HR StrategicPlan

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Human Resources Strategic Plan FY 2013 - 2016

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Originally created in FY 2007 / Updated for FY 2013

Version 3

Berkeley Labs

Human ResourcesStrategicBusiness PlanFY 2013 2016


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The purpose of this document is to provide an overview of the human resourcesstrategic 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 missionof 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 focusedon 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 hasrefined and clarified its mission and strategies. Toward that end, the HR leadership team, working withLab 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, andstructure were aligned with the strategic plan and towards the goal of supporting the strategic directionand 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 scientificand operational mission.

In support of this vision, we continue to refine our goals, strategies, and plans some at theinstitutional 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 Talent3. 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 diversescientific, 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, andassurance mechanisms for each.


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Lab-Wide Human Capital MissionsRecruitment, Diversity and Inclusion MissionBerkeley 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 Laboperational functions, such as budget planning and space planning.

Fundamental of all HR processes is recruitment. Recruitment must be both highly efficient andaccessible 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 technologicaladvancements to solve the worlds most challenging problems and answer its most elusive questions.

Paul Alivisatos, Laboratory Director, Letter on Principles for a Diverse CommunityMission Execution Strategy:

Forecast, plan, and execute HR workforce plans that secure or develop future talent needs foreach division.Execution Goals:Workforce Planning FY13

Conduct succession planning sessions that includehigh-potential talent identification and development.

Recruitment FY13

Broaden the use of social media for sourcing.

Enhance technology and encourage broad use ofthe technology.

Diversity and Inclus ion FY13

Develop and implement a strategy that increases ourwomen and minority pipelines.

Lead our Diversity Council and its initiatives ofcreating a culture of inclusion.

Lead the Women Scientists and Engineers Initiative

for the recruitment, retention, and development ofwomen 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): Developclear criteria for scientific levels progression/promotion.

Deploy technology in support of succession planning;

and track high-potential talent, as well as postdocsand students.

Develop a workforce planning framework that appliesto different funding situations at the Lab.

Design and tie workforce planning to budgetingat 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 communityfor recruitment of future talent.

Design alternative sourcing strategies, e.g., contingencyrecruiters, targeted job fairs, virtual job fairs.

Complete implementation of Position Description Librarydatabase.

Diversity and Inclusion FY14FY16

Implement a Diversity and Inclusion strategy and plans atthe 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, within1-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 usas equal to or greater than satisfactory.

Monitor our Affirmative Action plan workforce demographics to measure the progress made in recruitingand 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 Diversi ty and Inclusion:

Using the above metrics, we analyze and resolve hiring issues and barriers in order to continuouslyimprove the effectiveness and efficiency of the process, people, and technology.

Succession plans are reviewed annually for key positions, including high-potential talent.

1Risk 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 continuouslearning 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 ourcontinuous learning needs.

Execution Goals:FY13 Implement a pilot Employee Talent Profile system.

Offer assessment tools to supervisors andemployees, and consultation and facilitationservices to teams using these tools.

Create and lead the Office of PostdoctoralPrograms which will include a coordinator at 25%time; curriculum development, Employee Surveyanalysis from postdoc perspectives, and otheractivities.

Launch Leadership Develop Program Alumniseries.

Create a framework and tools for planning andresponding 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 PerformanceManagement Process (PMP).

Automate Tuition Assistance program.

Metrics for Talent Assessment and Development:

Conduct surveys of Berkeley Lab Learning Institute (BLI) sponsored workshop participants onusefulness 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% orhigher positive rating that each program helped employees in their current role and in their careerdevelopment at the Laboratory.

In FY13, conduct an audit of performance review completion rates. Goal is to attain a 100% completionrate.Risks for Talent Assessment and Development:

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



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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 havingthe knowledge, skills, and abilities to demonstrate their ability to manage.

Performance reviews are conducted annually to establish and clarify performance goals andexpectations, and to understand, address, and document the skills, knowledge and abilities ofemployees. There will be an internal audit to review the performance review completion rate for the7/1/11 6/30/12 review cycle.



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Rewards and Recognition MissionFluctuating funding and contract constraints are inherent in our environment and raisebarriers on mechanisms for rewarding employees. Moreover, the competitive market for

recruiting and retaining great talent has grown as the Lab competes not just with othernational laboratories and universities, but with private sector companies and start-upopportunities.

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 jobdefinitions and structures in the areas ofadministrative support, and other key positions.

FY14FY16: Conduct a Peer Review of Compensation.

Plan and lead the implementation of an off-site childcarecenter 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 systemsand gain DOE approval for them.

Evaluate and implement revised and/or new jobdefinitions and structures for key functional areas

and jobs.

Metrics:Quarterly customer feedback on benefit/retirement counseling is at 4-point average rating where 5 isthe 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 DOEapproved 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 toaudit 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 thatthey 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 increating 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 facilitatorand 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 tofollow when interacting with employees andmanagers that is designed to build camaraderieand dispel the perception of HRs administrativeoversight role.

Train managers on employee relations, laborrelations, and related policies and contracts.

FY1416:

Work with division directors, deputies and businessmanagers to develop HR offerings that respond to theirissues and needs.

Create an outreach plan to individual employees andgroups for their feedback on HR performance.

Create, in collaboration with Public Affairs, anemployment brand for retention of current employeesand 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% completionrate.In FY14, Employee Survey, measure improvements in career development and supervision (ascompared to FY10 Survey). Goal is to attain 5% or more agreement rating increase for questions onperformance 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 andabilities of our employees.



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


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Human Resource Supporting Infrastructure MissionsA Human Resources department has responsibilities in strategically positioning its own organization tobe able to attract and retain exceptional HR talent.

HR has the responsibility to ensure that the Laboratory complies with all laws, regulations, andcontracts, 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-LifeCycle

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 anadministrative 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 theattainment of a paperless HR function.

Execution Goals:

Re-engineer and implement new or enhanced processes, technology and associated policies andprocedures in the areas below. Identify opportunities to gain efficiencies through centralization asappropriate.


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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 SystemEnhancements

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 MedicalEvaluations/Physicals

Probationary Period

Reduction in Force

Core HR, Benefits, and Payroll System: startimplementation of a best practice system

Relocation/Change of Station

Scientific Appointments and Promotions

Medical Leaves (HR role only)

Shared and J oint Faculty Appointments

Executive and Faculty Compensation

Succession Planning

Academic Page Implementation

Deploy next generation of electronic personnel actionform (e-PAF)

Reassess the HR Talent Management TechnologyStrategic Plan elements include:

o Talent acquisition system

o Performance management system

o Succession planning system

o Learning management system

o Salary planning system

o Workforce planning system


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Metrics:

Conduct a survey of hiring managers and new hires for the purpose of measuring recruiters and HRseffectiveness, of enhancing the process and technology. Goal: 75% of survey respondents rate us asequal to or greater than satisfactory.

Conduct a survey of affiliates and hosts for the purpose of measuring the effectiveness of the businessprocess, 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 HRAdvisory 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 willidentify technologies which support our business requirements.




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HR Transaction Processing and Compliance Mission

Significant time and resources are deployed by HR staff in the processing of various actionsfrom posting requisitions to terminating employment. Federal, State, DOE, and UC

regulations and policies, as well as union agreements drive a significant amount of work inHuman Resources. Both of these areas are continuously monitored and identified forprocess reengineering, technology deployment, and/or requests to appropriate governingbodies for consideration of regulatory relief.

Current transactional and compliance requirements that are non-discretionary are asfollows:

Recruitment J ob requisitions and posting jobs

Recruitment plans

Advertising

Basic candidate searches,e.g., requisition number only

Offer letters

HR TechnologyUCOP mandatory updates andreporting

System maintenance

Audit data requests

Report creation

DOE Contract Compl iance

HR Strategic Business PlanPEMPAppendix A

DOE data requests

Contract deliverables

HR Policies and Procedures

Compliance with UC policiesand Federal & State laws

Requirements management program

Rehired retiree trackingand 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, annualoutside activities reports

Union wage proposals, bargaining,and implementation

Salary administration

DOE reporting and audits

Interlocation Appointments

Coordinating ILA appointments withhost institution and LBNL division

Tracking ILA appointments

Resolving issues between Finance,Divisions and Host Institutions

Advising employees on issuesrelated to assignment

Organization Development and Learning

Required new employee and newsupervisor training

Tuition reimbursementprogram administration

HR Service Center

Hiring staff, GSRAs,

students and affiliatesAffiliate transactions, e.g.,extension of appointmentend dates, terminations

IRSO

Visa processing andcounselingI-9 compliance and trackingGreen card processingForeign nationals orientation

EEO/AA/Diversity

Affirmative Action Plan

DOE Diversity PlanUnderutilization dataanalysisOFCCP auditsEEO1 and VETS-100AreportsEqual employmentopportunity investigations

HR Centers

Salary increase process

Performance managementprocess

Investigations

HR Transactions, e.g., jobreclassifications,

S&E hire and promotioncasesAdvice and counsel onpolicies, union contracts and


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other compliancerequirements

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 upontime 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 Compl iance:

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 supportthe Laboratorys scientific and operational mission. We accomplish this through our organizationalstructure 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 ServicesCenter, Consultative Services, and Centers ofExpertise.

Leverage our current Shared Service Centermodel to consolidate, standardize, and automatehigh-volume transactions.

Ensure that each HR staff member has a personalCareer Development Plan and that it is developed,monitored, and revised as necessary.

Provide all HR staff learning experiences inConsulting Skills, Project Management, and Safety

Training.

FY14FY16:

Reorganize the structure and jobs of the HR Centers,paying special attention to transactions which can betransferred to the Shared Service Center.

Reorganize the structure and jobs of HR Core payingspecial attention to areas which can be transferred tothe Shared Service Center.

Deploy a new funding structure for HR Centers.

Provide all HR staff learning experiences in ManagingChange 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 thevalue 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 SummaryWe, the HR Leadership Team, believe that by maintaining our focus on our five goals supporting theBerkeley Lab:

1. As an Employee Centric Organization

2. Renowned for Leadership Talent3. 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 laboratoryfocused on innovative and impactful basic research and development in solving the most complex andpressing national and global problems in energy, computing, environment, physical, and biologicalsciences.

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HR StrategicPlan