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Office of the Chief
Human Capital Officer
2016-2020 Strategic Human Capital Plan
Cover Photo Description
Beyond Double-Pane Windows
While the invention of double-pane windows dates back to 1935, a true turning point in the technology came in the
1980s with a collaboration between the Department of Energy, private industry, and Lawrence Berkeley National Lab.
Initial research and development by Berkeley Lab and a start-up company, Suntek Research Associates (now called
Southwall Technologies), led to the commercialization of low-emissivity coatings, a technology applied to glazing
layers that allows visible light to pass through a window while trapping heat. Today, more than 80 percent of
residential windows and nearly 50 percent of commercial windows sold every year in the U.S. have “low-e” coatings,
saving consumers billions of dollars in energy costs.
Image: Roy Kaltschmidt, Lawrence Berkeley National Lab
Source: http://www.energy.gov/photos/4-energy-department-inventions-saving-consumers-energy-and-money
CONTENTS
1. Introduction ..........................................................................................5
2. DOE Mission and Strategic Plan ............................................................6
3. OCHCO Mission and Organization.........................................................7
4. Strategic Human Capital Goals and Alignment......................................9
5. Developing the Strategic Human Capital Plan..................................... 11
6. Strategic Human Capital Outcomes..................................................... 18
7. Defining and Measuring Success......................................................... 19
8. Implementation Strategies.................................................................. 21
9. Annual Human Capital Plans ............................................................... 26
10. Data Appendices ................................................................................. 27
11. Bibliography ........................................................................................ 32
FIGURES AND TABLES
1-1: Federal Human Capital Assessment and Accountability Framework (HCAAF) .................................. 5
2-1: Departmental Goals and Objectives in the DOE Strategic Plan for 2014-2018 ................................. 6
3-1: OCHCO Mission, Vision, and Values ................................................................................................... 7
3-2: OCHCO Organization Chart Effective October 4, 2015....................................................................... 8
4-1: DOE Strategic Human Capital Goals ................................................................................................... 9
4-2: Strategic Alignment of Human Capital, Departmental, and Administration Goals.......................... 10
5-1: Key Challenges for the DOE Federal Workforce:.............................................................................. 12
5-2: SWOT Analysis .................................................................................................................................. 13
5-3: Strengths Analysis............................................................................................................................. 14
5-4: Weaknesses Analysis ........................................................................................................................ 15
5-5: Opportunities Analysis...................................................................................................................... 16
5-6: Threats Analysis................................................................................................................................ 17
6-1: Desired Outcomes of the Strategic Plans for DOE and Human Capital............................................ 18
7-1: Strategic Performance Metrics and Targets..................................................................................... 19
8-1: Summary of Human Capital Goals and Implementation Strategies................................................. 21
8-2: Desired Outcomes Supported by Leadership Strategies.................................................................. 22
8-3: Desired Outcomes Supported by People Strategies ........................................................................ 23
8-4: Desired Outcomes Supported by HR Strategies............................................................................... 25
9-1: Alignment of Planning, Implementation, and Evaluation ................................................................ 26
10-1: DOE Federal Workforce Strength of Size in FTE from FY 2010-2020 ............................................. 27
10-2: Historical Profile of On-boards, Gains, and Losses in the DOE Federal Workforce ....................... 27
10-3: Historical Profile of Trends in Types of Losses in the DOE Federal Workforce.............................. 28
10-4: Retirement Trends.......................................................................................................................... 28
10-5: Historical Profile of Employees Retirement Eligible and Actually Retiring .................................... 28
10-6: Cumulative Profile of Retirement Eligibility and Deferment of the DOE Workforce..................... 29
10-7: Predictive Risk Profiles Based on 4+ Years of Deferred Retirement Eligibility............................... 29
10-8: Trend in DOE Federal Employees under Age 30 in comparison to Average Ages.......................... 29
10-9: DOE Federal Employee Viewpoint Survey (FEVS) Results for 2011-2015 ...................................... 30
10-10: Trends for DOE and Mid-Size Agencies in Best Places to Work (BPTW) Rankings....................... 30
10-11: FY 2013 Government-wide Comparison of HC Cost per Employee Serviced............................... 31
10-12: FY 2013 Government-wide Comparison of Servicing Ratio ......................................................... 31
5Introduction
U.S. Department of Energy
1.INTRODUCTION
The purpose of strategic human capital planning is to
help organizations optimize their resources for
efficient and effective mission achievement by using
long-term, data-supported planning and
management of the workforce.
The 2016-2020 Strategic Human Capital Plan (2016-
20 SHCP) sets forth the human capital goals and
strategies to support the mission and goals of the
Department of Energy (DOE). It follows the 2011-
2015 Strategic Human Capital Plan, and will be
updated as needed.
The 2016-20 SHCP comes at a time when DOE has
undergone significant organizational changes
designed to better align the workforce to meet the
Department’s current and future mission
requirements. This SHCP supports senior leaders,
managers, and employees in achieving the DOE
mission by providing goals and strategies designed to
grow our leaders, strengthen our workforce, and
improve the delivery of our human resources. Used
together, the goals and strategies of the 2016-20
SHCP will ensure that DOE has the ability to attract,
manage, develop, and retain the best federal
workforce to meet DOE’s mission needs. In addition,
this plan aligns with the pillars and goals of the
President’s Management Agenda.
As depicted in Figure 1-1, the foundation of the
2016-20 SHCP is the Strategic Alignment system of
the federal government’s Human Capital Assessment
and Accountability Framework (HCAAF). An annual
human capital planning process will be used to
implement and evaluate the 2016-20 SHCP at an
operational and tactical level.
1-1: Federal Human Capital Assessment and Accountability Framework (HCAAF)
Planning and
Goal Setting
Strategic Alignment
Implementation
Leadership & Knowledge
Management
Results-Oriented
Performance Culture
Talent Management
Evaluating Results
Accountability
Provides Direction
Delivers Human
Capital Outcomes
Provides Performance
Information
Strategic Human Capital Plan
Feedback on Successes and Needed Course Corrections
6 2016-2020 Strategic Human Capital Plan
Office of the Chief Human Capital Officer
2.DOE MISSION AND STRATEGIC PLAN
The Department of Energy’s (DOE) mission is to
enhance U.S. security and economic growth through
transformative science, technology innovation, and
market solutions to meet our energy, nuclear
security, and environmental challenges.
The DOE Strategic Plan for 2014-2018 guides the
execution of the agency's mission using three distinct
goals for Science and Energy, Nuclear Security, and
Management and Performance. The plan organizes
these goals into twelve objectives that represent the
cross-cutting and collaborative efforts taking place
across the DOE headquarters, site offices, and
national laboratories (Figure 2-1).
The Department’s three Under Secretaries, as well as
its four Power Marketing Administrations and
portfolio of Departmental Offices, carry out these
goals and objectives. The total DOE workforce
consists of nearly 14,000 federal employees and over
90,000 contractor employees. The Department
currently has 85 sites spanning 28 states, including
DOE headquarters locations in Washington, D.C.
The Department’s federal workforce is highlighted
and supported in Strategic Objective 12 under the
goal of Management and Performance: “Attract,
manage, train, and retain the best federal workforce
to meet future mission needs.”
2-1: Departmental Goals and Objectives in the DOE Strategic Plan for 2014-2018
DOE Mission: Enhance U.S. security and economic growth through transformative science, technology
innovation, and market solutions to meet our energy, nuclear security, and environmental challenges.
Goal 1: Science & Energy
1 - President's Climate Action Plan
2 - Energy Infrastructure
3 - Scientific Discoveries
Goal 2: Nuclear Security
4 - Nuclear Deterrent
5 - Strengthen Key Capabilities and
Modernize the National Security
Infrastructure
6 - Global Nuclear Security Threat
Reduction
7 - Navy's Nuclear Propulsion Systems
8 - Continued Cleanup of Nation's Cold
War Legacy
Goal 3: Management & Performance
9 - Sustainable Asset Management
10 - Effective Management of Projects,
Contracts, and Financial Assistance
Agreements
11 - Safe, Secure, and Efficient DOE
Enterprise
12 - Best Federal Workforce for DOE’s
Mission Needs
DOE needs a fully engaged and high-performing federal workforce to achieve the
multi-faceted goals and objectives of the DOE Strategic Plan for 2014-2018
7OCHCO Mission and Organization
U.S. Department of Energy
3.OCHCO MISSION AND ORGANIZATION
The mission (Figure 3-1) of the Office of the Chief
Human Capital Officer (OCHCO) is to support DOE’s
mission through workforce services, solutions, and
innovations. The vision of the OCHCO is to be the
premier organization for human capital solutions.
The OCHCO values guide the execution of its mission
and vision.
The OCHCO organization (Figure 3-2) supports DOE’s
mission accomplishment by providing and
implementing human resources services and human
capital management solutions. The OCHCO is
implementing a new human resources service
delivery model that partners with DOE’s Under
Secretaries, Departmental Offices, and Power
Marketing Administrations to establish shared
service centers (SSC) for the full range of
transactional services and HR advisory offices
(HRAO) for human capital management services.
OCHCO human capital management solutions
include: human capital analysis and strategy;
workforce and succession planning; recruitment and
hiring; engagement and retention; competency
development, training, and learning; and diversity.
The Department’s Chief Human Capital Officer
(CHCO) is accountable for the strategic alignment of
the Department’s workforce to its mission and
derives authority from the Secretary of Energy and
the Chief Human Capital Officer Act of 2002 (Public
Law 107-296). The CHCO advises and assists the
head of the agency and other agency officials in
carrying out the Department’s responsibilities for
selecting, developing, training, and managing a high-
quality and productive workforce in accordance with
Merit System Principles (5 U.S.C. 2301). The CHCO is
the chief policy advisor on all human capital
management issues and shares responsibility and
accountability for the Department’s performance
and mission results.
In addition, the OCHCO provides Departmental
leadership and direction in interfaces with the Office
of Personnel Management (OPM), Government
Accountability Office (GAO), Merit Systems
Protection Board (MSPB), Federal Labor Relations
Authority (FLRA) and other Federal/non-Federal
organizations relating to human capital programs
and policies.
3-1: OCHCO Mission, Vision, and Values
HC MISSION
Supporting DOE’s mission through
workforce services, solutions and
innovations
HC VISION
We will be the premier organization
for human capital solutions
8 2016-2020 Strategic Human Capital Plan
Office of the Chief Human Capital Officer
3-2: OCHCO Organization Chart Effective October 4, 2015
(HC-10)
OFFICEOFHUMAN
CAPITALPOLICY&
ACCOUNTABILITY
HUMANCAPITAL
POLICYDIVISION
HUMANCAPITAL
ACCOUNTABILITY
&COMPLIANCE
DIVISION
(HC-1.4)
INFORMATION
MANAGEMENTDIVISION
LEARNING
DIVISION
(HC-30)
OFFICEOFCORPORATE
HUMANRESOURCE
SERVICES
(HC-20)
OFFICEOFLEARNING&
WORKFORCE
DEVELOPMENT
(HC-1.5)
ADMINISTRATIVE
MANAGEMENTDIVISION
WORKFORCE
DEVELOPMENT
DIVISION
(HC-40)
OFFICEOFCORPORATE
EXECUTIVE
MANAGEMENT
(HC-50)
OFFICEOFHUMAN
CAPITALSTRATEGY&
ANALYTICS
(HC-1.3)
FINANCIALMANAGEMENT
DIVISION
CORPORATE
WORKFORCE
ANALYSIS&
PLANNINGDIV
SENIOR
ADVISORS
CORPORATE
RECRUITMENT&
OUTREACH
DIVISION
CORPORATE
WORKFORCE
ENGAGEMENT&
EFFECTIVENESSDIV
(HC-1.6)
HRSERVICEDELIVERY
PROGRAM
EXECUTIVE
STAFFING
DIVISION
EXECUTIVE
PERFORMANCE&
TALENTMGMT
DIVISION
(HC-1)
CHIEFHUMANCAPITALOFFICER
DEPUTYCHIEFHUMANCAPITALOFFICER
DIRECTOROFHUMANCAPITALMANAGEMENT
MANAGEMENT&
PERFORMANCEHR
SHAREDSERVICE
CENTER
SCIENCE&
ENERGYHR
SHAREDSERVICE
CENTER
NUCLEAR
SECURITYHR
SHAREDSERVICE
CENTER
POWER
MARKETINGHR
SHAREDSERVICE
CENTER
BONNEVILLE
POWERHR
SHAREDSERVICE
CENTER
3-2:OCHCOOrganizationChartEffectiveOctober4,2015
9Strategic Human Capital Goals and Alignment
U.S. Department of Energy
4.STRATEGIC HUMAN CAPITAL GOALS AND ALIGNMENT
Human Capital Goals
The 2016-20 SHCP focuses on three strategic human
capital goals (Figure 4-1) relating to leadership,
people, and human resources (HR) to help the
Department overcome its workforce challenges and
improve support for DOE mission achievement. As
stated in the DOE Strategic Plan for 2014-2018, the
Department faces serious workforce challenges over
the coming decade.
Over 35% of today’s DOE federal employees will be
eligible to retire by 2020, including many of its most
experienced and highly skilled professionals. The
Department needs to engage in workforce planning
and improve its outreach and recruitment programs
in order to sustain a federal workforce with the
science, technology, engineering, and mathematics
(STEM) skills and experience required to accomplish
its highly technical mission.
The Department must significantly improve the
quality and efficiency of its human resource
operations in comparison to government-wide
benchmarks. DOE is committed to improving human
capital policies, programs, and systems through a
corporate approach that reduces organizational
redundancies and uses capable and cost-effective HR
information technology systems.
The goals and strategies for this SHCP were
developed as a result of:
• stakeholder engagements with DOE
management and employees;
• evaluations of the DOE external and internal
environments;
• reviews of current human capital programs and
policies;
• workforce analysis, research and benchmarking;
and
• Identification of new and innovative approaches
for addressing the challenges facing the
Department.
This work is further elaborated upon in section five.
4-1: DOE Strategic Human Capital Goals
• Leadership: Grow our Leaders
o We will improve leadership competency and strengthen accountability for achieving
mission results, while improving executive hiring and onboarding processes and preparing
the workforce for future mission needs
• People: Strengthen our Workforce
o We will hire the best talent, develop our employees, and optimize performance with a
renewed emphasis on employee engagement, workplace improvement, and workforce
flexibilities
• Human Resources (HR): Improve our HR Service Delivery
o We will improve HR competency, processes, and systems to provide effective, efficient
results and excellent customer service to the Department’s federal workforce
10 2016-2020 Strategic Human Capital Plan
Office of the Chief Human Capital Officer
Alignment
Figure 4-2 illustrates the strategic alignment of the
goals of the 2016-20 SHCP with the goals and
objectives of the DOE Strategic Plan and the
President’s Management Agenda. The tactical paths
to implementing the goals, strategies, and actions
within this SHCP will be administered through the
priorities, commitments, and measures identified in
Annual Human Capital Plans.
4-2: Strategic Alignment of Human Capital, Departmental, and Administration Goals
Strategic Human Capital Plan
Human Capital Goals
Leadership: Grow
our Leaders
People: Strengthen
our Workforce
HR: Improve our HR
Service Delivery
DOE Strategic Plan (Goal 3, Strategic Objective 12)
Management and Performance
Attract, manage, train, and retain the best federal workforce to meet
future mission needs
President’s Management Agenda: Creating a 21st Century Government
People and Culture
Employee
Engagement
World Class SES Hire the Best Talent
11Developing the Strategic Human Capital Plan
U.S. Department of Energy
5.DEVELOPING THE STRATEGIC HUMAN CAPITAL PLAN
Stakeholder Engagement
The OCHCO led stakeholders from across the
Department through a series of focus group sessions
designed to examine the current state of human
capital management within DOE. This engagement
began in July 2013 with the development of the DOE
Strategic Plan for 2014-2018, which the Secretary
issued in April 2014.
Stakeholder engagement continued with the
development and incorporation of the three
strategic human capital goals for leadership, people
and human resources (HR) into the reporting and
accountability processes of the Deputy Secretary’s
Business Quarterly Review. Using top-down and
bottom-up approaches, employees from across the
Department assembled to discuss the challenges
they face while working to achieve organizational
priorities and to help develop actionable strategies
to address challenges in leadership, people, and HR.
Major considerations that drove the focus group
activity and agenda were the Department’s recent
Federal Employee Viewpoint Survey results and
environmental assessments of the DOE. To ensure
understanding and agreement of the key challenges
and establish buy-in of the strategies, senior
leadership was briefed during the development of
specific strategies included in the 2016-20 SHCP.
Environmental Assessment
Since May 2013, OCHCO has conducted internal
assessments to help identify areas of needed
improvement in the Department’s HR line of
business. The results of these assessments have
triggered significant changes to the way DOE will
provide HR and human capital management services
to its customers. These changes are reflected in the
strategies included under the goal for HR.
In addition, human capital professionals within
OCHCO regularly participate in government-wide,
interagency workgroups to address different priority
areas of human capital management. The OCHCO
uses this exposure to government-wide
collaboration to benchmark against similar
challenges within DOE.
Key areas of concern for the Department that have
emerged through these assessments and
collaborations are the Department’s leadership
capability, workforce optimization, and the
effectiveness and efficiency of HR operations.
Benchmarking
The OCHCO conducted research and benchmarking
to support an informed approach for the 2016-20
SHCP. The OCHCO researched publications from
leading industry and public sector organizations,
including the Corporate Executive Board, Bersin by
Deloitte, the Government Accountability Office, and
the Merit Systems Protection Board. In addition,
OCHCO reviewed ten STEM agencies’ SHCPs and
previous DOE strategic plans and SHCPs to identify
best practices and apply lessons learned.
Workforce Trends and Challenges
While developing the 2016-20 SHCP, the OCHCO
analyzed the Department’s human capital data and
found key challenges related to trends in the DOE
federal workforce. Where feasible, DOE’s trends
were benchmarked with the rest of Government.
Table 5-1 identifies the key workforce trends and
challenges which impacted development of the goals
and strategies for the 2016-20 SHCP. Examples of
the analysis and metrics behind these trends is
provided as data appendices in section ten (Figures
10-1 through 10-12).
12 2016-2020 Strategic Human Capital Plan
Office of the Chief Human Capital Officer
5-1: Key Challenges for the DOE Federal Workforce:
Workforce Challenges Representative Analysis/Metrics
1. Workforce Size & Utilization: Steady
decreases in size as measured by allocated
Full-Time Equivalents (FTE), while
underutilization of those FTE has accelerated
• Trends in allocation and utilization of FTE
(Figure 10-1)
• Historical profile of on-boards, gains and
losses (Figure 10-2)
2. Attrition Risks: Increasing number of
resignations from federal service, while risk of
losses from increased retirement eligibility
continues to increase
• Historic profile of on-boards, gains and
losses (Figure 10-2)) and types of losses
(Figure 10-3)
• Trends in retirement eligibility, retirement
deferment, and actual number of
retirements (Figure 10-4 through Figure
10-7)
3. Recruitment & Succession Risks: New
generations are greatly underrepresented,
while overall succession readiness is unclear
• Trends in recruitment demographics and
positions filled (Figure 10-8)
4. Employee Engagement: Steady declines in
measures of employee engagement and
employee perceptions of agency leadership
• Trends in Federal Employee Viewpoint
Survey (FEVS) results (Figure 10-9)
• Trends in Best Places to Work (BPTW)
rankings Figure 10-10)
• Other employee feedback mechanisms (e.g.,
focus groups, town halls, management
discussions)
5. HR Service Delivery: Costly and inefficient
delivery of HR services compared to
Government benchmarks
• Cost: HR cost per employee (Figure 10-11)
• Efficiency: HR servicing ratio (Figure 10-12);
Time-to-hire
• Transactional error rates
• Customer feedback
Office of the Chief Human Capital Officer
13Developing the Strategic Human Capital Plan
Action Planning
Following the efforts to assess DOE’s HR line of
business, to engage with the DOE federal workforce
through focus groups, and to collaborate with
colleagues across government, OCHCO used a
Strengths, Weaknesses, Opportunities and Threats
(SWOT) analysis (Figure 5-2) to catalog the factors
impacting the ability of the DOE federal workforce to
carry out its mission and objectives. While the
strategies in the 2016-20 SHCP capitalize on the
Department’s strengths and opportunities, the key
driver was addressing the Department’s weaknesses
and threats. OCHCO took care to ensure that
identified weaknesses and threats would be
mitigated by implementing one or more of the
strategies included in the SHCP. More detailed
descriptions of the strengths, weaknesses,
opportunities, and threats identified in the SWOT
analysis are contained in Figures 5-3 through 5-6.
5-2: SWOT Analysis
Strengths
1. Technically strong workforce
2. Employee dedication to mission
3. Knowledgeable workforce
4. World-renowned research organization
5. Acclaimed leadership speaker series
Weaknesses
1. Employee perceptions of leaders
2. Declining employee engagement
3. Organizational communication
4. HR ineffectiveness and inefficiency
5. HR information systems
6. Corporate recruitment andbranding
7. Decreased entry-level recruitment
8. Unchanging workforce diversity
Opportunities
1. Leadership commitment to improving
human capital management
2. Redesigned HR service delivery
3. Deferment of retirement eligibility
4. Access to new talent pools
5. Human capital management
infrastructure
6. Changingdiversityof U.S. population
Threats
1. Impact of improving U.S. economy on
attrition and retention
2. Climate for federal employment
3. Vulnerability to retirements
4. Vulnerability to unplanned attrition
5. Loss of institutional knowledge
6. DOE lack of increased diversity
U.S. Department of Energy
14 2016-2020 Strategic Human Capital Plan
5-3: Strengths Analysis
Strengths
1. Technically strong workforce – DOE has a highly educated workforce with the technical/STEM skill
sets needed to achieve the Department’s complex mission requirements.
2. Employee dedication to mission – Federal Employee Viewpoint Survey (FEVS) results show that
DOE employees believe in the mission of the Department and are willing to put in additional
discretionary effort to ensure that mission is achieved. DOE scores highly in questions concerning
employee commitment and the importance of their work.
3. Knowledgeable workforce – DOE has a long-tenured workforce with a deep understanding of
program and mission requirements and the professional experience to ensure those requirements
are met.
4. World-renowned research organization – DOE is recognized as a world leader in STEM-related
research and technology, as highlighted by the number of Nobel Prize winning research from its
extensive network of national laboratories.
5. Acclaimed leadership speaker series – The Office of Learning and Workforce Development within
the OCHCO executes a leadership speaker series that is recognized throughout government for
providing learning opportunities for current and aspiring leaders from many different agencies.
Office of the Chief Human Capital Officer
15Developing the Strategic Human Capital Plan
5-4: Weaknesses Analysis
Weaknesses
1. Employee perceptions of leaders – Employees perceive that DOE’s leaders have weaknesses in
critical leadership competencies, which impacts workplace culture and employee engagement as
evidenced by a steady decline from 2011 through 2014 in the Department’s scores relating to
leadership on the Federal Employee Viewpoint Survey (FEVS) and Best Places to Work (BPTW).
2. Declining employee engagement – Employee engagement is widely accepted as a key driver of
higher individual and organizational performance. However, the Department has shown a steady
decline from 2011 through 2014 in its scores relating to employee engagement on the Federal
Employee Viewpoint Survey (FEVS). In 2014, DOE fell to the bottom quartile of mid-size agencies
for the first time in the Best Places to Work (BPTW) rankings.
3. Organizational communication – DOE has long operated within organizational stove pipes that
can hinder the flow of information within program areas as well as across program lines. Stove
piping limits collaboration opportunities, hampering employee and mission performance.
4. HR ineffectiveness and inefficiency – An internal DOE study in 2013 and ongoing government-
wide benchmarking started in 2014 have shown that DOE’s HR line of business poses significant
risks, is costly and inefficient, and provides inconsistent and ineffective customer service. This
impacts HR’s ability to support the mission as well as the resources available for the mission.
5. HR information systems – The Department’s HR information systems are not currently integrated
to support HR operational effectiveness and efficiency.
6. Corporate recruitment and branding – DOE currently lacks an understanding of the corporate
efforts and investments in the HR areas of recruitment and outreach. In many cases, these
functions are decentralized and performed independently by program offices with little to no
visibility or involvement by the OCHCO.
7. Decreased entry-level recruitment – The number of federal employees on board who are younger
than 30 has decreased by nearly half from 8.4% in FY 2010 to 4.6% in FY 2015, which reduces
DOE’s access to candidates for succession and the innovation that comes with new generations
entering the workforce.
8. Unchanging workforce diversity – DOE is, on average, 10% less diverse than government over the
last five years and has seen fewer changes in diversity compared to government. As of 2014, DOE
is also 3% less diverse than other STEM focused agencies, with 76% non-minority compared to
73%.
U.S. Department of Energy
16 2016-2020 Strategic Human Capital Plan
5-5: Opportunities Analysis
Opportunities
1. Leadership commitment to improving human capital management – DOE leadership has
demonstrated a commitment to improving human resources operations and human capital
management through their support of the HR Service Delivery (HRSD) initiative. There are
opportunities to build upon this commitment to make other needed improvements to DOE’s
strategic human capital management processes and programs.
2. Redesigned HR service delivery – The implementation of the HR Service Delivery (HRSD) initiative
is designed to provide major improvements in efficiency, effectiveness, and customer satisfaction
for human resources operations and human capital management services.
3. Deferment of retirement eligibility – DOE employees on average wait four or more years to retire
once they become eligible. This deferment provides the Department with significant windows of
opportunity to develop and execute corporate succession planning and knowledge
capture/transfer strategies to mitigate risks to the workforce due to anticipated retirements.
4. Access to new talent pools – While hiring managers have been able to attract and hire the talent
needed to fill organizational vacancies by relying on traditional talent pools, the Department’s
workforce profile in specific areas has remained either unchanged (e.g., gender, diversity) or
trending toward greater risk (e.g., age, retirements, and unplanned losses) since 2010. The
Department needs to expand new potential talent pools and develop additional pipelines of talent
to mitigate such risks.
5. Human capital management infrastructure – The OCHCO has a solid foundation of human capital
management infrastructure in place with programs and policies that can be enhanced to expand
the OCHCO’s reach and influence through the HRSD initiative to better execute corporate
strategies across the Department.
6. Changing diversity of U.S. population – Census data shows that the U.S. population is becoming
increasingly diverse, 28% minority in 2010 vs. 25% minority in 2000, which represents potentially
greater opportunities to recruit talent with different perspectives, training, and skill sets.
Office of the Chief Human Capital Officer
17Developing the Strategic Human Capital Plan
5-6: Threats Analysis
Threats
1. Impact of improving U.S. economy on attrition and retention – As the economy continues to
recover, resurgent private sector employers are driving increased competition for qualified
candidates. During the recession, individuals who accepted DOE federal positions for greater job
security rather than a strong connection to DOE’s mission are more likely to leave in an improving
economy for higher paying opportunities in the private sector.
2. Climate for federal employment – Federal employees’ benefits and wages received additional
scrutiny during the recession and continue to be a target of those calling for reductions in federal
spending, which causes current federal employees to feel targeted and undervalued. In addition,
portrayals of federal employees in the media tend to be negative. Such a climate for federal
employment makes recruitment and retention more difficult, and increases the risk of attrition
due to resignations from federal service.
3. Vulnerability to retirements – DOE has an aging workforce with one in six employees (17%) being
eligible to retire today. Over one in three (36%, or more than twice as many) of today’s workforce
will be eligible to retire in 2020. In addition, employees may shorten the average of four years of
retirement deferment as a result of the improving U.S. economy.
4. Vulnerability to unplanned attrition – From 2010 to 2014, DOE had more losses than hires each
year, and trends are changing in the types of gains and losses that are occurring. Unplanned losses
have consistently accounted for 40% of all attrition, but transfers out to other agencies have
decreased to 14% from 25% and resignations from federal service have increased to 26% from
17%. The overarching trend appears to be an increase in federal employees leaving federal
service, not just the Department.
5. Loss of institutional knowledge – As DOE employees leave via retirement, the Department loses
a career’s worth of job experience, technical understanding, and relationships among professional
networks.
6. DOE’s lack of increased diversity – As DOE’s workforce demographic has been at 24% minority
since at least FY 2010, DOE does not reflect the increasing diversity (28% in 2010) of the civilian
labor force. This reflects challenges in DOE’s ability to attract diverse applicants and represent the
perspectives of diverse communities.
U.S. Department of Energy
18 2016-2020 Strategic Human Capital Plan
6.STRATEGIC HUMAN CAPITAL OUTCOMES
The ultimate measure of success for the 2016-20
SHCP will be its overall impact on DOE’s mission
results and employees’ ability to achieve that
mission.
The 2016-20 SHCP includes one overarching
outcome, and three supporting outcomes, that, if
realized (Figure 6-1), will have a direct impact on
organizational success and mission achievement.
The overarching outcome measure is the realization
of Strategic Objective 12 from the DOE Strategic Plan
for 2014-2018. The three supporting outcome
measures are linked to achievement of the three
strategic human capital goals in this 2016-20 SHCP.
The outcome statements are intentionally broad;
however, section seven of the 2016-20 SHCP
includes specific performance metrics and annual
targets that serve as indicators of success in
achieving these outcomes (Figure 7-1).
6-1: Desired Outcomes of the Strategic Plans for DOE and Human Capital
DOE attracts, manages, develops, and retains the best federal
workforce to meet its mission needs
Leadership
Leaders inspire dedication
to mission achievement by
building trust, developing
employees, and
demonstrating integrity
People
Employees are supported
effectively by well-
integrated human capital
services relevant to their
DOE tenure
HR
HR delivers effective
operational and strategic
services at lower costs
and greater efficiency.
U.S. Department of Energy
19Defining and Measuring Success
7.DEFINING AND MEASURING SUCCESS
Defining Targets for Success
Strategic performance metrics (Figure 7-1) are
defined to help the Department measure its progress
toward achieving the desired outcomes stated in this
SHCP (Figure 6-1). DOE will know it is achieving the
outcomes by consistently meeting or exceeding the
targets established for these performance metrics.
Additional tactical metrics will be developed with
each Annual Human Capital Plan (AHCP) to help
monitor progress for the actions and initiatives
prioritized each year in executing the strategies from
this SHCP.
7-1: Strategic Performance Metrics and Targets
1
Source: Annual DOE Agency Financial Reports (AFR) at http://energy.gov/cfo/reports/agency-financial-reports, see
“Performance Summary” section. Mission achievement is tied to the percentage of DOE Mission Performance Targets met
as reported in the DOE Performance Summary within the AFR.
Performance
Metric
Outcomes
Assessed
FY13/14
Baseline
FY15
Target
FY16
Target
FY17
Target
FY18
Target
FY19
Target
FY20
Target
DOE Mission
Achievement0F
1
Leadership
People
HR
84%
2014
baseline
85%
+1% vs.
baseline
86%
+2% vs.
baseline
87%
+3% vs.
baseline
88%
+4% vs.
baseline
89%
+5% vs.
baseline
90%
+6% vs.
baseline
FEVS
Employee
Engagement
Index
People
Leadership
61%
2014
baseline
64%
+3% vs.
baseline
67%
+6% vs.
baseline
68%
+7% vs.
baseline
69%
+8% vs.
baseline
70%
+9% vs.
baseline
71%
+10% vs.
baseline
FEVS New IQ
Score
People
Leadership
56%
2014
baseline
57%
+1% vs.
baseline
58%
+2% vs.
baseline
59%
+3% vs.
baseline
60%
+4% vs.
baseline
61%
+5% vs.
baseline
62%
+6% vs.
baseline
FEVS
Leadership &
Knowledge
Management
Index
Leadership
People
56%
2014
baseline
57%
+1% vs.
baseline
58%
+2% vs.
baseline
59%
+3% vs.
baseline
60%
+4% vs.
baseline
61%
+5% vs.
baseline
62%
+6% vs.
baseline
FEVS Results-
Oriented
Performance
Index
Leadership
People
51%
2014
baseline
52%
+1% vs.
baseline
53%
+2% vs.
baseline
54%
+3% vs.
baseline
55%
+4% vs.
baseline
56%
+5% vs.
baseline
57%
+6% vs.
baseline
Job Applicant
Diversity
People 47%
2014
baseline
48%
+1% vs.
baseline
49%
+2% vs.
baseline
50%
+3% vs.
baseline
51%
+4% vs.
baseline
52%
+5% vs.
baseline
53%
+6% vs.
baseline
HR Servicing
Ratios
HR 1:32
2013 HRSD
baseline
1:36
+4 vs.
baseline
1:40
+8 vs.
baseline
1:43
+11 vs.
baseline
1:45
+13 vs.
baseline
1:47
+15 vs.
baseline
1:49
+17 vs.
baseline
Office of the Chief Human Capital Officer
20 2016-2020 Strategic Human Capital Plan
Measuring and Reporting Progress
Since FY 2012, federal Chief Human Capital Officers
(CHCOs) have implemented quarterly data-driven
reviews of agency human capital goals. Known as
“HRstat,” these data-driven reviews support regular
discussions with agency principal leaders in order to
drive the following key outcomes:
• Assess current performance in relation to
agency human capital goals;
• Follow up on previous decisions and
commitments; and
• Determine future actions and course
corrections.
At DOE, the OCHCO has integrated key components
of HRstat into the Deputy Secretary’s Business
Quarterly Review (BQR). The BQR is the
Department’s implementation of the quarterly data-
driven reviews of performance at the agency level,
which are a statutory requirement under Section
1124(a) of the GPRA Modernization Act of 2010
(GPRAMA). The DOE OCHCO’s integration of HRstat
with the BQR process promotes visibility, action, and
accountability for DOE’s human capital goals.
HRstat relies on a flexible approach to documenting
and reporting human capital data to DOE senior
leaders to help inform the decision-making process
as it relates to the DOE workforce. Utilizing this
flexible approach, the OCHCO aligns its HRstat
scorecard to the strategic performance metrics
documented in the SHCP in order to provide the
most relevant updates, tailored for specific
audiences, on progress made and course corrections
needed, to achieve performance targets.
In section nine, Figure 9-1 illustrates the role of
HRstat in providing regular feedback to DOE senior
leadership on successes and needed course
corrections. This feedback helps to inform the
development of future Annual Human Capital Plans
to ensure progress towards the outcomes desired
from this 2016-20 SHCP. The processes driving
HRstat and human capital planning will continue to
evolve with each Annual Human Capital Plan.
Office of the Chief Human Capital Officer
21Implementation Strategies
8.IMPLEMENTATION STRATEGIES
Working in partnership with program leadership and
employees across the Department, the OCHCO has
overall lead accountability and oversight for the
execution of the 2016-20 SHCP.
To support achievement of the desired SHCP
outcomes, the OCHCO developed implementation
strategies, as a result of the collaborative input
gathered during focus group sessions with
stakeholders across the Department, as described in
section five.
The implementation strategies identify the current
and future actions that support human capital
performance and achieve mission results. The
specific steps and actions needed to execute each
strategy will be developed by the assigned strategy
leads and documented through the development of
Annual Human Capital Plans and reported through
the HRstat program.
Table 8-1 summarizes the alignment of SHCP goals,
strategies, and actions. Tables 8-2, 8-3, and 8-4
describe and link each strategy to the goals and
desired outcomes for leadership, people, and/or
human resources.
8-1: Summary of Human Capital Goals and Implementation Strategies
GOALS IMPLEMENTATION STRATEGIES
Leadership:
Grow our Leaders
• Strengthen supervisory skills
• Improve DOE leadership skills
• Expand professional development support for senior leaders
• Strengthen DOE employee engagement
People:
Strengthen our
Workforce
• Improve Quality of Hires
• Better target resources spent on human capital
• Improve workforce planning capability
• Enhance DOE’s recruitment and outreach
• Guard institutional knowledge against retirement losses
• Support the career development of DOE employees
• Improve collaboration across DOE organizational stovepipes
• Increase employee recognition
• Better support new employees’ transition into DOE
• Increase employee collaboration and awareness of DOE’s skill inventory
Human Resources (HR):
Improve our HR Service
Delivery
• Improve the effectiveness and efficiency of HR service delivery
• Improve consistency of HR operations
• Improve the integration, efficiency, and effectiveness of HR information systems
• Strengthen the capabilities of the HR workforce
• Improve efficiency of HR service delivery
• Enhance customer service
• Strengthen HR accountability
U.S. Department of Energy
22 2016-2020 Strategic Human Capital Plan
Goal 1 - Leadership: Grow our Leaders
The human capital goal for leadership supports the following performance goals under DOE’s Strategic Objective
12 to Attract, manage, train, and retain the best federal workforce to meet future mission needs:
• Implement a corporate leadership development strategy and framework by 2017 that improves leadership
and management at all levels and mission performance, using results from the Federal Employee
Viewpoint Survey and other trends analysis.
• Ensure accountability for improving employee perceptions, engagement, and performance through the
implementation of action items based on the annual Federal Employee Viewpoint Survey results and
improved execution of employee performance management in line with the President’s Second-Term
Management Agenda by FY 2015.
Challenges
The implementation strategies listed in support of the leadership goal were selected primarily because of their
anticipated impact on the weaknesses and threats relating to, or impacted by, DOE’s leaders, as identified in the
SWOT analysis in section five.
8-2: Desired Outcomes Supported by Leadership Strategies
Leadership Strategies
Outcomes
Supported
Strengthen supervisory skills: Improve the development of new supervisors and managers.
Support new supervisors and managers throughout the first two years in their new position as
they transition into new roles with different responsibilities and requirements. This support
involves but is not limited to supervisory and leadership training, supervisory community of
practice, coaching, and mentoring.
• Leadership
• People
Improve DOE Leadership skills: Execute a corporate leadership development framework.
Develop and execute leadership development programs that support DOE’s definition of
leadership and leadership culture resulting in improved leadership competency, increased
knowledge transfer, and better overall leadership.
• Leadership
• People
• HR
Expand professional development support for senior leaders: Establish a senior leader
community of practice. Expand on the success of the supervisor/manager community of
practice by creating a parallel effort to afford senior leaders the opportunity to support and
mentor each other on common leadership challenges.
• Leadership
Strengthen DOE employee engagement: Develop and implement employee engagement
strategies and tools. Develop, support, and evaluate human capital management strategies and
programs to support improved employee engagement and organizational performance.
• Leadership
• People
Office of the Chief Human Capital Officer
23Implementation Strategies
Goal 2 – People: Strengthen our Workforce
The human capital goal for people supports the following performance goals under DOE’s Strategic Objective 12
to Attract, manage, train, and retain the best federal workforce to meet future mission needs:
• Improve each year on the speed, quality, and diversity of hiring and on-boarding, as indicated by
satisfaction surveys and demographic data, while maintaining an efficient time-to-hire and desired
retention rates.
• Improve the effectiveness of employee skills assessments, training curricula, delivery methods, and
individual development plans to support corporate succession planning, closing skill gaps, and workforce
development through FY 2020.
Challenges
The implementation strategies listed in support of the people goal were identified primarily because of their
anticipated impact on the weaknesses and threats relating to, or impacted by, DOE’s workforce, as identified in
the SWOT analysis in section five.
8-3: Desired Outcomes Supported by People Strategies
People Strategies
Outcomes
Supported
Improve quality of hires: Support hiring managers in making better quality hiring decisions with
tools to enhance the evaluation of applicants. Develop and implement a hiring and selection
tool kit for hiring managers.
• People
• Leadership
Better target resources spent on human capital: Fully develop and promote the use of
competency models for Mission Critical Occupations (MCO). Develop competency models for
each MCO detailing the required competencies and associated behaviors for each occupation at
different levels of seniority and integrate related competency data into all aspects of human
capital management.
• People
• Leadership
• HR
Improve workforce planning capability: Develop a corporate model to determine manpower
requirements in support of improved workforce planning and resource deployment. Implement
an integrated workforce planning process that supports data driven budget/resource decisions
while ensuring sufficient succession pipelines.
• People
• HR
Enhance DOE’s recruitment and outreach: Develop and execute strategies to promote DOE as
an employer of choice with targeted segments of the U.S. population. Establish a Corporate
Recruitment and Outreach function to support corporate recruitment strategies while
enhancing marketing and outreach with a strategic focus on STEM occupations.
• People
• Leadership
• HR
U.S. Department of Energy
24 2016-2020 Strategic Human Capital Plan
People Strategies (continued)
Outcomes
Supported
Guard institutional knowledge against retirement losses: Engage subject matter experts to
promote and encourage corporate knowledge capture and transfer strategies. Support
knowledge capture and transfer through enhanced strategies and expanded technological
support.
• People
Support the career development of DOE employees: Enhance employee development and
career growth through integrated learning strategies. Develop and execute a learning and
development framework that supports continuous learning, job related development, and
career growth through corporate strategies and programs.
• People
• Leadership
Improve collaboration across DOE organizational stovepipes: Develop and implement
opportunities for employees and communities of practice to collaborate in a manner that
reduces stove pipes and gains efficiencies across organizations.
• People
• Leadership
Increase employee recognition: Improve awards and recognition of employee and
organizational performance. Increase awareness of employee performance within
organizations and establish additional DOE awards and recognition programs. Promote
opportunities for organizations to showcase mission success and highlight the work performed
within their offices.
• People
Better support new employees’ transition into DOE: Transform existing employee orientation
programs into a corporate employee on-boarding program. Increase engagement, raise
retention, and improve performance through a formal onboarding program that provides
services and support for new employees throughout their first year with DOE.
• People
• Leadership
• HR
Increase employee collaboration and awareness of DOE’s skill inventory: Use strategies and
tools, including social media platforms, to develop employee professional networks that
support career development and advancement. Increase collaboration among employees using
facilitated networking groups and social media platforms where employees can build, maintain,
and share their professional profiles.
• People
• Leadership
Office of the Chief Human Capital Officer
25Implementation Strategies
Goal 3 – Human Resources (HR): Improve our HR Service Delivery
The human capital goal for HR supports the following performance goal under DOE’s Strategic Objective 12 to
Attract, manage, train, and retain the best federal workforce to meet future mission needs:
• Reduce the per employee cost of providing human resource services by 50% by reducing organizational HR
redundancies and moving to a corporate approach by the end of FY 2016.
Challenges
The implementation strategies listed in support of the HR goal were identified primarily because of their
anticipated impact on the weaknesses and threats relating to, or impacted by, DOE’s human resources service
delivery (HRSD), as identified in the SWOT analysis in section five.
8-4: Desired Outcomes Supported by HR Strategies
HR Strategies
Outcomes
Supported
Improve the effectiveness and efficiency of HR service delivery: Establish a hybrid model of
HR service delivery with Shared Service Centers and on-site HR business partners. Consolidate
HR operations under OCHCO while aligning HR services along DOE business lines.
• HR
Improve consistency of HR operations: Develop and implement standardized processes for
HR operations to improve the consistency and effectiveness of HR operations and human
capital management programs.
• HR
Improve the integration, efficiency, and effectiveness of HR information systems – Complete
a proactive, long-term plan to implement an integrated, efficient and effective HRIT system.
• HR
Strengthen the capabilities of the HR workforce: Identify, track, and develop the
competencies needed within the HR line of business to improve HR competency.
• HR
• People
Improve efficiency of HR service delivery: Identify and implement efficiencies to reduce the
cost of providing HR services.
• HR
Enhance customer service: Transform HR into a world class customer service organization.
Develop a governance structure for HR functions that clearly define and communicate
customer service standards and expectations. Ongoing training, service level agreements, and
effective performance management processes are key tools within this governance structure.
• HR
Strengthen HR accountability: Improve customer understanding and compliance with HR
policies. Execute a HR policy review that simplifies existing policies by eliminating unnecessary
barriers and/or restrictions and post all HR policies in a central location. Continue to reinforce
accountability through audits by the HC Management Accountability Program (HCMAP).
• HR
U.S. Department of Energy
26 2016-2020 Strategic Human Capital Plan
9.ANNUAL HUMAN CAPITAL PLANS
The DOE federal workforce operates in a dynamic
environment, requiring vision and agility in its
human capital management. The 2016-2020 SHCP
communicates the vision for DOE’s people while
providing a road map through 2020 for leading and
strengthening a federal workforce that achieves the
DOE mission and advances the President’s
Management Agenda.
To implement the SHCP, the OCHCO will use Annual
Human Capital Plans (AHCPs) to identify the
priorities, actions, and metrics for the coming fiscal
year, and closeout or carryover prior year priorities.
Figure 9-1 illustrates how the AHCPs support agility
in the Department’s human capital management
within the planning, implementation, and evaluation
systems of the Human Capital Assessment and
Accountability Framework (HCAAF) introduced in
section one.
9-1: Alignment of Planning, Implementation, and Evaluation
DOE Mission
DOE Strategic Plan
for 2014-2018
DOE Strategic Objective 12:
BestDOEFederalWorkforce
Cross-Agency Priority (CAP)
Management Goals
President’s Management
Agenda (PMA)
DOE Strategic Goal 3:
Management&Performance
2016-2020 Strategic Human
Capital Plan (SHCP) People and Culture
CAP Goal
Goal 1: Grow our Leaders
Goal 2: Strengthen our Workforce
Goal 3: Improve HR Service Delivery
PLAN
IMPLEMENT
EVALUATE
DOE Annual Human
Capital Plans (AHCP)
Annual Human Capital
Priorities
Annual Human Capital
Outcomes
HCMAP Audits
HRstat Analysis &
Performance Reporting
U.S. Department of Energy
27Data Appendices
10. DATA APPENDICES
The following data graphs provide supporting information referenced in section five of the 2016-20 SHCP.
10-1: DOE Federal Workforce Strength of Size in FTE from FY 2010-2020
10-2: Historical Profile of On-boards, Gains, and Losses in the DOE Federal Workforce
0
2,000
4,000
6,000
8,000
10,000
12,000
14,000
16,000
2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020
DOEFederalWorkforce
15,281
14,986
14,478
14,051
13,622
13,451
1,026
681
518
677
714
1,201
865
1,023
1,048
977
1,101
1,126
2010 2011 2012 2013 2014 2015
NumberofEmployees
On-boards Gains Losses
Trend Lines
FTE Utilization
FTE Allocation
FTE Allocation
FTE DOE Budget Requested
FTE Congressional Enacted End of Year (EOY) Actual FTE Utilization
FTE Utilization
U.S. Department of Energy
28 2016-2020 Strategic Human Capital Plan
10-3: Historical Profile of Trends in Types of Losses in the DOE Federal Workforce
10-4: Retirement Trends
10-5: Historical Profile of Employees Retirement Eligible and Actually Retiring
0
200
400
600
800
1000
1200
2010 2011 2012 2013 2014 2015
NumberofEmployees
Involuntary
Separations
All Other Attritions
Resignations
Transfers Out (to
other Fed. Agencies)
Voluntary
Retirements
Retirement: Actuals, Eligibility, and Deferment
 Retirements have consistently accounted for half of all attrition (51% on average) over the last
five years. However, the number of retirement eligible employees among today’s workforce is
expected to double over the next five years (FY 2020).
 Employees remain with DOE for an average of four years once becoming retirement eligible:
o Over 21% of the present day workforce, and 33% of GS-15s and SES, is at risk to retire
within the next five years.
o Based on retirement risk profiles over the last five years, it is likely that 7% of the
present day workforce will actually retire.
 Of DOE’s two retirement systems (CSRS & FERS), CSRS employees are more likely to defer
retirement for a longer period of time than FERS employees.
16.82% 16.84% 17.06% 17.63% 17.68%
3.50% 4.63% 5.21% 4.26% 4.45%
0%
10%
20%
30%
2010 2011 2012 2013 2014
%Employees
% Retirement Eligible % Actual Retirements
U.S. Department of Energy
29Data Appendices
10-6: Cumulative Profile of Retirement Eligibility and Deferment of the DOE Workforce
10-7: Predictive Risk Profiles Based on 4+ Years of Deferred Retirement Eligibility
10-8: Trend in DOE Federal Employees under Age 30 in comparison to Average Ages
Fiscal Year Employees Age < 30 DOE
Average Age
Government
Average AgeTotal Percentage
End of FY 10 1,284 8.40% 48.1 46.2
End of FY 11 1,106 7.38% 48.3 46.4
End of FY 12 839 5.93% 48.5 46.6
End of FY 13 738 5.25% 48.9 46.9
End of FY 14 622 4.63% 49.1 47.0
End of FY 15 623 4.58% 49.0 Not Available
-
2,000
4,000
6,000
8,000
10,000
12,000
14,000
2014
Workforce
Actual
2014
Workforce
in 2015
2014
Workforce
in 2016
2014
Workforce
in 2017
2014
Workforce
in 2018
2014
Workforce
in 2019
2014
Workforce
in 2020
2014
Workforce
in 2021
NumberofEmployees
FY14 EOY On-Board Retirement Eligibility Retirement Deferment of >4 Years
Basic Assumptive Model: If FY 2014 population of 13,425 as of 9/20/14 were aged through FY 2021
555
704
898
1,120
1,346
1,622
1,886
2,173
506
150
650
1150
1650
2150
2650
2014 2015 2016 2017 2018 2019 2020 2021
ProjectedRetirementLosses
Low Retirement Loss Estimate
Average Retirement Loss Estimate
High Retirement Loss Estimate
Actual(Projected) Retirement Loss
Actual
30 2016-2020 Strategic Human Capital Plan
Office of the Chief Human Capital Officer
10-9: DOE Federal Employee Viewpoint Survey (FEVS) Results for 2011-2015
10-10: Trends for DOE and Mid-Size Agencies in Best Places to Work (BPTW) Rankings
57%
61%
56%
56%
50%
54%
61%
60%
64%
57%
59%
53%
58%
64%
Global
Satisfaction
Employee
Engagement
New
IQ
HCAAF:
Leadership &
Knowledge
Management
HCAAF:
Results-
Oriented
Performance
Culture
HCAAF:
Talent
Management
HCAAF:
Job
Satisfaction
%PositiveResponses
2011 2012 2013 2014 2015 GOV 2015 OPM Rule of Thumb for "Strength"
(≥65%, or "2 out of 3 employees positive")
 From 2011-2014, DOE scores were in steady decline in all major index scores of the FEVS
 Secretarial commitment to the President's Management Agenda for Strengthening Employee Engagement and
Organizational Performance has resulted in DOE's improvement in 2015 vs. 2014 in all major index scores, and per
OPM significant change is 2% or greater
 DOE 2015 scored higher than GOV 2015 on two scores (Results‐Oriented and Talent Mgmt) and equal on all others
50
55
60
65
70
2003 2005 2007 2009 2010 2011 2012 2013 2014 2015
Department of Energy (DOE) Score
(12,944 full-time employees in FY 2014)
Mid-Size Agency Median Score
(1,000 - 14,999 full-time employees)
U.S. Department of Energy
31Data Appendices
10-11: FY 2013 Government-wide Comparison of HC Cost per Employee Serviced
10-12: FY 2013 Government-wide Comparison of Servicing Ratio
$7,825
$6,267
$5,605
$3,953
$3,786
$3,472
$3,432
$3,341
$2,837
$2,816
$2,746
$2,713
$2,712
$2,561
$2,392
$2,286
$2,281
$2,126
$2,069
$1,984
$1,779
$1,672
$1,526
$1,500
Government-wide Median Cost = $2,713
In 2013, DOE had the 2nd highest HR cost per employee.
110.1
107.9
105.8
74.1
71.6
69.8
67.6
66.7
66.2
65.5
62.6
62.5
60.5
58.4
52.3
49.2
48.6
45.0
44.8
44.3
41.0
32.3
23.7
19.5
Government-wide Median Ratio = 61.5
In 2013, DOE had the
3rd least efficient
servicing ratio
U.S. Department of Energy
32 2016-2020 Strategic Human Capital Plan
11. BIBLIOGRAPHY
Bersin, J. (January 2015). Predictions for 2015: Redesigning the Organization for a Rapidly Changing World.
Oakland, CA: Bersin by Deloitte.
Corporate Executive Board. (2015). Key Imperatives for HR in 2015: Insights from CEB’s Leadership Council
Research. Arlington, VA: Corporate Executive Board.
Department of the Treasury. (2008-2013). Strategic Human Capital Plan. Washington, DC: Department of the
Treasury.
Federal Railroad Administration. (2013-2016). Strategic Human Capital Plan. Washington, DC: Federal Railroad
Administration.
Government Accountability Office. (2010-2012). Strategic Human Capital Plan. Washington, DC: Government
Accountability Office.
Government Accountability Office. (December 11, 2003). Key Principles for Effective Strategic Workforce
Planning. GAO-04-39, Washington, DC.
Government Accountability Office. (February 2015). GAO High-Risk Series: An Update: Strategic Human Capital
Management. High-Risk Series, GAO-15-290, Washington, DC.
Government Accountability Office. (January 30, 2015). Federal Workforce: OPM and Agencies Need to
Strengthen Efforts to Identify and Close Mission-Critical Skills Gaps. Washington, DC: GAO-15-223.
Government Accountability Office. (May 7, 2014). Human Capital: Strategies to Help Agencies Meet Their
Missions in an Era of Highly Constrained Resources. GAO-14-168, Washington, DC.
Merit Systems Protection Board. (2015). Highlights of Reports Issued by the U.S. Merit Systems Protection Board.
Washington, D.C.: Merit Systems Protection Board.
Merit Systems Protection Board. (2015). MSPB Research Agenda 2015 -2018. Washington, D.C.: Office of Policy
and Evaluation.
National Aeronautics and Space Administration. (2004). Strategic Human Capital Plan. Washington, DC: National
Aeronautics and Space Administration.
National Archives and Records Administration. (2009-2014). Strategic Human Capital Plan. Washington, DC:
National Archives and Records Administration.
National Science Foundation. (2011-2014). Strategic Human Capital Plan. Washington, DC: National Science
Foundation.
Smithsonian Institution. (2011-2016). Strategic Human Capital Plan. Washington, DC: Smithsonian Institution.
33Bibliography
United States Army Corps of Engineers. (2012-2017). Strategic Human Capital Plan. Washington, DC: United
States Army Corps of Engineers.
United States Department of Energy. (2014, April 7). DOE Strategic Plan for 2014-2018. Retrieved April 26, 2015,
from Energy.gov: http://energy.gov/sites/prod/files/2014/04/f14/2014_dept_energy_strategic_plan.pdf
United States Department of Energy. (2015). Fiscal Year 2015: Agency Financial Report. Washington, D. C.:
Department of Energy.
United States Department of Energy, Office of the Chief Human Capital Officer. (2011). DOE Strategic Human
Capital Plan (FY 2011 - 2015). Retrieved from Energy.gov: http://www.energy.gov/hc/downloads/doe-
strategic-human-capital-plan-fy-2011-2015
United States Department of Justice. (2005-2006). Strategic Human Capital Plan. Washington, DC: United States
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Office of the Chief Human Capital Officer
1000 Independence Avenue, SW, 4E-084
Washington, DC 20585-1000
Learn more at:
http://www.energy.gov/hc

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Dept of Energy Strategic Human Capital Plan 2016 -2020

  • 1. Office of the Chief Human Capital Officer 2016-2020 Strategic Human Capital Plan
  • 2. Cover Photo Description Beyond Double-Pane Windows While the invention of double-pane windows dates back to 1935, a true turning point in the technology came in the 1980s with a collaboration between the Department of Energy, private industry, and Lawrence Berkeley National Lab. Initial research and development by Berkeley Lab and a start-up company, Suntek Research Associates (now called Southwall Technologies), led to the commercialization of low-emissivity coatings, a technology applied to glazing layers that allows visible light to pass through a window while trapping heat. Today, more than 80 percent of residential windows and nearly 50 percent of commercial windows sold every year in the U.S. have “low-e” coatings, saving consumers billions of dollars in energy costs. Image: Roy Kaltschmidt, Lawrence Berkeley National Lab Source: http://www.energy.gov/photos/4-energy-department-inventions-saving-consumers-energy-and-money
  • 3. CONTENTS 1. Introduction ..........................................................................................5 2. DOE Mission and Strategic Plan ............................................................6 3. OCHCO Mission and Organization.........................................................7 4. Strategic Human Capital Goals and Alignment......................................9 5. Developing the Strategic Human Capital Plan..................................... 11 6. Strategic Human Capital Outcomes..................................................... 18 7. Defining and Measuring Success......................................................... 19 8. Implementation Strategies.................................................................. 21 9. Annual Human Capital Plans ............................................................... 26 10. Data Appendices ................................................................................. 27 11. Bibliography ........................................................................................ 32
  • 4. FIGURES AND TABLES 1-1: Federal Human Capital Assessment and Accountability Framework (HCAAF) .................................. 5 2-1: Departmental Goals and Objectives in the DOE Strategic Plan for 2014-2018 ................................. 6 3-1: OCHCO Mission, Vision, and Values ................................................................................................... 7 3-2: OCHCO Organization Chart Effective October 4, 2015....................................................................... 8 4-1: DOE Strategic Human Capital Goals ................................................................................................... 9 4-2: Strategic Alignment of Human Capital, Departmental, and Administration Goals.......................... 10 5-1: Key Challenges for the DOE Federal Workforce:.............................................................................. 12 5-2: SWOT Analysis .................................................................................................................................. 13 5-3: Strengths Analysis............................................................................................................................. 14 5-4: Weaknesses Analysis ........................................................................................................................ 15 5-5: Opportunities Analysis...................................................................................................................... 16 5-6: Threats Analysis................................................................................................................................ 17 6-1: Desired Outcomes of the Strategic Plans for DOE and Human Capital............................................ 18 7-1: Strategic Performance Metrics and Targets..................................................................................... 19 8-1: Summary of Human Capital Goals and Implementation Strategies................................................. 21 8-2: Desired Outcomes Supported by Leadership Strategies.................................................................. 22 8-3: Desired Outcomes Supported by People Strategies ........................................................................ 23 8-4: Desired Outcomes Supported by HR Strategies............................................................................... 25 9-1: Alignment of Planning, Implementation, and Evaluation ................................................................ 26 10-1: DOE Federal Workforce Strength of Size in FTE from FY 2010-2020 ............................................. 27 10-2: Historical Profile of On-boards, Gains, and Losses in the DOE Federal Workforce ....................... 27 10-3: Historical Profile of Trends in Types of Losses in the DOE Federal Workforce.............................. 28 10-4: Retirement Trends.......................................................................................................................... 28 10-5: Historical Profile of Employees Retirement Eligible and Actually Retiring .................................... 28 10-6: Cumulative Profile of Retirement Eligibility and Deferment of the DOE Workforce..................... 29 10-7: Predictive Risk Profiles Based on 4+ Years of Deferred Retirement Eligibility............................... 29 10-8: Trend in DOE Federal Employees under Age 30 in comparison to Average Ages.......................... 29 10-9: DOE Federal Employee Viewpoint Survey (FEVS) Results for 2011-2015 ...................................... 30 10-10: Trends for DOE and Mid-Size Agencies in Best Places to Work (BPTW) Rankings....................... 30 10-11: FY 2013 Government-wide Comparison of HC Cost per Employee Serviced............................... 31 10-12: FY 2013 Government-wide Comparison of Servicing Ratio ......................................................... 31
  • 5. 5Introduction U.S. Department of Energy 1.INTRODUCTION The purpose of strategic human capital planning is to help organizations optimize their resources for efficient and effective mission achievement by using long-term, data-supported planning and management of the workforce. The 2016-2020 Strategic Human Capital Plan (2016- 20 SHCP) sets forth the human capital goals and strategies to support the mission and goals of the Department of Energy (DOE). It follows the 2011- 2015 Strategic Human Capital Plan, and will be updated as needed. The 2016-20 SHCP comes at a time when DOE has undergone significant organizational changes designed to better align the workforce to meet the Department’s current and future mission requirements. This SHCP supports senior leaders, managers, and employees in achieving the DOE mission by providing goals and strategies designed to grow our leaders, strengthen our workforce, and improve the delivery of our human resources. Used together, the goals and strategies of the 2016-20 SHCP will ensure that DOE has the ability to attract, manage, develop, and retain the best federal workforce to meet DOE’s mission needs. In addition, this plan aligns with the pillars and goals of the President’s Management Agenda. As depicted in Figure 1-1, the foundation of the 2016-20 SHCP is the Strategic Alignment system of the federal government’s Human Capital Assessment and Accountability Framework (HCAAF). An annual human capital planning process will be used to implement and evaluate the 2016-20 SHCP at an operational and tactical level. 1-1: Federal Human Capital Assessment and Accountability Framework (HCAAF) Planning and Goal Setting Strategic Alignment Implementation Leadership & Knowledge Management Results-Oriented Performance Culture Talent Management Evaluating Results Accountability Provides Direction Delivers Human Capital Outcomes Provides Performance Information Strategic Human Capital Plan Feedback on Successes and Needed Course Corrections
  • 6. 6 2016-2020 Strategic Human Capital Plan Office of the Chief Human Capital Officer 2.DOE MISSION AND STRATEGIC PLAN The Department of Energy’s (DOE) mission is to enhance U.S. security and economic growth through transformative science, technology innovation, and market solutions to meet our energy, nuclear security, and environmental challenges. The DOE Strategic Plan for 2014-2018 guides the execution of the agency's mission using three distinct goals for Science and Energy, Nuclear Security, and Management and Performance. The plan organizes these goals into twelve objectives that represent the cross-cutting and collaborative efforts taking place across the DOE headquarters, site offices, and national laboratories (Figure 2-1). The Department’s three Under Secretaries, as well as its four Power Marketing Administrations and portfolio of Departmental Offices, carry out these goals and objectives. The total DOE workforce consists of nearly 14,000 federal employees and over 90,000 contractor employees. The Department currently has 85 sites spanning 28 states, including DOE headquarters locations in Washington, D.C. The Department’s federal workforce is highlighted and supported in Strategic Objective 12 under the goal of Management and Performance: “Attract, manage, train, and retain the best federal workforce to meet future mission needs.” 2-1: Departmental Goals and Objectives in the DOE Strategic Plan for 2014-2018 DOE Mission: Enhance U.S. security and economic growth through transformative science, technology innovation, and market solutions to meet our energy, nuclear security, and environmental challenges. Goal 1: Science & Energy 1 - President's Climate Action Plan 2 - Energy Infrastructure 3 - Scientific Discoveries Goal 2: Nuclear Security 4 - Nuclear Deterrent 5 - Strengthen Key Capabilities and Modernize the National Security Infrastructure 6 - Global Nuclear Security Threat Reduction 7 - Navy's Nuclear Propulsion Systems 8 - Continued Cleanup of Nation's Cold War Legacy Goal 3: Management & Performance 9 - Sustainable Asset Management 10 - Effective Management of Projects, Contracts, and Financial Assistance Agreements 11 - Safe, Secure, and Efficient DOE Enterprise 12 - Best Federal Workforce for DOE’s Mission Needs DOE needs a fully engaged and high-performing federal workforce to achieve the multi-faceted goals and objectives of the DOE Strategic Plan for 2014-2018
  • 7. 7OCHCO Mission and Organization U.S. Department of Energy 3.OCHCO MISSION AND ORGANIZATION The mission (Figure 3-1) of the Office of the Chief Human Capital Officer (OCHCO) is to support DOE’s mission through workforce services, solutions, and innovations. The vision of the OCHCO is to be the premier organization for human capital solutions. The OCHCO values guide the execution of its mission and vision. The OCHCO organization (Figure 3-2) supports DOE’s mission accomplishment by providing and implementing human resources services and human capital management solutions. The OCHCO is implementing a new human resources service delivery model that partners with DOE’s Under Secretaries, Departmental Offices, and Power Marketing Administrations to establish shared service centers (SSC) for the full range of transactional services and HR advisory offices (HRAO) for human capital management services. OCHCO human capital management solutions include: human capital analysis and strategy; workforce and succession planning; recruitment and hiring; engagement and retention; competency development, training, and learning; and diversity. The Department’s Chief Human Capital Officer (CHCO) is accountable for the strategic alignment of the Department’s workforce to its mission and derives authority from the Secretary of Energy and the Chief Human Capital Officer Act of 2002 (Public Law 107-296). The CHCO advises and assists the head of the agency and other agency officials in carrying out the Department’s responsibilities for selecting, developing, training, and managing a high- quality and productive workforce in accordance with Merit System Principles (5 U.S.C. 2301). The CHCO is the chief policy advisor on all human capital management issues and shares responsibility and accountability for the Department’s performance and mission results. In addition, the OCHCO provides Departmental leadership and direction in interfaces with the Office of Personnel Management (OPM), Government Accountability Office (GAO), Merit Systems Protection Board (MSPB), Federal Labor Relations Authority (FLRA) and other Federal/non-Federal organizations relating to human capital programs and policies. 3-1: OCHCO Mission, Vision, and Values HC MISSION Supporting DOE’s mission through workforce services, solutions and innovations HC VISION We will be the premier organization for human capital solutions
  • 8. 8 2016-2020 Strategic Human Capital Plan Office of the Chief Human Capital Officer 3-2: OCHCO Organization Chart Effective October 4, 2015 (HC-10) OFFICEOFHUMAN CAPITALPOLICY& ACCOUNTABILITY HUMANCAPITAL POLICYDIVISION HUMANCAPITAL ACCOUNTABILITY &COMPLIANCE DIVISION (HC-1.4) INFORMATION MANAGEMENTDIVISION LEARNING DIVISION (HC-30) OFFICEOFCORPORATE HUMANRESOURCE SERVICES (HC-20) OFFICEOFLEARNING& WORKFORCE DEVELOPMENT (HC-1.5) ADMINISTRATIVE MANAGEMENTDIVISION WORKFORCE DEVELOPMENT DIVISION (HC-40) OFFICEOFCORPORATE EXECUTIVE MANAGEMENT (HC-50) OFFICEOFHUMAN CAPITALSTRATEGY& ANALYTICS (HC-1.3) FINANCIALMANAGEMENT DIVISION CORPORATE WORKFORCE ANALYSIS& PLANNINGDIV SENIOR ADVISORS CORPORATE RECRUITMENT& OUTREACH DIVISION CORPORATE WORKFORCE ENGAGEMENT& EFFECTIVENESSDIV (HC-1.6) HRSERVICEDELIVERY PROGRAM EXECUTIVE STAFFING DIVISION EXECUTIVE PERFORMANCE& TALENTMGMT DIVISION (HC-1) CHIEFHUMANCAPITALOFFICER DEPUTYCHIEFHUMANCAPITALOFFICER DIRECTOROFHUMANCAPITALMANAGEMENT MANAGEMENT& PERFORMANCEHR SHAREDSERVICE CENTER SCIENCE& ENERGYHR SHAREDSERVICE CENTER NUCLEAR SECURITYHR SHAREDSERVICE CENTER POWER MARKETINGHR SHAREDSERVICE CENTER BONNEVILLE POWERHR SHAREDSERVICE CENTER 3-2:OCHCOOrganizationChartEffectiveOctober4,2015
  • 9. 9Strategic Human Capital Goals and Alignment U.S. Department of Energy 4.STRATEGIC HUMAN CAPITAL GOALS AND ALIGNMENT Human Capital Goals The 2016-20 SHCP focuses on three strategic human capital goals (Figure 4-1) relating to leadership, people, and human resources (HR) to help the Department overcome its workforce challenges and improve support for DOE mission achievement. As stated in the DOE Strategic Plan for 2014-2018, the Department faces serious workforce challenges over the coming decade. Over 35% of today’s DOE federal employees will be eligible to retire by 2020, including many of its most experienced and highly skilled professionals. The Department needs to engage in workforce planning and improve its outreach and recruitment programs in order to sustain a federal workforce with the science, technology, engineering, and mathematics (STEM) skills and experience required to accomplish its highly technical mission. The Department must significantly improve the quality and efficiency of its human resource operations in comparison to government-wide benchmarks. DOE is committed to improving human capital policies, programs, and systems through a corporate approach that reduces organizational redundancies and uses capable and cost-effective HR information technology systems. The goals and strategies for this SHCP were developed as a result of: • stakeholder engagements with DOE management and employees; • evaluations of the DOE external and internal environments; • reviews of current human capital programs and policies; • workforce analysis, research and benchmarking; and • Identification of new and innovative approaches for addressing the challenges facing the Department. This work is further elaborated upon in section five. 4-1: DOE Strategic Human Capital Goals • Leadership: Grow our Leaders o We will improve leadership competency and strengthen accountability for achieving mission results, while improving executive hiring and onboarding processes and preparing the workforce for future mission needs • People: Strengthen our Workforce o We will hire the best talent, develop our employees, and optimize performance with a renewed emphasis on employee engagement, workplace improvement, and workforce flexibilities • Human Resources (HR): Improve our HR Service Delivery o We will improve HR competency, processes, and systems to provide effective, efficient results and excellent customer service to the Department’s federal workforce
  • 10. 10 2016-2020 Strategic Human Capital Plan Office of the Chief Human Capital Officer Alignment Figure 4-2 illustrates the strategic alignment of the goals of the 2016-20 SHCP with the goals and objectives of the DOE Strategic Plan and the President’s Management Agenda. The tactical paths to implementing the goals, strategies, and actions within this SHCP will be administered through the priorities, commitments, and measures identified in Annual Human Capital Plans. 4-2: Strategic Alignment of Human Capital, Departmental, and Administration Goals Strategic Human Capital Plan Human Capital Goals Leadership: Grow our Leaders People: Strengthen our Workforce HR: Improve our HR Service Delivery DOE Strategic Plan (Goal 3, Strategic Objective 12) Management and Performance Attract, manage, train, and retain the best federal workforce to meet future mission needs President’s Management Agenda: Creating a 21st Century Government People and Culture Employee Engagement World Class SES Hire the Best Talent
  • 11. 11Developing the Strategic Human Capital Plan U.S. Department of Energy 5.DEVELOPING THE STRATEGIC HUMAN CAPITAL PLAN Stakeholder Engagement The OCHCO led stakeholders from across the Department through a series of focus group sessions designed to examine the current state of human capital management within DOE. This engagement began in July 2013 with the development of the DOE Strategic Plan for 2014-2018, which the Secretary issued in April 2014. Stakeholder engagement continued with the development and incorporation of the three strategic human capital goals for leadership, people and human resources (HR) into the reporting and accountability processes of the Deputy Secretary’s Business Quarterly Review. Using top-down and bottom-up approaches, employees from across the Department assembled to discuss the challenges they face while working to achieve organizational priorities and to help develop actionable strategies to address challenges in leadership, people, and HR. Major considerations that drove the focus group activity and agenda were the Department’s recent Federal Employee Viewpoint Survey results and environmental assessments of the DOE. To ensure understanding and agreement of the key challenges and establish buy-in of the strategies, senior leadership was briefed during the development of specific strategies included in the 2016-20 SHCP. Environmental Assessment Since May 2013, OCHCO has conducted internal assessments to help identify areas of needed improvement in the Department’s HR line of business. The results of these assessments have triggered significant changes to the way DOE will provide HR and human capital management services to its customers. These changes are reflected in the strategies included under the goal for HR. In addition, human capital professionals within OCHCO regularly participate in government-wide, interagency workgroups to address different priority areas of human capital management. The OCHCO uses this exposure to government-wide collaboration to benchmark against similar challenges within DOE. Key areas of concern for the Department that have emerged through these assessments and collaborations are the Department’s leadership capability, workforce optimization, and the effectiveness and efficiency of HR operations. Benchmarking The OCHCO conducted research and benchmarking to support an informed approach for the 2016-20 SHCP. The OCHCO researched publications from leading industry and public sector organizations, including the Corporate Executive Board, Bersin by Deloitte, the Government Accountability Office, and the Merit Systems Protection Board. In addition, OCHCO reviewed ten STEM agencies’ SHCPs and previous DOE strategic plans and SHCPs to identify best practices and apply lessons learned. Workforce Trends and Challenges While developing the 2016-20 SHCP, the OCHCO analyzed the Department’s human capital data and found key challenges related to trends in the DOE federal workforce. Where feasible, DOE’s trends were benchmarked with the rest of Government. Table 5-1 identifies the key workforce trends and challenges which impacted development of the goals and strategies for the 2016-20 SHCP. Examples of the analysis and metrics behind these trends is provided as data appendices in section ten (Figures 10-1 through 10-12).
  • 12. 12 2016-2020 Strategic Human Capital Plan Office of the Chief Human Capital Officer 5-1: Key Challenges for the DOE Federal Workforce: Workforce Challenges Representative Analysis/Metrics 1. Workforce Size & Utilization: Steady decreases in size as measured by allocated Full-Time Equivalents (FTE), while underutilization of those FTE has accelerated • Trends in allocation and utilization of FTE (Figure 10-1) • Historical profile of on-boards, gains and losses (Figure 10-2) 2. Attrition Risks: Increasing number of resignations from federal service, while risk of losses from increased retirement eligibility continues to increase • Historic profile of on-boards, gains and losses (Figure 10-2)) and types of losses (Figure 10-3) • Trends in retirement eligibility, retirement deferment, and actual number of retirements (Figure 10-4 through Figure 10-7) 3. Recruitment & Succession Risks: New generations are greatly underrepresented, while overall succession readiness is unclear • Trends in recruitment demographics and positions filled (Figure 10-8) 4. Employee Engagement: Steady declines in measures of employee engagement and employee perceptions of agency leadership • Trends in Federal Employee Viewpoint Survey (FEVS) results (Figure 10-9) • Trends in Best Places to Work (BPTW) rankings Figure 10-10) • Other employee feedback mechanisms (e.g., focus groups, town halls, management discussions) 5. HR Service Delivery: Costly and inefficient delivery of HR services compared to Government benchmarks • Cost: HR cost per employee (Figure 10-11) • Efficiency: HR servicing ratio (Figure 10-12); Time-to-hire • Transactional error rates • Customer feedback
  • 13. Office of the Chief Human Capital Officer 13Developing the Strategic Human Capital Plan Action Planning Following the efforts to assess DOE’s HR line of business, to engage with the DOE federal workforce through focus groups, and to collaborate with colleagues across government, OCHCO used a Strengths, Weaknesses, Opportunities and Threats (SWOT) analysis (Figure 5-2) to catalog the factors impacting the ability of the DOE federal workforce to carry out its mission and objectives. While the strategies in the 2016-20 SHCP capitalize on the Department’s strengths and opportunities, the key driver was addressing the Department’s weaknesses and threats. OCHCO took care to ensure that identified weaknesses and threats would be mitigated by implementing one or more of the strategies included in the SHCP. More detailed descriptions of the strengths, weaknesses, opportunities, and threats identified in the SWOT analysis are contained in Figures 5-3 through 5-6. 5-2: SWOT Analysis Strengths 1. Technically strong workforce 2. Employee dedication to mission 3. Knowledgeable workforce 4. World-renowned research organization 5. Acclaimed leadership speaker series Weaknesses 1. Employee perceptions of leaders 2. Declining employee engagement 3. Organizational communication 4. HR ineffectiveness and inefficiency 5. HR information systems 6. Corporate recruitment andbranding 7. Decreased entry-level recruitment 8. Unchanging workforce diversity Opportunities 1. Leadership commitment to improving human capital management 2. Redesigned HR service delivery 3. Deferment of retirement eligibility 4. Access to new talent pools 5. Human capital management infrastructure 6. Changingdiversityof U.S. population Threats 1. Impact of improving U.S. economy on attrition and retention 2. Climate for federal employment 3. Vulnerability to retirements 4. Vulnerability to unplanned attrition 5. Loss of institutional knowledge 6. DOE lack of increased diversity
  • 14. U.S. Department of Energy 14 2016-2020 Strategic Human Capital Plan 5-3: Strengths Analysis Strengths 1. Technically strong workforce – DOE has a highly educated workforce with the technical/STEM skill sets needed to achieve the Department’s complex mission requirements. 2. Employee dedication to mission – Federal Employee Viewpoint Survey (FEVS) results show that DOE employees believe in the mission of the Department and are willing to put in additional discretionary effort to ensure that mission is achieved. DOE scores highly in questions concerning employee commitment and the importance of their work. 3. Knowledgeable workforce – DOE has a long-tenured workforce with a deep understanding of program and mission requirements and the professional experience to ensure those requirements are met. 4. World-renowned research organization – DOE is recognized as a world leader in STEM-related research and technology, as highlighted by the number of Nobel Prize winning research from its extensive network of national laboratories. 5. Acclaimed leadership speaker series – The Office of Learning and Workforce Development within the OCHCO executes a leadership speaker series that is recognized throughout government for providing learning opportunities for current and aspiring leaders from many different agencies.
  • 15. Office of the Chief Human Capital Officer 15Developing the Strategic Human Capital Plan 5-4: Weaknesses Analysis Weaknesses 1. Employee perceptions of leaders – Employees perceive that DOE’s leaders have weaknesses in critical leadership competencies, which impacts workplace culture and employee engagement as evidenced by a steady decline from 2011 through 2014 in the Department’s scores relating to leadership on the Federal Employee Viewpoint Survey (FEVS) and Best Places to Work (BPTW). 2. Declining employee engagement – Employee engagement is widely accepted as a key driver of higher individual and organizational performance. However, the Department has shown a steady decline from 2011 through 2014 in its scores relating to employee engagement on the Federal Employee Viewpoint Survey (FEVS). In 2014, DOE fell to the bottom quartile of mid-size agencies for the first time in the Best Places to Work (BPTW) rankings. 3. Organizational communication – DOE has long operated within organizational stove pipes that can hinder the flow of information within program areas as well as across program lines. Stove piping limits collaboration opportunities, hampering employee and mission performance. 4. HR ineffectiveness and inefficiency – An internal DOE study in 2013 and ongoing government- wide benchmarking started in 2014 have shown that DOE’s HR line of business poses significant risks, is costly and inefficient, and provides inconsistent and ineffective customer service. This impacts HR’s ability to support the mission as well as the resources available for the mission. 5. HR information systems – The Department’s HR information systems are not currently integrated to support HR operational effectiveness and efficiency. 6. Corporate recruitment and branding – DOE currently lacks an understanding of the corporate efforts and investments in the HR areas of recruitment and outreach. In many cases, these functions are decentralized and performed independently by program offices with little to no visibility or involvement by the OCHCO. 7. Decreased entry-level recruitment – The number of federal employees on board who are younger than 30 has decreased by nearly half from 8.4% in FY 2010 to 4.6% in FY 2015, which reduces DOE’s access to candidates for succession and the innovation that comes with new generations entering the workforce. 8. Unchanging workforce diversity – DOE is, on average, 10% less diverse than government over the last five years and has seen fewer changes in diversity compared to government. As of 2014, DOE is also 3% less diverse than other STEM focused agencies, with 76% non-minority compared to 73%.
  • 16. U.S. Department of Energy 16 2016-2020 Strategic Human Capital Plan 5-5: Opportunities Analysis Opportunities 1. Leadership commitment to improving human capital management – DOE leadership has demonstrated a commitment to improving human resources operations and human capital management through their support of the HR Service Delivery (HRSD) initiative. There are opportunities to build upon this commitment to make other needed improvements to DOE’s strategic human capital management processes and programs. 2. Redesigned HR service delivery – The implementation of the HR Service Delivery (HRSD) initiative is designed to provide major improvements in efficiency, effectiveness, and customer satisfaction for human resources operations and human capital management services. 3. Deferment of retirement eligibility – DOE employees on average wait four or more years to retire once they become eligible. This deferment provides the Department with significant windows of opportunity to develop and execute corporate succession planning and knowledge capture/transfer strategies to mitigate risks to the workforce due to anticipated retirements. 4. Access to new talent pools – While hiring managers have been able to attract and hire the talent needed to fill organizational vacancies by relying on traditional talent pools, the Department’s workforce profile in specific areas has remained either unchanged (e.g., gender, diversity) or trending toward greater risk (e.g., age, retirements, and unplanned losses) since 2010. The Department needs to expand new potential talent pools and develop additional pipelines of talent to mitigate such risks. 5. Human capital management infrastructure – The OCHCO has a solid foundation of human capital management infrastructure in place with programs and policies that can be enhanced to expand the OCHCO’s reach and influence through the HRSD initiative to better execute corporate strategies across the Department. 6. Changing diversity of U.S. population – Census data shows that the U.S. population is becoming increasingly diverse, 28% minority in 2010 vs. 25% minority in 2000, which represents potentially greater opportunities to recruit talent with different perspectives, training, and skill sets.
  • 17. Office of the Chief Human Capital Officer 17Developing the Strategic Human Capital Plan 5-6: Threats Analysis Threats 1. Impact of improving U.S. economy on attrition and retention – As the economy continues to recover, resurgent private sector employers are driving increased competition for qualified candidates. During the recession, individuals who accepted DOE federal positions for greater job security rather than a strong connection to DOE’s mission are more likely to leave in an improving economy for higher paying opportunities in the private sector. 2. Climate for federal employment – Federal employees’ benefits and wages received additional scrutiny during the recession and continue to be a target of those calling for reductions in federal spending, which causes current federal employees to feel targeted and undervalued. In addition, portrayals of federal employees in the media tend to be negative. Such a climate for federal employment makes recruitment and retention more difficult, and increases the risk of attrition due to resignations from federal service. 3. Vulnerability to retirements – DOE has an aging workforce with one in six employees (17%) being eligible to retire today. Over one in three (36%, or more than twice as many) of today’s workforce will be eligible to retire in 2020. In addition, employees may shorten the average of four years of retirement deferment as a result of the improving U.S. economy. 4. Vulnerability to unplanned attrition – From 2010 to 2014, DOE had more losses than hires each year, and trends are changing in the types of gains and losses that are occurring. Unplanned losses have consistently accounted for 40% of all attrition, but transfers out to other agencies have decreased to 14% from 25% and resignations from federal service have increased to 26% from 17%. The overarching trend appears to be an increase in federal employees leaving federal service, not just the Department. 5. Loss of institutional knowledge – As DOE employees leave via retirement, the Department loses a career’s worth of job experience, technical understanding, and relationships among professional networks. 6. DOE’s lack of increased diversity – As DOE’s workforce demographic has been at 24% minority since at least FY 2010, DOE does not reflect the increasing diversity (28% in 2010) of the civilian labor force. This reflects challenges in DOE’s ability to attract diverse applicants and represent the perspectives of diverse communities.
  • 18. U.S. Department of Energy 18 2016-2020 Strategic Human Capital Plan 6.STRATEGIC HUMAN CAPITAL OUTCOMES The ultimate measure of success for the 2016-20 SHCP will be its overall impact on DOE’s mission results and employees’ ability to achieve that mission. The 2016-20 SHCP includes one overarching outcome, and three supporting outcomes, that, if realized (Figure 6-1), will have a direct impact on organizational success and mission achievement. The overarching outcome measure is the realization of Strategic Objective 12 from the DOE Strategic Plan for 2014-2018. The three supporting outcome measures are linked to achievement of the three strategic human capital goals in this 2016-20 SHCP. The outcome statements are intentionally broad; however, section seven of the 2016-20 SHCP includes specific performance metrics and annual targets that serve as indicators of success in achieving these outcomes (Figure 7-1). 6-1: Desired Outcomes of the Strategic Plans for DOE and Human Capital DOE attracts, manages, develops, and retains the best federal workforce to meet its mission needs Leadership Leaders inspire dedication to mission achievement by building trust, developing employees, and demonstrating integrity People Employees are supported effectively by well- integrated human capital services relevant to their DOE tenure HR HR delivers effective operational and strategic services at lower costs and greater efficiency.
  • 19. U.S. Department of Energy 19Defining and Measuring Success 7.DEFINING AND MEASURING SUCCESS Defining Targets for Success Strategic performance metrics (Figure 7-1) are defined to help the Department measure its progress toward achieving the desired outcomes stated in this SHCP (Figure 6-1). DOE will know it is achieving the outcomes by consistently meeting or exceeding the targets established for these performance metrics. Additional tactical metrics will be developed with each Annual Human Capital Plan (AHCP) to help monitor progress for the actions and initiatives prioritized each year in executing the strategies from this SHCP. 7-1: Strategic Performance Metrics and Targets 1 Source: Annual DOE Agency Financial Reports (AFR) at http://energy.gov/cfo/reports/agency-financial-reports, see “Performance Summary” section. Mission achievement is tied to the percentage of DOE Mission Performance Targets met as reported in the DOE Performance Summary within the AFR. Performance Metric Outcomes Assessed FY13/14 Baseline FY15 Target FY16 Target FY17 Target FY18 Target FY19 Target FY20 Target DOE Mission Achievement0F 1 Leadership People HR 84% 2014 baseline 85% +1% vs. baseline 86% +2% vs. baseline 87% +3% vs. baseline 88% +4% vs. baseline 89% +5% vs. baseline 90% +6% vs. baseline FEVS Employee Engagement Index People Leadership 61% 2014 baseline 64% +3% vs. baseline 67% +6% vs. baseline 68% +7% vs. baseline 69% +8% vs. baseline 70% +9% vs. baseline 71% +10% vs. baseline FEVS New IQ Score People Leadership 56% 2014 baseline 57% +1% vs. baseline 58% +2% vs. baseline 59% +3% vs. baseline 60% +4% vs. baseline 61% +5% vs. baseline 62% +6% vs. baseline FEVS Leadership & Knowledge Management Index Leadership People 56% 2014 baseline 57% +1% vs. baseline 58% +2% vs. baseline 59% +3% vs. baseline 60% +4% vs. baseline 61% +5% vs. baseline 62% +6% vs. baseline FEVS Results- Oriented Performance Index Leadership People 51% 2014 baseline 52% +1% vs. baseline 53% +2% vs. baseline 54% +3% vs. baseline 55% +4% vs. baseline 56% +5% vs. baseline 57% +6% vs. baseline Job Applicant Diversity People 47% 2014 baseline 48% +1% vs. baseline 49% +2% vs. baseline 50% +3% vs. baseline 51% +4% vs. baseline 52% +5% vs. baseline 53% +6% vs. baseline HR Servicing Ratios HR 1:32 2013 HRSD baseline 1:36 +4 vs. baseline 1:40 +8 vs. baseline 1:43 +11 vs. baseline 1:45 +13 vs. baseline 1:47 +15 vs. baseline 1:49 +17 vs. baseline
  • 20. Office of the Chief Human Capital Officer 20 2016-2020 Strategic Human Capital Plan Measuring and Reporting Progress Since FY 2012, federal Chief Human Capital Officers (CHCOs) have implemented quarterly data-driven reviews of agency human capital goals. Known as “HRstat,” these data-driven reviews support regular discussions with agency principal leaders in order to drive the following key outcomes: • Assess current performance in relation to agency human capital goals; • Follow up on previous decisions and commitments; and • Determine future actions and course corrections. At DOE, the OCHCO has integrated key components of HRstat into the Deputy Secretary’s Business Quarterly Review (BQR). The BQR is the Department’s implementation of the quarterly data- driven reviews of performance at the agency level, which are a statutory requirement under Section 1124(a) of the GPRA Modernization Act of 2010 (GPRAMA). The DOE OCHCO’s integration of HRstat with the BQR process promotes visibility, action, and accountability for DOE’s human capital goals. HRstat relies on a flexible approach to documenting and reporting human capital data to DOE senior leaders to help inform the decision-making process as it relates to the DOE workforce. Utilizing this flexible approach, the OCHCO aligns its HRstat scorecard to the strategic performance metrics documented in the SHCP in order to provide the most relevant updates, tailored for specific audiences, on progress made and course corrections needed, to achieve performance targets. In section nine, Figure 9-1 illustrates the role of HRstat in providing regular feedback to DOE senior leadership on successes and needed course corrections. This feedback helps to inform the development of future Annual Human Capital Plans to ensure progress towards the outcomes desired from this 2016-20 SHCP. The processes driving HRstat and human capital planning will continue to evolve with each Annual Human Capital Plan.
  • 21. Office of the Chief Human Capital Officer 21Implementation Strategies 8.IMPLEMENTATION STRATEGIES Working in partnership with program leadership and employees across the Department, the OCHCO has overall lead accountability and oversight for the execution of the 2016-20 SHCP. To support achievement of the desired SHCP outcomes, the OCHCO developed implementation strategies, as a result of the collaborative input gathered during focus group sessions with stakeholders across the Department, as described in section five. The implementation strategies identify the current and future actions that support human capital performance and achieve mission results. The specific steps and actions needed to execute each strategy will be developed by the assigned strategy leads and documented through the development of Annual Human Capital Plans and reported through the HRstat program. Table 8-1 summarizes the alignment of SHCP goals, strategies, and actions. Tables 8-2, 8-3, and 8-4 describe and link each strategy to the goals and desired outcomes for leadership, people, and/or human resources. 8-1: Summary of Human Capital Goals and Implementation Strategies GOALS IMPLEMENTATION STRATEGIES Leadership: Grow our Leaders • Strengthen supervisory skills • Improve DOE leadership skills • Expand professional development support for senior leaders • Strengthen DOE employee engagement People: Strengthen our Workforce • Improve Quality of Hires • Better target resources spent on human capital • Improve workforce planning capability • Enhance DOE’s recruitment and outreach • Guard institutional knowledge against retirement losses • Support the career development of DOE employees • Improve collaboration across DOE organizational stovepipes • Increase employee recognition • Better support new employees’ transition into DOE • Increase employee collaboration and awareness of DOE’s skill inventory Human Resources (HR): Improve our HR Service Delivery • Improve the effectiveness and efficiency of HR service delivery • Improve consistency of HR operations • Improve the integration, efficiency, and effectiveness of HR information systems • Strengthen the capabilities of the HR workforce • Improve efficiency of HR service delivery • Enhance customer service • Strengthen HR accountability
  • 22. U.S. Department of Energy 22 2016-2020 Strategic Human Capital Plan Goal 1 - Leadership: Grow our Leaders The human capital goal for leadership supports the following performance goals under DOE’s Strategic Objective 12 to Attract, manage, train, and retain the best federal workforce to meet future mission needs: • Implement a corporate leadership development strategy and framework by 2017 that improves leadership and management at all levels and mission performance, using results from the Federal Employee Viewpoint Survey and other trends analysis. • Ensure accountability for improving employee perceptions, engagement, and performance through the implementation of action items based on the annual Federal Employee Viewpoint Survey results and improved execution of employee performance management in line with the President’s Second-Term Management Agenda by FY 2015. Challenges The implementation strategies listed in support of the leadership goal were selected primarily because of their anticipated impact on the weaknesses and threats relating to, or impacted by, DOE’s leaders, as identified in the SWOT analysis in section five. 8-2: Desired Outcomes Supported by Leadership Strategies Leadership Strategies Outcomes Supported Strengthen supervisory skills: Improve the development of new supervisors and managers. Support new supervisors and managers throughout the first two years in their new position as they transition into new roles with different responsibilities and requirements. This support involves but is not limited to supervisory and leadership training, supervisory community of practice, coaching, and mentoring. • Leadership • People Improve DOE Leadership skills: Execute a corporate leadership development framework. Develop and execute leadership development programs that support DOE’s definition of leadership and leadership culture resulting in improved leadership competency, increased knowledge transfer, and better overall leadership. • Leadership • People • HR Expand professional development support for senior leaders: Establish a senior leader community of practice. Expand on the success of the supervisor/manager community of practice by creating a parallel effort to afford senior leaders the opportunity to support and mentor each other on common leadership challenges. • Leadership Strengthen DOE employee engagement: Develop and implement employee engagement strategies and tools. Develop, support, and evaluate human capital management strategies and programs to support improved employee engagement and organizational performance. • Leadership • People
  • 23. Office of the Chief Human Capital Officer 23Implementation Strategies Goal 2 – People: Strengthen our Workforce The human capital goal for people supports the following performance goals under DOE’s Strategic Objective 12 to Attract, manage, train, and retain the best federal workforce to meet future mission needs: • Improve each year on the speed, quality, and diversity of hiring and on-boarding, as indicated by satisfaction surveys and demographic data, while maintaining an efficient time-to-hire and desired retention rates. • Improve the effectiveness of employee skills assessments, training curricula, delivery methods, and individual development plans to support corporate succession planning, closing skill gaps, and workforce development through FY 2020. Challenges The implementation strategies listed in support of the people goal were identified primarily because of their anticipated impact on the weaknesses and threats relating to, or impacted by, DOE’s workforce, as identified in the SWOT analysis in section five. 8-3: Desired Outcomes Supported by People Strategies People Strategies Outcomes Supported Improve quality of hires: Support hiring managers in making better quality hiring decisions with tools to enhance the evaluation of applicants. Develop and implement a hiring and selection tool kit for hiring managers. • People • Leadership Better target resources spent on human capital: Fully develop and promote the use of competency models for Mission Critical Occupations (MCO). Develop competency models for each MCO detailing the required competencies and associated behaviors for each occupation at different levels of seniority and integrate related competency data into all aspects of human capital management. • People • Leadership • HR Improve workforce planning capability: Develop a corporate model to determine manpower requirements in support of improved workforce planning and resource deployment. Implement an integrated workforce planning process that supports data driven budget/resource decisions while ensuring sufficient succession pipelines. • People • HR Enhance DOE’s recruitment and outreach: Develop and execute strategies to promote DOE as an employer of choice with targeted segments of the U.S. population. Establish a Corporate Recruitment and Outreach function to support corporate recruitment strategies while enhancing marketing and outreach with a strategic focus on STEM occupations. • People • Leadership • HR
  • 24. U.S. Department of Energy 24 2016-2020 Strategic Human Capital Plan People Strategies (continued) Outcomes Supported Guard institutional knowledge against retirement losses: Engage subject matter experts to promote and encourage corporate knowledge capture and transfer strategies. Support knowledge capture and transfer through enhanced strategies and expanded technological support. • People Support the career development of DOE employees: Enhance employee development and career growth through integrated learning strategies. Develop and execute a learning and development framework that supports continuous learning, job related development, and career growth through corporate strategies and programs. • People • Leadership Improve collaboration across DOE organizational stovepipes: Develop and implement opportunities for employees and communities of practice to collaborate in a manner that reduces stove pipes and gains efficiencies across organizations. • People • Leadership Increase employee recognition: Improve awards and recognition of employee and organizational performance. Increase awareness of employee performance within organizations and establish additional DOE awards and recognition programs. Promote opportunities for organizations to showcase mission success and highlight the work performed within their offices. • People Better support new employees’ transition into DOE: Transform existing employee orientation programs into a corporate employee on-boarding program. Increase engagement, raise retention, and improve performance through a formal onboarding program that provides services and support for new employees throughout their first year with DOE. • People • Leadership • HR Increase employee collaboration and awareness of DOE’s skill inventory: Use strategies and tools, including social media platforms, to develop employee professional networks that support career development and advancement. Increase collaboration among employees using facilitated networking groups and social media platforms where employees can build, maintain, and share their professional profiles. • People • Leadership
  • 25. Office of the Chief Human Capital Officer 25Implementation Strategies Goal 3 – Human Resources (HR): Improve our HR Service Delivery The human capital goal for HR supports the following performance goal under DOE’s Strategic Objective 12 to Attract, manage, train, and retain the best federal workforce to meet future mission needs: • Reduce the per employee cost of providing human resource services by 50% by reducing organizational HR redundancies and moving to a corporate approach by the end of FY 2016. Challenges The implementation strategies listed in support of the HR goal were identified primarily because of their anticipated impact on the weaknesses and threats relating to, or impacted by, DOE’s human resources service delivery (HRSD), as identified in the SWOT analysis in section five. 8-4: Desired Outcomes Supported by HR Strategies HR Strategies Outcomes Supported Improve the effectiveness and efficiency of HR service delivery: Establish a hybrid model of HR service delivery with Shared Service Centers and on-site HR business partners. Consolidate HR operations under OCHCO while aligning HR services along DOE business lines. • HR Improve consistency of HR operations: Develop and implement standardized processes for HR operations to improve the consistency and effectiveness of HR operations and human capital management programs. • HR Improve the integration, efficiency, and effectiveness of HR information systems – Complete a proactive, long-term plan to implement an integrated, efficient and effective HRIT system. • HR Strengthen the capabilities of the HR workforce: Identify, track, and develop the competencies needed within the HR line of business to improve HR competency. • HR • People Improve efficiency of HR service delivery: Identify and implement efficiencies to reduce the cost of providing HR services. • HR Enhance customer service: Transform HR into a world class customer service organization. Develop a governance structure for HR functions that clearly define and communicate customer service standards and expectations. Ongoing training, service level agreements, and effective performance management processes are key tools within this governance structure. • HR Strengthen HR accountability: Improve customer understanding and compliance with HR policies. Execute a HR policy review that simplifies existing policies by eliminating unnecessary barriers and/or restrictions and post all HR policies in a central location. Continue to reinforce accountability through audits by the HC Management Accountability Program (HCMAP). • HR
  • 26. U.S. Department of Energy 26 2016-2020 Strategic Human Capital Plan 9.ANNUAL HUMAN CAPITAL PLANS The DOE federal workforce operates in a dynamic environment, requiring vision and agility in its human capital management. The 2016-2020 SHCP communicates the vision for DOE’s people while providing a road map through 2020 for leading and strengthening a federal workforce that achieves the DOE mission and advances the President’s Management Agenda. To implement the SHCP, the OCHCO will use Annual Human Capital Plans (AHCPs) to identify the priorities, actions, and metrics for the coming fiscal year, and closeout or carryover prior year priorities. Figure 9-1 illustrates how the AHCPs support agility in the Department’s human capital management within the planning, implementation, and evaluation systems of the Human Capital Assessment and Accountability Framework (HCAAF) introduced in section one. 9-1: Alignment of Planning, Implementation, and Evaluation DOE Mission DOE Strategic Plan for 2014-2018 DOE Strategic Objective 12: BestDOEFederalWorkforce Cross-Agency Priority (CAP) Management Goals President’s Management Agenda (PMA) DOE Strategic Goal 3: Management&Performance 2016-2020 Strategic Human Capital Plan (SHCP) People and Culture CAP Goal Goal 1: Grow our Leaders Goal 2: Strengthen our Workforce Goal 3: Improve HR Service Delivery PLAN IMPLEMENT EVALUATE DOE Annual Human Capital Plans (AHCP) Annual Human Capital Priorities Annual Human Capital Outcomes HCMAP Audits HRstat Analysis & Performance Reporting
  • 27. U.S. Department of Energy 27Data Appendices 10. DATA APPENDICES The following data graphs provide supporting information referenced in section five of the 2016-20 SHCP. 10-1: DOE Federal Workforce Strength of Size in FTE from FY 2010-2020 10-2: Historical Profile of On-boards, Gains, and Losses in the DOE Federal Workforce 0 2,000 4,000 6,000 8,000 10,000 12,000 14,000 16,000 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 DOEFederalWorkforce 15,281 14,986 14,478 14,051 13,622 13,451 1,026 681 518 677 714 1,201 865 1,023 1,048 977 1,101 1,126 2010 2011 2012 2013 2014 2015 NumberofEmployees On-boards Gains Losses Trend Lines FTE Utilization FTE Allocation FTE Allocation FTE DOE Budget Requested FTE Congressional Enacted End of Year (EOY) Actual FTE Utilization FTE Utilization
  • 28. U.S. Department of Energy 28 2016-2020 Strategic Human Capital Plan 10-3: Historical Profile of Trends in Types of Losses in the DOE Federal Workforce 10-4: Retirement Trends 10-5: Historical Profile of Employees Retirement Eligible and Actually Retiring 0 200 400 600 800 1000 1200 2010 2011 2012 2013 2014 2015 NumberofEmployees Involuntary Separations All Other Attritions Resignations Transfers Out (to other Fed. Agencies) Voluntary Retirements Retirement: Actuals, Eligibility, and Deferment  Retirements have consistently accounted for half of all attrition (51% on average) over the last five years. However, the number of retirement eligible employees among today’s workforce is expected to double over the next five years (FY 2020).  Employees remain with DOE for an average of four years once becoming retirement eligible: o Over 21% of the present day workforce, and 33% of GS-15s and SES, is at risk to retire within the next five years. o Based on retirement risk profiles over the last five years, it is likely that 7% of the present day workforce will actually retire.  Of DOE’s two retirement systems (CSRS & FERS), CSRS employees are more likely to defer retirement for a longer period of time than FERS employees. 16.82% 16.84% 17.06% 17.63% 17.68% 3.50% 4.63% 5.21% 4.26% 4.45% 0% 10% 20% 30% 2010 2011 2012 2013 2014 %Employees % Retirement Eligible % Actual Retirements
  • 29. U.S. Department of Energy 29Data Appendices 10-6: Cumulative Profile of Retirement Eligibility and Deferment of the DOE Workforce 10-7: Predictive Risk Profiles Based on 4+ Years of Deferred Retirement Eligibility 10-8: Trend in DOE Federal Employees under Age 30 in comparison to Average Ages Fiscal Year Employees Age < 30 DOE Average Age Government Average AgeTotal Percentage End of FY 10 1,284 8.40% 48.1 46.2 End of FY 11 1,106 7.38% 48.3 46.4 End of FY 12 839 5.93% 48.5 46.6 End of FY 13 738 5.25% 48.9 46.9 End of FY 14 622 4.63% 49.1 47.0 End of FY 15 623 4.58% 49.0 Not Available - 2,000 4,000 6,000 8,000 10,000 12,000 14,000 2014 Workforce Actual 2014 Workforce in 2015 2014 Workforce in 2016 2014 Workforce in 2017 2014 Workforce in 2018 2014 Workforce in 2019 2014 Workforce in 2020 2014 Workforce in 2021 NumberofEmployees FY14 EOY On-Board Retirement Eligibility Retirement Deferment of >4 Years Basic Assumptive Model: If FY 2014 population of 13,425 as of 9/20/14 were aged through FY 2021 555 704 898 1,120 1,346 1,622 1,886 2,173 506 150 650 1150 1650 2150 2650 2014 2015 2016 2017 2018 2019 2020 2021 ProjectedRetirementLosses Low Retirement Loss Estimate Average Retirement Loss Estimate High Retirement Loss Estimate Actual(Projected) Retirement Loss Actual
  • 30. 30 2016-2020 Strategic Human Capital Plan Office of the Chief Human Capital Officer 10-9: DOE Federal Employee Viewpoint Survey (FEVS) Results for 2011-2015 10-10: Trends for DOE and Mid-Size Agencies in Best Places to Work (BPTW) Rankings 57% 61% 56% 56% 50% 54% 61% 60% 64% 57% 59% 53% 58% 64% Global Satisfaction Employee Engagement New IQ HCAAF: Leadership & Knowledge Management HCAAF: Results- Oriented Performance Culture HCAAF: Talent Management HCAAF: Job Satisfaction %PositiveResponses 2011 2012 2013 2014 2015 GOV 2015 OPM Rule of Thumb for "Strength" (≥65%, or "2 out of 3 employees positive")  From 2011-2014, DOE scores were in steady decline in all major index scores of the FEVS  Secretarial commitment to the President's Management Agenda for Strengthening Employee Engagement and Organizational Performance has resulted in DOE's improvement in 2015 vs. 2014 in all major index scores, and per OPM significant change is 2% or greater  DOE 2015 scored higher than GOV 2015 on two scores (Results‐Oriented and Talent Mgmt) and equal on all others 50 55 60 65 70 2003 2005 2007 2009 2010 2011 2012 2013 2014 2015 Department of Energy (DOE) Score (12,944 full-time employees in FY 2014) Mid-Size Agency Median Score (1,000 - 14,999 full-time employees)
  • 31. U.S. Department of Energy 31Data Appendices 10-11: FY 2013 Government-wide Comparison of HC Cost per Employee Serviced 10-12: FY 2013 Government-wide Comparison of Servicing Ratio $7,825 $6,267 $5,605 $3,953 $3,786 $3,472 $3,432 $3,341 $2,837 $2,816 $2,746 $2,713 $2,712 $2,561 $2,392 $2,286 $2,281 $2,126 $2,069 $1,984 $1,779 $1,672 $1,526 $1,500 Government-wide Median Cost = $2,713 In 2013, DOE had the 2nd highest HR cost per employee. 110.1 107.9 105.8 74.1 71.6 69.8 67.6 66.7 66.2 65.5 62.6 62.5 60.5 58.4 52.3 49.2 48.6 45.0 44.8 44.3 41.0 32.3 23.7 19.5 Government-wide Median Ratio = 61.5 In 2013, DOE had the 3rd least efficient servicing ratio
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  • 34. Office of the Chief Human Capital Officer 1000 Independence Avenue, SW, 4E-084 Washington, DC 20585-1000 Learn more at: http://www.energy.gov/hc