Workforce & Succession
Planning
Company
LOGO
Kate Murphy, MPA, CPM, SPHR
Workforce Administrator, Iowa DOT
Plan Basics, Survey Results &
Recommendations for Workforce
Planning in Your State
Meet the WFP Team
Reg 1
East
Reg 2
South
Reg 3
Midwest
Tom
Prestash, PE
PennDOT
Robin
Stevens,
Georgia DOT
Deb Wiley,
Kansas DOT
Joe Villarreal,
Michigan
DOT
Executive
Engineer
HR
Division
Director
Spec.
Assistant to
the HR
Bureau Chief
HR Specialist
HR Division
SCOH Rep.
Reg 4
West
Agenda
1. WFP Basics & Survey Results
2. Novice-Intermediate-Advanced Plans
3. Succession Planning – GA Style
4. Private Sector Update- 3M
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
Clockwise > Annually
Set
Strategic
Direction
Monitor,
Evaluate &
Revise
Supply &
Demand
Workforce Plan
Structure
Develop
Action Plans
Implement
Action
Plans
Iowa WFP Model
Workforce Planning
Model
Phase 1 - Prepare for
Workforce Planning
1.a - Secure
sponsorship
1.b - Build workforce
planning project
team
1.c - Identify
strategic
direction
1.d - Engage
managers and collect
initial data
Phase 2 - Conduct
Workforce
Analysis
2.a - Determine what
we need (demand)
2.b - Collect and
review
current data (supply)
2.c - Assess gaps
and devise strategies
Phase 3 - Develop
and
Implement Action
Plan
3.a - Develop action
plan
3.b. - Implement plan
Phase 4 - Monitor,
Evaluate
and Revise
4.a - Monitor action
plan progress
4.b - Enterprise
tracking
4.c. - Annual updates
WFP Preparation
• Secure Sponsorship
• Build program team
• Identify strategic
direction
• Interview Managers,
create metrics &
collect initial data
Conduct Workforce Analysis
Environmental Scan
Factors
• Determine Demand
(Environmental
Scan)
• Collect current
supply data
(Organizational
analysis)
• Assess Gaps =
STRATEGY to
overcome gaps
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?
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?
Issues
Conduct Workforce Analysis
Measures
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 %
FY2009 Data
FY2010 Data
FY2011 Data
Notes
Supply Information
Job Title
1 Accountant
2
Pay Grade
Quantity
1-yr
3-yr
5-yr
%
Turn
in 3
years
26
1
0
0
1
0%
27
2
1
1
0
100%
2
Chemist
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
Hiring
Retention
Affirmative
Action
Development
Diversity
Workforce
Stability
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- Georgia
The 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 TIME
RIGHT SKILLS
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 + Location
Critical core operation
High retirement vulnerability
Chronically/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 years
51% 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
•Region 4 – West-Caltrans
•Started in Maintenance-next ROW
Currently forty-five percent of Caltrans’ workforce
are fifty years of age or older. The Department must
ensure it can attract new employees and develop
existing staff with the required knowledge, skills, and
abilities to replace those who retire.
“Caltrans improves mobility across California”
Caltrans - Maintenance
1. Review
Strategic
Plan
7. Evaluate
the
Plan
6. Develop
Priorities &
Implement
Solutions
2. Identify
Work
Functions
WORKFORCE
PLANNING
MODEL
5. Analyze
Workforce
Gaps
3. Identify
Staffing
Requirements
4. Project
Workforce
Supply
GAP ANALYSIS
DEMAND
Calculating
Projected
Workforce
Gap
Current Required Staffing Level
Current
Current
Anticipated
Required
Staffing + Vacancies + Workload = Staffing
Level
- / Overage - Changes
Level
SUPPLY
-
-
Projected Internal Supply
Current
Staffing
-
Projected
Attrition
Age Demographic Data
Budget Projections
Attrition Rates
FY 2014 Required Staffing Level
Equipment
Operator II
SUPPLY
-
1,549 (FY 2009 Staffing Level)
676
FY 2014 Projected Internal Staffing Supply
1,549 (FY 2009 Staffing Level)
+
-
130 (FY 2009 # of Vacancies)
+
0 (Anticipated Workload Changes)
=
1,679
( 2014 Required Staffing Level)
Strategic Planning
Budget Projections
Projected Workforce Gap
Supply
Strategic Planning
1,679
=
Projected
Internal
=
Level
DEMAND
Gap Analysis
GAP
873
-
(733 + 140 = 873)
=
676
( 2014 Projected Internal Supply)
733 = FY 2009 # of Employees Age 50+
140 = 5-year Projected Non-Retirement Attrition
Age Demographic Data
Attrition Rates
GAP
1,003
= FY 2014 Projected # of Staff Needed
to Fill Required Level
WFP/Succession Survey
• Region 4- West- Alaska
–WFP & Succession planning under
development.
–Newly appointed DOT Program Mgr;
8 CBA’s
– Statewide guidelines
http://doa.alaska.gov/dop/epic/workPl
anDevelop/
2. Progress Diagram
Novice
Alabama
Alaska
Kansas
Intermediate
Iowa
Maryland
Michigan
Pennsylvania
Tennessee
Wisconsin
Advanced
California
Georgia
Missouri
3.Workforce & Succession Planning
Robin C. Stevens
Company
LOGO
Division Director, Human Resources
Georgia Department of Transportation
Succession Planning! Georgia Style
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
Selection
o Who: Succession Planning Steering Committee
o How: Self-nomination, requires sponsors, application
process
o Basis: Superior performance and high potential –
“learning agility”
● Two tiers: mid-career and early-career participants
o Begin with mid-career participants for near term needs
Participant development targets specific position
Mid-career tier may be phased out in 2-3 years
o Early-career participants
Individual 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 one
1. Leadership investment: Sustained dedication of time,
attention and effort by committee members and mentors
o GDOT has Steering Committee – 11 senior staff members,
o Mentors, Networking Session Leaders -- senior staff &
o Coordinating Team
2. 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/Definition
Utilizing Communication
Predictor Behaviors
• Communicate effectively
with employees that have
Articulating ideas, thoughts
diverse backgrounds
and facts clearly, orally and • Write concise, precise,
in writing; grasping the
and, if necessary, tactful
meaning of written and
reports and
spoken information,
correspondence
interpreting body language
• Make concise, easily
and applying it to job-related
understood verbal
situations; listening and
explanations
communicating in an
• Make clear, professional
attentive fashion while
and engaging
analyzing information,
presentations; tailor
asking questions and
presentations to
maintaining awareness of
audiences; use
underlying messages; being
appropriate graphics,
effective at presenting
maps, or slides
information to various sizes • Explain technical issues
and types of groups
in a non-technical, easyto-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
1
Activity
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.
Objectives



Competency
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
Meet board members, understand their role in
transportation policy/leadership role
Gain confidence in meeting with and talking to
board members
3,4,5

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


4. Private Sector -3M
3M Operations
60 Countries, 35 with
laboratories
3M 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. Buckley
3M 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 ChampionDept. Director/Secretary
Division Director
Professional
Staff
Head
Count vs.
Content
Reps from
Divisions
Commit
Resources
Get started
Now!
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/difference
betweenworkforce.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/WFP
DiversityAATemplate-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.