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Company
LOGO
Workforce & Succession Planning
Plan Basics, Survey Results & Recommendations for Workforce
Planning in Your State
Kate Murphy, MPA, CPM, SPHRWorkforce Administrator, Iowa DOT
Meet the WFP Team
Reg 1 East
Reg 2South
Reg 3Midwest
Reg 4West
Tom Prestash, PEPennDOT
Executive Engineer
SCOH Rep.
Robin Stevens, Georgia DOT
HR Division Director
Deb Wiley, Kansas DOT
Spec. Assistant to the HR Bureau Chief
Joe Villarreal, Michigan DOT
HR SpecialistHR Division
Agenda
1. WFP Basics & Survey Results 1. WFP Basics & Survey Results
2. Novice-Intermediate-Advanced Plans 2. Novice-Intermediate-Advanced Plans
3. Succession Planning – GA Style3. Succession Planning – GA Style
4. Private Sector Update- 3M4. Private Sector Update- 3M
5. Process & Recommendations 5. Process & Recommendations
“Writing on the Wall”
• Public sector EE’s older than private sector
• 50% Public sector jobs require specialized knowledge vs. 29% private sector
• Pension plans facilitate early retirements– Abby and Boyd; The Aging Govt. Workforce
• Over 37,000 NY state EE’s retired in last 6 yrs
• CA State Auditor ID’s HR Mgt- High risk 2007– 42% CA leadership (13,000 EE’s) out in 7yrs
The Workforce Gap
1. WFP Template Basics
ImplementAction Plans
ImplementAction Plans
Monitor,Evaluate & Revise
Set Strategic Direction
Supply & Demand
Develop Action Plans
Clockwise > Annually
Workforce Plan Structure
Iowa WFP Model
WFP Preparation
• Secure Sponsorship• Build program team• Identify strategic
direction• Interview Managers,
create metrics & collect initial data
Conduct Workforce Analysis
• Determine Demand
(Environmental Scan)
• Collect current supply data
(Organizational analysis)
• Assess Gaps =
STRATEGY to overcome gaps
Environmental Scan Factors
What are the key economic factors facing the agency?How will legislative decisions, including the appropriation
process impact your agency? How will changes in external workforce composition or patterns (demographics, diversity, growing/ shrinking occupations) impact your agency?
Issues
Organizational Analysis Factors
How will the agency structure look in five years? How will it get
there? How many and what types of jobs will be needed to meet current performance objectives as well as future agency strategic goals?
Conduct Workforce Analysis
Measures FY2009 Data FY2010 Data FY2011 Data Notes
1. Full-time Employees
2. Part-time Employees Temporary Employees
3. Number of Hires Average days to fill
4. Contractor Employees
5. Average Length of Service (LOS)
6. Average Age
7. Total Separation %
8. Female & Minority Separations within 2 years
9. Retirement %
Supply Information
Assess Gaps-Devise Strategy Workforce Stability Issues Workforce Stability Strategies
Need to support knowledge transfer due to potential retirements. Facilitate a seamless transition with retirees and improve bench strength for key positions.
Diversity Issues (General Culture)* Diversity Strategies
Overall diversity awareness by management teams. Conduct annual diversity training for all supervisors to include information on recruiting for increased diversity.
Affirmative Action Issues* (Underutilization) Affirmative Action Strategies and Goals
Diverse recruitment for underutilized positions. Develop relationships with minority communities to help in increasing the numbers of protected class applicants on the underutilized certified lists of candidates.
Recruiting and Hiring Issues Recruiting and Hiring Strategies
Limited pool of highly technical candidates. Develop and implement numerous tools including an H1-B sponsorship process for technically prepared international candidates for only those positions that have a demonstrated inability to fill with qualified candidates.
Development Issues Development Strategies
Lack of a process for onboarding new hires and transferred/promoted employees.
Purchase software for new hire, promotion and performance development.
Succession Management Succession Management strategies
Key areas will experience retirements/separations and require knowledge transfer.
Develop methods to assure continuity of service through transfer of knowledge. Focus on Management and Service Maintenance classes regarding succession management. Focus first on Planning, Programming and Modal division due to the proportionately large number of possible retirements.
Action Plans
Retention
Hiring
AffirmativeAction
DiversityWorkforceStability
Development
WFP/Succession Survey
•Region 1- East
•Maryland- no DOT wide WFP, have WF strategy committee; systematic & across dept., Advanced Leadership Program & Highway Maint. Succession Planning/Dev process. Unionized & not subject to Collective Bargaining.
WFP/Succession Survey
• Region 1- East
• Pennsylvania- No WFP. 2008 Succession Plan. Access SAP reports from state HRIS system to ID candidate pools, monthly data for authoriz. vacant/funded positions, plans by district.
WFP/Succession Survey
Region 2- South
•Tennessee- Statewide Org.Dev. •Strategic Learning Solutions
•Alabama- DOT•Succession plan for Civil Engineering (Currently under a hiring freeze)
WFP/Succession Survey
Region 2- South- GeorgiaThe law of workforce planning Official Code of Georgia 45-20-1:Section f
Each agency shall develop an annual work force plan according to statewide criteria and guidelines and shall provide a report of such plan annually to the state merit system for incorporation into the state-wide work force plan to be submitted to the Governor and the General Assembly.
WFP/Succession Survey
• GDOT Environmental Scan- Agency needs to provide the same level of services with reduced workforce. … hiring freeze on all but critical positions …a freeze on our compensation programs. (Actual attached)
• GDOT workforce goal (linked to the agency's strategic goals): – To retool, retain and develop a highly competent,
motivated workforce and establish GDOT as an ‘employer of choice’.
• Top Positions for WFP – SR. Leadership & Office Heads
WFP/Succession Survey
• GDOT Evaluation
How will success of this strategy be measured? Timeline for implementation? How much money will this strategy save? How much money will this strategy generate? How much money will this strategy cost to implement? – Key Action or Activities
Target Completion Date
Persons Responsible
Status / Progress Update
WFP/Succession Survey
•Region 3- Midwest•Iowa- DOT
•Workforce & Succession plans•2 yrs of Data & Key/Critical positions identified, action plans underway
RIGHT PEOPLE
RIGHT SKILLSRIGHT TIME
RIGHT JOB
STATE OF IOWA
WORKFORCE PLANNING
WFP/Succession Survey
•Region 3- Wisconsin•“Retirement vulnerability”-10% or more EE’s eligible to retire
•“Critical hiring needs” Hard to fill + Hard to retain + LocationCritical core operation High retirement vulnerabilityChronically/traditionally underutilized
WFP/Succession Survey
•Region 3- Midwest
•Kansas - in development
•Missouri- Annual turnover reports, leadership development program with self direction
WFP/Succession Survey
•Region 3- Michigan• Potential turnover 2009 - 2014:
27.8% eligible to retire in 5 years51% state employees 45 or older
• 4 step Workforce Plan: • Department Strategic Direction• Conduct Workforce Analysis• Implement Strategic Workforce Plan• Monitor, Evaluate, and Revise
WFP/Succession Survey
Caltrans - Maintenance
2. Identify Work
Functions
6. DevelopPriorities &Implement Solutions
7. Evaluate the Plan
3. Identify Staffing
Requirements
4. Project Workforce
Supply5. Analyze Workforce
Gaps
1. Review Strategic
Plan
WORKFORCE WORKFORCE PLANNING PLANNING
MODELMODEL
2. Identify Work
Functions
6. DevelopPriorities &Implement Solutions
7. Evaluate the Plan
3. Identify Staffing
Requirements
4. Project Workforce
Supply5. Analyze Workforce
Gaps
1. Review Strategic
Plan
WORKFORCE WORKFORCE PLANNING PLANNING
MODELMODEL
GAP ANALYSISSUPPLY GAP
- Projected Internal Supply = Projected Workforce Gap
Current Current Anticipated Required Current Projected Projected
Staffing + Vacancies + Workload = Staffing Staffing - Attrition = Internal
Level - / Overage - Changes Level Level Supply
Current Required Staffing Level
-
DEMAND
Strategic Planning
Budget Projections
Age Demographic Data
Attrition Rates
SUPPLY
- 676FY 2014 Projected Internal Staffing Supply
=
Age Demographic Data Attrition Rates
GAP
Strategic PlanningBudget Projections
DEMAND
1,679FY 2014 Required Staffing Level
1,549 (FY 2009 Staffing Level)
+ 130 (FY 2009 # of Vacancies)
+ 0 (Anticipated Workload Changes)
=1,679 ( 2014 Required Staffing Level)
1,549 (FY 2009 Staffing Level)
-873 (733 + 140 = 873)
=676 ( 2014 Projected Internal Supply)
733 = FY 2009 # of Employees Age 50+ 140 = 5-year Projected Non-Retirement Attrition
-
1,003FY 2014 Projected # of Staff Needed
to Fill Required Level
Gap Analysis
Equipment Operator II
Calculating Projected Workforce Gap
WFP/Succession Survey
• Region 4- West- Alaska–WFP & Succession planning under
development.
–Newly appointed DOT Program Mgr; 8 CBA’s
– Statewide guidelineshttp://doa.alaska.gov/dop/epic/
workPlanDevelop/
2. Progress Diagram
NoviceNovice IntermediateIntermediate AdvancedAdvanced
California Georgia
Missouri
Iowa Maryland
Michigan
Pennsylvania
Tennessee
Wisconsin
Alabama
Alaska
Kansas
Company
LOGO Division Director, Human Resources Georgia Department of Transportation
Succession Planning! Georgia Style
3.Workforce & Succession PlanningRobin C. Stevens
Succession- Georgia Style!
Strategies
●Identify, engage and motivate high-potential employees
●Assess needs and create development plan
●Accelerate development
Outcomes
●Retention of high-potential employees
●Preservation of organizational knowledge and expertise
●Qualified leadership candidates
Key Features–Participant Selection
Selectiono Who: Succession Planning Steering Committeeo How: Self-nomination, requires sponsors, application
processo Basis: Superior performance and high potential –
“learning agility”● Two tiers: mid-career and early-career
participantso Begin with mid-career participants for near term
needsParticipant development targets specific positionMid-career tier may be phased out in 2-3 years
o Early-career participantsIndividual development targets leadership competencies
Key Features - Development Methods
● Individual Development Plan○ Multi-rater assessment & General managerial skills
assessment○ Learning contract for each with success standards and
timeline○ Approved by Succession Planning Steering Committee &
Managed by Succession Planning Coordination Team
Learning Strategies - Job re-assignment
○ In-place special assignment○ Mentoring — organizational knowledge: decisions○ Coaching — personal effectiveness: behavioral
Networking- Coursework and Training
Critical Success Factors
● Two things that loom large in the literature, plus one1. Leadership investment: Sustained dedication of time,
attention and effort by committee members and mentorso GDOT has Steering Committee – 11 senior staff
members, o Mentors, Networking Session Leaders -- senior staff &o Coordinating Team2. Dynamic support: Effectively supported and energized
with Individual Development Plans 3. Face Credibility
Is it fair? Is it effective?
GA Estimated Costs• Steering Committee and Mentors – Lillian Eby, UGA Applied
Psychology– Orientation to principles/facts about Succession Planning: $1000– Mentors workshop: $1000
• Full Program, First Year – CVIOG– Program GDOT custom leadership competencies into multi-rater
360: $2500 (one time cost)– Multi-rater 360+ two other leadership assessment tools + coaching
session: $1150 per person– Additional coaching session at 6-8 months: $200 per person (long
term--train internal staff)• Second Year
– Objective managerial skills assessment =Provider/cost not determined
• Note: Federal training dollars may be used to cover costs; no match required
Succession Planning Program
• Program Goal:– The creation of a qualified candidate pool for
leadership positions, prepared to lead Georgia DOT effectively in accomplishing our mission.
– Based on New Jersey DOT program
– This is our first “intake” of 18 months long managed program
MENTORS Critical to the Program
Mentor functions• Provide positive recognition and constructive
feedback• Share their knowledge of the organization’s
unwritten rules • Model the right way of getting things done
Benefits for Mentors• Re-engagement, networking opportunities,
learning from the participants and discovering methods
Leader Competency Profile 3
Competency/DefinitionUtilizing Communication
Articulating ideas, thoughts and facts clearly, orally and in writing; grasping the meaning of written and spoken information, interpreting body language and applying it to job-related situations; listening and communicating in an attentive fashion while analyzing information, asking questions and maintaining awareness of underlying messages; being effective at presenting information to various sizes and types of groups
Predictor Behaviors• Communicate effectively
with employees that have diverse backgrounds
• Write concise, precise, and, if necessary, tactful reports and correspondence
• Make concise, easily understood verbal explanations
• Make clear, professional and engaging presentations; tailor presentations to audiences; use appropriate graphics, maps, or slides
• Explain technical issues in a non-technical, easy-to-understand manner
Leadership Behaviors
• Advocate the ideas, principles and actions that advance the Department's mission in a compelling manner
• Present concepts, goals and changes in Department strategy to internal and external stakeholders in order to secure support or approval
• Prepare documents that represent the position of your group or the Department regarding an issue or challenge
GDOT Curriculum
Month Activity Objectives Competency
1 Q and A with the Commissioner. Participants meet with the Commissioner for a one hour Q&A session. Have participants prepare questions prior (Leadership, Legal issues, Politics) etc.
Face to face meeting with Commissioner Smith Gain comfort and confidence with executive
leadership Gain understanding concerning org issues and
have high level questions answered
3,10
2 Meet with mentors with a specific question in mind as to how the participant can better manage their team or to discuss challenges facing participant’s current job.
Mastering team leadership Improving management processes Learning from experienced mentors
3,4,8,9,13
3 Legal Issues for GDOT. Have Sandra or Matt meet with participants to discuss real legal issues facing the leadership of the Department.
Understand legal issues facing the department Meet and build a relationship with Sandra and her
staff
1
4 Reading Assignment. Read a book on leadership and present your findings to your Mentor.
Discover different leadership philosophies and authors
Share findings with mentor
1,11
5 Meet the GDOT Board. Have a “working lunch” to meet with several of the board members to discuss transportation issues, leadership, and the future of GDOT
Meet board members, understand their role in transportation policy/leadership role
Gain confidence in meeting with and talking to board members
3,4,5
4. Private Sector -3M
3M Operations60 Countries, 35 with laboratories3M operates 35 distinct business units
3M holds 569 U.S. Patents
In 2007, $24.5B in sales
Employees:76,000, including 7,000 Researchers
Headquarters: St. Paul, Minnesota
“You have to try to train people how to think, you have to get them to imagine...
to “see forward”... to think their way through circumstances which are unusual and different.
That is what separates really great companies from average companies.”
George W. Buckley3M Chairman, President & CEO
Questions from the Survey
• AK-How to Succession planning with union EE’s and CBA’s?
• MD- How have you established career pathing for critical positions? Did you change classifications to accommodate the development of candidate pools?
• Various states- How do you start WFP with no budget and possibly 1 FTE?
5. ***** Recommendations
-Program Champion-Dept. Director/Secretary
Division Director
Head Count vs. Content
CommitResources
Reps fromDivisions
Get started Now!
Professional Staff
Lessons Learned I• Research, identify, and use best practices. • Take small initial steps. Do not be overly paperbound. • Understand your data requirements. • Use the advisory task force (workforce planning team)
representing your agency. Set realistic time lines. Keep it simple.
• Clearly define expectations and responsibilities. • Keep top leadership involved and ensure they are
involved in the review stages. • Communicate, communicate, communicate. • Focus on being helpful to field offices. • Voluntary use of the process is preferred over
mandatory or forced compliance.
Lessons Learned II • Address difference between "head count" and "head
content." In other words, it’s not just about "keep the bodies"; it’s about keeping and developing quality employees with the right skills.
• The program cannot be dictated or led by HR- rather it needs department leadership and broad base of involvement.
• Once established, plans are often left unchanged & become outdated or irrelevant.
• Emphasize employee development-cut preventable turnover and build bench strength.
• Follow up and keep up the momentum.
References• Abbey, Craig & Donald J. Boyd. The Aging Government
Workforce. Rockefeller Institute, 2002• www.cs.state.ny.us/successionplanning/resources/
differencebetweenworkforce.htm• High Risk Update, HR Mgt, CA State Auditor 3/2009
http://bsa.ca.gov/pdfs/reports/2008-605.pdf• Rothwell, Wm. J. Effective Succession Planning. • www.das/hre.iowa.gov/documents/workforce_planning/
WFPDiversityAATemplate-06-09-09FINAL.doc• Seeing Forward: Succession Planning at 3M. © SHRM
Foundation 2008 DVD• U.S. Forest Service. U.S. Department of Navy. Workforce
Assessments and Human Capital Planning Conference, 11/01, Washington, D.C.
References
• State of Georgia. Strategic Workforce Planning Guide. www.gms.state.ga.us/agencyservices/wfplanning
• http://sao.hr.state.tx.us/Workforce/guide.html#Model• Tennessee Workforce Planning Guide, SLS, 2/2009• Richard Oyen, Succession Planning: 5 Costly Errors to Avoid.
SumTotal, 2004-2009• Cotton, Ann, 7 Steps of Effective Workforce Planning Univ. of
Baltimore, IBM Center for the Business of Government.
Special Thank You!
• Mary Harker, Bernie Padilla, Jack Basso & Christine Beauvais- for sponsoring the WFP Sub committee and making this program possible!
• State DOT Leadership from Iowa, Georgia, Kansas, Pennsylvania and Michigan who donated the staff time & resources of sub committee members.