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APPENDIX A User's Guide to the Workforce Toolkit CONTENTS A-2 Introduction A-2 Overview A-2 Content A-2 Design A-2 How the Searches Work A-4 Using the Web Site A-4 Retrieving Information by View A-5 View 1--Top Ten DOT Workforce Needs A-6 View 2--Frequently Asked Questions A-7 View 3--Functional View of Workforce Needs A-8 View 4--Faceted Search A-9 View 5--Geographic View A-10 View 6--Full Text Search A-11 View 7--State Practices A-13 Additional Functions A-13 Home A-13 Forum A-13 Video A-1

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A-2 Tools to Aid State DOTs in Responding to Workforce Challenges Introduction Overview The NCHRP Workforce Toolkit (http://146.115.18.166/Workforce10a/NCHRP.aspx) was developed to assist state Departments of Transportation (DOTs) and other transportation agencies with attracting and retaining staff who are equipped to successfully fulfill changing expectations for the DOT, while at the same time dealing with significant instability due to retirements, private sector competition, and an increasingly mobile workforce. A demonstration of the Toolkit is accessible on the Internet. This flexible and easy-to-use tool, the result of NCHRP Project 20-72, can help connect you to the information you need to address workforce challenges in the following areas: Characterizing and assessing core competencies of your agency's personnel, which are likely to be influenced by changing demographics, staff turnover, attrition, and competition from other employers. Characterizing and assessing the need to preserve institutional history and other mission-critical knowledge held by current personnel. Recruiting diverse staff to ensure needed competencies are in place to meet current and future demands. Educating, training, and developing staff to attain needed competencies, institutional history, and other mission-critical knowledge. Succession planning to ensure availability of highly competent and qualified personnel to fill current and future key management, leadership, and technical roles at all levels of the organization. Retaining staff to maintain productivity and continuity of operations. Ensuring an adequate and diverse supply of qualified entry-level personnel to meet current and future mission-critical requirements. Content The Workforce Toolkit currently contains resources that were selected from a review of literature and practice. These resources include books, articles, web sites, case studies, policies and procedures, measurement and assessment tools, methodologies, software applications, and consulting services that were culled from the transportation field, public sector, professional organizations and trade associations, academia, the military, the private sector, and labor unions. Materials chosen were determined to be the most useful in addressing DOT workforce challenges. Design Resources were entered into a SQL Server data base and identified by "facets" so they could be appropriately retrieved in response to queries. Facets are simply aspects or characteristics of the resources. Some views have been programmed to retrieve resources with a predetermined set of facets; other views allow you to select facets or words to conduct a search. For more information on the design of the database, please see Chapter 2. How the Searches Work Resources in the database are tagged using different facets. These facets are divided into five types (audience, DOT role, item/resource type, source, and workforce category or need

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User's Guide to the Workforce Toolkit A-3 type) and subcategorized within types. Each resource is tagged with a combination of facets that defines who is most likely to be interested in this information, who might find it most relevant to their job function, the kind of resource it is, and what subject it addresses. Additional facet types can be added by the site administrator. The currently defined facet types and subtypes are detailed below. Audience General private sector General public sector Human resources State DOT Training and development Transportation professionals Other Other Industry DOT role Human Resources Line managers/workgroup supervisors Senior managers (division chiefs and district administrators) Top agency executives (CEOs) Other Item or resource type Case Consulting services General resource Measurement/assessment tool Methodology/guide/model Organization Policy/procedure Software application Other Source Journal/publisher National Academy of Public Administration National Association--human resources National Association--public administration National Association--transportation State Department of Transportation Transportation Research Board/National Highway Cooperative Research Program/Transit Cooperative Research Program United States Department of Transportation University research center Other Other state agency Workforce challenge or need type Compensation and benefits Competencies Downsizing Employee conflict HR function

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A-4 Tools to Aid State DOTs in Responding to Workforce Challenges HR information systems HR planning Knowledge management Leadership development Organizational change Organizational development Organizational performance Outsourcing/contract management Performance management Recruitment Reductions in Staff Retention Retirement Strategic planning Succession planning Training and development Workforce planning/development Other Using the Web Site This public-access site provides nine options for finding resources relating to issues impacting state DOT workforces. Five of the views access a database containing resources selected from web sites, books, publications, state DOT practices, and other educational resources selected for their usefulness and relevancy. These options accommodate different search styles for ease of use. Two options, Geographic View and State Practices, link to separate databases containing responses to surveys, statistical data or contact information. (Data needs to be added to the Geographic View.) Resource searches cannot be performed from these views. The three addi- tional options available from each page in the toolkit return the user to the home page or connect to additional resources on the Internet. Users can return to the previous screen by using their browser's back button or by using the Site Navigation trail at the top of the page (i.e., Home > Top Ten DOT Needs > Top Ten DOT Needs Resource List). A "contact us" button is available at the top of each screen. Use this button to contact the developers (during the project) and the Web master (after the project is completed) of the Workforce Toolkit with questions not addressed in this user's guide. Retrieving Information by View All of the view options, including the option to return to the home page, are accessible from every page within the site with the exception of View 4, Faceted Search.

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User's Guide to the Workforce Toolkit A-5 View 1--Top Ten DOT Workforce Needs This view accesses resources relevant to needs identified by the research team (in the future it will be the AASHTO Subcommittee on Human Resources) as priority issues facing DOT workforce managers. It allows users to uncover resources that will help them understand issues and trends, and to learn how peer agencies are addressing these issues to enable imple- mentation of policies, programs and procedures to address the top ten workforce priorities. Each topic is explained in an overview, and available resources are retrieved by clicking the blue "resources" link. The following top ten issues define the rows in the table: Strategic workforce planning, Attracting and retaining talent, Retooling the workforce to meet evolving business needs, Developing the next generation of leaders, Downsizing, Preserving institutional knowledge, Employee conflicts and performance issues, Outsourcing, Organizational change--reengineering and reorganizing, and Improving HR efficiency and effectiveness. The view allows for further refinement of the search by connecting the column headers-- Understand issues and trends; Learn about peer agencies; Assess our situation; and Implement policies, programs, procedures--with the 10 priority issues within the rows. Selecting "resource list" from the desired column and row retrieves relevant information from the database based on preprogrammed facets. This search is preprogrammed to search by resource or item type; each cell within the table has a preselected item type attached. For example, resources relevant to a need to understand issues and trends (column A) and strategic workforce planning (row 1) searches the general resources

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A-6 Tools to Aid State DOTs in Responding to Workforce Challenges item type. If the organization needs to learn about strategic workforce planning (row 1) in peer organizations (column B), the toolkit searches the database for relevant cases. An overview option within each cell provides a text summary of the search. View 2--Frequently Asked Questions The Frequently Asked Questions (FAQ) view lists the 12 questions identified as addressing priority issues for state DOTs, including inquiries regarding reductions in force, retirement, recruitment, turnover, downsizing, reorganizing, performance metrics, strategic planning, outsourcing and data management resources. Clicking on a question retrieves an alphabetical list of relevant resources by title and a short description of each resource. Clicking on the work's title leads to additional information, including a link to the source document and contact infor- mation (if available). The FAQ view is preprogrammed to retrieve information from the database that includes relevant workforce or need type and item or resource type. For example, resources for question 2, "A large percentage of our organization's workforce is due to retire over the next five years. How can we address this situation?" are gathered from resources that address recruitment, succession planning, leadership development, retirement, and knowledge management.

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User's Guide to the Workforce Toolkit A-7 View 3--Functional View of Workforce Needs This view searches the database based on specific workforce needs and functions of the Human Resources department (strategic workforce planning, organizational human resources, compensating and rewarding employees, managing employee performance, and human resources services). Selecting any of these topics displays a text summary of the function. Selecting the resources option retrieves an alphabetical list of resource titles and a short description of each title. Clicking on the title brings the user to more detailed information, including the URL and contact information (if available). Resources for the more general functions include multiple workforce challenges or need types. Retrieved information for function 1, for example (Strategic Workforce Planning), is culled from resources containing information on workforce planning/development, succession planning, and knowledge management. The more specific issues under the general functions narrow the search by need type to eliminate irrelevant topics. Workforce planning (issue 1.2) searches only resources tagged as containing workforce planning/development material or suc- cession planning information. Some functions are further refined (i.e., function 1.2.1, succession planning), which correlates to a further refining of the search. In this example, resources retrieved are only tagged succession planning.

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A-8 Tools to Aid State DOTs in Responding to Workforce Challenges View 4--Faceted Search View 4 allows the user to define the search specifics instead of relying on the facets that have been preprogrammed into Views 13. Five facets are available from the menu: need type, audience, source, DOT role, and resource type. Each option contains a drop-down menu that allows the user to further specify search specifics. These specifics correspond to those listed in the "How Searches Work" section above. There is no restriction on the number of facets that can be selected in this view. Any combi- nation of boxes can be checked, which allows for highly customized searches. In this prototype of the Toolkit, users must unselect facets from a prior search before conducting a new search in any given session. Simply hitting the browser's back button does not clear the search. NOTE: This issue will be addressed in future versions of the Toolkit.

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User's Guide to the Workforce Toolkit A-9 View 5--Geographic View The Geographic View provides a visual representation of the United States and allows users to find information by state. This view is linked to tables that will contain information from state DOTs regarding knowledge systems and human resources information systems, contact information, links to state DOT web sites, statistics on number of state DOT employees, and information on which states outsource human resources functions and which have labor unions. Much of this data is not yet available. Source documents are not available from this view.

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A-10 Tools to Aid State DOTs in Responding to Workforce Challenges View 6--Full Text Search Full Text Search allows users to search by keyword(s) of their own choosing. Using words entered in the textbox, the site searches titles, short descriptions, and long descriptions to locate relevant sources. Any number of keywords can be entered into the text box; selecting "enter" will retrieve search results alphabetized by title and including a short description. Search results can be resorted by the first word of descriptions by clicking on the column heading. Selecting the work's title opens a screen containing descriptions, source author, organization, contact information, web site links and other relevant information. NOTE: To conduct a new search, users must delete prior word(s) and enter new ones. The text box does not automatically reset after a search.

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User's Guide to the Workforce Toolkit A-11 View 7--State Practices The State Practices view provides access to 63 web pages that display state level data derived from the State Practices Excel spreadsheet. The view summarizes, by state, findings from NCHRP studies on recruitment, retention, succession planning, training, and change management. Currently, this view contains information on: NCHRP Project 20-24(40), "Analysis and Benchmarking of Recruitment and Hiring Practices of State Departments of Transportation." NCHRP Project 20-24(48), "Analysis and Benchmarking of State Departments of Trans- portation Human Resource Activities." NCHRP Synthesis 323: Recruiting and Retaining Individuals in State Transportation Agencies. NCHRP Synthesis 349: Developing Transportation Agency Leaders. NCHRP Synthesis 362: Training Programs, Policies, and Practices. Tables of Survey Data Accessed by State Practices View Competencies HR Competencies Education Level of Professionals (%) HR Core Competencies HR Function Crisis Management Human Resources Rate the Importance of the Following HR Functions to your DOT Crisis Management HR Information Systems HR Software Means to Share and Integrate Information What Communication Tools Do You Use?

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A-12 Tools to Aid State DOTs in Responding to Workforce Challenges HR Planning Professionals by Classification (%) Professionals by Classification (2002) Knowledge Management Knowledge Management Leadership/Development Agency Leaders Developing Transportation Agency Leaders Education Level of Professionals (%) Outsourcing/Contract Management For Any of the Following HR Functions Outsourced in Your DOT, Please Select How Many Years They Have Been Outsourced HR Outsource HR Outsource Considered If HR Functions are Outsourced, Rate Your Satisfaction Which Department Manages the Outsourced HR Service? How Satisfied Are You With Their Management? HR Outsourcing Performance Management Effective Employees Get Higher Pay Raises (%) Effective Employees Get Promoted (%) Recruitment Impact of Recruiting Strategies Effectiveness of Recruiting Measuring the Effectiveness of Recruiting Entry Level Employees Measuring the Effectiveness of Recruiting Mid-Career Level Employees Most Successful Practices for Recruiting Employees Relevant Issues Regarding the Demographics of the Agency Significant Recruitment Factors (%) Strategies for Recruiting Engineers, Technicians, IT, Other Professionals Retention Employee Turnover Rates (by Year) Factors Influencing Retention (%) Factors Influencing the Decision to Leave State Service (%) I am Proud to be a State Employee (%) I Make a Positive Contribution to My Agency (Ranking 1-10) (%) I Make a Positive Contribution to My Community (Ranking 110) (%) Impact of Retention Strategies Likelihood of Leaving for Private Sector (%) Morale is High in My Agency (%) Morale is Higher in My Agency than it was 5 Years Ago (%) My Work is Valued by my Agency, Customers, Supervisors (%) Retention Impacts Who Influences Employees to Stay (%)? Retirement Likelihood of Retiring from State Service (%) Years to Retirement

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User's Guide to the Workforce Toolkit A-13 Succession Planning Succession Plan Training and Development Funding Sources and Methods Opportunities, Challenges, Constraints Partnerships with Other Agencies, Private Sector Organizations, Non-Profit Entities, Public Sector Agencies, Universities Professional Certification, Registration, Continuing Education and Certification Programs Structure for Accomplishing Training and Development Training Training Delivery Mechanism Training Evaluation Methods Training Needs Assessment Workforce Planning/Development Critical Skills Identification Strategic Plan Other # of DOT Employees by Division (2002) Average Hours Worked per Week (%) Employees Taking Work Home Frequency of Taking Work Home (%) Professionals by Age (%) Professionals by Gender (%) Years in Current Position Years in State Employment Additional Functions Home Home returns users to the home page of the Workforce Toolkit web site. Forum The Forum option connects users to the Federal Highway Administration's Knowledge Sharing web site. From this site, users can access Communities of Practice, which are virtual home bases providing members with access to information, discussion, and collaboration on specific subject areas of interest to the highway community. The link to the Communities of Practice is included to illustrate the concept of user forums. The Toolkit steward may choose to use another social networking mechanism for user exchange. Users can also access FHWA online presentations called "Knowledge On-Demand." These multimedia presentations are self-contained packages that combine textual, audio, and video elements to create the learning experience of attending a presentation. Video Selecting the "Video" option connects users to a YouTube site containing videos from the American Association of State Highway and Transportation Officials (AASHTO).