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CHAPTER 5
Needs Framework
5.1 Introduction
In response to NCHRP Project 20-72, "Tools to Aid State DOTs in Responding to Workforce
Challenges," the Spy Pond Partners team reviewed current tools, assessed available resources,
and developed and built a toolkit designed to help state DOTs overcome current and future
workforce challenges. Specific tasks associated with this two-phase project are explained in
Chapter 3.1. This section provides more detail on the research and development that supports
the Workforce Toolkit.
The following section (5.2) establishes and defines the major categories of needs. The remaining
three sections of this chapter map these categories of needs first to specific workforce scenarios
that might precipitate a search for resources in the Toolkit (Section 5.3), then to current trends
(Section 5.4), and finally to likely future trends (Section 5.5).
5.2 Needs Categories
The research team developed a needs framework that defined the scope of resources for inclusion
in the Toolkit and provided the fundamental set of categories to be used to match information
resources to workforce needs faced by state DOTs. The framework was developed based on the
guidance provided in the research statement and supplemented by analysis of current workforce
issues and trends--both near term and future. Components of the needs framework are described
in Section 2.3.
The categories were chosen because they reflect the most pressing and continuing current and
future (510 years) workforce needs of state DOTs. These categories also reflect a manageable
number of areas of focus and thus should help assure that state DOT users of the database will
find these categories responsive to their needs. Additional categories can be identified and added
to the data base as future needs emerge.
5.3 Current Workforce Needs Scenarios
Table 5.1 presents a set of scenarios that illustrate some of the more common and pressing
workforce needs currently facing state DOTs. The category section of the table maps each scenario
to the applicable need categories defined in Section 5.2. The Resource Needs column lists par-
ticular resources that are likely to be useful in addressing the need. The first two scenarios are
used as real-world examples in Sections 3.3.1 and 3.3.2.
39
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Table 5.1. Current workforce scenarios and associated resource needs.
Scenarios Workforce Need Category (s) Associated Resource Needs
The Legislature has passed a retirement Recruitment, retention, knowledge Competency identification.
incentive bill that gives a 6-month window management, training, succession Competency based training to address
for eligible employees to retire. The state planning, competencies the gaps.
personnel office estimates that about 5% of
the highest paid employees will be eligible. Protocols to retain needed knowledge and
Based on their employees' tenure, the DOT ways to make it usable to others.
knows that up to 19% of their experienced Methods to determine which of the
employees could retire. To complicate departing knowledge needs to be retained.
matters, a major layoff several years earlier Systems to retain existing key employees.
due to budget cuts has left the DOT with few
employees experienced enough to take the Succession plans, guides, and procedures.
retirees place if they leave. Methods to target recruitment strategies.
Guidelines for creating a human capital
plan.
Consultants who pay higher salaries are Competencies, training and Identify required competencies, apart from
making it difficult to recruit engineering development recruitment, job titles.
technicians. State salary policies limit what succession planning, outsourcing Look for key competencies for these
the DOT can pay and traditional sources for positions in other career types.
new engineering technicians can't educate
enough people to supply the consultants and Identify other employees in the DOT,
the DOT. other agencies or graduates that are likely
to have the needed competencies, and
consider recruiting them.
Identify competency gaps in design, and
deliver training that addresses the
competencies.
Develop mentoring and cross-training to
accelerate learning.
Evaluate the position requirements and
working conditions and consider changes
that make the career more attractive to
the workforce.
Target recruitment to attract desired
candidates.
Develop a succession plan and career
ladders with competency-based promotions.
Consider using contracted services to
supplement existing workforce if
recruitment is unsuccessful.
Management is complaining about not being Competencies, recruitment, training, Interview supervisors and workers to find
able to recruit and retain qualified commercial retention out what the satisfiers and dissatisfiers
vehicle compliance officers. The employees of the job are.
who are still working in these positions Using collected data in the interviews,
complain that the job isn't what they thought are there changes that can be made to
it would be. The job requires completion of improve working conditions? Make
part of the law enforcement academy, but they reasonable changes.
don't get to do real law enforcement work and
some of the locations are in isolated areas. Create career ladders and cross-training
What are the required competencies and how opportunities to build skills and retain
employees.
does the DOT find people who are more
likely to be satisfied with the work? Identify the key competencies for these
positions and determine what training
would be best. (Does the training
atmosphere at the police academy lead
the candidates to believe the job is
traditional law enforcement?)
Target recruitment to attract candidates
likely to be satisfied with the work.
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Needs Framework 41
Table 5.1. (Continued).
Scenarios Workforce Need Category (s) Associated Resource Needs
An outstanding systems analyst has been hired Competencies, leadership Identify key competencies for the position.
to manage her former work unit. Her selection development, succession planning, Use a targeted selection system to
was based on performance reviews and her recruitment, performance determine which candidates have the
extensive knowledge of systems analysis and management desired competencies and experience.
computer science. Three month into her tenure
as manager, the unit's production has slowed, Offer orientation to management classes to
a harassment suit has been filed, and turnover let interested employees learn about what
has increased significantly. Frustrated with being a manager entails.
her subordinates' poor performance, she works Create a succession plan with appropriate
long hours to finish projects. At least there's experiences and training to prepare
the satisfaction of a tangible accomplishment. employees for management positions.
Establish a performance plan for the new
supervisor to reinforce desired
management skills.
The DOT has implemented career ladders so Performance, competencies, Competency assessment.
employees in particular classifications can be training and development Resources to assess questions for reliability
promoted based on their competencies rather and validity.
than waiting for positions to open. The benefit
to the DOT is having a more versatile and Position requirement experts to provide
experienced workforce. Promotions are based input on question content.
on testing. A review of the tests shows that Resources and technology for a question
some questions are vague; others are not well bank for each position's test.
matched to the position's skill requirements. Protocols for developing and evaluating
The tests are used to promote large numbers performance tests if physical skills are
of employees and are neither valid nor required for the job.
very reliable.
The training director wants to redo Competencies, leadership Competency identification in collaboration
management courses because he believes development, training with management.
that some of the material needs to be updated Competency gap assessment at each level
to be competency based. He decides to identify of management.
desirable management competencies, ways to
address them in training and determine ways Competency-based training, mentoring
to get better application of skills learned. and other activities.
His investigation shows poor correlation Marketing skills to involve management in
between what gets a manager promoted in the course development and training of
DOT and what's taught in the management managers where possible.
classes.
The DOT brings in a subject matter expert to Training, performance Resources or guidelines to identify
provide entry-level project management competencies covered by the training and
training to employees who are learning to expected level of participant expertise.
manage projects. The only time the trainer is Assessment process to determine which
available is in August--construction season. employees need to acquire the
The managers don't think they can spare the competencies.
employees who would benefit most from the
class on the job. One of the districts sends an Nomination process for appropriate
experienced project manager who isn't as busy participants.
that week and a designer who wanted to take
the class. They were asked to come back and
tell the others what they learned.
(continued on next page)
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42 Tools to Aid State DOTs in Responding to Workforce Challenges
Table 5.1. (Continued).
Scenarios Workforce Need Category (s) Associated Resource Needs
The DOT has a few employees that have Knowledge management, training
, Identify key competencies.
specialized knowledge that can't be found at retention, competencies Develop competency-based cross training
any price. When they leave or retire how can to employees that are interested in learning
they be replaced? If you can't keep the the work.
workers, why not keep their expertise?
Coaching protocols to help others learn.
Desk manual for the position.
Develop a formal knowledge management
system.
Retention strategies--part-time work for
retiring employees, formal deferred
retirement plans.
The state budget is extremely tight and the Outsourcing, strategic planning Business plan development and
Legislature has put agencies under pressure to implementation tools.
save the state money and support the economy Guidelines for determining what to
by outsourcing work. It seems logical to outsource (written resources or peer DOT
outsource less essential functions and the recommendations).
HRIS, job classification and training functions
are outsourced. The cost is lower, but the Data to evaluate effectiveness of the
remaining human resources staff spends service.
significant amounts of time to keep the Marketing plans to promote value of
consultant on track on the classification and services.
training.
Some outsourced functions require the vendor's Outsourcing, performance, Identify roles of both staffs.
employees to work side by side with DOT organizational development Facilitation methods to get the merged
employees. The work environment may be group to sort out working relationships.
tense if the function was outsourced as
non-essential or the vendor employees may be Develop common performance goals.
a welcome addition to share the workload or Consistent monitoring system to ensure
complete specialized projects. Either way, effective performance.
employees from different corporate cultures
must work together. How can this relationship
be made more effective and easier for the
workers?
An experienced manager has been assigned to Performance, leadership Guidelines for evaluating and correcting
work with a new unit. Most of the workers are development, organizational performance problems.
young professionals who want to make an development Leadership development activities targeted
impact on the job. The manager is accustomed to the problem (e.g., coaching).
to having workers who just do the job. He
isn't excited about having to listen to these Facilitated meeting to address problems
"kids'" suggestions about improving the work. .
and develop acceptable solutions.
Turnover has increased dramatically.
A manager is not pleased with an employee's Performance, leadership Methods to identify performance
belligerent behavior and asks the training development deficiencies.
director to recommend training for the Evaluation of effectiveness of prior
employee as part of the discipline process training.
with the expectation of improvement. The
employee has been sent to similar training Coaching methods for supervisor to get
before. employee compliance.
Coaching or training in effective discipline.
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Needs Framework 43
Table 5.1. (Continued).
Scenarios Workforce Need Category (s) Associated Resource Needs
The human resources manager learns about the Succession planning, strategic Succession planning resources and
benefits of succession planning as a means to planning, competencies, leadership guidelines.
have a pool of qualified employees in critical development Assistance from peer DOTs that have
positions. A significant number of managers effective plans.
and experienced technical and professional
employees could leave over the next few years. Resources and methods for collaboration
How do you decide what skills are and will be with management to identify critical
critical and how do you design a system that positions and related competencies.
builds competencies without appearing to play Strategic human capital management plans.
favorites? Gap analysis.
Competency based training and other
learning activities.
Processes that allow open application and
fair selection of succession plan
participants.
The new CEO wants to address managers' Strategic planning, competencies, Human capital planning protocols and
concerns about the anticipated large number of leadership development, HRIS, guides.
retirements and the increased difficulty in organizational development Key competency identification.
finding adequate numbers of qualified
employees. The CEO comes from a private HRIS database to capture competencies,
business and has seen progressive human gaps, forecast workforce needs.
resources managers working as partners to Leadership development for career
management in workforce development with managers and human resources staff.
great success. The career managers see the Facilitated meeting process to develop
human resources as compliance and record common goals and a strategic plan
keeping office and aren't excited about the including workforce.
prospects of getting human resources support
in building the workforce. When the CEO asks
the human resources director about his office's
role in executing the DOT's business plan, he's
met with a blank stare.
Decisions about workforce qualifications, Strategy, HRIS, competencies, Resources to create a human capital and
competencies, training needs, recruitment, training, leadership development workforce plan.
and selections are often made with limited Tools to select HRIS software that meets
data, on gut feelings or in response to political DOT needs.
pressures, sometimes resulting in human
resources functions being outsourced. Without Competency identification.
solid HRIS data and effective analysis, human Marketing skills.
capital planning is weak or non-existent and Data-based decision making.
decisions made aren't necessarily the best ones
for the agency. Human resources professionals
are not always conversant with business plans
and often don't appreciate the power of data in
decision making and the necessity for
marketing their services.
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