International Trade: USTR Would Benefit from Greater Use of Strategic Human Capital Management Principles
GAO-06-167
Published: Dec 06, 2005. Publicly Released: Jan 05, 2006.
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Highlights
The Office of the U.S. Trade Representative (USTR) has a unique role in coordinating trade policy, resolving disagreements, and framing issues for presidential decision through an interagency trade policy process. In recent years, USTR's increased workload from numerous new regional and bilateral free trade agreement negotiations and a new round of multilateral negotiations at the World Trade Organization has raised concerns about its human capital strategy. GAO examined whether USTR is pursuing an effective human capital strategy that supports the ability of its workforce to accomplish its mission. Specifically, GAO (1) reviewed USTR's commitment to strategic human capital leadership and planning and (2) analyzed to what extent USTR has used human capital tools to address its workforce challenges.
Recommendations
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Office of the U.S. Trade Representative | To improve USTR's human capital management, the U.S. Trade Representative should develop a strategic human capital management system. The system should include, tailored to its small size and unique role, filling its senior human capital management positions with human capital professionals who will significantly contribute to strategic planning and decision making. |
Closed – Implemented
In response, U.S. Trade Representative (USTR) filled its position of Assistant USTR for Administration with a senior official with extensive human capital experience, and also filled two vacant human resources positions.
|
| Office of the U.S. Trade Representative | To improve USTR's human capital management, the U.S. Trade Representative should develop a strategic human capital management system. The system should include, tailored to its small size and unique role, developing an interagency resource planning method with appropriate participation from key agency stakeholders. |
Closed – Not Implemented
In response to GAO's second recommendation, U.S. Trade Representative (USTR) took steps to address this recommendation by initiating a pilot Performance-based Program Management system, which was intended to be the first step in developing a process at USTR for formulating budgets and evaluating resource needs that could then be exported to other trade agencies. The pilot has yet to be implemented.
|
| Office of the U.S. Trade Representative | To improve USTR's human capital management, the U.S. Trade Representative should develop a strategic human capital management system. The system should include, tailored to its small size and unique role, undertaking strategic workforce planning in order to optimize its workforce's continued capacity to achieve its mission. |
Closed – Implemented
In response, U.S. Trade Representative (USTR), in conjunction with the Office of Personnel Management, developed a Strategic Human Capital Plan and Succession Plan, and formed a Human Capital Planning Steering Committee comprised of Assistant USTRs to institutionalize strategic workforce planning.
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| Office of the U.S. Trade Representative | To improve USTR's human capital management, the U.S. Trade Representative should develop a strategic human capital management system. The system should include, tailored to its small size and unique role, improving its ability to utilize data for measuring the effectiveness of human capital approaches in support of its mission and goals. |
Closed – Implemented
In response, U.S. Trade Representative (USTR) now systematically utilizes USTR human capital data maintained by the Executive Office of the President. For example, the data was used to develop USTR's Strategic Human Capital Plan and is routinely used when the Human Capital Planning Steering Committee considers policy changes. In addition, USTR now analyzes employee responses to the Annual Employee Survey and the Federal Human Capital Survey to assess career development needs and as a means for a strategic approach to training.
|
| Office of the U.S. Trade Representative | To improve USTR's human capital management, the U.S. Trade Representative should develop a strategic human capital management system. The system should include, tailored to its small size and unique role, determining if additional use of available pay and hiring flexibilities would better position USTR to hire and retain experts. |
Closed – Implemented
In response, U.S. Trade Representative (USTR) adopted a number of policies aimed at recruitment and retention, including tuition assistance, retention incentives, incentive awards, alternative work schedules, and telecommuting. USTR has also used Superior Qualification appointments in filling attorney positions.
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| Office of the U.S. Trade Representative | To improve USTR's human capital management, the U.S. Trade Representative should develop a strategic human capital management system. The system should include, tailored to its small size and unique role, developing agencywide performance criteria for staff to align management expectations with critical organizational goals. |
Closed – Implemented
In response, U.S. Trade Representative (USTR) completed its Strategic Plan, which in turn provided a framework for a complete redevelopment of its SES and non-SES performance management systems. USTR has obtained full OPM certification for its SES Performance Management Plan. Both the SES and non-SES systems are structured to hold managers accountable for ensuring strategic goal alignment and for communicating performance standards to employees.
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Federal employeesHuman capitalHuman capital managementHuman capital planningInternal controlsPersonnel managementStrategic planningHuman resources managementLabor forceEmbassy management