Berkeley Labs Human Resources Strategic Business Plan

FY 2013 2016

Originally created in FY 2007 / Updated for FY 2013 Version 3

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The purpose of this document is to provide an overview of the human resources strategic plan for 2013 2016

Berkeley Lab: Strategic Objectives

Operations: Mission and Objectives

Mission:
To anticipate and safely deliver exceptional operational services in support of the scientific mission of Berkeley Lab.

Objectives:
Increase effectiveness and efficiency Optimize space Build strong relationships with community and stakeholders Deepen the safety culture Become partner of choice

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Berkeley Lab Human Resources Strategic Business Plan FY 2013 2016

Over the past 70 plus years, Berkeley Lab has had a traditional Human Resources department focused on ensuring that the Labs human resources functions and operations are accomplished in a timely, compliant, and thorough manner. During the last five years the Human Resources (HR) department has refined and clarified its mission and strategies. Toward that end, the HR leadership team, working with Lab senior management, created the first strategic plan in 2007. The plan focused on the recruitment, retention, and development of Berkeley Labs human capital. The HR departments vision, mission, and structure were aligned with the strategic plan and towards the goal of supporting the strategic direction and operations of our client or partner divisions. Our work is focused on: Supporting Berkeley Lab and client-divisions in achieving their missions Increasing internal client satisfaction Ensuring institutional compliance with relevant laws, regulations, and contracts

Berkeley Lab Human Resources Vision

We are the HR partner of choice and deliver exceptional services to support the Laboratorys scientific and operational mission. In support of this vision, we continue to refine our goals, strategies, and plans some at the institutional level and others at the HR department level. At the institutional level we are focused on five goals:

Berkeley Lab
1. As an Employee Centric Organization 2. Renowned for Leadership Talent 3. Focus on Diversity and Inclusion 4. Organizationally and Culturally Effective in Achieving Lab and Division Goals 5. Supported by an Efficient HR Operational Infrastructure These goals are reinforced by seven service lines or missions.

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Our mission is to foster the recruitment, retention, and development of exceptional and diverse scientific, engineering, and operational talent through customer focused and efficient HR support.

Lab-Wide Human Capital Missions:

1. Recruitment, Diversity and Inclusion 2. Talent Assessment and Development 3. Rewards and Recognition 4. Employee and Manager Consultation and Support

HR Supporting Infrastructure Missions:

5. Process Reengineering and Technology Support 6. HR Transaction Processing and Compliance 7. Department Structure and Staff Development This document outlines each of these strategies with plans for FY13 and FY1416, metrics, risks, and assurance mechanisms for each.

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Lab-Wide Human Capital Missions

Recruitment, Diversity and Inclusion Mission
Berkeley Lab is only as good as its talent. Therefore, planning for an exceptional workforce must be accomplished with as much systematic rigor and thought as other critical Lab operational functions, such as budget planning and space planning. Fundamental of all HR processes is recruitment. Recruitment must be both highly efficient and accessible as well as a user friendly process for hiring managers and applicants. Most important, recruitment must be a process that results in the hiring of exceptional talent. A diverse workforce is an invaluable asset to conducting great science and fostering technological advancements to solve the worlds most challenging problems and answer its most elusive questions. Paul Alivisatos, Laboratory Director, Letter on Principles for a Diverse Community

Mission Execution Strategy:

Forecast, plan, and execute HR workforce plans that secure or develop future talent needs for each division.

Execution Goals:
Workforce Planning FY13 Conduct succession planning sessions that include high-potential talent identification and development. Recruitment FY13 Broaden the use of social media for sourcing. Enhance technology and encourage broad use of the technology. Diversity and Inclusion FY13 Develop and implement a strategy that increases our women and minority pipelines. Lead our Diversity Council and its initiatives of creating a culture of inclusion. Lead the Women Scientists and Engineers Initiative for the recruitment, retention, and development of women scientists and engineers. Participate in the UC Climate Survey. Start to create a community of inclusion.
Workforce Planning FY14FY16 Professional Research Staff Program (RPM 2.07): Develop clear criteria for scientific levels progression/promotion. Deploy technology in support of succession planning; and track high-potential talent, as well as postdocs and students. Develop a workforce planning framework that applies to different funding situations at the Lab. Design and tie workforce planning to budgeting at the division level. Create career paths for select critical disciplines. Recruitment FY14FY16 Create a living or alumni database of former postdocs, scientists, engineers, and students, creating a community for recruitment of future talent. Design alternative sourcing strategies, e.g., contingency recruiters, targeted job fairs, virtual job fairs. Complete implementation of Position Description Library database. Diversity and Inclusion FY14FY16 Implement a Diversity and Inclusion strategy and plans at the institution and division levels.

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Metrics for Recruitment and Diversity and Inclusion:

Reach or exceed time to fill goals: regular = 60 days, moderate = 120 days, difficult = 270 days, within 1-year of implementing the re-engineered recruitment and hiring business process and technology. Conduct a survey of hiring managers and new hires for the purpose of measuring recruiters and HRs effectiveness, and of enhancing the process and technology. Goal: 75% of survey respondents rate us as equal to or greater than satisfactory. Monitor our Affirmative Action plan workforce demographics to measure the progress made in recruiting and retaining women, minorities, veterans, and disabled individuals. Goal is to match availability. Conduct surveys of participants who complete the new workshop: Understanding Differences. Goal: receive 85% or higher positive rating.

Risks for Recruitment and Diversity and Inclusion:

Hiring issues/barriers are not identified and resolved.1 Lack of succession plans for key positions.2

Assurances for Recruitment and Diversity and Inclusion:

Using the above metrics, we analyze and resolve hiring issues and barriers in order to continuously improve the effectiveness and efficiency of the process, people, and technology. Succession plans are reviewed annually for key positions, including high-potential talent.

1 2

Risk identified in the DOE Entity Assessment Tool Risk identified in the DOE Entity Assessment Tool

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Talent Assessment and Development Mission

As a world-renowned scientific research institution, Berkeley Lab considers continuous learning as essential to the ability of our scientists, postdocs, and staff to accomplish the Labs mission. Learning includes personal development, mentoring, training, and education.

Mission Execution Strategy:

Design, acquire, integrate, and implement the policies, programs, and systems that support our continuous learning needs.

Execution Goals:
FY13 Implement a pilot Employee Talent Profile system. Offer assessment tools to supervisors and employees, and consultation and facilitation services to teams using these tools. Create and lead the Office of Postdoctoral Programs which will include a coordinator at 25% time; curriculum development, Employee Survey analysis from postdoc perspectives, and other activities. Launch Leadership Develop Program Alumni series. Create a framework and tools for planning and responding to change.
FY14-FY16 Enhance required curriculum for new supervisors. Re-engineer the learning/training process Lab-wide, and identify a Learning Management System (LMS). Deploy support technology for Performance Management Process (PMP). Automate Tuition Assistance program.

Metrics for Talent Assessment and Development:

Conduct surveys of Berkeley Lab Learning Institute (BLI) sponsored workshop participants on usefulness and application to their work. Goal: receive 85% or greater positive rating. Conduct surveys each year of participants in Laboratory Leadership Programs. Goal: receive 90% or higher positive rating that each program helped employees in their current role and in their career development at the Laboratory. In FY13, conduct an audit of performance review completion rates. Goal is to attain a 100% completion rate.

Risks for Talent Assessment and Development:

Training is not provided to help employees maintain and improve their competence for their jobs.3

Risk identified in the DOE Entity Assessment Tool

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Senior level employees have not demonstrated an ability to manage.4 Performance evaluations are not completed for career and term appointment employees.

Assurances for Talent Assessment and Development:

Using the metrics above, we determine if the training provided is supporting employee requirements to be competent in their jobs. The Leadership Development Curriculum has been designed to support senior level employees having the knowledge, skills, and abilities to demonstrate their ability to manage. Performance reviews are conducted annually to establish and clarify performance goals and expectations, and to understand, address, and document the skills, knowledge and abilities of employees. There will be an internal audit to review the performance review completion rate for the 7/1/11 6/30/12 review cycle.

Risk identified in the DOE Entity Assessment Tool

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Rewards and Recognition Mission

Fluctuating funding and contract constraints are inherent in our environment and raise barriers on mechanisms for rewarding employees. Moreover, the competitive market for recruiting and retaining great talent has grown as the Lab competes not just with other national laboratories and universities, but with private sector companies and start-up opportunities.

Mission Execution Strategy:

Ensure that managers and employees understand and appreciate Berkeley Labs investment in them.

Execution Goals:
FY13: Recertify the LBNL Compensation System. Evaluate and implement revised and/or new job definitions and structures in the areas of administrative support, and other key positions.
FY14FY16: Conduct a Peer Review of Compensation. Plan and lead the implementation of an off-site childcare center at the LBNL second campus if approved. Educate staff and managers on compensation/ pay practices. Implement technology for salary planning. Re-evaluate and design progressive reward systems and gain DOE approval for them. Evaluate and implement revised and/or new job definitions and structures for key functional areas and jobs.

Metrics:
Quarterly customer feedback on benefit/retirement counseling is at 4-point average rating where 5 is the highest rating.

Risks for Rewards and Recognition:

Executive compensation is not set within UCOP established guidelines and approval processes. Compensation Increase Program (CIP) allocations are not utilized according to UCOP and DOE approved guidelines. Funding by UCOP for the Health Care Facilitator Program and retirement counselors is discontinued.

Assurances for Rewards and Recognition:

Internal Audit conducts an annual audit on our Executive Compensation. In FY13, they also plan to audit lump sum expenditures. We report to DOE on a quarterly basis (FY13) detailing our CIP spending.

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DOE will be conducting a comprehensive recertification effort of our compensation system.

Employee and Manager Consultation and Support Mission

Employees, whether they are scientists, postdocs, or operations staff, want to know that they are valued and performing to expectations. Managers want a workforce that is talented, creative, collaborative, and focused on excellence. HRs mission is to support managers in creating an environment where employees can flourish and great breakthroughs occur.

Mission Execution Strategy:

Create Berkeley Lab as a great place to work. Create a relationship between HR and employees and managers where HR is perceived as a facilitator and problem-solver in their work life at Berkeley Lab.

Execution Goals:
FY13: Re-create an HR website for employees and managers that is more intuitive. Establish a model for each HR staff member to follow when interacting with employees and managers that is designed to build camaraderie and dispel the perception of HRs administrative oversight role. Train managers on employee relations, labor relations, and related policies and contracts.
FY1416: Work with division directors, deputies and business managers to develop HR offerings that respond to their issues and needs. Create an outreach plan to individual employees and groups for their feedback on HR performance. Create, in collaboration with Public Affairs, an employment brand for retention of current employees and for recruitment of future talent. Update the on-line Employee Handbook.

Metrics:
In FY13, conduct an audit of performance review completion rates. Goal is to attain a 100% completion rate. In FY14, Employee Survey, measure improvements in career development and supervision (as compared to FY10 Survey). Goal is to attain 5% or more agreement rating increase for questions on performance feedback and career development.

Risks for Employee and Manager Consultation and Support:

No analysis is conducted of the skills, knowledge and abilities to perform jobs appropriately.5

Assurances for Employee and Manager Consultation and Support:

Performance reviews are conducted annually to understand and address the skills, knowledge and abilities of our employees.

Risk identified in the DOE Entity Assessment Tool

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Using the metrics above, we will be able to mitigate the risk.

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Human Resource Supporting Infrastructure Missions

A Human Resources department has responsibilities in strategically positioning its own organization to be able to attract and retain exceptional HR talent. HR has the responsibility to ensure that the Laboratory complies with all laws, regulations, and contracts, and that its processes, policies, and operation are efficient and customer focused. Berkeley Lab Human Resources includes the functions of: Affiliate Processing Compensation and Benefits DOE Contract Compliance Diversity and Inclusion Employee and Labor Relations HR Information Technology Recruitment and Hiring HR Policies and Procedures HR Transactions Covering Employee Work-Life Cycle Interlocation Appointments International Researchers and Scholars Office (IRSO) Organizational Development and Learning

The department faces a number of challenges. The work is heavily transactional and paper-intensive. Technology has been minimal. HR is building true partnerships with division management and transforming itself from an administrative and compliance function to problem-solver and facilitator of client issues and needs. We have identified three strategies to address these challenges: 1. Process Reengineering and Technology Support 2. HR Transaction Processing and Compliance 3. Department Structure and Staff Development

Process Reengineering and Technology Support Mission

Mission Execution Strategy:
Streamline and standardize processes for effective and efficient HR operations. Deploy technology in support of effective and efficient HR processes, the long-term goal being the attainment of a paperless HR function.

Execution Goals:
Re-engineer and implement new or enhanced processes, technology and associated policies and procedures in the areas below. Identify opportunities to gain efficiencies through centralization as appropriate.

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FY13: Service Credit Accrual and Award Process Performance Management System Design Employee Talent Profile Appointment Extensions Contract Labor Tuition Reimbursement Recruitment and Hire Process and System Enhancements Affiliate Process and System Enhancements HR Website Enhancements

FY1416: Performance Management System Implementation Learning Management System GSRA Technology Enhancements Discrimination Complaints/Harassment Employee Complaints/Grievances Employee Referrals Immigration and Visa Process Terminations Interlocation/Multiple Location Appointments Layoff Assistance Integrated Leave Management Medical Separation Pre-and Post-Employment Medical Evaluations/Physicals Probationary Period Reduction in Force Core HR, Benefits, and Payroll System: start implementation of a best practice system Relocation/Change of Station Scientific Appointments and Promotions Medical Leaves (HR role only) Shared and Joint Faculty Appointments Executive and Faculty Compensation Succession Planning Academic Page Implementation Deploy next generation of electronic personnel action form (e-PAF) Reassess the HR Talent Management Technology Strategic Plan elements include: o o o o o o Talent acquisition system Performance management system Succession planning system Learning management system Salary planning system Workforce planning system

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Metrics:
Conduct a survey of hiring managers and new hires for the purpose of measuring recruiters and HRs effectiveness, of enhancing the process and technology. Goal: 75% of survey respondents rate us as equal to or greater than satisfactory. Conduct a survey of affiliates and hosts for the purpose of measuring the effectiveness of the business process, the people, and the technology. Goal: 75% of survey respondents rate us as equal to or greater than satisfactory.

Risks for Process Reengineering and Technology Support:

Lack of ability to conduct process reengineering efforts. Lack of ability to develop and/or acquire new technologies.6 New technologies are not readily available in the market.7

Assurances for Process Reengineering and Technology Support:

Process re-engineering efforts will be measured against achievement of project milestones. Using the metrics above, we will identify future process re-engineering enhancements. Using the HR Advisory Council, we will validate current process re-engineering activities and identify future activities. Using industry standard tools, e.g., Gartner reports, and outside HR Technology experts, we will identify technologies which support our business requirements.

6 7

Risk identified in the DOE Entity Assessment Tool Risk identified in the DOE Entity Assessment Tool

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HR Transaction Processing and Compliance Mission

Significant time and resources are deployed by HR staff in the processing of various actions from posting requisitions to terminating employment. Federal, State, DOE, and UC regulations and policies, as well as union agreements drive a significant amount of work in Human Resources. Both of these areas are continuously monitored and identified for process reengineering, technology deployment, and/or requests to appropriate governing bodies for consideration of regulatory relief. Current transactional and compliance requirements that are non-discretionary are as follows:
Recruitment Job requisitions and posting jobs Recruitment plans Advertising Basic candidate searches, e.g., requisition number only Offer letters HR Technology UCOP mandatory updates and reporting System maintenance Audit data requests Report creation DOE Contract Compliance HR Strategic Business Plan PEMP Appendix A DOE data requests Contract deliverables HR Policies and Procedures Compliance with UC policies and Federal & State laws Requirements management program Rehired retiree tracking and reporting GSRA fee remission program Employee and Labor Relations Grievance and complaint response Disciplinary actions Union negotiations Union information requests Policies related to employee relations Union contract interpretation Benefits Change of life activities, e.g., birth of a child Monthly retroactive premium calculations Benefit plan updates for open enrollment UCRP contribution updates DOE reporting and audits Compensation Salary benchmarking Compensation Increase Plan Executive compensation annual audits Executive compensation, e.g., Division Director compensation proposals to UC, & DOE, SMG performance reviews, bi-monthly activity reports, annual outside activities reports Union wage proposals, bargaining, and implementation Salary administration DOE reporting and audits Interlocation Appointments Coordinating ILA appointments with host institution and LBNL division Tracking ILA appointments Resolving issues between Finance, Divisions and Host Institutions Advising employees on issues related to assignment Organization Development and Learning Required new employee and new supervisor training EEO/AA/Diversity Affirmative Action Plan DOE Diversity Plan Underutilization data analysis OFCCP audits EEO1 and VETS-100A reports Equal employment opportunity investigations HR Centers Salary increase process Performance management process Investigations HR Transactions, e.g., job reclassifications, S&E hire and promotion cases Advice and counsel on policies, union contracts and Tuition reimbursement program administration HR Service Center Hiring staff, GSRAs, students and affiliates Affiliate transactions, e.g., extension of appointment end dates, terminations IRSO Visa processing and counseling I-9 compliance and tracking Green card processing Foreign nationals orientation

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other compliance requirements

Metrics:
Conduct quarterly reviews on I-9 compliance. Goal = 0 errors. Conduct semi-annual reviews of compliance with UCOP rehired retiree policies. Goal = 0 undocumented exceptions. Internal Audit findings are minimal, and corrective actions are completed within agreed upon time frames.

Risks for HR Transaction Processing and Compliance:

I-9s are not processed according to federal law. Rehired retirees are not hired or extended according to UC policies.

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Out of compliance with federal, state, DOE, UC, and LBNL laws, regulations, contractual requirements, and policies.

Assurances for HR Transaction Processing and Compliance:

Quarterly reviews on I-9 compliance are conducted. Semi-annual reviews of rehired retirees are conducted. Internal Audit conducts audits of selected areas.

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Department Structure and Staff Development Mission

Mission Execution Strategy:
Ensure that we deliver exceptional HR services, which are customer focused and efficient, to support the Laboratorys scientific and operational mission. We accomplish this through our organizational structure and staff development. Become known among the DOE Laboratories as the developer and recruiter of exceptional HR talent.

Execution Goals:
FY13: Create a 5-Year HR Service Delivery Model Strategy, which may include a Shared Services Center, Consultative Services, and Centers of Expertise. Leverage our current Shared Service Center model to consolidate, standardize, and automate high-volume transactions. Ensure that each HR staff member has a personal Career Development Plan and that it is developed, monitored, and revised as necessary. Provide all HR staff learning experiences in Consulting Skills, Project Management, and Safety Training.
FY14FY16: Reorganize the structure and jobs of the HR Centers, paying special attention to transactions which can be transferred to the Shared Service Center. Reorganize the structure and jobs of HR Core paying special attention to areas which can be transferred to the Shared Service Center. Deploy a new funding structure for HR Centers. Provide all HR staff learning experiences in Managing Change and Creative Problem Solving.

Metrics:
Conduct performance reviews and manage performance. Goal = 100% of reviews are completed. Review and analyze Employee Survey responses regarding HR issues. Goals to be determined.

Risks for Department Structure and Staff Development:

HR functions or portions of functions are outsourced. HRs work is reduced to non-discretionary work due to budgetary constraints.

Assurances for Department Structure and Staff Development:

Using the above metrics, we will identify future development needs for HR staff and gain insights on the value of HRs work both discretionary and non-discretionary. Reassess the overall HR structure every two-years at a minimum and make adjustments.

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In Summary
We, the HR Leadership Team, believe that by maintaining our focus on our five goals supporting the Berkeley Lab: 1. As an Employee Centric Organization 2. Renowned for Leadership Talent 3. Focus on Diversity and Inclusion 4. Organizationally and Culturally Effective in Achieving Lab and Division Goals 5. Supported by an Efficient HR Operational Infrastructure We will have made a contribution towards the future of Berkeley Lab as a world renowned laboratory focused on innovative and impactful basic research and development in solving the most complex and pressing national and global problems in energy, computing, environment, physical, and biological sciences.

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