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Tools to Aid State DOTs in Responding to Workforce Challenges (2009)

Chapter: Part B - Development of the Workforce Toolkit

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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Suggested Citation:"Part B - Development of the Workforce Toolkit." National Academies of Sciences, Engineering, and Medicine. 2009. Tools to Aid State DOTs in Responding to Workforce Challenges. Washington, DC: The National Academies Press. doi: 10.17226/14247.
×
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Development of the Workforce Toolkit P A R T B

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 (5–10 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 C H A P T E R 5 Needs Framework

Scenarios Workforce Need Category (s) Associated Resource Needs The Legislature has passed a retirement incentive bill that gives a 6-month window for eligible employees to retire. The state personnel office estimates that about 5% of the highest paid employees will be eligible. Based on their employees’ tenure, the DOT knows that up to 19% of their experienced employees could retire. To complicate matters, a major layoff several years earlier due to budget cuts has left the DOT with few employees experienced enough to take the retirees place if they leave. Recruitment, retention, knowledge management, training, succession planning, competencies Competency identification. Competency based training to address the gaps. Protocols to retain needed knowledge and ways to make it usable to others. Methods to determine which of the departing knowledge needs to be retained. Systems to retain existing key employees. Succession plans, guides, and procedures. Methods to target recruitment strategies. Guidelines for creating a human capital plan. Consultants who pay higher salaries are making it difficult to recruit engineering technicians. State salary policies limit what the DOT can pay and traditional sources for new engineering technicians can’t educate enough people to supply the consultants and the DOT. Competencies, training and development recruitment, succession planning, outsourcing Identify required competencies, apart from job titles. Look for key competencies for these positions in other career types. Identify other employees in 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 able to recruit and retain qualified commercial vehicle compliance officers. The employees who are still working in these positions complain that the job isn’t what they thought it would be. The job requires completion of part of the law enforcement academy, but they don’t get to do real law enforcement work and some of the locations are in isolated areas. What are the required competencies and how does the DOT find people who are more likely to be satisfied with the work? Competencies, recruitment, training, retention Interview supervisors and workers to find out what the satisfiers and dissatisfiers of the job are. Using collected data in the interviews, are there changes that can be made to improve working conditions? Make reasonable changes. Create career ladders and cross-training opportunities to build skills and retain employees. 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. Table 5.1. Current workforce scenarios and associated resource needs.

Needs Framework 41 Scenarios Workforce Need Category (s) Associated Resource Needs An outstanding systems analyst has been hired to manage her former work unit. Her selection was based on performance reviews and her extensive knowledge of systems analysis and computer science. Three month into her tenure as manager, the unit’s production has slowed, a harassment suit has been filed, and turnover has increased significantly. Frustrated with her subordinates’ poor performance, she works long hours to finish projects. At least there’s the satisfaction of a tangible accomplishment. Competencies, leadership development, succession planning, recruitment, performance management Identify key competencies for the position. Use a targeted selection system to determine which candidates have the desired competencies and experience. Offer orientation to management classes to let interested employees learn about what being a manager entails. Create a succession plan with appropriate experiences and training to prepare employees for management positions. Establish a performance plan for the new supervisor to reinforce desired management skills. The DOT has implemented career ladders so employees in particular classifications can be promoted based on their competencies rather than waiting for positions to open. The benefit to the DOT is having a more versatile and experienced workforce. Promotions are based on testing. A review of the tests shows that some questions are vague; others are not well matched to the position’s skill requirements. The tests are used to promote large numbers of employees and are neither valid nor very reliable. Performance, competencies, training and development Competency assessment. Resources to assess questions for reliability and validity. Position requirement experts to provide input on question content. Resources and technology for a question bank for each position’s test. Protocols for developing and evaluating performance tests if physical skills are required for the job. The training director wants to redo management courses because he believes that some of the material needs to be updated to be competency based. He decides to identify desirable management competencies, ways to address them in training and determine ways to get better application of skills learned. His investigation shows poor correlation between what gets a manager promoted in the DOT and what’s taught in the management classes. Competencies, leadership development, training Competency identification in collaboration with management. Competency gap assessment at each level of management. Competency-based training, mentoring and other activities. Marketing skills to involve management in course development and training of managers where possible. The DOT brings in a subject matter expert to provide entry-level project management training to employees who are learning to manage projects. The only time the trainer is available is in August—construction season. The managers don’t think they can spare the employees who would benefit most from the class on the job. One of the districts sends an experienced project manager who isn’t as busy that week and a designer who wanted to take the class. They were asked to come back and tell the others what they learned. Training, performance Resources or guidelines to identify competencies covered by the training and expected level of participant expertise. Assessment process to determine which employees need to acquire the competencies. Nomination process for appropriate participants. Table 5.1. (Continued). (continued on next page)

42 Tools to Aid State DOTs in Responding to Workforce Challenges Scenarios Workforce Need Category (s) Associated Resource Needs The DOT has a few employees that have specialized knowledge that can’t be found at any price. When they leave or retire how can they be replaced? If you can’t keep the workers, why not keep their expertise? Knowledge management, training retention, competencies , Identify key competencies. Develop competency-based cross training to employees that are interested in learning the work. 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 Legislature has put agencies under pressure to save the state money and support the economy by outsourcing work. It seems logical to outsource less essential functions and the HRIS, job classification and training functions are outsourced. The cost is lower, but the remaining human resources staff spends significant amounts of time to keep the consultant on track on the classification and training. Outsourcing, strategic planning Business plan development and implementation tools. Guidelines for determining what to outsource (written resources or peer DOT recommendations). Data to evaluate effectiveness of the service. Marketing plans to promote value of services. Some outsourced functions require the vendor’s employees to work side by side with DOT employees. The work environment may be tense if the function was outsourced as non-essential or the vendor employees may be a welcome addition to share the workload or complete specialized projects. Either way, employees from different corporate cultures must work together. How can this relationship be made more effective and easier for the workers? Outsourcing, performance, organizational development Identify roles of both staffs. Facilitation methods to get the merged group to sort out working relationships. Develop common performance goals. Consistent monitoring system to ensure effective performance. An experienced manager has been assigned to work with a new unit. Most of the workers are young professionals who want to make an impact on the job. The manager is accustomed to having workers who just do the job. He isn’t excited about having to listen to these “kids’” suggestions about improving the work. Turnover has increased dramatically. Performance, leadership development, organizational development Guidelines for evaluating and correcting performance problems. Leadership development activities targeted to the problem (e.g., coaching). Facilitated meeting to address problems and develop acceptable solutions.. A manager is not pleased with an employee’s belligerent behavior and asks the training director to recommend training for the employee as part of the discipline process with the expectation of improvement. The employee has been sent to similar training before. Performance, leadership development Methods to identify performance deficiencies. Evaluation of effectiveness of prior training. Coaching methods for supervisor to get employee compliance. Coaching or training in effective discipline. Table 5.1. (Continued).

Needs Framework 43 Scenarios Workforce Need Category (s) Associated Resource Needs The human resources manager learns about the benefits of succession planning as a means to have a pool of qualified employees in critical positions. A significant number of managers and experienced technical and professional employees could leave over the next few years. How do you decide what skills are and will be critical and how do you design a system that builds competencies without appearing to play favorites? Succession planning, strategic planning, competencies, leadership development Succession planning resources and guidelines. Assistance from peer DOTs that have effective plans. Resources and methods for collaboration with management to identify critical positions and related competencies. Strategic human capital management plans. 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’ concerns about the anticipated large number of retirements and the increased difficulty in finding adequate numbers of qualified employees. The CEO comes from a private business and has seen progressive human resources managers working as partners to management in workforce development with great success. The career managers see the human resources as compliance and record keeping office and aren’t excited about the 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. Strategic planning, competencies, leadership development, HRIS, organizational development Human capital planning protocols and guides. Key competency identification. HRIS database to capture competencies, gaps, forecast workforce needs. Leadership development for career managers and human resources staff. Facilitated meeting process to develop common goals and a strategic plan including workforce. Decisions about workforce qualifications, competencies, training needs, recruitment, and selections are often made with limited data, on gut feelings or in response to political pressures, sometimes resulting in human resources functions being outsourced. Without solid HRIS data and effective analysis, human capital planning is weak or non-existent and 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. Strategy, HRIS, competencies, training, leadership development Resources to create a human capital and workforce plan. Tools to select HRIS software that meets DOT needs. Competency identification. Marketing skills. Data-based decision making. Table 5.1. (Continued). (continued on next page)

44 Tools to Aid State DOTs in Responding to Workforce Challenges Scenarios Workforce Need Category (s) Associated Resource Needs The state has purchased asset management software that includes modules for inventory of capital purchases. Many people will need to be trained to use the software. Some of the positions that would be using it are lower paid, higher turnover so it’s important to have reference materials and just-in-time training. The software vendor will provide the training, but it’s generic and fairly expensive. How should the training be accomplished? Training, competencies Identify competencies required to operate software. Identify existing staff competencies. Develop training content and methods consistent with needs in cooperation with vendor for new material if necessary. Identify appropriate training delivery methods. A mechanic is seriously injured when a piece of machinery falls on him while he repairs it. The OSHA investigator says it wasn’t properly secured and fines the DOT. The shop workload is heavy. Interviews with the shop supervisor and mechanics reveal that they are routinely asked to “do whatever it takes” to get the work done even if it means using substandard equipment and taking shortcuts. It turns out that this means of doing business isn’t confined to the one shop. How can a safety culture be instituted? Organizational development, leadership development, training, performance, competencies Analysis to identify organizational culture issues. Processes and peer DOT assistance in motivating effective safety behavior. Coaching, example setting, rewards for appropriate behavior. Training on proper methods. Disciplinary methods for non-compliance. Assessment of appropriate staffing levels and competencies. 5.4 Workforce Trends This section identifies current workforce trends and their implications for emerging work- force needs. Workforce need categories from the framework are identified, and types of work- force resources that would likely be helpful to meet the needs are listed (Table 5.2). 5.5 Future Trends While many of the trends and needs currently facing state DOTs will continue for the next 5–10 years, there will also be new emerging trends that will impact workforce needs. This section discusses the implications of these emerging trends, organized by the need categories of the framework. Compensation and Benefits. Historically, prospective employees could assume baseline benefits such as health insurance and retirement. Public sector organizations could offer an attractive benefits package to offset lower wages when compared to the private sector. If state DOTs are to continue attracting and retaining a quality workforce, they must find ways to offer a combination of wages, benefits, and other non-salary compensation that appeals to appropriate job candidates. Competencies. Currently competencies are used primarily to identify and develop training needs and programs, as well as to identify the requirements for various occupations. If compe- tencies are to ultimately achieve wider use they must become both more standardized and more easily adjusted when specific work requirements emerge. Downsizing/Reductions in Force. As the capabilities of information technology expand and the economy shrinks, organizations will need to do more with fewer people, and those people will need a variety of skills and characteristics to remain effective in the face of change. Table 5.1. (Continued).

Needs Framework 45 State DOT Trends Implications for Workforce Needs (Need Category) Associated Resource Needs More work to be done than resources to accomplish Methods to prioritize programs and the work associated with the programs (Performance Management) Need for organization structures that facilitate efficient and effective decision making (Organizational Development) A culture of performance (Performance Management) Strategic planning and management process which identifies the most important programs, the desired outcomes and the financial and human resources required to achieve goals. Principles of efficient and effective organizational design. Delegations of authority manual that emphasizes decision making at the lowest possible level. A performance management system and accompanying incentives to reinforce the value of effective, efficient performance. The rapidly changing nature and content of work Revised business processes (Organizational Development) Assistance to help adjust to the changed business processes (Organizational Development) Revised competencies to reflect changing work (Competencies) Build transferable competencies (e.g., teamwork, communications) An automated tool which maps business processes easily. Training in the new business processes and to understand nature of and reason for change. Marketing and facilitation resources to get buy-in from affected parties. Automated resource for tracking competency requirements and the changes made to those competencies. Loss of leadership and technical “brain trust” through retirements Well qualified replacements (Leadership Development, Succession Planning) Workforce planning resource which anticipates retirements. Succession planning process to identify leadership needs. Leadership development training which assures an available source of qualified candidates from which to choose. Supervisor, manager, executive recruitment process that assures an efficient and effective recruitment and selection process. A new technology substantially changes the traditional methods of accomplishing work Assure the workforce acquires the skills to use the new technology appropriately (Competencies, Training and Development) Automated tool for tracking competency requirements and the changes made to those competencies. Business process analysis tool which identifies which human resources programs must be changed, e.g., competencies, recruitment, training. Training needs analysis methodology and automated system for conducting analysis. Learning Management System to track, support revision of training products and track who needs and has received the retraining. Outsourcing resources when talent can’t be hired. A new program mandated by the legislature requires hiring a new occupational category Determine how to best acquire the workforce (Competencies, Outsourcing) Develop and execute recruitment strategy and plan (Recruitment) Workforce planning resources to define specific needs, analyze potential sources and methods, e.g., direct hires, contract out, or a combination. Competency analysis to identify requirements and existence of needed competencies in current workforce. Method for developing and executing recruitment strategy and plan. (continued on next page) Table 5.2. Implications of current workforce trends for workforce needs and resources.

46 Tools to Aid State DOTs in Responding to Workforce Challenges State DOT Trends Implications for Workforce Needs (Need Category) Associated Resource Needs Increasing employee turnover through retirement and voluntary resignations Retain well qualified employees (Retention) Methodologies and guidelines to estimate cost of turnover. Exit interview program to ascertain why employees leave and guides to fix problem areas. Financial and non-financial incentives to retain needed competencies. Supervisor, manager, executive training to assure that the organization has a culture which attracts and retains the best talent. Within 5 years, 40% of the workforce is eligible to retire Retain needed organizational knowledge (Knowledge Management) Human capital planning (Strategic Planning) Competency analysis to determine what capabilities should be retained for the organization. Workforce planning tool to provide “what-if” scenarios of how and when those eligible might leave. Strategy and plan for retaining the needed knowledge. Recruitment and employee development programs to assure needed knowledge retention. Written and oral histories (in accessible form) of the experts whose knowledge will be lost through retirement. Human Resources flexibilities, e.g., reemployed annuitant authority to rehire those who retire for 1–3 years. Downsizing and outsourcing of DOT function What competencies must be retained or strengthened (Competencies) Human capital planning (Strategic Planning) Analysis to determine what are essential government/DOT functions. Organizational development resources. Competency analysis to determine essential capabilities to retain internally.. Conduct due diligence on options for contracting out. Multisector workforce plan to identify what will remain within DOT and what will be contracted out and to whom. Contract administration resources. Establish a culture of performance to enhance productivity and customer service Hold leadership accountable (Leadership Development, Performance Management) Holding employees accountable (Performance Management) Performance management program which defines culture of performance responsibilities of leaders. Training program for leadership on these competencies and requirements. Performance incentives which reinforce desired behaviors and achievements. Improved efficiency and accountability for human resources services/processing Human resources strategy and business planning (Strategic Planning) Data-based decision-making (HRIS, Strategic Planning) Resources to support human resources operations staff (HRIS) Business process review, analysis, and revision. Methods for identifying system requirements. Methods for identifying related policies, procedures, systems, e.g., payroll. Workforce planning to identify needed resources to staff HRIS project. Budget analysis to determine financial resources required. Training programs to teach human resources and other staff and managers how to use new system and its resources. Metrics to judge success of various stages of project. Table 5.2. (Continued).

Employee Conflict. The degree of employee conflict in the workplace will increase and decrease based on such issues as the presence or absence of well qualified supervisors, managers and executives, the degree of stress within the working and personal lives of employees and their family members and the more general cultural norms of the United States. The most successful organizations will continue to understand that making employee assistance programs available to those who are experiencing work related or personal stress in their lives is a good investment, which enhances the quality of work life for all employees and contributes significantly to enhanced organizational productivity. Human Resources Information Systems (HRIS). We are just at the beginning of the appli- cation of the power of information technology to human resources policies, programs, procedures, and practices. As HRIS is refined and becomes more responsive to organization needs, much of the operational and compliance work currently done by Human Resources Departments will be automated in whole or in substantial part by information systems. This means that HR employees must learn to harness the power of information technology systems and identify the decisions and activities that truly require human intellect and ingenuity. This transformation will not result in the need for fewer human or fiscal resources for Human Resources Departments. Rather, it does mean that human resources competencies and activities will be substantially different than they are today. As social networking technologies become more developed and pervasive, the power of this technology will also need to be captured and developed for use within organi- zations. This includes the ability of human resources staff to use data for strategic workforce planning. Balancing the need for data security and ease of access to data will continue to present challenges for organizations. Human Resources Function. The basic human resources functions of recruitment, hiring, placement, promotion, rewards and benefits will continue to be the foundation functions of any top quality human resources program and the key to an organization’s ability to attract and retain a well qualified workforce. In addition, we can expect to see substantial change in the next decades in issues such as the impact of automation on both how work is done and where it is done, on the types of employee-employer relationships that exist, and on quality of work life issues. For example, most organizations still believe that most employees must be in a designated physical workplace that is within the physical sight of the supervisor. Virtual organizations will become well accepted in the next 15–30 years, as will the notion of networked organizations. “Networked organizations” refers to individuals from different parts of a single organization, or individuals from a number of different organizations, working together virtually or physically, to accomplish assignments of importance to the organization. Human Resources Planning. Linking human resources policies, programs, and procedures to the agency’s strategic plan and objectives will become commonplace. Every organization will have the planning capacity to assure that its human resources are aligned appropriately with current program priorities and that it has the planning capacity to anticipate in three, five or ten year cycles what the human resources needs of the organization will be. This planning capacity will be supported by appropriate technology which will enhance the forecasting capabilities of agencies and their human resources programs areas. Knowledge Management. Public organization will make slow but steady progress in under- standing how to identify their knowledge management needs, and how to organize knowledge for the maximum benefit of the organization, employees, customers, and stakeholders. Most public organizations are just beginning to understand how important managing knowledge is to assuring a quality workforce and quality work products. In the 21st century, public organizations will come to understand that knowledge management is an essential competitive advantage as they compete for the best talent for their organizations. Needs Framework 47

Leadership Development. Lessons learned over the last 30–40 years, particularly about the failure to develop enough talented leaders, dictates that leadership development programs and activities will be paramount during the next 5–10 years. However, as information technology reduces the need for hierarchical organizational structures, leadership development and train- ing should occur at every organizational level. A key competency for successful leadership devel- opment and training will be facilitation of the associated change of culture from a traditional hierarchical organization to that of a more networked structure. In addition, the complexity of solutions will demand that leaders are able to assemble and utilize teams of individuals within and outside their organizations. Finally, the cost of leadership development (as well as other organizational fiscal demands) in a season of scarcity will demand rethinking of how leader- ship development occurs. For example, Gallup Organization and ASTD research suggests that proactive leadership development training to enhance individuals’ strengths provides a greater long term return on investment than development which seeks to cure an individual’s leader- ship weaknesses. Organizational Change. At the beginning of the 21st century, most public and private organizations still retain the hierarchical, and relatively rigid, organization structures, policies and processes which have existed since the 19th century. As technology tools make horizontal and vertical collaboration easier, and make networked teams and similar constructs possible and essential, organizational change will take on a whole new meaning. Contributing to this increased pace of change will be the demand from citizens and legislatures that organizations be more effective and efficient as increased demands for service compete with a continuing scarcity of resources to meet those demands. Organizational Development. Because of increasing demands in relation to scarcity of availability of resources to meet those demands, an organization’s processes and methods for developing its internal capacities to help assure its current and future success in accomplishing its strategic goals and objectives will also become a necessity. This need will be exacerbated by such issues as the following: • Increased use of information technology systems and resources, • The presence of three to four generations of workers in the workforce, • Pressures forcing social networking within and outside the organization, and • The scarcity of sufficient numbers of individuals in the labor pool to meet workforce needs. Organizational Performance. The talk of measuring organizational performance will be replaced by the reality of measuring organizational performance. The development of strategic plans and objectives, and the metrics to assess performance against those plans and objectives, will provide the framework for true assessment of organization performance. This will require the linking of substantive program objectives and plans with the human, fiscal and materiel resources required to support accomplishing the established goals. To achieve this outcome, employee performance and organizational performance must be related. Ultimately, organization performance will be measured on ultimate outcomes. For example, the DOT will be judged successful if it provides an inter-related transportation system effectively and efficiently, not just did it build this road, or that bridge. Outsourcing and Contract Management. Multi-sector workforce planning that merges planning for direct hires with acquisition of talent from all other sources will be a necessity. Organizations that choose to acquire needed goods and services from other providers will need to assure that they have the talent within their organizations to exercise the proper due diligence and oversight of the contracts and other arrangements of acquiring goods and services from external sources. 48 Tools to Aid State DOTs in Responding to Workforce Challenges

Performance Management. Managing organization and individual performance will be seen as two halves of the whole rather than two separate and distinct programs and processes. This merger necessitates aligning the strategic plan goals and outcomes with organization and individual performance requirements. This will also necessitate the rethinking of the following: • How performance requirements are articulated and measured. • The financial and non-financial incentives that encourage the performance culture that an organization wants and needs to accomplish its strategic goals and objectives. It will also require assuring that both supervisors and employees are trained to understand how all of these pieces work together. Recruitment. Recruitment policies, programs, and procedures will continue to be stream- lined and targeted to interests of candidates with the desired skills. Recruitment is likely to be broadened to focus on sources of skill sets rather than just traditional sources of candidates. Applications for positions will be almost wholly Internet-based, which means state DOTs will need to substantially enhance both their web-based recruitment tools as well as the capabilities of their staffs to use those resources. Retention. The U.S. Bureau of Labor Statistics (BLS) predicts that by 2030 the labor pool will increase at a rate of approximately one-third of 1% a year. This compares to an early 21st century labor pool growth rate of approximately 1.2% per year. Assuming a reasonable economic growth rate, it is clear that the competition for well-qualified candidates will be at a premium. To retain the best employees, organizations will need to provide interesting work that allows employees to make both substantial contributions and to grow and develop professionally. A critical success factor will be well trained and experienced executives, managers and supervisors—the organization’s leadership cadre—who can direct these activities and assure that well qualified employees are retained. In addition to creating a creative and performance based work environment, leaders will need resources to assist. These resources include financial and non-financial recruitment and retention incentives, employee development opportunities, well defined career ladders and career paths and similar resources. In addition, organizations will need to conduct exit inter- views of those who leave, provide a wide variety of work-life programs such as alternative work schedules, and use similar analytical tools and programs to assure that the work place and the work are of a level that allows the organization to retain the talent it has competed for. Retirement. The baby boomers are already redefining retirement, and this trend will con- tinue. For the first time in its history as a nation, the United States will have workforces which encompass as many as four generations of employees. This will require rethinking retirement benefits and work arrangements. For example, most public and private organizations still require employees to be full time or part time. They do not have the concept of a “step down” employment arrangement where individuals can work anywhere from 40 hours per week to 30 hours per week to 20 hours per week in a structured, predictable way. This type of change will require rethinking the nature and structure of work and positions. However, this type of change could also contribute significantly to such issues as knowledge management, if organizations put a premium on capturing and sharing the knowledge of the senior workforce with its more junior members. Strategic Planning. Strategic plans will become an organizational necessity because demands on state DOTs will continue to increase at an exponential rate while available fiscal and human resources will increase at a substantially slower rate. The strategic plan will be the initial process and instrument through which state DOTs identify program priorities to receive scarce fiscal and human resources. Strategic planning will be strengthened with a stronger focus on strategic management—implementing the plans with actions that support the plan. Needs Framework 49

Succession Planning. As discussed above, the scarcity of human and fiscal resources in an environment of increasing complexity necessitates identifying individuals to replace those who will leave the organization. Succession planning will be needed for positions at all levels of mission critical occupations. Training and Development. State DOTs will need to substantially increase their under- standing of which training delivery mechanisms provide the greatest level of learning for the least cost. The effectiveness of computer based training and other less formal means will need to increase substantially and will need to be more tailored to the content needs and different learning styles of students. In addition, there will be (and should be) greater pressure to share training resources and development costs between and among state DOTs and other public employers. Workforce Planning and Development. Planning for workforce needs and assuring that the workforce has the opportunity to continually develop its skills and competencies will be two factors that are critical to success over the next quarter century. Competition for well qualified staff will continue to be a challenge for state DOTs. Those organizations that invest in analyzing what type of workforce is needed will be able to make better use of scarce dollars and will be able to increase the likelihood that those individuals who are hired are the right people to maximize production. The rate of new knowledge creation is predicted to continue to increase exponentially. This requires that organizations create a workforce development strategy and plan for assuring that the workforce acquires the new knowledge necessary to achieve its strategic goals and outcome, and can do so with greater efficiency and effectiveness. Other. Driven by rapidly changing technology, the explosion in knowledge, the scarcity of human and fiscal resources in relation to continuing growth in demand for goods and services, quantitative analytical tools, and the development and use of data-driven decision making will become the norm. Analysis assessing both the qualitative and quantitative return on investment (ROI) for all workforce decisions will become paramount. 50 Tools to Aid State DOTs in Responding to Workforce Challenges

6.1 Introduction A rich collection of resources is available to help DOTs meet current and future workforce needs. Several recent research projects have addressed a variety of strategies spanning the workforce life cycle from recruitment to succession planning. In addition to research reports, web sites exist for the exchange of information, resources are available from organizations outside of the transporta- tion sector, and a wide range of tools have been developed by vendors. Materials and research reports from professional organizations, human resource consulting firms, and academic sources offer up-to-date information and resources to address workforce issues and organizational performance. The challenge in this project was to identify those resources that are most useful and applicable and match them to the specific needs of state DOTs. A database of information resources was assembled through an extensive search of available literature and a review of this literature to identify resources of interest. Resources were selected for inclusion in the database based on rel- evance to the needs identified in Chapter 2 and practical applicability. Resources judged to meet this latter criterion included case studies or examples of successful DOT practices and models, methodologies, solutions, or other resources that could be adapted for use within a DOT setting. While many of the resources identified are available in electronic form on the Internet, access to some of the resources listed in the database is restricted to members—for example publications from SHRM and the Conference Board. However, these reports and other resources can be legally accessed through libraries that maintain database subscription services. For example, Conference Board, SHRM, and ASTD publications can be downloaded through the Wilson Full Text Business Database and LexisNexis. Some on-line publications that address public sector management issues such as Governing can be accessed from their web site http://www.governing.com. University research centers such as the Cornell University Center for Advanced Human Resource Studies, and the Boston University Human Resources Policy Institute provide extensive reports on workforce issues in the private and public sector. These materials can be purchased from the centers and some materials from university research centers and professional organizations are available through libraries as well. Collateral material referenced in some publications such as CD-ROMs, hard copies of reports and manuals, and survey instruments generally have to be purchased. 6.2 Existing Resources Evaluation and Organization Using resources from the sources defined above, as well as new resources discovered or con- tributed by team members during the development of the Workforce Toolkit, the researchers developed a system for organizing and tagging documents. This system was designed to match the most relevant resource to the needs defined in Chapter 5. 51 C H A P T E R 6 Review of Existing Resources

The first step involved identifying who might be searching for resources and what parameters or standards they would deem necessary. To define “who,” the researchers categorized resources by audience and by DOT role. Resources were also tagged by source (state DOT, University research center, journal, etc.) or resource type (case study, software application, etc.). Specifics were then defined within the following categories: Audience Type: • General Public Sector, • General Private Sector, • Human Resources, • State DOT, • Training and Development, • Transportation Professionals, • Other, and • Other Industry. DOT Role: • Human Resources, • Line Managers/Workgroup Supervisors, • Senior Managers (division chiefs and district administrators), • Top Agency Executives (CEOs), and • Other. Source Type: • Journal/Publisher, • NAPA, • National Association—Human Resources, • National Association—Public Administration, • National Association—Transportation, • State DOT, • Transportation Research Board/National Cooperative Highway Research Program/TCRP, • University Research Center, • USDOT, • Other State Agency, and • Other. Resource Type: • Case, • Consulting Service, • General Resource, • Measurement/Assessment Tool, • Methodology/Guide/Model, • Organization, • Policy/Procedure, • Software Application, and • Other. These categories and the need types identified in Section 2.3.1 became the facets used to tag the documents in the database. Every resource is tagged with some combination of facets. The Top Ten DOT Workforce Needs view, the Frequently Asked Questions view, and the Functional View of Workforce Needs all retrieve resources from the database that have been pre-tagged with facets that identify them as relevant to the need presented within the view. The Faceted Search view allows users to select their own combination of facets. Text Search accesses the same data 52 Tools to Aid State DOTs in Responding to Workforce Challenges

base as the views discussed above but allows the user to search based on a word or combination of words. The Geographic View and State Practices view access different databases; the searches for these views are pre-programmed. Home returns users to the Workforce Toolkit home page. The Forum and Video views connect to resources outside the Toolkit. 6.3 Summary of Applicable Resources Currently the resource database contains over 275 resources. Table 6.1 shows the number of resources by need category. Note that some resources address multiple need categories, so summing the figures in the “Number of Entries” column results in a number greater than the number of resources. The following link connects to the Workforce Toolkit: http://146.115.18.166/Workforce10a/ NCHRP.aspx The URL and the web site were developed as a demonstration of the Workforce Toolkit. Their availability following completion of the NCHRP research project is supported only by the research team. 6.4 General Sources/Organizations That Provide Multiple Resources and Tools The research team reviewed several organizations that maintain web sites providing access to regularly updated information on a variety of leadership, strategic human capital planning, and other human resources topics. While these sites are not geared to DOTs, the resources they offer are relevant to the DOT workforce needs outlined in section 2.3.1. These sources were chosen for inclusion because they offer a rich and dynamic set of materials, including practical resources and methodologies. Some sources are focused on specific workforce issues—for example, the Review of Existing Resources 53 Workforce Need Category Number of Entries Strategic Planning 12 Organization Development 13 Human Resources Information Systems 12 Retention 40 Compensation and Benefits 21 Downsizing/Reduction in Force 13 Retirement 8 Workforce Planning and Development 50 Organizational Change 19 Leadership Development 21 Human Resources Planning 12 Organizational Performance 17 Human Resources Function 20 Employee Conflict 4 Competencies 22 Recruitment 61 Succession Planning 12 Outsourcing/Contract Management 10 Training and Development 50 Knowledge Management 17 Performance Management 21 Other 22 Table 6.1. Resources by workforce need category.

American Society of Training and Development (ASTD) addresses training and development workforce needs; the International Society for Performance Improvement (ISPI) addresses performance improvement issues for organizations and individuals. Other organizations, such as the National Academy of Public Administration (NAPA), the General Accountability Office (GAO), and Cranfield University’s School of Management address the full spectrum of public workforce needs and solutions. All of these organizations are recognized throughout the world as providing efficient, effective, and practical solutions to workforce needs. Specific sources identified of relevance to the Workforce Toolkit include the following: American Society for Training and Development (ASTD) www.astd.org The American Society for Training and Development is the most prominent of the profes- sional organizations for continuous learning information. They are also a source of information about online or e-learning. ASTD publishes monographs and periodicals on a wide range of training and development resources as well as research on training methodologies. American Society for Human Resources Management (SHRM) www.shrm.org SHRM is the best of the professional organizations dealing with private sector human resources issues. Some state chapters also have public sector interest groups that develop programs specif- ically for human resources practitioners in the public sector. They have an excellent research department doing cutting edge human resources research. Brookings Institute www.brookings.edu The Bookings Institute is a non-profit organization that has a wealth of research and knowledge about public policy issues, including human resources management issues. Cranfield University School of Management www.som.cranfield.ac.uk/som/ Cranfield is a leading British university that has cutting edge research on international human resources issues. Council for Excellence in Government (CEG) www.excelgov.org/ CEG works to improve the performance of American government and government’s place in the lives and esteem of American citizens and others around the world. Human Resources Institute (HRI) www.hri.org HRI is a consortium of several hundred private sector firms that pool their resources to conduct research on human resources issues that are expected to confront organizations several years in the future. It is an excellent resource for identifying future issues of concern to organizations. International Personnel Management Association (IPMA) www.ipma-hr.org IPMA provides access to a wide variety of human resources workforce tools and assessment methods from around the world. Its research is excellent. IPMA has done a particularly good job identifying the competencies required for human resources positions and functions. International Society for Performance Improvement (ISPI) www.ispi.org ISPI is the leading international association dedicated to improving productivity and perfor- mance in the workplace. Its mission is to advocate the use of Human Performance Technology. In addition to the annual Conference and Expo and other educational events it publishes books and periodicals, and supporting research. 54 Tools to Aid State DOTs in Responding to Workforce Challenges

National Academy of Public Administration (NAPA) www.napawash.org The Academy provides extensive studies on human resources management public sector issues and trends. The web site also provides access to general management studies, environmental studies, organization performance improvement studies and the like. National Association of State Personnel Executives (NASPE) www.naspe.net The National Association of State Personnel Executives (NASPE), a non-profit organization, was established in 1977 to enhance communication and the exchange of information among personnel executives. NASPE is an affiliate organization of The Council of State Governments. NASPE has an excellent list of additional electronic sites and references for human resources issues. Organization of Economic Cooperation and Development (OECD) www.oecd.org The OECD is a leading researcher on international human resources issues. The studies, tools, and successful practices are developed and applied throughout the world. The Center for Creative Leadership (CCL) www.ccl.org/index.shtml The Center for Creative Leadership is an international, nonprofit educational institution. Its leadership programs and practices are among the best in the world. CCL research is developing models of managerial practice that can prove useful to state DOTs. The Conference Board www.conference-board.org/ The Conference Board creates and disseminates knowledge about management and the marketplace to help businesses strengthen their performance and better serve their customers. It also provides information on consumer confidence, leading economic indicators, and the Consumer Confidence Index. U.S. General Accountability Office (GAO) www.gao.gov The GAO is the U.S. government’s auditor and a primary developer of workforce assessment tools. It provides reports on agency and program performance. It is an excellence source of information on human capital management, organizational and individual performance man- agement, metrics and similar topics. U.S. General Services Administration (GSA) www.gsa.gov The GSA is a U.S. government agency that leads the government’s telework and mobile office research and successful practices. It also provides information about technology needed to establish telework and mobile offices. U.S. Office of Management and Budget www.omb.gov The OMB is a U.S. government agency that leads the federal government’s organizational performance research and successful practices. The Performance Assessment Rating Tool (PART) is an excellent analytical methodology for assessing the effectiveness and efficiency of a govern- ment program. OMB also provides resources for evaluating information technology programs and systems. U.S. Office of Personnel Management (OPM) www.opm.gov The OPM is the U.S. federal government’s central human capital management authority. The web site has information on every human capital management topic. Review of Existing Resources 55

6.5 Gaps in Resources Available to Meet Workforce Needs This section discusses gaps between the workforce needs that were identified in section 2.3.1 and the current resources available to state DOTs to help them address these needs. Both current gaps and likely future gaps based on emerging trends are identified. 6.5.1 Gaps Related to Coverage by Need Category As shown in Table 6.1, the research team was able to locate a reasonable number of useful information resources within each of the 22 identified needs categories. Categories with the greatest coverage included Workforce Planning/Development, Training and Development, and Recruitment. Categories with relatively few resources identified included Retirement, Downsizing/ Reduction in Force, Employee Conflict, and Outsourcing/Contract Management. Materials on Strategic Planning, Human Resources Planning, and Knowledge Management within DOT set- tings also have relatively light coverage in the database. 6.5.2 Gaps Related to Specific Emerging Workforce Issues Linking Strategic Business Planning to Strategic Workforce Planning. While general resources on strategic planning processes were identified, there is a need for more targeted materials that help DOTs make progress in the integration of strategic workforce planning with broader strategic business planning initiatives. Materials on this topic are needed both for human resources professionals and for agency executives. Materials for human resources professionals would help to enhance their understanding of business strategy and planning and their human resources role in supporting those areas. Materials for executives would provide a succinct understanding of how good strategic workforce planning can be an important driver of long-term organizational effectiveness. Workforce planning resources that incorporate all aspects of the multi-sector workforce will be essential given the evolving models for the acquisition of talent to achieve strategic goals and objectives. Policies, methods, and other resources to assure that the state DOTs maintain the technical expertise to properly oversee the goods and services provided by the multi-sector work- force will be a continuing challenge. Balancing a Shrinking Workforce with an Increasing Workload. Retirements and reductions in force due to economic constraints can increase employee stress and potentially undermine long-term business planning. Case studies, policies, and guides that can help guide human resources professionals through the preparation, execution, and repercussions of a reduction in force can ensure that DOTs reduce employee conflict, maintain a positive work environment, and that the agency is prepared to meet future safety and quality standards. Reduced workforces and budgets have caused many agencies to outsource work to contractors. This practice creates the need for a new skill set—contract negotiation and management—as well as for tools to assess the costs and benefits of outsourcing. It also creates the need to carefully consider the costs and benefits of direct hire verses acquisition of talent, goods, and services through contracts and similar vehicles. Software applications that display comparative data analyses, consulting services, model requests for proposals or contracts, and other informative resources can help agencies utilize outside contractors in the most cost-effective and efficient manner possible. Leadership Development. A need exists for additional resources that address development of the next generation of DOT leaders. Currently, middle management gaps exist in many DOTs 56 Tools to Aid State DOTs in Responding to Workforce Challenges

due to hiring freezes that were in force during the 1990s and the movement of management candidates from DOTs to private companies. Resources of all types can assist DOT managers in identifying potential future leaders and training them in the changing requirements for success- ful leadership. Succession Planning. There is a need for a richer base of case studies and models for fully integrating succession planning processes into the fabric of the organization, and for demon- strating concrete approaches for flagging areas of risk or exposure. Competency-based Training and Development Programs. There are good generic toolsets and methodologies available for competency definition and assessment, but relatively few good examples of practical approaches to training and development investments to proactively and systematically fill identified gaps in required competencies. There is also a need for examples of methodologies for ROI calculations that can be used to determine when training investments make sense. These ROI approaches should be broadly based, taking into consideration issues such as dollars expended, competency acquired and applied, short-term and long-term impact on organizational and individual performance, and similar complex factors. A second need with respect to competencies is resources which simplify and standardize iden- tification of competencies specifically related to DOTs and that provide resources to assess and predict the relationship between competencies in place and successful employee and organiza- tional performance. Recruitment. There are resources that more directly address recruiting challenges faced by today’s DOTs given a shrinking candidate pool, changes in what DOTs are able to offer with respect to compensation, and changes in what motivates and attracts candidates to DOT jobs. Human Resources Information Systems. There are resources that enable human resources professionals to articulate requirements for improved tracking and reporting and work toward successful realization of these requirements as part of system acquisition and development efforts that are enterprise wide or statewide in nature. Performance Management. There are resources that help DOTs to shift to a culture that unites organization and employee performance requirements, metrics, and assessments. Creating, managing, and evolving the required culture of performance within state DOTs will require the development and absorption of an entirely new set of executive, manager, and supervisory skills. It will also require a substantial evolution of the employee-employer relationship with all the myriad implications for the devolution of greater power to individual employees and the need to establish a proper set of checks and balances to manage that evolution and delegation. 6.5.3 Gaps Related to the Type of Information Resource Policies and Procedures. Strong interest was expressed by DOT human resources leaders (at the AASHTO human resources meeting in Portland, Oregon, in May 2007) for inclusion of model Human Resource policies addressing a broad range of workforce issues in the database. In response, the research team gathered relevant model policies from the public and private sector and included them in the Workforce Toolkit. There are currently 22 policies/procedures in the database in addition to 100 methodologies/guides/models. Lessons Learned and Successful Practices. A second comment expressed at the AASHTO human resources meeting was the need for sharing of real-time information on successful practices and lessons learned. For example, if states are moving toward outsourcing of DOT functions, what policies are being used for the employees whose jobs are impacted? What did state X which Review of Existing Resources 57

did this last year do? There is currently no central, reputable source that provides this type of information. Certainly the sources identified above, as well as the web sites of TRB and its sub- sidiaries such as NCHRP provide a wealth of information, some of which focuses on successful practices and lessons learned. However, there has previously been no “one-stop shopping” for this type of information. In an era of rising demand for services and a shrinking resource base to provide those services, a portal which provides this type of information will be invaluable. To address this gap, the researchers added the State Practices view, which links users to a table containing information from recent NCHRP reports that involved individual state case studies or examples. More information can be added to this view as it becomes available. 58 Tools to Aid State DOTs in Responding to Workforce Challenges

The Workforce Toolkit prototype has undergone two phases of testing. 7.1 Alpha Test An alpha test of the Toolkit was conducted with the project panel in April 2008. A demo of the toolkit was conducted via web conferencing. Panel members were encouraged to access the application via a web link and provide comments. The research team also used the April 2008 AASHTO Subcommittee on Human Resources conference in St. Louis, Missouri as an opportunity to get input and early testing of the prototype Toolkit. An introduction to this project and the prototype Toolkit itself was provided at the conference at a plenary session. Session participants provided input on the prototype. As a result of input from this testing, the research team recognized that the Toolkit needed to be structured to incorporate a broader set of resources, including the following: • Descriptions of current practices that have proved to be successful (e.g., who has established new compensation policies that address recruiting of engineers in a tight market). In response to this input, the research team collected a sample set of practices for inclusion in the resource database. • State DOT policies and procedures for topics related to workforce management. Most state DOTs have a policies and procedures manual for employees. They typically also have documents specifically related to recruitment, compensation and benefits, succession planning, and other topics. To address this concern, the research team collected a sample set of practices for inclusion in the resource database. • Organizations whose primary purpose is to support workforce management topics. Most provide access to a wealth of resources related to workforce topic areas of concern to state DOTs. In response to this suggestion, additional organization resources were added to the existing sample set in the database. 7.2 Beta Test The second phase of testing, conducted in October 2008, involved comprehensive review of the prototype by 26 individuals. Fifteen reviewers were members of the panel. Of the remaining 11 individuals, 4 were human resources professionals, 4 were volunteers from the 2008 AASHTO Subcommittee on Human Resources Conference that was held in St. Louis, Missouri, and 3 were transportation professionals from state DOTs suggested by panel members from their organiza- tions. Testers were given 2 weeks to respond, and were asked to enter their input in a survey instrument available on the web. 59 C H A P T E R 7 Testing Process

7.2.1 Test Design Direction for the beta testers included an outline of the scope of the project, including the intended audience. Testers were informed that they were previewing a prototype application that demonstrates the functionality needed for a Workforce Toolkit, and that the application had not undergone the design and testing process required in a robust software application. Additionally, they were notified of situations, such as the geographic view, where real data is not yet available. They were also informed that AASHTO will be hosting the application after the project is completed and that AASHTO will work with the human resources Subcommittee on Human Resources to determine the level of data completeness. Testers were provided the link to the Toolkit and asked to walk through the application with the aide of the User Guide available from the site. Specific questions included the following: • Is this web site useful for your needs? Please explain why or why not. • Which view will be most helpful to you? Least helpful? • Do you find this web site easy to use? If not, please explain why. • Do you recommend any changes to the design or layout of this site (please specify)? • Are the overviews, descriptions (short and long), and resource description types helpful? If not, please explain why. • Do you find the resources that are listed for the category selected useful? If not, please explain why. Testers were also asked to notify the research team if they encountered any problems while using the application (i.e., the application stops functioning/freezes, the results being shown do not match the category, etc.). 7.2.2 Test Results Of the six respondents using the survey instrument, all replied the Toolkit was useful. Comments included observations that it was easy to use, well organized, and contained relevant information. The majority of testers identified the Top Ten DOT Needs as the most helpful view, with one respondent indicating that it distills the most relevant and necessary information. The Faceted Search view and Functional View were also popular. Text Search and the FAQ were each mentioned as helpful by one tester. Two respondents felt the Geographic View was least helpful, which may relate to the fact that the view currently does not contain accurate data. State Practices, Faceted Search, FAQ, and Forum were all identified as least useful by at least one respondent; one tester mentioned that the Forum view and Video view would be “a nice bonus.” The fact that one tester found a view most helpful while another identified the same view as the least helpful indicates the value of offering a variety of search approaches. Five testers replied that the descriptions were helpful and well written. The sixth respondent did not reply to this question. Beta testers offered additional feedback on the Toolkit through the survey instrument, by email, and by phone. The research team categorized this feedback by type—programming, editorial, content, question—and determined what actions—to address, to include as a recom- mendation for future versions of the site, to address in final report—were appropriate within the scope of the project. 60 Tools to Aid State DOTs in Responding to Workforce Challenges

8.1 Conclusions This research project has produced a Toolkit that can be used by state DOT leadership, managers, and human resources staff “to address workforce challenges in the following areas: • Characterizing and assessing core competencies of the 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 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 key technical management and leadership roles at all levels of the organization. • Retaining staff to maintain productivity. • Ensuring an adequate and diverse supply of qualified entry-level personnel to meet mission- critical requirements in the future.” While the original research plan envisioned development of a hyperlinked document as the major research product, one of the key conclusions of the initial phase of work was that a static guide would be quickly outdated. It was therefore decided to implement a prototype of a web-based tool that could be more easily updated over time. The research team also developed supporting information, including a list of resources state DOT managers, leaders, and human resources staff can use to address workforce challenges; a gap assessment of areas where there are insufficient resources to meet specific needs; and guides to the user and administration sites for the tool. Within the scope of this project, the research team explored the use of information technology as a means to address knowledge needs. They discovered that existing technology supported the development of a flexible, extensible tool to deliver important information about responding to workforce issues to the individuals with state DOTs who need it most. The web-based tool the team developed connects users to a diverse set of resources that may be helpful to DOTs seeking to address workforce challenges. The tool consists of multiple views that provide different ways of accessing relevant resources. Search results include documented methodologies, survey instruments, case studies, organizational models, and software applications. This diversity is intended to enforce problem solving in an integrated way to take advantage of synergistic effects. This prototype Workforce Toolkit, which has been enthusiastically received, serves as a proof of concept to show how enabling information technology can be to aiding state DOTs in responding to workforce challenges. 61 C H A P T E R 8 Conclusions and Recommendations

8.2 Recommendations The success of this Toolkit relies on the ongoing commitment and support of a Workforce Toolkit steward. The AASHTO Subcommittee on Human Resources could take on responsi- bility for being the steward for the Toolkit with AASHTO hosting the application. At the time of completion of NCHRP Project 20-72, discussions were ongoing with NCHRP, the Federal High- way Administration and AASHTO regarding the actions needed to finalize the web-based application for public release and to support, launch and maintain the application. The audi- ence and potential users for this tool include top agency executives, senior managers, human resources managers, line managers and workgroup supervisors and others within a Depart- ment of Transportation setting. 62 Tools to Aid State DOTs in Responding to Workforce Challenges

AASHTO American Association of State Highway and Transportation Officials ASTD American Society for Training and Development BLS Bureau of Labor Statistics CCL Center for Creative Leadership CEG Council for Excellence in Government CEO Chief Executive Officer DOT Department of Transportation FAQ Frequently Asked Questions FHWA Federal Highway Administration GAO U.S. General Accountability Office GIS Geographic Information System GSA U.S. General Services Administration HR Human Resources HRI Human Resources Institute HRIS Human Resources Information System IPMA International Personnel Management Association ISPI International Society for Performance Improvement IT Information Technology NAPA National Academy of Public Administration NASPE National Association of State Personnel Executives NCHRP National Cooperative Highway Research Program OECD Organization of Economic Cooperation and Development OPM U.S. Office of Personnel Management ROI Return on Investment SHRM Society for Human Resource Management TCRP Transit Cooperative Research Program TRB Transportation Research Board USDOT United States Department of Transportation 63 Abbreviations, Acronyms, Initialisms

C O N T E N T S 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 A P P E N D I X A User’s Guide to the Workforce Toolkit

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 A-2 Tools to Aid State DOTs in Responding to Workforce Challenges

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 User’s Guide to the Workforce Toolkit A-3

– 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. A-4 Tools to Aid State DOTs in Responding to Workforce Challenges

View 1—Top Ten DOT Workforce Needs User’s Guide to the Workforce Toolkit A-5 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

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 A-6 Tools to Aid State DOTs in Responding to Workforce Challenges 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.

View 3—Functional View of Workforce Needs User’s Guide to the Workforce Toolkit A-7 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.

View 4—Faceted Search A-8 Tools to Aid State DOTs in Responding to Workforce Challenges View 4 allows the user to define the search specifics instead of relying on the facets that have been preprogrammed into Views 1–3. 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.

View 5—Geographic View User’s Guide to the Workforce Toolkit A-9 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.

View 6—Full Text Search A-10 Tools to Aid State DOTs in Responding to Workforce Challenges 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.

View 7—State Practices User’s Guide to the Workforce Toolkit A-11 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?

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 1–10) (%) • 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 A-12 Tools to Aid State DOTs in Responding to Workforce Challenges

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). User’s Guide to the Workforce Toolkit A-13

C O N T E N T S B-2 Introduction B-2 Edit Resources B-3 Add B-3 Edit B-4 Delete B-4 Edit Resource Facets B-6 Add B-6 Delete B-1 A P P E N D I X B User’s Guide to the Workforce Toolkit Administration Site

Introduction This User Guide is intended for the administrator of the Workforce Toolkit. In this version of the Workforce Toolkit, all of the data management, including data entry, editing, and deletion, can only be done by the administrator. The URL for the demonstration site is: http://146.115.18.166/ Workforce10Admin/login.aspx?ReturnUrl=%2fWorkforce10Admin%2fResourceEdit.aspx. The workforce toolkit administration site provides the ability to add, delete, and edit resources and their facets. It requires login with username and password to make any changes to resources. If a user is not logged in, there is no access to any page of the Web site. The login credential is saved in a cookie that expires in 30 minutes, when the user must log in again. After logging in, the administrator can navigate to the Edit Resources or Edit Resource Facet pages. There is also a logout page and a home page with a small amount of descriptive text. Edit Resources B-2 Tools to Aid State DOTs in Responding to Workforce Challenges The Edit Resources page allows the administrator to add, delete, or edit resources in the database. Resources can be sorted by Resource ID number or by title by clicking on the desired column heading. Clicking “select” on the row containing the desired resource displays a box with Resource ID, Resource title, and the option to edit or delete.

Add User’s Guide to the Workforce Toolkit Administration Site B-3 Selecting “add new resource,” located above the table, opens a screen with fields for the resource ID, resource title, short description, long description, author, reference, organization, contact information, web site, resource cost and format, resource application, and other resource users (if known). Resource ID numbers must be manually entered; the system will not allow resources with duplicate ID numbers. To determine the next sequential resource ID number, the user must navigate to the last page of the existing resources list. Once the new resource information is entered, the user can add the resource to the database by clicking on “accept” or discard the entry by selecting “cancel.” Edit

The edit option opens a screen displaying the resource’s ID, title, short description, long description, author, and other relevant information including reference, organization, contact information, web site, resource cost and format, resource application, and other resource users (if known). Once the desired change has been made, the user selects “update” to accept the changes or “cancel” to discard them. Delete The delete option removes the resource from the database. Edit Resource Facets B-4 Tools to Aid State DOTs in Responding to Workforce Challenges The Edit Resource Facet page allows the user to add or delete facets associated with a document. Facets are aspects or characteristics of the resources and are used to identify the relevancy of sources to searches. Workforce Toolkit facets are grouped by type: Audience, DOT Role, Resource Type, Source, and Need/Workforce Challenge. These types are further defined by 56 facet values. Currently, the database recognizes 8 different audience types, 5 DOT roles, 9 item or resource types, 11 source types, and 22 workforce challenge or need types. Additional facet types can be added by the site administrator. The following are currently defined facet types and subtypes: • 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 – Human Resources function – Human Resources information systems – Human Resources 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 Resources can be sorted by Resource ID or by title by clicking on the desired column heading. Clicking “select” on the row containing the desired resource displays the selected Resource ID and title below the table and a second table with the existing facets for the resource. User’s Guide to the Workforce Toolkit Administration Site B-5

Add B-6 Tools to Aid State DOTs in Responding to Workforce Challenges Selecting a resource displays the existing facets associated with that resource. Using the drop-down facet menu, the user can select the facet to be added. “Insert” adds the facet; “cancel” discards the new facet and returns the user to the prior screen. Delete To delete a facet, select “delete” in that facet’s row.

Next: Abbreviations used without definitions in TRB publications »
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TRB’s National Cooperative Highway Research Program (NCHRP) Report 636: Tools to Aid State DOTs in Responding to Workforce Challenges examines tools that officials of state departments of transportation (DOTs) can use in recruitment, development, and retention of a productive and effective workforce.

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