GAO, 2013a) Best Practices in Performance Review

U.S. Department of Energy DOE o cials have said that quarterly, as opposed to annual, reviews helped them review employee activities and contributions more critically. Their performance reviews also facilitated information sharing across the agency that led to better results. DOE o cials facilitated discussions about quarterly performance reviews that led to the sharing of e ective procurement practices and best practices related to strategic sourcing to identify areas of cost reduction (GAO, 2013a). DOE views its performance management programs as strategic tools to increase individual success and accountability, achieve agency and organizational goals, and improve operational e ciency. The goal is to help supervisors to recognize their employees’ full performance potential, to identify high achievers, and to identify areas requiring improvement, thus helping them meet their department’s mission and goals. The DOE performance appraisal process consists of four phases (table on next page). Phase

Description

Phase I:

Performance plan is jointly developed by rating official and employee.

Planning

Performance management process and job requirements are explained

performance to employee. Results-focused critical elements (i.e., job responsibilities) are collaboratively created, including employee performance expectations. Phase II:

Communication between rating official and employee should be

Monitoring

ongoing. Employees should receive information as often as possible

performance about how they are doing in a progress review, a meeting in which rating official and employee discuss employee progress toward job performance expectations and outcomes. This usually occurs halfway through the appraisal period. Phase III:

Appraisal should be a continuous process of constructive

Evaluating

communication, should establish a positive relationship, and should

performance keep employees informed about their work; there should not be any information that is new or surprising to the employee at the end of the

Phase IV:

period. The department’s employee recognition program is two-tiered. It

Rewarding

includes (1) use of an annual performance award to recognize

performance employee contributions toward organizational goals and objectives and (2) use of other awards to recognize and reward individuals or teams for specific achievements at any time during the appraisal period. This balanced approach provides a comprehensive set of tools to motivate employees. DOE Performance Appraisal Process (DOE, 2010) Provide Career Paths and Developmental Opportunities Prospects for future career growth are a critical driver for employee engagement. Through the creation and application of an individual development plan (IDP), an employee should be able to clarify professional aspirations, and the supervisor can provide insights on potential career tracks. An IDP that provides a career path increases not only an individual employee’s motivation but also overall workforce retention. IDPs are used to guide employees and should be aligned with an agency’s mission, goals, and objectives. The principal purpose is to support employees in reaching their short- and long-term career goals while simultaneously improving their job performance. Although no regulatory requirements mandate employees to complete IDPs within the federal government, it is considered good management practice; many agencies expect their employees to complete or update their IDPs annually. An IDP planning process has some key benefits: • Identifies and tracks development needs • Supports agency’s training and development plans • Aligns employee’s training and development efforts with the mission, goals, and objectives of the agency. (OPM, 2013i) Many agencies have developed their own IDP planning processes, but all require communication and interaction between the supervisor and employee. OPM has recommended the following five phases when implementing and IDP planning process: 1. Preplanning. Supervisor and employee prepare independently for meeting. 2. Employee-supervisor meeting. Parties discuss employee strengths, areas for

improvement, interests, goals, and organizational requirements. 3. Prepare IDP. Employee, in consultation with supervisor, completes plan for individual development. 4. Implement plan. Employee pursues training and development identified in plan. 5. Evaluate outcomes. Supervisor and employee evaluate usefulness of training and development experiences. (OPM, 2013i) Individual development planning encourages employees to take ownership of their own career paths and can be a strong contributor to their overall engagement. Although an IDP is not a performance evaluation tool, it can help employees and supervisors set expectations for specific learning objectives, competencies, and performance outcomes. Best Practices in Implementing Individual Development Plans Small Business Administration Office of Disaster Assistance The U.S. Small Business Administration is an independent agency of the federal government that provides services to independently owned, for-pro t small businesses, including those owned by women, minorities, veterans, and disadvantaged people. The agency provides loans and loan guarantees, contract opportunities, disaster assistance, business development counseling, and an online library of small business information and resources. As part of its 2011–2016 strategic plan, SBA plans to “invest in” its employees to “more e ectively serve small businesses” (SBA, 2010:15). SBA’s O ce of Disaster Assistance (SBA-ODA) developed a guidebook that explains the responsibilities of the employee and supervisor in completing the IDP and outlines a step-by-step process for preparing an IDP (SBA, 2011). In addition, SBA deployed performance management software, called The Goalowner Application, that aligns employee objectives with the agency’s strategic goals. This automated tool links, manages, and tracks organizational strategic plans and individual development plans. Employees provide performance feedback information on themselves, their individual performance, and their accomplishments (SBA, 2011). Create a Positive Work Environment As previously discussed, OPM conducts annual governmentwide FedViewSurveys to

assess federal employees’ satisfaction and use the data to improve their work environments. Every year, PPS compiles and analyzes these data to provide an index score for each agency, thus creating a rankings list. These rankings were rst published a s Best Places to Work in the Federal Government in 2003, and they provide a comprehensive assessment of the federal work environment. The Best Places to Work score averages the responses to three survey statements/questions: 1. I recommend my organization as a good place to work. 2. Considering everything, how satisfied are you with your job? 3. Considering everything, how satisfied are you with your organization? (PPS and Deloitte, 2013:2) In addition, percentages of positive responses are averaged to produce an index score for questions in ten workplace categories: 1. Effective leadership 2. Employee skills/mission match 3. Pay 4. Strategic management 5. Teamwork 6. Training and development 7. Work-life balance 8. Support for diversity 9. Performance-based rewards and advancements 10. Alternative work and employee support programs. (PPS and Deloitte, 2013:2) From 2011 to 2012, governmentwide employee satisfaction declined 5 percent (from 64 points to 60.8). All ten workplace category scores declined; the largest drop was in satisfaction with pay (a 6.9 percent decline), and the next highest was in satisfaction with rewards and advancement (a 5.4 percent decline; PPS and Deloitte, 2012). The National Aeronautics and Space Administration (NASA) was ranked in rst place for “best place to work” among large agencies (15,000 or more employees) in 2012, followed by the intelligence community and the U.S. Department of State. Among

midsized agencies (1,000–14,999 employees), the Federal Deposit Insurance Corporation was ranked in first place and GAO came in second (PPS and Deloitte, 2012). Best Practices in Developing a Positive Work Environment National Aeronautics and Space Administration NASA had already been rated among the top ve large agencies for ve years in a row before taking rst place in 2012 (and again in 2013; OPM, 2013). But it faces the same challenges of pay freezes, budget cuts, and retiring employees as any other agency. So what is it they are doing right? Most of all, NASA’s management team continuously solicits employee input by conducting focus groups, requesting team recommendations, and implementing employee surveys on topics such as mission safety, program success, and work processes. In 2013, NASA solicited employee feedback to propose and then vote on a number of agency-speci c questions to be included in the upcoming FedView Survey (2013). The ten questions receiving the most votes were added to the 2013 survey. This feedback process provided critical input from employees, empowered them to think creatively, and engaged them by inviting them to share their experiences and opinions. When the leadership involved employees in this process, it sent an agencywide message that employees’ input is valued and will drive programs to enhance worker satisfaction. The FedView engagement surveys suggest that federal employees want to put their strengths to work on projects they are interested in, as well as being rewarded for their work. In 2010, NASA began tracking employee responses to the FedView Survey questions measuring workplace factors that can drive or hamper innovation: • I am constantly looking for ways to do my job better. • I feel encouraged to come up with new and better ways of doing things. • Creativity and innovation are rewarded. (PPS, 2012) According to NASA’s 2013 Annual Employee Survey report, “embedding innovation in the workplace culture and investing in the employee-supervisor relationship to get our job done even more e ectively and successfully” are important for both organizational and program success (NASA, 2013:1). Believing that “innovation and its drivers were the key to making headway in employee satisfaction … it has used the

data to inform its various workplace initiatives.” (PPS, 2012:7). The agency encourages innovation, using award programs that emphasize the innovative achievements of individuals and teams. Multiple NASA centers have provided funding for employees wanting to pursue new ideas related to their work. Other initiatives to connect employees to the NASA mission have involved the use of virtual environments. In addition to encouraging an environment of innovation, NASA has focused on leadership development, work-life balance, and other workplace issues to improve working conditions. It facilitates a leadership training program for all levels of its workforce, including new supervisors, intended to “transform the role of the supervisor from someone who manages others’ work to someone who engages employees and makes them feel excited about coming to work” (PPS and Deloitte, 2013:9). Another program to improve working conditions is a program called “detail in place,” which allows an employee to work for a di erent center while staying in his or her current location. Campaigns to educate and promote telework increase opportunities for NASA employees to work from home or other necessary locations. The “Work from Anywhere” program has improved employee’s perceptions of the workplace (PPS, 2013:8–9). Department of Defense Employee Engagement and Satisfaction Action Plan DoD identi ed four employee satisfaction categories that showed room for improvement, using OPM’s criteria and the new FedView Survey categories of leadership, work-life balance, performance management, and employee respect and opportunities. The resulting action plan’s design establishes objectives for each category, incorporating both output and outcome measures: • Leadership. Quantitative analysis performed for DoD by the Corporate Leadership Council, an executive membership organization, indicated that leaders and managers have a direct and lasting impact on employee satisfaction because they influence the values of the organization, develop goals and objectives, and lead the employee recognition process (2002). • Work-life balance. Employers have increasingly become aware of the relationship between sustaining a balanced life and the positive impact on overall employee satisfaction and productivity. • Performance management. Managers play a critical role in managing the performance of employees. Informal feedback and fair and accurate ratings are

vital elements to employee satisfaction (Corporate Leadership Council, 2002). • Employee respect and opportunities. Satisfied employees seek environments in which they believe they are respected and where there are opportunities for growth. DoD’s O ce of the Deputy Chief Information O cer spearheaded research into management practices for attracting, retaining, and engaging the current and future workforce as part of a research initiative by the Federal Chief Information O cers (CIO) Council, which identi ed the following strategic priorities for improving employee engagement: • Job fit: Matching the right person to the right job through use of competencies and work assignment types. • Enhancing the hiring process: Employing structured interviews and a work sample assessment. • Onboarding new employees: Deploying the Partnership for Public Service’s onboarding toolkit (PPS, 2008). • Professional development: Providing more information on job experiences, coaching, and formal learning. • Managing performance: Implementing a multigenerational performance management system. • Recognition: Creating a dynamic and personalized award system. • Time-off awards: Starting a flexible, individualized “time-off” award program. • Suggestion or invention awards: Creating an innovation culture. • Volunteerism opportunities and recognition: Implementing an award program for volunteers. (CIO Council, 2010:51–55)

REBRANDING THE FEDERAL GOVERNMENT It may be that attracting, retaining, and engaging the best job candidates will require a rebranding of the federal government, whose reputation has been tarnished. Such a rebranding will require an extensive focus on the following environmental factors:

• Pride in one’s work or workplace • Satisfaction with leadership • The opportunity to perform well at work • Satisfaction with the recognition received • Prospects for future personal and professional growth • A positive work environment with some focus on teamwork. As the federal government moves toward increased transparency and public participation, agencies are recognizing the impact good branding can have in creating an emotional connection between organization and stakeholders, including employees. Rebranding gives agencies the opportunity to improve the public’s perception of them, as well as their reputations as workplaces. Several initiatives have been implemented governmentwide to promote engagement among federal employees: the Open Culture Plan, implementation of the GovernmentWide Diversity and Inclusion Strategic Plan, creation of labor-management forums and the National Council on Federal Labor-Management Relations, and integration of the Goals-Engagement-Accountability-Results (GEAR) model into agency training plans. Open Culture Plan In the Open Government Directive memorandum issued on December 8, 2009, executive departments and agencies were told to take speci c actions to implement the principles of transparency, participation, and collaboration: • Transparency promotes accountability by providing the public with information about what the government is doing. • Participation allows members of the public to contribute ideas and expertise so that the government can set policies incorporating information that is widely dispersed in society. • Collaboration improves the effectiveness of government by encouraging partnership and cooperation within the federal government, across levels of government, and between the government and private institutions. (Orszag, 2009) The memorandum required executive departments and agencies to take the following steps:

1. Publish government information online. 2. Improve the quality of government information. 3. Create and institutionalize a culture of open government. 4. Create an enabling policy framework for open government. (Orszag, 2009) Speci cally, this directive is used by federal agencies to host online citizen engagement and public dialogue to promote transparency initiatives and improve existing communication infrastructures. The directive was also intended to enhance employee engagement and promote stronger commitment to improving government through hiring only the best people. In addition, the initiative is intended to foster a culture of ownership and accountability that values everyone’s contributions: [E]xternal stakeholders will be more engaged with OPM, and the workforce will be even more diverse on more dimensions—gender, generation, background, perspectives and thoughts, culture, race and ethnicity, (dis)ability

—leading to a workforce that is better able to understand the di ering people we serve and support. (OPM, 2010a:10)

Office of Public Engagement Formerly known as the O ce of Public Liaison, the O ce of Public Engagement (OPE) is a unit of the White House O ce in the Executive O ces of the President. In 2009, President Obama announced that the “o ce would seek to engage as many Americans as possible in the di cult work of changing this country, through meetings and conversations with groups and individuals held in Washington and across the country.” Under the Obama administration, OPE acts as a “point of coordination for public speaking engagement for the Administration and the various departments of the Executive O ces of the President” (White House O ce, 2009). It seeks to remove obstacles and barriers to engagement and improve public awareness of and involvement in the work of the administration. Government-Wide Diversity and Inclusion Strategic Plan U.S. demographics are shifting, requiring the federal government to serve a more culturally diverse population than ever before. For our government to e ectively meet the nation’s needs, its workforce must re ect the rich diversity and varied viewpoints of the American people. This necessitates creation of inclusive work environments that not only welcome and support employees from all backgrounds but also help agencies promote job satisfaction, improve organizational performance, and better achieve their missions.

President Obama issued an executive order “to promote the Federal workplace as a model of equal opportunity, diversity, and inclusion” (E.O. 13583). The GovernmentWide Diversity and Inclusion Strategic Plan, OPM’s implementation of E.O. 13583, is an initiative to improve federal workplace diversity and inclusion in a coordinated, collaborative, and integrated manner, providing guidance and shared direction for all agencies. Under it, three key goals should direct agency diversity and inclusion e orts: workforce diversity, workplace inclusion, and sustainability. Diversity is not enough; creating a workplace that is inclusive as well, regardless of an individual’s background, ensures that all employees feel included, connected, and engaged. The speci c recommended actions to achieve each goal are listed in Table 5.3 (OPM, 2011a). Goal 1: Workforce Diversity. Recruit from a diverse, qualified group of potential applicants to secure a high-performing workforce drawn from all segments of American society. Collect and analyze applicant data. Coordinate outreach and recruitment strategies to recruit from a diverse, broad spectrum of potential applicants. Ensure that outreach and recruitment strategies draw from all segments of society. Priority 1.1: Design and perform

Develop strategic partnerships with a diverse

strategic outreach and recruitment range of colleges and universities, trade schools, to reach all segments of society. apprentice programs, and affinity organizations from across the country. Involve managers and supervisors in recruitment activities. Review and ensure that student internship and fellowship programs have diverse pipelines to draw candidates from all segments of society. Review results of barrier analyses required under

the Equal Employment Opportunity Commission’s Management Directive 715,2 develop action plans Priority 1.2: Use strategic hiring initiatives for people with disabilities and for veterans, conduct barrier analysis, and support special emphasis programs (SEPs)1

to promote diversity within

the workforce.

to eliminate any identified barrier(s), and coordinate implementation of action plans. Use Schedule A hiring authority (Excepted Service Appointing Authorities)3 for people with disabilities and Veteran Hiring Authorities as part of strategy to recruit and retain a diverse workforce. Support SEPs and appoint SEP managers as advisors on hiring, retaining, and promoting a diverse workforce.

Goal 2: Workplace Inclusion. Cultivate a culture that encourages collaboration, flexibility, and fairness to enable individuals to contribute to their full potential and further retention. Review leadership development programs, determine whether they draw from all segments of the workforce, and develop strategies to eliminate barrier(s) where they exist. Priority 2.1: Promote diversity and Enhance mentoring programs within agencies for inclusion in leadership

employees at all levels with an emphasis on

development programs.

aspiring executive-level employees. Develop and implement a succession planning system for mission-critical occupations that includes broad outreach to a wide variety of potential leaders. Use flexible workplace policies that encourage employee engagement and empowerment, including, but not limited to, telework, flexiplace,

wellness programs, and other work-life flexibilities and benefits. Priority 2.2: Cultivate a supportive, welcoming, inclusive and fair work environment.

Use flexible workplace policies that encourage employee engagement and empowerment, including, but not limited to, telework, flexiplace, wellness programs, and other work-life flexibilities and benefits. Administer a robust orientation process for new federal employees and new members of the SES to introduce them to the agency culture and to provide networking opportunities.

Goal 3: Sustainability. Develop structures and strategies to equip leaders with the ability to manage diversity, be accountable, measure results, refine approaches on the basis of such data, and institutionalize a culture of inclusion. Affirm the value of workforce diversity and inclusion in each agency’s strategic plan and include them in workforce planning activities. Develop an agency-specific diversity and inclusion strategic plan, and implement that plan, through collaboration and coordination with the Chief Human Capital Officer, Equal Employment Priority 3.1: Demonstrate

Opportunity Director, and Director of Diversity (if

leadership accountability,

any).

commitment, and involvement regarding diversity and inclusion in the workplace.

Ensure that all SES members, managers, supervisors, and employees throughout the agency have performance measures in place to ensure the proper execution of the agency’s strategic plan, which includes diversity and inclusion, and that all

are trained regarding relevant legal requirements. Develop and widely distribute a set of diversity and inclusion measures to track agency efforts and provide a mechanism for refining plans. Priority 3.2: Fully and timely

Employ a diversity and inclusion dashboard with

comply with all federal laws,

metrics as a tool for agency workforce planning

regulations, executive orders,

and reporting.

management directives, and policies related to promoting diversity and inclusion in the federal workforce.

Timely submit to OPM reports required by federal laws, regulations, executive orders, management directives, and policies. Create a formal diversity and inclusion council at each agency with visible leadership involvement. Participate in and contribute to OPM’s Diversity

Priority 3.3: Involve employees as

and Inclusion Best Practice Program, pursuant to

participants and responsible

E.O. 13583.

agents of diversity, mutual respect, and inclusion.

Ensure all employees have access to diversity and inclusion training and education, including the proper implementation of the agency-specific diversity and inclusion strategic plan as well as relevant legal requirements.

TABLE 5.3. Federal Government-Wide Diversity and Inclusion Goals OPM, 2011a.

National Council on Federal Labor-Management Relations In response to the president’s 2009 executive order creating labor-management forums, described therein as

complements to the existing collective bargaining process [that] will allow managers and employees to collaborate in continuing to deliver the highest quality services …

the National Council on Federal Labor-Management Relations (LMR) was established in 2010. LMR provides general guidelines for establishing collaborative relations among federal employees, union representatives, and management agencies. It examines employee performance, evaluates labor-management relations, inspects departments’ and agencies’ processes, and advises the president on “matters involving labormanagement relations in the executive branch” (E.O. 13522, 2009). Labor-management collaboration is an essential step toward increasing e ciency and includes the establishment of performance metrics. Furthermore, to increase employee engagement, collective bargaining can provide a structured framework giving employees a voice in workplace matters. A working group (the “Employee Performance Management Workgroup”) of LMR and the federal Chief Human Capital O cers Council (created to advise and coordinate member agencies’ activities in modernizing and improving HR systems) established a strategy for developing better ways of selecting the right people for supervisory positions, adequately training them, and subsequently supporting them in meeting their responsibilities. Noting that federal employees continue to give low marks to their performance management systems for fairness—so that the need to engage and enable federal employees at all levels has become a critical issue—the group recommended the implementation of the GEAR model to improve federal performance, better connect employees and supervisors, and implement bottom-up employee performance management while also setting bureaucratic organizational performance requirements (Employee Performance Management Workgroup, 2011). Goals-Engagement-Accountability-Results The GEAR model is a strategy for creating high-performing organizations that are “aligned, accountable, and focused on results” (Employee Performance Management Workgroup, 2011:4). Although GEAR is a governmentwide initiative, it did not make changes to the existing personnel system. It was initially piloted by OPM and four other agencies: DOE, the U.S. Coast Guard, Department of Veterans A airs, and Department of Housing and Urban Development. Table 5.4 summarizes the recommendations of the workgroup; the recommendations are interrelated processes intended to create a culture of engagement, thus helping to rebrand federal agencies as efficient, effective workplaces. Recommendation

Task

Articulate a high-

Require all agencies to identify and articulate their desired

performance culture agency culture and focus on employee engagement, development, performance, and accountability and how that culture fits in with governmentwide performance improvement. Align employee

Drive ongoing alignment and cascading of established

performance

organizational performance objectives down through executive,

management with

manager, supervisor, and employee performance goals via an

organizational

agency’s management board (vest authority with an existing or

performance

newly established board) responsible for improvement of

management

organizational and employee performance. Require a formal mechanism for internal agency coordination of alignment and accountability for performance management at the organizational and employee levels. The Performance Management Integration Board, chaired by the Performance Improvement Officer (PIO) and Chief Human Capital Officer (CHCO), would focus on linking organizational performance objectives to employee performance management mechanisms consistent with the Government Performance and Results Act Modernization Act of 2010.

Implement

Agency leaders will be accountable to the President’s

accountability at all Management Council (which advises on reform initiatives, levels

provides performance and management leadership, and oversees governmentwide policies and programs) and the White House Chief of Staff for improvements to organizational performance from the effective use of employee performance management. All employees at every level share in the responsibility to actively seek and encourage engaged feedback that is informed by collective use of metrics, perspectives, and best practices.

Ensure that performance expectations and consequences of poor performance are clearly communicated to all employees and that both employees and supervisors are held accountable for their performance. Fully utilize agency labor-management forums and the perspectives of management associations where a formal consultative relationship exists. Improve third-level supervision (management of supervision) by implementing training on how to manage and evaluate supervision for higher-level managers. Create a culture of

Improve employee and supervisor engagement through two-way

engagement

communication as an integral part of performance management, and foster and require a culture of ongoing feedback via an improved cycle of regular formal progress reviews, informal interactions, and continuous learning for employees at every level on giving, receiving, requesting, and utilizing feedback.

Improve the

Focus the selection process for supervisors on identifying

assessment,

competencies required.

selection, development, and training of supervisors

Require that supervisory performance plans include an element to ensure that all supervisors are given time for and are rated on their exercise of supervisory responsibilities, including timely and effective performance management and feedback. Implement mandatory training for supervisors on An employee performance management roadmap, including employee feedback and engagement. PIO-delivered training on agency performance management systems, including a strategic plan, goals, high priorities, and key performance targets.

Agencies should also implement programs designed to identify and develop future leaders by making training on supervisory and people management skills broadly available throughout the workforce. These recommendations should be carried out fully utilizing agency labor-management forums and should also include the perspectives of management associations where a formal consultative relationship exists. TABLE 5.4. GEAR Recommendations Employee Performance Management Workgroup, 2011.

Best Practices in GEAR Office of Personnel Management According to its 2013 nancial report, OPM remains in the lead on testing the GEAR system among the ve agencies, although each agency has created a comprehensive action plan using the GEAR model. All OPM employees have quarterly performance progress reviews that gauge their progress and improve employeesupervisor engagement through two-way communication. To ensure that quarterly goals are accomplished, all supervisors, managers, and executives commit to a gencywide standardization of performance requirements. Currently, OPM is developing new training for supervisors and employees that emphasizes employee performance management and communication. OPM has thus integrated GEAR training into its development activities to make performance management part of day-to-day business for all its supervisors and managers. This focus on the GEAR recommendations should serve as a model for other agencies in how to “make e ective performance management part of their ‘DNA.’” An example of a new mandatory OPM supervisor course, using “structured conversations” to provide tools for improving engagement and accountability, is titled The Five Conversations: How Leaders Release the Potential of People. The objectives of this training are to • Provide a senior leadership forum on performance culture

• Identify systemic performance barriers • Examine systemic drivers for enhanced performance • Update the executive role in leading performance • Understand the principles of the Five Conversations • Brainstorm solutions to organizational barriers • Foster a leadership community of practice. (OPM, 2013:13) These initiatives are part of the ve key components of OPM’s new Supervisor and Management Development Framework, implemented to meet statutory and regulatory training requirements as well as to “develop and sustain leadership and management skills”: 1. Supervisory competency assessment 2. Leadership development plan 3. Mandatory supervisory courses 4. Supervisory cohort groups 5. Optional supervisory courses. (OPM, 2013:12)

In a period of dwindling budgets and escalating demands for high-quality services, optimal productivity from federal employees is critical to performance outcomes. By improving employee engagement, federal agencies can enhance performance and increase individuals’ productivity while implementing cost-e ective strategies to support each agency’s organizational objectives. Employee engagement is a direct approach to creating a satis ed and more productive workforce. Engaged employees believe that their organizations value them and in return are more likely to expend extra effort to deliver high performance. 1

SEPs address the unique concerns of the following populations: African Americans; American Indians/Alaska Natives; Asian Americans/Pacific Islanders; persons with disabilities; Gay, Lesbian, Bisexual, and Transgender individuals;

Hispanic individuals; and women in achieving diversity, inclusion, and equal opportunity in employment activities (see www.ocio.usda.gov/sites/default/files/docs/2012/DR4230-002.htm).

2

Policy guidance and standards for establishing and maintaining effective affirmative employment programs (see www.eeoc.gov/federal/directives/md715.cfm).

3

See https://www.opm.gov/policy-data-oversight/disability-employment/hiring/#url=Schedule-A-Hiring-Authority.

CHAPTER 6 Retaining the Best People Jong Gyu Park and Maria Spencer

I

t is important that the federal government understand, and respond to, workforce retention issues, not only to retain key talent but also to manage morale and e ciency issues that are linked with employee turnover. Since unemployment rates and turnover are negatively correlated in both the private and public sectors (Figure 6.1), it is essential for employers to predict how their workforces will respond to uctuations in the labor market, especially when unemployment is low. If employers do not monitor and understand the reasons their employees leave during periods of high unemployment, quit rates could easily increase when the economy recovers, the unemployment rate drops, and employee mobility increases.

FIGURE 6.1. Overall U.S. Unemployment Rate and Quit Rates by Sector: 2008–2012 Data

from

the

Bureau

http://data.bls.gov/timeseries/LNU04000000.

of

Labor

Statistics: www.bls.gov/news.release/jolts.t16.htm;

Frank et al. de ned retention as “the e ort by an employer to keep desirable workers in order to meet business objectives” (2004:13). Employee retention means the existence of a continuing employment relationship. Conversely, employee turnover can be de ned as the employee’s separation from the employment relationship, whether voluntary or involuntary (Huang et al., 2005). High turnover can be costly in terms of recruiting, onboarding, and training expenses as well as sta time and e ort to ll a position and train a new hire. However, this does not mean that a zero percent turnover rate is desirable either, because unnaturally low turnover rates could result in a

stagnant workforce or an outdated skills base. Successful organizations must strike a balance between turnover and retention; the loss of top performers puts intolerable strain on work ow management and leads to spiraling costs in the organization, while retention of irrelevant skills or unproductive workers drains resources. Retention itself has not been di cult for the federal government; security, bene ts, and a promotion system that favors seniority have all contributed to the graying of the workforce and entrenchment of sta in middle management roles. Retention of top talent, however, has not been particularly well executed by the federal system, which is still struggling to integrate merit- and competency-based standards throughout its human resource (HR) management efforts (OPM, 2014c). The integration of merit-based hiring, training, and promotion practices is designed to o er a clear promotion and development path to top performers and to make federal employment less attractive to security-seeking marginal performers likely to entrench themselves in the civil service and accrue tenure-based, prescheduled promotions. The speci c federal programs discussed in this chapter represent the combination of OPM’s central in uence with regard to strategic core competency development and the agencies’ localized control over other professional details and priorities. Several White House administrations have made e orts to chip away at the millionplus “managers” in the federal government—a management glut that that came to be known as “The Bulge.” This name was coined in light of the large proportion of federal workers classi ed as middle management or higher in 1982: 72 percent (Light, 2000), a rate nearly three times that in private industry. The negative attention paid to bloat in the federal ranks contributed to hiring freezes in the 1990s, which only accelerated the aforementioned graying of the federal workforce and promoted its unnatural stability. Now, as the federal workforce becomes retirement-eligible and the pendulum prepares to swing in the other direction, the federal government must plan not only to replace a large percentage of its sta but also to update its HR policies to attract and retain the highest-performing members of a modern workforce whose values have shifted from career-long security toward meaningful work and personal ful llment (Light, 2000). OPM’s most recent e orts to modernize onboarding and promotion e orts for federal staff include • Communicating better with candidates through the hiring process and allowing candidates to track the status of their applications online • Empowering hiring managers at the agency level with more latitude in the interview and candidate communication process (Kopp, 2011) • Increasing efforts to market the Senior Executive Service training and development program to women and minorities

• Eliminating the requirement that individuals with disabilities must obtain a “job readiness certification” (Miller, 2013). THE SIGNIFICANCE OF RETENTION It has been shown that employee turnover has an immediate negative in uence on organizational e ciency due to the loss of knowledge and skills, the negative impact on employee morale, and the expense of recruiting, hiring, and training replacement workers (Kacmar et al., 2006). Therefore, many organizations use various retention e orts to (1) reduce vulnerability to the loss of key individuals, (2) keep top performers, and (3) maintain knowledge, thus avoiding spending more time, money, and e ort later to recruit new talent. Why Do Productive Workers Leave? Employees leave organizations for a variety of reasons, but research suggests that most actually quit their supervisors, not their jobs. Con ict with supervisors is predictive of employees’ turnover-related intentions (Frone, 2000). Interpersonal issues are frequently cited as a reason for departing from an organization—underscoring the importance of the government’s e orts to incorporate merit-based promotion. Leadership and management skills must be properly valued in promoting employees into supervisory roles, or those employees may nd themselves unequipped to handle personnel issues. Turnover is also often driven by the opportunity for career advancement. Without opportunities to move up within an organization, talented employees may be forced to move out and take their skills elsewhere. This may have been a driving consideration when the federal government decided to emphasize performance-based recognitions and promotions. Cultural change can be painfully slow, however, and e orts to standardize performance appraisal systems across agencies—and ultimately to link incentive pay to performance—are progressing slowly. To better facilitate pay-for-performance programs, OPM instituted a performance review board to promote consistency and transparency across agencies. At the heart of OPM’s e orts lies a requirement that at least 60 percent of a senior executive’s performance plan be based on the achievement of results (GAO, 2008). Why Is Retention So Important? Retaining skilled workers is essential to an organization’s ability to maintain continuity in its goals, leverage the experience of tenured workers, and promote stability within its culture. Savvy organizations develop career ladders and lattices that allow them to

develop and promote their most talented workers, so that the organization realizes an increasing return on its training and development investment as these talented employees rise through the ranks into roles of increasing significance. Organizations that fail to retain their workers often struggle to realize the bene ts of their training investments as employees depart with the knowledge and skills the organization invested in them. Although it is di cult to fully calculate the cost of turnover (including hiring costs, training costs, productivity loss, etc.), most experts agree that it represents a significant portion of an organization’s total labor cost. Turnover can be quite costly in many ways; depending on the position and the industry, the cost of replacing a person may be roughly equivalent to a year’s salary or more. Additional indirect costs may include inferior customer service provided by lessexperienced sta , loss of continuity in projects, or general instability in the culture that can reduce morale and hinder the organization’s ability to recruit new, talented workers. Some turnover is likely to be in an organization’s best interest. Over time, the skills that an organization needs are likely to evolve and change, so that skills held by some of its workforce will no longer be relevant. Some sta will not be a good t with the new culture that has been cultivated. One of the more delicate truths about retention is that sometimes the organization is better served by not retaining an experienced employee. Best practices in HR management and development focus on retaining the best talent for the organization. In practice, this is often achieved with merit-based recognitions and rewards that incentivize workers according to their contributions. When used in place of tenure-based recognition systems, merit-based recognitions and promotions help to mitigate the potential impact on organizational e ciency and morale when recognitions and rewards are given on the basis of anything but performance factors. Effective Retention Strategies and Programs Retention strategies and programs aim to identify and retain individuals with the most well-developed and valuable skills, knowledge, and experience and to ensure that this high-performing talent stays in the organization for the long term. Thus, the objectives of a retention strategy should include (1) reducing organizational risk associated with the loss of high performers, (2) keeping high performers productive, and (3) maintaining organization knowledge and networking power. Such a retention strategy should be a part of the total HR strategy and should be closely aligned with organizational workforce planning (International Personnel Management Association, 2002).

Each element of an organization’s retention strategies and programs must be prepared and designed to align with the values of the individuals identi ed as high performers. That is, retention strategies and programs must meet the needs of both the individual and the organization. Retention programs also need to be designed to t with organizational values, to reward performance, and to encourage career development for individuals who have been identi ed as key retention candidates in the organization. The following are well-known retention program options that should be used in preparing an action plan for key individuals: • Job enhancement. Expand work options by extending the range of job duties and responsibilities (job enlargement), providing vertical job opportunities (job enrichment), and assigning critical projects. • Training and developmental opportunities. Support learning and career development for individuals and provide feedback and learning opportunities based on assessment. • Salary review. Review individual salaries to ensure not only internal organizational salary guidelines but also competitiveness with the external job market. • Employee value proposition (EVP). Maintain a value proposition for employees, not just for customers. EVPs can be defined as the experience offered by an employer in exchange for the productivity and performance of an employee. • Special fast-track or “high-potential employee” programs. Establish highly selective programs linked to career and leadership development of high performers. • Analysis of turnover. Analyze employee turnover trends to gather and evaluate employee perceptions of the reasons for turnover (e.g., conduct exit interviews). • Cash incentives: Severance offers protection in the event of termination without cause. Stay bonuses are paid to an employee who stays with the organization for a specified period. Performance incentives are bonuses tied to future performance goals. As part of their retention programs, organizations should also consider restructuring job and work processes to allow exible work schedules, job-sharing arrangements, and telecommuting programs. Reorganizing the work environment around teamwork and empowerment will give employees new skills and give the organization insight into its work processes. Employees should be encouraged to continuously identify areas for

potential improvement and to collaborate to solve problems; front-line employees should be empowered to make more decisions about how work should be done. Retention in Federal Government Leaders in the federal government are attempting to change the federal work culture by aligning workforce planning with each unit’s goals and unifying programs across the government to move promotion and recognition programs away from automatic, tenure-based, noncompetitive ranking systems toward an integrated talent management system. These initiatives must overcome a long history of tenure-based promotions and a culture of stagnation and entitlement. To guide and inform their improvement e orts, leaders have increasingly turned to research from both the public and private sectors. OPM has studied retention as it relates to workplace, environmental, demographic, and organizational factors. Across sectors, correlations have been drawn among age, positive interpersonal relationships, and workplace satisfaction (Pitts et al., 2011). This research underscores how important it is that retention strategies resonate with younger workers, ensure that managers have appropriate supervisory skills, and account for the importance of work processes in each worker’s decision to remain committed to an organization. A FEDERAL GOVERNMENT RETENTION STRATEGY OPM faces challenges integrating a merit-based retention system into a federal government culture that has historically favored loyalty above all else (OPM, 2014b). Adopting retention initiatives also has to account for changing demographics in the government workforce; the percentage of federal workers more than 55 years old increased more than ten percent between 1998 and 2010, while workers aged 39 to 49 declined more than 12 percent during the same period (Copeland, 2011). This demographic shift testifies to the federal government’s difficulty attracting and retaining younger workers. Light (2000) found that the Millennials entering the workforce tend to value the nature and impact of their work more highly than the security of a particular position. As the federal government relies more and more on contractors to deliver government services, talented younger workers have the option of providing those services without ever becoming a government employee. Although this approach may arguably lend some e ciency to government service, it also creates a degree of instability in the federal workforce and complicates long-range workforce planning. To overcome these and many other challenges, OPM has increasingly sought research and best-practice solutions from private industry. For example, in 2010 President Obama organized the White House Forum to Modernize Government. The goal of this particular e ort, in addition to seeking technology best practices from private industry,

was to identify the leadership characteristics that the federal government could implement from corporate leaders (White House, 2010). Agencies are encouraged by OPM to measure their own HR management and development outcomes: • Type of work asked of employees • Regularity and nature of feedback and coaching • Opportunity for employees to learn • Training and development effectiveness • Recognition of merit and performance. (OPM, 2014b) OPM has identified priorities for federal agency retention: • Designing job announcements that attract the best candidates • Developing effective employee orientation programs • Building a culture of high performance • Designing career development plans • Developing effective mentoring programs • Implementing coaching programs • Designing easy-to-use performance management systems • Analyzing factors that impact turnover • Identifying management and supervisory best practices for retaining great employees. (OPM, 2013) As part of e orts directed at retaining talented workers, OPM has integrated succession planning e orts into its practices in the form of professional development programs. These require nominations and applications and awarding membership on a competitive basis. A prime example is the Senior Executive Service, which competitively selects trainees based on skill and experience criteria and grooms the most promising sta for executive-level service with a series of classroom and eld-based educational experiences, team training, and leadership development (OPM, 2014b). Such programmatic e orts not only recognize good performance but reward it; they route top talent into training and development, thereby maximizing the value of senior staff.

Long-term career opportunities for the workforce have also been considered by OPM. A 2004 Merit Systems Protection Board (MSPB) report suggested that the agencies need to hire workers who will stay for a long period, because workers who perform consistently well during the long term contribute positively to long-term organizational performance (MSPB, 2004). The most recent OPM strategic plan operationalizes the concept of aligning organizational strategy with talent management practices by ensuring that sta are aware of their impact on the government’s performance. This is done with targeted training and agency reporting that includes human capital metrics (OPM, 2012f). NONCOMPENSATIONAL PRACTICES FOR RETENTION Noncompensational retention practices can reinforce motivation and maintain morale and productivity. Nonmonetary retention programs include employment branding, performance management, turnover analysis, strategic planning, succession planning, work-life balance, and so on. Monetary rewards are used to motivate and retain talent in the federal government. However, many retention programs also focus on noncompensational factors that avoid pay-level con ict, enhance employees’ positive attitudes, and contribute to intrinsic motivation. Enhancing the Organization’s Image Consumer perception is the image of an organization derived from all interactions, experiences, and touch-points with a product or service. This can be managed by organizational e orts to create a positive image of the product or service. Similarly, an employer image can be managed to make a clear and lasting impression of what it’s like to work for an organization. Employment branding serves as the foundation that de nes the value of a job and drives the culture, attitudes, and behaviors of employees. Thus, HR professionals agree that an organization should strive to improve its image and be a place where people want to work. As an example, the Government Accountability O ce (GAO) developed a two-year professional development program to keep entry-level employees happy and satis ed with their jobs. The key element of the program is a requirement to work in at least three di erent positions during the rst two years of employment. This program gives new employees the opportunity not only to gain various experiences, but also to get a broad view of the organization. GAO conducted and analyzed feedback through a survey of entry-level employees to estimate their satisfaction with aspects of organization and their jobs (Horan, 2007) and, armed with this greater understanding, developed the program to help retain new hires. This program is also closely related to employment branding, the building of a belief

among potential employees that an organization has a desirable work environment relative to other organizations (Ewing et al., 2002). One well-known example is the U.S. Army, which has used various employment branding programs, including recruitment advertising campaigns such as “Army Strong” and “O cership,” to showcase the bene ts of a career with the U.S. Army. According to Keeter (2008), these employment branding initiatives in the army have led to an increase in recruitment numbers and enhanced its employer brand. Performance Management Performance management is a process that links employees and their jobs to the strategy and objectives of the organization. It is also a systematic approach to managing employees that relies on positive reinforcement as the major way of optimizing their performance. Built on the belief that employees are motivated when they are in the process of achieving an organizational performance and goal, performance management approaches help maintain employee morale by providing adequate feedback and rewarding for good performance as it relates to the success of the organization. In its Handbook for Measuring Employee Performance (2011), which provides standard performance management guidelines for federal supervisors and employees, OPM describes performance management as a systematic, cyclical process of (1) planning work and setting expectations, (2) continually monitoring performance, (3) developing the capacity to perform, (4) periodically rating performance in a summary fashion, and (5) rewarding good performance (Figure 6.2). This process involves setting performance goals and then evaluating how well employees meet these standards. Feedback is later given and recommendations are made as to which employees are to be promoted. All employee accomplishments are also acknowledged as a way of recognizing results. Thus, employees can be motivated and engaged through the performance management process.

FIGURE 6.2. Performance Management’s Five Key Components OPM, 2011b.

Analyzing Turnover Determining the strategies to use to retain employees requires understanding not only who is leaving but also why. A range of potential reasons for employee turnover exists, such as lack of management or leadership skill and low levels of employee motivation and commitment. Until there is certainty as to the underlying causes of turnover, any attempt at remedial action is premature. Organizations should periodically examine retention policies and techniques and analyze the e ectiveness of current programs. Organizations lacking a formal retention program should consider implementing exit surveys and interviews as a means of identifying and analyzing problems. The Treasury Department’s standard exit survey can be used across the Department’s branches (Figure 6.3). This survey helped pinpoint the speci c reasons employees decided to leave the organization as well as the degree of importance employees assigned to each factor that contributed to their decision to quit the job. The U.S. Patent and Trademark O ce also conducts in-depth exit surveys to better understand why employees are leaving. The exit survey is designed to obtain candid feedback regarding the circumstances under which employees leave and to give employees an opportunity to make suggestions to improve the organization.

FIGURE 6.3. Section of the Department of the Treasury Agencywide Exit Survey

Treasury, 2014. Questions 1–15 of the survey (not shown) are general demographic questions.

OPM has also emphasized the importance of retention among its senior management sta . It conducts exit interviews to collect turnover data and involves front-line supervisors and HR sta in analyzing and responding to the data with integrated planning efforts (OPM, 2005e). Strategic Planning The 1993 Government Performance and Results Act (GPRA) was implemented to aid agencies in focusing on results. Its goal was to improve federal program e ectiveness, accountability, and internal management by requiring assessment of organizational results through strategic planning and performance measures. Strategic planning can link employee performance to strategic organizational goals and motivate employees by sharing information with them about those strategic goals. Thus, strategic planning ensures the e ectiveness of HR programs such as performance management, attraction, and retention by communicating details that increase employee motivation and retention. When HR programs communicate e ectively, employees receive clear messages about organizational goals, strategies, and objectives. Employees with clear awareness of organizational goals understand how their actions in uence organizational performance. According to Howard and Gould (2000), strategic planning positively influences employees’ work performance, absenteeism, and retention, because it includes procedures for the organization to listen carefully to employees and respond to their needs. Following the guidelines laid out in GPRA, federal agencies carry out a three-step strategic planning process (Figure 6.4).

FIGURE 6.4. Simplified GPRA Strategic Planning Process OPM, 1999a:5.

Because sharing business information and engaging in constant communication with employees are key factors in e ective talent management and retention (WorldatWork

and Towers Watson, 2009), the GPRA strategic planning process can be an e ective strategy for agencies seeking to improve employee retention. It allows them to map out what retention goals they want to achieve, where they are in relation to these goals, and how they plan meet them. For instance, Department of Defense GPRA performance planning involved measures to indicate progress in achieving organizational attraction and retention targets, measuring not only the overall quality of recruitment o cers and enlisted personnel but also its first-year retention rate. Succession Planning Succession planning has long been a strategic employee retention method, especially in the private sector. A retention program is part of a broader people-oriented strategy developed for the future of organizations and is closely linked to organizational design and staffing. Rothwell (2001) de ned succession planning as the process that helps ensure the stability of tenure of employees. Succession planning includes any organizational e ort designed to ensure continued e ective performance by making provisions for the development, replacement, and strategic application of key employees. Many studies have shown that well-designed and well-structured succession planning e orts can assist in retention, perhaps because employees are heartened to learn that management is interested in their career advancement and in providing the training needed to achieve their career goals. Often, “lack of career advancement” is a primary motivating factor in employee turnover. Many federal agencies have recognized this, and some work with employees to create workforce plans, including personal development plans. Retention is more successful when employees are aware of their personal and career development prospects. Succession planning starts when a key position or positions are identi ed as being at risk of attrition. In the past, succession planning targeted only key leadership positions in the organization; however, it is important to include key positions in a variety of job categories for today’s organizations. The National Institute on Aging (NIA) chose three job categories as key positions: supervisory/senior health administrators, senior research assistants/lab technicians, and administrative o cers. Using data gathered from focus groups of employees, the NIA developed speci c plans not only for dealing with these speci c groups but also with overall retention in the organization. NIA also uses the following succession planning strategies (PPS and Booz Allen, 2011): • Diversity of strategies. Various techniques are used to retain employees at all stages of their careers. • Competency-based hiring. The NIA attempts to find the best candidates to fill open positions.

• Leadership development. A leadership speaker series was developed so that senior managers can share knowledge and experiences. • Communication plan. This organizationwide plan is designed to promote retention and succession strategies by explaining how important it is to retain employees and by encouraging employee feedback. Work-Life Balance Well-designed work-life balance programs, such as exible work schedules or childcare services, represent one of the best approaches to retention, because a good work-life balance is becoming more and more important to federal employees (Bertelli, 2007). OPM provides such bene ts as telework, exible work scheduling, and a compressed workweek to federal employees. Table 6.1 describes some of the programs that federal agencies provide for their employees.

TABLE 6.1. Federal Work-Life Balance Programs .

OPM 2005f, 2014d.

OPM already supports exible work schedules and encourages agencies to support telecommuting, but not all supervisors feel comfortable with this approach and may need support beyond what their agencies can provide. OPM’s O ce of Work-Life Wellness serves federal agencies with assistance, guidance, and general information pertaining to employee wellness programs. OPM has created formal working groups, sponsored training sessions for agency o cials, and made sure that guidelines are in place for work-life programs. Most agency o cials who responded to a GAO survey reported that OPM’s help was most welcome and effective (GAO, 2010). COMPENSATIONAL PRACTICES FOR RETENTION Compensational programs such as retention incentives, recognition incentives, student loan repayment, tuition assistance, and the like are traditionally used to motivate and

retain talent in federal agencies. These monetary rewards are used in an e ort to emphasize the message that employees are valued in the organization. Retention Incentives Retention incentives or bonuses are one of the few—and most e ective—tools to retain an employee who has received a job o er elsewhere and is seriously considering leaving an organization. OPM has implemented retention incentives as tools to improve the attractiveness of the federal government as an employer since 1991. Moreover, federal agencies have had the exibility to use nancial compensation as part of the recruitment, relocation, and retention incentives needed to attract and retain a highly quali ed workforce. OPM has issued guidelines for agencies to follow in using this authority: • An agency may pay a retention incentive to a current employee if the agency determines the unusually high or unique qualifications of the employee or a special need of the agency for the employee’s services make it essential to retain the employee and the employee would be likely to leave the federal service in the absence of a retention incentive. • An agency may also authorize retention incentives for a group or category of employees under these conditions. • A retention incentive may not exceed 25 percent of the basic pay rate for an individual employee or 10 percent for a group or category of employees. (OPM may approve retention incentives in excess of these limits of up to 50 percent of basic pay.). • The incentive may be paid in biweekly installments without a service agreement, in other installments after the completion of specified periods of service within the full period of service required by a service agreement, or in a single lump sum after completion of the full period of service required by a service agreement. (OPM, 2013h) According to a former director of OPM (Berry, 2010), the central agency’s retention incentive program has proven to be a valuable compensation tool. As a result of its positive evaluation of the program, OPM has developed more guidance and tools to help agencies not only set stronger justi cations for retention incentives but also establish more explicit internal monitoring processes. OPM also proposed regulations to require federal agencies to review retention incentives annually to determine whether they should be revised or discontinued.

Recognition Incentives Employee recognition is an e ective element of an employee retention program. This means providing incentives and recognition to employees for their performance and acknowledging their contributions to organizational performance. OPM also acknowledges talent contributions and good performance with a formal cash incentive and recognition awards programs. Each agency in the federal government has discretionary authority to grant an employee a lump-sum cash award based on a “fully successful” or better rating of record. These are called rating-based cash awards. OPM recommends that each agency provide not only grant rating-based cash awards but also other cash awards. A cash award may be granted to an employee, individually or as a member of a group, in recognition of accomplishments that contribute to the e ciency, economy, or other improvement of government operations (OPM, 2008). Agencies also use honorary and informal recognition programs that use recognition gifts as awards to acknowledge individual and group performance. Recognition gifts must • Be something the recipient could reasonably be expected to value, but not something that conveys a sense of monetary value. • Have a lasting trophy value. • Clearly symbolize the employer-employee relationship. • Take an appropriate form to be used in the public sector and to be purchased with public funds. (OPM, 2013h) Student Loan Repayment Agencies also may repay certain types of federally made, insured, or guaranteed student loans to attract job candidates or retain current employees; they are authorized to set up their own loan repayment programs to attract or retain highly quali ed employees. Agencies may make payments to a loan holder of up to $10,000 for an employee in a calendar year and not more than $60,000 in total for any one employee. In return, employees must sign a service agreement to remain in the service of the paying agency for a period of at least three years (OPM, 2008). Tuition Assistance Federal laws and regulations provide many ways to support employees’ training and

development. Agencies are encouraged to use this exibility to meet agency needs and support employee self-development and learning; they may o er employees assistance to attend academic courses that are job-related (OPM, 2012d). Within a tuition assistance program, agencies pay for individual courses or classes, and although employees are not required to compete for funds on the basis of merit, supervisors should adhere to the type and title of training when choosing which classes or courses to pay for. Generally, tuition-related programs require that employees work at least a year in the federal government. Sometimes increased pay is available for employees who need to use a language other than English, and agencies can also o er subsidies for childcare and transportation. Other Benefits The federal government provides an array of traditional and contemporary bene ts to employees, retirees, and their families to help attract and retain the best talent, such as health bene ts, thrift savings plans, exible spending accounts, de ned-bene t pension plans, life insurance, and long-term care insurance. Employee turnover, particularly during turbulent economic conditions when organization must adapt rapidly to market changes, is a critical and expensive problem for many organizations which have neither human nor nancial capital to spare. In this respect, the federal government is no di erent than organizations in the private sector, as evidenced in this chapter’s coverage of OPM’s retention e orts, which include compensational practices such as retention incentives, recognition incentives, and tuition assistance, and also noncompensational practices like employment branding, turnover analysis, succession planning, and work-life balance. As outlined, monetary rewards have traditionally been used by the federal government to motivate and retain talent. However, compensation has proven to be neither a major motivator nor an e ective retention tool. Rather, noncompensational factors should be used to avoid pay-level con ict and enhance employees’ intrinsic motivation by attending to work-life balance and other issues more directly associated with employee morale. The federal government must develop and renew its retention strategies, programs, and techniques to incorporate not only compensation but also other reward practices that can be benchmarked from both the private and public sectors.

CHAPTER 7 Knowledge Transfer Christos Anagiotos, Catherine Haynes, and James Alexander

H

uman beings learn from one other because this behavior comes naturally to us (Vygotsky, 1978). As modern humans, we nd ways to communicate and transfer ideas and information from one to the other through conversations, books, videos, the Internet, and other means. However, despite the importance and value of all this knowledge, its transfer does not always operate e ciently—especially in large and complicated organizations, such as government agencies, where complex structures, strict rules and procedures, and the division of labor (e.g., specialization) may complicate communication between individuals. In such cases, carefully designed and maintained knowledge transfer practices are required for knowledge to ow to where it is needed. Why, though, is knowledge transfer so important for large organizations like the federal government? Why do we need to include knowledge transfer in the talent management process if we are already applying the best human resource practices presented in previous chapters? We may nd answers in basic principles of knowledge and knowledge transfer. It is widely understood in both the academic and professional communities that a clear correlation exists between experience and knowledge (Bion, 1962; Boud et al., 1993; Kolb, 1984). Experience is not just a way to acquire knowledge; it can also facilitate the generation of new knowledge. For example, a new employee can acquire necessary knowledge by performing his or her job for some time, thus gaining more experience (“acquisition of existing knowledge through experience”); on the other hand, an experienced employee, using experience as a guide, can o er an innovative suggestion that will solve a problem or make a process more e cient (“generation of new knowledge through experience”). Although hiring the right person with knowledge relevant to the job is key (as discussed in Chapter 2), most of the knowledge a worker uses is acquired on the job. Especially when working, people learn by doing and, usually, the more they perform a task the better at it they become: They learn from practice, from repetition, from mistakes, from trial and error. Naturally, then, more-experienced employees have more work-related knowledge than less-experienced employees. Knowledge gained from experience is one of the most valuable forms of knowledge for organizations, because it

is relevant to the whole organization as well as to a particular job. So long as the experienced, knowledgeable worker remains in the organization, that knowledge stays within the organization, where it works to facilitate the worker’s functions and, as a result, those of the organization. But, realistically, we must acknowledge that people leave their organizations all the time for numerous and varied reasons: They change jobs, they change careers, they relocate, they retire. Clearly, it would be unfortunate for the organization if this knowledge, acquired through perhaps decades of experience, were to vanish as a consequence of a single person’s leaving the organization. But this is just one case to illustrate the importance of knowledge transfer to an organization. Another example is that of large organizations in which employees work at similar tasks but in di erent departments. If these people do not have a way to communicate, share, and transfer knowledge, they may need to use valuable resources to solve a problem already solved by a colleague in a di erent department, or even in the same department at an earlier time. E ective transfer of knowledge can save valuable resources and prevent costly duplication. Typically, less than 20 percent of the knowledge available to an organization is used or reused (DeLong, 2004), partly because of the lack of e ective knowledge transfer practices in many organizations. Considering that the average worker spends from 15 to 35 percent of his or her time searching for information and is successful in nding it only 50 percent of the time or less (Sinclair, 2006), organizations should pay particular attention to how workers transfer and retain already-acquired information and knowledge within an organization. If the transfer of knowledge is so important, how should federal agencies (and organizations in general) ensure that this much-needed process occurs and that valuable knowledge doesn’t either sit unused or leave the organization along with the people who possess it? Wouldn’t it be better to retain this knowledge within the organization no matter which employee leaves the organization? The answers to those questions are central to our last chapter. Federal agencies are reworking their knowledge management practices to better keep the knowledge their employees possess and at the same time move it to employees who need it. But organizations outside the federal government also manage to successfully transfer knowledge between employees; we present some of the methods they use to achieve this transfer. Indeed, such organizations can serve as models for federal agencies seeking to improve their knowledge transfer methods and practices. KNOWLEDGE TRANSFER DEFINITIONS Knowledge and knowledge transfer are widely used terms but are de ned di erently by

di erent authors and in di erent elds. The de nitions below best represent our understanding of these and related terms, and it is these de nitions that are used throughout the chapter. Information can be de ned as data that have been given meaning. Knowledge, on the other hand, is information gained, know-how acquired, and skills developed by a person through experience and education and which, when combined with understanding, enable action. Knowledge can be used by the original holder after it has been transferred to others; therefore, it is sharable. Because knowledge moves at lightning speed, thanks to the electronic workplace, it is also transportable (Abbasi et al., 2009). Knowledge management is the overall process of organizing, maintaining, and communicating organizational knowledge so it can be used to meet organizational goals and objectives. Knowledge transfer is a step in the knowledge management process that moves knowledge from where it is stored to where it can be used. Furthermore, in all organizations there are essentially three kinds of knowledge: explicit, tacit, and common. Explicit knowledge is easily codi ed, written down, and expressed in documents, practices, and training. It is that part of an organization’s knowledge that can be articulated and recorded in protocols, memoranda, and guidelines. This is also commonly referred to as policy (U.S. Army Field Manual, 2012). Tacit knowledge refers to the information embedded in the workplace experiences of employees; it is encompassed by their memories. Each person in the organization gains tacit knowledge from interaction with people outside the organization (e.g., customers and clients), life experiences, and coworkers and professional acquaintances. Common knowledge is the information known across an organization, and it can be understood as either explicit knowledge in practice or tacit knowledge that is assumed to be explicit (i.e., everyone knows that). An e ective knowledge management process ensures that all three types of knowledge across an organization are carefully selected, placed in order, and successfully delivered to the right place within the organization so that it can be used to meet performance or productivity mandates (U.S. Army Field Manual, 2012). Figure 7.1 is the authors’ conception of how these di erent types of knowledge are shared among workers (based on Dixon, 2000).

FIGURE 7.1. Conception of Types of Knowledge Adapted from Dixon, 2000.

COMPLEXITY OF KNOWLEDGE TRANSFER A number of factors increase the complexity of knowledge transfer. Two that have a major impact are the multiple generations now in the workforce and the emergence of the knowledge economy. Multiple Generations Four generations, born from 1925 through 1995, are now in the workplace. Each has a di erent orientation to the world of work and technology and di erent experiences relating to how knowledge should be shared in organizations. These di ering orientations already a ect, and will continue to a ect, how knowledge is shared and distributed throughout organizations. Another area of di erence is that where Veterans and Baby Boomers sought to maintain a long-term a liation with just one dedicated employer, Gen X and Gen Y tend to seek more portable arrangements with multiple employers to reach their career aspirations. One implication of this trend is the consequent need to make knowledge transfer an ongoing activity in organizations. Rise of the Knowledge Economy The changing attitudes of recent entrants to the workplace and the resulting imperative to accommodate their skills and needs are part of a larger trend in uencing organizational knowledge transfer. Since the United States’ founding, its economy has shifted from an agriculture-based economy to an industrial one and subsequently a knowledge economy: Knowledge has become the preeminent economic resource—more important than raw material; more important,

often than money. Considered as an economic output, information and knowledge are more important than automobiles, oil, steel, or any of the products of the Industrial Age. (Stewart, 1997)

The composition of organizations and enterprises in a knowledge economy is vastly di erent from that of the organizations of the industrial age. New features include matrix organizations, complex technology architecture, high levels of diversity, and rapid rates of change. Government entities must be more agile and resilient in the knowledge economy to meet their mandate to serve the needs of citizens. Taking all these factors into consideration, let’s revisit the question we asked earlier: Why do we need to include knowledge transfer in the talent management process? A

better answer is that knowledge transfer enables workers to keep pace with the knowledge economy. Best Practices in Knowledge Transfer The appreciation of the value of knowledge-sharing and teamwork in the workplace is a recent development. Many organizations in both the private and public sectors are still in the early stages of developing learning strategies and communities of practice. Several examples of knowledge transfer practices in federal agencies are described below. Resources for Federal Agencies One tool for federal agencies is the Federal Knowledge Management Working Group (KMWG), which provides an expertise locator to help identify subject matter experts and thought leaders in speci c elds of knowledge management. This tool is used by NASA to promote knowledge management. Another great source of information and tools for learning and knowledge transfer speci cally tailored to federal agencies is the HR University website (www.hru.gov/resource_center.aspx), designed for used by federal government HR professionals. NASA provides a number of resources and information on knowledge transfer and learning programs for NASA employees, encouraging mentoring, coaching, and other tools and practices that promote knowledge transfer between employees—particularly from more- to less-experienced employees. A list of such resources can be found on NASA’s website (http://nasapeople.nasa.gov). STRATEGIES TO SAFEGUARD KNOWLEDGE TRANSFER WITHIN FEDERAL AGENCIES An e ective and e cient organization is one in which information and knowledge ow freely and quickly. Knowledge transfer should be part of an organization’s culture and strategic planning (Ward, 2011). Within the federal government, knowledge transfer is de ned by each branch of service and within each major area of responsibility. In many cases, it is absolutely essential that knowledge be passed down from predecessor to incumbent in a timely manner—that is, before the predecessor has departed to another assignment. This allows the new incumbent to start working right away, with minimal time spent getting up to speed, and it allows the predecessor to deposit best practices.

Knowledge management is essential for federal agencies to be e cient and manage employee turnover, so much so that di erent branches of the federal government recognize knowledge gaps when a department is in a transition from one leader to the next. To handle such gaps, each agency publishes guidelines and regulations to assist employees with knowledge transfer and knowledge management. The Federal Knowledge Management Initiative, a subgroup under the KMWG, implements knowledge management practices. In an open letter to federal government leaders (2009), its chair, Neil Olono , o ered guidelines for formal knowledge management governance (Figure 7.2): • Establish a federal knowledge management center to serve as a resource for agencies in carrying out their own knowledge management efforts. The center would provide consulting and serve as a clearinghouse for federal knowledge management resources, such as software, expertise, and lessons learned. • Establish a federal chief knowledge officer position. This person, the face of federal knowledge management, would coordinate with federal departments to explain the benefits of sharing and collaborating across agencies. • Enact knowledge management governance. Set governmentwide policies, standards, and practices that specify the general direction and intent of federal knowledge-sharing efforts. • Establish awareness and a Web presence. Communicate the serious need for knowledge management and distribute content “from those who know to those who need to know.” • Build a knowledge-sharing culture in the federal government.

FIGURE 7.2. Roadmap for Formal Knowledge Management Governance Based on Olonoff, 2009.

• Train federal workers in knowledge management skills. By learning knowledge management competencies, they will acquire a deeper understanding and appreciation of the value of knowledge sharing. • Meet the challenges of the retirement “age wave.” Knowledge management includes “knowledge retention”—the effort to reduce “brain drain” due to thousands of retiring Baby Boomers. The Army embraces knowledge management as an essential component of mission readiness. Its publication Field Manual 6-01.1, Knowledge Management Operations, provides guidance on how to use knowledge management to bene t its personnel through shared understanding and increased collaboration between leaders and subordinates (2012). According to the Army, knowledge management involves four major dimensions: people, processes, tools, and the organization itself (Figure 7.3).

FIGURE 7.3. Major Dimensions of Knowledge Management U.S. Army, 2012.

People are the members of an organization, both inside and outside, who establish, produce, apply, and transfer knowledge and the leaders who provide action on that knowledge. People are the key to successful knowledge transfer; 80 to 90 percent of all knowledge in any given area exists as individual insights, experiences, and pro ciencies. Processes are the methods used to establish, produce, apply, and transfer knowledge. This component relies largely on groups, teams, and individuals. Tools refer to the system an organization uses to organize knowledge products and services. The use of technology gives members a common ground on which to operate. Organization refers to the place and space in which people, processes, and tools operate. Collectively, they represent the organizational culture. Knowing and understanding the culture enables knowledge-sharing.

APPROACHES TO ENHANCING KNOWLEDGE TRANSFER Table 7.1 lists some approaches employed by federal agencies and other organizations to capture and transfer valuable knowledge. Mentoring Programs Mentoring programs are a very e ective way to facilitate the transfer of knowledge. A mentor may be any worker with experience, and a protégé is a worker without that experience. In many organizations, mentors and protégés are paired together because they have something in common and have expressed an interest in mentoring. The purpose of a mentoring program is to get two partners communicating in such a way as to share knowledge and develop successful, productive workers (Rothwell and Chee, 2013). To this end, managers of a mentoring program should answer the following questions before the program starts: • Is the organization committed to facilitating mentoring? • What are the desired outcomes? • Would mentoring achieve the desired outcomes? Approach Mentoring

Description Finds different ways to get mentor and mentee to communicate to share knowledge

Job shadowing

Following a more-experienced employee during his or her regular everyday activities

Communities of practice A group of employees that come together to share knowledge, information, and expertise in an attempt to resolve a problem Best-practice studies or meetings

The means of sharing best practices between people in the same organization, to transfer knowledge within the organization and save valuable time and resources

Critical incident interviews or questions

Documents the lessons gained from difficult situations and experiences

Storytelling

Employees sharing the story of what happened in a particular situation, how they acted, and what they learned

Storyboard

A graphic representation of what we do and how we do it using pictures—a series of pictures that tell a story

Process documentation

Explains what workers should do under different circumstances and how to do it; involves flowcharting of how work is performed

Blogs

Discussion or informational sites published online by an individual or a group of individuals and regularly updated with new information

Social networking

Face-to-face and social networking experiences through online technologies

Electronic performance support systems

Combining artificial intelligence, an expert system, realtime e-learning methods, and a computer-based referencing system

TABLE 7.1. Programs to Enhance Knowledge Transfer

• Are there sufficient meeting times between the mentor and protégé? • Is this partnership in alignment with the organization’s strategic goals? The U.S. O ce of Personnel Management (OPM) provides guidance on implementing formal, informal, situational, and virtual mentoring programs (2008): • Formal: Requires preparation and organizational support from leaders, managers, and supervisors. • Informal: Normally implemented for interpersonal development but is also used to promote career development. • Situational: Provides help based on the immediate situation; may be just-in-time guidance and advice. • Virtual mentoring: Refers to the use of videoconferencing, email, or social

networking sites in mentoring. Mentor and protégé communicate in ways other than the traditional face-to-face mode. This is most applicable when an employee is working from home or the job requires a lot of travel. Mentors, protégés, and supervisors should conduct a program evaluation at each step to ensure success. This evaluation should give critical information about the program and allow feedback from all individuals involved. Mentors should provide a written evaluation to their protégés. Together, mentor and protégé should provide written feedback to the supervisor on the program and recommendations for future relationships. Just as there are di erent types of mentoring programs, there are di erent types of mentors: • Career guide: Promotes protégé development by assisting with career guidance, counseling, and visibility. • Intellectual guide: Provides meaningful feedback and information to the mentee on areas that need improvement; promotes an equal relationship and collaborates on projects with the protégé. • Information source: Provides information to employees on informal and formal expectations. • Friend: Engages in casual social interactions with the protégé, providing company information as needed. Best Practices in Mentoring Environmental Protection Agency The Environmental Protection Agency (EPA) runs a mentoring program called Life Model Program1 to help executives who are transitioning into Senior Executive Service (SES) positions to acquire the necessary knowledge for their jobs. Senior EPA executives serve as mentors, acting as career guides and information sources, to support these new executives and ensure a smooth transition into their new roles. Cultural mentors are speci cally responsible for presenting and familiarizing newly appointed SES members to the culture of EPA (OPM, 2012). Department of Homeland Security

The Department of Homeland Security has both formal and informal mentoring programs that rely on extensive participation from SES members. One example is informal speed mentoring sessions, in which employees meet and engage with a variety of senior leaders to seek career and development guidance and discuss challenges and successes in other areas of interest (OPM, 2012). Job Shadowing Like mentoring, job shadowing programs pair a less-experienced person with a moreexperienced employee. The less-experienced observer follows the more-experienced host during his or her routine activities. Observers see how hosts organize their days, how they deal with issues as they arise, and so on; ideally, the host includes the observer in his or her tasks, perhaps talking aloud while solving a problem so that the participant can “listen in.” The host may also o er hands-on experience under direct supervision; in these cases, the observer performs a task that the host would normally do (Rothwell, 2011). Job shadowing is a powerful way for the inexperienced employee to explore di erent roles in the organization in a safe environment, early in his or her career. Through this experience, the employee can determine which roles are more suitable and plan the appropriate career path to reach the desired position. This also is a useful test of the employee for the organization, allowing it to determine the employee’s suitability for those positions. Communities of Practice Etienne Wenger and Jean Lave were the rst to use the term communities of practice. According to Wenger et al. (2002:4), “[c]ommunities of practice are groups of people who share a concern, a set of problems, or a passion about a topic, and who deepen their knowledge and expertise in this area by interacting on an ongoing basis.” Communities of practice are formed naturally by people who engage in a process of collective learning in a shared domain of human endeavor. Learning can be the reason for the formation of the community, but it can also be just an incidental outcome of the members’ interactions. For example, a community of practice can be a group of engineers who work on similar projects (not necessarily in the same organization) and who nd it useful to compare designs and discuss issues and ideas relevant to their work. In this case, a desire for learning drives the formation and existence of the community. But gang members surviving in the street may be said to form a community of practice for which learning is an incidental outcome; the reason for this community’s existence is survival.

A community of practice can also be a group of artists who meet in a café or studio to debate about new techniques in painting; gamers who meet online and share information on how to “kill” a “monster” in a newly released online game; or teachers who discuss how they deal with students. These groups of people share information and insights, they help each other to solve problems, they create new things together, and so on. It is through the process of sharing information and experiences with the group that the members learn from each other and have an opportunity to develop themselves personally and professionally. Members become informally bound by the value that they nd in learning together (Lave and Wenger, 1991; Wenger-Trayner, 2013). The transfer of knowledge from one member to the other is a constant process in a community of practice. Not every community is a community of practice. For example, a neighborhood, although often called a community, is usually not a community of practice. Three important characteristics must belong to a community for it to be considered a community of practice (Wenger-Trayner, 2013): 1. Domain. A community of practice has an identity defined by a shared domain of interest. To be member of such a community, one must have a commitment to the domain and a set of skills that distinguishes the member from other people. Hence, a community of practice is not just a network of people or a group of friends. 2. Community. The members of a community of practice have built relationships that enable them to learn from each other (i.e., transfer knowledge) by engaging in joint activities and discussions, helping each other, and sharing information. 3. Practice. The members of a community of practice are practitioners in a field relevant to the domain around which the community of practice was created. The development of a shared practice may be intentional or unintentional. Accountants who meet to discuss problems with a particular kind of client do so intentionally, whereas a group of math teachers who meet every day in the school cafeteria may not realize that their informal lunch discussions are one of their main sources of knowledge about how to teach math to sixth-graders. Communities of practice may adopt a number of information-seeking activities to develop their practice. Table 7.2 presents a few typical examples suggested by WengerTrayner (2013). Activity Problem solving

Questions addressed by the activity “Can we work on this design and brainstorm some ideas; I’m stuck.”

Requests for

“Where can I find the code to connect to the server?”

information Seeking experience “Has anyone dealt with a customer in this situation?” Reusing assets

“I have a proposal for a local area network I wrote for a client last year. I can send it to you and you can easily tweak it for this new client.”

Coordination and “Can we combine our purchases of solvent to achieve bulk synergy

discounts?”

Discussing developments Documentation projects Visits

“What do you think of the new CAD system? Does it really help?” “We have faced this problem five times now. Let’s write it down once and for all.” “Can we come and see your after-school program? We need to establish one in our city.”

Mapping knowledge and

“Who knows what, and what are we missing? What other groups should we connect with?”

identifying gaps TABLE 7.2. Examples of Communities of Practice Activities Wenger-Trayner, 2013.

Although communities of practice can be formed naturally by individuals coming together, many organizations encourage such communities to form by providing an appropriate environment. Today, almost any larger organization has adopted initiatives to support communities of practice, because in organizational settings they function as a tool for knowledge transfer, problem solving, and performance improvement. Communities of practice are not called that in all organizations, however; sometimes they are called learning networks, thematic groups, or, in the case of the Chrysler Corporation, tech clubs. In 1988, Chrysler adopted an innovative knowledge system to reduce the time needed to get a new vehicle design to the market. At the time, Chrysler was traditionally

organized, being divided into large units each dealing with a di erent part of the manufacturing process: design, engineering, manufacturing, and sales. This model limited the interaction between units and slowed the process of product development. With the new model, engineers no longer belonged to the engineering department but to one of ve “car platforms.” Each platform focused on the production of one vehicle type: large cars, small cars, minivans, trucks, or Jeeps. Each platform was responsible for all phases of the development of one type. Chrysler succeeded in reducing the product development cycle from ve to two and a half years. This reduced research and development costs, but the new model created issues of duplication: for example, multiple versions of the same part with minor variations, similar mistakes in di erent platforms, innovation that could have been used in multiple platforms but stayed in one of them, and so on. The company was unable to learn outside the confines of the platforms. The solution nally came from informal meetings between former colleagues from functional areas who were now working in di erent platforms. These colleagues formed the rst communities of practice in the company. Designers came together regularly to share their designs and get feedback from designers who worked in other platforms, brake engineers did the same, and so on. Later, recognizing the value of these communities to the company, managers formalized the role of these groups and gave them the name “tech club.” Tech clubs progressively became an integral part of Chrysler’s vehicle product-development division (Wenger et al., 2002). Like Chrysler and other businesses, some government agencies use communities of practice for learning transfer and knowledge sharing within an agency. Other communities of practice involve people from di erent agencies who come together to solve bigger issues that require coordination and knowledge transfer between agencies and across di erent levels of government, such as matters of education, health, and security. Best-Practice Studies or Meetings Every organization has its own best practices worth sharing among its members. These practices can themselves provide a format for sharing experiences and knowledge within an organization. Stories of how the organization performed at its best, how it or its members accomplished something, and the lessons learned from those experiences can be shared as best practices (Camp, 2006; Stapenhurst, 2009). Best practices can be chosen from any part of an organization’s operating cycle and should be shared with as many employees as possible. A big organization may form a team to look for best practices around the organization, document them, and then bring the people involved to other teams to talk about what they are doing. In smaller

organizations, individuals or teams can report what they consider the best practices in the performance of their jobs or those used by colleagues or other teams. Some or all of these practices may then be presented to the rest of the organization (Rothwell, 2011), perhaps at a sta meeting through a short presentation followed by discussion and questions. Usually the presenters are experienced employees who have arrived at their best practices over the course of their tenure. It is very important that less-experienced employees take advantage of these presentations, because in addition to the knowledge o ered by experienced colleagues, they can gain equally valuable information about the organizational culture and the way things are done (Camp, 2006). Critical Incident Interviews or Question Critical incident interviews or questionnaires were introduced in the 1950s to tap an organization’s experience. As suggested by its name, this method of knowledge transfer documents the lessons learned from critical incidents (i.e., di cult situations in an organization’s history) using questionnaires or interviews with employees who played a key role in an incident. Through these interviews, the organization attempts to collect all relevant information in one place. The interviews are transcribed and analyzed for common themes and cross-checked with the completed questionnaires. Lessons are thereby preserved in a format that can bene t future members of the organization and employees who were not directly involved in the incident, as well as those who were actually involved. The organization has a record of what happened during the incident, how people responded to it, and any actions taken that worked along with those that did not work. The next time the organization faces a similar situation, the records can be used to assist in making decisions. Even if the people who participated in the initial incident are no longer employees, the organization can still bene t from their experience and the knowledge they gained. The critical incident method is thus an indirect way to transfer knowledge between employees. Organizations that systematically use the critical incident method over time form an expert system that can be used extensively in training. Rather than reading arti cial case studies, trainees can confront real-life critical incidents in documentary form, analyze the information contained in them, and even come up with new and more e ective solutions. Table 7.3 presents an example of a questionnaire designed to capture critical incidents in either a written or interview format. Question 1. What is the most difficult situation you have faced in your current job in

Answer

this organization? Please describe the situation—when it occurred, who was involved (no names please, just job titles), and what you did in this situation step-by-step. 2. What happened as a result of what you did? In other words, what were the consequences of your actions? 3. If you confronted this situation again, how would you handle it? Would you do exactly what you did—or would you use a different approach? If you would use a different approach, please describe what it would be and why you would use that approach. TABLE 7.3. Questionnaire to Capture Critical Incident Knowledge Rothwell, 2004.

Storytelling In this context, storytelling refers to narration of the events in a particular situation. Storytelling is a great opportunity for more experienced employees to pass on knowledge of what really happened, and it can be done at any time: a transfer, a promotion, or even a termination. Most wisdom is in fact passed on through storytelling in the workplace (Rothwell, 2011). People who have been on the job for a long time have many stories to tell; the key to knowledge transfer is for the newcomer to listen to those stories and draw lessons from them. According to Swap (2010), storytelling can leverage the knowledge of an organization, especially informal knowledge; it also builds the organization’s core capabilities. Some stories can also take the form of lessons learned or the best take-away from a situation. For example, the more experienced employee may tell a story about a time when a particular incident happened, the customer’s reaction, and the chain of events because of that action or inaction on the part of an employee. Storytelling Best Practices National Aeronautics and Space Administration The National Aeronautics and Space Administration (NASA) is a world-class leader

in knowledge management. This agency is responsible for the nation’s civilian space program and for aeronautics and aerospace research. Within NASA is the Academy of Program/Project and Engineering Leadership and ASK Magazine. Both entities help NASA managers and project teams accomplish NASA’s missions and meet challenges by sponsoring knowledge-sharing events and publications, providing performance enhancement services and tools, supporting career development programs, and creating opportunities for project management and engineering collaboration with universities, professional associations, industry partners, and other government agencies. Many of the articles in ASK Magazine use a storytelling format to describe lessons learned. Additional information may be found on the NASA website, www.nasa.gov/offices/oce/appel/knowledge/multimedia/index.html. Storyboard A storyboard is a series of pictures that tell a story. In some situations, using a lot of words to describe what we do can be confusing; a storyboard can show a process with fewer words and, in many cases, more successfully. This mode of communication can be another way of both transferring and storing knowledge (Begleiter, 2010: Christisano, 2007). Storyboards are most e ective when they describe procedures and when a live demonstration is impossible. Language barriers are another challenge that storyboards can easily overcome. Usually, the experienced employee works with a professional designer to come up with a storyboard, but specialized software that anyone can use is available. Another approach is to recruit a less-experienced employee to help prepare a storyboard, allowing him or her to gain valuable knowledge about a procedure. If stored properly, storyboards can benefit less-experienced employees for an indefinite period. Process Documentation Process documentation aims to present and document processes that take place in the organization (e.g., the process of placing a purchase order for raw material or the process of hiring new employees) using owcharts, concept maps, or procedure manuals. Usually the owchart or concept map presents the process; along with the owchart or concept map comes a document that explains what each worker involved in the process should do (under general or particular circumstances) and how to do it for the process to move smoothly. It may include variations for special circumstances. Process can be helpful in documenting, storing, and transferring knowledge from more- to less-experienced employees. A good process documentation owchart should provide an employee or a group of employees that never performed the process before

with the relevant information and necessary details to perform the process without needing direct contact or other help from a more experienced colleague who performed the process before. Process documentation ensures that all information is retained in the organization even after experienced employees retire—or forget how a certain process was handled in the past. Process documentation can be done using any of several owchart techniques or software programs. A number of free software packages are available online to facilitate process documentation and guide users in producing consistent documents (e.g., “Synthis” software aids in business process mapping and modeling; www.synthis.com). Blogs A blog (a portmanteau of the term Web log) is an opinion, discussion, reportage, or informational website that is maintained by an individual or group of individuals and is regularly updated with new “posts.” Many blogs are essentially online diaries; others may include documents, videos, or other media as well as links to other published sources of information. A team blog can be an easy way to preserve and transfer knowledge between incoming and outgoing members. For example, if a junior executive writes a daily blog about his or her unit’s activities, an incoming employee can read about these activities before coming on board. A blog can also be used by experienced employees to post details and artifacts about a common or di cult work situation and explain how and why they acted the way they did as well as report the outcome. Organizations can o er a space on the Web for employees to keep blogs and ask or require employees to use blogs to share knowledge (Rothwell, 2011:140). Social Networking Social networking now comes in two forms: the traditional face-to-face approach and electronic “social media” using online technologies. Because networking can foster informal relationships between more-and less-experienced employees, it provides a pathway for transferring knowledge. Many successful companies go to great lengths to ensure their employees have access to both forms to facilitate overall networking. Microsoft maintains restaurants and co ee shops in common areas on its premises to encourage employees to stay on campus for their breaks and meet people from other departments. Google famously installs playrooms with pool tables and other games so their employees can get to know one other in a relaxing environment. Apple locates its restrooms in an easily accessible,

central location so that employees from all departments are forced to engage in short conversations—which can initiate networking. Social-networking websites are a digital form of networking many organizations encourage their employees to use; some even set up chat rooms. Generally, employees prefer the most up-to-date technologies for networking: Facebook pages, Google+ circles, Twitter, and LinkedIn. Indeed, knowledge transfer does not always need to happen under close organizational supervision—however, organizations must ensure that sensitive information cannot escape to public places like the Web. Social Networking Best Practices U.S. Department of the Navy The U.S. Navy uses social networking to support knowledge transfer and internal communication. It established “OGC Online,” a Facebook-like site the O ce of the General Counsel sta uses to collaborate within the con nes of the department (Brown, 2011). The Navy’s homepage has a social media tab with a number of links: • U.S. Navy Facebook • U.S. Navy Google+ • U.S. Navy Twitter • U.S. Navy Blog • U.S. Navy YouTube • U.S. Navy Flickr • U.S. Navy Pinterest • News Other agencies have similar infrastructures for knowledge transfer. The U.S. Department of State’s Bureau of Educational and Cultural A airs uses a social media tool called Exchange Connect to engage exchange students living in the United States. Electronic Performance Support Systems

An electronic performance support system (EPSS) combines arti cial intelligence, an expert system, real-time e-learning methods, and a database (Brown, 1996). It is considered the most sophisticated method of storing and transferring knowledge. The main drawbacks are the enormous cost of designing and maintaining such systems and the long lead time needed for their design and development (Rothwell, 2004). The purpose of an EPSS is to provide assistance to the user concerning all related aspects of his or her job tasks, using all information on hand, ltering it through an intelligent processing system, and thereafter providing the user with helpful information and analysis for any given task. A fully developed EPSS provides the user with instant information about any aspect of the work in hand, ranging from simple answers to “how to” questions and information about organization policies to real-time coaching and online training (Stone and Potter, 2010). Retaining knowledge in the organization is as important as generating knowledge. When experienced employees leave a government agency, either to seek a di erent job or to retire, the agency needs to ensure that the knowledge acquired by these employees during their long years of work in the agency stays in the agency and that the knowledge is transferred to less-experienced employees. Transfer of knowledge can assist less-experienced employees in performing their jobs and can save valuable time by avoiding “reinventing the wheel” for tasks already performed or perfected by other employees. Hence, documenting this valuable knowledge and making it is available to less-experienced employees in a usable form should be a major concern for any federal agency. Transfer of knowledge from more- to less-experienced employees can happen naturally through routine interaction among employees. In most cases, though, the organization needs to formalize this process by creating programs to facilitate knowledge transfer, and such programs are currently in use at some agencies. A number of other programs have not yet been adopted by government agencies, but we believe they can be implemented successfully in the public sector. 1

Information about the Life Model Program is available at

https://www.opm.gov/WIKI/uploads/docs/Wiki/OPM/training/EPA%20mentoring%20brochure.pdf.

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Index A agency goals, 116–117 American Taxpayer Relief Act of 2012, 91 Animal and Plant Health Inspection Service (APHIS), 67–68 autonomy, 140

B BCA. See Budget Control Act best practices addressing skill gaps, 113–114 career transition assistance plans, 132 creating a positive work environment, 170–173 determining critical skill gaps, 112 developing, 21–24 developing employees and supervisors, 159–160 executive onboarding, 66 Goals-Engagement-Accountability-Results strategies, 184–185 importance, 8–9 individual developmental plans, 168 innovation, 162 interagency collaboration, 52–53 Intergovernmental Personnel Act Mobility Program, 131 involving key stakeholders, 110–111 job redesign, 157–158 knowledge transfer, 225–226 leadership development, 67–69 mentoring, 60, 233 monitoring and evaluating agency goals, 116–117 new technologies, 74–75 online learning, 76–80 performance reviews, 165–166 placement programs, 129 social networking, 246 storytelling, 242

strategic human capital planning, 46–48 training evaluation, 88 blogs, 244–245 BLS. See U.S. Bureau of Labor Statistics Budget Control Act (BCA), 91

C career paths, 166–168 Career Transition Assistance Plan (CTAP), 131–132 cash incentives, 195 chief human capital officer (CHCO), 25–26 Civil Service Reform Act of 1978 (CSRA), 105 civilian deployment, 95–99 civilian expeditionary workforce, 100 civilian workforce size, 1 coaching, 57–60 common knowledge, 223 communities of practice, 234–239 comprehensive learning portals best practices, 76–80 GoLearn, 75–76 importance, 75 individual learning account, 80 learning management system, 75–76 conducting training, 49 critical incident interviews, 240–241 CSRA. See Civil Service Reform Act of 1978 CTAP. See Career Transition Assistance Plan current environment, assessing Federal Employee Viewpoint Survey (2012), 152–154 Federal Employee Viewpoint Survey (2013), 154–155 importance, 149–150 Merit Principles Survey (2005), 150–151 Merit Principles Survey (2010), 151–152

D Department of Homeland Security (DHS), 111, 233 deployment civilian, 95–99

civilian expeditionary workforce, 100 definition, 94 Military OneSource, 101 Military Spouse Preference Program, 101 overview, 13–14 placing the best people, 13–14, 102–103 transitioning military personnel, 100 veterans preference, 100–101 developing and training the best people, 12–13 development program technologies, 72–75 DHS. See Department of Homeland Security diversity, 176–180 DOL. See U.S. Department of Labor

E e-Clearance, 38 e-Government, 38 e-Payroll, 38 e-Recruitment, 38 e-Training, 38 EDP. See executive development plan electronic performance support system (EPSS), 247 engagement initiatives creating a positive work environment, 169–173 developing employees and supervisors, 159–160 improving leadership, 158–159 improving recognition and performance review systems, 163–166 increasing opportunities to perform, 160–161 job enlargement, 155–156 job enrichment, 156 job rotation, 156 providing career paths and developmental opportunities, 166–168 engaging the best people, 14–15 engaging the workforce barriers, 136–137 communication and information sharing, 144–146 importance, 135–136 job design, 139–141 leadership commitment, 146–149 multigenerational workforce, 141–144 onboarding new employees, 137–139

Enterprise Human Resources Integration, 42 entry-level hiring, 22–24 Environmental Protection Agency (EPA), 233 EPSS. See electronic performance support system executive development plan (EDP) barriers, 64 Executive Core Qualifications Template, 63 importance, 61 sample, 62 Senior Executive Service, 61 executive onboarding, 64–66 exit interviews, 203–205 expect the best, OPM strategic goal, 10 explicit knowledge, 222–223

F FAA. See Federal Aviation Administration Facebook, 32 Federal Aviation Administration (FAA), 77–78, 116–117 Federal Emergency Management Agency (FEMA), 47–48 Federal Employee Viewpoint Survey (2012), 35, 152–154 Federal Employee Viewpoint Survey (2013), 154–155 Federal Employees Pay Comparability Act (FEPCA), 106 Federal Employees Retirement System (FERS), 105 Federal Investigative Services, 127–128 federal job analysis assessment strategy, 124–125 competitive examinations, 123–124 Federal Investigative Services, 127–128 importance, 123 job simulation, 126 multipurpose occupational systems analysis inventory, 126–127 occupational questionnaire, 126 structured interview, 126 Federal Labor Relations Authority (FLRA), 40, 105 federal reforms Government Employees Training Act, 36 Government Performance and Results Act of 1993, 37 Open Government Directive, 39 President’s Management Agenda of 2002, 37–39

Workforce Restructuring Act, 36–37 Federal Workforce Flexibility Act of 2004, 5, 43–44 Federal Workforce Reduction and Reform Act of 2011, 20 FedsHireVets, 32–33 feedback, 140 FEMA. See Federal Emergency Management Agency FEPCA. See Federal Employees Pay Comparability Act FERS. See Federal Employees Retirement System FLRA. See Federal Labor Relations Authority

G GAO. See General Accounting Office; Government Accountability Office GEAR. See Goals-Engagement-Accountability-Results strategies General Accounting Office (GAO), 41 General Service Administration (GSA), 41, 68–69 GETA. See Government Employees Training Act Goals-Engagement-Accountability-Results strategies (GEAR), 115–116, 182–185 GoLearn, 75–76 Government Accountability Office (GAO), 20 Government Acquisition Management Intern Program, 129 Government Employees Training Act (GETA), 36 Government Performance and Results Act of 1993 (GPRA), 37, 106 Government Performance and Results Modernization Act of 2010 (GPRMA), 107 Government-Wide Diversity and Inclusion Strategic plan, 176–180 GPRA. See Government Performance and Results Act of 1993 GPRMA. See Government Performance and Results Modernization Act of 2010 GSA. See General Service Administration

H hire the best, OPM strategic goal, 10 history, personnel management, 2–5 honor service, OPM strategic goal, 10 HR. See human resource systems human capital, 3 human capital management, 5–6 human resource (HR) systems, 1

I

IDP. See individual developmental plan ILA. See individual learning account individual developmental plan (IDP), 168 individual learning account (ILA), 80 information, 222 information sharing, 144–146 innovation, 162 interagency collaboration, 52–53 interagency rotations, 51–52 Intergovernmental Personnel Act (IPA) Mobility Program, 130–131

J job design, 139–141 job enlargement, 155–156 job enrichment, 156 job redesign, 157–158 job rotation, 156 job shadowing, 234 job simulation, 126

K Kirkpatrick’s Four Levels of Evaluation, 86 knowledge, 222 knowledge economy, 224–225 knowledge management, 222 Knowledge Portal Program office, 76 knowledge transfer best-practice studies or meetings, 239–240 best practices, 225–226 blogs, 244–245 communities of practice, 234–239 critical incident interviews, 240–241 definitions, 222–223 electronic performance support system, 247 importance, 219–222 job shadowing, 234 knowledge economy, 224–225 mentoring programs, 230–233 multiple generations, 224 process documentation, 243–244

social networking, 245–246 storyboard, 243 storytelling, 241–242 strategies, 226–230

L Large Business and International Division of the Internal Revenue Service, 87–88 leadership commitment, 146–149 leadership development, 67–69 Leadership Development Programs, 29–31 learning management system, 75–76 learning management system (LMS), 75–76 LMR. See National Council on Federal Labor-Management Relations LMS. See learning management system

M management, 222 management glut, 189 mentoring, 57–60, 230–233 merit-based principles, 20–21 Merit Principles Survey (2005), 150–151 Merit Principles Survey (2010), 151–152 merit system, 121–123 Merit Systems Protection Board (MSPB) entry-level hiring, 22–24 history, 40, 105 improving recruiting, 21 purpose, 4, 121–123 workforce age, 20 Military OneSource, 101 Military Spouse Preference Program (MSP), 101 modernizing onboarding, 190 MOSAIC. See multipurpose occupational systems analysis inventory MSP. See Military Spouse Preference Program MSPB. See Merit Systems Protection Board multigenerational workforce, 141–144 multipurpose occupational systems analysis inventory (MOSAIC), 126–127

N National Aeronautics and Space Administration (NASA), 162, 170–172, 242 National Council on Federal Labor-Management Relations (LMR), 181–182 National Human Genome Research Institute (NHGRI), 112 National Institutes of Health (NIH), 112 National Security Personnel System (NSPS), 106–107 new technologies, 74–75 NGO. See nongovernmental organization NHGRI. See National Human Genome Research Institute NIH. See National Institutes of Health noncompensational practices, 199 nongovernmental organization (NGO), 21, 24 NSPS. See National Security Personnel System

O occupational questionnaire, 126 Office of Personnel Management (OPM) development program technologies, 74–75 goals, 9–11 Knowledge Portal Program office, 76 merit-based principles, 20–21 training, 40 Office of Public Liaison, 176 onboarding new employees, 137–139 online learning, 76–80 open culture plan, 175–176 Open Government Directive, 39, 107 OPM. See Office of Personnel Management

P Partnership for Public Service (PPA), 117–121 Pathways program, 128 patronage, 103–104 PBGC. See U.S. Pension Benefit Guaranty Corporation Pendleton Civil Service Act of 1883, 104 performance incentives, 195 performance management appraisal program development, 83–84

employee, 82–83 importance, 81–82 Performance Management and Recognition System, 105–106 performance review, 165–166 placement, 13, 101–102 placement programs best practices, 129 career transition assistance plans, 131–132 importance, 128 interchange agreements, 130 Intergovernmental Personnel Act Mobility Program, 130 internships, 128–129 planning training, 49 PMA. See President’s Management Agenda of 2002 policy, 223 positive work environment, 169–173 PPA. See Partnership for Public Service pre-supervisory leadership development program, 67 Presidential Management Fellows Program, 128–129 President’s Management Agenda of 2002 (PMA), 37–39 productivity challenges, 6–7

Q quit rates, 188

R rebranding the federal government Goals-Engagement-Accountability-Results, 182–185 Government-Wide Diversity and Inclusion Strategic plan, 176–180 importance, 174 National Council on Federal Labor-Management Relations, 181–182 Office of Public Liaison, 176 open culture plan, 175–176 recognition and performance review systems, 163–166 recruiting and selecting the best people, 11–12 recruiting policy, 24–26 recruiting programs importance, 26–27 Leadership Development Programs, 29–31

military service members, 27–28 Workforce Recruitment Program, 28 Wounded Warrior Project, 27 recruiting resources, 31–34 respect the workforce, OPM strategic goal, 10 retaining the best talent, 15–16 retention analyzing turnover, 202–206 benefits, 216 enhancing the organization’s image, 199–200 exit interviews, 203–205 federal government, 195–196 importance, 187, 192–193 incentives, 213–215 management glut, 189 modernizing onboarding, 190 noncompensational practices, 199 performance management, 200–201 quit rates, 188 reasons productive employees leave, 191 significance, 190–191 strategic planning, 206–207 strategies and programs, 193–195 strategy, 196–198 student loan repayment, 215–216 succession planning, 207–209 tuition assistance, 216 turnover, 191 work-life balance, 209–212 retirement projections, 35, 92–93

S SBA-ODA. See Small Business Administration Office of Disaster Assistance Securities and Exchange Commission (SEC), 4 senior executive service candidate development program, 70–72 Senior Executive Service (SES), 61 sequestration, 91 SES. See Senior Executive Service severance, 195 skill gaps, 112–114

skill variety, 139 Small Business Administration Office of Disaster Assistance (SBA-ODA), 168 social media, 32–34 social networking, 245–246 spoils system, 103–104 stakeholders, 110–111 stay bonuses, 195 storyboard, 243 storytelling, 241–242 strategic human capital planning analyzing established goals, 44–45 best practices, 46–48 developing training strategies to achieve goals, 45 evaluating training goal accomplishments, 46 importance, 43 integrating training into strategic plans, 45–46 strategically planning training, 43–44 strategic partnerships building, 50–51 interagency collaboration, 52–53 interagency rotations, 51–52 strategic workforce planning address skill gaps, 112–114 building capabilities, 114 determining critical skill gaps, 111–112 Goals-Engagement-Accountability-Results strategies, 115–116 importance, 4, 108 involving key stakeholders, 109–111 monitoring and evaluating agency goals, 116–117 process, 109 results-oriented performance culture system, 114–115 Strategies to Improve Federal Hiring, 117–121 structured interview, 126 student loan repayment, 215–216 Student Volunteer Program, 129 succession planning definition, 207–208 importance, 69–70 senior executive service candidate development program, 70–72 strategies, 209

T tacit knowledge, 223 talent management, 8 task identity, 139 task significance, 140 tenure-based promotion system, 19 training conducting, 49 facilities, scheduling, 49 materials, preparing, 49 statutes and regulations, 41–42 strategy, developing, 48–49 training evaluation best practices, 88 importance, 84–85 Kirkpatrick’s Four Levels of Evaluation, 86 Large Business and International Division of the Internal Revenue Service, 87–88 purpose, 85–86 training needs assessment importance, 53 individual, 54 organizational, 54 process, 54–57 transferring knowledge between workers, 16–17 transitioning military personnel, 100 tuition assistance, 216 turnover, 191 Twitter, 32

U U.S. Agency for International Development (USAID), 60 U.S. Bureau of Labor Statistics (BLS), 92 U.S. Department of Agriculture, 67–68, 78–80, 159–160 U.S. Department of Commerce, 88 U.S. Department of Defense, 172–173 U.S. Department of Education, 131 U.S. Department of Health and Human Services, 157 U.S. Department of Labor (DOL), 52, 63, 113 U.S. Department of State, 60

U.S. Department of Transportation, 77 U.S. Patent and Trademark Office (USPTO), 46–47 U.S. Pension Benefit Guaranty Corporation (PBGC), 110 USAID. See U.S. Agency for International Development USAJOBS, 32–33 USPTO. See U.S. Patent and Trademark Office

V Veterans Administration (VA), 52, 66 Veterans’ Employment, 52 veterans preference, 100–101

W war for talent, 2 work-life balance, 209–212 workforce age, 20 Workforce Recruitment Program, 28, 129 Workforce Restructuring Act, 36–37 Wounded Warrior Project, 27