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Workforce Toolkit 19 currently developing a video portal that will allow viewing of videos without having to go through YouTube. This will allow video content to be accessible to all state DOT staff without filters blocking access to sites such as YouTube. 2.3 Design Components The Toolkit has been designed to be useful in at least three situations: (1) a user wishing to understand an overall approach to identifying and addressing workforce issues, (2) a user searching for a range of solutions for addressing a specific problem, and (3) a user charged with implementing a particular program or initiative who is looking for useful models or soft- ware resources. The Toolkit is dynamic, allowing new resources to be added over time through the Adminis- tration site. It also provides a mechanism for informal sharing of ideas within the community of DOT human resources practitioners. While it was not within the scope of this project to develop a fully automated search tool or portal, the research team designed the toolkit to address these needs. As the Toolkit evolves, the portal will accommodate additional resources. To support a variety of needs and use scenarios and to maintain flexibility and extensibility, the research team identified a series of facets, or features, for identifying and categorizing the assembled resources. Each of these facets--need, role, source, type of resource, and audience type--are further refined with additional facets: 22 for workforce need type, 5 for role played within the DOT, 11 for information source type, 9 for the type of resource, and 8 for audience type. Combinations of these facets have been linked to the available resources to form the basis for searches. This reinforces a holistic approach to addressing workforce issues, while providing an easily understood topical organization of the resources. 2.3.1 Workforce Need Type A list of workforce needs was developed to include the most pressing current and future issues and trends facing state DOTs. Categories can be added and/or eliminated as priorities change. Workforce needs are listed below. Compensation and Benefits. This includes information, policies and practices relating to wage programs, insurance, retirement benefits, and other workplace compensation. Competencies. This includes the knowledge, skills, experiences and behaviors required to perform successfully in jobs within the workplace. Downsizing/Reductions in Force. This covers issues and trends relating to reductions in force resulting from terminations, layoffs, or retirements. These include the following: Forecasting, Advance planning, Mitigating fallout, and Costs and benefits of alternative approaches. Employee Conflict. This covers issues of employee performance and issues of conflict within the workforce between employee and supervisor and employees with each other. Human Resource Function. This refers to any of the basic functional areas of human resources including recruitment, hiring, placement, promotion, performance management, rewards, discipline, labor relations and work life quality.

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20 Tools to Aid State DOTs in Responding to Workforce Challenges Human Resource Information Systems (HRIS). This is a stand alone or integrated system designed to provide information used in HR decision-making, programs and functions. These include: Enterprise-wide systems for capturing workforce demographics and for processing personnel and payroll actions and activities, Learning management systems, and A wide variety of stand alone systems that support individual human resources programs and functions. Human Resources Planning. This refers to information and methodologies used to ensure future staff is appropriate for future needs. Knowledge Management. This is the set of policies, programs, procedures and other resources used to capture, organize, transfer, and store knowledge and experiences of individual workers and groups within an organization and making this information available to others in the organization when it is needed. Most organizations consider an information technology tool essential to a successful knowledge management program. Leadership Development. This is an organization's policies, programs, and procedures for assuring that the organization has and will continue to have an adequate supply of well-developed talent from which to select its current and future leaders. Workforce development includes some of the following examples: Rotating assignments to assure future leaders have a variety of work experience within the organization, Mentoring and coaching, Special development assignments, Formal training in leadership tasks and competencies. Organizational Change. This refers to an organization's policies, process, and methods for developing its internal capacities to help assure its current and future success in accomplishing its strategic goals and objectives. This category includes activities which support an organization's problem solving and renewal capabilities and capacities including assuring the following: Work is organized efficiently and effectively into jobs and career paths, with associated authority, responsibility, and accountability. The organization's values and culture are clearly aligned with its mission. Mechanisms (e.g., periodic reviews of program and/or resource allocations) exist to assess whether subordinate units within the organization are meeting agreed upon programmatic and employee performance requirements. Periodic examination and evaluation of programs, policies and procedures occur to reinforce the organization's effectiveness and efficiency. Organizational Development. This includes planned and managed organization-wide effort to improve efficiency and effectiveness. Organizational Performance. This includes the policies, programs, and procedures for comparing results achieved to organizational objectives or goals. Outsourcing and Contract Management. This includes formal agreements with third par- ties to perform services for an organization. Initially, many organizations thought of outsourcing as contracting with a private sector organization to perform certain tasks. The definition is evolving to include any defined relationship with a third party to provide goods and services to the organization.

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Workforce Toolkit 21 Performance Management. This includes the laws, policies, programs, processes, and other resources used to define a mission and desired outcomes, to set performance standards, to link budget to performance, to report results, and to hold public officials accountable for those results. Performance management concepts and practices are applied to both organizations and employees in organizations. Recruitment. This includes the laws, policies, programs, and procedures used to attract well-qualified candidates to fill vacancies within an organization. Recruitment includes the following activities: Defining the policies and procedures that apply to recruitment activities. Defining the competencies and capabilities candidates must possess to function successfully in the organization. Developing an annual recruitment plan which identifies and links needs, sources to fill those needs, and the financial resources for recruitment activities. Defining roles and individuals in the organization who are responsible for recruitment, e.g., human resources department, line managers. Developing and applying methods to assess candidate credentials. Evaluating the results of recruitment efforts and using those results to refine the recruitment program and processes. Identifying sources for candidates and targeting marketing of positions to the candidate pool interests. Retention. This includes the laws, policies, programs, and procedures used to retain the talent that is recruited into the organization. Retention includes the following activities: Defining the policies and procedures that apply to retention activities. Identifying the strategies and tactics to retain needed talent, e.g., financial incentives, work assignment incentives, work-life incentives such as flexible work hours, developmental incentives such as training or special assignments, etc. Defining roles and individuals in the organization who are responsible for retention of talent, e.g., human resources department, line managers, agency executives. Developing methods to assess the degree to which the organization is able to retain the tal- ent it needs and wants to retain, e.g., employee satisfaction surveys, turnover statistics, exit interviews. Evaluating the results of retention efforts and using those results to refine the retention pro- gram and processes. Retirement. This includes the laws, policies, programs, and procedures associated with assuring employees have appropriate retirement benefits, as well as research pertaining to an aging workforce. Strategic Planning. This includes an organization's policies, process, and methods for defining its future direction by identifying the organization's programmatic goals and the out- comes that must occur if those goals are to be achieved. This analytical process also includes the allocation of financial and human resources to achieve the goals and outcomes agreed upon. The product of the strategic planning process is a strategic plan. Strategic plans usually focus on 5-year increments. The programmatic and resource allocation results of the strategic plan are reflected in the annual business or operating plans of subordinate units and in employee performance requirements. Organizations that use strategic plans to assure alignment between strategic goals and outcomes and the specific areas of responsibility and accountability of organizations and individuals tend to be more successful than those which do not have a structured process and methods.

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22 Tools to Aid State DOTs in Responding to Workforce Challenges Succession Planning. This is an organization's analytical methodology for assessing the workforce competencies and capabilities needed to meet future requirements. It includes the following activities: Identifying the current and future work of the organization. Identifying the competencies and capabilities required to accomplish that work. Analyzing the degree to which those competencies and capabilities are present within the workforce. Describing the gap between what is available vs. what is needed. Developing strategies, e.g., recruitment, reassignment, training, contracting out, and closing the identified gaps. Repeating this process periodically (usually every 25 years) to assure that the workforce required will be available when it is needed. Succession planning is most often focused on the identification of leadership needs. However, organizations are learning that succession planning should be focused on any mission critical occupational category. Training and Development. This includes the range of activities and programs that organizations provide to help assure that employees at every level of the organization have the competencies and capabilities required to carry out the work of the organization effectively and efficiently. Workforce Planning and Development. This includes the set of policies, programs, and activities related to developing and maintaining a talented and capable workforce consistent with and in support of the mission and goals of the organization. Other. This category is used for resources that do not fit under any of the above categories. 2.3.2 DOT Role While there are some common trends impacting workforce concerns across the entire DOT (outsourcing, downsizing, decentralization, retirements, turnover, mismatch of skills to needs), specific information needs vary based on the user's role within the DOT. Each role may have specific concerns based on the scope of their responsibilities. The perspectives of top agency executives (CEOs), senior managers (division chiefs and district administrators), human resources managers, and line managers/workgroup super- visors were considered. For senior managers and line managers, the researchers considered differences in concerns across functional areas (planning, engineering/design, construction, maintenance, operations, IT, administration, and finance), and across central office vs. field offices. 2.3.3 Information Source Type Users searching for information on a specific challenge will also consider the information's source, since source may indicate credibility and applicability to the user's workplace. Ten source categories most relevant to the workforce challenges faced by DOTs were identified: TRB/ NCHRP/TCRP; Journal/Publisher; National Academy of Public Administration (NAPA); the United States Department of Transportation (USDOT); state DOT; Other State Agency; University Research Center; National Association--Transportation; National Association-- Public Administration; and National Association--Human Resources.

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Workforce Toolkit 23 2.3.4 Resource Type The type of resource was also deemed significant since some users may seek background infor- mation while others are looking for specific methodologies or survey instruments. Resource types include the following: General Resource. Resources that fall outside the item types below, or that span multiple item types, e.g., reports, articles. Methodology/Guide/Model. Resources that provide "how-to" knowledge, or step-by-step guides to addressing a workforce need. Measurement/Assessment Tool. Resources that measure or assess the state of an organiza- tion's existing situation with respect to a given workforce topic. Case. Resources that collect specific organizations' experiences. Policy/Procedure. Resources related to official organization workforce policies or procedures. Organization. Organizations that provide access to a useful body of workforce resources. Software Application. Information technology resources. Other. Resources that fall outside of these item types. Consulting Services. Specialized services that provide information or recommendations from outside a company. 2.3.5 Audience Type While all of the resources selected are relevant to the state DOT audience, an additional facet was added to classify resources based on their intended audience. For example, there are a large number of general resources that are targeted to human resources professionals across the spectrum of agency types. A state DOT toolkit user may want to distinguish these general resources from those that are specific to the DOT community. The audience types were defined as state DOT; Transportation Professionals; Other Industry; General Private Sector; General Public Sector; Human Resources; and Training and Development. Building on these facets to direct searches, the team designed views of the information that support particular modes of use. The views, which are shown in section 2.2, are examples; views can be changed or added in the future.