Workforce
Planning Guide
November 2022
U.S. Office of Personnel Management
Workforce Planning Guide
Introduction 2
Workforce Planning 3
1.1 What Drives Workforce Planning? 3
1.2 What is Workforce Planning? 4
1.3 Why Workforce Planning? 5
1.4 How to Set the Stage for Collaboration 5
1.5 What is the OPM Workforce Planning Model? 7
1.6 Workforce Planning Links to Strategic Human Capital 9
OPM Workforce Planning 11
2.1 OPM Workforce Planning Model 11
2.2 Conduct Workforce Analysis 12
2.3 Develop Workforce Action Plan 17
2.4 Implement and Monitor Workforce Action Plan 18
2.5 Evaluate and Revise Workforce Action Plan 19
Appendix A – Tools and Resources: 21
Sample Checklists 21
OPM Workforce Model Resources 27
Data Resources 29
Multi-Factor Model Elements 31
Multi-Factor Model Thresholds 32
Closing Staffing Gap Tool Example 33
Action Plan Evaluation Resources 36
Additional Tools and Examples 37
OPM Accelerated Tools 38
Appendix B - Mission Critical Occupation 39
Mission Critical Occupation (MCO) Identification Guide 39
Appendix C - Code of Federal Regulations 52
§ 250.204 Agency roles and responsibilities 53
§ 410.201 Responsibilities of the head of an agency 54
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Introduction
The Workforce Planning (WFP) Guide is a resource for agency leaders, managers, supervisors, HR Specialists,
and employees who are involved in analyzing the workforce, identifying gaps, as well as planning and
implementing workforce action planning efforts. This big-picture tour of OPM’s Workforce Planning Model
includes an appendix providing step-by-step guidance for identifying mission-critical occupations.
Workforce Planning is a systematic and continuous process for identifying the size and composition of a
workforce needed to achieve an organization’s goals and objectives—a process requiring all levels of leadership
and management, working in coordination with their Chief Human Capital Officers, (CHCOs), Chief Financial
Officers (CFOs), and other stakeholders.
Workforce Planning
• 1.1 What Drives Workforce Planning?
• 1.2 What is Workforce Planning?
• 1.3 Why Workforce Planning?
• 1.4 How to Set the Stage for a Culture of Collaboration?
• 1.5 What is the OPM Workforce Planning Model?
• 1.6 How Does Workforce Planning Link with Strategic Human Capital Management?
OPM Workforce Planning Model
• 2.1 Set Strategic Direction
• 2.2 Conduct Workforce Analysis
• 2.3 Develop Workforce Action Plan
• 2.4 Implement and Monitor Workforce Action Plan
• 2.5 Evaluate and Revise Workforce Action Plan
Go to the Appendices for sample documents, checklists, and resources.
This information is a compilation of the U.S. Office of Personnel Management’s (OPM) guidance and tools, in
collaboration with agency partners, such as the Department of Defense, Department of Education, Department
of Homeland Security, Department of Interior, Department of Transportation, Department of Treasury,
Department of Veterans Affairs, National Institute of Health, National Science Foundation, and the Securities
and Exchange Commission.
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Workforce Planning
1.1 What Drives Workforce Planning?
The U.S. Office of Personnel Management (OPM) provides leadership and guidance on Federal strategic human
capital management. 5 C.F.R. 250, subpart B defines a set of systems, including standards and metrics, for
assessing the management of human capital by Federal agencies. Human capital management is a complex set
of interrelated strategies and practices that are aligned with an organization’s mission and guide the processes
for selecting, developing, training, and managing a high-quality productive workforce. The Human Capital
Framework (HCF) defines the strategic human capital management systems, standards, and focus areas that
inform those interrelated strategies and practices. The four systems of the HCF are Strategic Planning and
Alignment (plan), Talent Management (implement), Performance Culture (implement), and Evaluation
(evaluate).
Workforce Planning is a focus area under Talent Management and the topic of this guide. The guide will help
agencies steer towards comprehensive workforce planning and analysis, as referenced in 5 C.F.R. 250.204 (a)(2)
under Agency roles and responsibilities.
By actively managing the workforce and developing agile operations, agencies better position themselves for
effective and efficient achievement of their mission and goals. Political, economic, social, technological, legal,
and environmental factors will drive change in current and future workforce roles.
HCF System Focus Areas
Talent Management
• Workforce Planning
• Recruitment and Outreach
• Employee Development
• Leadership Development
• Retention
• Knowledge Management
Strategic Planning and Alignment
• Agency Strategic Planning
• Strategic Human Capital Planning
• HR as a Strategic Partner
• Annual Performance Planning
• HC Best Practices and Knowledge Sharing
• Organizational Development
• Change Management
Performance Culture
• Continuous Learning
• Performance Management
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• Diversity, Equity, Inclusion, and Accessibility
• Engaged Employees
• Collaboration
• Labor/Management Partnership
• Work-Life Balance
Evaluate
• Business Analytics
• Data-Driven Decision Making
1.2 What is Workforce Planning?
Workforce Planning serves as the foundation for managing an organization’s human capital. It enables
organizations to strategically meet current and future workforce needs and prevents unnecessary disruptions in
maintaining a steady-state and agile workforce.
Workforce Planning is essential in ensuring the right person with the right skills, is in the right position at the
right time. It also means there are the right number of people to accomplish the mission.
Workforce Planning assists organizations by providing critical data analytics and tools to inform leadership
decisions on the workforce and to enable them to meet current and future organizational goals and objectives.
Workforce Planning is the systematic process of analyzing and assessing to set targets to mitigate the gaps
between the workforce of today and the mission and human capital needs of tomorrow. Effective workforce
planning enables an organization to:
• Align human capital needs directly to the agency’s strategic plan, annual budget and performance
plans, human capital strategy, and operating plans.
• Develop a comprehensive picture of staffing level gaps, current competency gaps, and future
competency gaps.
• Identify and implement strategies to close workforce gaps (e.g., restructure, resize, re-skill, recruit,
hire).
• Use data to make workforce decisions and recommendations.
• Identify actions to overcome internal and external barriers to accomplishing strategic human capital
and agency business goals.
Ensure Alignment and Goal Clarity (Critical Component)
The most critical step in strategic workforce planning is alignment — alignment of business strategy,
organization structure, people and results. Ensure clarity around strategic objectives, then ensure you have a
holistic organization design and talent plan to help get the right people in the right roles at the right time to
deliver results. Sounds easy but takes discipline! - Elisa Gilmartin, Fuze
Understand Where the Organization is Headed (Critical Component)
Strategic workforce planning is a key component of the overall talent strategy. It starts with understanding where
the organization [company] is headed and future organizational capabilities. This helps the organization identify
new skills and competencies needed to inform learning and development opportunities and its talent acquisition
strategy. - Sarika Lamont E3/Sentinel
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1.3 Why Workforce Planning?
The need for effective workforce planning is established in OMB Circular A-11, section 85.1. The Circular
provides linkage to workforce planning and budgets. This section requires agency budget submissions to address
strategic human capital management and justify associated resources to support agency accomplishment of
programmatic goals. This guidance also directs agencies to link the success of their missions, due in large part to
the workforce, to their budget submissions.
Why Should an Organization Conduct Workforce Planning?
Agencies conducting effective workforce planning are prepared to face the difficult challenges of attracting,
developing, and retaining a workforce that is competent and capable of addressing new objectives, new
technologies, and new mission requirements. Workforce planning is a sound business practice that supports and
documents accountability. Agencies should conduct workforce planning for the following three reasons:
Planning a Strategic Approach
To understand current and future needs of an agency workforce to accomplish the strategic mission.
Implementing Reshaping Options
To assist in the development of a set of human resource management (HRM) policies/initiatives that are
vertically and horizontally aligned by providing critical data analysis. Vertical alignment means the HRM
policies are in complete alignment with the agency mission and are thus supporting the accomplishment of the
mission. Horizontal alignment means the different HRM policies, practices, and initiatives work in concert with
each other.
Supporting the Workforce
To develop a realistic and convincing business case for obtaining resources (regulatory and monetary) for
leadership decisions or to implement HRM practices and initiatives, which will support accomplishment of the
agency mission. Also, to provide key data to senior leaders in the justification of associated resources.
1.4 How to Set the Stage for Collaboration
Workforce Planning has significant impact on an agency’s mission performance; therefore, agency leaders are
ultimately accountable. Embedding workforce planning into the agency culture requires strong leadership
commitment and a process engaging collaborative partners drawn from human resources, program
management, budget, acquisition, technology, and other areas, building a cross-disciplinary implementation
team.
Support of Agency Leadership
Successful workforce planning requires the commitment and active engagement of agency senior leadership.
Top agency officials, including the leaders of major program areas, often set the tone for change by outlining the
goals and defining the operational needs to maintain program operations and provide services to customers.
The agency’s strategic plan also provides direction. Senior leaders can serve as champions for workforce
planning efforts by providing the direction, resources, and ensuring achievement of the agency’s goals by linking
workforce planning to other related organizational initiatives.
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Collaborative Partnerships with Key Partners
Workforce planning is a shared responsibility, most successful with strong leadership commitment to a culture of
collaboration and integration among cross-functional partners. Prior to launching workforce planning efforts, it
is helpful to conduct a stakeholder analysis to identify all key partners.
Example of a Workforce Planning Team with Roles and Responsibilities
C-Suite Leaders
Support functions including the Chief Human Capital Officer, Chief Performance Improvement Officer, Chief
Information Officer and Chief Financial Officer; provide critical feedback to operationalize the strategic vision
for change and effect the desired transformation.
Workforce Planning Subject Matter Experts (SMEs)
Serve as subject matter experts and project managers for workforce planning efforts. Work in close collaboration
with program officials and partners to ensure completion of each stage of the workforce planning model.
Managers, Supervisors, Team Leads
Implement the strategies; acquire and manage the resources required to achieve the agency’s mission; and,
collect and provide performance data for accurate evaluation of progress towards goals. Foster positive working
relationships with employees to achieve the agency’s mission.
Program Officials
Lead and implement workforce planning efforts for their respective organizations with project management and
workforce planning technical support from the component workforce planning SMEs and team. Provide subject
matter expertise on work to be performed and identify program office workforce needs.
Human Resource Partners (e.g., Learning and Development, Staffing,
Recruitment, Labor Relations)
Provide consultation to assist with the development of workforce planning strategies and the creation and
implementation of the action plan. Use technical expertise to ensure agency activities are in accordance with
federal law and guidance, in consultation with agency counsel, as needed.
Equal Employment Opportunity (EEO) and Diversity Partner
Provide guidance concerning personnel diversity and merit systems principles, for example, through review of
strategies to build and maintain a diverse workforce.
Budget and Fiscal Management Partners
Provide advice and guidance related to budget planning, federal employee costs, tools, and resources available to
assist with costing analysis.
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Procurement/Acquisition Planning Partners
Provide advice, guidance, and recommendations as to acquisition requirements for government contracting.
General Counsel Partners
Provide advice, guidance, and recommendations on all topics above, foster compliance with applicable law, and
assist with risk management.
1.5 What is the OPM Workforce Planning Model?
OPM’s Workforce Planning Model is comprised of five distinct elements to be used continually as a roadmap for
spiraling success. Each element builds upon the previous one until strategy and action plan(s) emerge to meet
workforce planning objectives. The rest of this guide walks you through the implementation of this model.
1. Set Strategic Direction
• Link Mission, Vision, Strategic Plans, Budgets, Resource Allocation
• Conduct Environmental Scanning
2. Conduct Workforce Analysis
Analyze/Forecast Demand
• Future Structure, Processes, Tasks, Functions, and Roles
• Workforce Competencies and Staffing Requirements/ Composition/Workforce Modeling
• Conduct Benchmark Analysis
Analyze Supply
• Current Structure
• Workforce Competencies
• Staffing Levels/Composition
• Agency Performance
• Demographics
• Benchmark Analysis
3. Develop Workforce Action Plan
• Create Workforce and Strategy Plan
• Career Paths
• Contracting Out
• Job/Organizational Design
• Restructuring Organizations
• Learning and Development
• Technological Enhancements
1. Set Strategic Direction
2. Conduct Workforce Analysis
3. Develop Workforce Action Plan
4. Implement and Monitor Workforce Action Plan
5. Evaluate and Revise Workforce Action Plan
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• Training/Retraining
• Recruitment and Retention
• Retirement
• Scenario Planning, Root-Cause Analysis, and Foresight
• Succession Planning
4. Implement and Monitor Workforce Action Plan
• Assess Impact of Workforce Strategies
• Review Workforce Planning Strategies and Metrics and Work with Strategic Human Capital Planners to
Refine
5. Evaluate and Revise Workforce Action Plan
• Seek Out Feedback from Stakeholders
• Conduct Benchmark Analysis
• Collaborate with Leadership on Next Steps
Metrics, Benchmarks, and Targets
Workforce planning serves as the foundation for managing an organization’s human capital. Metrics,
benchmarks, and targets are critical to determine if an organization is strategically meeting both current and
future workforce mission needs.
Why Measure?
• Activities and milestones detail “how” a strategic objective/goal will be accomplished.
• Setting benchmarks and targets allows agencies to monitor progress through HRStat or other internal
review processes.
• Quantifiable data is needed to measure whether goals and objectives are being adequately achieved.
• Metrics allow agencies to engage in timely interventions, as needed, to improve performance and overall
efficiency of service.
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1.6 Workforce Planning Links to Strategic Human Capital
Figure 1 - This graph shows how the
practices and strategies utilized in human
capital management support the steps
in the OPM Workforce Planning Model.
This includes Align Human Capital (HC)
strategies with agency mission goals,
Develop Human Capital Operating Plans
(HCOP), Identify HC Performance Goals
and Measures, Monitor Goals and Metrics
using HRStat, Inform Leadership Decision
Making, Conduct HC Reviews, Conduct
Independent Audit Programs, Initiate
Course Corrections to Refine Strategies,
Goals, and Measures.
The steps in the OPM Workforce Planning
Model are as follows: Step 1 - Set Strategic
Direction, Step 2- Conduct Workforce
Analysis, Step -3 Develop Workforce Action Plan, Step 4- Implement and Monitor Workforce Action Plan, Step
5- Evaluate and Revise Workforce Action Plan.
Step 1- Setting the Strategic Direction involves understanding the agency’s strategic documents (such as the
agency’s strategic plan, annual performance/business plans) and aligning the workforce planning process to meet
the agency’s objectives, goals, and mission.
Step 2- Conducting Workforce Analysis involves workforce analysis methodology for demand, supply, gap, and
risk.
Step 3- Developing the Workforce Action Plan involves the identification of strategies to close gaps, plans to
implement strategies, and measures for assessing progress.
Step 4-Implementing and Monitoring Workforce Action Plan involves ensuring human and fiscal resources
are in place, roles are understood, and the necessary communication, education, change management, and
coordination are occurring to execute the plan and achieve the strategic objectives. It also involves monitoring
progress against milestones.
Step 5- Evaluating and Revising Workforce Action Plan involves assessing for continuous improvement
purposes, looking for unintended consequences, and adjusting the plan to make course corrections and to
address new workforce issues.
Strategic Human Capital Management is discussed in 5 CFR 250(B) and covers HCOP, HRStat, Human Capital
Reviews, and Independent Audit Program. These practices and strategies utilized in human capital management
support the steps in the OPM Workforce Planning Model. For example, aligning HC strategies with agency
mission supports step 1 of the OPM Workforce Planning Model, Set Strategic Direction. Developing the HCOP,
and identifying HC performance goals and measures can support both step 2, Conduct Workforce Analysis,
and step 3, Develop Workforce Action Plan. Monitor goals and metrics using HRStat can support Step 3,
Develop Workforce Action Plan and Step 4, Implement and Monitor Workforce Action Plan. Inform leadership
decision making supports Step 4, Implement and Monitor Workforce Action Plan. Conduct HC Reviews and
Independent Audit Programs supports both Step 4, Implement and Monitor Workforce Action Plan and Step 5,
Evaluate and Revise Workforce Action Plan. Initiate course correction to refine strategies, goals, and measures
supports Step 5, Evaluate and Revise Workforce Action Plan.
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OPM Workforce Planning Model
OPM’s Workforce Planning Model is a continuous process and is comprised of five different
elements that present a roadmap for success. Each element builds upon the previous one until
you have laid out a strategy and action plan(s) to meet your workforce planning objectives. This
guide will walk you through the implementation of the model.
1. Set Strategic Direction
2. Conduct Workforce Analysis
3. Develop Workforce Action Plan
4. Implement and Monitor Workforce Action Plan
5. Evaluate and Revise Workforce Action Plan
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2.1 OPM Workforce Planning Model
Step 1 - Set Strategic Direction
Setting the Strategic Direction involves understanding the agency’s strategic documents (such as the agency’s
strategic plan, annual performance/business plans) and aligning the workforce planning process to meet the
agency’s objectives, goals, and mission.
Take a closer look at the Agency Senior Leadership Strategic View Questions in Appendix A for the deep dive
questions.
Workforce plans must be based on the agency’s strategic goals and overall mission. Steering in alignment with
the agency’s set strategic direction requires the application of many techniques such as:
• Understanding the Agency Strategic Plan, Annual Performance Plan, Human Capital Goals and
Priorities
• Employing Strategic Foresight
• Conducting Role Segmentation (identify occupations and how they directly relate to the strategic
goal(s))
• Identifying Mission Critical Occupations to help ensure that the agency has the resources and talent it
needs to function successfully in the 21st century’s dynamic environment.
• Performing an Environmental Scan to look internally and externally at the organization and help
determine its future direction
Understanding Step 1 (Set Strategic Direction) yields information about occupations (or other workforce
segments), how they relate to the agency’s mission, and highlights current and future trends, as well as potential
environmental issues or influences.
OPM Workforce Planning
1. Set Strategic Direction
2. Conduct Workforce Analysis
3. Develop Workforce Action Plan
4. Implement and Monitor Workforce Action Plan
5. Evaluate and Revise Workforce Action Plan
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2.2 Conduct Workforce Analysis
Step 2 - Conduct Workforce Analysis
Conduct Workforce Analysis (Demand)
Conducting Workforce Analysis involves workforce analysis methodology for demand, supply, gap, and risk.
Workforce Analysis Methodology: The primary elements of the workforce analysis methodology for demand
involves a review of the following:
Analyze Demand (Forecast)
• Future Structure, Processes, Tasks, Functions, and Roles
• Workforce Competencies and Staffing Requirements/Composition/Workforce Modeling
• Conduct Benchmark Analysis
Agencies should look at the difference between the number of employees remaining in the current workforce
after retirements and separations and the number of employees needed in the future based on business needs.
Agencies should forecast the optimal capacity and capability – including staffing level skills and competencies
needed to meet future organizational demands.
Questions to consider:
• What drivers affect the organization’s workload?
• How is workload measured from service to service?
• How many staff and what skills and competencies are needed to deliver each service?
• What percentage of an FTE’s time is required to deliver a service/product?
• Are there anticipated changes in technology, policies, regulations, or customer base that would affect
workload demand?
• How would workload in each service line be impacted by those changes?
• How would changes in FTEs affect workload in the organization?
1. Set Strategic Direction
2. Conduct Workforce Analysis
3. Develop Workforce Action Plan
4. Implement and Monitor Workforce Action Plan
5. Evaluate and Revise Workforce Action Plan
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Conduct Workforce Analysis (Supply)
Workforce Analysis Methodology: The primary elements of the workforce analysis methodology for supply
involve a review of the following:
• Current Structure
• Workforce Competencies
• Staffing Levels/Composition
• Agency Performance
• Demographics
• Benchmark Analysis
Agencies should evaluate the current capacity and capability – including the current staffing levels, skills, and
competencies of the workforce, the anticipated recruitments, attrition, retirements, separations, demographic,
and employee engagement analyses.
Questions to Consider:
• How well does the current workforce align/support your strategy?
• What is the composition of the workforce at each organizational level and/or location?
• What impact will turnover of key staff have on your organization’s ability to deliver services?
• Where are the positions difficult to fill with qualified applicants?
• What is the current distribution of employee years of service?
• What is the current distribution of retirement eligibility?
Conduct Workforce Analysis (Gap and Risk)
Workforce Analysis Methodology: The primary elements of the workforce analysis methodology for gap and risk
involve a review of the following:
Gap Analysis
Evaluate the gap between current supply and projected demand.
Risk Analysis
Analyze the risks facing the workforce today and in the future (e.g., and Strengths, Weaknesses, Opportunities,
and Threats Analysis)
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Risks should be considered within the context of ‘risk impact’ and ‘risk likelihood’ to
determine the level of risk that could impact your plans.
The risk impact describes
the severity of the risk and
corresponds to the following
categories:
The risk likelihood
corresponds to the following
chances of the risk occurring:
Outcome:
Probability x Severity
1. Very Low 1. Very Low 1. Very Lo
w
2. Low 2. Low 2. Low
3. Medium 3. Medium 3. Medium
4. High 4. High 4. High
5. Very High 5. Very High 5. Very High
Conduct Workforce Analysis (Data Sources)
Workforce data analysis is the foundation of a good workforce plan. It involves understanding the current
workforce and how it is projected to change over time due to accessions, attrition, and trends. It also involves
understanding and measuring talent demands, workforce gaps and risks, and talent supply. Below are some key
data sources, quantitative and qualitative, that can be used to assist in analyzing the supply, demand, and gaps.
OPM Data Sources
• FedScope
■ Demographics
■ Retirement Eligibility, Attrition
• USAJOBS data
• Competency Analysis (Competency Exploration for Development and Readiness)
• Time to Hire Data
• MCO Resource Charts
• Federal Employee Viewpoint Survey
• Manager/Applicant Satisfaction Survey
• Multi-factor Model Analysis
Agency Data Sources
• Agency Strategic Plan
• Human Capital Operating Plan (HCOP)
• Workload Ratio Analysis
• Competency Assessment
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• Training Data
• SWOT Analysis
• Environmental Scans (PESTEL)
• Risk Analysis
• Job Analysis Report
• Subject Matter Expert Interviews
• Agency Workforce Dashboards
• Internal Agency Audits
• Exit Survey/Stay Survey
External Data Sources
• GAO Reports
• Data.gov
• Labor Market Analysis
■ O*Net (Department of Labor)
■ Bureau of Labor Statistics
■ National Science Foundation
Conduct Workforce Analysis
Workforce analysis includes identifying current and future skills gaps. A Skill Gap is a variance between the
current and projected workforce size and skills needed to ensure an agency has a cadre of talent available to meet
its mission and make progress towards achieving its goals and objectives—now and into the future.
Skills gaps come in several different forms including staffing shortages, skills shortages, and competency
shortages. According to the GAO-15-223, Federal Workforce: OPM and Agencies Need to Strengthen Efforts to
Identify and Close Mission-Critical Skills Gaps.
A skill gap can be a (1) “staffing gap,” in which an agency has an insufficient number of individuals to complete
its work, such as a lack of contracting officers within its workforce; and/or a (2) “competency gap,” in which an
agency has individuals without the appropriate skills, abilities, or behaviors to successfully perform the work,
such as an information technology workforce without up-to-date cybersecurity skills.
Workforce Planning
• Project and Analyze Gaps
• Position Management
Recruitment and Selection
• Job Analysis
• Realistic Job Previews
• Selection Items
• Skills and Competency Based Assessments
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Development and Retention
• IDPs
• Leadership Development
• Career Paths
Performance Management
• Goal Setting
• Performance Assessment
Competencies
Workforce Planning, Recruitment and Selection, Development and Retention, and Performance Management
have varying tools to provide skills gaps information. Competency-based assessment tools are also key in
understanding critical competency gaps and inform the agency of a roadmap for identifying training and other
developmental opportunity.
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2.3 Develop Workforce Action Plan
Step 3 - Develop Workforce Action Plan
Developing the Workforce Action Plan involves the identification of strategies to close gaps, plans to implement
strategies, and measures for assessing progress.
The workforce plan is generally long term (2-3 years) in focus, contains the workforce analysis, and describes
gaps between current and future states of the workforce.
The workforce action plan captures intended actions for areas such as position classification, position
management, workforce design, recruiting, and hiring. It is a critical component of the Human Capital (HC)
planning process, which captures intended actions for policy, IT operations, and other HR processes. The
workforce plan and workforce action plan(s) should be in direct alignment with the Human Capital Operating
Plan (HCOP).
Strategic Human Capital Strategies should be based on HC policies, processes, programs, and workforce analysis.
Workforce Planning Action Plan Template
Workforce Planning Initiative: Date / Period of Time Covered:
Describe the driver(s) for workforce planning. (Mandate, major change in workforce agency, employee
need/desire, automation, etc.) What is the problem being addressed?
Describe the objectives and goals.
Describe the barriers to workforce planning and the cause of them.
Describe what is causing the barrier/problem (i.e., What is the root cause?).
Define success or the desired outcome upon completion of the workforce plan.
Primary Action Planning Team
Lead:
Members:
Action Steps
Actions to be
Taken
Key Deliverable
/ Output
s Start Date/ End
Date
Responsible
Party (Parties)
Budget,
Resources,
and Approvals
Needed
1. Set Strategic Direction
2. Conduct Workforce Analysis
3. Develop Workforce Action Plan
4. Implement and Monitor Workforce Action Plan
5. Evaluate and Revise Workforce Action Plan
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2.4 Implement and Monitor Workforce Action Plan
Step 4 - Implement and Monitor Workforce Action Plan
Implementing and Monitoring Workforce Action Plan involves ensuring human and fiscal resources are in place,
roles are understood, and the necessary communication, education, change management, and coordination are
occurring to execute the plan and achieve the strategic objectives. It also involves monitoring progress against
milestones.
Implement the Plan
Think through how to complete and implement the plan. The key to any successful plan is communication.
It is imperative that the action plan be communicated to the agency’s leadership and monitored through
quarterly HRStat Reviews or agency dashboards. Determine where the plan will be housed and how the
plan will be maintained.
Roles and Responsibilities
Leadership and stakeholders define roles, responsibilities, expectations, and ensure resources are made available.
Monitoring the workforce action plan may include:
• Assessing the progress of the plans.
• Reviewing the action plan(s) at an HRStat quarterly review.
• Reviewing agency dashboards and tracking milestones, metrics, and targets.
• Conducting independent audits and interviews of executive leadership, selecting officials, program
managers, employees, etc., for a deeper dive into trends driving the metrics in the right or wrong
direction.
• Considering adjustments to strategies and implementation of action items. For example, adjusting
strategies based on effectiveness of metrics and future trends.
• Communicating information generated from the agency’s evaluation system that can be shared with
senior leadership and managers. For example, how will results from HCRs or the impact of HC
strategies being implemented be shared with executive leadership and operational managers throughout
the agency?
1. Set Strategic Direction
2. Conduct Workforce Analysis
3. Develop Workforce Action Plan
4. Implement and Monitor Workforce Action Plan
5. Evaluate and Revise Workforce Action Plan
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2.5 Evaluate and Revise Workforce Action Plan
Step 5 - Evaluate and Revise Workforce Action Plan
Evaluating and Revising Workforce Action Plan involves assessing for continuous improvement purposes,
looking for unintended consequences, and adjusting the plan to make course corrections and to address new
workforce issues.
Evaluate
• Seek feedback from stakeholders.
• Evaluate the workforce action plan and strategies.
• Determine if other areas need to be included in the plan.
• Examine progress made against targets, baselines, outcomes, and performance measures (e.g., the
evaluation may reveal that baseline measures do not exhibit advancement towards targets).
Revise
• Collaborate with leadership on next steps.
• Record actions taken and review lessons learned.
• Consider unintended consequences and impacts.
• Update or adjust metrics and targets if necessary.
• Determine if interventions are successful and identify barriers for success.
1. Set Strategic Direction
2. Conduct Workforce Analysis
3. Develop Workforce Action Plan
4. Implement and Monitor Workforce Action Plan
5. Evaluate and Revise Workforce Action Plan
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Resources and References
• OMB Circular A-11
• 5 CFR 250, subpart B
• Human Capital Framework Strategic Planning and Alignment
• Human Capital Operating Plan
• Strategic Foresight
• FedScope
• Scenario Planning
• Diversity and Inclusion
• Federal Employment Statistics
• End to End Hiring Process
• Areas of Focus/Human Resources
• Multi-Factor Model
• Federal Employee Viewpoint Survey
• Federal Workforce Priorities Report
• Root Cause Analysis for Closing Skills Gaps
• Training Needs Assessment
• Department of Transportation WorkforceAnalysis Guide
• OPM’s Principles of Assessments
• Workforce Reshaping Guidance
• HRS – Communication Strategies
• HRStat
• Human Capital Reviews
• Human Capital Framework (HCF) Diagnostic Tool
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Appendices
In the following appendices, you will find sample documents and checklists. These resources are for managers,
supervisors, and practitioners involved in analyzing the workforce, identifying gaps, as well as planning and
implementing workforce planning efforts.
The information contained herein is a compilation of the U. S. Office of Personnel Management’s (OPM)
guidance and tools, in collaboration with agency partners, such as the Department of Education, Department of
Homeland Security, Department of Interior, Department of Treasury, Department of Veterans Affairs, National
Institute of Health, National Science Foundation, and the Securities and Exchange Commission.
Appendix A – Tools and Resources:
Sample Checklists
• Workforce Planning Checklist Step 1
• Workforce Planning Checklist Step 2
• Workforce Planning Checklist Step 3
• Workforce Planning Checklist Step 4
• Workforce Planning Checklist Step 5
OPM Workforce Planning Model Resources
Step 1 – Set Strategic Direction
• OPM Resources
• Strategic Questions: Leaders, HR Professionals, Employees
Step 2 – Conduct Workforce Analysis Resources
• Data Resources
• Mission Critical Occupation Staffing Resource Chart
• Multi-Factor Model
• Example of a Closing Staffing Gaps Tool
Step 3 – Develop Workforce Action
• Action Plan Template
Step 5 – Evaluate and Revise Workforce Action Plan Resources
• Action Plan Evaluation Resources
• The Human Capital Framework Diagnostic Tool
Additional Tools and Agency Examples
• Tools/Agency Examples
• OPM Accelerated Tools
Workforce Planning Guide
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Sample Checklist
The purpose of the sample checklists is to assist an agency with tracking workforce planning activities. These
lists are not intended to be all-inclusive, and agencies should consider other activities appropriate to their
respective workforce planning processes.
Checklists are an excellent tool to reduce errors and ensure consistent quality, especially for repetitive tasks.
Below are five reasons to use this powerful tool:
• Productivity: Checklists are proven to reduce errors, especially to complete repetitive tasks more
efficiently.
• Delegation: Checklists can inspire confidence in delegating by breaking down major tasks into
manageable and specific tasks, in turn, empowering team members.
• Organization: Checklists ensure that no critical steps in the process are inadvertently skipped.
• Creativity: Checklists reduce stress, which frees up mental energy for creativity and innovation.
• Motivation: Positive results from using Checklists creates a motivating feedback loop for ongoing timely
completion of tasks.
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Purpose: The purpose of this checklist is to assist an agency with tracking workforce planning activities relevant
to setting strategic direction to execute the agency’s mission.
Step 1: Set Strategic Direction
Strategic Alignment Yes No N/A
Agency leadership identifies Presidential and legislative
priorities that will determine agency program and priorities.
The agency plans for the unexpected. The agency anticipates a
new strategic goal that will require an influx of resources and
capabilities.
Scenario Planning Yes No N/A
The agency identifies its strategic direction for the short-term
(1-3 years).
The agency identifies its strategic direction for the long-term
(4-5 years).
The agency identifies the drivers of change to programs and the
changes to occur over the next 5 years.
Environmental Scan Yes No N/A
The agency identifies environmental factors (i.e. political,
economic, social, technological, environmental and legislative)
that will impact the workforce and may require reshaping of the
workforce.
The agency identifies its top strengths, weaknesses,
opportunities and threats.
Stakeholder Roles/Responsibilities Yes No N/A
The agency has an established governance process that includes
all key stakeholders and identifies roles and responsibilities for
workforce planning.
Funding Yes No N/A
The agency identifies anticipated sources of program funding
for the next 1-3 years.
Performance Plans Yes No N/A
The agency aligns performance plans with the agency mission
and strategic direction.
Measures Yes No N/A
The agency establishes metrics to assess whether the agency is
meeting or not meeting its workforce objectives.
Agility Yes No N/A
The agency is well-positioned to survive change (e.g., increase/
loss of partners, budget, programs, etc.)
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Purpose: The purpose of this checklist is to assist an agency with tracking workforce planning activities relevant
to workforce analysis.
Step 2: Conduct Workforce Analysis
Decision Options: Yes No N/A
The agency identifies the appropriate data for analyzing current
workforce and identifying gaps.
The agency identifies and reviews its mission-critical
occupations and competencies.
The agency scans the environment to understand how external
factors will affect its labor supply and workforce.
The agency conducts a forecasting process to project its
workforce supply and demands in the immediate future (e.g.,
1-2 years) and in the long term (e.g., 3 or more years), which
includes calculation of risks to the agency’s strategy.
The agency develops and implements a talent management
plan to close staffing and competency gaps, manage staffing
surpluses, maintain the strengths of the existing workforce, and
mitigate risks.
The agency thinks broadly about techniques it can use to
close staffing and competency gaps, such as job redesign,
organizational restructuring, cross-training, job sharing, details,
or use of technology.
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Step 4: Implement and Monitor Workforce Action Plan
Decision Options: Yes No N/A
Human and fiscal resources are in place for plan execution.
There is a communication strategy in place to market the plan
and explain how the strategic objectives will be achieved.
The agency monitors progress against milestones and assesses
for continuous improvement opportunities.
Purpose: The purpose of this checklist is to assist an agency with tracking workforce planning activities relevant
t
o drafting its workforce action plan.
Step 3: Develop Workforce Action Plan
Decision Options: Yes No N/A
The agency workforce action plan links directly to its strategic
and annual performance plans.
The agency workforce action plan identifies current and future
human capital needs, skills, and competencies needed for the
agency to pursue its vision and accomplish its mission.
The agency workforce action plan contains metrics to evaluate
success and achievement of desired results.
The agency workforce action plan addresses strategic focus,
includes strategies, and can be an annual plan.
The agency workforce action plan clearly outlines key
deliverables, timelines, responsibilities and needed resources.
The agency workforce action plan defines what success looks
like or the desired outcome after completion of the plan.
Purpose: The purpose of this checklist is to assist an agency with tracking its implementation and monitoring of
t
he workforce action plan.
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Purpose: The purpose of this checklist is to assist an agency with tracking evaluations and revisions to its
workforce action plan.
Step 5: Evaluate and Revise Workforce Action Plan
Decision Options: Yes No N/A
The agency has an evaluation system to assess the effectiveness
and efficiency of the workforce plan initiatives and makes
adjustments, as needed.
The agency provides adequate and appropriate resources to
track and evaluate workforce plan initiatives.
The agency uses the Independent Audit Program strategically to
conduct root cause analysis of why strategic objectives are or are
not being achieved. This could include interviewing new hires,
reviewing exit interview results, interviewing selecting officials
and HR Specialists working recruitment actions.
The agency adjusts the plan to make course corrections and to
address new workforce issues.
The agency assesses the effectiveness of human capital strategies
and workforce plans on addressing gaps and surpluses and uses
the assessments to adjust strategies and plans.
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OPM Workforce Model Resources
OPM Resources
Below is a list of OPM resources designed to assist human resources professionals with setting strategic direction.
Human Capital Framework (HCF) Strategic Planning and Alignment -Strategic Alignment is a process that
senior leaders should implement and monitor throughout the planning life-cycle to link key operational
systems and processes to the organization’s mission and mission objectives. By providing top-level direction
and guidance for the agency, senior leaders can communicate the organization’s goals and strategic direction to
operational leaders (e.g., supervisors and managers) and employees who then can identify and close gaps during
the strategic workforce planning process.
Human Capital Operating Plan (HCOP), an agency’s human capital implementation document, describes
how an agency will execute the human capital elements stated within the Agency Strategic Plan and Annual
Performance Plan (APP). Program specific workforce investments and strategies (e.g., hiring, closing skill gaps,
etc.) should be incorporated into the APPs as appropriate. The HCOP should clearly execute each of the four
systems of the HCF. In addition, the HCOP should align with the Government Performance and Results Act
Modernization Act (GPRAMA) of 2010, annual performance plans, and timelines.
Strategic Foresight - Strategic Foresight is about being prepared for different futures that are all possible,
plausible, and preferred. Strategic Foresight seeks to look beyond the horizon and provide organizations and
their leadership different views of the future world, ones they may not have thought of or be comfortable with,
but views that are plausible, challenging, and impactful. Simply put, “foresight is the multi-disciplinary study
of change and its implications in the context of the future. It synthesizes insights from a wide variety of fields
including economics, engineering, sociology, politics, systems theory, creativity, community building and so on.
Foresight is not about predicting THE future but rather about uncovering a range of plausible alternative futures,
and then identifying the indicators that suggest which way the future is unfolding.” For example, one set of
principles* that can apply to workforce planning that has been published consists of the following:
• Framing – identify the issue for which Strategic Foresight is needed.
• Scanning – look internally and externally to identify what is on the horizon, which may impact the
organization relative to the issues you previously framed.
• Futuring – create alternative futures…pictures of what the future may hold.
• Visioning – decide on the preferred future for the organization; what is the best for the organization.
• Designing – develop prototypes, offerings, or artifacts to achieve the vision and goals.
• Adapting – generate options to alternative futures and adapt to the changing environment.
Human Capital Framework - Talent Management exists to ensure that organizations get the right people with
t
he right skills into the right position at the right time so an agency can accomplish its mission. Locating,
recruiting, hiring, and developing the best talent is crucial, not just to support agency strategic planning, but
to contribute to a thriving, sustained Performance Culture in the Federal workforce. A system that promotes a
high-performing workforce identifies and closes skills gaps and implements and maintains programs to attract,
acquire, develop, promote, and retain quality and diverse talent.
The standards for the Talent Management System require an agency to:
• Plan for and manage current and future workforce needs;
• Design, develop, and implement proven strategies and techniques and practices to attract, hire, develop,
and retain talent; and
• Make progress toward closing any knowledge, skill, and competency gaps throughout the agency.
*See: Houston Foresight Framework
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Strategic Questions:
Agency senior leaders use a strategic view for actions and decisions. The Human Capital Framework provides
agency senior leaders with questions to give a strategic look at the workforce.
• Is my workforce performing optimally? Are we achieving goals and objectives? If not, why? Can
we attribute organizational performance to attrition and/or retirements? Does my agency have an
overarching workforce strategy?
• Are we continuously keeping abreast of current workforce talent management strategies that we can
integrate into our business processes considering fiscal restraints (e.g., crowd sourcing, hiring recent
graduates or current students through one of the Pathways Programs, or individuals with certain
disabilities using the Schedule A hiring authority, using the military hiring authority, and one of the
special hiring authorities for veterans)?
• How can I support talent mobility, the ability to move employees within an organization across
functions and roles, across lines of business?
• Are we continuously monitoring employee development and progress to address future changes?
• What do the retirement and turnover trends reveal? How can we leverage this information to build a
comprehensive process to transfer knowledge from experts to entry and mid-career professionals?
• How is employee morale overall at the agency and within my organization? Can we sustain and enhance
it through the demands of the next 24 months? How can I mitigate any negative impact?
• What are the results from my organization’s Federal Employee Viewpoint Survey (FEVS)? Are we
addressing challenges/issues identified by employees? Are we communicating actions taken to
employees?
• How can I utilize the talent I have to gain efficiencies of operation?
Program and HR professionals use an operational view for actions and decisions. The Human Capital
Framework provides HR Professionals with questions to give an operational look at the workforce.
• Is my organization keeping abreast of future trends and environmental factors? What will have a
significant impact on my organization and workforce?
• What other resources are available to me to achieve program and policy-related goals and objectives?
This includes information about hiring authorities, workforce programs and resources, such as
Employee Assistance Program (EAP) and the Department of Labor Workforce Recruitment Program
(WRP).
• Do we have current procedures and practices required for achieving program and policy- related goals
and objectives?
• Are we developing and implementing talent management strategies that will enable the organization to
address foreseeable and unforeseeable workforce challenges?
• Do I have the talent and capacity to accomplish specific program and policy-related goals and
objectives?
• Am I aware of, and do I have access to, appropriate data and information about my workforce and
occupational specialty? This includes data about workforce trends and employee perspectives.
• Do I have appropriate tools and technology required for capturing, measuring, and reporting program
and policy goals and objectives?
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• Does my organization have an up-to-date strategic workforce and recruitment plan? Are they
comprehensive in that they include strategies for recruiting hard-to-fill and mission-critical
occupations, in addition to veterans, students, people with disabilities, and those from
underrepresented groups?
Employees view actions and decisions from an employee viewpoint. The Human Capital Framework provides
employee Questions.
• What can I do to enhance my knowledge, skills, and abilities required to be a successful contributor?
• How can I assist leadership with the decision-making process and stay engaged in the mission of the
agency?
• What is my role in the success of my organization?
• What resources are available to create and foster positive working relationships with my managers,
supervisors, and coworkers?
Data Resources
To find data that may be useful in workforce planning, in addition to agency-maintained data, be sure to look at
these other OPM websites and agency examples:
• OPM Workforce Model Resources
• Federal Employment Statistics
• End to End Hiring Process
• Areas of Focus/Human Resources
• Multi-Factor Model
• Federal Employee Viewpoint Survey
• Federal Workforce Priorities Report
• Root Cause Analysis for Closing Skills Gaps
• Assessment Information
• Training Needs Assessment
• Department of Transportation Workforce Analysis Guide
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MCO Staffing Resource Chart
The Mission Critical Occupation (MCO) Resource Chart is an effective tool to determine staffing shortages,
retirement impacts, and projected attrition. This type of tool gives agencies the ability to plan for recruitment and
allocate resources. A blank MCO Resource Chart is available via OMB Max.
Multi-Factor Model
Figure 2 - The Multi-Factor Model is used to identify agency-specific and Government-wide high risk mission
critical occupations.
The updated multi-factor model is comprised of six distinct factors, each having multiple dimensions that
include government-wide comparable data, as well as occupation-specific data. The model is not intended to
validate or determine agency specific MCOs. The model analyzes existing MCOs to identify those that have a
greater risk for incurring skills gaps.
The multi-factor model is a standardized, data-driven approach that provides a consistent agency-level
assessment for government-level synthesis.
The multi-factor model provides insight into root-cause analysis, identifies where to focus attention, validates
why to focus on a specific area using pertinent benchmarks, provides intermediate outcome measures for
monitoring progress, is data driven, consistent, objective and provides a repeatable and standard method to be
used by all agencies. A copy of the multi-factor model is available on OPM’s website.
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Multi-Factor Model Elements
Factor 1 – Two-Year Retention Rate: Retention rates can be calculated many ways. For our model, we are using
analysis that is retrospective (as opposed to a prospective analysis). For each fiscal year that we are analyzing, the
cohort is setup two years prior to the measurement date. An FY20 cohort (accessions/transfers-in) is, in fact, for
those who were hired any time in FY18 and the reporting period, which is FY20, uses separation information
from FY18 and FY19. When calculating FY20 two-year retention, we would identify all full-time permanent,
non-seasonal, non-student new hires/transfers-in during FY18. This total, call it Yi, would be the denominator
of the two-year retention rate for each agency. Using this population (Yi) for each agency, we would identify
the number that were still at the agency or sub-agency, in the same occupation, more than 730 days after the
hire/transfer date. These would be the retained population, call it Xi, and would be the two-year retention rate
numerator. The agency-level two-year retention rate = Xi / Yi. For our analysis, we consider NOAC=721 as a
separation action if it results in an employee changing an occupation and/or sub-agency.
Factor 2 – Separation Rate: Separation rates are calculated by comparing the year-end on-board Non-Seasonal
Full-Time Permanent (NSFTP) number of employees with the number of all separation during the same time
period. Separation is defined as a personnel action resulting in the loss of an employee from an agency’s staff.
Separations include transfer outs, quits, retirements, Reduction-in-Force (RIF), termination or removal for either
discipline or performance, death and other separations not classified in one of the categories above. Separation
excludes furloughs, suspensions, leave without pay, and placement in non-pay status for seasonal employees. On
board numbers for agencies exclude Foreign Nationals Overseas, Public Health Service’s Commissioned Officer
Corps and non-appropriated fund employees.
Factor 3 – Retirement Eligibility: Retirement eligibility rates are calculated by comparing the year-end
employment number with the number of all employees who are eligible to retire in one year during the same
time period. Retirement projections include only active Non-Seasonal Full-Time Permanent (NSFTP) employees
in the Executive Branch. Retirement eligibility data includes only employees who are eligible to retire with a full
annuity and excludes employees that are not in a Federal retirement system. On board numbers for agencies
exclude Foreign Nationals Overseas, Public Health Service’s Commissioned Officer Corps and non-appropriated
fund employees. The projection numbers include employees who may retire due to disability, take an early
retirement, or who retire with a reduced annuity, not only those who can retire with a full annuity.
Factor 4 – Time-to-Hire: Time-to-hire is measured, using the End-to-End Hiring Roadmap’s 80-Day Hiring
Model, which begins with the Hiring Need Validated Date, the date the need is validated by the hiring manager
and generally when a request is submitted to human resources to the time of Entrance on Duty (EOD). These
numbers are entered by the agencies in the Time-to-Hire chart that agencies submit to OPM annually.
Factor 5 – MCO Staffing Gaps: The staffing gaps are calculated using the data that agencies enter as their Actual
Number of Employees on Board on September 30, 2020, minus the Target for Number of Employees to Reach
by End of FY20 (Sept 30, 2020). These numbers are entered by the agencies in the Mission Critical Occupation
(MCO) Resource Chart that agencies submit to OPM annually.
Factor 6 – FEVS Engagement Index: The OPM FEVS Employee Engagement Index (EEI) developed in 2010,
uses questions from the survey to measure conditions that can lead to engagement. To assess the multiple aspects
of engaging workplace environments, the EEI is comprised of three sub-indices: Leaders Lead, Supervisors, and
Intrinsic Work Experience. Each subindex reflects a different aspect of an engaging work environment, and each
is assessed through questions on the OPM FEVS.
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Multi-Factor Model Thresholds
Figure 3 - The multi-factor model uses a five-tiered scale to determine the severity of risk likelihood for each
factor. Each factor has a different scale used to assess risk likelihood, which is determined based on the input
of the data from each of the data sources. The risk determinations for each element will be inputted into a
calculation worksheet under the “Occupation Risk Result” and “Rating Level – Points” columns. Once all the
factors have been inputted, an overall risk score will be automatically calculated in the worksheet. The model is
weighted where each element represents 9% of the overall score. The only exception is the staffing gaps factor,
which represents 10% of the overall score. The higher the overall score, the greater the likelihood of risk. Below
is a sample of a completed model with random points assigned.
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Closing Staffing Gap Tool Example
DHS Workforce Planning Guide
Appendix J - Capability Gap Analysis Form
Capability Gap Analysis Form
Part: A Capability Gap Analysis Table
Introductory Information
Component:
POC:
Occupation or Workforce Segment:
Planning Period
Current = Start of planning period (e.g., start of FY 2013):
Future = End of planning period (e.g., end of FY 2013, end of FY 2015, etc.)
Competency Denition
Current
Attained
Proficiency
Level (A)
Current
Desired
Proficiency
Level (B)
Future
Desired
Proficiency
Level (C)
Current
Gap
(A-B)
Future
Gap
(A-C)
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Closing Staffing Gap Tool Example (continued)
Part B: Capability Gap Analysis Prioritization Table
Using the table on the previous page, place the competencies with gaps in priority order
Current Competency Gap
Competency Priority Order Comments
Projected Future Competency Gap
Competency Priority Order Comments
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Action Plan Template
Workforce Planning Action Plan Template
Workforce Planning Initiative: Date / Period of Time Covered:
Describe the driver for workforce planning. (Mandate, major change in the workforce agency, employee
need / desire, automation, etc.) What is the problem being addressed?
Describe the objectives and goals.
Describe the barriers to workforce planning and the cause of them.
Describe what is causing the barrier/problem (i.e., what is the root cause?).
Define success or the desired outcome upon completion of the workforce plan.
Primary Action Planning Team
Lead:
Members:
Action Steps
Actions to
be Taken
Key
Deliverables/Output
Start Date /
End Date
Responsible
Party
(Parties)
Budget, Resources, and
Approvals Needed
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Action Plan Evaluation Resources
HRStat is a strategic human capital performance evaluation process that identifies, measures, and analyzes
human capital data to inform the impact of an agency’s human capital management on organizational results
with the intent to improve human capital outcomes. HRStat, which is a quarterly review process, is a component
of an agency’s strategic planning and alignment and evaluation systems that are part of the Human Capital
Framework.
Independent Audit Program is a component of an agency’s evaluation system designed to review all human
capital management systems and select human resources transactions to foster efficiency, effectiveness, and legal
and regulatory compliance. (5 C.F.R. 250.202).
Human Capital Reviews (HCR) are OPM’s annual, evidence-based reviews of an agency’s design and
implementation of its HCOP, independent audit, and HRStat programs to support mission accomplishment and
human capital outcomes.
The Human Capital Framework (HCF) Diagnostic Tool
agency’s relative strengths and weaknesses in strategic hum
is an assessment designed to help you determine your
an capital management. The tool is organized around
HCF focus areas. Focus areas are key elements to consider when designing and implementing the four HCF
systems (Strategic Planning Alignment, Performance Culture, Management, and Evaluation).
HCF Diagnostic Tool
The Human Capital Framework (HCF) Diagnostic Tool is an assessment designed to help you determine
your agency’s relative strengths and weaknesses in strategic human capital management. The tool is organized
around HCF focus areas. Focus areas are key elements to consider when designing and implementing the four
HCF systems (Strategic Planning and Alignment, Performance Culture, Talent Management, and Evaluation).
Each focus area has a set of questions that represent key aspects of effective human capital management for the
particular focus area. Refer to page 3 of The Workforce Planning Guide for more information on the Human
Capital Framework Systems.
Workforce Planning: The agency leadership identifies the human capital required to meet organizational goals,
conducts analyses to identify competency and skills gaps, develops strategies to address human capital needs and
close competency and skills gaps, and determines whether the organization is structured effectively.
• The agency has a workforce plan that links directly to its strategic and annual performance plans. The
workforce plan identifies current and future human capital needs, and identifies skills and competencies
needed for the agency to pursue its vision and achieve its mission.
• The agency’s Human Capital Operating Plan (HCOP) addresses agency-specific skill and competency
gaps that must be closed to achieve its goals.
• The agency identifies and regularly reviews its mission-critical occupations and competencies.
• The agency regularly scans the environment to understand how external factors will affect its labor
supply and workforce.
• The agency regularly conducts a forecasting process to project its workforce supply and demands in the
immediate future (e.g., 1-2 years) and in the long term (e.g., 3 or more years), which includes calculation
of risks to the agency’s strategy.
• The agency develops and implements a talent management plan to close staffing and competency gaps,
manage staffing surpluses, maintain the strengths of the existing workforce, and mitigate risks.
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• The agency thinks broadly about techniques it can use to close staffing and competency gaps, such as
job redesign, organizational restructuring, cross-training, job sharing, details, or use of technology.
• The agency regularly assesses the effectiveness of human capital strategies and workforce plans on
addressing gaps and surpluses and uses the assessments to adjust strategies and plans via quarterly
HRStat reviews, etc.
Additional Tools and Examples
Tools
• Foresight Maturity Model
A set of best practices that will ensure your organization develops a robust, useful, and comprehensive approach
to take charge of your future.
• GAO IT Workforce Planning Steps and Activities
To evaluate agencies’ IT workforce planning efforts, GAO identified eight key workforce planning steps and
activities based on relevant laws and guidance.
• Human Capital Framework Glossary
• Scenario-based Workforce Planning
• WFP questions from HCF diagnostic tool
Instructions to get to the questions:
• Click on “Assessment” in the top right corner
• Under “Talent Management”, click on “Workforce Planning”
• Circular A-11
Preparation, Submission, and Execution of the Budget
Agency Examples
• Department of Defense Strategic Workforce Plan Report 2014-2019
• Department of Transportation Workforce Planning Guide
• Department of Transportation Workforce Analysis Handbook
• NIH Workforce Planning
• NIH Workforce Planning Toolkit Action Planning Guide
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OPM Accelerated Tools
Executive Playbook for Workforce Reshaping (PDF file)
• Supports senior leaders with informed, strategic decision making based on data.
Re-skilling Toolkit (PDF file)
• Assists HR professionals, managers, and employees as they design re-skilling and up-skilling
opportunities based on employee strengths and mission needs.
Guidance for Change Management in the Federal Workforce (PDF file)
• Provides practical advice for leaders and managers as they plan for changes that align agency culture,
values, people, and behaviors to encourage the desired results.
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Appendix B - Mission Critical Occupation
Mission Critical Occupation (MCO) Identification Guide
Key Steps for Identifying Agency-Specific MCOs
Mission Critical Occupations (MCO) Identification Guide
Definition of MCO
Five Key Steps in the Critical Occupation Identification Process:
• Step 1: Review current and future strategy
• Step 2: Identify the positions and/or occupations
• Step 3: Assess the impact of understaffed positions and/or occupations
• Step 4: Generate criteria
• Step 5: Evaluate positions and/or occupations against criteria
■ Sample questions to evaluate criteria
■ Impact and Criticality Sample Visualization
Additional Resources
A Mission Critical Occupation (MCO) is an occupation an agency considers core to carrying out its mission.
Such an occupation usually reflects the primary mission of the organization without which mission-critical work
cannot be completed.
A vacant or understaffed MCO will impair or have a critically negative effect on an agency’s mission delivery
capabilities.
Strategic Human Capital Management (SHCM) focuses on the alignment of human capital activities with an
agency’s mission and strategic goals, optimizing the agency’s ability to leverage its workforce to achieve results.
An essential tool in agency strategic workforce planning is the identification and management of MCOs.
Identifying the occupations critical to the mission of the agency helps ensure that the agency has the resources
and talent it needs in order to function successfully in the dynamic environment of the 21st century.
Reasons for Identifying Mission Critical Occupations:
• Monitor and address skill gaps within Governmentwide and agency-specific MCOs
• Prioritize the scope of the workforce (e.g., strategic, core, supporting)
• Determine the workforce balance (i.e., federal, contractor, non-FTE)
• Justify hiring needs
• Prioritize areas for succession planning
• Identify emerging or critical skill gaps
• Request for learning and development in critical areas
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See Appendix C: Regulatory Requirements
• 5 CFR § 250.203 – Strategic human capital management systems and standards
• 5 CFR § 250.204 – Agency roles and responsibilities
• 5 CFR § 410.201 – Responsibilities of the head of an agency
Five Key Steps for Identifying Agency-Specific MCOs
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Step 1: Review Current and Future Strategies
Consider these questions:
• What are the key workforce implications of the drivers of change? For example:
■ Are there changes in the work, services, or products?
■ Are the skills changing?
■ Are there new ways of engaging with the customers?
• What specific occupations or positions may be affected?
• What changes do you foresee in the skill sets or competencies required to perform the mission and
strategies of the agency? For example:
■ Automation
■ Cybersecurity
■ Data science
• What internal and external drivers exist that may affect your mission, strategic goals/objectives,
strategies or structure over the next two or five years and beyond?
■ See the next steps for a systematic analysis of internal and external drivers of change.
Identify the Drivers of Change
Internal drivers refer to conditions, factors, events, people, systems, and structures within the organization.
For example:
• Agency Strategic Plan and Annual Performance Plan
• Budget and Finance
• Acquisition plans
• Change in leadership
• Organizational culture (e.g., retention programs, career development programs)
• Employee behaviors and attitudes (e.g., employee engagement, attrition patterns)
External drivers refer to factors outside of the organization.
Scan the Environment
Conduct an environmental scan to help you:
• Systematically explore the environment.
• Better understand the nature and pace of change in that environment.
• Identify potential opportunities, challenges, and likely developments relevant to an organization now
and in the future.
• Get a more comprehensive picture of how the workforce will be affected.
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Tip: Use the Workforce Shaping Logic Model for a thorough analysis and understanding of the drivers of
change that may affect the mission. It provides a high-level overview and starting point for exploring planning
and reshaping efforts. It is also a visual diagram that illustrates how your program will work and can be used in
program planning, implementation, evaluation, or communication.
The Workforce Shaping Logic Model
Figure 4 - The Workforce Shaping Logic Model provides a high level overview and starting point for exploring
reshaping efforts. Planners should examine and manage their effects across the various changes to translate
workforce attributes into agency goal achievement. Workforce Management and Change Management are
needed to maintain employee effectiveness while limiting any negative outcomes, when responding to drivers of
change. The drivers of change which effect Workforce Management are:
• Budget Changes
• Evolving Labor Force Dynamics
• Personnel Management Directives
The drivers of change which effect Change Management are:
• Evolving Customer Needs
• Trends Affecting Product or Service Perceptions
• New, Modified or Unmet Goals
The drivers of change which effect both Workforce Management and Change Management are:
• Advances in How Work is Accomplished
• Mandated Organizational Changes
• Trends Affecting Product or Service Delivery
Workforce Reshaping Logic Model links people and skills (as the input in the logic model) and assignments
an
d motivation as connectors to work (or the activity in the logic model). Accountability and collaboration
with stakeholders and executive players both are needed to help workforce reshaping efforts reach desired
products and services as the output for the logic model. Continuity and representation with the products
and services will help the workforce reshaping efforts to reach the needed outcomes in the targeted goals and
objectives. Workforce Management maximizes employee effectiveness and Change Management minimizes
negative outcomes.
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Leverage Strategic Foresight for a detailed and systematic analysis of driving forces and trends of change.
Consider factors, conditions, as well as risks that can potentially impact the organization and the workforce.
Us
e techniques such as:
• Root Cause Analysis
• Scenario Planning
• S.W.O.T. (Strengths, Weaknesses, Opportunities, and Threats) analysis
• PESTEL Framework Analysis (see template/table below)
PESTEL Framework Examples of Conditions and Factors
Positions, Occupations,
Skills, and Competencies
Impacted or Needed
Political
Elections, administration changes, presidential
priorities, policies
Fill out the third
column to help identify
the workforce and
mission implications,
occupations impacted,
skills and competencies
needed to meet mission
requirements.
Economic
Global and local economy, employment rates,
consumer behavior
Socio-Cultural
Demographic influences, lifestyle, cultural trends,
graduation trends
Technological
Automation, robotics, artificial intelligence, digital
technology, social media, cybersecurity
Environmental
Climate change, environmental regulations and
restrictions, natural calamities
Legal
Employment laws and regulations, consumer
protection laws, tax policies, health and safety
regulations
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Review Human Capital Strategies
In order to ensure alignment between the identification process of mission critical occupations with the agency
strategic goals and objectives, review the agency’s strategic documents’ short-term and long-term goals to
identify the impact drivers and underlying organizational and workforce requirements needed to drive success.
Review what’s in the Agency’s Human Capital Operating Plan (HCOP).
The Human Capital Operating Plan is an agency’s human capital implementation document, which describes
how an agency will execute the human capital elements stated within Agency Strategic Plan and Annual
Performance Plan (APP). Program specific workforce investments and strategies (e.g., hiring, closing skill gaps,
etc.) should be incorporated into the APPs as appropriate. The HCOP should clearly execute each of the four
systems of the Human Capital Framework (HCF). In addition, the HCOP should align with the Government
Performance and Results Act (GPRA) Modernization Act of 2010, annual performance plans and timelines.
According to 5 CFR § 250.205, the HCOP must:
• Be established by the CHCO, in collaboration with the agency’s senior management team;
• Be used to support the execution of an agency’s strategic plan, as an agency’s human capital can affect
whether or not a strategy or strategic goal is achieved;
• Explicitly describe the agency-specific skill and competency gaps that must be closed through the use of
agency selected human capital strategies;
• Include annual human capital performance goals and measures that will support the evaluation of the
agency’s human capital strategies, through HRStat quarterly reviews and that are aligned to support
mission accomplishments;
,
• Reflect the systems and standards defined in § 250.203, consistent with their agency strategic plan and
annual performance plan, to address strategic human capital priorities and goals; and
• Address the Governmentwide priorities identified in the Federal Workforce Strategic Priorities Report.
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Step 2: Identify the Positions and/or Occupations
Reviewing the strategic plan, the drivers of change, and the environmental scan should help inform the next step
of identifying the positions and/or occupations needed to execute the strategies and accomplish the mission. Use
the Segmented Prioritization Approach below as a guide to help identify, categorize, and prioritize the positions
and occupations.
Segment Denition Guided Inquiry Questions
Strategic
Occupations that set direction
or have direct impact on the
performance or delivery of mission
specific functions or services.
• What capabilities are necessary to support strategic
and core agency-specific functions?
• Are the capabilities directly related to meeting
the operational requirements of agency-specific
performance objectives?
• What capabilities may be impacted by shifts in
agency-specific strategic performance objectives?
Core
Occupations that execute agency
mission functions or services to
ensure operational performance.
• What capabilities have the greatest impact on the
successful performance or delivery of priority
agency specific functions or services?
• What are the critical capabilities needed to achieve
future (over the next 3-5 years) agency-specific
performance objectives?
• What are the potential barriers to obtaining the
capabilities needed to meet future agency-specific
performance objectives?
Supporting
Occupations that are necessary
to maintaining internal processes
underlying strategic and core
agency-specific functions.
• Are the capabilities directly related to ongoing
agency-specific performance objectives?
• Are the capabilities broad in knowledge, skills
and abilities needed to maintain current agency-
specific performance objectives?
• What capabilities are required to maintain and
execute agency-specific operations?
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Step 3: Assess the Impact of Understaffed Positions and/or Occupations
Once occupations or positions are identified, the third step is to assess the impact to the organization if those
positions within the organization are left vacant, understaffed, or underskilled. This step acknowledges that
while all positions are important, some may be more critical to accomplishing the agency’s mission and strategies
at any given time.
To help quantify and assess the impact if the position is left vacant, understaffed, or underskilled, use the impact
assessment template provided below.
• Complete the table provided below for each critical occupation identified.
• Rate each of the statements on a scale of 1 to 10, with 1 as having a minimal impact and 10 as having a
serious impact.
• Average the ratings for each statement. This number will serve as the impact score.
• Use the impact score to determine and prioritize the agency MCOs. The higher the score, the more
serious the impact is to the organization and the mission if understaffed.
e Impact of Understang
Position: Impact
Assessment Scenario
Low Medium High
1 2 3 4 5 6 7 8 9 10
If this position and/or occupation were understaffed,
it would cause serious difficulties in delivering
agency mission commitments and priorities.
Rate each statement on a scale of 1 - 10
If this position and/or occupation were understaffed,
it would cause serious difficulties in achieving
operational and agency strategic goals.
Rate each statement on a scale of 1 - 10
If this position and/or occupation were understaffed,
it would cause serious difficulties in meeting
legislative or regulatory requirements.
Rate each statement on a scale of 1 - 10
If this position and/or occupation were understaffed,
it would be detrimental to the health, safety, or
security of the public and stakeholders the agency
serves.
Rate each statement on a scale of 1 - 10
Vacancy Impact Score:
Average:
Calculate the average of the scores above
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Step 4: Generate Criteria
In addition to assessing the impact, consider assessing the occupation’s criticality. In this step, the agency
identifies a set of criteria that must be met to illustrate the occupation or position is indeed mission-critical.
Check with agency subject matter experts such as hiring managers, workforce planners, and HR professionals to
help determine the criteria.
In this step, generate a list of criteria for each position that makes it critical to the mission of the agency.
Consider identifying criteria based on a variety of factors that are specific to the mission, the strategic goals, and
the workforce.
Tip: Cross-reference human capital metrics such as these below to help
det
ermine and validate the criticality of the position:
• Time-to-Hire
• FedScope:
■ Retirement Eligibility
■ Attrition Rates
■ Geographical Location
• Federal Employee Viewpoint Survey
• Manager/Applicant Survey
• Competency Assessments (CEDAR)
• Interview of Subject Matter Experts
Here are some examples of criteria for agencies to consider:
• Meeting Strategic Priorities: Upon review of the strategic plan, the occupation and/or position is
critical to accomplishing one or more of the agency’s strategic priorities.
• Specialized Knowledge and Expertise: Incumbent has specialized knowledge and/or experience
that is only acquired over time or through specialized education and training.
• Hard to fill: Position or occupation for which the organization has difficulty finding qualified
candidates despite recruitment efforts and may cause the organization to not meet its strategic
goals and mission.
• Attrition/Retirement: The position has a history of relatively high attrition rates and retirement
projections.
• Geography: The position is a rarity in a particular location and it would be difficult for a similar
position in another location to carry out its functions.
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Step 5: Evaluate the Positions and/or Occupations
Once the criteria are generated, the next step is to evaluate how critical each position and/or occupation is
against the criteria. Using the criteria as a reference point, evaluate each position and/or occupation to determine
whether its profile contains the talent requirements necessary. On a scale of 1-10, with 1 as low in criticality
and 10 as high, determine the level of criticality of each of the criteria that you generated in Step 4. A sample
Criticality Assessment Table is provided on the next page.
Example: The Case for Cybersecurity Positions
For example: Agency X recently conducted a review of their agency strategic plan as well as an environmental
scan. Based on their review, the agency anticipates an increase in their reliance on digital and AI platforms and
has identified cybersecurity position as critical. Agency X has determined that leaving cybersecurity positions
understaffed can cause the organization to miss one or more of the following associated set of requirements:
• Decreased cyber incidents
• Improved responsiveness to cyber incidents
• Increased organization’s digital/cyber/tech capacity
In this example, positions that involve cybersecurity work would be evaluated to determine whether its profile
has the talent capabilities to achieve the mission objectives.
Once identified as critical, these positions should be continuously monitored and evaluated using data whether
the positions’ criticality, as well as the workforce planning strategy, continue to be timely, relevant, or requires
updating due to the changing mission and workforce characteristics.
Sample Questions to Evaluate Criticality of Position
1. Meeting Strategic Priorities:
• What are the duties that need to be fulfilled in order to meet the agency mission and strategic goals?
• Will the staffing levels be sufficient to accomplish the mission now and in the next five years?
• Sample data to query: job posting data, competency assessment data, interview subject matter experts
2. Specialized Knowledge and Expertise:
• Does the organization have the capacity to provide the required training or development to grow the
specialized knowledge?
• Is there limited bench strength of individuals that can perform the function(s) that have this expertise?
• Sample data to query: competency assessment data, training data
3. Hard to fill:
• Has it historically been difficult to attract qualified applicants?
• Sample data to query: Agency HR database, job posting data, Manager /Applicant Survey, Bureau of
Labor Statistics (BLS)
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4. Attrition/Retirement Rates:
• Will there be a significant number of employees eligible to retire within the next five years?
• Does the position have a relatively high attrition rate?
• Sample data to query: Agency HR database, retirement projections
5. Geography:
• Are the skill sets difficult to find in a particular location?
• Would it be difficult for a similar position in another location to carry out its functions? Can the work
be performed remotely?
• Sample data to query: FedScope, job posting data, agency HR database, BLS
Position:
Criticality Score
Sample Criteria
Low Medium High
1 2 3 4 5 6 7 8 9 10
Meeting Strategic Priorities Rate each criterion on a scale of 1 - 10
Specialized knowledge and expertise Rate each criterion on a scale of 1 - 10
Hard to fill Rate each criterion on a scale of 1 - 10
Retirement within 5 years Rate each criterion on a scale of 1 - 10
Geography Rate each criterion on a scale of 1 - 10
Other criteria relevant to the agency Rate each criterion on a scale of 1 - 10
Criticality Score Average the scores above
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Impact and Criticality Sample Visualization
Figure 5 - This image is a quadrant that represents the level of impact on the x-axis with scores going from 1 to
10, 1 as low and 10 as high. On the y-axis is the level of criticality scored from 1 to 10, with one as low and 10 as
high. The bubbles represent the datapoints for the occupation. When the quantified datasets from the criticality
score and the impact score become available, consider plotting the scores on an x-y axis coordinate plane.
Doing so will help you visualize the data as you explore and confirm how critical the identified positions
and/or occupations are.
In this example, the occupations 110, 201, and cyber are illustrated. The datapoints plotted in the quadrant are
not actual data but are for illustration purposes only.
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Additional Resources
Consider the following sources of data when identifying the critical occupations:
OPM Data Sources
• Federal Workforce Priorities Report
• Federal Employee Viewpoint Survey
• FedScope
■ Demographics
■ Attrition
■ Geography
■ Retirement Eligibility
• USAJOBS data
• Competency Analysis (CEDAR)
• Time-to-Hire
• MCO Resource Charts
• Manager/ Applicant Satisfaction Survey
Agency Data Sources
• Agency Strategic Plan
• Workload Ratio Analysis
• Prioritization Matrix
• Training Data
• SWOT Analysis
• Risk Analysis
• Job Analysis Report
• Subject Matter Expert Interviews
• Individual Development Plans
• Internal Agency Audits
• Exit Survey/ Stay Survey (interviews)
External Data Sources
• GAO Reports
• Data.gov
• Labor Market Analysis
■ O*Net (Department of Labor)
■ Bureau of Labor Statistics
■ National Science Foundation
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Consider the following resources to help further guide you in having a robust and mission-ready workforce.
• Strategic Human Capital Collaboration Max Site
• Human Capital Framework Diagnostic Tool
• Human Capital Operating Plan (HCOP)
• Multi-factor Model
• HRStat
• Acceleration Tools
• GAO Center for Strategic Foresight
Appendix C - Code of Federal Regulations
5 CFR § 250 -- Strategic Human Capital Management and 5 CFR § 410.201 Responsibilities
of the Head of an agency
5 CFR § 250 -- Strategic Human Capital Management
§ 250.203 Strategic Human Capital Management Systems and Standards.
Strategic human capital management systems, standards, and focus areas are defined within the Human Capital
Framework (HCF). The four systems described below provide definitions and standards for human capital
planning, implementation, and evaluation. The HCF systems and standards are:
(a) Strategic planning and alignment. A system that ensures agency human capital programs are aligned with
agency mission, goals, and objectives through analysis, planning, investment, and measurement. The standards
for the strategic planning and alignment system require an agency to ensure their human capital management
strategies, plans, and practices—
(1) Integrate strategic plans, annual performance plans and goals, and other relevant budget, nance, and
acquisition plans;
(2) Contain measurable and observable performance targets; and
(3) Communicate in an open and transparent manner to facilitate cross-agency collaboration to achieve mis-
sion objectives.
(b) Talent management. A system that promotes a high-performing workforce, identifies and closes skill gaps,
and implements and maintains programs to attract, acquire, develop, promote, and retain quality and diverse
talent. The standards for the talent management system require an agency to—
(1) Plan for and manage current and future workforce needs;
(2) Design, develop, and implement proven strategies and techniques and practices to attract, hire, develop,
and retain talent; and
(3) Make progress toward closing any knowledge, skill, and competency gaps throughout the agency.
(c) Performance culture. A system that engages, develops, and inspires a diverse, high-performing workforce by
creating, implementing, and maintaining effective performance management strategies, practices, and activities
that support mission objectives. The standards for the performance culture system require an agency to have—
(1) Strategies and processes to foster a culture of engagement and collaboration.
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(2) A diverse, results-oriented, high performing workforce; and
(3) A performance management system that dierentiates levels of performance of sta, provides regular
feedback, and links individual performance to organizational goals.
(d) Evaluation. A system that contributes to agency performance by monitoring and evaluating outcomes of its
human capital management strategies, policies, programs, and activities by meeting the following standards—
(1) Ensuring compliance with merit system principles; and
(2) Identifying, implementing, and monitoring process improvements.
§ 250.204 Agency roles and responsibilities
(a) An agency must use the systems and standards established in this part, and any metrics that OPM
subsequently provides in guidance, to plan, implement, evaluate and improve human capital policies and
programs. These policies and programs must -
(1) Align with Executive branch policies and priorities, as well as with individual agency missions, goals, and
strategic objectives. Agencies must align their human capital management strategies to support the
Federal Workforce Priorities Report, agency strategic plan, agency performance plan, and agency budget;
(2) Be based on comprehensive workforce planning and analysis;
(3) Monitor and address skill gaps within governmentwide and agency-specic mission-critical occupations
by using comprehensive data analytic methods and gap closure strategies;
(4) Recruit, hire, develop, and retain an eective workforce, especially in the agency’s mission-critical
occupations;
(5) Ensure leadership continuity by implementing and evaluating recruitment, development, and succession
plans for leadership positions;
(6) Implement a knowledge management process to ensure continuity in knowledge sharing among
employees at all levels within the organization;
(7) Sustain an agency culture that engages employees by dening, valuing, eliciting, and rewarding high
performance; and
(8) Hold the agency head, executives, managers, human capital ocers, and human capital sta accountable
for ecient and eective strategic human capital management, in accordance with merit system
principles.
(b) Each agency must meet the statutory requirements of the Government Performance and Results Act (GPRA)
Modernization Act of 2010, by including within the Annual Performance Plan (APP) human capital practices
that are aligned to the agency strategic plan. The human capital portion of the APP must include performance
goals and indicators.
(c) An agency’s Deputy Secretary, equivalent, or designee is responsible for ensuring that the agency’s strategic
plan includes a description of the operational processes, skills and technology, and human capital information
required to achieve the agency’s goals and objectives. Specifically, the Deputy Secretary, equivalent, or designee
will—
(1) Allocate resources;
(2) Ensure the agency incorporates applicable priorities identied within the Federal Workforce Strategic
Priorities Report and is working to close governmentwide and agency-specic skill gaps; and
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(3) Remain informed about the progress of their agency’s quarterly HRStat reviews, which are led by the
CHCO, in collaboration with the PIO.
(d) The Chief Human Capital Officer must design, implement and monitor agency human capital policies and
programs that—
(1) Ensure human capital activities support merit system principles;
(2) Use the OPM designated method to identify governmentwide and agency-specic skill gaps;
(3) Demonstrate how the agency is using the principles within the HCF to address strategic human capital
priorities and goals;
(4) Establish and maintain an Evaluation System to evaluate human capital outcomes that is—
(i) Formal and documented; and (ii) Approved by OPM;
(5) Maintain an independent audit program, subject to full OPM participation and evaluation, to review
periodically all human capital management systems and the agency’s human resources transactions to
ensure legal and regulatory compliance. An agency must—
(i) Take corrective action to eliminate deficiencies identified by OPM, or through the
independent audit, and to improve its human capital management programs and its human
resources processes and practices; and
(ii) Based on OPM or independent audit findings, issue a report to its leadership and OPM
containing the analysis, results, and corrective actions taken; and
(6) Improve strategic human capital management by adjusting strategies and practices, as appropriate, aer
assessing the results of performance goals, indicators, and business analytics.
(7) e agency’s human capital policies and programs must support the implementation and monitoring of
the Federal Workforce Priorities Report, which is published by OPM every four years, and—
(i) Improve strategic human capital management by using performance goals, indicators, and
business analytics to assess results of the human capital management strategies planned and
implemented;
(ii) Ensure human capital activities support merit system principles;
(iii) Adjust human capital management strategies and practices in response to outcomes
identified during HRStat quarterly data-driven reviews of human capital performance to improve
organizational processes; and
(iv) Use the governmentwide and agency-specific human capital strategies to inform resource
requests (e.g., staff full-time equivalents, training, analytical software, etc.) into the agency’s
annual budget process.
§ 410.201 Responsibilities of the head of an agency
Agency employee development plans and programs should be designed to build or support an agency workforce
capable of achieving agency mission and performance goals and facilitating continuous improvement of
employee and organizational performance. In developing strategies to train employees, heads of agencies or their
designee(s), under section 4103 of title 5, United States Code, and Executive Order 11348, are required to:
(a) Establish, budget for, operate, maintain, and evaluate plans and programs for training agency employees by,
in, and through Government or non-Government facilities, as appropriate;
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(b) Establish policies governing employee training, including a statement of the alignment of employee training
and development with agency strategic plans, the assignment of responsibility to ensure the training goals are
achieved, and the delegation of training approval authority to the lowest appropriate level;
(c) Establish priorities for training employees and allocate resources according to those priorities; and
(d) D
evelop and maintain plans and programs that:
(1) Identify mission-critical occupations and competencies;
(2) Identify workforce competency gaps;
(3) Include strategies for closing competency gaps; and
(4) Assess periodically, but not less oen than annually, the overall agency talent management program to
identify training needs within the agency as required by section 303 of Executive Order 11348.
Acknowledgment
This information is a compilation of the Office of Personnel Management’s (OPM) guidance and tools, in
collaboration with agency partners, such as the Department of Defense, Department of Education, Department
of Homeland Security, Department of Interior, Department of Transportation, Department of Treasury,
Department of Veterans Affairs, National Institute of Health, National Science Foundation, and the Securities
and Exchange Commission.
U.S. Office of Personnel Management
Employee Services
1900 E Street, NW, Washington, DC 20415
OPM.GOV
ES-03483-9/2022
U.S. Office of Personnel Management
Employee Services
1900 E Street, NW, Washington, DC 20415
OPM.GOV
ES-03483-11/2022
