Foundations inFederal Human

ResourcesPatrina M. Clark, President

SHRM-SCP | HRCI SPHR | HRI Human Capital Strategist

Professional history

• President, Pivotal Practices Consulting LLC (2012 – Present

• Chief Human Capital Officer, U.S. Government Accountability Office (GAO, 2008 – 2011)

• Staff Director, Federal Election Commission (FEC, 2006 – 2008)

• Regional Executive Director, Naval District Washington, Department of Navy (2004 – 2006)

• Program Manager, Internal Revenue Service (IRS, 1986 – 2004)

Course Objectives

• Discuss the foundational laws and regulations governing federal human resources management and recent legal and policy developments

• Identify the Merit System Principles and Prohibited Personnel Practices

• Describe the evolution of personnel and human resources as an occupation in the Federal government, including HR’s role as a strategic business partner

Course Objectives (2 of 2)

• Describe the core competencies, technical qualifications, and career path overviews for the major HR specialty areas

• Identify available tools and resources for enhancing professional competence

• Discuss strategies of agencies ranked as one of the best places to work in the Federal government

Course overview

• Day 1 a.m. – Federal Government As an Employer, Talent Management Life Cycle, Merit System Principles and Prohibited Personnel Practices

• Day 1 p.m. – Merit System Principles and Prohibited Personnel Practices (continued), GAO’s Findings for Human Capital Management As One of It’s High Risk Areas

Course overview (2 of 2)

• Day 2 a.m. – Evolution of Human Resource/Human Capital Management, Human Capital Assessment and Accountability Framework (HCAAF), Federal Employee Viewpoint Survey (FEDView, FEVS)

• Day 2 p.m. – Federal Human Resources Occupational Series, General Competencies, Specialty Areas and Technical Competencies, Resources

Total Employment = 2,760,569 (9/2012)

Talent management

Merit system principles

Why we have them

• Remind us that duty and the public interest are first, all else is second.

• Raise our sights to the public’s long-term interest in an “effective civil service” which may, at times, conflict with immediate personal interest.

• Challenge the status quo - what we do/how we do it.

• Give us benchmarks to measure and judge all personnel policies, programs, practices, and individual behavior.

• Provide the basis on which OPM, on behalf of the President and the Congress, holds agencies and individuals accountable.

Small Group Exercise

In your small group, identify the Merit System Principle(s) that apply to each element of the talent management process on page 3 in your books.

Principle #1Recruitment should be from qualified qualified individuals from appropriate sources in an endeavor to achieve a workforce from all segments of society. Selection and advancement should be determined solely on the basis of relative ability, knowledge and skills and after fair and open competition which assures that all receive equal opportunity. [5 U.S.C. 2301(b)(1)]

WHAT THIS MEANS: Employees are hired/advanced on

the basis of their qualifications. Job information is available to the

public on vacant jobs. People selected for jobs have the

knowledge, skills, and abilities required for the job.

Vacant jobs are filled after fair and open competition.

Principle #2All employees and applicants for employment should receive fair and equitable treatment in all aspects of personnel management without regard to political affiliation, race, color, religion, national origin, sex, marital status, age or handicapping condition and with proper regard for their privacy and Constitutional rights. [5 U.S.C. 2301(b)(2)]

WHAT THIS MEANS: Opportunity is provided equitably and

fairly to use family friendly work place flexibilities to all employees.

Employees are encouraged to use EAP programs.

Managers, supervisors, team leaders deal fairly and equitably with complaints of discrimination.

Disputes or conflict are resolved fairly. Employee rights to privacy are

protected.

Principle #3Equal pay should be provided for work of equal value, with appropriate considerations of both national and local rates paid by employers in the private sector, and appropriate incentives and recognition should be provided for excellence in performance. [5 U.S.C. 2301(b)(3)]

WHAT THIS MEANS: High performing employees receive

meaningful recognition. Supervisors/team leaders are fair in

giving recognition. Career ladder promotions, band level

increases, and within grade increases are performance based.

Employees are asked about their preference for different types of rewards and recognition.

Principle #4All employees should maintain high standards of integrity, conduct, and concern for the public interest.

[5 U.S.C. 2301(b)(4)]

WHAT THIS MEANS: There is trust between employees

and managers/supervisors/team leaders.

All employee’s conduct and behavior problems are addressed effectively.

Managers and supervisors practice the MSPs.

Prohibited personnel practices (PPPs) are not occurring in this organization.

All employees maintain high ethical standards.

Principle #5The Federal workforce should be used efficiently and effectively.

[5 U.S.C. 2301(b)(5)]

WHAT THIS MEANS: Employees participate in development of

strategic plans. Employees receive the guidance they need

to do their jobs effectively. Managers communicate the organization’s

mission, vision & values. Managers provide sufficient resources to

get the job done. Employees are involved in improving the

quality of products, services, & work processes.

There is enough work to keep employees busy.

A spirit of cooperation & teamwork exists.

Principle #6Employees should be retained on the basis of the adequacy of their performance. Inadequate performance should be corrected, and employees should be separated who cannot or will not improve their performance to meet required standards.

[5 U.S.C. 2301(b)(6)]

WHAT THIS MEANS: Supervisors provide fair and accurate

ratings of employee performance. Supervisors provide employees with

suggestions to improve job performance.

High performers are motivated to stay with the organization.

Supervisors deal effectively with poor performers.

Principle #7Employees should be provided effective education and training in cases in which such education and training would result in better organizational and individual performance.

[5 U.S.C. 2301(b)(7)]

WHAT THIS MEANS: Employees receive training they need

to perform their jobs. Supervisors jointly determine

employees training needs. Training plans are integrated into

organization’s overall strategy. Workforce has job-relevant and

knowledge, skills, and abilities necessary to accomplish organizational goals.

Funds are available for employees to get training they need.

Principle #8Employees should be:

a)Protected against arbitrary action, personal favoritism, or coercion for partisan political purposes and

b)Prohibited from using their official authority or influence for the purpose of interfering with or affecting the result of an election or a nomination for an election.

[5 U.S.C. 2301(b)(8)]

WHAT THIS MEANS: Employees are protected against

arbitrary action, personnel favoritism or coercion for partisan political purposes.

Employees do not use their official authority or influence for the purpose of interfering with or affecting the result of an election or a nomination for election.

Employees have not been pressured by an agency official to engage in political activity in violation of the Hatch Act.

Principle #9Employees should be protected against reprisal for the lawful disclosure of information which the employees reasonably believe evidences:

a)A violation of any law, rule, or regulation or

b)Mismanagement, gross waste of funds, an abuse of authority or a substantial and specific danger to public health and safety.

[5 U.S.C. 2301(b)(9)]

WHAT THIS MEANS: Employees are protected against

reprisal for lawful disclosure of information that evidence (a) violation of any law (b) mismanagement, waste, fraud or abuse (c) danger to public health.

Organization has informed employees what their rights are if they blow the whistle and are retaliated against.

Prohibited personnel practices

What are they?

• Prohibited Personnel Practices (PPPs) are actions a Federal employee who has personnel authority may not engage in.

• They are admonitions against specific activities that conflict with the MSPs.

• 13 Practices – 5 General Categories• Discrimination

• Political activity

• Hiring practices

• Retaliation (including, Whistleblower protection)

• Catch-all and Non-Disclosure Agreements

discriminationIt is a prohibited personnel practice to discriminate against an employee:

•Based on race, color, national origin, religion, gender, handicapping condition, age, marital status, sexual orientation, or political affiliation

•Based on“conduct which does not adversely affect the performance of the employee or applicant or the performance of others”

5 U.S.C. §§ 2302(b)(1) and (b)(10)

Political activityIt is a prohibited personnel practice to:

•Coerce the political activity of any person (including providing of any political contribution or service)

•Take any action against an employee or applicant for employment as a reprisal for the refusal of any person to engage in such political activity

5 U.S.C. § 2302(b)(3)

Hiring offenses• Obstructing the right to compete

• Influencing withdrawal from competition

• Unauthorized preferences

• Nepotism

• Considering improper job references

• Knowingly violating Veterans’ Preference

5 U.S.C. §§ 2302(b)(2); (b)(4); (b)(5); (b)(6);(b)(7); (b)(11)

Hiring offenses, cont.Most Common Offenses

•Deceiving or willfully obstructing right to compete for employment — 5 U.S.C. § 2302(b)(4)

•Influencing withdrawal from competition in order to improve or injure employment prospects of another —5 U.S.C. § 2302(b)(5)

• Giving an unauthorized preference or advantage to improve or injure the prospects of any particular person for employment — 5 U.S.C. § 2302(b)(6)

Hiring offenses, cont.

It is not a prohibited personnel practice to act upon one’s existing expectation that one person may be the best selectee for a particular position (“preselection”).

To violate the law there must be —• the grant of some illegal advantage• an intentional and purposeful manipulation of the system

to insure that one person is favored and another person is disadvantaged

Hiring offenses, cont. Caveats

• While hiring offenses usually require intent to deceive or manipulate the system, if a law, rule, or regulation implementing a merit system principle is violated in the process, that would also be a prohibited personnel practice.

• Negligence or impudent actions can create the appearance of a hiring offense and result in complaints and investigations — e.g., broadcasting one’s choice before competition is held.

examples

• Manager deliberately fails to have vacancy announcement posted, to prevent a particular candidate from applying for a vacancy

• Application received is deliberately misplaced or destroyed• Supervisor gives an employee a dishonest recommendation

or appraisal to keep valuable employee or to help another candidate

• Closed vacancy announcement is re-opened to permit a favored candidate to apply

Examples, cont.

• Supervisor encourages a subordinate not to compete, or to withdraw his or her application, by making promises of future benefits that supervisor does not intend to keep

• Job qualifications are manipulated to favor a particular applicant

• A supervisor advises a qualified employee not to apply for a job in order to improve another employee’s chances to be selected

The catch-all

Taking or failing to take personnel action, in violation of a law, rule or regulation that implements or directly concerns a merit system principle

5 U.S.C. § 2302(b)(12)

Retaliation• Retaliate against a whistleblower – whether an employee

or applicant• Retaliate against employees or applicants for filing an

appeal

Responsible officials

Office of special counsel (OSC)

Authorized to —

•Investigate Prohibited Personnel Practices and other activities prohibited by civil service law, rule, or regulation

•Seek corrective action on behalf of individuals who are the victims of prohibited personnel practices

•Seek disciplinary action against agency officials who commit prohibited personnel practices

OSC, cont.

Authorized to —

•Provide a safe channel for whistleblower disclosures by current and former federal employees, and applicants for federal employment

•Advise on and enforce Hatch Act provisions on political activity applicable to federal, state, and local government employees

•Protect the reemployment rights of federal employee military veterans and reservists under USERRA

Responsible officialsThe head of each Line of Business or Staff Organization, and officials with delegated personnel management authority, are responsible for —

• Preventing prohibited personnel practices

• Complying with and enforcing civil service laws, rules, and regulations

• Ensuring that employees are informed of their rights and remedies (in consultation with OSC)

Advice for responsible officials• Be measured in your speech and actions

• Keep the merit systems concepts on your radar screen

• Seek expert advice when you are unsure

• Deal with problems as they occur to avoid the appearance of bad motive

• Be consistent in your management of your employees

• Do your best not to be someone about whom the whistle is blown

GAO’s High Risk Report – Human Capital Management

What GAO found

Actions are needed in three broad areas:•Planning. Identifying the causes of and solutions for skills gaps and steps to implement those solutions.•Implementation. Defining and implementing corrective actions to narrow skills gaps through talent management and other strategies.•Measurement and evaluation. Assessing the effects and evaluating the performance of initiatives to close skills gaps.

Small Group Exercise

Handout: GAO Best Practices and Leading Practices in Human Capital Management

Strategic Human Capital Management

Personnel eligible by end of FY 2005

49

The Human Capital Idea:Two Central Principles

• People are assets whose value can be enhanced through investment.

• Human capital approaches should be designed, implemented, and assessed by how well they help the agency achieve strategic results and pursue its mission.

Cornerstones of Effective Strategic Human Capital Management

• Leadership continuity and succession planning

• Strategic planning and organizational alignment

• Acquiring and developing staffs whose size, skills, and deployment meet agency needs

• Creating results-oriented organizational cultures

An Enabler of Cultural Transformation

• Effective strategic human capital management approaches serve as the cornerstone of any serious change management initiative

• Successful human capital approaches enable an agency to become LESS hierarchical, process-oriented, stovepiped, and inwardly focused; and MORE flat, results-oriented, integrated, and externally focused

• Requires a long-term commitment to valuing human capital as a strategic asset

Commitment to Human Capital Management

• People are viewed as a key enabler of agency performance

• Leaders stimulate and support efforts to integrate human capital approaches with organizational results

• Managers are held accountable for effectively managing people

• Human capital approaches are developed, implemented, and evaluated by how well they help the agency accomplish program results

Role of the Human Capital Function

• Agency leaders recognize the role of human capital professionals in meeting the agency’s mission

• Human capital professionals partner with agency leaders in developing strategic and program plans

• Human capital office provides effective strategies for meeting current and future agency needs

• Human capital professionals are prepared, expected, and empowered to serve internal customers

• Personnel processes are streamlined through the use of technology

Integration and Alignment

• Human capital approaches demonstrably support organizational performance

• Human capital approaches are designed specifically to support programmatic goals

• Additional human capital approaches are considered in light of the successes and shortcomings of existing approaches

• Human capital approaches for meeting the needs of the agency are reflected in strategic workforce planning documents

Data-Driven Human Capital Decisions

• Decisions involving human capital management are informed by complete, valid, current, and reliable data

• Data is used to identify areas for attention before crises develop and to identify opportunities to improve agency results

• Performance measures for human capital approaches have been identified and are linked to agency results

• Performance information and data on the agency’s workforce profile are used in strategic workforce planning

Targeted Investments in People

• Human capital expenditures are regarded as investments in people and the agency’s capacity to perform its mission

• Strategies for investing in human capital are integrated with needs identified through strategic planning

• The efficiency and effectiveness of the investments is continuously monitored and evaluated

Human Capital Approaches Tailored to Meet Organizational Needs

• Managers are identifying and using tools available under current law to modernize their human capital approaches

• Human capital approaches are tailored to meet specific mission needs

• A compelling, data-driven business case is made for additional legislative flexibilities

Empowerment and Inclusiveness• Empowerment:

• Employees at all levels are given authority to accomplish goals

• Innovation and problem-solving are encouraged

• Agency leaders seek the views of employees at all levels

• Management and employees work collaboratively to achieve outcomes

Empowerment and Inclusiveness• Inclusiveness:

• Agency recognizes that an inclusive workforce is a competitive advantage for achieving results

• Agency works to meet the needs of employees of all backgrounds

• Agency has declared a “zero tolerance” for discrimination• Agency strives actively to reduce the causes of workplace

conflict• Agency ensures that conflicts are addressed fairly and

efficiently

Unit and Individual Performance Linked to Organizational Goals

• Organizational culture is results-oriented and externally focused

• Managers are held accountable for achieving strategic goals, creating innovation, and supporting continuous improvement

• Individual performance management is fully integrated with the agency’s organizational goals

• Clearly defined and consistently communicated performance expectations are in place to rate, reward, and hold employees accountable at all levels of the organization

Next Steps: Responding to the Challenge

• Sustained leadership• OPM can assist in—and, as appropriate, require—the

building of more robust human capital infrastructure in agencies.

• Agency leaders must embrace reforms and integrate their human capital efforts into their agencies’ core planning and business activities.

• Agency leaders need to develop workforce plans, implement recruitment and retention strategies and measure their effects.

Next Steps: Responding to the Challenge, cont.

• Robust strategic human capital planning• Agencies need to integrate human capital planning

with broader organizational strategic planning involving top management, employees, and other stakeholders.

• Agencies should examine retirements and other forms of turnover, with an eye toward strengthening both current and future organizational capacity.

Next Steps: Responding to the Challenge, cont.

• Effective talent management• Agencies’ talent management strategies must be

responsive to changing applicant and workforce needs and expectations; and agencies must tailor recruitment, retention, training, workforce flexibilities, and other strategies to address any identified skills gaps.

• Agency training and development programs should be part of an overall management strategy and include processes to assess and ensure the training’s effectiveness.

Next Steps: Responding to the Challenge, cont.

• Results-oriented cultures• Agencies need to have a performance management

system that creates a “line of sight” showing how unit and individual performance can contribute to overall organizational goals.

• Agencies need to foster a work environment in which people are enabled and motivated to contribute to continuous learning and improvement, as well as mission accomplishment.

Federal human resources occupational series

Job series & specialty areas• 201 – Specialist

• 203 – Assistant

• Specialty areas provide a path for deep expertise in particular human capital/human resources technical area

• Ten “traditional” specialty areas

• Two new areas recently added: Executive Services and Policy

• Expertise and experience in two or more specialty areas provides competitive advantage

Competencies, training areas, & critical development areas• Definition: Combination of knowledge, skill, and/or ability one needs to successfully perform

a job function

• General competencies cut across all occupations and specialty areas

• Technical competencies are specific to an occupation and/or specialty area

• Proficiency levels determine how well a competency has been mastered

• Awareness is the lowest level of mastery

• Expert is the highest level of mastery

• Training Areas – subjects for study

• Critical Development Activities – experiences

Keeping the saw sharp

The individual development plan (IDP)• Employees are responsible for ensuring their professional development – training is NOT an

entitlement

• Characteristics

• Tool to assist in career and personal development

• Two- exchange between employee and supervisor

• Phases

• Pre-Planning

• Employee/Supervisor Meeting

• Preparation/Development

• Implementation

• Evaluation

The human resources (HR)professional framework

Current and future rolesExercise

Resources• OPM – http://opm.gov

• SHRM – http://shrm.org

• HCI – http://hci.org

• HRCI – http://hrci.org

• NAPA - www.napawash.org

• Partnership for Public Service - www.ourpublicservice.org

Others?

A Closer Look at How Agencies

Compete for Top Talent

Best places to work in the federal government

Federal employee viewpoint survey (fedview or FEVS)• Measures employee perceptions

• Provides insights into leadership challenges

• Supports increased effectiveness of civilian workforce

• Used by most federal agencies

• Categories

• Effective Leadership (overall, empowerment, fairness, senior leaders, supervisors

• Employee Skills/Mission Match

• Pay

• Strategic Management

• Teamwork

Federal employee viewpoint survey (fedview or FEVS), continued• Categories, continued

• Training and Development

• Work/Life Balance

• Support for Diversity

• Performance Based Rewards and Advancement

• Alternative Work and Employee Support Programs

Federal employee job satisfaction(2006 – 2012)

Department of transportation• Largest improvement for large agencies – 2010 and 2012

• Advancing in:

• employee empowerment,

• balance between work and personal life, and

• opportunities for training and development

• Secretary made it a personal mission – partnering with the CHCO

• Added additional questions – revealed employee interest in improved processes

• IdeaHub launched in 2010 – employee collaborative area

• Training for first-line supervisors in leadership competencies

Other notable activities• Worker and job satisfaction senior leadership priorities

• Virtual and face-to-face communication forums to address workforce concerns

• Enhanced training

• Enhanced management accountability

• Enhanced strategic focus

Contact us for more info about our training solutions

Pivotal Practices Consulting LLC

(301) 220-3179

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